Council of theEuropean Union
Brussels, 14 March 2022
(OR. fr, en)7103/1/22
REV 1Interinstitutional File:
2020/0353(COD)

ENV 209
ENT 30MI 183
CODEC 275
NOTE
From:
To:

Presidency
CouncilNo. prev. doc.:
No. Cion doc.:

6733/22 + COR 1
13944/20 + ADD 1

Subject:

Proposal for a Regulation of the European Parliament and of the Council
concerning batteries and waste batteries, repealing Directive 2006/66/EC
and amending Regulation (EU) No 2019/1020- General approachI.

INTRODUCTION
On 10 December 2020, the Commission adopted the proposal for a Regulation concerning
batteries and waste batteries, with a view to replacing the current Batteries Directive. The
proposal aims to modernise the EU’s legislative framework for batteries, in the context ofincreased demand for battery development and production.
The Commission proposal is based on Article 114 TFEU.

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The Commission identifies the following as the main objectives of the proposal: strengthening
the functioning of the internal market, promoting a circular economy, and reducing
environmental and social impacts throughout all stages of the battery life cycle.
The proposal also follows on from the evaluation of the current Batteries Directive, publishedin April 2019. To this end, the Commission proposes a single Regulation covering the entire
life cycle of batteries, setting out:-sustainability and safety requirements, such as carbon footprint rules, minimum
recycled content, performance and durability criteria, and safety parameters;-labelling and information requirements, such as the storing of information onsustainability, and data on the state of health and expected battery lifetime;-

end-of-life management provisions, such as requirements regarding extended producer
responsibility, the organisation of and targets for collection of waste batteries, recycling
efficiency and materials recovery;-

obligations for economic operators regarding the enforcement of product requirements
and due diligence schemes;-

electronic systems for the exchange of information and the creation of the battery
passport;

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-

mandatory green public procurement;-

other provisions to facilitate enforcement of the rules on conformity assessment,
notification of conformity assessment bodies, market surveillance and economic
instruments.

The original Commission proposal consists of 79 articles in 13 chapters, along with
14 annexes, and provides for more than 30 acts of secondary legislation.

II.

STATE OF PLAY IN THE COUNCIL
The technical examination of the proposal is being carried out by the Working Party on theEnvironment.
Work progressed throughout 2021 under the impetus of the Portuguese and Slovenian
Presidencies. Environment ministers had the opportunity to discuss the issue at the meetingsof the Environment Council on 10 June 2021 and 20 December 2021.
Work carried out by the Portuguese and Slovenian Presidencies made it possible to take thediscussions forward and significantly clarify the text.
The French Presidency has continued the work on the basis of the compromise text submitted
by the Slovenian Presidency on 17 December 2021.
The draft Regulation has been discussed at 10 formal meetings of the Working Party on theEnvironment since the beginning of 2022. On 2 March 2022, the Presidency also consulted
Coreper on specific issues relating to the scope of the Regulation, the procedure forrestrictions in batteries, and the timetable for implementing the various provisions.

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On that basis, the Presidency has drawn up a draft compromise, which was submitted toCoreper for approval on 11 March 2022, with a view to a general approach at theEnvironment Council meeting on 17 March 2022.
The main changes to the text in comparison with the original Commission proposal are as
follows:
Legal basis
While the original Commission proposal put forward Article 114 TFEU as the sole legal
basis, the draft compromise proposes Article 114 TFEU and Article 192(1) TFEU as a dual
legal basis, since the provisions of Chapter VII are based on Article 192(1) TFEU. Thischange, which is supported by the Member States, reflects the dual purpose of the draft
Regulation, i.e. to improve the functioning of the internal market and protect the environment.
Scope of the Regulation
The draft compromise suggests various changes to the original Commission proposal. The
first is the inclusion of modules placed on the market which are ready for use or for assembly.
The second is the extension of the provisions to all electric vehicle batteries, removing the2 kWh capacity threshold in the Commission proposal. This change is reflected in particularin Chapter II (sustainability and safety requirements) and Chapter VI.A (supply chain due
diligence).

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Definitions
In addition to clarifying several definitions, the draft compromise includes a definition of lightmeans of transport (LMT) batteries in addition to the other categories of batteries alreadyprovided for in the original proposal (portable batteries, portable batteries of general use, SLI
batteries, electric vehicle batteries and industrial batteries).
The compromise also proposes a definition of remanufacturing. This highly technicaldefinition is intended to offer clear criteria for distinguishing this operation from simple reuse.
Sustainability and safety requirements (Chapter II)
While the draft compromise maintains the original structure of Chapter II and its provisions, anumber of important changes have nevertheless been made. The procedure for restricting
substances in batteries (Article 6) has been reinforced to allow the Member States right ofinitiative. Provision has been made for separate time frames for application of the carbon
footprint provisions for electric vehicle batteries and industrial batteries (Article 7), in order togive priority to electric vehicle batteries. Exemptions have been included for second life
batteries insofar as operators cannot act on criteria determined by the original battery such as
the carbon footprint or recycled content.
Information and electronic exchange system (Chapters III and VIII)
In order to improve the clarity of the proposed system and facilitate its implementation, thecompromise text aims to harmonise the entry into force of the various channels forcommunicating information: QR code, battery passport, exchange system. For industrial
batteries, light means of transport batteries, and electric vehicle batteries to be connected tothe electronic exchange system, it also proposes that the QR code should be directly linked to
the relevant information in the electronic exchange system.

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ENSupply chain due diligence (Chapter VI.A)
In order to improve the clarity of the text and to emphasise the importance of the provisions
on supply chain due diligence, the compromise incorporates the provisions originallyprovided for in Article 39 of the Commission text in a new dedicated chapter, Chapter VI.A,
in addition to making various amendments to clarify the text and strengthen references toexisting instruments and guidelines at international level.
Management of waste batteries (Chapter VII)
The original Commission proposal excluded waste batteries from the scope of Articles 8
and 8a, on extended producer responsibility, of the Waste Framework Directive 2008/98/EC
in order to define requirements only by means of the draft Regulation. However, thisapproach was considered to run counter to the spirit of the Waste Framework Directive,
revised in 2018, which sets out minimum requirements common to all waste streams. The
approach proposed by the Commission would also have undermined the national frameworks
developed by the Member States under the Waste Framework Directive and the2006 Batteries Directive. To avoid these pitfalls, the compromise modifies Chapter VII so that
the Waste Framework Directive and its minimum criteria continue to apply. The Regulation istherefore positioned as a lex specialis, specifying certain aspects related to EPR and the
management of waste batteries. A number of amendments have been made throughout thechapter to ensure this flexibility as regards implementation at national level.

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In terms of collection targets, the compromise text proposes the establishment of a specifictarget for LMT batteries. In addition, for both portable and LMT batteries, the text provides
that the methodology for calculating the collection rate based on placing on the market should
move towards a methodology linked to availability for collection. This change will allow for amore realistic view, particularly in a context in which battery lifetime is increasing. The
compromise also proposes a new annex setting out criteria for differentiating used batteries
from waste batteries in the context of exports, in order to prevent waste batteries from being
exported under the guise of being second-hand products.
Amendments have also been made to make it easier for the competent authorities to obtaindata for reporting in the event that the batteries collected in one Member State are recycled inanother.
Implementation schedule
The implementation of this Regulation is of particular strategic importance at a time wheninvestment in the development of European production is taking shape.
The compromise therefore seeks to strike a balance between the necessary ambition andrealism to ensure effective implementation of the Regulation.

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III. CONCLUSIONAt the Coreper meeting on 11 March 2022, the vast majority of delegations expressed theirsupport for the Presidency compromise text, subject to some technical adjustments andamendments to Articles 47 and 71 and recitals 15 and 17c, which have been made in the text
in the annex.
In the light of the above, the Council is invited to:-approve its general approach on the basis of the text annexed to this note;-

invite the Presidency to start negotiations with the European Parliament on the basis of
this general approach, with a view to reaching an agreement at first reading.

_________________

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ANNEX
Proposal for a
REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
concerning batteries and waste batteries, repealing Directive 2006/66/EC and amending
Regulation (EU) No 2019/1020(Text with EEA relevance)
THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,
Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114
thereof and Article 192(1) thereof in relation to Articles 45g to 62 of this Regulation,
Having regard to the proposal from the European Commission,
After transmission of the draft legislative act to the national parliaments,
Having regard to the opinion of the European Economic and Social Committee1,
Having regard to the opinion of the Committee of the Regions2,
Acting in accordance with the ordinary legislative procedure,

1
2

OJ C , , p. .
OJ C , , p. [….

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Whereas:[(1)

The European Green Deal3 is Europe’s growth strategy that aims to transform the Union into
a fair and prosperous society, with a modern, resource-efficient and competitive economy
where there are no net emissions of greenhouse gases in 2050 and where economic growth isdecoupled from resource use. A shift from the use of fossil fuels in vehicles toelectromobility is one of the prerequisites for reaching the climate neutrality goal in 2050. In
order for the Union’s product policies to contribute to lowering carbon emissions on a global
level, it needs to be ensured that products marketed and sold in the Union are sourced andmanufactured in a sustainable manner.

(2)

Batteries are thus an important source of energy and one of the key enablers for sustainable
development, green mobility, clean energy and climate neutrality. It is expected that thedemand for batteries will grow rapidly in the coming years, notably for electric roadtransport vehicles using batteries for traction, making this market an increasingly strategic
one at the global level. Significant scientific and technical progress in the field of battery
technology will continue. In view of the strategic importance of batteries, and to provide
legal certainty to all operators involved and to avoid discrimination, barriers to trade anddistortions on the market for batteries, it is necessary to set out rules on sustainability
parameters, performance, safety, collection, recycling and second life of batteries as well as
on information about batteries. It is necessary to create a harmonised regulatory frameworkfor dealing with the entire life cycle of batteries that are placed on the market in the Union.

3

Communication from the Commission to the European Parliament, the European Council, theCouncil, the European Economic and Social Committee and the Committee of the Regions,
The European Green Deal (COM (2019) 640 final).

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(3)

Directive 2006/66/EC of the European Parliament and of the Council4 has brought about an
improvement in the environmental performance of batteries and established some common
rules and obligations for economic operators, in particular through harmonised rules for theheavy metal content and labelling of batteries and rules and targets for the management of
all waste batteries, based on extended producer responsibility.

(4)

The Commission’s reports on the implementation, impact and evaluation of Directive
2006/66/EC5 highlighted not only the achievements but also the limitations of that Directive,in particular against a fundamentally changed context characterised by the strategic
importance of batteries and their increased use.

(5)

The Commission’s Strategic Action Plan on Batteries6 sets out measures to support efforts tobuild a battery value chain in Europe, embracing raw materials extraction, sustainablesourcing and processing, sustainable battery materials, cell manufacturing as well as re-use
and recycling of batteries.

4

5

6

Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006 on
batteries and accumulators and waste batteries and accumulators and repealing Directive
91/157/EEC (OJ L 266, 26.9.2006, p. 1)
Report from the Commission to the European Parliament, the Council, the European
Economic and Social Committee and the Committee of the Regions of 9 April 2019 on theimplementation and the impact on the environment and the functioning of the internal market
of Directive 2006/66/EC of the European Parliament and of the Council of 6 September 2006
on batteries and accumulators and waste batteries and accumulators and repealing Directive
91/157/EEC (COM(2019) 166 final) and Commission Staff Working Document on theevaluation of the Directive 2006/66/EC on batteries and accumulators and waste batteries andaccumulators and repealing Directive 91/157/EEC(SWD(2019) 1300 final).
Annex 2 to Communication from the Commissions to the European Parliament, the Council,
the European Economic and Social Committee and the Committee of the Regions of 17 May
2018, EUROPE ON THE MOVE - Sustainable Mobility for Europe: safe, connected andclean (COM(2018)293 final).

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(6)

In the European Green Deal, the Commission confirmed its commitment to implement theStrategic Action Plan on Batteries and stated that it would propose legislation to ensure asafe, circular and sustainable battery value chain for all batteries, including to supply thegrowing market of electric vehicles.

(7)

The Council in its conclusions of 4 October 2019 on ‘More circularity – Transition to asustainable society’ called, inter alia, for coherent policies supporting the development oftechnologies that improve the sustainability and circularity of batteries to accompany thetransition to electro-mobility. Furthermore, the Council called for an urgent revision of
Directive 2006/66/EC, which should include all relevant batteries and materials and whichshould consider, in particular, specific requirements for lithium and cobalt as well as amechanism allowing the adaptation of that Directive to future changes in battery
technologies.

(8)

The new Circular Economy Action Plan adopted on 11 March 20207 states that the proposal
for a new regulatory framework for batteries will consider rules on recycled content andmeasures to improve the collection and recycling rates of all batteries, in order to ensure therecovery of valuable materials and to provide guidance to consumers and will address thepossible phasing out of non-rechargeable batteries where alternatives exist. Furthermore, it
is stated that sustainability and transparency requirements will be considered, taking into
account the carbon footprint of battery manufacturing, the ethical sourcing of raw materials
and the security of supply in order to facilitate re-use, repurposing and recycling of batteries.

7

Communication from the Commission to the European Parliament, the Council, the European
Economic and Social Committee and the Committee of the Regions of 11 March 2020, A new
Circular Economy Action Plan – For a cleaner and more competitive Europe (COM(2020)98
final).

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(9)

Addressing the entire life cycle of all batteries placed on the Union market requires thesetting up of harmonised product and marketing requirements, including conformity
assessment procedures, as well as requirements to fully address the end-of-life stage ofbatteries. Requirements concerning the end-of-life stage are necessary to address theenvironmental implications of the batteries and, in particular, to support the creation ofrecycling markets for batteries and markets for secondary raw materials from batteries inorder to close the materials loops. In order to reach the envisaged objectives to address thewhole life cycle of a battery in one legal instrument while avoiding barriers to trade and a
distortion of competition and safeguarding the integrity of the internal market, the rules
setting out the requirements for batteries should be of uniform application for all operators
across the Union, and not give room for divergent implementation by Member States.
Directive 2006/66/EC should therefore be replaced by a Regulation.

(10)

This Regulation should apply to all typescategories of batteries and accumulators placed on
the market or put into service within the Union, whether on their own or incorporated into
appliances or otherwise supplied with electrical and electronic appliances, light means oftransport and vehicles. This Regulation should apply regardless of whether a battery is
specifically designed for a product or is of general use and regardless of whether it isincorporated into a product or is supplied together with or separately from a product inwhich it is to be used.

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(10a) The Regulation should prevent and reduce adverse impacts of batteries on theenvironment and ensure a safe and sustainable battery value chain for all batteries,
taking into account, for instance, the carbon footprint of battery manufacturing, ethicalsourcing of raw materials and security of supply, and facilitating reuse, repurposing andrecycling. It should seek to improve the environmental performance of batteries and of
the activities of all economic operators involved in the life cycle of batteries, e.g.
producers, distributors and end-users and, in particular, those operators directly
involved in the treatment and recycling of waste batteries. Such measures should ensuretransition to a circular economy and the long-term competitiveness of the Union andshould contribute to the efficient functioning of the internal market, while taking into
account a high level of protection of the environment. This Regulation should also
minimise the negative effects of the generation and management of batteries waste on
human health and the environment and it should aim at reducing the use of resources,
and favour the practical application of the waste hierarchy.
Thus, to prevent divergences hampering the free circulation of batteries, uniform
obligations and requirements are to be laid down throughout the internal market basedon Article 114 TFEU. To the extent that this Regulation contains specific rules on the
management of waste batteries, it is appropriate to base this Regulation, in as far as
those specific rules are concerned, on Article 192(1) TFEU.
(11)

Products placed on the market as battery packs, which are batteries or groups of cells thatare connected and/or encapsulated within an outer casing so as to form a complete unit readyfor use by end-users or in applications that the end-user is not intended to split up or open
and which conform to the definition of batteries, or battery cells that conform to thedefinition of batteries, should be subject to requirements applicable to batteries.

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(11a) Products placed on the market as battery modules, which conform to the definition ofare
groups of cells that are connected and/or encapsulated within an outer casing so as toform a complete unit ready for assembly by professional economic operators or by
end-users into a battery pack,ready for use should be subject to requirements applicable tothe battery packs.categories for which they have been designed. By extension, batteries
that can be made ready for use by the end user with commonly available tools on thebasis of a “Do It Yourself” kit, should be considered as batteries for the purpose of thisRegulation. The economic operator placing such kit on the market shall be responsible
for the purposes of this Regulation.
(12)

Within the Regulation’s wide scope, it is appropriate to distinguish between different
categories of batteries in accordance with their design and use, independent of the battery
chemistry. The classification into portable batteries, on one hand, and industrial batteries andautomotiveSLI batteries on the other hand under Directive 2006/66/EC should be further
developed to better reflect new developments in the use of batteries. Batteries that are used
for traction in electric vehicles and which under Directive 2006/66/EC fall in the category ofindustrial batteries, constitute a large and growing part of the market due to the quick growthof electric road transport vehicles. It is therefore appropriate to classify those batteries thatare used for traction in road vehicles as a new category of electric vehicle batteries andlight means of transport batteries. Batteries used for traction in other transport vehicles
including rail, waterborne and aviation transport or off-road machinery, continue to fallunder the category of industrial batteries under this Regulation. The industrial battery
typecategory encompasses a broad group of batteries, intended to be used for industrial
activities, communication infrastructure, agricultural activities, or generation anddistribution of electric energy.

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Batteries which are given industrial uses after being subject to preparing for repurpose or
repurposing, even though they were initially designed for a different use, are to be considered
as industrial batteries under this Regulation. In addition to this non exhaustive list of
examples, any battery that is neither a portable battery nor an automotive battery nor anelectric vehicle battery with a weight above 5 kg that does not fall under any other categories
under this Regulation should be considered as an industrial battery. Batteries used for energy
storage in private or domestic environments., are considered as industrial batteries for the
purposes of this Regulation.Furthermore, in order to ensure that all batteries used in lightmeans of transport, such as ebikes and scooters, are classified as portable batteries separate
category, it is necessary to clarifyinclude the definition of a new category of light means oftransport batteries and to clarify portable batteries and to introduce a weight limit for suchbatteries. To this end, batteries providing traction to wheeled vehicles considered as toys
within the meaning of the Toy Safety Directive 2009/48/EC, should not be considered as
LMT Batteries, but for the purpose of this Regulation, they should be considered as portablebatteries.

(12a) After being placed on the Union market or put into service for the first time, a battery
can be subject to re-use, repurposing, remanufacturing, preparing for re-use, or
preparing for repurpose. For the purpose of this Regulation, consistently with the Union
framework on products regulation, a used battery, meaning a battery that has been
subject to re-use, is considered to have already been placed on the market when it was
first made available for use or distribution. On the contrary, batteries subject topreparing for re-use, preparing for repurpose, repurposing, or remanufacturing, areconsidered to be placed on the market again and therefore should comply with thespecific requirements and obligations for which this Regulation provides.

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In addition, also consistently with the Union framework on products regulation, a usedbattery when imported from a third country is then considered to be placed on themarket when it enters the Union for the first time. Therefore a battery subject to re-use,
repurposing, remanufacturing, preparing for re-use, or preparing for repurpose
imported from a third country should comply with the specific requirements andobligations for which this Regulation provides.
(12b) Remanufacturing covers a wide range of technical operations that may occur onbatteries or on waste batteries. When occurring on waste batteries, remanufacturing canbe assimilated to preparing for reuse or preparing for repurpose. For this reason, it is
not necessary to provide in Chapter VII a specific regime for the remanufacturing ofwaste batteries different from the regime on preparing for reuse or preparing for
repurpose of waste batteries.
When occurring on used batteries, remanufacturing has the objective to restore theoriginal performance of a battery. In that sense remanufacturing can be seen as anextreme case of reuse entailing the disassembly and evaluation of the cells and modulesof the battery and the replacement of a certain amount of these cells and modules. In
order to differentiate remanufacturing from mere reuse, the restoration of the battery
capacity to at least 90% of the original rated battery capacity should be considered asremanufacturing and provide for the application of a specific regime.
(12c) A battery subject to preparing for re-use, preparing for repurpose, repurposing or
remanufacturing should be covered by a sales contract that complies with therequirements of Directive (EU) 2019/771. In particular, these requirements coverconformity of the product, liability of the seller (including the option of a shorter
liability or limitation period), burden of proof, remedies for lack of conformity, repair
or replacement of the goods, and commercial guarantees, among other requirements.

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(13)

Batteries should be designed and manufactured so as to optimise their performance,
durability and safety and to minimise their environmental footprint. It is appropriate to lay
down specific sustainability requirements for rechargeable, industrial batteries with acapacity above 2 kWh, except those with exclusively external storage, and electricvehicle batteries with internal storage with a capacity above 2 kWh as such batteries
represent the market segment which is expected to increase most in the coming years.

(14)

In order to ensure that obligations arising from this Regulation are carried out and to monitor
and verify compliance of producers and producer responsibility organisations with therequirements of this Regulation, it is necessary that Member States designate one or morecompetent authorities(15)

In line with the Zero Pollution Action Plan8, adopted by the Commission in 2021, EU
policies should be based on the principle that preventive action should be taken atsource. The Commission underlines in the Chemicals Strategy for Sustainability9, that
the REACH and CLP Regulations should be reinforced as EU’s cornerstones forregulating chemicals in the Union and that they should be complemented by coherent
approaches to assess and manage chemicals in existing sectorial legislation10. The use ofhazardous substances in batteries should therefore primarily be restricted at source inorder to protect human health and the environment and to manage the presence ofsuch substances in waste. This Regulation should complement the REACH and CLP
Regulations and allow the adoption of risk management measures related to substances
covering the waste phase.

8 (COM(2021) 400 final)
9 (COM(2020) 667 final)
10 Chemicals Strategy for Sustainability, 2020

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(15a) The use of hazardous substances in batteries should be restricted in order to protect humanhealth and the environment and to reduce the presence of such substances in waste. Thus, inaddition to the restrictions, set out in Annex XVII of Regulation (EC) No 1907/2006 of theEuropean Parliament and of the Council11, it is appropriate to set out restrictions for mercury
and cadmium in certain types categories of batteries. Batteries used in vehicles which
benefit from an exemption under Annex II to Directive 2000/53/EC of the European
Parliament and of the Council12 should be excluded from the prohibition to containcadmium.
(16)

In order to ensure that hazardous substances that pose an unacceptable risk to human healthor to the environment when used in batteries or present in waste batteries, can be duly
addressed, the power to adopt acts in accordance with Article 290 of the Treaty on the
Functioning of the European Union should be delegated to the Commission in respect ofamending restrictions on hazardous substances in batteries.

11

12

Regulation (EC) No 1907/2006 of the European Parliament and of the Council of
18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction ofChemicals (REACH), establishing a European Chemicals Agency, amending Directive
1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission Regulation(EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission Directives
91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC (OJ L 396, 30.12.2006, p. 1)
Directive 2000/53/EC of the European Parliament and of the Council of 18 September 2000
on end-of life vehicles (OJ L 269, 21.10.2000, p. 34).

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(17)

The assessment procedure for adopting new and amending current restrictions on hazardous
substances in batteries and waste batteries should be fully streamlined with Regulation(EC) No 1907/2006. To ensure effective decision-making, coordination and management of
the related technical, scientific and administrative aspects of this Regulation, the European
Chemicals Agency set up under Regulation (EC) No 1907/2006 (‘the Agency’) should carryout specified tasks with regard to the evaluation of risks from substances in the manufacture
and use of batteries, as well as those that may occur after their end-of-life as well as theevaluation of the socio-economic elements and the analysis of alternatives, in accordancewith relevant guidance by the Agency. Consequently, the Committees for Risk Assessment
and Socio-economic Analysis of the Agency should facilitate the carrying out of certain
tasks conferred on the Agency by this Regulation.

(17a) In the new Circular Economy Action Plan, the Commission has committed to consider
establising sustainability principles. Furthermore, in the Chemical Strategy for
Sustainability (COM(2020) 667 final), the Commission confirmed its commitment todevelop safe and sustainable-by-design criteria for chemical substances and assess how
to best introduce information requirements under Regulation (EC) No 1907/2006 on theoverall environmental footprint of chemicals, including on emissions of greenhousegases. When finalised, the Commission should use these principles, criteria andconsiderations for evaluating the impact of chemical substances in batteries onsustainability. If necessary, the Commission should adjust the criteria to fit theevaluation of the impact of chemical substances in batteries on sustainability. The
evaluation should consider impact in all life cycle stages, and should identify the mostappropriate procedure to restrict chemicals substances based on sustainability.

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Where appropriate, the Commission should propose amending this Regulation in order
to introduce a provision allowing amendment of Annex I when there is a unacceptable
impact on sustainability arising from the use of a substance in the manufacture ofbatteries, or from a substance present in batteries when they areused and reused, or
during their subsequent waste phase, that needs to be addressed on a Union wide basis,and the related criteria on the basis on which to do this assessment.
(17b) In order to promote a sustainable European economic model, the Commission should,
where appropriate, propose amendments to this Regulation to the provisions regulating
the restrictions on substances in batteries and waste batteries, including the introductionof an export ban on batteries not compliant with such restrictions.
(17c) The use of hazardous substances in batteries should be restricted in order to protect
human health and the environment during the whole life-cycle of batteries and to
manage the presence of such substances in waste. Taking into account the specificnature of batteries and waste batteries as well as the fast growing innovation andproduct development in this area, prioritisation and diligent examination of restriction
dossiers are key to ensure the protection of health and environment as well as providing
transparency for economic operators. While relying on Regulation (EC) No 1907/2006 toensure the restriction of substances in batteries would have been a possible approach,the need to take account of the specific nature of waste batteries, resulted in the choice ofa dedicated procedure for restrictions on substances in batteries, at all stages of their life
cycle, in this Regulation. This choice is without prejudice to the approach that may be
decided upon in respect of other product legislations. In addition, the Commission is
expected to propose a revision of Regulation (EC) No 1907/2006 during the current
legislative term. In this context, it will be necessary to assess whether or not theapproach in this Regulation should be maintained, on the basis of a specific evaluationby the Commission to be included in its report on the application of this Regulation.

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EN(18) The expected massive deployment of batteries in sectors like mobility and energy storage
should reduce carbons emissions, but to maximise this potential it is necessary that theiroverall life cycle has a low carbon footprint. According to the Product Environmental
Footprint Category Rules for High Specific Energy Rechargeable Batteries for Mobile
Applications13, climate change is the second highest related impact category for batteries after
the use of minerals and metals. The technical documentation for rechargeable industrial
batteries with a capacity above 2 kWh, except those with exclusively external storage, andelectric vehicle batteries with internal storage and a capacity above 2 kWh placed on theUnion market should therefore be accompanied by a carbon footprint declaration, whichshould be specific, if necessary, per manufacturing batch. Batteries are manufactured inbatches, made in specific amounts within certain timeframes. Harmonising the technical rules
for calculating the carbon footprint for all rechargeable, industrial batteries with a capacity
above 2 kWh, except those with exclusively external storage, and electric vehicle batteries
with internal storage with a capacity above 2 kWh including for batteries that are notproduced in series placed on the Union market is a prerequisite for introducing a requirement
for the technical documentation of the batteries to include a carbon footprint declaration andsubsequently establishing carbon footprint performance classes that will allow identifying thebatteries with overall lower carbon footprints. Information and clear labelling requirements on
batteries’ carbon footprint is not expected in itself to lead to the behavioural change necessary
to ensure that the Union’s objective to decarbonise the mobility and energy storage sectors isachieved, in line with the internationally agreed objectives on climate change14. Therefore,
maximum carbon thresholds will be introduced, further to a dedicated impact assessment todetermine those values.

13

14

Product Environmental Footprint - Category Rules for High Specific Energy Rechargeable
Batteries for Mobile Applications
https://ec.europa.eu/environment/eussd/smgp/pdf/PEFCR_Batteries.pdf
Paris agreement (OJ L 282, 19.10.2016, p. 4) and the United Nations Framework Convention
on Climate Change, available at https://unfccc.int/resource/docs/convkp/conveng.pdf

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In proposing the level of the maximum carbon footprint threshold, the Commission will, interalia, take into account the relative distribution of the carbon footprint values in batteries on
the market, the extent of progress in the reduction of carbon footprint of batteries placed on
the Union market and the effective and potential contribution of this measure to the Union’s
objectives on sustainable mobility and climate neutrality by 2050. In order to bring abouttransparency on the batteries’ carbon footprint , and shift the Union market towards lower
carbon batteries, regardless of where they are produced, a gradual and cumulative increase in
the carbon footprint requirements is justified. As a result of these requirements, the avoided
carbon emissions in batteries’ life cycle, will contribute to the Union’s objective of reachingclimate neutrality by 2050. This may also enable other policies at Union and national level,such as incentives or green public procurement criteria, fostering the production of batteries
with lower environmental impacts.

(19) Certain substances contained in batteries, such as cobalt, lead, lithium or nickel, are acquired
from scarce resources which are not easily available in the Union, and some are considered
critical raw materials by the Commission. This is an area where Europe needs to enhance its
strategic autonomy and increase its resilience in preparation for potential disruptions in supply
due to health or other crises. Enhancing circularity and resource efficiency with increased
recycling and recovery of those raw materials, will contribute to reaching that goal.

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(20) The increased use of recovered materials would support the development of the circular
economy and allow a more resource-efficient use of materials, while reducing Union
dependency on materials from third countries. For batteries, this is particularly relevant forcobalt, lead, lithium and nickel. Therefore, it is necessary to promote the recovery of suchmaterials from waste, establishing a requirement on the level of recycled content in batteries
using cobalt, lead, lithium and nickel in active materials. This Regulation sets mandatory
recycled content targets for cobalt, lead, lithium and nickel and which should be met by 2030.
For cobalt, lithium and nickel increased targets are established by 2035. All targets, shouldtake into account the availability of waste, from which such materials can be recovered, thetechnical feasibility of the involved recovery and manufacture processes as well as the timeneeded by the economic operators to adapt their supply and manufacturing processes.
Therefore, before such mandatory targets become applicable, the requirement related torecycled content should be limited to disclosure of information on recycled content.
(21) In order to take into account the risk of supply of cobalt, lead, lithium and nickel and to assess
their availability, the power to adopt acts in accordance with Article 290 of the Treaty on the
Functioning of the European Union should be delegated to the Commission in respect ofamending the targets for the minimum share of recycled cobalt, lead, lithium or nickel present
in active materials in batteries.
(22)

In order to ensure uniform conditions for the implementation of the rules on calculating andverifying, per battery model and batch per manufacturing plant, the amount share of cobalt,
lead, lithium or nickel recovered from waste present in active materials in batteries and theinformation requirements for technical documentation, implementing delegated powers
should be conferred on the Commission.

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(23)

Batteries placed on the Union market should be durable and highly performant. It istherefore necessary to set out performance and durability parameters for portable batteries ofgeneral use as well as for rechargeable industrial batteries and electric vehicle batteries. For
electric vehicle batteries, the informal UNECE Working Group on Electric Vehicles and theEnvironment is developing in-vehicle durability requirements, so this Regulation isrefraining from setting additional durability requirements. On the other hand, in the area ofbatteries for energy storage, existing measurement methods to test battery performance anddurability are not considered sufficiently precise and representative to enable introducing
minimum requirements. The introduction of minimum requirements related to performanceand durability of these batteries should be accompanied by available adequate harmonised
standards or common specifications.

(24)

In order to reduce the life cycle environmental impact batteries, the power to adopt acts inaccordance with Article 290 of the Treaty on the Functioning of the European Union should
be delegated to the Commission in respect of amending the performance and durability
parameters and establishing minimum values for those parameters for portable batteries ofgeneral use and for rechargeable industrial batteries and electric vehicle batteries. The acts
adopted in this context should also establish how those minimum values will apply tobatteries that have been subject to remanufacturing.

(25)

Some non-rechargeable batteries of general use may imply an inefficient use of resourcesand energy. Objective requirements regarding the performance and durability of suchbatteries should be established in order to ensure that fewer low performing nonrechargeable portable batteries of general use are placed on the market, in particular, where,
based on a life cycle assessment, the alternative use of rechargeable batteries would result inoverall environmental benefits.

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(26)

In order to ensure that portable batteries incorporated into appliances are subject to proper
separate collection, treatment and high quality recycling once they have become waste,provisions to ensure their removability and replaceability in such appliances are necessary.
Used The possibility to substitute used or defective batteries should also be replaceable so
as to prolong the expected lifetime will improve the reparability, durability and re-use of
the appliances they are part of, and increase the potential of proper recycling ofbatteries. Where portable batteries are to be removed or replaced in an appliance, thisshould be done while securing consumer safety, in line with EU safety standards andlegislation. The general provisions of this Regulation may be complemented withrequirements set up for particular products powered by batteries under implementing
measures under Directive 2009/125/EC of the European Parliament and of the Council15.
Where other Union legislation lays down more specific requirements, for safety reasons,regarding the removal of batteries from products (e.g. toys), those specific rules should
apply.

(27)

Reliable batteries are fundamental for the operation and safety of many products, appliancesand services. Therefore, batteries should be designed and manufactured to ensure their safe
operation and use. This aspect is particularly relevant for stationary battery energy storage
systems system batteries, which are currently not covered by other Union legislation.
Parameters to be considered in safety tests should therefore be laid down for those energy
storage systems.

15

Directive 2009/125/EC of the European Parliament and of the Council of 21 October 2009
establishing a framework for the setting of ecodesign requirements for energy-related
products (OJ L 285, 31.10.2009, p. 10).

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(28)

In order to provide end -users with transparent, reliable and clear information about batteries
and their main characteristics, and waste batteries, to enable the end -users to make informed
decisions when buying and discarding batteries and to enable waste operators toappropriately treat waste batteries, batteries should be labelled. Batteries should be labelledwith all the necessary information concerning their main characteristics, including theircapacity and content of certain hazardous substances. To ensure the availability of
information over time, that information should also be made available by means of QR
codes.

(29)

Information about the performance of batteries is essential to ensure that end-users as
consumers are well and timely informed and in particular that they have a common basis tocompare different batteries before making their purchase. Therefore, portable batteries ofgeneral use and automotive batteries should be marked with a label containing theinformation on their minimum average duration when used in specific applications.
Additionally, it is important to guide the end-user to discard waste batteries in an appropriate
way.

(30)

Rechargeable For light means of transport batteries, industrial batteries and electricvehicle batteries with internal storage with a capacity above 2 kWh, except those with
exclusively external storage, and electric-vehicle batteries using should contain a battery
management system (BMS), that BMS should stores data so that the state of health andexpected lifetime of batteries may be determined at any time by the end-user or any otherthird party acting on his behalf.

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In order to repurpose or remanufacture a battery, access to the battery management systemshould be provided to the person that has purchased the battery or any third party acting on its
behalf at any time for evaluating the residual value of the battery, facilitating the re-use, or
repurposing or remanufacturing of the battery and for making the battery available toindependent aggregators, as defined in Directive (EU) 201/944 of the European Parliamentand of the Council16, which operate virtual power plants in electricity grids. This requirement
should apply in addition to Union law on type of approval of vehicles, including technicalspecifications that may originate from the work of the informal UNECE Working Group on
Electric Vehicles and the Environment on data access in electric vehicles.
(31)

A number of product-specific requirements under this Regulation, including on
performance, durability, repurposing and safety, should be measured by using reliable,
accurate and reproducible methods that take into account the generally recognised state-ofthe-art measurements and calculation methodologies. In order to ensure that there are no
barriers to trade on the internal market, standards should be harmonised at Union level. Suchmethods and standards should, to the extent possible, take into account the real-life usage ofbatteries, reflect the average range of consumer behaviour and be robust in order to deter
intentional and unintentional circumvention. Once a reference to such a standard has been
adopted in accordance with Regulation (EU) No 1025/2012 of the European Parliament andof the Council17 and published in the Official Journal of the European Union, presumptionof conformity shall be established with those product-specific requirements adopted on thebasis of this Regulation, provided that the outcome of such methods demonstrate that theminimum values established for those substantive requirements are attained.

16

17

Directive (EU) 2019/944 of the European Parliament and of the Council of 5 June 2019 oncommon rules for the internal market for electricity and amending Directive 2012/27/EU (OJ
L 158, 14.6.2019, p. 125)
Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October
2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC
and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC,
2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing
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In the absence of published standards at the time of the application of product-specificrequirements, the Commission should adopt common specifications through implementing
acts and the compliance with such specifications should also give rise to the presumption ofconformity. In cases where the common specifications are, at a later stage, found to haveshortcomings, the Commission should by implementing act amend or repeal the common
specifications in question. Any common specifications should be repealed at the moment
when reference numbers of harmonised standards are being published in the Official
Journal, with a reasonable period in order to allow manufacturers to take into accountthe changes.
(32)

To ensure effective access to information for market surveillance purposes, to adapt to newtechnologies and to ensure resilience in case of global crises, such as the Covid-19
pandemic, it should be possible to give information regarding conformity with all Union acts
applicable to batteries online in the form of a single EU declaration of conformity.

(33)

Regulation (EC) No 765/2008 of the European Parliament and of the Council18 lays down
rules on the accreditation of conformity assessment bodies, provides a framework for themarket surveillance of products and for controls on products from third countries, and lays
down the general principles of the CE marking. That Regulation should be applicable tobatteries covered by this Regulation in order to ensure that products benefiting from the freemovement of goods within the Union fulfil requirements providing a high level of protectionof public interests such as human health, safety and the environment.

18

Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008
setting out the requirements for accreditation and market surveillance relating to themarketing of products and repealing Regulation (EEC) No 339/93 (OJ L 218, 13.8.2008, p.
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(34)

In order to enable economic operators to demonstrate and the competent authorities to verify
that batteries made available on the market comply with the requirements of this Regulation,
it is necessary to provide for conformity assessment procedures. Decision No 768/2008/EC
of the European Parliament and of the Council19 establishes modules for conformity
assessment procedures, ranging from the least stringent to the most stringent depending on
the level of risk involved and the level of safety required. According to Article 4 of that
Decision, where conformity assessment is required, the procedures to be used for thatassessment are to be chosen from among those modules.

(35)

The chosen modules do not however reflect certain specific aspects of batteries and thus, itis necessary to adapt the modules chosen for the conformity assessment procedure. In orderto take account of the novelty and complexity of the sustainability, safety and labelling
requirements set out in this Regulation and for the purpose of ensuring the conformity ofbatteries placed on the market with the legal requirements, the power to adopt acts inaccordance with Article 290 of the Treaty on the Functioning of the European Union should
be delegated to the Commission in respect of amending the conformity assessment
procedures by adding verifications steps or changing assessment module, on the basis ofdevelopments on the battery market or in the battery value chain.

(36)

The CE marking on a battery indicates the conformity of that battery with this Regulation.
General principles governing the CE marking and its relationship to other markings are set
out in Regulation (EC) No 765/2008. Those principles should apply to the CE marking on
batteries. In order to ensure that the battery is stored, used and discarded in a manner whichis safe from the point of view of protecting human health and the environment, specific rules
governing the affixing of the CE marking in the case of batteries should be laid down.

19

Decision No 768/2008/EC of the European Parliament and of the Council of 9 July 2008 on acommon framework for the marketing of products, and repealing Council Decision
93/465/EEC, OJ L 218, 13.8.2008, p. 82

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(37)

The conformity assessment procedures set out in this Regulation require the intervention ofconformity assessment bodies. In order to ensure a uniform implementation of theprovisions in this Regulation, those bodies should be notified by the Member Stateauthorities to the Commission.

(38)

Due to the novelty and complexity of the sustainability, safety and labelling requirements
for batteries and in order to ensure a consistent level of quality in the performance ofconformity assessment of batteries, it is necessary to set requirements for notifying
authorities involved in the assessment, notification and monitoring of notified bodies. In
particular, it should be ensured that the notifying authority is objective and impartial withregard to its activity. Furthermore, notifying authorities should be required to safeguard theconfidentiality of the information it obtains but should nonetheless be able to exchange
information on notified bodies with national authorities, the notifying authorities of otherMember States and the Commission to ensure consistency in the conformity assessment.

(39)

It is essential that all notified bodies perform their functions to the same level and underconditions of fair competition and autonomy. Therefore, requirements for conformity
assessment bodies wishing to be notified in order to provide conformity assessment
activities should be set. Those requirements should continue to apply as a prerequisite forthe maintenance of the competence of the notified body. To ensure its autonomy, thenotified body and the staff it employs should be required to maintain independence from
economic operators in the battery value chain and from other companies, including businessassociations and parent companies and subsidiaries. The notified body should be required to
document its independence and provide that documentation to the notifying authority.

(40)

If a conformity assessment body demonstrates conformity with the criteria laid down inharmonised standards it should be presumed to comply with the corresponding requirements
set out in this Regulation.

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(41)

Conformity assessment bodies frequently subcontract parts of their activities linked to theassessment of conformity or have recourse to a subsidiary. Certain activities and decisionmaking processes, both regarding the conformity assessment of batteries and other activities
internal to the notified body, should however exclusively be carried out by the individual
notified body itself, in order to ensure its independence and autonomy. Furthermore, in orderto safeguard the level of protection required for batteries to be placed on the Union market,
conformity assessment subcontractors and subsidiaries should fulfil the same requirements
as notified bodies in relation to the performance of conformity assessment tasks under thisRegulation.

(42)

Since the services offered by notified bodies in a Member State might relate to batteries
made available on the market throughout the Union, it is appropriate to give the otherMember States and the Commission the opportunity to raise objections concerning a notified
body. In order to ensure uniform conditions for the implementation of this Regulation,
implementing powers should be conferred on the Commission in order to request the
notifying authority to take corrective action in case a notified body does not meet or nolonger meets the requirements of this Regulation.

(43)

In the interests of facilitating and accelerating the conformity assessment procedure, thecertification and ultimately the market access and in view of the novelty and complexity ofthe sustainability, safety and labelling requirements for batteries, it is crucial that notified
bodies have continuous access to all testing equipment and testing facilities needed and thatthey apply the procedures without creating unnecessary burdens for economic operators. For
the same reason, and to ensure equal treatment of economic operators, it is necessary that the
notified bodies apply the conformity assessment procedures consistently.

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(44)

Prior to taking a final decision on whether the battery can be granted a conformity
certificate, the economic operator that wishes to place a battery on the market should beallowed to complement once the documentation on the battery.

(45)

The Commission should enable appropriate coordination and cooperation between notified
bodies.

(46)

It is appropriate to lay the obligations linked to the placing on the market or putting into
service of a battery on the economic operators, which include the manufacturer, theauthorised representative, the importer, the distributor, the fulfilment service providers, or
any other legal person who takes on the legal responsibility in relation to the manufacture ofbatteries, making them available or placing them on the market or putting them into service,including batteries that have been subject of preparing for re-use, preparing for
repurpose or repurposing, or remanufacturing. It is appropriate to ensure that
requirements for a battery, which is put into service without being placed on themarket beforehand, are the same as for batteries placed on the market.

(47)

Economic operators should be responsible for the compliance of batteries with therequirements of this Regulation, in relation to their respective roles in the supply chain, so as
to ensure a high level of protection of public interests, such as human health, safety andprotection of property and the environment.

(48)

All economic operators intervening in the supply and distribution chain should takeappropriate measures to ensure that they only make available on the market batteries which
are in conformity with this Regulation. It is necessary to provide for a clear andproportionate distribution of obligations which correspond to the role of each economic
operator in the supply and distribution chain.

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(49)

The manufacturer, having detailed knowledge of the design and production process, is bestplaced to carry out the conformity assessment procedure. Conformity assessment should
therefore remain solely the obligation of the manufacturer.

(50)

The manufacturer should provide sufficiently detailed information on the intended use of thebattery so as to allow its correct and safe placing on the market, putting into service, use andend-of-life waste management, including possible repurposing.

(51)

In order to facilitate communication between economic operators, market surveillanceauthorities and consumers, economic operators should, as part of their contact details,
indicate a website address in addition to the postal address.

(51a) A fairer single market should ensure equal conditions for competition to all economic
operators and protection against unfair competition. To this end, strengthened
enforcement of Union harmonisation legislation on batteries is necessary. Good
cooperation between economic operators and the market surveillance authorities is a
key element, allowing immediate intervention and corrective action in relation tobatteries. It is important that there should be an economic operator established in theUnion so that market surveillance authorities have someone to whom requests can beaddressed, including requests for information regarding a battery’s compliance with
Union harmonisation legislation, and who can cooperate with market surveillanceauthorities in making sure that immediate corrective action is taken to remedy instancesof non-compliance. The economic operators who should perform those tasks are the
manufacturer, or the importer when the manufacturer is not established in the Union,or an authorised representative mandated by the manufacturer for this purpose, or afulfilment service provider established in the Union for batteries handled by it when noother economic operator is established in the Union.

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(52)

It is necessary to ensure that batteries from third countries entering the Union market
comply with the requirements of this Regulation, whether imported as self-standing batteries
or contained in products, and in particular that appropriate conformity assessment
procedures have been carried out by manufacturers with regard to those batteries. Provision
should therefore be made for importers to make sure that the batteries they place on themarket and put into service comply with the requirements of this Regulation and that the CE
marking on batteries and documentation drawn up by manufacturers are available forinspection by the national authorities, whether imported as new or used batteries orbatteries that have been subject to preparing for reuse, preparing for repurpose, or
repurposing or remanufacturing.

(53)

When placing a battery on the market or putting it into service, every importer should
indicate on the battery the importer’s name, registered trade name or registered trade markas well as the postal address. Exceptions should be provided for in cases where the size ofthe battery does not allow it. This includes cases where the importer would have to open the
packaging to put the name and address on the battery or where the battery is too small insize to affix this information..

(54)

As the distributor makes a battery available on the market after it has been placed on themarket or put into service by the manufacturer or the importer, the distributor should act
with due care to ensure that its handling of the battery does not adversely affect its
compliance with the requirements of this Regulation.

(55)

Any importer or distributor that either places a battery on the market or puts it into service
under the importer’s or distributor’s own name or trademark or modifies a battery in such a
way that compliance with the requirements of this Regulation may be affected or modifies
the purpose of a battery that is already place on the market should be considered to be the
manufacturer and should assume the obligations of the manufacturer.

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(56)

Distributors and importers, being close to the market place, should be involved in market
surveillance tasks carried out by the national authorities, and should be prepared toparticipate actively, providing those authorities with all necessary information relating to thebattery concerned.

(57)

Ensuring traceability of a battery throughout the whole supply chain helps to make market
surveillance simpler and more efficient. An efficient traceability system facilitates themarket surveillance authorities' task of tracing economic operators who placed on the market
or made available on the market or put into service non-compliant batteries. The economic
operators should therefore be required to keep the information on their transactions ofbatteries for a certain period of time.

(58)

The extraction, processing and trading of natural mineral resources is fundamental inproviding the necessary raw materials for the production of batteries. Battery manufacturers,
regardless of their position or leverage over suppliers and of their geographical location, are
not insulated from the risk of contributing to adverse impacts in the mineral supply chain.
For some raw materials, over half of global production is for use in battery applications. For
example, over 50% of the global demand for cobalt and over 60% of the world's lithium isused for battery production. About 8% of global natural graphite production and 6% of
global nickel production goes into battery manufacturing.

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(59)

Only few countries supply those materials and, in some cases, low standards of governancemay exacerbate environmental and social problems. Both cobalt and nickel mining andrefining are related to a large range of social and environmental issues, including
environmental hazard potential and human health. While the social and environmental
impacts for natural graphite are less severe, its mining has high shares of artisanal and small
scale operations, which mostly takes place in informal settings and can lead to serious healthand environmental impacts, including no regular mine closure and no rehabilitation, which
results in the destruction of ecosystems and soils. For lithium, the expected increase in its
use in battery manufacturing is likely to put additional pressure on extraction and refining
operations, what would recommend including lithium in the scope of the supply chain due
diligence obligations. The expected massive increase in demand for batteries in the Union
should not contribute to an increase of such environmental and social risks.

(60)

Some of the raw materials in question, such as cobalt, lithium and natural graphite, areconsidered as critical raw materials for the EU20 and their sustainable sourcing is required
for the EU battery ecosystem to perform adequately.

20

Communication from the Commission to the European Parliament, the Council, the European
Economic and Social Committee and the Committee of the Regions: Critical Raw Materials
Resilience: Charting a Path towards greater Security and Sustainability (COM(2020) 474
final).

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(61)

A number of voluntary efforts from actors in the battery supply chain are already in place inorder to encourage adherence to sustainable sourcing practices, including the Initiative for
Responsible Mining Assurance (IRMA), the Responsible Minerals Initiative (RMI) and the
Cobalt Industry Responsible Assessment Framework (CIRAF). However, voluntary efforts
to set up due diligence schemes may not ensure that all economic operators placing batteries
in the Union market abide by the same set of minimum rules.

(62)

In the Union, general requirements on due diligence in relation to certain minerals andmetals were introduced by Regulation (EU) No 2017/821 of the European Parliament and of
the Council21. That Regulation does not, however, address the minerals and materials used
for battery production.

(63)

Therefore, in view of the expected exponential growth in battery demand in the EU, theeconomic operator that places a battery on the EU market should set up a supply chain due
diligence policy. The requirements therefore should be laid down, with the objective toaddress the social and environmental risks inherent in the extraction, processing and tradingof certain raw materials for battery manufacturing purposes.

21

Regulation (EU) 2017/821 of the European Parliament and of the Council of 17 May 2017
laying down supply chain due diligence obligations for Union importers of tin, tantalum andtungsten, their ores, and gold originating from conflict-affected and high-risk areas (OJ L 130,19.5.2017, p. 1)

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(64)

When putting in place a risk-based due diligence policy, it should be based oninternationally recognised due diligence principles in the Ten Principles of the United
Nations Global Compact22, the Guidelines for Social Life Cycle Assessment of Products23,
the ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social
Policy24, and the OECD Due Diligence Guidance for Responsible Business Conduct(RBC)25, which reflect a common understanding amongst governments and stakeholders,and should be tailored to the specific context and circumstances of each economic operator.
In relation to the extraction, processing and trading of natural mineral resources used forbattery production, the OECD Due Diligence Guidance for Responsible Supply Chains ofMinerals from Conflict-Affected and High-Risk Areas 26(‘OECD Due Diligence Guidance’)
represents a long-standing effort by governments and stakeholders to establish good practicein this area.

22
23

24

25

26

The Ten Principles of the UN Global Compact, available athttps://www.unglobalcompact.org/what-is-gc/mission/principles
UNEP Guidelines for social life cycle assessment of products, available athttps://www.lifecycleinitiative.org/wp-content/uploads/2012/12/2009%20%20Guidelines%20for%20sLCA%20-%20EN.pdf
Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy,
available at https://www.ilo.org/wcmsp5/groups/public/---ed_emp/---emp_ent/--multi/documents/publication/wcms_094386.pdf
OECD (2018), OECD Due Diligence Guidance for Responsible Business Conduct, available
at http://mneguidelines.oecd.org/OECD-Due-Diligence-Guidance-for-Responsible-BusinessConduct.pdf
OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains of Minerals
from Conflict-Affected and High-Risk Areas: Third Edition, OECD Publishing, Paris,
https://doi.org/10.1787/9789264252479-en.

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(65)

According to the OECD Due Diligence Guidance27, due diligence is an on-going, proactive
and reactive process through which companies can ensure that they respect human rights anddo not contribute to conflict.28. Risk-based due diligence refers to the steps companies
should take to identify and address actual or potential risks in order to prevent or mitigate
adverse impacts associated with their activities or sourcing decisions A company can assess
risk posed by its activities and relationships and adopt risks mitigating measures in line with
relevant standards provided under national and international law, recommendations on
responsible business conduct by international organisations, government-backed tools,
private sector voluntary initiatives and a company's internal policies and systems. Thisapproach also helps to scale the due diligence exercise to the size of the company's activities
or supply chain relationships.

(66)

Mandatory supply chain due diligence policies should be adopted or modified and address,
at least, the most prevalent social and environmental risk categories. This should cover thecurrent and foreseeable impacts, on one hand, on social life, in particular human rights,
human health and safety as well as occupational health and safety and labour rights, and, on
the other hand, on the environment, in particular on water use, soil protection, air pollution
and biodiversity, including community life.

27
28

Page 15 of the OECD Due Diligence Guidance.
OECD (2011), OECD Guidelines for Multinational Enterprises, OECD, Paris; OECD (2006),
OECD Risk Awareness Tool for Multinational Enterprises in Weak Governance Zones,
OECD, Paris; and, Guiding Principles on Business and Human Rights: Implementing theUnited Nations “Protect, Respect and Remedy” Framework (Report of the Special
Represantative of the Secretary-General on the Issue of Human Rights and Transnational
Corporations and other Business Enterprises, John Ruggie, A/HRC/17/31, 21 March 2011).

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(67)

As regards the social risk categories, due diligence policies should address the risks in thebattery supply chain in relation to the protection of human rights, including human health,protection of children and gender equality, in line with international human rights law29. The
due diligence policies should include information on how the economic operator has
contributed to the prevention of human rights abuses and on the instruments in place withthe operator’s business structure to fight corruption and bribery. The due diligence policies
should also ensure correct implementation of the rules of fundamental conventions of theInternational Labour Organisation30 as listed in Annex I of the ILO Tripartite Declaration.

(68)

As regards the environmental risk categories, the due diligence policies should address therisks in the battery supply chain in relation to protection of the natural environment and of
the biological diversity in line with the Convention on Biological Diversity31, which
includes also the consideration of local communities, and the protection and thedevelopment of those communities.

29

30

31

Including The Universal Declaration of Human Rights, The International Covenant on
Economic, Social and Cultural Rights, The International Covenant on Civil and Political
Rights, the Convention on the Elimination of All Forms of Discrimination against Women,
the Convention on the Rights of the Child and the Convention on the Rights of Persons with
Disabilities.
The eight fundamental Conventions are 1. Freedom of Association and Protection of the Rightto Organise Convention, 1948 (No. 87), 2. Right to Organise and Collective Bargaining
Convention, 1949 (No. 98), 3. Forced Labour Convention, 1930 (No. 29) (and its 2014
Protocol ), 4. Abolition of Forced Labour Convention, 1957 (No. 105), 5. Minimum Age
Convention, 1973 (No. 138), 6. Worst Forms of Child Labour Convention, 1999 (No. 182), 7.
Equal Remuneration Convention, 1951 (No. 100), 8. Discrimination (Employment andOccupation) Convention, 1958 (No. 111)
Such as set out in the Convention on biological diversity, available athttps://www.cbd.int/convention/text/ and, in particular, Decision COP VIII/28 “Voluntary
guidelines on Biodiversity-Inclusive impact assessment, available athttps://www.cbd.int/decision/cop/?id=11042 .

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(69)

The supply chain due diligence obligations on the identification and mitigation of social andenvironmental risks associated with raw materials going into battery manufacturing should
contribute to the implementation of UNEP Resolution 19 on Mineral Resource Governance,
which recognizes the important contribution of the mining sector towards the achievementof the 2030 Agenda and the Sustainable Development Goals.

(70)

Other EU legislative instruments that lay down requirements regarding supply chain due
diligence should apply in so far as there are no specific provisions with the same objective,
nature and effect in this Regulation which may be adapted in the light of future legislative
amendments.

(71)

In order to adapt to developments in the battery value chain, including to changes in thescope and nature of the relevant environmental and social risks, as well as to technical andscientific progress in batteries and battery chemistries, the power to adopt acts in accordancewith Article 290 of the Treaty on the Functioning of the European Union should bedelegated to the Commission in respect of amending the list of raw materials and risk
categories and the supply chain due diligence requirements.

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(72)

Harmonised rules for waste management are necessary to ensure that producers and othereconomic operators are subject to the same rules across the Member States in theimplementation of the extended producer responsibility for batteries. Maximising separate
collection of waste batteries and ensuring that all batteries collected are recycled throughprocesses that reach common minimum recycling efficiencies is necessary to attain a highlevel of material recovery. The evaluation of the Directive 2006/66/EC found that one of its
shortcomings is lack of detail in its provisions, leading to uneven implementation andcreating significant barriers to the functioning of recycling markets and suboptimal levels ofrecycling. Consequently, more detailed and harmonised rules should avoid distortion of themarket for the collection, treatment and recycling of waste batteries, ensure even
implementation of the requirements across the Union, further harmonisation of the quality of
waste management services provided by economic operators and facilitate the markets ofsecondary raw materials.

(72a) In order to ensure that obligations arising from this Regulation are carried out and tomonitor and verify compliance of producers and producer responsibility organisations
with the requirements of this Regulation, it is necessary that Member States designate
one or more competent authorities.

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(73)

This Regulation builds on the waste management rules and general principles laid down in
Directive 2008/98/EC of the European Parliament and of the Council32, which should be
adapted to reflect the specific situation of batteries. For the collection of waste batteries tobe organised in the most effective way, it is important that this is done in close connection to
the place where the batteries are sold in a Member State, and close to the end -user. Also,
waste batteries may be collected both together with waste electrical and electronicequipment and with end-of-life vehicles, by way of national collection schemes set up on thebasis of Directive 2012/19/EU of the European Parliament and of the Council33, and of
Directive 2000/53/EC. While the current Regulation sets up specific rules for batteries there
is a need for a coherent and complementary approach, building upon and further
harmonising existing waste management structures. Consequently, and in order toeffectively realise extended producer responsibility related to the waste management,
obligations should be laid down with respect to the Member State where batteries are madeavailable on the market for the first time.

(74)

In order to monitor that producers meet their obligations to ensure the waste treatment ofbatteries made available on the market for the first time within the territory of a Member
State, it is necessary that a register is established in and managed by the competent authority
in each Member State. That register may be the same as the national register set up
pursuant to Directive 2006/66/EC. Producers should be obliged to register, in order toprovide the necessary information to allow the competent authorities to monitor that the
producers comply with their obligations. Registration requirements should be simplified
across the Union.

32
33

Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008
on waste and repealing certain Directives (OJ L 312, 22.11.2008, p. 3).
Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste
electrical and electronic equipment (WEEE) (OJ L 197, 24.7.2012, p.38).

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(74a) In order to ensure uniform conditions across the Union for the application for registrationand the information to be provided, by means of a harmonised format, implementing powers
should be conferred on the Commissioncase of state run producer responsibility
organisations, where there is no represented producer’s mandate, the requirements
provided in the Regulation concerning such mandate do not apply.
(75)

In view of the polluter pays principle, it is appropriate to lay the obligations for the end-oflife management of batteries on producers which should include any manufacturer, importer
or distributor who, irrespective of the selling technique used, including by means of distancecontracts as defined in Article 2(7) of Directive 2011/83/EU of the European Parliament andof the Council34, supplies a battery for the first time for distribution or use, including whenincorporated into appliances, light means of transport or vehicles, within the territory of a
Member State on a professional basis.

34

Directive 2011/83/EU of the European Parliament and of the Council of 25 October 2011 on
consumer rights, amending Council Directive 93/13/EEC and Directive 1999/44/EC of theEuropean Parliament and of the Council and repealing Council Directive 85/577/EEC and
Directive 97/7/EC of the European Parliament and of the Council (OJ L 304, 22.11.2011, p.
64).

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(76)

Producers should have extended producer responsibility for the management of theirbatteries at the end-of-life stage. Accordingly, they should finance the costs of collecting,treating and recycling all collected batteries, for reporting on batteries and waste batteries
and for the provision of information to end-users and waste operators about batteries andappropriate re-use and management of waste batteries. The obligations related to extended
producer responsibility should apply to all forms of supply, including distance selling.
Producers should be able to exercise those obligations collectively, by means of producer
responsibility organisations taking up the responsibility on their behalf. Producers or
producer responsibility organisations should be subject to authorisation and they should
document that they have the financial means to cover the costs entailed by the extended
producer responsibility. Member States when laying down administrative andprocedural rules of authorisation of producers for individual and producer
responsibility organisations for collective compliance could differentiate processes forindividual producers and producer responsibility organisation to limit theadministrative burden on individual producers. In this context permits issued inaccordance with Directive 2008/98/EC may be considered as an authorisation for in the
purpose of this Regulation. Where necessary to avoid distortion of the internal market andto ensure uniform conditions for the modulation of the financial contributions paid to
producer responsibility organisations by producers, implementing powers should beconferred on the Commission.

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(77)

This Regulation should regulate the extended producer responsibility for batteries
exhaustively and therefore the rules laid down on extended producer responsibility schemes
in Directive 2008/98/EC should not apply to batteries. 76a)

Extended producer

responsibility should apply to economic operators placing on the market a battery that
results from preparing for reuse, preparing for repurpose, repurposing or
remanufacturing operations. Therefore, the economic operator that placed the original
battery on the market should not bear additional costs that may result from the waste
management arising from the subsequent life of this battery. The economic operators
subject to extended producer responsibility may establish a cost sharing mechanism
based on the actual attribution of the waste management costs.
(77) This Regulation is a lex specialis in relation to Directive 2008/98/EC for these following
extended producer responsibility minimum requirements: collection and recycling
targets, distributor take-back, second life. The Member state have to define theparameters for extended producer responsibility provided by this Regulation, in
accordance with the provisions of Directive 2008/98/EC and consistently with national
law transposing that Directive.
In addition, where this Regulation does not provide for full harmonisation in chapter
VII, Member State may provide for additional measures on these specific topics inaccordance with the provisions of Directive 2008/98/EC and consistently with national
law transposing that Directive. These additional rules should be consistent with the rulesin the Regulation, but may further regulate the non-harmonised topics covered by theRegulation.

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(78)

In order to ensure high quality recycling in the batteries supply chains, boost the uptake ofquality secondary raw materials and protect the environment, a high level of collection andrecycling of waste batteries should be the rule. The collection of waste batteries is afundamental crucial step for closing the loop for the valuable materials contained in batteries
through their recycling and to keep the batteries value chain inside the Union, thus
facilitating the access to the recovered materials that can further be used to manufacture new
products.

(79)

Producers of all batteries should be responsible for financing and organising the separate
collection of waste batteries. They should do so by establishing a collection network thatcovers the whole territory of the Member States, that is close to the end -user and that does
not only target areas and batteries where the collection is profitable. The collection network
should include any distributor, authorised treatment facility for waste electric and electronicequipment and end-of-life vehicles, civic amenity sites and other actors based on their own
accord, such as public authorities and schools. In order to verify and improve theeffectiveness of the collection network and the information campaigns, regularcompositional surveys at least at NUTS 2 level35should be carried out on mixed municipal
waste and waste electrical and electronic equipment collected to determine the amount ofwaste portable batteries therein.

35

Regulation (EC) No 1059/2003 of the European Parliament and of the Council of 26 May
2003 on the establishment of a common classification of territorial units for statistics(NUTS)(OJ L 154 21.6.2003, p. 1).

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(80)

Batteries may be collected together with waste electrical and electronic equipment, by way
of national collection schemes set up on the basis of Directive 2012/19/EU and with end-oflife vehicles in accordance with Directive 2000/53/EC. In this case, as an obligatory
minimum treatment requirement, batteries should be removed from the collected waste
appliances and end-of-life vehicles. After their removal, batteries should be subject to therequirements of this Regulation, notably they should be counted towards the attainment of
the collection target for the type category of battery in question and be subject to treatment
and recycling requirements laid down in this Regulation.

(81)

Considering the environmental impact and the loss of materials due to waste batteries not
being separately collected, and consequently not treated in an environmentally sound way,
the collection target for portable batteries already established under Directive 2006/66/EC
should continue to apply and should be gradually increased. This Regulation entails thatportable batteries also include batteries powering light means of transport. Since In view of
the current increase in sales of light means of transport batteries and their longer
lifespan, it is relevant to set specific collection rate for this type category of batteries
makes it difficult separated from the collection rate for portable batteries. Due tocalculate the amount of them that are placed in expected development of the market andcollected at increase of the end of their life, these estimated lifetime of LMT batteries andportable batteries should be excluded from the current, the methodology to calculate
collection targets should evolve in order to better capture the actual volume of waste
LMT batteries and portable available for collection. Therefore , the power to adopt
acts in accordance with Article 290 of the Treaty on the Functioning of the European
Union should be delegated to the Commission in respect to amend such methodology
and to amend the collection rate targets accordingly.

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Tthe collection targets for waste portable batteries. This exclusion is and light means oftransport batteries are to be reviewed along with the collection target for waste portablebatteries, which. Such review may also address changes in the methodology to calculate thepossibility to introduce two sub-categories of portable battery: rechargeable and nonrechargeable, with separate collection rate for portable batteries rates. The Commission
shall should prepare a report to underpin these reviews.

(82)

The collection rate of portable batteries should continue to be calculated on the basis of
average annual sales in the preceding years so as to have targets proportionate to the level ofbattery consumption in a Member State. In order to best reflect changes in the compositionof the portable batteries category, as well as in the lifetime and consumption patterns ofbatteries, the power to adopt acts in accordance with Article 290 of the Treaty on the
Functioning of the European Union should be delegated to the Commission in respect ofamending the methodology to calculate and verify the collection rate for portable batteries,
as well as for light means of transport batteries.

(83)

All automotive SLI batteries, industrial batteries and electric vehicles batteries should becollected and for that purpose the producers of such batteries should be required to accept
and take back free of charge, all waste automotive SLI batteries, waste industrial batteries
and waste electric vehicles batteries from end-users. Detailed reporting obligations shouldbe established for all actors involved in the collection of waste automotive SLI batteries,
waste industrial batteries and waste electric vehicles batteries.

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(84)

In view of the waste hierarchy as established by Article 4 of Directive 2008/98/EC whichprioritises prevention, preparing for re-use and recycling and in line with Article 11(4) of
Directive 2008/98/EC and Article 5(3)(f) of Directive 1999/31/EC36, batteries collectedshould not be incinerated or disposed of in landfill.

(85)

Any permitted facility carrying out treatment and recycling operations of batteries should
comply with minimum requirements to prevent negative environmental and human healthimpacts and to allow a high degree of recovery of materials contained in batteries. Directive
2010/75/EU of the European Parliament and of the Council37 regulates a number ofindustrial activities involved in the treatment and recycling of waste batteries, for which it
ensures specific permitting requirements and controls reflecting best available techniques.
Where industrial activities relating to the treatment and recycling of batteries are not covered
by Directive 2010/75/EC, operators should in any case be obliged to apply best available
techniques, as defined in Article 3(10) of that Directive, and the specific requirements laid
down in the present Regulation. The requirements regarding the treatment and recycling ofbatteries should, where relevant, be adapted by the Commission in the light of scientific andtechnical progress and emerging new technologies in waste management. Therefore, thepower to adopt acts in accordance with Article 290 of the Treaty on the Functioning of theEuropean Union should be delegated to the Commission in respect of amending thoserequirements.

36
37

Council Directive 1999/31/EC of 26 April 1999 on the landfill of waste (OJ L 182, 16.7.1999,
p.1).
Directive 2010/75/EU of the European Parliament and of the Council of 24 November 2010
on industrial emissions (integrated pollution prevention and control) (OJ L 334, 17.12.2010,
p. 17).

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(86)

Targets for the efficiency of the recycling processes and material recovery targets should beestablished to ensure the production of recovered materials of quality for the battery
industry, while at the same time ensuring clear and common rules for recyclers and avoiding
distortions of competition or other impediments to the smooth functioning of the internalmarket for secondary raw materials from waste batteries. Recycling efficiencies, as ameasure of the total amount of materials recovered, should be established for lead-acidbatteries, nickel-cadmium batteries and lithium batteries and targets should also be set out
for the levels of recovered cobalt, lead, lithium and nickel materials to attain a high level ofmaterial recovery throughout the Union. The rules on the calculation and reporting on
recycling efficiencies laid down in Commission Regulation (EU) No 493/201238 should
continue to apply. In order to ensure uniform conditions for the calculation and verificationof recycling efficiencies and recovery of materials in the recycling processes for batteries,
implementing powers should be conferred on the Commission to the establishment of suchrules. The Commission should also review Commission Regulation (EU) No 493/2012 toproperly reflect technological developments and changes occurred in industrial recovery
processes, to extend their scope to cover existing and new targets, and to provide tools forthe characterization of intermediate products. Treatment and recycling facilities should be
encouraged to introduce certified environmental management schemes in accordance with
Regulation (EC) No 1221/2009 of the European Parliament and of the Council39.

38

39

Commission Regulation (EU) No 493/2012 of 11 June 2012 laying down, pursuant to
Directive 2006/66/EC of the European Parliament and of the Council, detailed rules regarding
the calculation of recycling efficiencies of the recycling processes of waste batteries andaccumulators (OJ L 151, 12.6.2012, p. 9).
Regulation (EC) No 1221/2009 of the European Parliament and of the Council of
25 November 2009 on the voluntary participation by organisations in a Community ecomanagement and audit scheme (EMAS), repealing Regulation (EC) No 761/2001 andCommission Decisions 2001/681/EC and 2006/193/EC (OJ L 342, 22.12.2009, p. 1)

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(87)

It should only be possible to carry out treatment and recycling outside the Member State
concerned or outside the Union, where the shipment of waste batteries is in compliance with
Regulation (EC) No 1013/2006 of the European Parliament and of the Council40 andCommission Regulation (EC) No 1418/200741 and where the treatment and recycling
activities meet the requirements applicable for this type of wastes, according to theirclassification in Commission Decision 2000/532/EC , as amended.42 That Decision, as
amended, should be revised to reflect all battery chemistries, namely including codes forlithium-ion waste batteries, in order to enable proper sorting and reporting of lithiumion waste batteries. This regulation is without prejudice to the possible classification ofwaste batteries as hazardous waste under Directive 2008/98/EC. Where such treatment
or recycling takes places outside the Union, in order to be counted towards the recycling
efficiencies and targets, the operator for whose account it is carried out should be obliged toreport on it to the competent authority of the respective Member State and to prove that thetreatment is carried out in conditions equivalent to those under this Regulation. In order tolay down what are the requirements for such treatment to be considered equivalent, thepower to adopt acts in accordance with Article 290 of the Treaty on the Functioning of theEuropean Union should be delegated to the Commission in respect of laying down detailed
rules containing criteria for the assessment of equivalent conditions.

40
41

42

Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June
2006 on shipments of waste (OJ L 190, 12.7.2006, p. 1).
Commission Regulation (EC) No 1418/2007 of 29 November 2007 concerning the export forrecovery of certain waste listed in Annex III or IIIA to Regulation (EC) No 1013/2006 of theEuropean Parliament and of the Council to certain countries to which the OECD Decision on
the control of transboundary movements of wastes does not apply (OJ L 316, 4.12.2007, p. 6).
2000/532/EC: Commission Decision of 3 May 2000 replacing Decision 94/3/EC establishinga list of wastes pursuant to Article 1(a) of Council Directive 75/442/EEC on waste andCouncil Decision 94/904/EC establishing a list of hazardous waste pursuant to Article 1(4) ofCouncil Directive 91/689/EEC on hazardous waste, OJ L 226, 6.9.2000, p. 3.

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(88)

Industrial batteries and electric vehicle batteries that are no longer fit for the initial purpose
for which they were manufactured may be used for a different purpose as stationary energy
storage batteries. A market for the second life of used industrial batteries and electricvehicle batteries is emerging and in order to support the practical application of the wastehierarchy, specific rules should thus be defined to allow responsible repurposing of usedbatteries while taking into account the precautionary principle and ensuring safety of use forend -users. Any such used battery should undergo an assessment of its state of health andavailable capacity to ascertain its suitability for use for any other than its original purpose. In
order to ensure uniform conditions for the implementation of provisions related to theestimation of the state of health of batteries, implementing powers should be conferred on
the Commission.

(89)

Producers and distributors should be actively involved in providing information to end users that batteries should be collected separately, that collection schemes are available andthat end -users have an important role in ensuring an environmentally optimal managementof waste batteries. The disclosure of information to all end -users as well as reporting on
batteries should make use of modern information technologies. The information should be
provided either by classical means, such as outdoors, posters and social media campaigns, orby more innovative means, such as electronic access to websites provided by QR codes
affixed to the battery.

(90)

To enable the verification of compliance with and the effectiveness of the obligations
regarding the collection and treatment of batteries, it is necessary that the respective
operators report back to the competent authorities. Producers of batteries and other waste
management operators collecting batteries should report for each calendar year, whereapplicable, the data on batteries sold and waste batteries collected. Regarding treatment andrecycling, reporting obligations should be incumbent upon the waste management operatorsand recyclers respectively.

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(91)

For each calendar year, Member States should provide the Commission with information on
the amount of batteries supplied within their territory and the amount of waste batteries
collected, by type category and chemistry. With regard to portable batteries, data on
batteries and waste batteries from light means of transport should be reported separately inview of the need to gather data to allow for adapting the collection target, considering themarket share of such batteries and their specific purpose and characteristics. Suchinformation should be provided electronically and be accompanied by a quality check report.
In order to ensure uniform conditions for the reporting of that data and information to theCommission, as well as for the verification methods, implementing powers should beconferred on the Commission.

(92)

For each calendar year, Member States should report to the Commission the levels ofrecycling efficiencies and the levels of recovered materials achieved taking into account all
the individual steps of the recycling process and the output fractions.

(93)

In order to enhance transparency along supply and value chains for all stakeholders, it isnecessary to provide for an electronic system that maximises the exchange of information,
enabling tracking and tracing of batteries, provides information about the carbon intensity of
their manufacturing processes as well as the origin of the materials used, their composition,
including raw materials and hazardous chemicals, repair, repurposing and dismantlingoperations and possibilities, and the treatment, recycling and recovery processes to which
the battery could be subject to at the end of their life. That electronic system should beestablished in phases with a prototype system being made available to the concerned
economic operators and Member States authorities at least a year in advance of the
finalisation of the implementing measures defining the final features and the data accesspolicy of the system to enable their input and timely compliance.

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Such data access policy should take into account the relevant principles established in EU
legislation, including the Commission’s proposal for a Regulation of the European
Parliament and of the Council on European data governance (Data Governance Act).43 In
order to ensure uniform conditions for the implementation of the electronic exchange systemfor battery information, implementing powers should be conferred on the Commission.
(94)

A Battery Passport should be established, allowing economic operators to gather and re-use
in a more efficient way the information and data on individual batteries placed on the market
and to make better informed choices in their planning activities. In order to ensure uniform
conditions for the implementation of the battery passport, implementing powers should beconferred on the Commission.

(95)

Regulation (EU) 2019/1020 of the European Parliament and of the Council44 lays down thegeneral rules on market surveillance and control of products entering the Union market. In
order to ensure that products batteries benefiting from the free movement of goods fulfil
requirements providing a high level of protection of public interests such as human health,safety, protection of property and of the environment, that Regulation should apply tobatteries covered by this Regulation. Therefore, Annex I of Regulation (EU) 2019/1020
should be amended accordingly to ensure that Regulation (EU) 2019/1020 includes
batteries in its scope of application. In addition to Regulation (EU) 2019/1020, thisRegulation lays down rules on specific aspects of market surveillance and enforcement
regarding batteries.

43
44

https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:52020PC0767&from=DA
Regulation (EU) 2019/1020 of the European Parliament and of the Council of 20 June 2019
on market surveillance and compliance of products and amending Directive 2004/42/EC andRegulations (EC) No 765/2008 and (EU) No 305/2011 (OJ L 169, 25.6.2019, p. 1)

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(96)

Batteries should be placed on the market only if they do not present a risk to human health,safety, property or the environment when properly stored and used for their intended
purpose, or under conditions of use which can be reasonably foreseen, that is when such use
could result from lawful and readily predictable human behaviour.

(97)

A procedure should exist under which interested parties are informed of measures intended
to be taken with regard to batteries presenting a risk to human health, safety, property or theenvironment. It should also allow market surveillance authorities in the Member States, incooperation with the relevant economic operators, to act at an early stage in respect of suchbatteries. In order to ensure uniform conditions for the implementation of this Regulation,
implementing powers to adopt acts should be conferred on the Commission in order todetermine whether national measures in respect of non-compliant batteries are justified or
not.

(98)

The market surveillance authorities should have the right to require economic operators totake corrective actions on the basis of findings that either the battery is not compliant withthe requirements of this Regulation or the economic operator infringes the rules on theplacing or making available on the market of a battery, or on sustainability, safety andlabelling or on supply chain due diligence.

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(99)

Public procurement constitutes an important sector with regard to reducing the impacts on
the environment of human activities and to stimulate market transformation towards moresustainable products. Contracting authorities, as defined in Directive 2014/24/EU45 of theEuropean Parliament and of the Council and Directive 2014/25/EU of the European
Parliament and of the Council46, and contracting entities as defined in Directive 2014/25/EU
should take account of the environmental impacts when procuring batteries or products
containing batteries, in order to promote and stimulate the market for clean and energyefficient mobility and energy-storage and thus contribute to the environment, climate andenergy policy objectives of the Union.

(100) In order to establish the equivalence of due diligence schemes that have been developed bygovernments, industry associations and groupings of interested organisation, implementing
powers should be conferred on the Commission. In order to ensure that the list of raw
materials and the associated social and environmental risks are kept up-to-date, as well theconsistency with the Conflict Minerals Regulation and the OECD Due Diligence in terms ofobligations for economic operators, implementing powers should be conferred on theCommission.
(101) In order to ensure uniform conditions for the implementation of the Commission’srecognition of supply chain due diligence schemes, implementing powers should beconferred on the Commission.

45
46

Directive 2014/24/EU of the European Parliament and of the Council of 26 February 2014 on
public procurement and repealing Directive 2004/18/EC (OJ L 94, 28.3.2014, p. 65)
Directive 2014/25/EU of the European Parliament and of the Council of 26 February 2014 on
procurement by entities operating in the water, energy, transport and postal services sectors
and repealing Directive 2004/17/EC (OJ L 94, 28.3.2014, p. 243)

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(101a) Due diligence initiatives can support the economic operator in fulfilling the due
diligence obligation in line with the OECD Guidelines for Multinational Enterprises andthe UN Guiding Principles on Business and Human Rights. However, the responsibility
for fulfilling due diligence remains fully and solely with the economic operator.
(102) When adopting delegated acts under this Regulation, it is of particular importance that theCommission carry out appropriate consultations during its preparatory work, including at
expert level, and that those consultations be conducted in accordance with the principles laid
down in the Interinstitutional Agreement of 13 April 2016 on Better Law-Making47. In
particular, to ensure equal participation in the preparation of delegated acts, the European
Parliament and the Council receive all documents at the same time as Member States’ experts,
and their experts systematically have access to meetings of Commission expert groups dealing
with the preparation of delegated acts.
(103)

The implementing powers that are conferred on the Commission by this Regulation and that
do not relate to the determination whether measures taken by Member States in respect of
non-compliant batteries are justified or not should be exercised in accordance with
Regulation (EU) No 182/2011 of the European Parliament and of the Council48.

(104) The advisory procedure should be used for the adoption of an implementing act in situations
where the Commission ascertains that a notified body does not meet or no longer meets therequirements for its notification, in order to request the notifying authority to take thenecessary corrective action, including withdrawal of the notification if necessary.

47
48

OJ L 123, 12.5.2016, p.1
Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February
2011 laying down the rules and general principles concerning mechanisms for control by
Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p.
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(105) The Commission should adopt immediately applicable implementing acts determining
whether a national measure taken in respect of a compliant battery that presents a risk isjustified or not where, in duly justified cases relating to the protection of human health,safety, property or the environment, imperative grounds of urgency so require.
(106) Member States should lay down rules on penalties applicable to infringements of thisRegulation and ensure that those rules are enforced. The penalties provided for should be
effective, proportionate and dissuasive.
(107) In view of the need to ensure a high level of environmental protection and the need to take
into account new developments based on scientific facts, the Commission should submit to
the European Parliament and to the Council a report on the implementation of thisRegulation and its impact on the environment and the functioning of the internal market.
The Commission should in its report include an evaluation of the sustainability, safety,
labelling and information criteria provisions, the waste batteries management measures andthe supply chain due diligence requirements. Where appropriate, the report should beaccompanied by a proposal to amend relevant provisions of this Regulation.
(108) It is necessary to provide for sufficient time for economic operators to comply with their
obligations under this Regulation, and for Member States to set up the administrative
infrastructure necessary for its application. The application of this Regulation should
therefore also be deferred to a date where those preparations can reasonably be finalised.
(109) In order to allow Member States to adapt the register of producers set up under Directive
2006/66/EC and to take the necessary administrative measures regarding the organisation of
the authorisation procedures by the competent authorities, while keeping continuity foreconomic operators, Directive 2006/66/EC should be repealed as of 1 July 2023 24 months
after entry into force of the Regulation.

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Obligations under that Directive related to monitoring and reporting the collection rate of
portable batteries and the recycling efficiencies of recycling processes shall remain in force
until 31 December 202324 months after entry into force of the Regulation, and therelated obligations for the transmission of data to the Commission shall remain in force until
31 December 202542 months after entry into force of the Regulation, in order to ensure
continuity until new calculation rules and reporting formats are adopted by the Commission
under this Regulation.
(110) Since the objective of this Regulation, namely to guarantee the functioning of the internalmarket while ensuring that batteries placed on the market fulfil the requirements providing
for a high level of protection of human health, safety, property and the environment, cannot
be sufficiently achieved by the Member States but can rather, by reason of the need forharmonisation, be better achieved at Union level, the Union may adopt measures, inaccordance with the principle of subsidiarity as set out in Article 5 of the Treaty on
European Union. In accordance with the principle of proportionality, as set out in that
Article, this Regulation does not go beyond what is necessary in order to achieve that
objective,]7103/1/22 REV 1
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HAVE ADOPTED THIS REGULATION:
Chapter I
General provisions
Article 1
1.

Subject matter and scopeThis Regulation establishes requirements on sustainability, safety, labelling andinformation to allow the placing on the market or putting into service of batteries, as well
as minimum requirements for the extended producer responsibility, collection,
treatment and recycling of waste batteries and reporting.

1a.

This Regulation lays down the supply chain due diligence obligations of economic
operators placing batteries on the market or putting them into service and requirements
for green public procurement when procuring batteries or products in which batteries
are incorporated.

2.

This Regulation shall apply to all categories of batteries, namely portable batteries,
automotive SLI batteries, light means of transport batteries, electric vehicle batteries
and industrial batteries, regardless of their shape, volume, weight, design, material
composition, type, chemistry, use or purpose. It shall also apply to batteries designed to
be or incorporated in into or added to other products. For the purpose of chapters II andVIa, when batteries placed on the market can be considered to fall under more than
one category, the strictest requirements provided thereof shall apply.

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3.

This Regulation shall not apply to batteries in designed to be or incorporated into:(a)equipment connected with the protection of Member States' essential security
interests, arms, munitions and war material, with the exclusion of products that are
not intended for specifically military purposes; and(b)equipment designed to be sent into space.
Article 1a
Objectives

The objectives of this Regulation are to contribute to the efficient functioning of the internalmarket, also while preventing and reducing the adverse impacts of batteries on theenvironment, and to protect the environment and human health by preventing or reducing
the adverse impacts of the generation and management of waste batteries.

Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:(1)‘battery’ means any, ready for use, source of electrical energy generated by direct conversionof chemical energy, having internal or external storage, and consisting of one or more nonrechargeable or rechargeable battery cells, modules or of groupspacks of them, including abattery that has been subject to preparing for re-use, preparing for repurpose or
repurposing, or remanufacturing;(1a) ‘battery pack’ means any set of battery cells or modules that are connected together or
encapsulated within an outer casing, so as to form a complete unit that the end-user is
not intended to split up or open;

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(1b) ‘battery module’ means a set of battery cells that are connected together or encapsulated
within an outer casing to protect the cells against external impact, and which is meant to
be used either stand-alone or in combination with other modules. For the purpose of thisRegulation, a battery module that is placed on the market ready to be used or to beassembled has to be considered as a battery.
(2)‘battery cell’ means the basic functional unit in a battery constituted by electrodes, electrolyte,
container, terminals and, if applicable, separators, and containing the active materials thereaction of which generates electrical energy;(3)‘active materials’ means material which reacts chemically to produce electric energy when thebattery cell discharges or to store electric energy when the battery is being charged;(4)‘non-rechargeable battery’ means a battery that is not designed to be electrically recharged;(5)‘ rechargeable battery’ means a battery that is designed to be electrically recharged;(6)‘battery with internal external storage’ means a battery with no designed to have the energy
stored exclusively in one or more attached external devices to store energy;(7)‘portable battery’ means any battery that:

is sealed;weighs below or equal to 5 kg;is not designed specifically for industrial purposes; and

is neither an electric vehicle battery, nor a lights means of transport battery, nor an
automotive SLI battery;

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(8)

‘portable batteries of general use’ means rechargeable and non-rechargeable portablebatteries specifically produced to be interoperable and with the following common
formats: 4,5 Volts (3R12), D, C, AA, AAA, AAAA, A23, 9 Volts (PP3);(9)‘light means of transport battery’ or ‘LMT battery’ means any battery that is sealed andweights below or equal to 25 kg, designed to provide traction to wheeled vehicles thathave an electric motor of less than 750 watts, on which travellers are seated when the vehicle
is moving and that can be powered by the electric motor alone or by a combination of motor
and human power, including type-approved vehicle of category L in the meaning ofRegulation (EU) No 168/2013, and that is not an electric vehicle battery;(10) ‘automotive SLI battery’ means any battery used onlydesigned to supply electric power for
automotive starter, lighting, or ignition power, and may also be used for auxiliary or
backup purposes in vehicles, other means of transport or machinery;(11) ‘industrial battery’ means any battery designed specifically for industrial uses, or any
battery designed intended for industrial uses after being subject to preparing for
repurpose or repurposing, and any other battery with a weight above 5 kg excluding
portable LMT batteries, electric vehicle batteries and automotiveSLI batteries;(12) ‘electric vehicle battery’ or ‘EV battery’ means any battery specifically designed to provide
traction to hybrid and or electric vehicles for road transport of type-approved categories M,
N and O in the meaning of Regulation (EU) 2018/858 or any battery that weights above
25 kg, designed to provide traction to vehicles of type-approved category L in themeaning of Regulation (EU) No 168/2013;

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(13) ‘stationary battery energy storage system’ means a rechargeable industrial battery withinternal storage specifically designed to store and deliver electric energy from and into thegrid or store and deliver electric energy to end-user, regardless of where and by whom thisbattery is being used;(14) ‘placing on the market’ means the first making available of a battery for the first time on theUnion market;(15) ‘making available on the market’ means any supply of a battery for distribution or use on theUnion market in the course of a commercial activity, whether in return for payment or free ofcharge;(16) ‘putting into service’ means the first use, for its intended purpose, in the Union, of a battery,
without having been placed on the market previously;(17) ‘battery model’ is any manufactured battery that is produced in series; means a version of abattery of which all units share the same technical characteristics relevant forsustainability and safety requirements and labelling, marking and information
requirements pursuant to this Regulation and the same model identifier;(17a) ‘battery presenting a risk’ means a battery having the potential to affect adversely
health or safety of persons, property or the environment to a degree which goes beyond
that considered reasonable and acceptable in relation to its intended purpose or under
the normal or reasonably foreseeable conditions of use of the battery concerned,
including the duration of use and, where applicable, its putting into service, installationand maintenance requirements;

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(18) ‘carbon footprint’ means the sum of greenhouse gas (GHG) emissions and GHG removals ina product system, expressed as carbon dioxide (CO2) equivalents and based on a ProductEnvironmental Footprint (PEF) study using the single impact category of climate change ;(19) ‘economic operator’ means the manufacturer, the authorised representative, the importer, thedistributor or the fulfilment service provider or any other natural or legal person who issubject to obligations in relation to manufacturing batteries, preparing batteries for reuse,
preparing batteries for repurpose, repurposing, or remanufacturing, of batteries,
making them available or placing them on the market, including on-line placing on themarket, or putting them into service in accordance with the present this Regulation;(20) ‘independent operator’ means a natural or legal person, other than an authorised dealer or
repairer or remanufacturer, who is independent from the manufacturer and the producer and isdirectly or indirectly involved in the repair, maintenance or repurposing of batteries, andinclude waste management operators, repairers, manufacturers or distributors of repair
equipment, tools or spare parts, as well as publishers of technical information, operators
offering inspection and testing services, operators offering training for installers,manufacturers and repairers of equipment for alternative-fuel vehicles;(21) ‘QR code’ means a matrix barcode that links to information about a battery model;(22) ‘battery management system’ means an electronic device that controls or manages the electricand thermal functions of the battery, that manages and stores the data on the parameters fordetermining the state of health and expected lifetime of batteries laid down in Annex VII andthat communicates with the vehicle, light mean of transport or appliance in which thebattery is incorporated, or with a public or private charging infrastructure;7103/1/22 REV 1
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(23) ‘appliance’ means any electrical or electronic equipment, as defined by Directive
2012/19/EU, which is fully or partly powered by a battery or is capable of being so;(24) ‘state of charge’ means the available capacity in a battery expressed as a percentage of rated
capacity as defined by the manufacturer;(25) ‘state of health’ means a measure of the general condition of a rechargeable battery and its
ability to deliver the specified performance compared with its initial condition;(25a) ‘preparing for repurpose’ means any operation, by which parts of or a complete waste
battery is prepared so that it can be used for a different purpose or application than the
one that it was originally designed for;(26) ‘repurposing’ means any operation that results in parts or the complete battery that is not awaste battery, being used for a different purpose or application than the one that the battery
was originally designed for;(26a) ‘remanufacturing’ means any technical operation on a used battery that includes thedisassembly and evaluation of all its battery modules and cells and the use of a certain
amount of battery cells and modules, new, used or recovered from waste, or otherbattery components, to restore the battery capacity to at least 90% of the original rated
battery capacity, and where the state of health of all individual battery cells ishomogeneous, not differing more than 3% from one another, and results in the battery
being used for the same purpose or application than the one for which the battery was
originally designed;

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(27)

‘manufacturer’ means any natural or legal person who manufactures a battery or has abattery designed or manufactured, and markets that battery under its own name or trademark
or puts it into service for its own purposes;(28)‘technical specification’ means a document that prescribes technical requirements to be
fulfilled by a product, process or service;(29)‘harmonised standard’ means a standard as defined in Article 2(1)(c) of Regulation (EU) No
1025/2012;(30)‘CE marking’ means a marking by which the manufacturer indicates that the battery is inconformity with the applicable requirements set out in Union harmonisation legislation
providing for its affixing;(31)‘accreditation’ means accreditation as defined in Article 2(10) of Regulation (EC) No
765/2008;(32)‘national accreditation body’ means a national accreditation body as defined in Article 2(11)of Regulation (EC) No 765/2008;(33)‘conformity assessment’ means the process demonstrating whether the sustainability, safety
and, labelling and information requirements of this Regulation, relating to a battery havebeen fulfilled;(34)‘conformity assessment body’ means a body that performs conformity assessment activities
including calibration, testing, certification and inspection;

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(34a) ‘third-party verification body’ means a body that performs verification of supply chain
due diligence policies;(35)‘notified body’ means a conformity assessment body or a third-party verificaton body
notified in accordance with Article 22Chapter V of this Regulation;(36)‘supply chain due diligence’ means the obligations of the economic operator which places a
rechargeable industrial battery or an electric-vehicle battery on the market, in relation to its
management system, risk management, third party verifications and surveillance by
notified bodies and disclosure of information with a view to identifying and addressing
actual and potential risks linked to the sourcing, processing and trading of the raw materials
required for battery manufacturing;(37)‘producer’ means any manufacturer, importer or distributor or other natural or legal
person who, irrespective of the selling technique used, including by means of distancecontracts as defined in Article 2(7) of Directive 2011/83/EU, alternatively:(i) is established in a Member State and manufactures batteries under its own nameor trademark, or has batteries designed or manufactured and supplies a battery
them for the first time for distribution under its own name or use trademark,including when those incorporated into in appliances, light means of transport orvehicles, within the territory of athat Member State;(ii) is established in a Member State and resells within the territory of that Member
State, under its own name or trademark, batteries, including those incorporated inappliances, light means of transport or vehicles, manufactured by others. A
reseller is not regarded as the ‘producer’ if the brand of the manufacturer appearson the batteries, as provided for in point (i);7103/1/22 REV 1
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(iii) is established in a Member State and supplies for the first time in this Member Stateon a professional basis, batteries, including those incorporated in appliances, lightmeans of transport or vehicles, from a third country or from another Member
State;(iv) sells batteries, including those incorporated in appliances, light means of transport
or vehicles, by means of distance communication directly to end-users, that areeither private households or other than private households, in a Member State,
and is established in another Member State or in a third country.
(37a) 'authorised representative for the EPR' means a legal or natural person established in
Member State where the producer places batteries on the market and is different from
the Member State where the producer is established, and is appointed by the producer
in accordance with third subparagraph of Article 8a(5) of Directive 2008/98/EU for
fulfilling the obligations of that producer under Chapter VIII of this Regulation;(38)‘producer responsibility organisation’ means a legal entity that financially or financiallyand operationally organises the fulfilment of extended producer responsibility obligations
on behalf of several producers;(39)‘waste battery’ means any battery which is waste within the meaning of Article 3(1) of
Directive 2008/98/EC;(40)‘reuse’ means the complete or partial direct re-use of the battery for the original purpose thebattery was designed for;7103/1/22 REV 1
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(41)

‘hazardous substance’ means any a substance which fulfils classified as a hazardous as aconsequence of fulfilling the criteria for any laid down in Parts 2 to 5 of the following
hazard classes or categories set out in Annex I of Regulation (EC) No 1272/2008 of theEuropean Parliament and of the Council49:(a) hazard classes 2.1 to 2.4, 2.6 and 2.7, 2.8 types A and B, 2.9, 2.10, 2.12, 2.13 categories
1 and 2, 2.14 categories 1 and 2, 2.15 types A to F;(b) hazard classes 3.1 to 3.6, 3.7 adverse effects on sexual function and fertility or on
development, 3.8 effects other than narcotic effects, 3.9 and 3.10;(c) hazard class 4.1;(d) hazard class 5.1;

(42)‘treatment’ means any activity carried out on waste batteries after they have been handed
over to a facility for sorting, preparing for re-use, preparing for repurpose or preparation
for recycling;(43)‘voluntary collection points’ means any non-profit, commercial or other economic
undertaking or public body involved on their own initiative in the separate collection ofwaste portable batteries, by collecting the waste portable batteries it generates or which are
generated by other end-users before they are picked up by waste management operators for
subsequent treatment handed over to producers, to producer responsibility
organisations or to waste management operators;

49

Regulation (EC) No 1272/2008 of the European Parliament and of the Council of 16
December 2008 on classification, labelling and packaging of substances and mixtures,
amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation(EC) No 1907/2006 (OJ L 353, 31.12.2008, p. 1)

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(44)

‘waste management operator’ means any natural or legal person dealing on a professional
basis with the separate collection, sorting, or treatment or recycling of waste batteries;(45)‘permitted facility’ means any facility that is permitted in accordance with Directive
2008/98/EC to carry out the treatment or recycling of waste batteries;(46)‘recycler’ means any natural or legal person established in the Union who carries out
recycling processes in a permitted facility;(47)‘lifetime’ of a battery means the period of time that starts when the battery is placed on themarket manufactured, and ends when the battery becomes waste;(48)‘level of recycling’ means, for a given Member State in a given calendar year, thepercentage obtained by dividing the weight of waste batteries that undergo treatment andrecycling in accordance with Article 56 of this Regulation in that calendar year, by theweight of waste batteries collected in accordance with Articles 48 and 49 of this Regulation;(49)‘recycling process’ means any recycling operation of waste batteries, excluding sorting or
preparation for recycling, that may be carried out in a single or several permitted facilities;(50)‘recycling efficiency’ of a recycling process means the ratio obtained by dividing the massof output fractions accounting for recycling by the mass of the sorted waste batteries input
fraction, expressed as a percentage;(51)‘Union harmonisation legislation’ means any Union legislation harmonising the conditions
for the marketing of products;

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(52)

‘national authority’ means an approval authority or any other authority involved in andresponsible for market surveillance as set out in Chapter VI IX or border control in a
Member State in respect of batteries;(53)‘authorised representative’ means any natural or legal person established in the Union who
has received a written mandate from a manufacturer to act on its behalf in relation to
specified tasks with regard to the manufacturer’s obligations under the requirements ofChapter IV and VI of this Regulation;(54)‘importer’ means any natural or legal person established within the Union who places abattery from a third country on the Union market;(55)‘distributor’ means any natural or legal person in the supply chain, other than the
manufacturer or the importer, who makes a battery available on the market;(56)‘risk’ means the combination of the probability of occurrence of harm and the severity ofthat harm limited to human health or safety of persons, to property or to the environment.

The definitions of ‘waste’, ‘waste holder’, ‘waste management’, ‘prevention’, ‘collection’,‘separate collection’, ‘prevention extended producer responsibility scheme’, ‘reuse’, ‘preparing
for re-use’, ‘material recovery’ and ‘recycling’ laid down in Article 3 of Directive 2008/98/EC
shall apply.

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The definitions of ‘end-user’, ‘market surveillance’, ‘market surveillance authority’, ‘fulfilment
service provider’, ‘corrective action’, ‘end-user’, ‘recall’ and ‘withdrawal’, as well as of ‘risk’ inrelation to requirements of Chapters I, IV, VI, VII, IX and Annex V, Annex VIII and Annex
XIII, laid down in Article 3 of Regulation (EU) 2019/1020 shall apply.
The definitions of ‘independent aggregator’ and, ‘market participant’ and ‘energy storage’ laid
down in Article 2 of Directive (EU) 2019/944 shall apply.
Article 3
Free movement
1.

Member States shall not, for reasons relating to sustainability, safety, labelling andinformation requirements of batteries or management of waste batteries covered by thisRegulation, prohibit, restrict or impede the making available on the market or the putting
into service of batteries that comply with this Regulation.

2.

At trade fairs, exhibitions, demonstrations or similar events, Member States shall notprevent the showing of batteries, which do not comply with this Regulation, provided thata visible sign clearly indicates that such batteries do not comply with this Regulation andthat they are not for sale made available on the market or put into service until they
have been brought into conformity.

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Article 4
Sustainability, safety, labelling and information requirements for batteries

1.

Batteries shall only be placed on the market or put into service if they meet:(a)the sustainability and safety requirements set out in Chapter II Articles 6 to 10 and
12; and(b)2.

the labelling and information requirements set out in Chapter III.

For any aspects not covered by Chapters II and III, batteries referred to in paragraphs 1
shall not present a risk to human health, to safety of persons, to property or to theenvironment.
Article 5Competent authority

1.

Member States shall designate one or more competent authorities responsible for carrying out
obligations arising from Chapter VII and monitoring and verifying compliance of the
producers and producer responsibility organisations with the requirements of that Chapter.

2.

Member States shall lay down the details of the competent authority’s or authorities’organisation and operation, including the administrative and procedural rules to ensure:(a)the registration of producers in accordance with Article 46;(b)

the authorisation of producers and producer responsibility organisations in accordancewith Article 47 and the authorisation and monitoring regarding the requirements under
Article 48;(c)the oversight of implementation of extended producer responsibility obligations inaccordance with Article 47;

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3.

(d)

the collection of data on batteries in accordance with Article 61;(e)making information available in accordance with Article 62.

By [three months after the date of entry into force of this Regulation], Member States shallnotify the Commission of the names and addresses of the competent authorities designatedpursuant to paragraph 1. Member States shall inform the Commission without undue delay of
any changes to the names or addresses of those competent authorities.

Chapter II
Sustainability and safety requirements
Article 6
Restrictions of hazardous substances1.

In addition Without prejudice to the restrictions set out in Annex XVII of Regulation (EC)No 1907/2006 and in Annex II of Directive 2000/53/EC, batteries shall not containhazardous substances for which Annex I contains a restriction unless they comply with theconditions of that restriction.

2.

When there is In case of an unacceptable risk to human health or the environment, arisingfrom the use of a substance in the manufacture of batteries, or from the presence of a
substance present in the batteries when they are placed on the market, or during theirsubsequent life cycle stages, including the during repurposing or during the treatment or
recycling of waste phase batteries, that is not adequately controlled and needs to beaddressed on a Union-wide basis, the Commission shall adopt a delegated act in accordancewith the procedure referred to in Article 73 to amend the restrictions in Annex I, pursuant to
the procedure laid down in Article 71.

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3.

In adopting a This delegated act referred to shall be adopted within three months following
the receipt of the opinion of the Committee for Socio-economic Analysis of the European
Chemical Agency (the "Agency") referred to in Article 71a.If the Committee for Socioeconomic Analysis does not adopt an opinion by the deadline set in paragraph 2 of Article
71a, the Commission shall take into account the socio-economic impact of the restriction,
including the availability of alternatives for the hazardous substance.

2a.

Where the draft amendment of Annex I diverges from the original proposal of therestriction dossier, prepared pursuant to the procedure laid down in Article 71, 71a and71b, or if it does not take the opinions from the Agency into account, the Commission
shall annex a detailed explanation of the reasons for the differences.

3a.

When preparing a dossier for a restriction proposal which conforms to the requirementsof Annex XV to Regulation (EC) No 1907/2006, the Agency referred to in Article 75 ofRegulation (EC) No 1907/2006 or Member States shall take into account any available
information and refer to any relevant risk assessment submitted for the purposes ofother Union legislation covering the life cycle of the substance used in the battery,
including the waste phase. To this end other bodies established under Union law andcarrying out a similar task shall provide information to the Agency or Member State
concerned on request.

4.

Restrictions adopted pursuant to paragraph 2 shall not apply to the use of a substance inscientific research and development (of batteries) as defined in Article 3(23) of Regulation(EC) No 1907/2006.

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5.

If a restriction adopted pursuant to paragraph 2 shall not apply to product and process oriented
research and development, as defined in Article 3(22) of Regulation (EC) No 1907/2006, thisexemption, as well as the maximum quantity of the substance exempted, shall be specified in
Annex I.
Article 7
Carbon footprint of electric vehicle batteries and rechargeable industrial batteries

1.

Electric vehicle batteries and rechargeable For industrial batteries with internal storage and acapacity above 2 kWh shall be accompanied by technical documentation that includes, except
those with exclusively external storage, and electric vehicle batteries a carbon footprint
declaration shall be drawn up, for each battery model and batch per manufacturing plant, acarbon footprint declaration drawn up in accordance with the delegated act referred to in thesecond sub-paragraph and containing, at least, the following information:(a)administrative information about the producer manufacturer;(b)

information about the battery model for which the declaration applies;(c)

information about the geographic location of the battery manufacturing facility;(d)the total life-cycle carbon footprint of the battery, calculated as kg of carbon dioxide
equivalent;(e)the carbon footprint of the battery differentiated per life cycle stage as described in point
4 of Annex II;(f)the independent third party verification statement identification number of the EU
declaration of conformity of the battery;(g)a web link to get access to a public version of the study supporting the carbon footprint
declaration results values referred to in points (d) and (e).

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The carbon footprint declaration requirement in the first subparagraph shall apply as of: 1
July 2024 to(a) 18 months after entry into force of the Regulation or 12 months after the entry into
force either of the delegated act or of the implementing act respectively referred toin points (a) and (b) of the third subparagraph, whichever is the latest, for electricvehicle batteries and to rechargeable;(b) 42 months after entry into force of the Regulation or 18 months after the entry into
force either of the delegated act or the implementing act respectively referred to inpoints (a) and (b) of the third subparagraph, whichever is the latest, for industrial
batteries.
Until it becomes accessible via the QR code referred to in Article 13(5), the carbon
footprint declaration shall accompany the battery.
The Commission shall, no later than 1 July 20236 months after entry into force of theRegulation for electric vehicle batteries and 24 months after entry into force of theRegulation for industrial batteries, adopt:(a)a delegated act in accordance with Article 73 to supplement this Regulation by
establishing the methodology to calculate the totalvalues of carbon footprint of thebattery referred to in point (d) and (e) of the first sub-paragraph, in accordance withthe essential elements set out in points 1 to 7 of Annex II;

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(b)

an implementing act establishing the format for the carbon footprint declaration referred
to in the first subparagraph. That implementing act shall be adopted in accordance withthe examination procedure referred to in Article 74(3).

The Commission shall be empowered to adopt delegated acts in accordance with Article 73 toamend the information requirements set out in the first subparagraph.
2.

Electric vehicle batteries and rechargeable industrial Industrial batteries with internal storage
and a capacity above 2 kWh, except those with exclusively external storage, and electricvehicle batteries shall bear a conspicuous, clearly legible and indelible label indicating thecarbon footprint performance class that the individual relevant battery model per
manufacturing plant corresponds to.
In additionFor batteries referred to the information set out in paragraph 1 in firstsubparagraph, the technical documentation referred to in Annex VIII shall demonstratethat the carbon footprint declared and the related classification into a carbon footprint
performance class have been calculated in accordance with the methodology set out in thedelegated act acts adopted by the Commission pursuant to the fourth point (a) of third
subparagraph of paragraph 1 and point (a) of third subparagraph.
The carbon footprint performance class requirements in the first subparagraph shall apply asof 1 January 2026:(a)

36 months after entry into force of the Regulation or 18 months after the entry into
force either of the delegated act or of the implementing act respectively referred toin points (a) and (b) of the third subparagraph, whichever is the latest, for electricvehicle batteries and;7103/1/22 REV 1
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(b)

60 months after entry into force of the Regulation or 18 months after the entry into
force either of the delegated act or of the implementing act respectively referred toin points (a) and (b) of the third subparagraph, whichever is the latest, forrechargeable industrial batteries.

The Commission shall, no later than 31 December 202418 months after entry into force of
the Regulation for electric vehicle batteries and 42 months after entry into force of theRegulation for industrial batteries, adopt:(a)a delegated act in accordance with Article 73 to supplement this Regulation by
establishing the carbon footprint performance classes referred to in the firstsubparagraph. In preparing that delegated act, the Commission shall take into accountthe relevant essential elementsconditions set out in point 8 of Annex II;(b)an implementing act establishing the formats for the labelling referred to in the firstsubparagraph and the format for the declaration on the carbon footprint performanceclass referred to in the second subparagraph. That implementing act shall be adopted inaccordance with the examination procedure referred to in Article 74(3).

The Commission shall, in accordance with the conditions set out in point 8 of Annex II,
review the number of performance classes and the thresholds between them every three
years and, where appropriate, adopt delegated acts in accordance with Article 73 toamend them in a view of keeping them representative of the market reality and its
expected development.

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3.

Electric vehicle batteries and rechargeable For industrial batteries with internal storage and acapacity above 2 kWh shall, for each battery model and batch per manufacturing plant, be
accompanied by, except those with exclusively external storage, and electric vehicle
batteries, the technical documentation demonstrating referred to in Annex VIII shalldemonstrate that the declared life cycle carbon footprint value for the relevant battery
model per manufacturing plant, is below the maximum threshold established in thedelegated act adopted by the Commission pursuant to the third subparagraph.
TheThis requirement for a maximum life cycle carbon footprint threshold in the firstsubparagraph shall apply as of 1 July 2027:(a)

54 months after entry into force of the Regulation or 18 months after entry into
force either of the delegated act or of the implementing act respectively referred toin points (a) and (b) of the third subparagraph, whichever is the latest, for electricvehicle batteries and;(b)

78 months after entry into force of the Regulation or 18 months after entry into
force either of the delegated act or of the implementing act respectively referred toin points (a) and (b) of the third subparagraph, whichever is the latest, forrechargeable industrial batteries.

The Commission shall, no later than 1 July 2026 36 months after entry into force of theRegulation for electric vehicle batteries and 60 months after entry into force of theRegulation for industrial batteries, adopt a delegated act in accordance with Article 73 to
supplement this Regulation by determining the maximum life cycle carbon footprint thresholdreferred to in the first subparagraph. In preparing that delegated act, the Commission shalltake into account the relevant essential elements conditions set out in point 9 of Annex II.

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The introduction of a maximum life cycle carbon footprint threshold shall trigger, if
necessary, a reclassification of the carbon footprint performance classes of the batteriesreferred to in paragraph 2.
3a.

The requirements laid down in paragraphs 1, 2 and 3 shall not apply to a battery thathas been subject to preparing for re-use, preparing for repurpose or repurposing, orremanufacturing, if the battery had already been placed on the market or put into
service before undergoing such operations.
Article 8

Recycled content in industrial batteries, electric vehicle batteries and automotive SLI batteries
1.

From 1 January 2027 either 60 months after entry into force of the Regulation or 24months after the entry into force of the delegated act referred to in second
subparagraph, whichever is later, industrial batteries, with a capacity above 2 kWh,except those with exclusively external storage, electric vehicle batteries and automotive
SLI batteries with internal storage and a capacity above 2 kWh that contain cobalt, lead,lithium or nickel in active materials, shall be accompanied by technical documentation
containing information about the amount share of, respectively, cobalt, lead, lithium or
nickel recovered from manufacturing scrap or post-consumer waste present in active
materials in, and share of lead recovered from waste present in the battery, for eachbattery model per year and batch per manufacturing plant.

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By 31 December 2025 36 months after entry into force of the Regulation, theCommission shall adopt an implementing act laying down a delegated act in accordancewith Article 73 to supplement this Regulation by establishing the methodology for the
calculation and verification of the amount share of cobalt, lead, lithium or nickel
recovered from waste present in active materials, and share of lead recovered fromwaste present in battery, in the batteries referred to in the first subparagraph, and theformat for the technical documentation. That implementing act shall be adopted inaccordance with the examination procedure referred to in Article 74(3).
2.

From 1 January 2030 96 months after entry into force of the Regulation, for industrial
batteries with a capacity above 2 kWh, except those with exclusively external storage,electric vehicle batteries and automotive SLI batteries with internal storage and a capacity
above 2 kWh that contain cobalt, lead, lithium or nickel in active materials shall beaccompanied by, the technical documentation demonstrating referred to in Annex VIII
shall demonstrate that those batteries contain the following minimum share of,respectively, cobalt, lead, lithium or nickel recovered from manufacturing scrap or postconsumer waste present in active materials in, and share of lead recovered from waste
present in the battery, for each battery model per year and batch per manufacturing
plant:(a)

12% cobalt;(b)85% lead;(c)4% lithium;(d)4% nickel.

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3.

From 1 January 2035 156 months after entry into force of the Regulation, industrial
batteries, with a capacity above 2 kWh, except those with exclusively external storage,electric vehicle batteries and automotive SLI batteries with internal storage and a capacity
above 2 kWh that contain cobalt, lead, lithium or nickel in active materials shall beaccompanied by a, the technical documentation demonstrating referred to in Annex VIII
shall demonstrate that those batteries contain the following minimum share of, respectively,
cobalt, lead, lithium or nickel recovered from manufacturing scrap or post-consumer waste
present in active materials in, and share of lead recovered from waste present in thebattery, for each battery model per year and batch per manufacturing plant:

3a.

(a)

20% cobalt;(b)

85 % lead;(c)

10% lithium;(d)

12% nickel.

The requirements laid down in paragraphs 1, 2 and 3 shall not apply to a battery thathas been subject to preparing for re-use, preparing for repurpose or repurposing, orremanufacturing, if the battery had already been placed on the market or put into
service before undergoing such operations.

4.

Where justified and appropriate due to the availability of cobalt, lead, lithium or nickel
recovered from waste, or the lack thereof, or other considerable changes in battery
technologies impacting the type of materials recovered, the Commission shall beempowered to adopt, by 31 December 2027 72 months after entry into force of theRegulation, a delegated act acts in accordance with Article 73, to amend the targets laid
down in paragraphs 2 and 3.

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5.

Where justified and appropriate due to market developments on battery chemistry
impacting the type of materials that can be recovered, the Commission shall beempowered to adopt delegated acts in accordance with Article 73, to amend thisRegulation by inserting other materials than cobalt, lead, lithium and nickel, withspecific minimum shares of recycled content per specific material in paragraph 2 and 3.
Article 9
Performance and durability requirements for portable batteries of general use

1.

From 1 January 2027 either 72 months after entry into force of the Regulation or 24months after the entry into force of the delegated act referred to in paragraph 2,
whichever is later, portable batteries of general use shall meet the minimum values for theelectrochemical performance and durability parameters set out in Annex III as laid down inthe delegated act adopted by the Commission pursuant to paragraph 2.

2.

By 31 December 2025 48 months after entry into force of the Regulation, the Commission
shall adopt a delegated act in accordance with Article 73 to supplement this Regulation by
establishing minimum values for the electrochemical performance and durability parameterslaid down in Annex III that portable batteries of general use shall attain.

The Commission is shall be empowered to adopt delegated acts in accordance with Article 73 toamend the electrochemical performance and durability parameters laid down in Annex III inview of technical and scientific progress.

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In preparing the delegated act referred to in the first subparagraph, the Commission shallconsider the need to reduce the life cycle environmental impact of portable batteries ofgeneral use and take into consideration relevant international standards and labelling schemes.
The Commission shall also ensure that the provisions laid down by that delegated act do nothave a significant negative impact on the functionality of those batteries or the appliances,
light means of transport or vehicles into which those batteries are incorporated, theaffordability and the cost for end-users and the industry’s competitiveness. No excessive
administrative burden shall be imposed on manufacturers of the batteries and the appliances,
light means of transport or vehicles concerned.
3.

By 31 December 2030 108 months after entry into force of the Regulation, theCommission shall assess the feasibility of measures to phase out the use of non-rechargeable
portable batteries of general use in view of minimising their environmental impact based on
the life cycle assessment methodology. To that end, the Commission shall submit a report to
the European Parliament and to the Council and consider taking take the appropriate
necessary measures, including, if appropriate, the adoption of legislative proposals.
Article 10

Performance and durability requirements for rechargeableLMT batteries, industrial batteries andelectric vehicle batteries
1.

From [12 months after entry into force of the Regulation], rechargeable LMT batteries,
industrial batteries with a capacity above 2 kWh, except those with exclusively external
storage, and electric vehicle batteries with internal storage and a capacity above 2 kWh shallbe accompanied by a technical documentation document containing values for theelectrochemical performance and durability parameters laid down in Part A of Annex IV.

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TheFor batteries referred to in first subparagraph the technical documentation referred toin the first subparagraphAnnex VIII shall also contain an explanation of the technicalspecifications, standards and conditions used to measure, calculate or estimate the values forthe electrochemical performance and durability parameters. That explanation shall include, atleast, the elements laid down in Part B of Annex IV.
2.

From 1 January 2026, rechargeable either 48 months after entry into force of theRegulation or 18 months after the entry into force of the delegated act referred to inparagraph 3, whichever is later, industrial batteries with internal storage and a capacity
above 2 kWh, except those with exclusively external storage, shall meet the minimum
values laid down in the delegated act adopted by the Commission pursuant to paragraph 3
for the electrochemical performance and durability parameters set out in Part A of Annex
IV.

2a.

The requirements laid down in paragraphs 1 and 2 shall not apply to a battery that has
been subject to preparing for re-use, preparing for repurpose or repurposing, orremanufacturing, where the economic operator placing that battery on the market or
putting it into service demonstrates that the battery, before undergoing such operation,
has been placed on the market or put into service before the dates on which thoseobligations become applicable in accordance with those paragraphs.

3.

By 31 December 2024 30 months after entry into force of the Regulation, the Commission
shall adopt a delegated act in accordance with Article 73 to supplement this Regulation by
establishing minimum values for the electrochemical performance and durability parameterslaid down in Part A of Annex IV that rechargeable industrial batteries with internal storage
and a capacity above 2 kWh, except those with exclusively external storage, shall attain.

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In preparing the delegated act referred to in the first subparagraph, the Commission shallconsider the need to reduce the life cycle environmental impact of rechargeable industrial
batteries with internal storage and a capacity above 2 kWh, except of those with exclusively
external storage, and ensure that the requirements laid down therein do not have a significant
negative impact on the functionality of those batteries or the appliances light means oftransport or vehicles into which those batteries are incorporated, its affordability andindustry’s competitiveness. No excessive administrative burden shall be imposed on
manufacturers of the batteries and the appliances, light means of transport or vehicles
concerned.
3a.

The Commission shall be empowered to adopt delegated acts in accordance with Article
73 to amend the electrochemical performance and durability parameters laid down inAnnex IV in view of market development and technical and scientific progress,
including in particular related to technical specifications of the informal UNECE
Working Group on Electric Vehicles and the Environment.
Article 11
Removability and replaceability of portable batteries and LMT batteries

1.

Portable From 24 months after entry into force of the Regulation any natural or legal
person that places on the market products with portable batteries or LMT batteries
incorporated in appliances, shall ensure that those portable batteries and LMT batteries
shall be readily removable and replaceable by the end-user or by independent operators during
the lifetime of the appliance or light mean of transport, if the batteries have a shorter
lifetime than the appliance or light mean of transport, or at the latest at the end of the
lifetime of the appliance. or light mean of transport. Removability and replaceability
requirements only apply to battery packs as a whole and not individual cells or otherparts included in the battery pack.

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1a.

A portable or LMT battery is readily removable where it can be removed from anappliance or a light mean of transport without the use of specialized tools, thermalenergy, or solvents to disassemble. An economic operator that places on the market
products with portable batteries or LMT batteries incorporated shall ensure that those
products are accompanied with instructions and safety information on the use andremoval of the batteries.
For appliances that are designed to operate normally in a wet environment, portablebatteries shall be removable and replaceable only by qualified independent operators.
A portable or LMT battery is readily replaceable where, after its removal from an applianceor a light mean of transport, it can be substituted by a similar battery, without affecting thefunctioning or the performance or safety of that appliance or light mean of transport.

2.

The obligations set out in paragraph 1 shall not apply where(a)continuity of power supply is necessary and a permanent connection between theapplianceproduct and the respective portable battery is required for safety,
performance, medical or data integrity reasons; or(b)

the functioning of the battery is only possible when the battery is integrated into thestructure of the appliance.

3.

The Commission shall adopt guidance publish guidelines to facilitate harmonised applicationof the derogations provisions set out in paragraph 2 this Article.

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Article 12
Safety of stationary battery energy storage systems system
1.

Stationary battery energy storage systems shall be accompanied by technical documentation
demonstrating that they are system placed on the market or put into service shall be safe
during their normal operation and use, including.

1a.

By 12 months after entry into force of the Regulation, the technical documentationreferred to in Annex VIII shall demonstrate that the batteries referred to in paragraph 1
are compliant with the requirements in accordance with paragraph 1 and shall include
evidence that they have been successfully tested, at a minimum, for the safety parameterslaid down in Annex V, for which state-of-the-art testing methodologies should shall be used.

2.

The Commission is shall be empowered to adopt delegated acts in accordance with Article 73
to amend the safety parameters laid down in Annex V in view of technical and scientificprogress.

2a.

The technical documentation referred to in Annex VIII shall include at least:(a)an assessment of possible additional safety hazards, not addressed in Annex V, ofthe specific battery energy storage system, based on its technology and the specificapplication and environment of the battery energy storage system. The
documentation should be reviewed if a battery is prepared for re-use, prepared for
repurpose, remanufactured or repurposed,(b)evidence that the additional hazards have been successfully mitigated and tested
for which state-of-the-art testing methodologies should be used;

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(c)

mitigation instructions in case the identified hazards addressed in Annex V may
occur, for example a fire or explosion.

Chapter III
Labelling, marking and information requirements
Article 13
Labelling and marking of batteries
1.

From 1 January 2027, either 48 months after entry into force of the Regulation or 18
months after the entry into force of the implementing act referred to in paragraph 7,
whichever is later, all batteries shall be marked with a label containing the general
information about batteries laid down in Part A of Annex VI.

2.

From 1 January 2027, either 48 months after entry into force of the Regulation or 18
months after the entry into force of the implementing act referred to in paragraph 7,
whichever is later, rechargeable portable batteries and automotive SLI batteries shall bemarked with a label containing information on their capacity and.

2a.

From either 48 months after entry into force of the Regulation or 18 months after theentry into force of the implementing act referred to in paragraph 7, whichever is later,
non-rechargeable portable batteries shall be marked with a label containing information on
their minimum average duration when used in specific applications.

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3.

From 1 July 2023 24 months after entry into force of the Regulation, all batteries shall belabelled marked with the symbol indicating ‘separate collection’ in accordance with therequirements laid down in Part B of Annex VI.
The symbol shall cover at least 3 % of the area of the largest side of the battery up to a
maximum size of 5 × 5 cm.
In the case of cylindrical battery cells, the symbol shall cover at least 1,5 % of the surface areaof the battery and shall have a maximum size of 5 × 5 cm.
Where the size of the battery is such that the symbol would be smaller than 0,5 × 0,5 cm, thebattery does it can not need to be marked but in accordance with previous subparagraph, asymbol measuring at least 1 × 1 cm shall be printed on the packaging and on the
documentation accompanying the battery in accordance with the requirements laid
down in Part B of Annex VI.

4.

From 1 July 2023 24 months after entry into force of the Regulation, all batteries
containing more than 0,0005 % mercury or more than 0,002 % cadmium or more than
0,004 % lead, shall be marked with the chemical symbol for the metal concerned: Hg or
Cd or Pb.
The symbol indicating the heavy metal content shall be printed beneath the symbol shownin Part B of Annex VI and shall cover an area of at least one-quarter the size of thatsymbol.

4a.

From the date provided in Article 7(2), industrial batteries, with a capacity above 2
kWh, except those with exclusively external storage, and electric vehicle batteries shallbe marked with a label containing the information in accordance with Article 7(2).

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5.

Batteries From 48 months after entry into force of the Regulation, all batteries shall bemarked with a QR code in accordance with Part C of Annex VI which. The QR code shallprovide access to the following information on the respective battery model:(a)from 1 January 2027, for all industrial batteries and LMT batteries with a capacity
above 2 kWh and electric vehicle batteries, by linking to the information on thatmodel in the electronic exchange system referred to in paragraph 1;Part A of Annex
XIII.

(b)

from 1 January 2027, for portable and automotive for other batteries by linking to theapplicable information referred to in paragraph 2;(c)from 1 January 2023, for all batteries the symbol referred to in paragraph 3;(d)from 1 January 2023, for batteries containing more than 0,002 % cadmium or more than
0,004 % lead, the symbol referred to in paragraph 4;(e)from [12 months after the entry into force of this Regulation], for rechargeableindustrial batteries and electric vehicle batteries the report referred to in Article 39(6);(f)

from 1 July 2024, for electric vehicle batteries and for rechargeable industrial batteries
with internal storage and a capacity above 2 kWh the carbon footprint declarationreferred to in Article 7(1);7103/1/22 REV 1
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(g)

from 1 January 2026, for electric vehicle batteries and for rechargeable industrial
batteries with internal storage and a capacity above 2 kWh the carbon footprint
performance class referred to in Article 7(2);(h)

from 1 January 2027, for rechargeable industrial batteries, automotive batteries andelectric vehicle batteries with internal storage and a capacity above 2 kWh the amountof cobalt, lead, lithium or nickel recovered from waste and present in active materials inthe battery, in accordance with Article 8;(i)from 1 January 2023, for all batteries the declaration paragraphs 1 to 4 of this article,
the declaration of conformity referred to in Article 18; and the information
regarding the prevention and management of waste batteries laid down in Article
60(1) points (a) to (f).

(j)

from 1 July 2023, for all batteries the information referred to in points (a) to (f) of
Article 60(1).

This information shall be complete and accurate.
5a.

From the date specified in Article 65(1) industrial batteries, LMT batteries with acapacity above 2 kWh, except those with exclusively external storage, and electricvehicle batteries shall be marked with a data carrier linking to a unique identifier inaccordance with Article 65(2) and with Part C of Annex VI.

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6.

Labels and, QR code and data carrier linking to a unique identifier referred to inparagraphs 1 to 5a shall be printed or engraved visibly, clearly legibly and indelibly on thebattery. Where this is not possible or not warranted on account of the nature and size of thebattery, labels and QR code shall be affixed to the packaging and to the documents
accompanying the battery.

6a.

Batteries that have been subject to preparing for re-use, preparing for repurpose or
repurposing, or remanufacturing shall be marked with new labels or markings inaccordance with this Article, and containing information on their change of status inaccordance with Article 65(3)(b), which shall be accessible through QR code.

7.

The Commission shall, by 31 December 2025 30 months after entry into force of theRegulation, adopt implementing acts to establish harmonised specifications for the labelling
requirements referred to in paragraphs 1, 2 and 2a. Those implementing acts shall be adopted
in accordance with the examination procedure referred to in Article 74(3).

7a.

The Commission shall develop guidelines for economic operators about the different
labelling, marking and information requirements pursuant to articles 13, 14, 64 and 65
Article 14

Information on the state of health and expected lifetime of batteries using a battery management
system1.

Rechargeable industrial Industrial batteries and electric vehicle batteries with internal,
except those with exclusively external storage and, LMT batteries with a capacity above 2
kWh and electric vehicle batteries that use a battery management system, shall include a
contain in their battery management system containing up-to-date data on the parameters
for determining the state of health and expected lifetime of batteries as laid down in AnnexVII.

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2.

Access Read-only access to the values data in of the parameters referred to in Annex VII
through the battery management system referred to in paragraph 1 shall be provided,
respecting intellectual property rights of battery manufacturer, on a non-discriminatory
basis to the legal or natural person who has legally purchased the battery or to waste
management operators or any third party acting on their behalf at any time for the purpose
of:
(a
(a)

making the battery available to independent aggregators or market participants
through energy storage.

(b)evaluating the residual value or remaining lifetime of the battery and capability forfurther use, based on the estimation of the state of health;(bc) facilitating the preparing for re-use, preparing for repurpose, or repurposing or
remanufacturing of the battery;
2a.

The battery management system shall be designed in a way that economic operators
carrying out preparing for reuse, preparing for repurpose, repurposing or
remanufacturing of, can upload the necessary software for the purpose and application
for which the battery; will be used after such operations.
(c)making the battery available to independent aggregators or market participants throughenergy storage.

2ba. The Commission shall be empowered to adopt a delegated act in accordance with Article
73 to amend the parameters for determining the state of health and expected lifetime ofbatteries laid down in Annex VII in view of market development and technical andscientific progress, with due regard to the intellectual property rights of battery
manufacturer.

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3.

The provisions of this Article shall apply in addition without prejudice to those laid downin Union law on type approval of vehicles.
Chapter IV
Conformity of batteries
Article 15
Presumption of conformity of batteriesHarmonised standards

1.

For the purposes of compliance and verification of compliance of batteries with therequirements set out in Articles 9, 10, 12, 13 13(2), 13(2a) and 59(514(2)(a) of thisRegulation, test, measurements and calculations shall be made using a reliable, accurate andreproducible method methods, which takes take into account the generally recognised stateof-the-art methods, and whose results are deemed to be of low uncertainty, including methods
set out in standards, the reference numbers of which have been published for that purpose in
the Official Journal of the European Union.

2.

Batteries which are tested following in conformity with harmonised standards or parts
thereof the references of which have been published in the Official Journal of the European
Union shall be presumed to be in conformity with the requirements referred to set out in
Articles 9, 10, 13 12, 13(2), 13(2a) and 59(514(2)(a) to the extent that those requirements arecovered by such harmonised standards.

3.

Batteries which are in conformity with harmonised standards or parts thereof the references ofwhich have been published in the Official Journal of the European Union shall be presumed to
be in conformity with the requirements set out in Article 12, and, if applicable, to the extent
that the minimum values established for those requirements are covered by suchharmonised standards attained.

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Article 16
Common specifications
1.

The Commission shall be empowered to adopt implementing acts laying down common
specifications for the requirements set out in Articles 9, 10, 12, 1313(2), 59(513(2a), and
14(2)(a) or tests referred to in Article 15(2 15(1), only where at least one of the following
conditions have been fulfilled:(a)those requirements or tests are not covered by harmonised standards or parts thereof,
the references of which have been published in the Official Journal of the European
Union; and–the request has not been accepted by any of the European standardisation
organisations; or(b)– the Commission observes undue delays in the adoption of requested harmonised
standards,; or considers that relevant harmonised standards are not sufficient; or(c)the Commission has decided in accordance with the procedure referred to in Article
11(5) of Regulation (EU) No 1025/2012 to maintain with restriction or to withdraw thereferences to the harmonised standards or parts thereof by which those requirements or
tests are covered–a European standardisation organisation has delivered a standard that does notentirely correspond with the request of the Commission.

Those implementing acts shall be adopted in accordance with the examination procedurereferred to in Article 74(3).

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2.

Batteries which are tested following in conformity with common specifications or parts
thereof shall be presumed to be in conformity with the requirements set out in Articles 9, 10,
13 12, 13(2), 13(2a) and 59(5 14(2)(a) to the extent that those requirements are covered bythose common specifications or parts thereof, and, if applicable, to the extent that theminimum values established for those requirements are attained.

3.

Batteries which are in conformity with common specifications or parts thereof shall be
presumed to be in conformity with the requirements set out in Article 12 to the extent thatthose requirements are covered by those common specifications or parts thereof

3.

The Commission shall amend or repeal implementing acts referred to in paragraph 1
within a reasonable period of at least one year after publication of reference numbers ofharmonised standards or parts thereof, covering the requirements or tests referred to inparagraph 1, in the Official Journal of the European Union, in order to allow
manufacturers to take into account the changes as referred to in Article 38(6).

Article 17
Conformity assessment procedures
1.

Before a battery is placed on the market or put it into service, the manufacturer or its
authorised representative shall ensure that an assessment of the product’s conformity with therequirements of Chapters II and III of this Regulation is carried out.

2.

Conformity assessment of batteries with the requirements set out in Articles 6, 9, 10, 11, 12,
13 and 12 to 14 shall be carried out in accordance with one of the procedurefollowing
procedures:

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For batteries manufactured in series:(a)‘Module A - Internal production control’, set out in Part A of Annex VIII or(b)‘Module D1 - Quality assurance of the production process’, set out in Part B of
Annex VIII.

For batteries not manufactured in series:(a)‘Module A - Internal production control’, set out in Part A of Annex VIII or(b)‘Module G - Conformity based on unit verification’, set out in Part C of Annex
VIII.

3.

Conformity assessment of batteries with requirements set out in Articles 7, and 8 and 39 shallbe carried out in accordance with one of the procedure following procedures:(a)‘Module D1 - Quality assurance of the production process’ set out in Part B of
Annex VIII. for batteries manufactured in series; or

4.

The Commission is empowered to adopt delegated acts in accordance with Article 73 toamend Annex VIII by introducing additional verification steps in the conformity
assessment modules or by replacing those modules by other modules set out in Decision
No 768/2008/EC, if necessary after adapting them to the specific requirements forbatteries.

(b)‘Module G – Conformity based on unit verification’ set out in Part C of Annex
VIII for batteries not manufactured in series.

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4a.

Conformity assessment of batteries that have been subject to preparing for re-use,
preparing for repurpose or repurposing, or remanufacturing, shall be carried out inaccordance with the ‘Module A - Internal production control’, set out in Part A of
Annex VIII, considering the requirements set out in Articles 6, 9, 10 and 12 to 14.

5.

Records and correspondence relating to the conformity assessment procedures of batteries
shall be drawn up in an the official language or languages of the Member State where thenotified body carrying out the conformity assessment procedures referred to in paragraphs 1
and 2 is established, or in a language or languages accepted by that body.

Article 18
EU declaration of conformity
1.

The EU declaration of conformity shall state that the fulfilment of the requirements set out in
Chapters II Articles 6 to 10 and III12 to 14 has been demonstrated.

2.

The EU declaration of conformity shall have the model structure set out in Annex IX, shallcontain the elements specified in the relevant modules set out in Annex VIII and shall be
continuously updated, if necessary. It shall be translated into the language or languages
required by the Member State in which the battery is placed or made available on the market
or put into service. It shall be drawn up in electronic format and where requested, it shallbe provided in paper format.

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3.

Where a battery model is subject to more than one Union act requiring an EU declaration ofconformity, a single EU declaration of conformity shall be drawn up in respect of all such
Union acts. That declaration shall state the Union acts concerned and their publicationreferences.

3a.

By drawing up the EU declaration of conformity, the manufacturer shall assume
responsibility for the compliance of the battery with the requirements laid down in thisRegulation.

3b.

Without prejudice to paragraph 3, a single EU declaration of conformity may be madeup of one or more individual EU declarations of conformity already drawn up incompliance with a different Union act, in order to reduce the administrative burden on
economic operators.

3c.

An additional EU declaration of conformity shall be drawn up before placing on themarket or putting into service of a battery that has been subject to preparing for re-use,
preparing for repurpose or repurposing, or remanufacturing.
Article 19
General principles of the CE marking

The CE marking shall be subject to the general principles set out in Article 30 of Regulation (EC)No 765/2008.
Article 20
Rules and conditions for affixing the CE marking
1.

The CE marking shall be affixed visibly, legibly and indelibly to the battery. Where that is notpossible or not warranted due to the nature of the battery, it shall be affixed to the packaging
and to the documents accompanying the battery.

2.

The CE marking shall be affixed before the battery is placed on the market or put into
service.

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3.

The CE marking shall be followed by the identification number of the notified body that has
carried out the conformity assessment where required under Annex VIII. That
identification number shall be affixed by the notified body itself or, under its instructions, by
the manufacturer or by the manufacturer’s its authorised representative.

4.

The CE marking and the identification number referred to in paragraph 3 shall may befollowed, if applicable, by any labelling pictogram or other mark indicating a special risk,
use or other any danger linked to the use, storage, treatment or transport of the battery.

5.

Member States shall build upon existing mechanisms to ensure correct application of theregime governing the CE marking and shall take appropriate action in the event of improperuse of that marking.
Chapter V
Notification of conformity assessment and third-party verification bodies
Article 21
Notification

1.

Member States shall notify the Commission and the other Member States of conformity
assessment bodies authorised to carry out conformity assessment or third-party verificationin accordance with this Regulation.

1a.

The requirements under this Chapter relating to the conformity assessment procedureand conformity assessment activities shall apply mutatis mutandis to, respectively,
periodical audits in accordance with Article 45a(1a) and third-party verification inaccordance with Article 45d, and third-party verification activities, unless otherwise
specified.

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1b.

The requirements under this Chapter relating to the conformity assessment body shallapply mutatis mutandis to third-party verification body in accordance with Article 45d
unless otherwise specified.
Article 22
Notifying authorities

1.

Member States shall designate a notifying authority that shall be responsible for setting up
and carrying out the necessary procedures for the assessment and notification of conformity
assessment bodies and the monitoring of notified bodies, including compliance with Article
25 27.

2.

Member States may decide that the assessment and monitoring referred to in paragraph 1 shallbe carried out by a national accreditation body within the meaning of and in accordance with
Regulation (EC) No 765/2008.

3.

Where the notifying authority delegates or otherwise entrusts the assessment, notification ormonitoring referred to in paragraph 1 of this Article to a body, which is not a governmental
entity, that body shall be a legal entity and shall comply mutatis mutandis with therequirements laid down in Article 23. In addition, it shall have arrangements to coverliabilities arising out of its activities.

4.

The notifying authority shall take full responsibility for the tasks performed by the bodyreferred to in paragraph 3.

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Article 23
Requirements relating to notifying authorities
1.

A notifying authority shall be established, in such a way that no conflict of interest with
conformity assessment bodies occurs.

1a.

A notifying authority shall be organised and operated so as to safeguard the objectivity andimpartiality of its activities and to avoid conflicts of interest with notified bodies andconformity assessment bodies applying for notification in accordance with Article 28.

2.

A notifying authority shall be organised in such a way that each decision relating to
notification of a conformity assessment body is taken by competent persons different fromthose who carried out the assessment of the conformity assessment bodies applying for
notification in accordance with Article 28.

3.

A notifying authority shall not offer or provide any activities that conformity assessment
bodies perform or consultancy services on a commercial or competitive basis.

4.

A notifying authority shall safeguard the confidentiality of the information it obtains.
However, it shall, upon request, exchange information on notified bodies with theCommission as well as with notifying authorities of other Member States and other relevant
national authorities.

5.

A notifying authority shall have a sufficient number of competent personnel at its disposal forthe proper performance of its tasks.

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Article 24
Information obligation on notifying authorities
Member States shall inform the Commission of their procedures for the assessment and notificationof conformity assessment bodies and the monitoring of notified bodies, and of any changes thereto.
The Commission shall make that information publicly available.
Article 25
Requirements related relating to notified bodies
1.

For the purposes of notification, a conformity assessment body shall meet the requirements
laid down in paragraphs 2 to 11.

2.

A conformity assessment body shall be established under the national law of a Member Stateand have legal personality.

3.

A conformity assessment body shall be a third-party body independent from any and allbusiness ties and from the battery modelbatteries it assesses, in particular from battery
manufacturers, the battery manufacturers’ trade partners, shareholding investors on the battery
manufacturers’ plants and from other notified bodies and the notified bodies’ businessassociations, parent companies or subsidiaries.

4.

A conformity assessment body, its top level management and the personnel responsible forcarrying out the conformity assessment tasks shall not be the designer, manufacturer, supplier,importer, distributor, installer, purchaser, owner, user or maintainer of the batteries which
they assess, nor the representative of any of those parties. This shall not preclude the use of
assessed batteries that are necessary for the operations of the conformity assessment body or
the use of such batteries for personal purposes.

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A conformity assessment body, its top level management and the personnel responsible forcarrying out the conformity assessment tasks shall not be directly involved in the design,
manufacture, marketing, installation, use or maintenance of those batteries, or represent theparties engaged in those activities. They shall not engage in any activity that may conflictwith their independence of judgement or integrity in relation to conformity assessment
activities for which they are notified. This shall in particular apply to consultancy services.
A conformity assessment body shall ensure that the activities of its parent or sister companies,
subsidiaries or subcontractors do not affect the confidentiality, objectivity or impartiality of its
conformity assessment activities.
5.

A conformity assessment body and its personnel shall carry out the conformity assessment
activities with the highest degree of professional integrity and the requisite technicalcompetence in the specific field and shall be free from all pressures and inducements,
particularly financial, which might influence their judgement or the results of its conformity
assessment activities, especially as regards persons or groups of persons with an interest in the
results of those activities.

6.

A conformity assessment body shall be capable of carrying out all the conformity assessment
activities mentionedtasks assigned to it in Annex VIII and, periodical audits in accordancewith Article 45a(1a) and third-party verification in accordance with Article 45d in
relation to which it has been notified, whether those tasks are carried out by the conformity
assessment body itself or on its behalf and under its responsibility.

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At all times, and for each conformity assessment procedure and each battery model set out inAnnex VIII, periodical audits in accordance with Article 45a(1a) and third-party
verification in accordance with Article 45d, and for the batteries in relation to which it
has been notified, a conformity assessment body shall have at its disposal the necessary:(a)in-house personnel with technical knowledge and sufficient and appropriate experienceto perform the conformity assessment activitiestasks;(b)descriptions of procedures in accordance with which conformity assessment is carriedout, ensuring the transparency and the ability of reproduction of those procedures;(c)appropriate policies and procedures to distinguish between activities that it carries out asa notified body and other activities;(d)procedures for the performance of conformity assessment activitiestasks which take due
account of the size of an undertaking, the sector in which it operates, its structure, thedegree of complexity of the battery technology in question and the mass or serial natureof the production process.
A conformity assessment body shall at all times have the means necessary to performthe technical and administrative tasks connected with the conformity assessment
activities in an appropriate manner and shall have access to all necessary testing
equipment or facilities needed for each conformity assessment procedure and each battery
model in relation to which it has been notified. This shall include establishment and thesupervision of internal procedures, general policies, codes of conduct or otherinternal rules, the assignment of personnel to specific tasks and the conformity
assessment decisions, without delegating them to a subcontractor or a subsidiary.

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7.

The personnel responsible for carrying out conformity assessment tasks shall have thefollowing:(a)sound technical and vocational training covering all the conformity assessment activities
in relation to which the conformity assessment body or a third-party verificationbody has been notified;(b)satisfactory knowledge of the requirements of the assessments or verifications they
carry out and adequate authority to carry out those assessments or verifications;(c)appropriate knowledge and understanding of the requirements and obligations set out
in Chapters II and IIIArticles 6 to 10 and 12 to 14 and in Articles 45a to 45e, of theapplicable harmonised standards referred to in Article 15 and common specifications
referred to in Article 16 and of the relevant provisions of Union harmonisation
legislation and of national legislation;(d)the ability to draw up certificates, records and reports demonstrating that conformity
assessments or third-party verification have been carried out.

8.

The impartiality of a conformity assessment body or a third-party verification body, its top
level management and the personnel responsible for carrying out the conformity assessment
activities or third-party verification tasks shall be guaranteed.
The remuneration of the top level management and the personnel responsible for carrying out
the conformity assessments activitiesor third-party verification tasks shall not depend on
the number of conformity assessments carried out or on the results of those assessments.

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9.

A conformity assessment body or a third-party verification body shall take out liability
insurance unless liability is assumed by the state in accordance with national law in the
notifying Member state where its activities are carried out State, or that the Member State
itself is directly responsible for the conformity assessment.

10.

The personnel of a conformity assessment body or a third-party verification body shallobserve professional secrecy with regard to all information obtained in carrying out theconformity assessment activities tasks in accordance with Annex VIII, periodical audits inaccordance with Article 45a(1a), or third-party verification in accordance with Article
45d, except in relation to the competent notifying authority and national authorities of theMember State in which its activities are carried out. Proprietary rights shall be protected.

11.

A conformity assessment body shall participate in, or ensure that its personnel responsible forcarrying out the conformity assessment activities are tasks is informed of, the relevant
standardisation activities and the activities of the notified body coordination group establishedpursuant to Article 37 and shall apply as general guidance the administrative decisions anddocuments produced as a result of the work of that group.
Article 26
Presumption of conformity of notified bodies

Where a conformity assessment body demonstrates its conformity with the criteria laid down in therelevant harmonised standards or parts thereof the references of which have been published in the
Official Journal of the European Union it shall be presumed to comply with the requirements set out
in Article 25 in so far as the applicable harmonised standards cover those requirements.

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Article 27
Subsidiaries of and subcontracting by notified bodies
1.

Where a notified body subcontracts specific tasks connected with conformity assessment or
has recourse to a subsidiary, it shall ensure that the subcontractor or the subsidiary meets therequirements set out in Article 25 and shall inform the notifying authority accordingly.

2.

A notified body shall take full responsibility for the tasks performed by subcontractors or
subsidiaries wherever those are established.

3.

Activities may be subcontracted or carried out by a subsidiary only with the agreement of theclient. The establishment and the supervision of internal procedures, general policies, codes ofconduct or other internal rules, the assignment of personnel to specific tasks and the decisionon certification may not be delegated to a subcontractor or a subsidiary.

4.

A notified body shall keep at the disposal of the notifying authority the relevant documents
concerning the assessment of the qualifications of the subcontractor or the subsidiary and thework carried out by them under Annex VIII and under Articles 45a(1a) and 45d.
Article 28
Application for notification

1.

A conformity assessment body or a third-party verification body shall submit anapplication for notification to the notifying authority of the Member State in which it isestablished.

2.

The application for notification shall be accompanied by a description of the conformity
assessment or third-party verification body activities, of the conformity assessment module
or modules set out in Annex VIII or the procedures set out in Articles 45a(1a) and 45d,and of the battery model batteries for which the conformity assessment body or the thirdparty verification body claims to be competent, as well as by an accreditation certificate,
where applicable, issued by a national accreditation body attesting that the conformity
assessment body or a third-party verification body fulfils the requirements laid down in
Article 25.

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3.

Where the conformity assessment body or a third-party verification body concerned cannot
provide an accreditation certificate as referred to in paragraph 2, it shall provide the notifying
authority with all the documentary evidence necessary for the verification, recognition andregular monitoring of its compliance with the requirements laid down in Article 25, including
appropriate documentation demonstrating that the conformity assessment body is independent
in the meaning of paragraph 3 of that Article.
Article 29
Notification procedure

1.

A notifying authority may notify only conformity assessment bodies or a third-party
verification body which have satisfied the requirements laid down in Article 25.

2.

The notifying authority shall send a notification to the Commission and the other Member
States of each conformity assessment body or a third-party verification body referred to inparagraph 1 using the electronic notification tool developed and managed by the Commission.

3.

The notification shall include full details of the conformity assessment or third-party
verification activities, the conformity assessment module or modules or the procedures set
out in Articles 45a(1a) and 45d, and the batteries concerned and the relevant attestation ofcompetence.

4.

Where a notification is not based on an accreditation certificate as referred to in Article 28(2),the notifying authority shall provide the Commission and the other Member States with
documentary evidence which attests to the conformity assessment body's competence and thearrangements in place to ensure that that body will be monitored regularly and will continue
to satisfy the requirements laid down in Article 25.

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5.

The conformity assessment body concerned may perform the activities of a notified body only
where no objections are raised by the Commission or the other Member States within two
weeks of the notification where it includes an accreditation certificate referred to in Article
28(2) or within two months of the notification where it includes documentary evidence
referred to in Article 28(3)paragraph 4. Only such conformity assessment body shall beconsidered as notified body for the purposes of this Regulation.

6.

The notifying authority shall inform the Commission and the other Member States of any
subsequent relevant changes to the notification referred to in paragraph 2.
Article 30
Identification numbers and lists of notified bodies

1.

The Commission shall assign an identification number to a notified body.
It shall assign a single such number even where the body is notified under several Union acts.

2.

The Commission shall make publicly available the list of notified bodies under thisRegulation, including the identification numbers that have been assigned to them and theconformity assessment activities for which they have been notified.
The Commission shall ensure that the list is kept up to date.
Article 31
Changes to notifications

1.

Where a notifying authority has ascertained or has been informed that a notified body nolonger meets the requirements laid down in Article 25 or that it is failing to fulfil its
obligations the notifying authority shall restrict, suspend or withdraw the notification, as
appropriate, depending on the seriousness of the failure to meet those requirements or fulfil
those obligations. It shall immediately inform the Commission and the other Member Statesaccordingly.

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2.

In the event of restriction, suspension or withdrawal of notification, or where the notified
body has ceased its activity, the notifying authority shall take appropriate steps to ensure thatthe files of that body are either processed by another notified body or kept available for the
responsible notifying and market surveillance authorities at their request.
Article 32
Challenge of the competence of notified bodies

1.

The Commission shall investigate all cases where it doubts, or doubt is brought to its attention
regarding, the competence of a notified body or the continued fulfilment by a notified body of
the requirements and responsibilities to which it is subject.

2.

The notifying authority shall provide the Commission, on request, with all information
relating to the basis for the notification or the maintenance of the competence of the notified
body concerned.

3.

The Commission shall ensure that all sensitive information obtained in the course of its
investigations is treated confidentially.

4.

Where the Commission ascertains that a notified body does not meet or no longer meets therequirements for its notification, it shall adopt an implementing act requesting requiring thenotifying authority Member State to take the necessary corrective action, including
withdrawal of the notification if necessary. That implementing act shall be adopted inaccordance with the advisory procedure referred to in Article74(2).

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Article 33
Operational obligations of notified bodies
1.

A notified body shall carry out conformity assessments in accordance with the conformity
assessment procedures set out in Annex VIII, periodical audits in accordance with Article
45a(1a) or third-party verification in accordance with the procedure set out in Article
45d, as determined by its scope of notificaton.

2.

A notified body shall perform its activities carry out procedures referred to in paragraph 1
in a proportionate manner, avoiding unnecessary burdens for economic operators, and taking
due account of the size of an undertaking, the sector in which the undertaking operates, thestructure of the undertaking, the degree of complexity of the battery to be assessed and themass or serial nature of the production process.
In so doing, the notified body shall nevertheless respect the degree of rigour and the level ofprotection required for the compliance of the battery with this Regulation.

3.

Where a notified body finds that the applicable requirements set out in Chapters II and III,
Articles 6 to 10 and 12 to 14, in corresponding harmonised standards referred to in
Article 15, common specifications referred to in Article 16 or other technical specifications
have not been met by a manufacturer, it shall require that the manufacturer or other relevant
economic operator, to take appropriate corrective action in view of a second and final
certification decision conformity assessment, unless the deficiencies cannot be remedied, inwhich case it shall not issue the certificate cannot be issued of conformity or approval
decision.

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3a.

Where a notified body finds that the requirements set out in Articles 45b or 45c have notbeen met by the economic operator referred to in Article 45a, it shall include thesefindings in the verification report referred to in Article 45d and require that economic
operator to take appropriate corrective actions. It shall not issue an approval decision.

4.

Where, in the course of the monitoring of conformity following the issue of a certificate ofconformity or the adoption of an approval decision, a notified body finds that a battery or the
supply chain due diligence policies no longer complies comply, it shall require the
manufacturer or the economic operator referred to in Article 45a, respectively, to takeappropriate corrective action and shall suspend or withdraw the certificate of conformity or
the approval decision, if necessary.

5.

Where corrective action is not taken or do not have the required effect, the notified body shallrestrict, suspend or withdraw any certificates of conformity or the approval decisions
decision, as appropriate.
Article 34
Appeal against decisions of notified bodies

Member States shall ensure that an appeal procedure against the decisions of notified bodies isavailable.
Article 35
Information obligation on notified bodies
1.

A notified body shall inform the notifying authority of the following:(a)

any refusal, restriction, suspension or withdrawal of a certificate of conformity or
approval decision;(b)

any circumstances affecting the scope of, or the conditions for, its notification;

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(c)

any request for information which it has received from market surveillance authorities
regarding its conformity assessment activities;(d)on request, any conformity assessment activities performed within the scope of its
notification and any other activity performed, including cross-border activities andsubcontracting.

2.

A notified body shall provide other notified bodies carrying out similar conformity
assessment activities or third-party verification activities referred to in Article 45dcovering the same batteries with relevant information on issues relating to:(a)negative and, on request, positive conformity assessment or third-party verification
results;(b)

any suspension, or withdrawal or other restriction of an approval decision.
Article 36
Exchange of experience

The Commission shall provide for the organisation of exchange of experience between the Member
States’ national authorities responsible for notification policy.
Article 37
Coordination of notified bodies
The Commission shall ensure that appropriate coordination and cooperation between notified
bodies are put in place and properly operated in the form of a sectoral group or groups of notified
bodies.
A notified body Notified bodies shall participate in the work of that group or those groups, directly
or by means of designated representatives.

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Chapter VI
Obligations of economic operators other than the obligations in ChapterChapters VI.A andVII
Article 38
Obligations of manufacturers
1.

When placing a battery on the market or putting it into service, including for the
manufacturers’ own purposes, manufacturers shall ensure that the battery:(a)has been designed and manufactured in accordance with the applicable requirements
set out in Articles 6 to 10, Article 12 and Article 14, and is accompanied by clear,understandable and readable instructions, safety information and carbon footprint
declaration, provided under those articles in a language or languages, which canbe easily understood by end-users, as determined by the Member State in which
the battery is to be placed on the market or put into service; and(b)2.

is labelled in accordance with the applicable requirements set out in Article 13.

Manufacturers Before placing a battery on the market or putting it into service,
manufacturers shall draw up the technical documentation referred to in Annex VIII for thebattery and carry out the relevant conformity assessment procedure, as applicable and referred
to, in paragraphs 2 and 3 of Article 17, or have it carried out before placing a battery on themarket or putting it into service.

3.

Where compliance of a battery with the applicable requirements has been demonstrated by therelevant conformity assessment procedure referred to in paragraphs 2 and 3 of Article 17,
manufacturers shall draw up an EU declaration of conformity in accordance with Article 18
and affix the CE marking in accordance with Articles 19 and 20.

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4.

Manufacturers shall ensure that an EU declaration of conformity is drawn up in accordancewith Article 18 in a language which can be easily understood by consumers and other endusers for each battery that they place on the market or put into service.
However, where several batteries are delivered simultaneously to a single user, the batch orconsignment concerned may be accompanied by a single copy of the EU declaration ofconformity.

5.

Manufacturers shall keep the technical documentation referred to in Annex VIII and the EU
declaration of conformity at the disposal of the market surveillance authorities and national
authorities for 10 years after the battery has been placed on the market or put into service.

6.

Manufacturers shall ensure that procedures are in place for a battery that is part of a series
production to remain in conformity with this Regulation. Changes In doing so,
manufacturer shall adequately take in to account changes in the production process or inbattery design or characteristics and changes in the harmonised standards referred to in article
15, common specifications referred to in Article 16 or other technical specifications byreference to which the conformity of the battery is declared or by application of which its
conformity is verified shall trigger a re-examination of the conformity assessment inaccordance with the relevant conformity assessment procedure referred to in paragraphs 2 and
3 of Article 17.

7a.

Manufacturers shall ensure that the battery is labelled in accordance with the requirements inparagraphs 1 to 8 of Article 13 batteries which they place on the market bear a model
identification and batch or serial number, or product number or another element
allowing their identification. Where the size or nature of the battery does not allow it,
the required information shall be provided on the packaging or in a document
accompanying the battery.

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8.

Manufacturers shall indicate on the battery their name, registered trade name or registeredtrade mark and, the postal address, indicating a single contact point, and web address at
which they can and e-mail address, where one exist. Where that is not possible, therequired information shall be contacted provided on the packaging of or in a document
accompanying the battery. The postal address shall indicate a single point at which the
manufacturer can be contacted. Such information contact details shall be in a language or
languages, which can be easily understood by end-users and market surveillance authorities,
as determined by the Member State in which the battery is to be placed on the market
or put into service, and shall be clear, understandable and legible.

9.

Manufacturers shall ensure that each battery that they place on the market or put into service
is accompanied by instructions and safety information in accordance with Articles 6 to 12 andArticle 14.

10.

Manufacturers shall provide access to the data on values of the parameters referred to in
Annex VII through the battery management system in the battery management systemreferred to in paragraph 1 of Article 14 and paragraphs 1 and 2 of Article 59, in accordancewith the requirements laid down in those Articles that Article.

11.

Manufacturers who consider or have reason to believe that a battery which they have placedon the market or put into service is not in conformity with one or more of the applicablerequirements set out in Chapters II and III Articles 6 to 10 or 12 to 14 shall immediately takethe corrective action necessary to bring that battery into conformity, to withdraw it or recall it,
as appropriate. Furthermore, where the battery presents a risk, manufacturers shallimmediately inform the national market surveillance authority of the Member State in which
they made the battery available on the market to that effect, giving details, in particular, of the
non-compliance and of any corrective action taken.

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12.

Manufacturers shall, further to a reasoned request from a national authority , provide itthat
authority with all the information and technical documentation necessary to demonstrate theconformity of the battery with the requirements set out in Chapters IIArticles 6 to 10 and
III12 to 14, in a language or languages, which can be easily understood by that authority.
That information and the technical documentation shall be provided in either paper orelectronic formformat and, on request, in paper format. Manufacturers shall cooperatewith the national authority, at its request, on any action taken to eliminate the risks posed by abattery which they have placed on the market or put into service.
Article 39
Obligation for economic operators that place rechargeable industrial batteries and electricvehicle batteries with internal storage and a capacity above 2 kWh on the market to establish
supply chain due diligence policies

1.

As of [12 months after the entry into force of the Regulation] the economic operator thatplaces rechargeable industrial batteries and electric-vehicle batteries with internal storage anda capacity above 2 kWh on the market shall comply with the supply chain due diligenceobligations set out in paragraphs 2 to 5 of this Article and shall keep documentation
demonstrating its respective compliance with those obligations, including the results of thethird-party verification carried out by notified bodies.

2.

The economic operator referred to in paragraph 1 shall(a)adopt, and clearly communicate to suppliers and the public, a company policy for the
supply chain of raw materials indicated in Annex X, point 1;(b)incorporate in its supply chain policy standards consistent with the standards set out inthe model supply chain policy in Annex II to the OECD Due Diligence Guidance;

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(c)

structure its respective internal management systems to support supply chain due
diligence by assigning responsibility to senior management to oversee the supply chain
due diligence process as well as maintain records of those systems for a minimum of
five years;(d)establish and operate a system of controls and transparency over the supply chain,including a chain of custody or traceability system or the identification of upstream
actors in the supply chain.
Such a system shall be supported by documentation that provides the following
information:(i)

description of the raw material, including its trade name and type;(ii)

name and address of the supplier that supplied the raw material present in thebatteries to the economic operator that places on the market the batteries
containing the raw material in question;(iii) country of origin of the raw material and the market transactions from the raw
material’s extraction to the immediate supplier to the economic operator;(iv) quantities of the raw material present in the battery placed on the market,
expressed in percentage or weight.
The requirements set out in the current point (d) may be implemented throughparticipation in industry-led schemes.

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(e)

incorporate its supply chain policy into contracts and agreements with suppliers,
including their risk management measures;(f)establish a grievance mechanism as an early-warning risk-awareness system or provide
such mechanism through collaborative arrangements with other economic operators ororganisations, or by facilitating recourse to an external expert or body, such as anombudsman.

3.

The economic operator referred to in paragraph 1 shall(a)identify and assess the adverse impacts associated to the risk categories listed in Annex
X, point 2, in its supply chain on the basis of the information provided pursuant toparagraph 2 against the standards of their supply chain policy;(b)

implement a strategy to respond to the identified risks designed so as to prevent or
mitigate adverse impacts by:(i)reporting findings of the supply chain risk assessment to senior management
designated for that purpose;(ii)

adopting risk management measures consistent with Annex II to the OECD Due
Diligence Guidance, considering their ability to influence, and where necessary
take steps to exert pressure on suppliers who can most effectively prevent or
mitigate the identified risk;(iii) implementing the risk management plan, monitoring and tracking performance ofrisk mitigation efforts, reporting back to senior management designated for thispurpose and considering suspending or discontinuing engagement with a supplierafter failed attempts at mitigation, based on relevant contractual arrangements inline with the second subparagraph to paragraph 2 above;(iv) undertaking additional fact and risk assessments for risks requiring mitigation, or
after a change of circumstances.

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If the economic operator referred to in paragraph 1 pursues risk mitigation efforts while
continuing trade or temporarily suspending trade, it shall consult with suppliers and with thestakeholders concerned, including local and central government authorities, international orcivil society organisations and affected third parties, and agree on a strategy for measurable
risk mitigation in the risk management plan.
The economic operator referred to in paragraph 1 shall identify and assess the probability ofadverse impacts in the risk categories listed in Annex X, point 2, in its supply chain based on
available reports by third-party verification done by a notified body concerning the suppliersin that chain, and, by assessing, as appropriate, its due diligence practices. Those verification
reports shall be in accordance with the first subparagraph in paragraph 4. In the absence ofsuch third-party verification reports concerning suppliers, the economic operator referred to inparagraph 1 shall identify and assess the risks in its supply chain as part of its own risk
management systems. In such cases, economic operators referred to in paragraph 1 shall carryout third party verifications of its own supply chains due diligence via a notified body inaccordance with the first subparagraph in paragraph 4.
The economic operator referred to in paragraph 1 shall report the findings of the risk
assessment referred to in the third subparagraph to its senior management designated for that
purpose and a response strategy designed to prevent or mitigate adverse impacts shall be
implemented.
4.

The economic operator referred to in paragraph 1 shall have their supply chain due diligencepolicies verified by a notified body (“third-party verification”).

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The third-party verification by a notified body shall:(a)include in its scope all activities, processes and systems used by economic operators to
implement their supply chain due diligence requirements in accordance with paragraphs
2, 3 and 5;(b)have as its objective the determination of conformity of the supply chain due diligencepractices of economic operators placing batteries on the market with paragraphs 2, 3 and5;(c)make recommendations to the economic operators that place batteries on the market on
how to improve their supply chain due diligence practices;(d)

respect the audit principles of independence, competence and accountability, as set out
in the OECD Due Diligence Guidance;

5.

The economic operator referred to in paragraph 1 shall make available upon request to
Member States’ market surveillance authorities the reports of any third-party verification
carried out in accordance with paragraph 4 or evidence of compliance with a supply chain due
diligence scheme recognised by the Commission in accordance with Article 72.

6.

The economic operator referred to in paragraph 1 shall make available to its immediate
downstream purchasers all information gained and maintained pursuant to its supply chain
due diligence policies with due regard for business confidentiality and other competitive
concerns.
The economic operator referred to in paragraph 1 shall on an annual basis, publicly report as
widely as possible, including on the internet, on its supply chain due diligence policies. That
report shall contain the steps taken by that economic operator to comply with therequirements set out in paragraphs 2 and 3, including findings of significant adverse impacts
in the risk categories listed in Annex X, point 2, and how they have been addressed, as well as
a summary report of the third-party verifications carried out in accordance with point 4,
including the name of the notified body, with due regard for business confidentiality and othercompetitive concerns.

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Where the economic operator referred to in paragraph 1 can reasonably conclude that the raw
materials listed in Annex X, point 1, that are present in the battery are derived only fromrecycled sources, it shall publicly disclose its conclusions in reasonable detail, with due regard
for business confidentiality and other competitive concerns.
7.

The Commission shall develop guidance as regards the application of the due diligencerequirements defined in paragraphs 2 and 3 of this Article, with regard to the social andenvironmental risks referred to in Annex X, point 2, and particularly in line with theinternational instruments referred to in Annex X, point 3.

8.

The Commission is empowered to adopt delegated acts in accordance with Article 73 to:(a)Amend the lists of raw materials and risk categories in Annex X in view of scientificand technological progress in battery manufacturing and chemistries and amendments toRegulation (EU) 2017/821;(b)amend the obligations on the economic operator referred to in paragraph 1 set out inparagraphs 2 to 4 in view of amendments to Regulation (EU) 2017/821 and changes tothe due diligence recommendations set out in Annex I to the OECD Due Diligence
Guidance.

12a. Economic operators that carry out preparing for re-use, preparing for repurpose or
repurposing, or remanufacturing, and place on the market or put into service a battery
that has undergone any of these operations, shall be considered as manufacturer for the
purpose of this Regulation.

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Article 40
Obligations of authorised representatives representative
12.

Where the A manufacturer of a battery is not established in a Member State, the battery may
only be placed on the Union market if the manufacturer designates a sole may, by a written
mandate, designate an authorised representative.

2.

The designation shall constitute the authorised representative'’s mandate, it shall be valid only
when accepted in writing by the authorised representative and shall be effective at least for all
batteries of the same battery model.

3.

The obligations laid down in Article 38(1) and Articles 45a to 45e and the obligation to draw
up technical documentation shall not form part of the authorised representative's mandate.

4.

An authorised representative shall perform the tasks specified in the mandate received fromthe manufacturer. The authorised representative shall provide a copy of the mandate to thecompetentnational authority, upon request. The mandate shall allow the authorised
representative to do at least the following:(a)verify that the EU declaration of conformity and technical documentation have beendrawn up and, where applicable, that an appropriate conformity assessment procedure
has been carried out by the manufacturer(b)keep the EU declaration of conformity and, the updated technical documentation andthe verification report and approval decision referred to in paragraph 4a of Article
45d and the audit reports referred to in paragraph 1a of Article 45a at the disposalof market surveillance national authorities for 10 years after the battery has been placedon the market or put into service;7103/1/22 REV 1
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(c)

further to a reasoned request from a national authority, provide that authority with all
the information and documentation necessary to demonstrate the conformity of the abattery with the requirements set out in Articles 6 to 10 and 12 to 14 in a languageor languages, which can be easily understood by that authority. That informationand the documentation shall be provided in electronic format and, on request, in
paper format;(d)cooperate with the national authorities, at their request, on any action taken to eliminate
the risks posed by batteries covered by the authorised representative's mandate;(e)fulfil the manufacturer’s obligations under Chapter V(f)terminate the mandate if the manufacturer acts contrary to its obligations under thisRegulation.
Article 41
Obligations of importers

1.

Importers shall only place on the market or put into service a battery which is compliant withthe applicable requirements of Chapters II Articles 6 to 10 and III12 to 14.

2.

Before placing a battery on the market or putting it into service, importers shall verify that:(a)the EU declaration of conformity and technical documentation referred to in
Annex VIII have been drawn up and that the relevant conformity assessment
procedure, referred to in Article 17, has been carried out by the manufacturer. They
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(b)

the battery bears the CE marking referred to in Article 19, and the QR code referred toismarked in accordance with Article 13(5),13,(c)

the battery is accompanied by the required documents and thatby instructions andsafety information in a language or languages, which can be easily understood by
end-users, as determined by the Member State in which the battery is to be madeavailabe on the market; and(d)the manufacturer has complied with the obligationsrequirements set out in paragraphs
7, 8 and 9 of Article 3838(7a) and (8).

Where an importer considers or has reason to believe that a battery is not in conformity withthe applicable requirements set out in Chapters II Articles 6 to 10 and III12 to 14, theimporter shall not place itthe battery on the market or put it into service until it has beenbrought into conformity. Furthermore, where the battery presents a risk, the importer shallinform the manufacturer and the market surveillance authorities authority of the Member
States in which it made the battery available on the market to that effect giving details of
the non-compliance and of any corrective action taken.
3.

Importers shall indicate on the battery their name, registered trade name or registered trademark, and the postal address at which they can be contacted or, indicating a single contact
point, and web address and e-mail address, where one exists. Where that is not possible,
the required information shall be provided on its the packaging or in a document
accompanying the battery. The contact details shall be in a language or languages, which canbe easily understood by consumers, other end-users and the market surveillance authorities.

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4.

Importers shall ensure the manufacturer has fulfilled its obligations under paragraphs 7, 9, as
determined by the Member State in which the battery is to be made available on themarket, and shall be clear, understandable and 10 of Article 38 legible.

5.

Importers shall ensure that, while a battery is under their responsibility, storage or transportconditions do not jeopardise its compliance with the applicable requirements set out in
Chapters II and III.

Articles 6. When deemed appropriate with regard to the risks presented by a battery, importers
shall, to protect the human health and safety of consumers, carry out sample testing ofmarketed batteries, investigate, and, if necessary, keep a register of complaints, of nonconforming batteries and battery recalls, and shall keep distributors informed of suchmonitoring to 10 and 12 to 14.
7.

Importers who consider or have reason to believe that a battery, which they have placed on
the market or put into service, is not in conformity with the applicable requirements set out in
Chapters II Articles 6 to 10 and III 12 to 14, shall immediately take the corrective action
necessary to bring that battery into conformity, to withdraw it or recall it, as appropriate.
Furthermore, where the battery presents a risk, importers shall immediately inform thenationalmarket surveillance authority of the Member State in which they made the battery
available on the market to that effect, giving details, in particular, of the non-compliance andof any corrective action taken.

8.

Importers shall, for 10 years after the battery has been placed on the market, keep thetechnical documentation referred to in Annex VIII and a copy of the EU declaration ofconformity at the disposal of the national authorities and market surveillance authorities for
10 years after the battery has been placed on the market or put into service ensure that thetechnical documentation referred to in Annex VIII is made available to thoseauthorities, upon request.

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9.

Importers shall, further to a reasoned request from a national authority, provide itthat
authority with all the information and technical documentation necessary to demonstrate theconformity of a battery with the applicable requirements set out in Chapters II Articles 6 to
10 and III 12 to 14, in a language thator languages, which can be easily understood by that
authority. That information and the technical documentation shall be provided either in paperor electronic form format and, on request, in paper format. Importers shall cooperate with
the national authority, at its request, on any action taken to eliminate the risks posed bybatteries, which they have placed on the market or put into service.
Article 42
Obligations of distributors

1.

When making a battery available on the market, distributors shall act with due care in relation
to the requirements of this Regulation.

2.

Before making a battery available on the market, distributors shall verify that:(a)the manufacturer, for the manufacturer’s authorised representative, importer or other
distributors are battery there is a producer registered on in the territory register of a
Member State producers referred to in accordance with Article 46;(b)

the battery bears the CE marking, referred to in Article 19, and is marked inaccordance with Article 13;(c)the battery is accompanied by the required documents and by instructions and safety
information in a language or languages, which can be easily understood by the
consumers and other end-user inend-users, as determined by the Member State inwhich the battery is to be made available on the market and by instructions and safety
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(d)

the manufacturer and the importer have complied with the requirements set out inparagraphs 7, 9 and 10 of Article 3838(7a) and (8) and Article 41(3) and (4)respectively.

3.

Where a distributor considers or has reason to believe that a battery is not in conformity withany of the applicable requirements set out in Chapters II and III Articles 6 to 10 or 12 to 14,
the distributor shall not make the battery available on the market until it has been brought into
conformity. Furthermore, where the battery presents a risk, the distributor shall inform the
manufacturer or the importer to that effect as well as the relevant market surveillanceauthorities.

4.

Distributors shall ensure that, while a battery is under their responsibility, storage or transportconditions do not jeopardise its compliance with the applicable requirements set out in
Chapters II Articles 6 to 10 and III 12 to 14.

5.

Distributors who consider or have reason to believe that a battery, which they have madeavailable on the market, is not in conformity with any of the applicable requirements set out
in Chapters II and III Articles 6 to 10 or 12 to 14 shall make sure that the corrective action
necessary to bring that battery into conformity, to withdraw it or recall it, as appropriate, aretaken. Furthermore, where the battery presents a risk, distributors shall immediately informthe national authority market surveillance authorities of the Member States in which they
made the battery available on the market to that effect, giving details, in particular, of the noncompliance and of any corrective action taken.

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6.

Distributors shall, further to a reasoned request from a national authority provide it that
authority with all the information and the technical documentation necessary to demonstrate
the conformity of a battery with the applicable requirements set out in Chapters II Articles 6
to 10 and III 12 to 14 in a language that or languages, which can be easily understood by that
authority. That information and the technical documentation shall be provided in paper orelectronic form format and, on request, in paper format. Distributors shall cooperate with
the national authority, at its request, on any action taken to eliminate the risks posed bybatteries that they have made available on the market.
Article 43
Obligations of fulfilment service providers

Fulfilment service providers shall ensure that, for batteries that they handle, the conditions during
warehousing, packaging, addressing or dispatching, do not jeopardise the batteries’ compliance withthe requirements set out in Chapters IIArticles 6 to 10 and III12 to 14.

Article 44
Case in which obligations of manufacturers apply to importers and distributors
An importer or distributor shall be considered a manufacturer for the purposes of this Regulationand that importer or distributor shall be subject to the obligations of the manufacturer under Article
4038, where:(a)a battery is battery is placed on the market or put into service under that importer’s or
distributor’s own name or trademark; orb)a battery already placed on the market or put into service is modified by that importer or
distributor in such a way that compliance with the relevant requirements of this Regulation
may be affected; or(c)the purpose of a battery already placed on the market or put into service is modified by thatimporter or distributor.

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Article 44a
Obligations of economic operators placing on the market batteries that have been subject topreparing for re-use, preparing for repurpose, or repurposing or remanufacturing
1.

Economic operators placing on the market or putting into service batteries that havebeen subject to preparing for re-use, preparing for repurpose or repurposing, orremanufacturing shall ensure that the examination, performance testing, packing andshipment of those batteries, and their components that are subject to any of those
operations, is carried out following adequate quality control and safety instructions.

2.

Economic operators placing on the market or putting into service batteries that havebeen subject to preparing for re-use, preparing for repurpose or repurposing, orremanufacturing shall ensure that the battery that has been subject to any of those
operations, complies with the requirements of this Regulation, and any relevant product,environmental and human health protection and transport safety requirements in otherlegislation, and technical requirements for its specific purpose of use when placed on themarket.
Article 45
Identification of economic operators

Upon1.

Economic operators shall, upon a request of a market surveillance authority or anational authority, for a period of 10 years after the placing on the market of a battery,economic operators shall provide information on the following to the market surveillanceauthorities:(a)the identity of any economic operator that has supplied them with a battery;(b)

the identity of any economic operator to which they have supplied a battery, as well as
the quantity and exact models.

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2.

Economic operators shall be able to provide the information referred to in paragraph 1
for 10 years after they have been supplied with the battery and for 10 years after they
have supplied the battery.

Chapter VI.A
Obligations of economic operators on supply chain due diligence policies
Article 45a
Supply chain due diligence policies
1.

From either 36 months after entry into force of the Regulation or 24 months after the
publication of the guidance referred to in paragraph (39)7, whichever is later, theeconomic operator that places industrial batteries with a capacity above 2 kWh, except
those with exclusively external storage, and electric vehicle batteries on the market, shallcomply with the supply chain due diligence obligations set out in paragraphs 1a and 1b
and Articles 45b, 45c and 45e(1) and shall, to that end, set up and implement supply
chain due diligence policies.

1a.

The economic operator referred to in paragraph 1 shall have its supply chain due
diligence policies verified by a notified body (‘third-party verification’) in accordancewith Article 45d and periodically audited by the notified body to make sure that the
supply chain due diligence policies are maintained and applied in accordance with therequirements set out in Articles 45b, 45c and 45e(1). The notified body shall provide theaudited economic operator with an audit report.

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1b.

The economic operator referred to in paragraph 1 shall keep documentation
demonstrating its respective compliance with the obligations set out in Articles 45b, 45c
and 45e(1), including the verification report and approval decision referred to in Article
45d and the audit reports referred to in paragraph 1a, for ten years after the last battery
manufactured under the relevant supply chain due diligence policies has been placed on
the market.

72.

By 12 months after entry into force of the Regulation, the Commission shall publish
guideline as regards the application of the due diligence requirements defined in Articles
45b and 45c, with regard to the risks referred to in Annex X, point 2, and particularly inline with the international instruments referred to in Annex X, point 3.

83.

The Commission shall regularly review the list of raw materials and risk categories set
out in Annex X and shall be empowered to adopt delegated acts in accordance with
Article 73 to:(a)amend the lists of raw materials in Annex X, point 1, and risk categories in Annex
X, point 2, in view of scientific and technological progress in battery
manufacturing and chemistries and amendments to Regulation (EU) 2017/821.;(b)amend the obligations on the economic operator referred to in paragraph 1 set out
in paragraphs 2 to 4 to ensure consistency with the amendments to Regulation(EU) 2017/821.

3b.

Without prejudice to third subparagraph of Article 2 and to Article 6 for the purpose ofthis Chapter and Annex X of this Regulation ‘risk’ shall mean actual adverse impacts or
potential adverse impacts related to the social and environmental categories laid downin point 2 of Annex X.

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Article 45b
Economic operator’s management system
2.

The economic operator referred to in Article 45a shall:(a)adopt, and clearly communicate to suppliers and the public, a company supply
chain due diligence policy for the supply chain of raw materials indicated in Annex
X, point 1;(b)incorporate in its supply chain due diligence policy standards consistent with theUnited Nations Guiding Principles on Business and Human Rights, the OECD
Guidelines for Multinational Enterprises, and the OECD Guidance for
Responsible Business Conduct, and the standards set out in the model supply chain
policy in Annex II to the OECD Due Diligence Guidance for Responsible Supply
Chains of Minerals from Conflict-Affected and High-Risk Areas50 (‘ OECD Due
Diligence Guidance) and the OECD Due Diligence Guidance for Responsible
Business Conduct (OECD Due Diligence Guidance for RBC).

(c)structure its respective internal management systems to support supply chain due
diligence by assigning responsibility to the most senior level of the economic
operator to oversee the supply chain due diligence policy as well as maintainrecords of those systems for a minimum of ten years;(d)establish and operate a system of controls and transparency over the supply chain,including a chain of custody or traceability system or the identification of
upstream actors in the supply chain.

50

OECD (2016), OECD Due Diligence Guidance for Responsible Supply Chains ofMinerals from Conflict-Affected and High-Risk Areas: Third Edition, OECD
Publishing, Paris, .

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Such a system shall be supported, by documentation that provides the following
information:(i)

description of the raw material, including its trade name and type;(ii)

name and address of the supplier that supplied the raw material present in thebatteries to the economic operator that places on the market the batteries
containing the raw material in question;(iii) country of origin of the raw material and the market transactions from the raw
material’s extraction to the immediate supplier to the economic operator thatplaces the battery on the market;(iv) quantities of the raw material present in the battery placed on the market,
expressed in percentage or weight;(v)

third-party verification reports done by a notified body and concerning the upstream suppliers.

Third party verification reports referred to in point (v) shall be made available to thedown-stream operators of the supply chain.
(e)incorporate its supply chain due diligence policy into contracts and agreementswith suppliers, including risk management measures;(f)establish a grievance mechanism as an early-warning risk-awareness system orprovide such mechanism through collaborative arrangements with other economic
operators or organisations. Insomuch as it may help address grievances received,
companies may in addition facilitate recourse to an external expert or body, suchas an ombudsman or an OECD national contact point to the OECD Guidelines forMultinational Enterprises. The grievance mechanism provided by the company
shall meet the effectiveness criteria set out in the UN Guiding Principles:
legitimacy, accessibility, predictability, equitability, transparency, rightscompatibility, and a source of continuous learning.

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Article 45c
Risk management plan
(39)3.

The economic operator referred to in Article 45a shall:(a)identify risks in its supply chain, associated to the risk categories listed in
Annex X, point 2, including as described in the OECD Due Diligence
Guidance for Responsible Business Conduct, Chapter II, or in a equivalent
way;

(b)

identify and assess any potential or actual adverse impacts associated to therisk, referred to in point (a), in its supply chain on the basis of theinformation provided pursuant to Article 45b and any other relevant
information that is either publicly available or provided by stakeholders
engagement, against the standards of its supply chain policy;(c)design and implement a strategy to respond to the identified risks designed so
as to prevent or mitigate adverse impacts by:(i)reporting findings of the supply chain risk assessment to the mostsenior level of the economic operator assigned in accordance with point(c) of Article 45b;(ii)

adopting risk management measures consistent with Annex II to theOECD Due Diligence Guidance and Chapter II of the OECD Due
Diligence Guidance for RBC, considering their ability to influence, andwhere necessary take steps to exert pressure on suppliers who can mosteffectively prevent or mitigate the identified risk;7103/1/22 REV 1
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(iii) designing and implementing the risk management plan, monitoring andtracking performance of risk mitigation efforts, reporting back to themost senior level of the economic operator assigned in accordance withpoint (c) of Article 45b, and considering suspending or discontinuingengagement with a supplier after failed attempts at mitigation, based on
relevant contracts and arrangements referred to in point (e) of Article
45b;(iv) undertaking additional fact and risk assessments for risks requiring
mitigation, or after a change of circumstances.
3a.

If the economic operator referred to in Article 45a pursues risk mitigation efforts while
continuing trade or temporarily suspending trade, it shall consult with suppliers andwith the stakeholders concerned, including local and national government authorities,
international or civil society organisations and affected third parties, before deciding ona strategy for measurable risk mitigation in the risk management plan referred to inpoint (c)(iii) of paragraph 3.

3b.

The economic operator referred to in Article 45a shall identify and assess theprobability of adverse impacts in the risk categories listed in Annex X, point 2, in its
supply chain making use of available third-party verification reports done by a notified
body and concerning the suppliers in that chain, and, by assessing, as appropriate, theirdue diligence practices. Those verification reports shall be in accordance with Article
45d. In the absence of such third-party verification reports concerning suppliers, or incase such third-party verification reports concerning suppliers are not in accordancewith Article 45d, the economic operator referred to in Article 45a shall identify andassess the risks in its supply chain as part of its own risk management systems. In suchcases, economic operators referred to in Article 45a shall carry out third party
verifications of its own supply chain due diligence via a notified body in accordance with
Article 45d.

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3c.

The economic operator referred to in Article 45a shall report the findings of the risk
assessment referred to in paragraph 3b to its most senior level assigned in accordancewith point (c) of Article 45b, and a strategy, referred to in point (c) of paragraph 3, shallbe implemented.
Article 45d
Third-party verification of supply chain due diligence policies

4.

The third-party verification by a notified body shall:(a)include in its scope all activities, processes and systems used by economic operators
to implement their supply chain due diligence requirements in accordance with
Articles 45b, 45c and 45e(1);(b)

have as its objective the determination of conformity of the supply chain due
diligence practices of economic operators placing batteries on the market with
Articles 45b, 45c and 45e(1);(b bis) where relevant, carry out checks on undertakings and gather information fromstakeholders;(c)make recommendations to the economic operators that place batteries on themarket on how to improve their supply chain due diligence practices;(d)

respect the audit principles of independence, competence and accountability, as set
out in the OECD Due Diligence Guidance.

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4a.

The notified body shall issue a verification report that records the activities undertakenin accordance with the paragraph 4 and their outcomes. Where the supply chain due
diligence policies of the economic operator referred to in Article 45a comply with the
obligations set out in Articles 45b, 45c and 45e(1), the notified body shall issue anapproval decision.
Article 45eDisclosure of information on supply chain due diligence policies

1.

The economic operator referred to in Article 45a shall make available upon request to
Member States’ market surveillance authorities or national authorities the verification
report or approval decision issued in accordance with Article 45d, the audit reports
referred to in paragraph 1a of Article 45a and available evidence of compliance with asupply chain due diligence scheme recognised by the Commission in accordance with
Article 45f.

2.

The economic operator referred to in Article 45a shall make available to its immediate
downstream purchasers all relevant information gained and maintained pursuant to its
supply chain due diligence policies with due regard for business confidentiality andother competitive concerns.

3.

The economic operator referred to in Article 45a shall on an annual basis review andmake publicly available, including on the internet, report on its supply chain due
diligence policies. That report shall contain the data and information on steps taken bythat economic operator to comply with the requirements set out in Articles 45b and 45c,
including findings of significant adverse impacts in the risk categories listed in Annex X,
point 2, and how they have been addressed, as well as a summary report of the thirdparty verifications carried out in accordance with Article 45d, including the name of thenotified body, with due regard for business confidentiality and other competitive
concerns.

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4.

Where the economic operator referred to in Article 45a can reasonably conclude thatthe raw materials listed in Annex X, point 1, that are present in the battery are derived
only from recycled sources, it shall publicly disclose its conclusions in reasonable detail,with due regard for business confidentiality and other competitive concerns.
Article 45f
Recognition of supply chain due diligence schemes

1.

Governments, industry associations and groupings of interested organisations that havedeveloped and oversee due diligence schemes (“scheme owners”) may apply to theCommission to have their supply chain due diligence schemes recognised by theCommission. The Commission shall be empowered to adopt implementing acts
establishing the information requirements that the application to the Commission shallcontain. Those implementing acts shall be adopted in accordance with the examination
procedure referred to in Article 74(3).

2.

Where, on the basis of the evidence and information provided pursuant to theparagraph 1, the Commission determines that the supply chain due diligence scheme
referred to in paragraph 1, enables that economic operators to fulfil the requirements
set out in Articles 45a to 45e of this Regulation, it shall adopt an implementing act
granting that scheme a recognition of equivalence with the requirements set out in thisRegulation. The OECD Centre for Responsible Business Conduct shall be consulted
prior to the adoption of such implementing acts. Those implementing acts shall be
adopted in accordance with the examination procedure referred to in Article 74(3).
When making a determination on the recognition of a due diligence scheme, theCommission shall take into account the diverse industry practices covered by that
scheme and shall have regard to the risk-based approach and method used by that
scheme to identify risks.

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3.

The Commission shall be empowered to adopt implementing acts setting out the criteria
and the methodology according to which the Commission shall determine, in accordancewith paragraph 2, whether supply chain due diligence schemes ensure that economic
operators fulfil the requirements set out in Articles 45a to 45c and 45e of thisRegulation. Those implementing acts shall be adopted in accordance with theexamination procedure referred to in Article 74(3). The Commission shall also, as
appropriate, periodically verify that recognised supply chain due diligence schemes
continue to fulfil the criteria that led to a recognition of equivalence decision adopted
pursuant to paragraph 2.

4.

The owner of a supply chain due diligence scheme for which the recognition ofequivalence was granted in accordance with paragraph 2 shall inform the Commission
without delay of any changes or updates made to that scheme. The Commission shallassess whether such changes or updates affect the basis for the recognition ofequivalence of that scheme and take appropriate action.

5.

If there is evidence of repeated or significant cases where economic operators
implementing a scheme recognised in accordance with paragraph 2 have failed to fulfil
the requirements set out in Article 45a to 45e of this Regulation, the Commission shall
examine, in consultation with the owner of the recognised scheme, whether those cases
indicate deficiencies in the scheme.

6.

Where the Commission identifies a failure to comply with the requirements set out in
Articles 45a to 45e of this Regulation or deficiencies in a recognised supply chain due
diligence scheme, it may grant the scheme owner an appropriate period of time to takeremedial action.

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7.

Where the scheme owner fails or refuses to take the necessary remedial action, andwhere the Commission has determined that the failure or deficiencies referred to inparagraph 6 compromise the ability of the economic operator referred to in Article
45a(1) implementing a scheme to comply with the requirements set out in Articles 45a to
45e of this Regulation or where repeated or significant cases of non-compliance by
economic operators implementing a scheme are due to deficiencies in the scheme, theCommission shall adopt an implementing act withdrawing the recognition ofequivalence of the scheme. Those implementing acts shall be adopted in accordance withthe examination procedure referred to in Article 74(3).

8.

The Commission shall establish and keep up-to-date a register of recognised supply
chain due diligence schemes. That register shall be made publicly available on theinternet.
Chapter VII
End-of-life management of batteries
Management of waste batteries
Article 45g
Competent authority

1.

Member States shall designate one or more competent authorities responsible forcarrying out obligations arising from this Chapter and monitoring and verifying
compliance of the producers and producer responsibility organisations with thoserequirements.

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2.

Member States shall lay down the details of the competent authority’s or authorities’organisation and operation, including the administrative and procedural rules toensure:(a)the registration of producers in accordance with Article 46;(b)

the authorisation of producers and producer responsibility organisations inaccordance with Article 47b;(c)the oversight of implementation of extended producer responsibility obligations inaccordance with Article 47a;(d)

the collection of data on batteries and waste batteries in accordance with Article
61;

(e)

making information available in accordance with Article 62.
Article 46
Register of producers

1.

Member States shall establish a register of producers which shall serve to monitor
compliance of producers with the requirements of this Chapter. The register shall be
managed by the competent authority.

2.

Producers shall be obliged to register in the register referred to in paragraph 1. They
shall to that end submit an application to the competent authority of the for registration ineach Member State where they make a battery available on the market for the first time.
Where a producer has appointed a producer responsibility organisation in accordance with
Article 47(2 47a(1), the obligations under this article shall be met by that organisation
mutatis mutandis unless otherwise specified. by the Member State.

In its

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The obligations under this Article may, on producer’s behalf, be met by an authorised
representative for the EPR.
Producers shall not make available batteries, including those incorporated in appliances,
light means of transport or vehicules, on the market of a Member State, if they or, incase of authorisation, their authorised representatives for the EPR, are not registered insuch Member State.
2b.

The application for registration, the producer shall provideinclude the following information
to the competent authority:(a)name and brand names (if available) under which the producer operate in theMember State and address of the producer including postal code and place, street andnumber, country, telephone and fax numbers, if any, internet web address and e-mailaddress, indicating a single contact point;(b)national identification code of the producer, including its trade register number or
equivalent official registration number including and the European or national tax
identification number;(c)in the case of an authorisation in accordance with Article 47(2), the producer
responsibility organisation shall, in addition to the information required under points(a) and (b), provide(i)the name and contact details, including postal code and place, street and number,country, telephone and fax numbers, internet address and e-mail address of the
producers represented;(ii)

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(iii) where the authorised representative represents more than one producer, separate
indications of the name and the contact details of each one of the represented
producers.
(d)the type the category, or categories, of batteries that the producer intends to makeavailable on the market for the first time within the territory of a Member State, namely
portable batteries, industrial batteries, LMT batteries, electric vehicle batteries, or
automotive SLI batteries;(e)the brand under which the producer intends to supply the batteries in the Member State;(fd) information on how the producer meets its responsibilities set out in Article 47 and therequirements under ArticleArticles 48, 48a and Article 49 respectively:(i)for portable batteries or LMT batteries, the requirements of this point (fd) shallbe met by providing:a declaration demonstrating- information in written form on the measures put inplace by the producer to attain the producer responsibility obligations set out in
Article 47, the measures put in place to meet the separate collection obligations
set out in ArticleArticles 48(1) or 48a(1) with regard to the amount of batteries
the producer supplies makes available on the market in the Member State andthe system to ensure that the data reported to the competent authorities is reliable;-

where applicable, the name and contact details, including postal code andplace, street and number, country, telephone and fax numbers, internet, web
address and e-mail address and the national identification code of the producer
responsibility organisation entrusted by the producer to fulfil its extended
producer responsibility obligations in accordance with paragraphs 2 and 4 of
Article 47(2 47a(2), including the trade register number or an equivalent official
registration number of the producer responsibility organisation including and theEuropean or national tax identification number of the producer responsibility
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(ii)

for automotiveSLI batteries, industrial batteries and electric vehicle batteries,
the requirements of this point (f) shall be met by providing:a declaration providing- information in written form on the measures put in placeby the producer to attain the producer responsibility obligations set out in Article
47, the measures put in place to meet the collection obligations set out in Article
49(1) with regard to the amount of batteries the producer supplies andmakes
available on the market in the Member Stateand the system to ensure that thedata reported to the competent authorities is reliable;-

where applicable, the name and contact details, including postal codeand place, street and number, country, telephone, web address and e-mailaddress andthe national identification code of the producer responsibility
organisation entrusted by the producer to fulfil its extended producer
responsibility obligations in accordance with paragraphs 2 and 4 of Article 47,
including the trade register number or an equivalent official registration number ofthe producer responsibility organisation includingand the European or nationaltax identification number of the producer responsibility organisation, and therepresented producer’s mandate;.
where(e)a statement by the producer or, where applicable, producer’s

authorised representative or the producer responsibility organisation represents
more than one producer, it shall indicateappointed in accordance with Article
47a(1), stating that the information provided is true.

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2c.

In the case of an authorisation in accordance with Article 47a(1), the producer
responsibility organisation shall, in addition to the information required underparagraph 2b, provide:(a)the names and contact details, including postal codes and places, streets andnumbers, countries, telephones, web addresses and e-mail addresses of the
producers represented;(b)

the mandate of each represented producer, where applicable;(c)information indicating separately how each one of the represented producers meets the
responsibilities set out in Article 47.

(g)

a declaration by the producer or information how the producer responsibility
organisation meets the responsibilities in the case the producer responsibility
organisation is appointed in accordance withaccording to Article 47(2) stating that the
information provided is true47a(1).

2d.

Without prejudice to paragraph 2b, the information laid down in point (d) of thatparagraph shall be provided either in the application for the registration underparagraph 2b or in the application for authorisation under Article 47b. In the latter
case, the application for registration shall include at least information on either
individual or collective fulfilment of the extended producer responsibility.

2e.

Member States may request additional information or documents, as necessary, toefficiently use the register referred to paragraph 1.

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2f.

In the case that obligations under this Article are, on producer’s behalf, met by anauthorised representative for the EPR that represents more than one producer, in
addition to the information required under paragraph 2, it shall provide separate
indications of the name and the contact details of each one of the represented producers.

2g.

Member State may decide that the registration procedure pursuant to Article 46 and theauthorization procedure pursuant to Article 47b constitute a single procedure, provided
that the application meets the requirements set out in Article 46(2b) to (2f).

3.

The competent authority:(a)shall receive applications for the registration of producers referred to in paragraph 2b
via an electronic data-processing system the details of which shall be made available on
the competent authorities’ website;(b)shall grant registrations and provide a registration number within a maximum period of
six twelve weeks from the moment that all the information laid down in paragraph 2
paragraphs 2, 2b and 2c is provided;(c)may lay down modalities with respect to the requirements and process of registration
without adding substantive requirements to the ones laid down in paragraph 2
paragraphs 2, 2b and 2c;(d)may charge cost-based and proportionate fees to producers for the processing of
applications referred to in paragraph 2.

3a.

Competent authority may refuse or withdraw the producer’s registration where theinformation outlined in paragraph 2b and related documentary evidence is not provided
or is not sufficient or in case the producer no longer meets the requirements set inparagraph 2b.

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4.

The producer, or, where applicable, producer’s authorised representative or the
producer responsibility organisation appointed in accordance with Article 47(2) on behalfof the producers it represents shall without undue delay notify the competent authority of
any changes to the information contained in the application for registration and of any
permanent cessation as regards the making available on the market within the territory of
the Member State of the batteries referred to in the registration in accordance withparagraph 12b(d). A producer shall be excluded from the register if it has ceased toexist.
Article 47
Extended Producer Responsibility

1.

Producers of batteries shall have extended producer responsibility for batteries that they makeavailable on the market for the first time within the territory of a Member State, to ensure theattainment of the waste management obligations set out in that shall be in compliance withthe requirements of Article 8 and Article 8a of Directive 2008/98/EC and of this Chapter.
This responsibility shall include the obligation to:2.

An economic operator making available on the market for the first time within the
territory of a Member State a battery that results from preparing for reuse, preparing
for repurpose, repurposing or remanufacturing operations shall be considered as the
producer of such battery for the purpose of this Regulation and shall have an extended
producer responsibility.

3.

A producer referred to in Article 2, point (37)(iv) shall appoint an authorised
representative for the EPR in each Member State it sells batteries. Such appointment
shall be by written mandate.

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4.

The financial contributions paid by the producer shall cover the following costs for the
products that the producer makes available on the market in the Member State
concerned:(a)organise thecosts of separate collection of waste batteries in accordance with Article 48
and Article 49 and theand their subsequent transport, preparation for repurposing andremanufacturing, treatment and recycling, taking into account any revenues frompreparing for re-use or preparing for repurpose or from the value of secondary
raw material from recycled waste batteries, including the necessary safety measures,in accordance with Article 56;(b)report on obligations relating to batteries made available on the market for the first timewithin the territory of a Member State in accordance with Article 61;(c)promote the separate collection of batteries, including by covering the(b)costs of carrying out surveys to identify batteries discarded inappropriately by enduserscompositional survey of collected mixed municipal waste in accordance with
Article 48(1Articles 48(12) and 48a(6);(dc) providecosts of providing information including end-of-life information abouton
prevention and management of waste batteries in accordance with Article 60;(e)finance the activities referred to in points (a) to (d).

2(d)

costs of data gathering and reporting to the competent authorities in accordancewith Article 61.

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5.

In case of making available batteries that have been subject to preparing for reuse, preparing for repurpose, repurposing or remanufacturing, both the producersof the original batteries and the producers of batteries that are placed on themarket as a result of the abovementioned operations, may establish and adjust a
cost sharing mechanism based on the actual attribution of the costs between the
different producers, to share the costs referred to in points (a), (c) and (d). Where abattery, in accordance with paragraph 2 of this article, is subject to more than one
extended producer responsibility, the first producer making that battery available
on the market shall not bear additional costs as a result of such mechanism. The
Commission shall facilitate the exchange of information and sharing of bestpractices among Member States on such cost sharing mechanisms.
Article 47a
Producer Responsibility Organisation

1.

Producers may entrust a producer responsibility organisation authorised in accordance withparagraph 6Article 47b to carry out the extended producer responsibility obligations on theirbehalf. Member States may adopt measures to make the entrustment of a producer
responsibility organisation mandatory for selected category or categories of batteries.
Such measures shall be justified on the basis of the specific charateristics of a certain
category of batteries placed on the market and related waste managemet charateristics.

3.

Producers and, where appointed in accordance with paragraph 2, producer responsibility
organisations acting on their behalf shall:(a)have the necessary organisational and financial means to fulfil the extended producer
responsibility obligations referred to in paragraph 1;(b)

put in place an adequate self-control mechanism, supported by regular independent
audits, to regularly appraise:(i)their financial management, including compliance with the requirements laid down inparagraph 1(e) and point (a) of this paragraph;(ii)

the quality of data collected and reported in accordance with paragraph 1(b) of this
Article and with the requirements of Regulation (EC) No 1013/2006.

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4 2. In the case of a collective exercise fulfilment of extended producer responsibility obligations,producer responsibility organisations shall ensure that the financial contributions paid tothem by producers:(a)are modulated in accordance with the requirements laid down in point (b) ofparagraph 4 of Article 8a Directive 2008/98/EC and, as a minimum by battery
typecategory and battery chemistry and, as appropriate, taking into account as
appropriate the rechargeability and, the level of recycled content in the manufacture ofbatteries and the fact that the batteries were subject to preparing for reuse,
preparing for repurpose, repurposing or remanufacturing;(b)

are adjusted to take account of any revenues by the producer responsibility
organisations from preparing for reuse andor preparing for repurpose or fromsalesthe value of secondary raw materials from the batteries andrecycled waste
batteries;(c)ensure equal treatment of producers regardless of their origin or size, without placing adisproportionate regulatory burden on producers, including small and medium sizedenterprises, of small quantities of batteries.

5.

Where, in accordance with Articles 48(2), 49(3), 53(1), 56(1), and paragraphs 1, 2 and 3 ofArticle 61, activities to carry out obligations referred to in points (a) to (d) of paragraph 1 arecarried out by a third party other than a producer or a producer responsibility organisation, thecosts to be covered by producers shall not exceed the costs that are necessary to provide those
activities in a cost-efficient way. Such costs shall be established in a transparent way between
the producers and the third parties concerned and adjusted to take account of any revenues
from reuse and from sales of secondary raw materials from the batteries and waste batteries.

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6.

Producer responsibility organisations shall apply for an authorisation from the competentauthority. The authorisation shall be granted only where it is demonstrated that the measures
put in place by the producer responsibility organisation are sufficient to meet the obligations
set out in this Article with regard to the amount of batteries made available on the market for
the first time within the territory of a Member State by the producers on whose behalf it acts.
The competent authority shall in regular intervals, verify whether the conditions for theauthorisation laid down in paragraphs 1, 3, 4 and 5 continue to be met. The competentauthorities shall fix the details of the authorisation procedure and the modalities for verifying
compliance, including the information to be provided by producers to that end.
Producer responsibility organisations shall notify the competent authority without undue
delay of any changes to the information contained in the application for an authorisation, of
any changes that concern the terms of the authorisation and of the permanent cessation ofoperations.

3.

Where, in the territory of a Member State, multiple producer responsibility organisations areauthorised to fulfil extended producer responsibility obligations on behalf of producers, theyshall carry out their extended producer responsibility obligations in a coordinated manner so
as to ensure a coverage across the whole territory of the Member State of the activities underparagraph 1(ain accordance with Articles 48(1), 48a(1) and 49(1). Member States shallentrust the competent authority or appoint an independent third party to oversee that producer
responsibility organisations fulfil their obligation to coordinate in accordance with theprevious sentencecoordinated manner.

7.

In order to demonstrate compliance with paragraph 3(a), producers or, where appointed inaccordance with paragraph 2, producer responsibility organisations acting on their behalf,shall provide a guarantee which may take the form of a recycling insurance or a blocked bankaccount, or participation by the producer in a producer responsibility organisation.

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84.

Producer responsibility organisations shall ensure the confidentiality of the data in its
possession as regards proprietary information or information directly attributable to individual
producers or their authorised representatives.

95.

Producer In addition to the information referred to in point (e) of paragraph 3 of Article
8a of Directive 2008/98/EC, producer responsibility organisations shall publish thefollowing information on their websites by the end ofat least each year, subject to commercial
and industrial confidentiality:(a)ownership of the producer responsibility organisation;(b)list of producers that have entrusted the producer responsibility organisation to carry out
their extended producer responsibility obligations on their behalf;(c), the information on the rate of separate collection of waste batteries, the level ofrecycling and recycling efficiencies and levels of recovered materials achieved basedon the amount of batteries made available on the market for the first time in the Member
State by their member producers;(d)the financial contributions paid by their member producers per battery or per weight ofbatteries, indicating also fee modulation categories applied in accordance withparagraph 4(a)which entrusted the producer responsibility organisation.

106. The competent authorities shall verify compliance of producers, including those that supply
batteries by means of distance contracts and, where appointed in accordance with In addition
to information referred to in paragraph 25, producer responsibility organisations acting
shall make publicly available information on their behalf, with the obligations set out inthis Article.

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11.

Member States shall establish a mechanism to ensure a regular dialogue between relevant
stakeholders involved in the fulfilment of extended producer responsibility obligations forbatteries, including producers and distributors, private or public selection procedure forwaste management operators, local authorities, civil society organisations and, whereapplicable, social economy actors, re-use and repair networks and preparing for re-use
operators referred to in Article 47a(8) .

127.

Where necessary to avoid distortion of the internal market, the Commission is shall beempowered to adopt an implementing act laying down criteria for the application ofparagraph 42(a). That implementing act cannot concern the a precise determination of thelevel of the contributions. That implementing acts shall be adopted in accordance with theexamination procedure referred to in Article 74(3).

13.
8.

Articles 8 and 8a of Directive 2008/98/EC shall not apply to batteries.
Waste management operators referred to in Article 48(2a), 48a(5), Article 49(4), Article
50(3), Article 52(1), Article 53(2) and Article 54 shall be subject to a non-discriminatory
selection procedure, based on transparent award criteria, by producer responsibility
organisations, without placing disproportionate burden on small and medium sizedenterprises.
Article 47b
Authorisation on fulfilment of extended producer responsibility

1.

A producer, in the case of individual fulfilment of extended producer responsibility
obligations, and producer responsibility organisations appointed in the case of collective
fulfilment of extended producer responsibility obligations, shall apply for an
authorisation from the competent authority.

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2.

The authorisation shall be granted only where it is demonstrated that:(a)requirements laid down in points (a) to (d) of paragraph 3 of Article 8a of the
Direcitve 2008/98/EC are complied with and the measures put in place by the
producer or producer responsibility organisation are sufficient to meet the
obligations set out in this Chapter with regard to the amount of batteries madeavailable on the market for the first time within the territory of a Member State by
the that producer or that producers on whose behalf the producer responsibility
organisation acts; and.

(b)where it is demonstrated, by providing documentary evidence, that therequirements of paragraphs 1, 2 and 3 of Article 48 or requirements of paragraphs
1, 2 and 4 of Article 48a are met and that all the arrangements are in place to allow
attaining and maintaining durably at least the collection target referred to in
Article 48(4) and Article 48a(3), respectively.

(c)3.

requirement laid down in paragraph 7of Article 47b is complied with.

Member State shall, in its measures laying down administrative and procedural rules
referred to in Article 45g(2)(b), include the details of the authorisation procedure, which
can be different for either individual or collective fulfilment of the extended producer
responsibility, and the modalities for verifying compliance, including the information to
be provided by producers or producers responsibility organisations to that end. The
authorisation procedure shall include requirement on the verification of thearrangements put in place to ensure compliance with the requirements laid down inparagraphs 1 and 2 of Article 48 and paragraphs 1, 2 and 4 of Article 48a, andtimeframes for this verification, which shall not exceed twelve weeks from thesubmission of a complete application dossier. This verification may be done by anindependent expert that shall issue a verification report on the result of verification.

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4.

The producer or the producer responsibility organisations shall notify the competentauthority without undue delay of any changes to the information contained in theapplication for an authorisation, of any changes that concern the terms of theauthorisation or of the permanent cessation of operations.

5.

The self-control mechanism provided in point (d) of paragraph 3 of Article 8a of the
Directitve 2008/98/EC shall be carried out regularly, and at least every three years, inorder to verify that the provisions in point (d) of paragraph 3 of Article 8a of the
Directitve 2008/98/EC and whether the conditions for the authorisation continue to be
met. The producer or the producer responsibility organisations shall present uponrequest, the self-control report and, if necessary, the draft corrective action plan to thecompetent authority, which may shall make its observations known. When thecompetent authority makes its observation known, the producer or the producer
responsibility organisations shall draw up the corrective action plan, taking into accountthe observations of the competent authority.

6.

The competent autority may on its own discretion decide to revoke the relevant
authorisation if collection targets set out in Article 48(4) or Article 48a(3) are not met or
the producer or producer responsibility organisation no longer fulfils the requirementswith regard to the organisation of the collection and treatment of waste batteries or fails
in relation to reporting to the competent authority or notification of any changes thatconcern the terms of the authorisation, or has ceased operations.

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7.

A producer, in the case of individual fulfilment of extended producer responsibility
obligations, and producer responsibility organisations appointed in the case of collective
fulfilment of extended producer responsibility, shall provide a guarantee intended tocover the costs related to waste management operations due by the producer, or the
producer responsibility organisation, in case of non compliance with the extended
producer responsibility obligations, including in case of permanent cessation of its
operations or insolvency. Member state may specify additional requirements on thisguarantee.
In case of State run producer responsibility organisation, such guarantee may not beprovided by the organisation itself and may have the form of a public fund, financed byproducers’ fees, for which the Member State running the organisation is jointly andseverely liable .
Article 48
Collection of waste portable batteries

1.

Producers or, where appointed in accordance with Article 47(247a(1), producer responsibility
organisations acting on their behalf, shall ensure the collection of all waste portable batteries,
regardless of their naturechemical composition, condition, brand or origin, in the territory ofa Member State where they make batteries available on the market for the first time. For that
purpose they shall:(a)establish waste portable battery take back and collection systems, which include
collection points;(b)offer the collection of waste portable batteries, free of charge, to the entities referred toin paragraph 2(a) and provide for the collection of waste portable batteries from all
entities that have made use of that offer (“connected collection points”);

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(c)

provide for the necessary practical arrangements for collection and transport, including
the provision, free of charge, of suitable collection and transport containers meeting therequirements of Directive 2008/982008/68/EC51 to the connected collection points;(d)ensure the collection, free of charge, of the waste portable batteries collected by theconnected collection points, with a frequency that is proportionate to the area covered
and the volume and hazardous nature of the waste portable batteries usually collected
through those collection points;(da) ensure the collection, free of charge, of the waste portable batteries removed fromwaste electrical and electronic equipment in waste electrical and electronicequipment treatment and recycling facilities, with a frequency that is
proportionate to the volume and hazardous nature of the waste portable batteries
usually removed in those treatment and recycling facilities;(e)ensure that the waste portable batteries collected from the connected collection points
and from waste electrical and electronic equipment treatment and recycling
facilities are subsequently subject to treatment and recycling in a permitted facility by awaste management operator in accordance with Article 56.

2.

Producers or, where appointed in accordance with Article 47(247a(1), producer responsibility
organisations acting on their behalf, shall ensure that the network of connected take back andcollection points system for waste portable battery :(a)consists of collection points provided by them in cooperation with one or more of thefollowing :(i)distributors in accordance with Article 50;(ii)waste electrical and electronic equipment and end-of-life vehicle treatment andrecycling facilities in accordance with Article 52;

51

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(iii) public authorities, or third parties carrying out waste management on their behalf,in accordance with Article 53;(iv iiiv)(v)

voluntary collection points in accordance with Article 54;

waste electrical and electronic equipment treatment and recycling facilities inaccordance with Directive 2012/19/EC.

(b)covers the whole territory of the Member State taking into account population size,
expected volume of waste portable batteries, accessibility and vicinity to end-users, notbeing limited to areas where the collection and subsequent management of waste
portable batteries is profitable.

3.

End -users, when discarding waste portable batteries at collection points referred to inparagraph 2, shall not be charged or be obliged to buy a new battery.

4.

Producers or, where appointed in accordance with Article 47(2 47a(1), producer responsibility
organisations acting on their behalf, shall attain, and maintain durably, at least the following
collection targets of waste portable batteries, calculated as percentages of the portablebatteries, excluding batteries from light means of transport, made available on the market for
the first time in a Member State by the respective producer or collectively by the producers
covered by a producer responsibility organisation:(a)

45 % by 31 December 2023 24 months after entry into force of the Regulation;(b)

65 % by 31 December 202572 months after entry into force of the Regulation;(c)

70 % by 31 December 203096 months after entry into force of the Regulation .

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Producers or, where appointed in accordance with Article 47(247a(1), producer responsibility
organisations acting on their behalf, shall calculate the collection rate referred to in thisparagraph in accordance with Annex XI.
5.

Collection points set up in accordance with paragraphs 1 and points (i), (iii) and (iv) of
paragraph 2(a) shall not be subject to the registration or permit requirements of Directive
2008/98/EC.

6.

Producers Member State may adopt measures to require that the cCollection points
mentioned in paragraph 2 may collect waste portable batteries only if they haveconcluded a contract with the producers or, where appointed in accordance with Article
47(247a(1), producer responsibility organisations shall request an authorisation from thecompetent authority that shall verify compliance of the arrangements put in place to ensurecompliance with the requirements of this Article. In case the authorisation is requested by a
producer responsibility organisation, the request for authorisation shall clearly identify theactive member producers that it is representing.

7.

The producer responsibility organisation shall ensure the confidentiality of the data in its
possession as regards proprietary information or information directly attributable to individual
producers. The competent authority may in its authorisation, establish conditions to be met tothat end.

8.

The authorisation under paragraph 6 may be granted only where it is demonstrated, by
providing documentary evidence, that the requirements of paragraphs 1, 2 and 3 of this
Article are met and that all the arrangements are in place to allow attaining and maintaining
durably at least the collection target referred to in paragraph 4. Where the authorisation isrequested by a producer responsibility organization, it shall be obtained as part of theauthorisation referred to in Article 47(6).

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9.

The competent authority shall establish the details of the procedure to grant the authorisation
under paragraph 6 to ensure compliance with the requirements set out in paragraphs 1 to 4 andArticle 56. This shall include the requirement of an independent experts’ report for an ex-ante
verification of the arrangements for collection under this article being made in a way to ensurecompliance with the requirements under this Article. It shall also include timeframes forverification of the respective steps and the decision to be taken by the competent authority,
which shall not exceed six weeks from the submission of a complete application dossier.

10.

The competent authority shall review regularly, and at least every three years, whether theconditions for the authorisation under paragraph 6 still are met. The authorisation may be
revoked when the collection target set out in paragraph 4 is not met or the producer or
producer responsibility organisation is in material breach of its obligations according toparagraphs 1 to 3.

11.

The producer Every five years the Member States shall carry out a compositional surveyof collected mixed municipal waste and waste electric and electronic equipment streams
to determine the share of waste portable batteries therein. The first survey shall be
carried out by 24 months after the date of entry into force of this Regulation. On thebasis of the information obtained, the competent authorities may require, that the
producers of portable batteries or producer responsibility organisations take corrective
action to increase their network of connected collection points and carry out information
campaigns in accordance with Article 60(1).

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8.

Due to the expected development of the market and increase of the estimated lifetime ofrechargeable portable batteries, in order to better capture the actual volume of portablebatteries waste available for collection, the Commission shall be empowered to adopt, by
48 months after entry into force of the Regulation delegated acts in accordance with
Article 73 to amend the methodology to calculate the collection rate of portable batteries
laid down in Annex XI and amend the target laid down in paragraph 4 to adapt the rate
to the new methodology while maintening equivalent ambition and timelines.

Article 48aCollection of waste LMT batteries
1.

Producers of LMT batteries or producer responsibility organisations, shall take back,free of charge and without an obligation on the end user to buy a new battery, nor tohave bought the battery from them, all waste LMT batteries regardless of their chemicalcomposition, condition, brand, or origin in the territory of a Member State where they
make batteries available on the market for the first time. For that purpose, they shalltake back waste LMT batteries, from end-users or from take back and collection
systems which include collection points provided in cooperation with:(a)distributors of LMT batteries in accordance with Article 50(1);(b)

waste electrical and electronic equipment treatment and recycling facilities
referred to in Article 52 for the waste LMT batteries arising from their operations;(c)public waste management authorities, or third parties carrying out waste
management on their behalf, in accordance with Article 53.

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Member State may adopt measures to require that tThe entities referred to in points (a),(b) and (c) of the first subparagraph may collect waste LMT batteries only if they have acontract with the producers or their producer responsibility organisations.
2.

The take back arrangements put in place in accordance with paragraph 1 shall cover thewhole territory of a Member State taking into account population size and density,
expected volume of waste LMT batteries, accessibility and vicinity to end-users, notbeing limited to areas where the collection and subsequent management of waste LMT
batteries is most profitable.

3.

Producersor, where appointed in accordance with Article 47(247a(2), the producer
responsibility organisation acting on its behalf, shall immediately notify the competentauthority of any changes to the conditions covered by the application for authorisationreferred to in paragraph 7, of any changes that concern the terms of the authorisation underparagraph 8, and of the permanent cessation of operations.organisations, shall attain, andmaintain durably, at least the following collection targets of waste LMT batteries:

12(a)

54 % by 96 months after entry into force of the Regulation

Producers or producer responsibility organisations shall calculate the collection rate
referred to in this paragraph in accordance with Annex XI.]

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4.

Producers of LMT batteries or producer responsibility organisations, shall:(a)provide the collection points referred to in paragraph 1 with suitable collection
infrastructure for the separate collection of waste LMT batteries meeting theapplicable safety requirements and cover the necessary costs incurred by thosecollection points in relation to the take back activities. The containers for collection
and temporary storage of such waste batteries at the collection points shall beadequate to provide for the volume and hazardous nature of waste LMT batteries
that are likely to be collected through those collection points;(b)collect waste LMT batteries from the collection points referred to in paragraph 1
with a frequency that is proportionate to the storage capacity of the separate
collection infrastructure and the volume and hazardous nature of waste batteries
that are usually collected through those collection points;(c)provide for the delivery of waste LMT batteries collected from end-users and fromthe collection points referred to in paragraph 1 to facilities for treatment andrecycling in accordance with Article 56.

5.

The entities referred to in points (a), (b) and (c) of paragraph 1 may hand over collected
waste LMT batteries to waste management operators referred to in Article 47a(8) for
treatment and recycling in accordance with Article 56. In such cases, the obligation of
producers pursuant to paragraph 4(c) shall be deemed to be met.

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6.

Every five years the Member States shall carry out aIn the compositional survey at least at
NUTS 2 level of collected mixed municipal waste and waste electric and electronic equipment
streams tocarried out in accordance with Article 48(7) Member States shall determine theshare of waste portableLMT batteries therein. The first survey shall be carried out by 31
December 2023in the collected mixed municipal waste. On the basis of the information
obtained, the competent authorities may require, when granting or reviewing an authorisation
under paragraphs 6 and 10 that the producers of portableLMT batteries or producer
responsibility organisations take corrective action to increase their network of connectedcollection points and carry out information campaigns in accordance with Article 60(1) inproportion.

7.

Due to the shareexpected development of the market and increase of the estimatedlifetime of LMT batteries, in order to better capture the actual volume of waste
portableLMT batteries in mixed municipal waste and waste electric and electronic equipment
streams detected in the surveyavailable for collection, the Commission shall be empoweredto adopt, by 48 months after entry into force of the Regulation, delegated acts inaccordance with Article 73 to amend the methodology to calculate the collection rate ofwaste LMT batteries laid down in Annex XI and amend the target laid down inparagraph 3, accordingly.

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Article 49
Collection of waste automotiveSLI batteries, industrial batteries and electric vehicle batteries
1.

Producers of automotiveSLI batteries, industrial batteries and electric vehicle batteries or,where appointed in accordance with Article 47(247a(1), producer responsibility organisations,shall take back, free of charge and without an obligation on the end -user to buy a newbattery, nor to have bought the battery from them, all waste automotiveSLI batteries,
industrial batteries and electric vehicle batteries regardless of their chemical composition,
condition, brand, or origin of the respective typecategory that they have made available on
the market for the first time in the territory of that Member State. For that purpose they shallaccept to take back waste automotiveSLI batteries, industrial batteries and electric vehicle
batteries from end-users, or from take back and collection systems which include collection
points provided in cooperation with:(a)distributors of automotiveSLI batteries, industrial batteries and electric vehicle
batteries in accordance with Article 50(1);(b)

waste electrical and electronic equipment and end-of-life vehicle treatment andrecycling facilities referred to in Article 52 for the waste automotiveSLI batteries,
industrial batteries and electric vehicle batteries arising from their operations;(c)public authorities, or third parties carrying out waste management on their behalf, in
accordance with Article 53.

Member State may adopt measures to require that the entities referred to in points (a),(b) and (c) of the first subparagraph may collect waste SLI batteries, industrial batteries
and electric vehicle batteries batteries only if they have a contract with the producers or
their producer responsibility organisations.

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Where waste industrial batteries require prior dismantling at the premises of private, noncommercial users, the obligation of the producer to take back those waste batteries shall notinclude covering the costs of dismantling and collecting waste batteries at the premises of
those users.
2.

The take back arrangements put in place in accordance with paragraph 1 shall cover the wholeterritory of a Member State taking into account population size and density, expected volume
of waste automotiveSLI batteries, industrial batteries and electric vehicle batteries,
accessibility and vicinity to end-users, not being limited to areas where the collection andsubsequent management of waste automotiveSLI batteries, industrial batteries and electricvehicle batteries is most profitable.

3.

Producers of automotiveSLI batteries, industrial batteries and electric vehicle batteries or,where appointed in accordance with Article 47(247a(1), producer responsibility organisations,shall:(a)provide the take back and collection points systems referred to in paragraph 1 withsuitable collection infrastructure for the separate collection of waste automotiveSLI
batteries, industrial batteries and electric vehicle batteries meeting the applicablesafety requirements and cover the necessary costs incurred by those take back andcollection points systems in relation to the take back activities. The containers tocollectfor collection and temporarily storetemporary storage of such waste
batteries at the take back and collection point systems shall be adequate to provide
for the volume and hazardous nature of waste automotive SLI batteries, industrial
batteries and electric vehicle batteries that are likely to be collected through thosecollection points;

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(b)

collect waste automotiveSLI batteries, industrial batteries and electric vehicle
batteries from the take back and collection points systems referred to in paragraph 1
with a frequency that is proportionate to the storage capacity of the separate
collection infrastructure and the volume and hazardous nature of waste batteries thatare usually collected through those take back and collection pointssystems;(c)provide for the delivery of waste automotiveSLI batteries, industrial batteries andelectric vehicle batteries collected from end-users and from the take back andcollection points systems referred to in paragraph 1 to facilities for treatment andrecycling in accordance with Article 56and Article 59.

4.

The entities referred to in points (a), (b) and (c) of paragraph 31 may hand over collected
waste automotiveSLI batteries, industrial batteries and electric vehicle batteries toauthorised waste management operators referred to in Article 47a(8) for treatment andrecycling in accordance with Article 56. In such cases, the obligation of producers pursuant
to paragraph 3(c) shall be deemed to be met.
Article 50
Obligations of distributors

1.

Distributors shall take back waste batteries from the end-user at nofree of charge and without
an obligation on the end-user to buy a new battery, regardless of their chemical composition,
brand or origin. Take back for waste portable batteries shall be provided at or in theimmediate vicinity of their retail outlet. Take back for waste automotiveLMT batteries, SLI
batteries, industrial batteries and electric vehicle batteries shall be provided at or in thevicinity of their retail outlet. This obligation is limited to the typescategories of waste
batteries which the distributor has, or had, ashasas new batteries in its offer and, for waste
portable batteries, to the quantitythequantity that non professional end-users normallydiscard.

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2.

The take back obligation laid down in paragraph 1 does not apply to waste products
containing batteries. It shall apply in addition to the separate collection obligation for waste
appliances and end-of-life vehicles laid down in Directives 2000/53/EC and 2012/19/EU.

3.

Distributors shall hand over waste batteries that they have taken back to the producers or
producer responsibility organisations who are responsible forto ensure the collection of thosebatteries in accordance with Articles 48, 48a and 49 respectively , or to an waste management
operator referred to in Article 47a(8) with a view to their treatment and recycling inaccordance with the requirements of Article 56.

4.

The obligations under this article shall apply mutatis mutandis to operatorsdistributors
supplying batteries by means of distance contracts to end -users. Those operatorsdistributors
shall provide for a sufficient number of collection points covering the whole territory of a
Member State and taking into account population size and density, expected volume of,respectively, waste automotiveLMT batteries, SLI batteries, industrial batteries andelectric vehicle batteries, accessibility and vicinity to end -users allowing end -users to return
batteries.

4a.

In the case of sales with delivery, distributors shall offer to take back waste LMT
batteries, industrial batteries, SLI batteries and electric vehicle batteries free of charge
at the point of delivery to the end-user or at a local collection point. The end-user shallbe informed of the arrangements for taking back of a waste battery when ordering abattery.

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4b.

Online marketplaces shall only offer for sale in a Member State batteries, including
those incorporated in appliances, light means of transport or vehicles, from producers
registered in that Member State in accordance with Article 46 and which comply withthe extended producer responsibility requirements in accordance with article 47.
Article 51
Obligations of end -users

1.

End -users shall discard waste batteries separately from other waste streams, including frommixed municipal waste.

2.

End -users shall discard waste batteries in designated separate collection points set up by or inaccordance with the specific arrangements concluded with the producer or a producer
responsibility organisation, in accordance with Articles 48, 48a and 49.

3.

Waste portable batteries incorporated in appliances that are readily removable by the end user
without the use of professional tools shall be removed and discarded by end users inaccordance with paragraph 1.

4.

Waste batteries incorporated in vehicles or appliances and that are not readily removable by
the end-user, shall be discarded by the end user in accordance with the Directives 2000/53/EC
and 2012/19/EU, where applicable.Producers or producer responsibility organisations
may set up awareness campaigns or offer incentives to encourage end-users to discard
waste batteries in a manner compliant with the information to end-users on prevention
and management of waste batteries in Article 60(1).

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Article 52
Obligations of treatment and recycling facilities
1.

Operators of waste treatment and recycling facilities subject to Directives 2000/53/EC andor
2012/19/EU shall hand over waste batteries resulting from the treatment and recycling of
end-of-life vehicles andor waste electrical and electronic equipment to the producers of therelevant category of batteries or, where appointed in accordance with Article 47(2) of thisRegulation47a(1), producer responsibility organisations acting on their behalf, or to waste
management operators referred to in Article 47a(8) with a view to their treatment andrecycling in accordance with the requirements of Article 56. of this Regulation

2.

The operators of waste treatment and recycling facilities referred to in paragraph 1 shallkeep records of those transactions.
Article 53
Participation of public waste management authorities

1.

Waste batteries originating from private, non-commercial end-users may be discarded inseparate collection points set up by public waste management authorities.

2.

Public waste management authorities shall hand over collected waste batteries to the
producers or, where appointed in accordance with Article 47(247a(1), to producer
responsibility organisations acting on their behalf, or to waste management operators
referred to in Article 47a(8) with a view to their treatment and recycling of those waste
batteries in accordance with the requirements of Article 56, or carry out their treatment andrecycling themselves in accordance with the requirements of Article 56.

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Article 54
Participation of voluntary collection points
1.

Voluntary waste portable batterycollection points for waste portable batteries shallhandover collected waste portable batteries to the producers of portable batteries or
third parties acting on their behalf, including producer responsibility organisations, orto waste management operators referred to in Article 47a(8) with a view to theirtreatment and recycling in accordance with the requirements of Article 56.

2.

Voluntary collection points for waste LMT batteries shall hand overhandover collected
waste portableLMT batteries to the producers of portableLMT batteries or third parties acting
on their behalf, including producer responsibility organisations, or to waste management
operators referred to in Article 47a(8) with a view to their treatment and recycling inaccordance with the requirements of Article 56.
Article 55
Collection rates for54a
Restrictions regarding hand over of waste portable batteries and waste portableLMT batteries

1.

Member States may restrict the possibility of distributors, operators of waste treatment
and recycling facilities referred to in Article 52, public waste management authorities
referred to in Article 53 and voluntary collection points referred to in Article 54 to handover collected waste portable batteries and waste LMT batteries either to producers or
producer responsibility organisations, or to a waste management operator to carry out
treatment and recycling in accordance with Article 56.

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2.

Member States may also adopt measures allowing the possibility for public waste
management authorities referred to in Article 53(1) to carry out their treatment andrecycling in accordance with Article 56 themselves.
Article 55
Collection rates for waste portable and waste LMT batteries

1.

Member States shall achieve the following minimum collection targets for waste portablebatteries, excluding waste portable batteries from light means of transport:

2.

(a)

45 % by 31 December 202324 months after entry into force of the Regulation;(b)

65 % by 31 December 2025 72 months after entry into force of the Regulation;(c)

70 % by 31 December 2030. 96 months after entry into force of the Regulation

Member States shall calculate the collection rates set out in paragraph 1 in accordance withthe methodology set out in Part A of Annex XI.

3.

The Commission Member States shall, by 31 December 2030, review the target laid down inparagraph 1(c) and, as part of that review consider the setting of a achieve the following
minimum collection targettargets for waste LMT batteries powering light means oftransport, incalculated as the lightaverage percentage of the evolution ofwaste LMT
batteries made available on the market share, as a separate target or as part of a review of
the target laid downfor the first time in the 3 preceding years in a Member State:(a)4

54% 96 months after entry into force of the Regulation

Member States shall calculate the collection rates set out in paragraph 1(c) and2a in
Article 48(4). This review may also consider introducing a calculationaccordance with themethodology for the calculationset out in Annex XI.

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5.

Due to the expected development of the separate collection rate with a view to reflecting thequantity ofmarket and increase of the estimated lifetime of rechargeable portablebatteries and LMT batteries, in order to better capture the actual volume of portablebatteries waste and LMT batteries waste available for collection. To that end, theCommission shall submit a report to the European Parliament and the Council on the outcomeof the review accompanied, if appropriate, by a legislative proposal.

4.

The collection. The Commission isshall be empowered to adopt, by 48 months after entry
into force of the Regulation, delegated acts in accordance with Article 73 to amend themethodology to calculate the collection rate for portable batteries and LMTlaid down inAnnex XI and amend the targets laid down in Annex XIparagraphs 1 and 3.
Article 56
Treatment and recycling

1.

Collected waste batteries shall not be landfilled or incinerated.

2.

Without prejudice to Directive 2010/75/EU, permitted facilities shall ensure that all treatment
and recycling processes operations for waste batteries comply, as a minimum, with Part A of
Annex XII and with best available techniques as defined in Article 3(10) of Directive
2010/75/EU.

3.

In addition to Article 51(3), whereWhere batteries are collected while still incorporated into
an end-of-life vehicle, in a waste light mean of transport, in a waste appliance, a waste
light mean of transport or an end-of-life vehicle, they shall be removed from the collected
waste appliance, waste light means of transport or end-of-life vehicle in accordance with,
where applicable, the requirements laid down in Directive 2000/53/EC or 2012/19/EU.

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4.

The Commission isshall be empowered to adopt delegated acts in accordance with Article 73
to amend the treatment and recycling requirements for waste batteries laid down in Part A of
Annex XII in light of technical and scientific progress and emerging new technologies inwaste management.
Article 57
Recycling efficiencies and materialmaterials recovery targets

1.

AllPermitted facilities shall ensure that all waste batteries collected shall enter athat are
offered to that facility will be accepted for recycling processand treatment.

2.

Recyclers shall ensure that each recycling process shall achieve the minimum recycling
efficiencies and the levels of recovered materials laid down, respectively, in Parts B and C of
Annex XII.

3.

The recycling efficiencies and the recovery of materials laid down in Parts B and C of Annex
XII shall be calculated in accordance with the rules laid down in an implementing act adopted
pursuant to paragraph 4.

4.

The Commission shall, by 31 December 202318 months after entry into force of theRegulation, adopt an implementing act to establish detailed rules regarding the calculationand verification of recycling efficiencies and recovery of materials. Those implementing acts
shall be adopted in accordance with the examination procedure referred to in Article 74(3).

5.

The Commission shall be empowered to adopt delegated acts by 96 months after entry into
force of the Regulation, in accordance with Article 73, to amend the minimum recycling
efficiencies and minimum levels of recovered materials for waste batteries laid down inAnnex XII, Parts B and C, in light of technical and scientific progress and emerging newtechnologies in waste management and battery development.

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5a.

Where justified and appropriate due to market developments on battery chemistry
impacting the type of materials that can be recovered, the Commission shall beempowered to adopt delegated acts in accordance with Article 73, to amend thisRegulation by inserting in Annex XII Part C other materials than cobalt, copper, lead,lithium and nickel, with specific levels of recovered material per specific material.

Article 58
Shipments of waste batteries
1.

Treatment and and recycling may be undertaken outside the Member State concerned oroutside the Union, provided that the shipment of waste batteries, or fractions thereof, is incompliance with Regulation (EC) No 1013/2006 and Regulation (EC) No 1418/2007.
In order to distiguish between used batteries and waste batteries, shipments of usedbatteries suspected to be waste may be inspected by Member States for compliance withthe minimum requirements in Annex XIV and monitored accordingly.
The costs of appropriate analyses and inspections, including storage costs, of usedbatteries suspected to be waste may be charged to the producers, to third parties acting
on their behalf or to other persons arranging the shipment of used batteries suspected to
be waste.

2.

Waste batteries, or fractions thereof, exported out of the Union in accordance withparagraph 1 shall only count towards the fulfilment of obligations, efficiencies and targets set
out in Article 56 and Article 57 if the recycler or other waste holder exportingexporter of thewaste batteries, or fractions thereof, for treatment and recycling can prove that the treatment
and recycling took place in conditions that are equivalent to the requirements of thisRegulation.

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3.

The Commission is empowered to adopt a delegated act, in accordance with Article 73, laying
down detailed rules supplementing those in paragraph 2 of this Article, by laying down thecriteria for the assessment of equivalent conditions.

Article 59
Requirements related to the repurposing and remanufacturing of industrial batteries and electricvehicle batteries
1.

Independent operators shall be given access to the battery management system ofrechargeable industrial batteries and electric vehicle batteries with internal storage with acapacity above 2 kWh, on equal terms and conditions, for the purpose of assessing anddetermining the state of health and remaining lifetime of batteries, according to theparameters laid down in Annex VII.

2.

Independent operators carrying out repurposing or remanufacturing operations shall be given
adequate access on equal terms and conditions, to the information relevant for the handlingand testing of rechargeablePreparing for re-use, preparing for repurpose of waste LMT
batteries,waste industrial batteries and waste electric vehicle batteries, or of appliances andvehicles in which such batteries are incorporated as well as of components of such batteries,
appliances or vehicles, including safety aspects.

3.

Operators carrying out repurposing or remanufacturing operations of batteries shall ensurethat the examination, performance testing, packing and shipment of batteries and theircomponents is carried out following adequate quality control and safety instructions.

4.

Operators carrying out repurposing or remanufacturing operations of batteries shall ensurethat the repurposed or remanufactured battery complies with this Regulation, relevant product,environmental and human health protection requirements in other legislation and technicalrequirements for its specific purpose of use when placed on the market.

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A battery that has been repurposed or remanufactured shall not be subject to the obligations
laid down in Article 7(1), (2) and (3), Article 8(1), (2) and (3), Article 10(1) and (2) and
Article 39(1) where the economic operator placing a repurposed or remanufactured battery on
the market can demonstrate that the battery, before its repurposing or remanufacturing, wasplaced on the market before the dates on which those obligations become applicable inaccordance with those Articles.
5.4. In order to document that a waste LMT battery, industrial battery with a capacity above 2
kWh, and electric vehicle battery subject to a repurposing or remanufacturing
operationpreparing for re-use,or preparing for repurpose, is no longer waste, the battery
holder shall demonstrate the following upon request by a competent authority:(a)evidence of state of health evaluation or testing carried out in a Member State in theform of a copy of the record confirming the capability of the battery to deliver the
performance relevant for its use following a repurposing or remanufacturing
operationpreparing for re-use, or preparing for repurpose,;(b)further use of the battery that ishas been subject to repurposing or
remanufacturingpreparing for re-use,or or preparing for repurpose, is documented
by means of an invoice or a contract for the sale or transfer of ownership of the battery;(c)evidence of appropriate protection against damage during transportation, loading andunloading, including through sufficient packaging and appropriate stacking of the load.

65.

Information referred to in paragraph 4 and point (a) of paragraph 54 shall be made available
to end -users and third parties acting on their behalf, on equal terms and conditions, as part of
the technical documentation accompanying the repurposed or remanufactured battery
referred to in paragraph 5 when placed on the market or put into service.

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76.

The provision of information in accordance with paragraphs 1, 2, 54 and 65 shall be without
prejudice to preserving the confidentiality of commercially sensitive information in
conformity with the relevant Union and national law.

87.

The Commission is empowered to adopt implementing acts establishing detailed technicaland verification requirements that waste industrial batteries with a capacity above 2 kWhor waste electric vehicle batteries have to fulfil to cease to be waste and requirements for thedata and the methodology for estimating the state of health of batteries. ThoseThis
implementing acts shall be adopted in accordance with the examination procedure referred toin Article 74(3).
Article 60
End-of-life informationInformation on prevention and management of waste batteries

1.

In addition to the information referred to in paragraph 2 of Article 8a of Directive
2008/98/EC, Producers or, where appointed in accordance with Article 47(247a(1), producer
responsibility organisations acting on their behalf shall make available to end -users anddistributors the following information regarding the prevention and management of waste
batteries with respect to the typescategories of batteries that the producers supply within the
territory of a Member State:(a)the contributionrole of end -users in contributing to waste prevention, including by
information on good practices concerning the use of batteries aiming at extending theiruse phase and the possibilities of preparationpreparing for re-use and preparing for
repurpose;(b)

the role of end- users in contributing to the separate collection of waste batteries inaccordance with their obligations under Article 51 so as to allow their treatment andrecycling;(c)the separate collection, preparationpreparing for re-use, preparing for repurposing
and recycling systemsoperations available for waste batteries;

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(d)

the necessary safety instructions to handle waste batteries, including in relation to therisks associated with, and the handling of, batteries containing lithium;(e)the meaning of the labels and symbols marked on batteries in accordance with
Article 13 or printed on batteries or on their packaging or in the documents
accompanying batteries;(f)the impact of substances contained in batteries on the environment and on human healthor safety of persons, including impact due to inappropriate discarding of waste
batteries such as littering or discarding as unsorted municipal waste.

This information shall be made available(a)in regular time intervals for each model from the moment the battery model concerned
is being made available on the market for the first time in a Member State as aminimum at the point of sale in a visible manner and through online marketplaces;(b)in a language or languages, which can be easily understood by consumers and otherend-users, as determined by the Member State concernedin which the battery is to bemade available on the market.

2.

Producers shall make available to distributors and operators referred to in Articles 50, 52
and 53 and other waste management operators carrying out repair, remanufacturing,preparing for re-use, preparing for repurpose, treatment and recycling activities,
information regarding the safety and protective measures, including on occupational safety,
applicable to the storage and collection of waste batteries.

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3.

From the moment that a battery model is supplied within the territory of a Member State
producers shall make available electronically, upon request, to waste management operators
carrying out repair, remanufacturing, preparing for re-use, preparing for repurposing,treatment and recycling activities, as far as it is needed by those operators to carry out those
activities, the following battery model specific information regarding the proper andenvironmentally sound treatment of waste batteries:(a)the processes to ensure the dismantling of light means of transport, vehicles andappliances in a way that allows the removal of incorporated batteries;(b)

the safety and protective measures, including on occupational safety, applicable to thestorage, transport, treatment and recycling processes for waste batteries.

That information shall identify the components and materials, and the location of allhazardous substances in a battery, as far as it is needed by operators carrying out repair,remanufacturing, preparing for re-use, preparing for repurposing, treatment and recycling
activities in order to enable them to comply with the requirements of this Regulation.
That information shall be made available in a language or languages, which can be easily
understood by the operators mentioned in the first subparagraph, as determined by theMember State concerned on whose market the battery is to be made available.
4.

Distributors that supply batteries to end-users shall provide in their retail premises, in a visible
manner, and through their online marketplaces, if applicable, the information listed inparagraph 1 and 2, and information on how the end -users may return waste batteries free ofcharge to the respective collection points established at retail outlets or on behalf of amarketplace. That obligation shall be limited to the typescategories of batteries which the
distributor or retailer has, or had, as new batteries in its offer.

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5.

The costs covered by the producer under Article 47(1)(e) shall be shown separately to theend-user at the point of sale of a new battery. The costs mentioned shall not exceed the best
estimate of the actual costs incurred.

6.

Where information is provided publicly to end -users under this Article, the confidentiality ofcommercially sensitive information in conformity with the relevant Union and national law
shall be preserved.
Article 61
Reporting Minimum requirements for reporting to the competent authorities

1.

Producers of portable batteries and producers of LMT batteries or, where appointed inaccordance with Article 47(247a(1), producer responsibility organisations acting on theirbehalf shall report to the competent authority, at least, for each calendar year the following
information according to the battery chemistry, specifying the amountschemistries andcategories of waste batteries powering light means of transport:(a)the amount of portable batteries or LMT batteries made available on the market for the
first time in the territory of a Member State, excluding any portable batteries that haveleft the territory of that Member State in that year, before being sold to end -users;(b)

the amount of waste portable batteries or waste LMT batteries collected in accordancewith ArticleArticles 48 and 48a, calculated on the basis of the methodology set out inAnnex XIrespectively;(c)

the collection targetrate reached by the producer or producer responsibility organisation
acting on behalf of their members for waste portable batteries or waste LMT
batteries;(d)the amount of collected waste portable batteries or waste LMT batteries delivered topermitted facilities for treatment and recycling to permitted facilities.

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Where waste management operators other than producers or, where appointed in accordancewith Article 47(247a(1), producer responsibility organisations acting on their behalf, collectwaste portable batteries or waste LMT batteries from distributors or other collection points
for waste portable batteries, they shall report to the competent authority for each calendar year
the amount of waste portable batteries or waste LMT batteries collected according to theirchemistry and specifying the amounts of batteries powering light means of transport.
The operators referred to in the first and second subparagraph shall report this data within 4months of the end of the reporting year for which the data are collected. The first reporting
period shall concern the first full calendar year after the adoption of the implementing act that
establishes the format for reporting to the Commission, in accordance with Article 62(6).
The competent authorities shall establish the format and procedures in accordance to whichdata shall be reported to them.
2.

Producers of automotiveSLI batteries, industrial batteries and electric vehicle batteries orwhere appointed in accordance with Article 47(247a(1) producer responsibility organisations
acting on their behalf, shall report to the competent authority for each calendar year thefollowing information, according to chemistries and typescategories of waste batteries:(a)the amount of automotiveSLI batteries, industrial batteries and electric vehicle batteries
made available on the market for the first time in a Member State, excluding batteries
that have left the territory of that Member State in that year, before being sold to end
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(b)

the amount of waste automotiveSLI batteries, waste industrial batteries andor waste
electric vehicle batteries collected and delivered to permitted facilities for treatment
and recycling to permitted facilities.

3.

Where waste management operators collect waste batteries from distributors or other waste
automotiveSLI batteries, industrial batteries and electric vehicle batteries collection points
or from end-users, they shall report to the competent authority for each calendar year thefollowing information according to their chemistries and typescategories of waste batteries:(a)the amount of waste automotiveSLI batteries, waste industrial batteries and waste
electric vehicle batteries collected, by country of origin;(aa) the amount of waste industrial batteries or waste electric vehicle batteries collected
and delivered to preparing for re-use or preparing for repurposing, by country oforigin;(b)

the amount of waste automotiveSLI batteries, waste industrial batteries and waste
electric vehicle batteries delivered to permitted facilities for treatment operation andfor recycling to permitted facilities.

The operators mentioned in this paragraph shall report that data within four months of the endof the reporting year for which the data are collected. The first reporting period shall concern
the first full calendar year after the adoption of the implementing act that establishes theformat for reporting to the Commission in accordance with Article 62(5).
The competent authorities shall establish electronic systems through which data shall bereported to them and specify the formats to be used. Electronic systems for the reporting of
information set up by the competent authorities shall be compatible and interoperable with therequirements of the information exchange system established pursuant to Article 64, bycountry of origin.

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4.

The data referred to in points (a) and (b) of paragraph 1 shall include batteries incorporated
into vehicles and appliances, and waste batteries removed from those in accordance with
Article 52.

5.

Waste management operators carrying out treatment and recyclers shall report to thecompetent authorities for each calendar year the following information:(a)the amount of waste batteries received for treatment and recycling, by country oforigin;(b)

the amount of waste batteries entering recycling processes, by country of origin;(c)

information on recycling efficiencies and levels of recovered materials for waste
batteries and on fate of the final output fractions, by country of origin.

Reporting on the recycling efficiency and levels of recovered materials shall cover all
individual steps of recycling and all corresponding output fractions. Where a recycling
process isoperations are carried out at more than one facility, the first recycler is responsible
for collecting the information and reporting this information to the competent authorities.
Recyclers shall report this data within four months of the end of the reporting year for which
the data are collected. The first reporting period shall concern the first full calendar year after
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The competent authority of the Member State, where treatment and recycling of waste
batteries is carried out, shall provide the data referred to in paragraph 5 to thecompetent authority of Member State, where the batteries were collected, if different.
Waste batteries sent to another Member State for the purposes of treatment andrecycling in that other Member State shall be counted towards the waste data and theattainment of the targets laid down in Annex XII by the Member State in which thatwaste was collected.
6.

Where waste holders other than those referred to in paragraph 45 export batteries fortreatment and recycling they shall report the data on the amount of separately collected waste
batteries exported for treatment and recycling and the data referred to in paragraph 445(b) and(c) to the competent authorities of the Member States where they are located.

7.

Producers or, where appointed in accordance with Article 47a(1), producer
responsibility organisations acting on their behalf, waste management operators andwaste holders referred to in this Article shall report within foursix months of the end of
the reporting year for which the data are collected. The first reporting period shall concern
the first full calendar year after the entry into force of the implementing act that
establishes the format for reporting to the Commission, in accordance with Article 62(5).

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8.

The competent authorities shall establish electronic systems through which data shall bereported to them and specify the formats to be used. Electronic systems for the reportingof information set up by the competent authorities shall be compatible and interoperablewith the requirements of the information exchange system established pursuant to
Article 64.

9.

Member State may allow competent authorities to request any additional informationnecessary to ensure the reliability of the data reported.
Article 62
Reporting to the Commission

1.

Member States shall make publicly available in an aggregated format for each calendar year
the following data on portable batteries, automotiveLMT batteries, SLI batteries, industrial
batteries and electric vehicle batteries, according to battery typescategories and theirchemistries and, regarding portable batteries, identifying separately batteries powering lightmeans of transport:(a)the amount of batteries made available on the market for the first time in a Member
State, excluding batteries that have left the territory of that Member State in that year,
before being sold to end -users;(b)

the amount of waste batteries collected and collection rates in accordance with
ArticleArticles 48, 48a and 49, calculated on the basis of the methodology set out inAnnex XI;(ba) the amount of waste industrial batteries or waste electric vehicle batteries collected
and delivered to preparing for re-use or preparing for repurposing collected;(c)the values of the achieved recycling efficiencies as referred to in Annex XII, Part B, andthe values of the achieved material recovery referred to in Part C of Annex XII,
regarding the batteries collected in that Member State.

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Member States shall make this data available within 18 months ofafter the end of thereporting year for which the data are collected. They shall make that information public
electronically in the format established by the Commission in accordance with paragraph 65,
using easily accessible data services that are interoperable with the Systemsystem establishedpursuant to Article 64. The data shall be machine readable, sortable and searchable, respecting
open standards for third party use. Member States shall notify the Commission when the data
referred to in the first sub-paragraph is made available.
The first reporting period shall concern the first full calendar year after the adoptionentry into
force of the implementing act that establishes the format for reporting to the Commission, in
accordance with paragraph 65.
In addition to the obligations under Directives 2000/53/EC and 2012/19/EU, data referred toin points (a), (ab) and (bc) of paragraph 1 shall include batteries incorporated into vehicles
and appliances, and waste batteries removed from those in accordance with Article 52.
2.

Reporting on the recycling efficiency and levels of recovered materials referred to inparagraph 1 shall cover all individual steps of recycling and all corresponding output
fractions.

3.

The data made available by Member States in accordance with this Article shall beaccompanied by a quality check report. That information shall be presented in the format
established by the Commission in accordance with paragraph 6.

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4.

The Commission shall collect and review the information made available in accordance withthis Article. The Commission shall publish a report assessing the organisation of the datacollection, the sources of data and the methodology used in Member States as well as thecompleteness, reliability, timeliness and consistency of that data. The assessment may include
specific recommendations for improvement. The report shall be drawn up 6 months after the
first reporting of the data by Member States and every four years thereafter.

5.

The Commission shall, by 31 December 202324 months after entry into force of theRegulation, adopt implementing acts laying down the format for the data and information to
be reported to the Commission, as well as verificationassessment methods and operational
conditions, for the purpose of paragraphs 1 and 4. Those implementing acts shall be adopted
in accordance with the examination procedure referred to in Article 74(3).
Article 63
Application of Chapter VII

Chapter VII shall apply from 1 July 2023.

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ENChapter VIIIElectronic exchange of information on LMT batteries, industrial batteries with a capacity
above 2 kwh and electric vehicle batteries
Article 64
Electronic exchange system1.

By 1 January 202648 months after entry into force of the Regulation, the Commission
shall set up the electronic exchange system for battery information (“The European
Electronic Exchange System” (hereafter: “the system”).

2.

The system shall contain the information and data on rechargeablethe model of LMT
batteries, of industrial batteries with a capacity above 2 kWh , except for those with
exclusively external storage, and of electric vehicle batteries with internal storage and acapacity above 2 kWhplaced on the market, as laid down in Annex XIII. That informationand data shall be sortable and searchable, respecting open standards for third party use.

3.

The economic operators that place a rechargeableLMT batteries, industrial batterybatteries
with a capacity above 2 kWh, except those with exclusively external storage, or anelectric vehicle battery with internal storagebatteries on the market shall make theinformation referred to in paragraph 2 available electronically in the system a in machinereadable format using interoperable and easily accessible data services in the format
established in accordance with paragraph 5.

4.

The Commission shall, after a review in accordance with Article 62(562(4), publish throughthe Systemsystem the information referred to in Article 62(1) as well as the assessment
referred to in Article 62(562(4).

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4a.

The economic operators referred to in paragraph 3 shall be responsible for theaccuracy, completeness and up-to-dateness of the data. Market surveillance authorities
shall carry out random controls of the data.

5.

The Commission shall, by 31 December 2024 36 months after entry into force of theRegulation, adopt implementing acts to establish:(a)the architecture of the system, based, where applicable, on the European
Commission’s Connecting Europe Facility principles for the eDelivery Network;(b)

the format in which the data and information referred to in paragraph 2 shall be madeavailable;(c)the rules for accessing, sharing, managing, exploring, publishing and reusing of theinformation and data in the system.

(d)the rules for checking completeness of the data.

Those implementing acts shall be adopted in accordance with the examination procedurereferred to in Article 74(3).
Article 65
Battery passport
1.

By 1 January 2026From either 48 months after entry into force of the Regulation, each
LMT battery and industrial battery with a capacity above 2 kWh , except those with
exclusively external storage, and electric vehicle battery placed on the market or put into
service and whose capacity is higher than 2 kWh, shall have an electronic record (“battery
passport”).

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2.

The battery passport shall be unique for each individual battery referred to in paragraph 1
and shall be identifiedaccessible through a data carrier linking to a unique identifier thatthe economic operator placing the battery on the market shall attribute to it and which shallbe printed or engraved on it in accordance with paragraph 7.

3.

The battery passport shall be linked to the information about the basic characteristics ofeach battery type and model stored in the data sources of the System established pursuant
to Article 64. The economic operator that places a LMT battery, an industrial battery witha capacity above 2 kWh on the market, except those with exclusively external storage,
or an electric vehicle battery on the marketshall ensure that each individual battery
passport consists of a combination of data common to its battery model and data
specific to its particular battery and usage of that battery, providing, at least, theinformation set out in Part B of Annex XIII.:The economic operator referred to in first subparagraph shall ensure that the data
included in the battery passport isare accurate, complete and up-to-date. Market
surveillance authorities shall carry out random controls of the data, in accordancewith paragraph 4a of article 64.

4.

The economic operators referred to in paragraph 3 shall make the battery passportshall be accessible online, through electronic systems interoperable with the Systemsystemestablished pursuant to Article 64.

5.

The battery passport shall allow access to information aboutand data in the values for
performance and durability parameters referred to in Article 10(1), when the battery isplaced on the market and when it is subject to changes in its statusbattery passport shallbe sortable and searchable, respecting open standards for third party use.

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6.

When the change in the status is due to repairingFor batteries that have been subject topreparing for re-use, preparing for repurpose or repurposing activities, orremanufacturing, the responsibility for the batterydata record in the battery passport shallbe transferred to the economic operator that is considered to place the industrial battery or
the electric vehicleplaces that battery on the market or that puts it into service. When
there is a change in the status of a battery to a waste battery, the responsibility for thedata record in the battery passport shall be transferred either to the producer or,
where appointed in accordance with Article 47a(2), producer responsibility
organisations acting on their behalf, or waste management operator referred to in
Article 54a.

6a.

For a battery that has been subject to preparing for re-use, preparing for repurpose or
repurposing, or remanufacturing, data record shall be considered as a new battery
passport and shall include the data referred to in Part B of Annex XIII transferred fromthe previous battery passport or passports.

6b.

A battery passport or passports shall cease to exist when a new battery passport or
passports in accordance with paragraph 6a are established, or after the battery has been
recycled.

6c.

The Commission shall be empowered to adopt a delegated act in accordance with Article
73 to amend or supplement the information that the battery passport shall provide inview of technical and scientific progress.

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7.

The Commission is empowered toshall, by 36 months after entry into force of theRegulation, adopt implementing acts to establish :(a)the architecture of an open network for the data exchange needed for the battery
passport, based, where applicable, on the European Commission’s Connecting
Europe Facility principles for the eDelivery Network;(b)

the format of the data carrier, which shall be easy to scan, and the unique
identifier;(c)the format in which the data and information referred to in paragraph 3 shall bemade available;(d)the rules for accessing, sharing, managing, exploring, publishing and reusing of theinformation and data accessible through the battery passport.

Those implementing acts shall be adopted in accordance with the examination procedurereferred to in Article 74(3).
Chapter IX
Union market surveillance, control of batteries entering the Union market and Union
safeguard procedures
Article 66
Procedure at national level for dealing with batteries presenting a risk
1.

WhereWithout prejudice to Article 19 of the Regulation (EU) 2019/1020, where themarket surveillance authorities of one Member State have sufficient reason to believe that abattery covered by this Regulation presents a risk to human health or safety of persons, toproperty or to the environment, they shall carry out an evaluation in relation to the battery
concerned covering all relevant requirements laid down in this Regulation. The relevant
economic operators shall cooperate as necessary with the market surveillanceauthorities for that purpose.

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Where, in the course of the evaluation referred to in the first subparagraph, the market surveillanceauthorities find that the battery does not comply with the requirements laid down in thisRegulation, they shall without delay require the relevant economic operator to take allappropriate corrective action, within a reasonable period prescribed by the market
surveillance authorities and commensurate with the nature of the risk, to bring thebattery into compliance with those requirements, to withdraw it from the market, or to recall it
within a reasonable period which is commensurate with the nature of the risk referred to in thefirst subparagraph.
The market surveillance authorities shall inform the relevant notified body accordingly.
2.

Where the market surveillance authorities consider that non-compliance is not restricted totheir national territory, they shall inform the Commission and the other Member States of theresults of the evaluation and of the actions which they have required the economic operator to
take.

3.

The economic operator shall ensure that all appropriate corrective action is taken in respect of
all the concerned batteries that the economic operator has made available on the market
throughout the Union.

4.

Where the relevant economic operator does not take adequate corrective action within the
period referred to in the second subparagraph of paragraph 1, the market surveillanceauthorities shall take all appropriate provisional measures to prohibit or restrict the batteries
being made available on their national market, to withdraw the battery from that market or torecall it.
The market surveillance authorities shall inform the Commission and the other Member
States, without delay, of those measures.

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5.

The information referred to in the second subparagraph of paragraph 4 shall include allavailable details, in particular the data necessary for the identification of the non-compliant
battery, the origin of that battery, the nature of the non-compliance alleged and the risk
involved, the nature and duration of the national measures taken and the arguments put
forward by the relevant economic operator. In particular, the market surveillance authorities
shall indicate whether the non-compliance is due to either of the following:(a)failure of the battery to meet any of the applicable requirements set out in Chapter
IIArticles 6 to 10 or III12 to 14 of this Regulation;

6.

(b)

shortcomings in the harmonised standards referred to in Article 15;(c)shortcomings in the common specifications referred to in Article 16.
Member States other than the Member State initiating the procedure under this Article
shall without delay inform the Commission and the other Member States of any measures
adopted and of any additional information at their disposal relating to the non-complianceof the battery concerned, and, in the event of disagreement with the adopted national
measure, of their objections.

7.

Where, within three months of receipt of the information referred to in the second
subparagraph of paragraph 4, no objection has been raised by either a Member State or theCommission in respect of a provisional measure taken by a Member Statemarket
surveillance authorities, that measure shall be deemed justified.

8.

Member States shall ensure that appropriate restrictive measures, such as withdrawal of thebattery from the market, are taken in respect of the battery concerned without delay.

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Article 67
Union safeguard procedure
1.

Where, on completion of the procedure set out in Article 66(3) and (4), objections are raised
against a measure taken by a Member Statemarket surveillance authorities, or where theCommission considers a national measure to be contrary to Union legislation, theCommission shall without delay enter into consultation with the Member States and therelevant economic operator or operators and shall evaluate the national measure. On the basisof the results of that evaluation, the Commission shall decide by means ofadopt an
implementing act in the form of a decision determining whether the national measure isjustified or not.
That implementing act shall be adopted in accordance with the examination procedurereferred to in Article 74(3).

2.

The Commission shall address its decision to all Member States and shall without delay
communicate it to them and the relevant economic operator or operators.
If the national measure is considered justified, all Member States shall take the necessary
measures to ensure that the non-compliant battery is withdrawn from their market, and shallinform the Commission accordingly.
If the national measure is considered unjustified, the Member State concerned shall withdraw
that measure.

3.

Where the national measure is considered justified and the non-compliance of the battery is
attributed to shortcomings in the harmonised standards referred to in Article 15 of thisRegulation, the Commission shall apply the procedure provided for in Article 11 ofRegulation (EU) No 1025/2012.

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3a.

Where the national measure is considered justified and the non-compliance of thebattery is attributed to shortcomings in the common specifications referred to in Article
16, the Commission shall, without delay, adopt implementing acts amending or
repealing the common specifications concerned.
Those implementing acts shall be adopted in accordance with the examination
procedure referred to in Article 74(3).
Article 68
Compliant batteries which present a risk

1.

Where, having carried out an evaluation under Article 67(166(1), a Member State finds that
although a battery is in compliance with the applicable requirements set out in Chapters
IIArticles 6 to 10 and III12 to 14, it presents a risk to the human health or safety of persons,to the protection of property or to the environment, it shall without delay require the relevant
economic operator to take all appropriate measures, within a reasonable period prescribedby the market surveillance authorities and commensurate with the nature of the risk, toensure that the battery concerned, when placedmade available on the market, no longer
presents that risk, to withdraw the battery from the market or to recall it, within a reasonable
period which is commensurate with the nature of that risk.

2.

The economic operator shall ensure that corrective action is taken in respect of all theconcerned batteries that the economic operator has made available on the market throughout
the Union.

3.

The Member State shall immediately inform the Commission and the other Member States.
That information shall include all available details, in particular the data necessary for theidentification of the batteries concerned, the origin and the supply chain of the battery, thenature of the risk involved and the nature and duration of the national measures taken.

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4.

The Commission shall without delay enter into consultation with the Member States and therelevant economic operator or operators and shall evaluate the national measures taken. On
the basis of the results of that evaluation, the Commission shall adopt an implementing act in
the form of a decision determining whether the national measure is justified or not and, where
necessary, orderingproposing appropriate measures.

5.

That implementing act shall be adopted in accordance with the examination procedurereferred to in Article 74(3).

6.

On duly justified imperative grounds of urgency relating to the protection of human healthand safety of persons, and to the protection of property or to the environment, theCommission shall adopt an immediately applicable implementing act in accordance with theprocedure referred to in Article 74(374(4).

7.

The Commission shall address its decision to all Member States and shall immediately
communicate it to them and the relevant economic operator or operators.
Article 69
OtherFormal non-compliance1.

Without prejudice to Article 66, where a Member State finds that a battery falling outside thescope of Article 68 is non-compliant with this Regulation or an economic operator has
infringed an obligation set out in this Regulationmakes one of the following findings, it shallrequire the relevant economic operator to put an end to the non-compliance concerned. Suchnon compliances shall include the following:(a)the CE marking has been affixed in violation of Article 30 of Regulation (EC) No
765/2008 or of Article 20 of this Regulation;(b)

the CE marking has not been affixed;

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(c)

the identification number of the notified body involved in the production control phase,where required under Annex VIII, has been affixed in violation of Article 20 or has
not been affixed;(d)the EU declaration of conformity has not been drawn up or has not been drawn up
correctly;(e)the EU declaration of conformity is not accessible via the QR code on the battery;(e)the QR code referred to in Article 13(5) does not provide access to the required
information in accordance with Article 13(5);(f)

the technical documentation is not available, is not complete or contains errors;(g)

the information referred to in paragraphs 7, 9 and 10 of Article 3838(8) or Article 41(3)and (4) is absent, false or incomplete or, in the case;(ga) any of the instructions for use, not translated into a language accepted by the Member
States where the battery is placed on the market or made availablerequirements onelectronical availability of information set out in Article 64(3) or Article 65 is not
fulfilled;(h)any other administrative requirement provided for in Article 38 or Article 4041 is not
fulfilled;(i)the requirements for safe operation and use of stationary battery energy storage systems
set out in Article 12 are not respected;(j)

the sustainability and safety requirements set out in Articles 6 to 12 in Chapter II andthe labelling and information requirements set out in Articles 13 and 14 in Chapter III
are not fulfilled;(k)

the requirements related to the supply chain due diligence policy in Article 39 are notfulfilled.

2.

Where the non-compliance referred to in paragraph 1 persists, the Member State
concerned shall take all appropriate measures to restrict or prohibit the battery being
made available on the market or ensure that it is recalled or withdrawn from themarket.

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Article 69a
Non-compliance with supply chain due diligence obligations
1.

Where a Member State finds that an economic operator has infringed an obligation on
supply chain due diligence set out in Articles 45a to 45c of this Regulation, it shallrequire the relevant economic operator does not to put an end to the non-compliancereferred to in point (k) of paragraph 1, a notice of remedial action shall be issuedconcerned.

3.

Where the non-compliance referred to in paragraph 1 persists, the Member State concerned
shall take all appropriate measures to restrict or prohibit the batterybatteries made available
on the market by the economic operator referred to in paragraph 1 from being madeavailable on the market or ensure that it isthey are recalled or withdrawn from the market. In
case of the non-compliance referred to in point (k) of paragraph 1, this paragraph shall apply
as a last resort if the non-compliance is serious and persists after the issuing of a notice ofremedial action as referred to in paragraph 2.
Chapter X

Green public procurement, procedure for amending restrictions on hazardous substances andCommission recognition of supply chain due diligence schemes
Article 70
Green public procurement
1.

Contracting authorities, as defined in Article 2(1) of Directive 2014/24/EU or Article 3(1) of
Directive 2014/25/EU, or contracting entities, as defined in Article 4(1) of Directive
2014/25/EU shall, when procuring batteries or products containing batteries in situations
covered by those Directives, take account of the environmental impacts of batteries over theirlife cycle with a view to ensure that such impacts of the batteries procured are kept to aminimum.

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2.

TheFrom either 72 months after entry into force of the Regulation or 12 months after
entry into force of delegated acts referred to in paragraph 3, whichever is later, theobligation set out in paragraph 1 shall apply to any contracts entered intoprocedure for
procurement by contracting authorities or contracting entities for the purchase of batteries or
products containing batteries and shall mean that these contracting authorities and contracting
entities are obliged to include technical specifications andor award criteria based on Articles 7
to 10 to ensure that a product is chosen among products with significantly lower
environmental impacts over their lifecycle.

3.

The Commission shall, by 31 December 2026 60 months after entry into force of theRegulation, adopt delegated acts in accordance with Article 73 supplementing thisRegulation by establishing minimum mandatory green public procurement criteria or targets
based on the requirements set out in Articles 7 to 10.
Article 71

Procedure for amending restrictions on hazardousInitiation of restriction procedure substances
1.

If the Commission considers that the use of a substance in the manufacture of batteries, or thepresence of a substance in the batteries when they are placed on the market, or during theirsubsequent life cycle stages, including theduring repurposing or during the treatment or
recycling of waste phasebatteries, poses a risk to human health or the environment that is notadequately controlled and needs to be addressed on a Union-wide basis, it shall request theEuropean Chemicals Agency (the ’Agency’) to prepare a dossier that conforms to therequirements of point (3) of Part II of Annex XV to Regulation (EC) No 1907/2006(‘restriction dossier’), in the format outlined in Annex XV to Regulation (EC) No
1907/2006. The restriction dossier shallmay include a socio-economic assessment, including
an analysis of alternatives.

2.

The Agency shall publish without delay the intention of the Commission to initiate such
restriction process life cycle for a substance, and shall inform stakeholders concerned.

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3.

Within 12 months of the receipt of the request from the Commission in paragraph 1 and if
the restriction dossier prepared by the Agency pursuant to that paragraph demonstrates that
action is necessary on a Union-wide basis,beyond any measures already in place, theAgency shall suggest restrictions in order to initiate the restriction process described inparagraphs 4 to 14. paragraph 3 to 8 of this Article, Article 71a and Article 71b.

3.

If a Member State considers that the use of a substance in the manufacture of batteries,or the presence of a substance in the batteries when they are placed on the market, or
during their subsequent life cycle stages, including during repurposing or during thetreatment or recycling of waste batteries, poses a risk to human health or theenvironment that is not adequately controlled and needs to be addressed on a Unionwide basis, it shall notify the Agency that it proposes to prepare a restriction dossier.
The Member State shall prepare a restriction dossier. The restriction dossier shall
include a socio-economic assessment, including an analysis of alternatives.
If the restriction dossier demonstrates that action on a Union-wide basis is necessary,beyond any measures already in place, the Member State shall submit it to the Agency
in the format outlined in Annex XV to Regulation (EC) No 1907/2006, in order to initiate
the process.

4.

The Agency or Member States shall refer to any dossier, chemical safety report or risk
assessment submitted to the Agency or Member State under the Regulation (EC) No
1907/2006. The Agency or Member States shall also refer to any relevant risk assessment
submitted for the purposes of other Union Regulations or Directives. To this end otherbodies, such as agencies, established under Union law and carrying out a similar task
shall provide information to the Agency or Member State concerned on request.

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5.

The Agency shall maintain a list of substances for which a restriction dossier under thisRegulation is planned or underway by either the Agency or a Member State.

6.

The Committee for Risk Assessment, set up pursuant to Article 76(1)(c) of Regulation(EC) No 1907/2006, and the Committee for Socio-economic Analysis, set up pursuant to
Article 76(1)(d) of Regulation (EC) No 1907/2006, shall check whether the dossier
submitted conforms to the requirements of Annex XV to Regulation (EC) No 1907/2006.
Within 30 days of receipt, the respective Committee shall inform the Agency or theMember State suggesting restrictions, as to whether the dossier conforms. If the dossierdoes not conform, the reasons shall be given to the Agency or the Member State inwriting within 45 days of receipt. The Agency or the Member State shall bring thedossier into conformity within 60 days of the date of receipt of the reasons from theCommittees, otherwise the procedure under this provision shall be terminated.

7.

The Agency shall publish without delay the intention of the Commission or a Member
State to initiate the restriction process for a substance, under this Article,and shallinform stakeholders concerned.

8.

The Agency shall make publicly available on its website the restriction dossier, including the
restrictions suggested pursuant to paragraph 3,2 and 4 of this Article without delay, clearly
indicating the date of publication. The Agency shall invite all interested parties to submit
individually or jointly, within four months of the date of publication, :(a)comments on dossiers and the restriction dossier. suggested restrictions;(b)a socio-economic analysis, or information which can contribute to one, of the5suggested restrictions, examining the advantages and drawbacks of the proposed
restrictions. It shall conform to the requirements in Annex XVI of Regulation (EC)No 1907/2006.

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Article 71a
Opinion of the Agency's Committees
1.

Within 12 months of the date of publication referred to in paragraph 4Article 71(8), theCommittee for Risk Assessment , set up pursuant to Article 76(1)(c) of Regulation (EC) No
1907/2006, shall adopt an opinion as to whether the suggested restrictions are appropriate in
reducing the risk to human health and/or the environment, based on its consideration of therelevant parts of the restriction dossier. This opinion shall take account of the restriction
dossier prepared by the Agency at the request of the Commission or by the Member State,
and the views of interested parties referred to in paragraph 4Article 71(8)(a).

62.

Within 15 months of the date of publication referred to in paragraph 4Article 71(8), theCommittee for Socio-economic Analysis, set up pursuant to Article 76(1)(d) of Regulation(EC) No 1907/2006, shall adopt an opinion on the suggested restrictions, based on its
consideration of the relevant parts of the dossier and the socio-economic impact. Prior to that,it shall prepare a draft opinion on the suggested restrictions and on the related socio-economic
impact, taking account of the analyses or information according to paragraph 4Article
71(8)(b), if there are any.

73.

The Agency shall publish the draft opinion of the Committee for Socio-economic Analysis on
its website without delay and invite interested parties to provide their comments on the draft
opinion no later than 60 days from the publication of that draft opinion.

84.

The Committee for Socio-economic Analysis shall without delay adopt its opinion, taking into
account where appropriate further comments received by the deadline set in paragraph 73.
This opinion shall take account of the comments of interested parties submitted underparagraphs 4 and 7Article 71(8)(b) and paragraph 3 of this Article.

95.

Where the opinion of the Committee for Risk Assessment diverges significantly from therestrictions suggested, the Agency shall postpone the deadline for the opinion of theCommittee for Socio-economic Analysis by a maximum of 90 days.

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6.

Where the Committees for Risk Assessment and Socio-economic Analysis provide an
opinion pursuant to paragraphs 1 and 2, they shall make use of rapporteurs under
Article 87 of Regulation (EC) No 1907/2006and in line with the conditions provided
thereof.
Article 71b
Submission of an opinion to the Commission

1.

The Agency shall submit to the Commission without delay the opinions of the Committees for
Risk Assessment and Socio-economic Analysis on the restrictions suggested pursuant to therequest made by the Commission under paragraph 1Article 71. Where the opinions of theCommittees for Risk Assessment and Socio-economic Analysis diverge significantly fromthe suggested the restrictions suggested pursuant to paragraph 3, the Agency shall submit anexplanatory note to the Commission providing a detailed explanation of the reasons for suchdifferences. If one or both of the Committees do not adopt an opinion by the deadline set inparagraphs 51 and 62 of Article 71a the Agency shall inform the Commission accordingly,
stating the reasons.

112. The Agency shall publish the opinions of the two Committees on its website without delay.
123. The Agency shall provide the Commission or Member State on request with all documents
and evidence submitted to or considered by it.
13.

If the Commission concludes that the conditions laid down in Article 6(2) are fulfilled, it shalladopt a delegated act pursuant to Article 6(2). This delegated act shall be adopted without
undue delay following the receipt of the opinion of the Committee for Socio-economic
Analysis referred to in paragraph 8 or after the deadline set out under paragraphs 6 and 9, asapplicable, if that Committee does not adopt an opinion.

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14.

Where the Committees for Risk Assessment and Socio-economic Analysis provide an opinion
pursuant to paragraphs 5 and 6, they shall make use of rapporteurs as specified in Article 87
of Regulation (EC) No 1907/2006. The rapporteurs or co-rapporteurs concerned, or theiremployer, shall be remunerated by the Agency in accordance with a scale of fees to be
included in the financial arrangements related to restrictions established by the Management
Board, set up pursuant to Article 76(1)(a) of Regulation (EC) No 1907/2006. Where thepersons concerned fail to fulfil their duties, the Executive Director of the Agency has the rightto terminate or suspend the contract or withhold remuneration.
Article 72
Supply chain due diligence schemes

1.

Governments, industry associations and groupings of interested organisations that havedeveloped and oversee due diligence schemes (“scheme owners”) may apply to theCommission to have their supply chain due diligence schemes recognised by the Commission.
The Commission is empowered to adopt implementing acts establishing the information
requirements that the application to the Commission shall contain. Those implementing acts
shall be adopted in accordance with the examination procedure referred to in Article 74(3).

2.

Where, on the basis of the evidence and information provided pursuant to the first subparagraph 1, the Commission determines that the supply chain due diligence scheme referred
to in paragraph 1, enables that economic operators to comply with the requirements set out in
Article 39 of this Regulation, it shall adopt an implementing act granting that scheme arecognition of equivalence with the requirements set out in this Regulation. The OECD
Secretariat shall, as appropriate, be consulted prior to the adoption of such implementing acts.
Those implementing acts shall be adopted in accordance with the examination procedurereferred to in Article 74(3).
When making a determination on the recognition of a due diligence scheme, the Commission
shall take into account the diverse industry practices covered by that scheme and shall haveregard to the risk-based approach and method used by that scheme to identify risks.

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3.

The Commission is empowered to adopt implementing acts setting out the criteria and themethodology according to which the Commission shall determine, in accordance withparagraph 2, whether supply chain due diligence schemes ensure that economic operators
fulfil the requirements set out in Article 39 of this Regulation. Those implementing acts
shall be adopted in accordance with the examination procedure referred to in Article
74(3).The Commission shall also, as appropriate, periodically verify that recognised supply
chain due diligence schemes continue to fulfil the criteria that led to a recognition ofequivalence decision adopted pursuant to paragraph 2.

4.

The owner of a supply chain due diligence scheme for which the recognition ofequivalence was granted in accordance with paragraph 2 shall inform the Commission
without delay of any changes or updates made to that scheme.

5.

If there is evidence of repeated or significant cases where economic operators
implementing a scheme recognised in accordance with paragraph 2 have failed to fulfil therequirements set out in Article 39 of this Regulation, the Commission shall examine, in
consultation with the owner of the recognised scheme, whether those cases indicate
deficiencies in the scheme.

6.

Where the Commission identifies a failure to comply with the requirements set out in
Article 39 of this Regulation or deficiencies in a recognised supply chain due diligencescheme, it may grant the scheme owner an appropriate period of time to take remedialaction.

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7.

Where the scheme owner fails or refuses to take the necessary remedial action, and where
the Commission has determined that the failure or deficiencies referred to in paragraph 6
compromise the ability of the economic operator referred to in Article 39(1) implementing
a scheme to comply with the requirements set out in Article 39 of this Regulation or where
repeated or significant cases of non-compliance by economic operators implementing ascheme are due to deficiencies in the scheme, the Commission shall adopt an implementing
act withdrawing the recognition of equivalence of the scheme. Those implementing acts
shall be adopted in accordance with the examination procedure referred to in Article 74(3).

8.

The Commission shall establish and keep up-to-date a register of recognised supply chain
due diligence schemes. That register shall be made publicly available on the internet.
Chapter XIDelegated powers and committee procedure
Article 73
Exercise of the delegation

1.

The power to adopt delegated acts is conferred on the Commission subject to the conditions
laid down in this Article.

2.

The power to adopt delegated acts referred to in Articles 6(2), 7(1), (2) and (3), 8(4), 9(2),10(3), 12(2), 17(4), 27(345a(8), 39(8), [55(4), 56(4), 57(657(5), 58(3)] and 70(270(3) shall be
conferred on the Commission for a period of [five years] from [date of entry into force of thisRegulation]. The Commission shall draw up a report in respect of the delegation of power nolater than nine months before the end of the five-year period. The delegation of power shall betacitly extended for periods of an identical duration, unless the European Parliament or theCouncil opposes such extension no later than three months before the end of each period.

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3.

The delegation of power referred to in Articles 6(2), 7(1), (2) and (3), 8(4), 9(2), 10(3), 12(2),
17(4), 27(345a(8), 39(8), [55(4), 56(4), 57(657(5), 58(3)] and 70(270(3) may be revoked at
any time by the European Parliament or by the Council. A decision to revoke shall put an end
to the delegation of the power specified in that decision. It shall take effect the day following
the publication of the decision in the Official Journal of the European Union or at a later datespecified therein. It shall not affect the validity of any delegated acts already in force.

4.

Before adopting a delegated act, the Commission shall consult experts designated by each
Member State in accordance with the principles laid down in the Interinstitutional Agreementof 13 April 2016 on Better Law-Making.

5.

As soon as it adopts a delegated act, the Commission shall notify it simultaneously to theEuropean Parliament and to the Council.

6.

A delegated act adopted pursuant to Articles 6(2), 7(1), (2) and (3), 8(4), 9(2), 10(3), 12(2),
17(4), 27(345a(8), 39(8), [55(4), 56(4), 57(657(5), 58(3)] and 70(270(3) shall enter into force
only if no objection has been expressed either by the European Parliament or the Council
within a period of twothree months of notification of that act to the European Parliament andthe Council or if, before the expiry of that period, the European Parliament and the Council
have both informed the Commission that they will not object. That period shall be extendedby two months at the initiative of the European Parliament or of the Council.
Article 74
Committee procedure

1.

The Commission shall be assisted by a committee established by Article 39 of Directive
2008/98/EC. That committee shall be a committee within the meaning of Regulation (EU) No
182/2011.

2.

Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 shallapply.

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3.

Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shallapply.
Where the committee delivers no opinion, the Commission shall not adopt the draft
implementing act and the third subparagraph of Article 5(4) of Regulation (EU) No 182/2011
shall apply.

4.

Where reference is made to this paragraph, Article 8 of Regulation (EU) No 182/2011, in
conjunction with Article 5 thereof, shall apply.
Chapter XII
Amendments
Article 75
Amendments to Regulation (EU) 2109/10202019/1020

1.
(1)Regulation (EU) 2019/1020 is amended as follows:in Article 4(5), the text “(EU) 2016/425(35) and (EU) 2016/426(36)” is replaced by thefollowing:“(EU) 2016/425 (*), (EU) 2016/426 (**) and [(EU) 2020[…] [year of adoption of thisRegulation]/…(***)]

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Article 75a
Amendments to Directive 2008/98/EC
Directive 2008/98/EC is amended as follows:(1)

in Article 8a(7), the text “by 5 January 2023” is replaced by the following:“by 5 January 2023, with the exception of extended producer responsibility schemes forbatteries, as defined in Article 2(1) of [insert reference and numbering of thisRegulation] .
In regard to such schemes, Member States shall take measures to ensure that thoseestablished before 4 July 2018, comply with this Article by 1st of January 24 months
after entry into force of the Regulation.
_____________________* Regulation (EU) 2016/425 of the European Parliament and of the Council of 9 March
2016 on personal protective equipment and repealing Council Directive 89/686/EEC(OJ L 81, 31.3.2016, p. 51).
** Regulation (EU) 2016/426 of the European Parliament and of the Council of 9 March
2016 on appliances burning gaseous fuels and repealing Directive 2009/142/EC (OJ L 81,
31.3.2016, p. 99).
*** [Regulation of the European Parliament and of the Council on batteries and waste
batteries, amending Regulation (EU) No 2019/1020 and repealing Directive 2006/66/EC(For the Publications Office to fill in the OJ publication details)]”;(2)

in Annex I, the following point 71 is added to the list of Union harmonisation legislation:’71. Regulation of the European Parliament and of the Council on batteries and waste
batteries, amending Regulation (EU) No 2019/1020 and repealing Directive 2006/66/EC(the Publications Office to fill in the OJ publication details);.

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Chapter XIII
Final provisions
Article 76
Penalties
By 24 months after entry into force of the Regulation Member States shall lay down the rules on
penalties applicable to infringements of this Regulation and shall take all measures necessary toensure that they are implemented. The penalties provided for shall be effective, proportionate anddissuasive. Member States shall, without delay, notify the Commission of those rules and of thosemeasures and shall notify it, without delay, of any subsequent amendment affecting them.
Article 77
Review
1.

By 31 December 203096 months after entry into force of the Regulation, the Commission
shall draw up a report on the application of this Regulation and its impact on the environment
and the functioning of the internal market.

2.

Taking account of technical progress and practical experience gained in Member States, theCommission shall in its report include an evaluation on the following aspects of thisRegulation:(a0) the list of common formats falling under the definition of portable batteries ofgeneral use;(a) sustainability and safety requirements set out in Chapter II, including
the possibility to introduce an export ban of batteries which are non compliant
with the restrictions set out in Annex I;(b)labelling and information requirements set out in Chapter III;(c)supply chain due diligence requirements set out in Articles 39 and 7245a to 45f;

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(d)

measures regarding end-of-life management of waste batteries set out in Chapter VII ,including the possibility to introduce two sub-categories of portable batteries:
rechargeable and non rechargeable, with separate collection targets, and(e)measures regarding electronic exchange of information and battery passport set
out in Chapter VIII.

Where appropriate, the report shall be accompanied by a legislative proposal for amendmentof the relevant provisions of this Regulation.
3.

Taking into account the revision of Regulation (EC) No 1906/2006, the Commission shallin its report include a specific evaluation on the need for a legislative proposal to amend
Articles 6, 71, 71a and 7b.

4.

By 60 months after entry into force of the Regulation, the Commission shall submit areport to the European Parliament and the Council on how the Regulation should
further apply to LMT batteries, in particular in relation to carbon footprint, recycledcontent and performance and durability requirements, and supply chain due diligencepolicies. The report shall be accompanied by a legislative proposal.
Article 78
Repeal and transitional rules

Directive 2006/66/EC is repealed with effect from 1 July 2023st of january 24 months after theentry into force of this Regulation; however, its:(a)Article 10(3), shall continue to apply until 31 december 24 months after the entry into
force of this Regulation, except as regards the transmission of data to the Commission
which shall continue to apply until 42 months after the entry into force of thisregulation;

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(b)

Article 12(4) and Article 12(5) shall continue to apply until 31 December 202336 months
after entry into force of the Regulation, except as regards the transmission of data to theCommission which shall continue to apply until 31 December 202554 months after entry
into force of the Regulation;(bc) Article 21(2) shall continue to apply until 31 December 202648 months after entry into
force of this regulation.
References to the repealed Directive shall be construed as references to this Regulation.
Article 79
Entry into force and application
1.

This Regulation shall enter into force on the twentieth day following that of its publication in
the Official Journal of the European Union.

2.

ItChapter IV, V and VI shall apply from 1 January 202212 months after entry into force of
the Regulation.

3.

Chapter VII shall apply form the 1st of January, 24 months after entry into force of theRegulation.

This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at Brussels,
For the European Parliament

For the Council

The President

The President

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ANNEX I
Restrictions on hazardous substances
Designation of the substance or

Conditions of restrictiongroup of substances
1. Mercury
CAS No. 7439-97-6
EC No. 231-106-7 and its
compounds

2. Cadmium
CAS No. 7440-43-9
EC No. 231-152-8 and its
compounds

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1.

Batteries, whether or not incorporated into
appliances, light means of transport orvehicles, shall not contain more than
0,0005 % of mercury (expressed as
mercury metal) by weight.
2.
Batteries used in vehicles to which
Directive 2000/53/EC applies shall notcontain more than 0,1% of mercury(expressed as mercury metal) by weight inhomogeneous material.
1.
Portable batteries, whether or notincorporated into appliances, lightmeans of transport or vehicles, shallnot contain more than 0,002% of
cadmium (expressed as cadmium metal)
by weight.
2.
The restriction set out in point 1 shallnot apply to portable batteries intended
for use in:3.
emergency and alarm systems,
including emergency lighting;4.
medical equipment.
5.
Batteries used in vehicles to which
Directive 2000/53/EC applies shall notcontain more than 0,010,002 % of
cadmium (expressed as cadmium metal)
by weight in homogeneous material.
The restriction set out in point 3 does not apply
to vehicles that benefit from an exemption on thebasis of Annex II to Directive 2000/53/EC.

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Carbon footprint
1.

Definitions

For the purposes of this Annex, the following definitions shall apply:(a)‘Activity data’ means the information associated with processes while modelling Life Cycle
Inventories (LCI). The aggregated LCI results of the process chains that represent theactivities of a process are each multiplied by the corresponding activity data and then
combined to derive the environmental footprint associated with that process;(b)‘Bill of materials’ means list of the raw materials, sub-assemblies, intermediate assemblies,
sub-components, parts and the quantities of each needed to manufacture the product in scopeof the study;(c)‘Company-specific data’ refers to directly measured or collected data from one or multiple
facilities (site-specific data) that are representative for the activities of the company. It issynonymous to “primary data”;(d)‘Functional unit’ means the qualitative and quantitative aspects of the function(s) and/or
service(s) provided by the product being evaluated;(e)‘Life cycle’ means the consecutive and interlinked stages of a product system, from raw
material acquisition or generation from natural resources to final disposal (ISO 14040:2006 orequivalent);

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(f)

‘Life cycle inventory (LCI)’ means the combined set of exchanges of elementary, waste andproduct flows in a LCI dataset;(g)‘Life cycle inventory (LCI) dataset’ means a document or file with life cycle information of a
specified product or other reference (e.g., site, process), covering descriptive metadata andquantitative life cycle inventory. A LCI dataset could be a unit process dataset, partiallyaggregated or an aggregated dataset;(h)‘Reference flow’ means the measure of the outputs from processes in a given product system
required to fulfil the function expressed by the functional unit (based on ISO 14040:2006 orequivalent);(i)‘Secondary data’ means data not from a specific process within the supply-chain of thecompany performing a carbon footprint study. This refers to data that is not directly collected,
measured, or estimated by the company, but sourced from a third party LCI database or othersources. Secondary data includes industry average data (e.g., from published production data,
government statistics, and industry associations), literature studies, engineering studies andpatents, and may also be based on financial data, and contain proxy data, and other genericdata. Primary data that go through a horizontal aggregation step are considered as secondary
data;

(j)

‘System boundary’ means the aspects included or excluded from the life cycle study.

Additionally, the harmonised rules for the calculation of the carbon footprint of batteries shall
include any further definition necessary for their interpretation.

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2.

Scope

This Annex provides essential elements on how to calculate the carbon footprint.
The harmonised calculation rules referred to in Article 77(1) shall build on the essential elements
included in this Annex, be in compliance with the latest version of the Commission ProductEnvironmental Footprint52 (PEF) method and relevant Product Environmental Footprint Category
Rules (PEFCRs)53 and reflect the international agreements and technical/scientific progress in thearea of life cycle assessment54.
The calculation of the life cycle carbon footprint shall be based on the bill of material, the energy,
and auxiliary materials used in a specific plant to produce a specific battery model. In particular, theelectronic components (e.g. battery management units, safety units) and the cathode materials haveto be accurately identified, as they may become the main contributor for the battery carbon
footprint.
3.

Functional unit and reference flow

The functional unit is further defined as one kWh (kilowatt-hour) of the total energy provided overthe service life by the battery system, measured in kWh. The total energy is obtained from thenumber of cycles multiplied by the amount of delivered energy over each cycle.
The reference flow is the amount of product needed to fulfil the defined function and shall bemeasured in kg of battery per kWh of the total energy required by the application over its service
life. All quantitative input and output data collected by the manufacturer to quantify the carbon
footprint shall be calculated in relation to this reference flow.

52
53
54

https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32013H0179&from=EN
https://ec.europa.eu/environment/eussd/smgp/pdf/PEFCR_guidance_v6.3.pdf
See https://ec.europa.eu/environment/eussd/smgp/dev_methods.htm

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4.

System boundary

The following life cycle stages and processes shall be included in the system boundary:Life cycle stage

Short description of the processes included

Raw material acquisition and pre-processing

Includes mining and pre-processing, up to the
manufacturing of battery cells and batteries
components (active materials, separator,
electrolyte, casings, active and passive
battery components), and electric/electronics
components.

Main product production

Assembly of battery cells and assembly ofbatteries with the battery cells and theelectric/electronic components

Distribution

Transport to the point of sale

End of life and recycling

Collection, dismantling and recycling

The following processes shall be excluded:

Manufacturing of equipment for batteries assembly and recycling, as impacts have been
calculated as negligible in the PEFCRs for high specific energy rechargeable batteries formobile applications;Battery assembly process with the original equipment manufacturer (OEM) systemcomponents. It mainly corresponds to mechanical assembly, and it is included inside theOEM equipment or vehicle assembly line. The specific energy or material consumption forthis process are negligible when compared to the manufacturing process of OEM
components.

The use phase should be excluded from the lifecycle carbon footprint calculations, as not being
under the direct influence of manufacturers unless it is demonstrated that choices made by battery
manufacturers at the design stage can make a non-negligible contribution to this impact.

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5.

Use of company specific and secondary datasets

Due to the high number of battery components and the complexity of the processes, the economic
operator shall limit, where justified, the use of company specific data to process and component
analysis to the battery-specific parts.
In particular, all activity data related to the battery’s anode, cathode, electrolyte, separator and cellcasing shall refer to a specific battery model produced in a specific production plant (i.e., no default
activity data shall be used). The battery-specific activity data shall be used in combination with therelevant Product Environmental Footprint compliant secondary datasets.
As the carbon footprint declaration shall be specific to a model battery produced in a defined
production site, sampling of data collected from different plants producing the same battery model
should not be allowed.
A change in the bill of materials or energy mix used to produce a battery model requires a new
calculation of the carbon footprint for that battery model.
The harmonised rules to be elaborated via a delegated act referred to in Article 7(1) shall include
detailed modelling of the following lifecycle stages:
Raw material acquisition and pre-processing stage;
Production stage;
Distribution;
Own electricity production;
The use of guarantees of origin issued under Article 19 of Directive (EU) 2018/200155;
End of life stage.

55

Directive (EU) 2018/2001 of the European Parliament and of the Council of 11
December 2018 on the promotion of the use of energy from renewable sources

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6.

Carbon footprint impact assessment

The carbon footprint of the battery shall be calculated using the “climate change” life cycle impact
assessment method recommended in the 2019 Joint Research Centre (JRC) report available athttps://eplca.jrc.ec.europa.eu/permalink/PEF_method.pdf .
The results shall be provided as characterised results (without normalisation and weighting). The
list of characterization factors to be used is available athttps://eplca.jrc.ec.europa.eu/EnviromentalFootprint.html
https://eplca.jrc.ec.europa.eu/EnvironmentalFootprint.html.
7.

Offsets

Offsets are calculated relative to a baseline that represents a hypothetical scenario for whatemissions would have been in the absence of the mitigation project that generates the offsets.
Offsets shall not be included in the carbon footprint declaration, but may be reported separately as
additional environmental information and used for communication purposes.
8.

Carbon footprint performance classes

Depending on the distribution of the values of the batteries’ carbon footprint declarations placed
inon the EU internal market, a meaningful number of classes of performance will be identified, withcategory A being the best class with the lowest carbon footprint life cycle impact, to allow formarket differentiation of industrial batteries with a capacity above 2 kWh, except those with
exclusively external storage, and electric vehicle batteries.
The identification of the threshold for each class of performance, as well as their width, will bebased on the distribution of performances of the industrial batteries with a capacity above 2
kWh, except those with exclusively external storage, and electric vehicle batteries placed on themarket, in the previous 3 years, the expected technological improvements, and other technicalfactors to be identified.

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The Commission shall review the number of performance classes and the thresholds between themevery three years in order to keep them representative of the market reality and its expecteddevelopment.
9.

Maximum carbon thresholds

Based on the information collected through the carbon footprint declarations of industrial batteries
with a capacity above 2 kWh, except those with exclusively external storage, and electricvehicle batteries and the relative distribution of the carbon footprint performance classes of theirbattery models placed on the market, and taking into account the scientific and technical progress inthe field, the Commission will identify maximum lifecycle carbon footprint thresholds forrechargeable industrial batteries with a capacity above 2 kWh, except those with exclusively
external storage, and electric vehicle batteries, further to a dedicated impact assessment todetermine those values.
In proposing maximum carbon footprint thresholds referred to in first subparagraph, theCommission will take into account the relative distribution of the carbon footprint values inof theindustrial batteries with a capacity above 2 kWh, except those with exclusively external
storage, and electric vehicle batteries on the market, the extent of progress in the reduction ofcarbon footprint of batteries placed on the Union market and the effective and potential contributionof this measure to the Union’s objectives on sustainable mobility and climate neutrality by 2050.

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ENANNEX IIIElectrochemical performance and durability parameters for portable batteries of general use
1.

Battery capacity, electric charge which a battery can deliver under a specific set of conditions.

2.

Minimum average duration, minimum average time on discharge when used in specificapplications, depending on the typecategory of battery.

3.

Shelf life (delayed Delayed discharge performance), the relative decrease of the minimum
average duration, with the initially measured capacity as the reference point, after adefined period of time and specific conditions.

4.

Endurance in cycles (for rechargeable batteries), the capacity of the battery after a preestablished number of charge and discharge cycles.

5.

Resistance to leakage, i.e. resistance to unplanned escape of electrolyte, gas or other material(poor, good or excellent).

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ENANNEX IV
Electrochemical performance and durability requirements for rechargeableLMT batteries,
industrial batteries and electric vehicle batteries with a capacity above 2 kWh
Part A
Parameters related to the electrochemical performance and durability
1.

Rated capacity (in Ah) and capacity fade (in %).

2.

Power (in W) and power fade (in %).

3.

Internal resistance (in ꭥ) and internal resistance increase (in %).

4.

Energy round trip efficiency and its fade (in %).

5.

An indication of their expected life-time under the conditions for which they have been
designed.

‘Rated capacity’ means the total number of ampere-hours (Ah) that can be withdrawn from a fully
charged battery under specific conditions.
‘Capacity fade’ means the decrease over time and upon usage in the amount of charge that a battery
can deliver at the rated voltage, with respect to the original ratedmeasured capacity declared by the
manufacturer.
‘Power’ means the amount of energy that a battery is capable to provide over a given period oftime.
‘Power fade’ means the decrease over time and upon usage in the amount of power that a battery
can deliver at the rated voltage.
‘Internal resistance’ means the opposition to the flow of current within a cell or a battery, that is,
the sum of electronic resistance and ionic resistance to the contribution to total effective resistanceincluding inductive/capacitive properties.
‘Energy round trip efficiency’ means the ratio of the net energy delivered by a battery during adischarge test to the total energy required to restore the initial State of Charge by a standard charge.

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Part B
Elements for explanation of the measurements made for parameters listed in Part A
1.

Applied discharge rate and charge rate.

2.

Ratio between maximum allowed battery power (W) and battery energy (Wh).

3.

Depth of discharge in the cycle-life test.

4.

Power capability at 80% and 20% state of charge.

5.

Any calculations performed with the measured parameters, if applicable.

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ENANNEX V
Safety parameters
1.

Thermal shock and cycling

This test shall be designed to evaluate changes in the integrity of the battery arising from expansion
and contraction of cell components upon exposure to extreme and sudden changes in temperatureand potential consequences of such changes. During a thermal shock the battery shall be exposed to
two temperature limits and held at each temperature limit for a specified period of time.
2.

External short circuit protection

This test shall evaluate the safety performance of a battery when applying an external short circuit.
The test can evaluate the activation of the overcurrent protection device or the ability of cells towithstand the current without reaching a hazardous situation (e.g. thermal runaway, explosion, fire).
The main risk factors are heat generation at cell level and electrical arcing which may damage
circuitry or may lead to reduced isolation resistance.
3.

Overcharge protection

This test shall evaluate the safety performance of a battery in overcharge situations. The main safety
risks during overcharge are the decomposition of the electrolyte, cathode and anode breakdown,
exothermic decomposition of the solid electrolyte interphase (SEI) layer, separator degradation, andthe LiLithium plating, which can lead to self-heating of the battery and thermal runaway. The
factors affecting the outcome of the test shall include, at least, the charging rate and the finallyreached state-of-charge (SOC). The protection can be ensured by either voltage control (interruption
after reaching the limit charging voltage) or current control (interruption after exceeding maximum
charging current).

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4.

Over-discharge protection

This test shall evaluate the safety performance of a battery in over-discharge situations. Safety risks
during over-discharge include polarity reversal leading to oxidation of the anode current collector(Copper) and to plating on the cathode side. Even minor over-discharge may cause dendrite
formation and finally short circuit.
5.

Over-temperature protection

This test shall evaluate the effect of temperature control failure or failure of other protection
features against internal overheating during operation.
6.

Thermal propagation

This test shall evaluate the safety performance of a battery in thermal propagation situations. A
thermal runaway in one cell can cause a cascading reaction through the entire battery which can becomposed of numerous cells. It can lead to severe consequences including a significant gas release.
The test shall take into account the tests under development for transport applications by ISO and
UN GTR.
7.

Mechanical damage by external forces (drop and impact)

These tests shall simulate one or more situations in which a battery is accidentally drops or is
impacted by a heavy load and remains operational for the purpose for which it was designed. The
criteria to simulate these situations should reflect real life uses.

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8.

Internal short circuit

This test shall evaluate the safety performance of a battery in internal short-circuit situations The
occurrence of internal short circuits, one of the main concerns for battery manufacturers, potentiallyleads to venting, thermal runaway, along with sparking which can ignite the electrolyte vapours
escaping from the cell. The generation of these internal shorts can be triggered by manufacturing
imperfections, presence of impurities in the cells or dendritic growth of lithium, and leads to mostof in-field safety incidents. Multiple internal short circuits scenarios are possible (e.g. electricalcontact of cathode/anode, aluminium current collector/copper current collector, aluminium current
collector /anode) each with a different contact resistance.
9.

Thermal abuse

During this test, the battery shall exposed to elevated temperatures (in IEC 62619 this is 85 °C)
which can trigger exothermal decomposition reactions and lead to a thermal runaway of the cell.
10.

Fire test

The risk of explosion shall be assessed by exposing the battery to fire.
Proper considerations to the risk of toxic gases emitted from non-aqueous electrolytes should bemade for all safety parameters listed in points 1 to 910.

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ANNEX VI
Labelling, marking and information requirements
Part A
General information about batteries
Information on the label of batteries:
1.

the manufacturer’s name, registered trade name or trade mark identification in accordancewith Article 38(8);1a.

where relevant, the importer’s identification in accordance with Article 41(3);2.

the battery type, batch or serial number of the battery or other element allowing and its
unequivocal identification in accordance with Article 38(7a);3.

battery model identifier;4.

date of manufacture;5.

date of placing on the market;

4.

manufacturing place (geographical location of a battery manufacturing facility);

4a.

manufacturing date (month and year);5.

weight;5a.

capacity;

6.

chemistry;

7.

hazardous substances contained in the battery other than mercury, cadmium or lead;8.

critical raw materials contained in the battery

9.

usable extinguishing agent.

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Part B
Symbol for separate collection of batteries

The symbol shall cover at least 3 % of the area of the largest side of the battery, except in thecase of cylindrical battery cells, where the symbol shall cover at least 1,5 % of the surface areaof the battery.
The size of the symbol marking the battery shall not be smaller than 0,5 × 0,5 cm and shall not
be bigger than 5 × 5 cm.
The size of the symbol printed on the packaging and on the documentation accompanying thebattery shall not be smaller than 1 × 1 cm.
Part C
QR code and unique identifier
The QR code an unique idenfier shall be 100% blackof a high colour contrast and of a size that is
easily readable by a commonly available QR reader, such as those integrated in hand-heldcommunication devices.

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ANNEX VII
Parameters for determining the state of health of batteries and expected lifetime of industrial
batteries, LMT batteries with a capacity above 2 kWh, and electric vehicle batteries
Parameters for determining the state of health of LMT batteries, industrial batteries with acapacity above 2 kWh, and electric vehicle batteries:
1.

Remaining capacity;2.

Overall capacity fade;3.

Remaining power capability and power fade;

4.

Remaining round trip efficiency;

5.

Actual cooling demand;

6.

Evolution of self-discharging rates;

7.

Ohmic resistance and/or electrochemical impedance.

Parameters for determining the expected lifetime of batteries:
1.

The dates of manufacturing of the battery andor, if applicable, the date of putting into

service;2.

Energy throughput;

3.

Capacity throughput;.

4.

Tracking of harmful events, such as the number of deep discharge events, time spent in
extreme temperatures, time spent charging during extreme temperatures;

5.

Number of full charge-discharge cycles.

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ANNEX VIII
Conformity assessment proceduresPart A
MODULE A - INTERNAL PRODUCTION CONTROL
1.

Description of the module

Internal production control is the conformity assessment procedure whereby the manufacturer
fulfils the obligations laid down in points 2, 3 and 4 of this Module, and ensures and declares on
his sole responsibility, without prejudice to the responsibilities of other economic operators inaccordance with this Regulation, that the battery satisfies batteries concerned satisfy therequirements set out in Articles 6, 7, 8, 9, 10, 11, 12, 13 and 14 that apply to them.
2.

Technical documentation

The manufacturer shall draw up the technical documentation. The documentation shall make itpossible to assess the battery’s conformity with the relevant requirements referred to in point 1, andshall include an adequate analysis and assessment of the risk(s).
The technical documentation shall specify the applicable requirements and cover, as far as relevant
for the assessment, the design, manufacture and intended useoperation of the battery. The technicaldocumentation shall contain, where applicable, at least the following elements:(a)a general description of the battery and its intended use;(b)conceptual design and manufacturing drawings and schemes of components, sub-assemblies,
circuits, etc;(c)descriptions and explanations necessary for the understanding of the drawings and schemesreferred to in point (b) and the operation of the battery;(c-a) a specimen of the labelling required in accordance with Article 13;7103/1/22 REV 1
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(d)

a list harmonised standards, common specifications or other relevant technicalspecifications which includes:(i)a list of the harmonised standards referred to in Article 15, applied in full or in part,
incuding an indication of which parts have been applied;(ii)

a list of the common specifications referred to in Article 16, applied in full or in part,
incuding an indication of which parts have been applied;(iii) a list of other relevant technical specifications used for measurement or calculation
purposes;(iv) an indication of which parts of the harmonised standards referred to in point (i) and thecommon specifications referred to in point (ii) that have been applied;(v)

where the harmonised standards referred to in point (i) and the common specifications
referred to in point (ii) have not been applied or are not available, a description of thesolutions adopted to meet the applicable requirements referred to in point 1. or toverify the compliance of batteries with those requirements;(d-a) results of design calculations made, examinations carried out, technical or documentary
evidence used, etc.; and(e)test reports.

3.

Manufacturing

The manufacturer shall take all measures necessary so that the manufacturing process and its
monitoring ensure compliance of the batterymanufactured batteries with the technicaldocumentation referred to in point 2 and with the applicable requirements referred to in point 1.

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4.

CE marking and EU declaration of conformity

The manufacturer shall affix the CE marking to each individual packaging of the battery model thatsatisfies the applicable requirements referred to in point 1, or, where itthat is supplied withoutnot
possible or not warranted due to the nature of the battery, to the packaging, in a document andthe documents accompanying the battery model.
The manufacturer shall draw up an EU declaration of conformity for each battery model inaccordance with Article 18 and keep it together with the technical documentation at the disposal of
the national authorities for ten years after the last battery belonging to the respective battery model
has been placed on the market. The EU declaration of conformity shall identify the battery
model for which it has been drawn up.
A copy of the EU declaration of conformity shall be made available to the relevantnational
authorities of the Member States upon request.
5.

Manufacturer’s Authorised representative

The manufacturer’s obligations set out in point 4 may be fulfilled by his or herthe manufacturer’s
authorised representative, on his or herits behalf and under his or herthe manufacturer’s
responsibility, provided that they are specified in the mandate.

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ENPart B
MODULE AD1 - INTERNALQUALITY ASSURANCE OF THE PRODUCTION CONTROL
PLUS SUPERVISED VERIFICATIONPROCESS
1.

Description of the module

InternalQuality assurance of the production control plus supervised verificationprocess is theconformity assessment procedure whereby the manufacturer fulfils the obligations laid down inpoints 2, 3, 4, and 57 of this module, and ensures and declares on his sole responsibility, without
prejudice to the responsibilities of other economic operators in accordance with thisRegulation, that the batterybatteries concerned satisfy the applicable requirements set out in
Articles 7, and 8 and 39 that are, or, at the choice of the manufacturer, all applicablerequirement set out in Articles 6 to 10 and 12 to 14.
2.

Technical documentation

The manufacturer shall draw upestablish the technical documentation. The technicaldocumentation shall make it possible to assess the battery’s conformity with the relevant
requirements referred to in point 1, and shall include an adequate analysis and assessment of therisk(s).
The technical documentation shall specify the applicable requirements referred to in point 1 andcover, as far as relevant for the assessment, the design, manufacture and operation of the battery.
The technical documentation shall contain, whereverwhere applicable, contain at least thefollowing elements:(a)a general description of the battery; and its intended use,(b)conceptual design and manufacturing drawings and schemes of components, sub-assemblies,
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(c)

descriptions and explanations necessary for the understanding of the drawings and schemesreferred to in point (b) and the operation of the battery,(d)a specimen of the labelling required in accordance with Article 13,(e)a list of the harmonised standards referred to in Article 15 and/or the common
specifications referred to in Article 16, applied, and, in the event of partly applied
harmonised standards and/or common specifications, an indication of which parts havebeen applied,(f)a list of other relevant technical specifications used for measurement or calculation
purposes and descriptions of the solutions adopted to meet the applicable requirements
referred to in point 1 or to verify the compliance of batteries with those requirements,
where harmonised standards and/or common specifications have not been applied or are
not available,(g)results of design calculations made, examinations carried out, technical or documentary
evidence used, etc.,(h)a study supporting the carbon footprint values referred to in Article 7(1) and the carbon
footprint class referred to in Article 7(2), containing the calculations made in accordancewith the methodology set out in the delegated act adopted by the Commission pursuant
to point (a) of Article 7(1) and the evidence and information determining the input data
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(i)

a study supporting the recycled content share referred to in Article 8, containing the
calculations made in accordance with the methodology set out in the delegated act
adopted by the Commission pursuant to second subparagraph of Article 8(1) and theevidence and information determining the input data for those calculations;(j)test reports.

3.

Availability of technical documentation

The manufacturer shall keep the technical documentation at the disposal of the national
authorities for 10 years after the battery has been placed on the market.
4.

Manufacturing

The manufacturer or the importer that placesshall operate an approved quality system forproduction, final product inspection and testing of the batteries concerned as specified inpoint 5, and shall be subject to surveillance as specified in point 6.
5.

Quality system

5.1. The manufacturer shall lodge an application for assessment of his quality system with
the notified body of his choice, for the batteries concerned.
The application shall include:(a)the name and address of the manufacturer and, if the application is lodged by the
manufacturer’s authorised representative, his name and address as well,(b)a written declaration that the same application has not been lodged with any othernotified body,(c)

all relevant information for the battery on the Union marketcategory envisaged,(d)

the documentation concerning the quality system referred to in point 5.2,(e)the technical documentation referred to in point 2.

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5.2. The quality system shall ensure compliance of the batteries with the requirements
referred to in point 1 that apply to them.
All the elements, requirements and provisions adopted by the manufacturer shall be
documented in a systematic and orderly manner in the form of written policies,
procedures and instructions. The quality system documentation shall permit a consistentinterpretation of the quality programmes, plans, manuals and records.
It shall, in particular, contain an adequate description of:(a)the quality objectives and the organisational structure, responsibilities and powersof the management with regard to product quality,(b)

the procedures for documenting and monitoring the parameters and datanecessary for calculating and updating the recycled content share referred to in
Article 8 and, where applicable, the carbon footprint values and class referred toin Article 7,(c)

the corresponding manufacturing, quality control and quality assurance
techniques, processes and systematic actions that will be used,(d)the examinations, calculations, measurements and tests that will be carried out
before, during and after manufacture, and the frequency with which they will be
carried out,(e)the quality records, such as inspection reports and calculation, measurement andtest data, calibration data, qualification reports on the personnel concerned, etc.,(f)

the means of monitoring the achievement of the required product quality and theeffective operation of the quality system.

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5.3. The notified body shall assess the quality system to determine whether it satisfies therequirements referred to in point 5.2.
It shall presume conformity with those requirements in respect of the elements of thequality system that comply with the corresponding specifications of the relevant
harmonised standard.
In addition to experience in quality management systems, the auditing team shall haveat least one member with experience of evaluation in the relevant product field andproduct technology concerned, and knowledge of the applicable requirements referred
to in point 1. The audit shall include an assessment visit to the manufacturer's premises.
The auditing team shall review the technical documentation referred to in point 2 inorder to verify the manufacturer's ability to identify the applicable requirements
referred to in point 1 and to carry out the necessary examinations, calculations,
measurements and tests with a view to ensuring compliance of the battery with thoserequirements. The auditing team shall check the reliability of data used for the
calculation of the recycled content share referred to in Article 8 and, where applicable,
the carbon footprint values and class referred to in Article 7 as well as the proper
implementation of the relevant calculation methodology.
The decision of the notified body shall be notified to the manufacturer. The notification
shall contain the conclusions of the audit and the reasoned assessment decision.
5.4. The manufacturer shall undertake to fulfil the obligations arising out of the quality
system as approved and to maintain it so that it remains adequate and efficient.

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5.5. The manufacturer shall keep the notified body that has approved the quality system
informed of any intended change to the quality system.
The notified body shall evaluate any proposed changes and decide whether the modified
quality system will continue to satisfy the requirements referred to in point 5.2 orwhether reassessment is necessary.
The notified body shall notify the manufacturer of its decision. The notification shallcontain the conclusions of the examination and the reasoned assessment decision.
6.

Surveillance under the responsibility of the notified body

6.1. The purpose of surveillance is to make sure that the manufacturer duly fulfils theobligations arising out of the approved quality system.
6.2. The manufacturer shall, for assessment purposes, allow the notified body access to the
manufacture, inspection, testing and storage sites and shall provide it with all necessary
information, in particular:(a)the quality system documentation referred to in point 5.2,(b)the technical documentation referred to in point 2,(c)the quality records, such as inspection reports and calculation, measurement andtest data, calibration data, qualification reports on the personnel concerned, etc.

6.3. The notified body shall carry out periodic audits to make sure that the manufacturer
maintains and applies the quality system and shall provide the manufacturer with anaudit report. During such audits the notified body shall check at least the reliability ofdata used for the calculation of the recycled content share referred to in Article 8 and,
where applicable, the carbon footprint values and class referred to in Article 7 as well as
the proper implementation of the relevant calculation methodology.

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6.4. In addition, the notified body may pay unexpected visits to the manufacturer. During
such visits the notified body may, if necessary, carry out examinations, calculations,
measurements and tests, or have them carried out, in order to verify that the quality
system is functioning correctly. The notified body shall provide the manufacturer with avisit report and, if tests have been carried out, with a test report.
7.

CE marking and EU declaration of conformity

7.1. The manufacturer shall affix the CE marking, and, under the responsibility of thenotified body referred to in point 5.1, the latter's identification number to eachindividual battery that satisfies the applicable requirements referred to in point 1, or,where that is not possible or not warranted due to the nature of the battery, to the
packaging and the documents accompanying the battery.
7.2. The manufacturer shall draw up an EU declaration of conformity for each battery
model in accordance with Article 18 and keep it at the disposal of the national
authorities for 10 years after the last battery belonging to the respective battery model
has been placed on the market. The EU declaration of conformity shall identify thebattery model for which it has been drawn up.
A copy of the EU declaration of conformity shall be made available to the national
authorities upon request.
8.

Availability of quality system documentation
The manufacturer shall, for a period of 10 years after the battery has been placed on themarket, keep at the disposal of the national authorities:(a)the quality system documentation referred to in point 5.2,(b)the change referred to in point 5.5, as approved,(c)the decisions and reports of the notified body referred to in points 5.5, 6.3 and 6.4.

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9.

Information obligations of the notified body
Each notified body shall inform its notifying authority of quality system approvals
issued or withdrawn, and shall, periodically or upon request, make available to its
notifying authority the list of quality system approvals refused, suspended or otherwise
restricted.
Each notified body shall inform the other notified bodies of quality system approvals
which it has refused, withdrawn, suspended or otherwise restricted, and, upon request,of quality system approvals which it has issued.

10.

Manufacturer's Authorised representative
The manufacturer's obligations set out in points 3, 5.1, 5.5, 7 and 8 may be fulfilled by
the manufacturer's authorised representative, on the manufacturer's behalf and underthe manufacturer's responsibility, provided that they are specified in the mandate.

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Part CMODULE G - CONFORMITY BASED ON UNIT VERIFICATION
1.

Description of the module

Conformity based on unit verification is the conformity assessment procedure whereby the
manufacturer fulfils the obligations laid down in points 2, 3 and 5 of this module, and ensuresand declares on his sole responsibility, without prejudice to the responsibilities of othereconomic operators in accordance with this Regulation, that the battery concerned, which has
been subject to the provisions of point 4, is in conformity with the applicable requirements set
out in Articles 7 and 8, or, at the choice of the manufacturer, all applicable requirements set
out in Articles 6 to 10 and 12 to 14.
2.

Technical documentation

2.1. The manufacturer shall establish the technical documentation and make it available tothe notified body referred to in point 4. The technical documentation shall make itpossible to assess the battery’s conformity with the relevant requirements and shall
include an adequate analysis and assessment of the risk(s).
The technical documentation shall specify the applicable requirements and cover, as far
as relevant for the assessment, the design, manufacture and operation of the battery.
The technical documentation shall, where applicable, contain at least the following
elements:(a)a general description of the battery and its intended use,(b)conceptual design and manufacturing drawings and schemes of components, subassemblies, circuits, etc.,(c)descriptions and explanations necessary for the understanding of the drawings andschemes referred to in point (b) and the operation of the battery,(d)a specimen of the labelling required in accordance with Article 13,7103/1/22 REV 1
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(e)

a list of the harmonised standards referred to in Article 15 and/or the common
specifications referred to in Article 16 applied, and, in the event of partly applied
harmonised standards and/or common specifications, an indication of which parts
have been applied,(f)a list of other relevant technical specifications used for measurement or calculation
purposes and descriptions of the solutions adopted to meet the applicablerequirements referred to in point 1 or to verify the compliance of batteries withthose requirements, where harmonised standards and/or common specifications
have not been applied or are not available,(g)results of design calculations made, examinations carried out, technical or
documentary evidence used, etc.,(h)a study supporting the carbon footprint values and class referred to in Article 7,
containing the calculations made in accordance with the methodology set out in thedelegated act adopted by the Commission pursuant to point (a) of the third
subparagraph of Article 7(1) and the evidence and information determining the
input data for those calculations,(i)a study supporting the recycled content share referred to in Article 8, containing
the calculations made in accordance with the methodology set out in the delegatedact adopted by the Commission pursuant to second subparagraph of Article 8(1)and the evidence and information determining the input data for those
calculations;(j)test reports.

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2.2. The manufacturer shall keep the technical documentation at the disposal of the national
authorities for 10 years after the battery has been placed on the market.
3.

Manufacturing
The manufacturer shall take all measures necessary so that the manufacturing process andits monitoring ensure complianceconformity of the manufactured products with the technicaldocumentation referred to in point 2 andbattery with the applicable requirements referred toin point 1.
Product and information checks
For each battery model, and where applicable, for each batch that

4.

Verification
4.1. A notified body chosen by the manufacturer or the importer places on the Union
market, the mentioned economic operator shall carry out one or more tests on one ormore specific aspectsappropriate examinations, calculations, measurements andtests, set out in the relevant harmonised standards referred to in Article 15 and/or
common specifications referred to in Article 16, or equivalent tests, to check the
conformity of the battery model or batch of batteriesin order to verify conformity withthe correspondingapplicable requirements referred to in point 1. For large battery
batches, the manufacturer, the authorised representative or the importer shall choose astatistically representative sample of batteries.
The manufacturer, or the importer that places the battery model on the Union market, shallsubmit the information and documents referred to in Articles 7, 8 and 39 of this Regulation to
the notified body for verification of compliance with the applicable requirements andobligations in those Articles, as well as in applicable implementing measures. , or have them
carried out. In the absence of such a harmonised standard and/or common specification
the notified body concerned shall decide on the appropriate examinations, calculations,
measurements and tests to be carried out.

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The notified body shall issue a certificate of conformity in respect of the examinations,calculations, measurements and tests carried out and shall affix its identification
number to the approved battery, or have it affixed under its responsibility.
4.2. The manufacturer shall keep the certificates of conformity at the disposal of the national
authorities for 10 years after the battery has been placed on the market.
5.

CE marking and EU declaration of conformity

The manufacturershallmanufacturer shall affix the CE marking and, under the responsibility of thenotified body referred to in point 4, the latter’'s identification number to each battery, or to the
packaging thereof, that satisfies the applicable requirements of this Regulationreferred to inpoint 1, or, where that is not possible or not warranted due to the nature of the battery, to the
packaging and the documents accompanying the battery.
The manufacturer shall draw up a an EU declaration of conformity for each battery model inaccordance with Article 18 for each battery and keep it together with the technical documentation
at the disposal of the national authorities for ten10 years after the last battery belonging to therespective model has been placed on the market. The EU declaration of conformity shall identify
the battery for which it has been drawn up.
A copy of the EU declaration of conformity shall be made available to the relevantnational
authorities of Member States upon request.
6.

Manufacturer's authorised representative

The manufacturer's obligations set out in points 42.2, 4.2 and 5 may be fulfilled by the
manufacturer’'s authorised representative, on the manufacturer’'s behalf and under the
manufacturer’'s responsibility, provided that they are specified in the mandate.

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ENANNEX IXEU Declaration of conformity No* …
1.

Battery model (product, typecategory, and batch or serial number):2.

Name and address of the manufacturer and, where applicable, hisits authorised
representative.:

3.

This declaration of conformity is issued under the sole responsibility of the manufacturer.

4.

Object of the declaration (identification of the battery allowing traceability): description of thebattery.

5.

The object of the declaration described in point 4 is in conformity with the relevant Union
harmonisation legislation: … (reference to the other Union acts applied).

6.

References to the relevant harmonised standards or the common specifications used orreferences to the other technical specifications in relation to which conformity is declared:

7.

The notified body … (name, address, number) … performed … (description of intervention)… and issued the certificate(s): … (details, including its date, and, where appropriate,
information on the duration and conditions of its validity).

8.

Additional information
Signed for and on behalf of:(place and date of issue):(name, function) (signature)* (identification number of the declaration)

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ENANNEX X
List of raw materials and risk categories
1.

Raw materials:(a)cobalt;(b)natural graphite;(c)lithium;(d)nickel;(e)chemical compounds based on the raw materials listed in points (a) to (ffd) which arenecessary for the manufacturing of the active materials of batteries.

2.

Social and environmental risk categories:

air;
(a)

environment, considering direct, induced, indirect and cumulative environmental
pollution, incuding but not limited to:(i)air, including but not limited to air pollution, including greenhouse gas emissions;(ii)

water, including seabed and marine environment and including but not limited towater pollution, water use, water quantities (flooding or draughts) and access towater;

soil;(iii)soil, including but not limited to soil pollution, soil erosion, land use and landdegradation;(iv) biodiversity, including but not limited to damage to habitats, wildlife, flora andecosystems, including ecosystem services;human health;(v) hazardous substances;7103/1/22 REV 1
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(vi) noise and vibration;(vii) plant safety;(viii) energy use;(ix) waste and residues;(b)(i)

labour rights and industrial relations, including but not limited to:occupational health and safety;,labour rights, including (ii) child labour,(iii) forced labour,(iv) discrimination,(v)

trade union freedoms;(c)human rights recognised in international law;(d)community life.;(e)access to information, public participation in decision-making and access to justicein environmental matters.

3.

The international instruments covering the risks referred to in point 2 include:(a-a) UN Guiding Principles on Business and Human Rights;(a-b) OECD Guidelines for Multinational Enterprises;(a)

Ten Principles of the United Nations Global Compact;(b)

UNEP Guidelines for Social Life Cycle Assessment of Products;

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(c)

Convention on Biological Diversity Decision COP VIII/28- Voluntary guidelines on

Biodiversity-Inclusive impact assessment;(d)

ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social

Policy;(e-a) Eight fundamental ILO Conventions,(e-b) ILO Declaration on Fundamental Principles and Rights at Work;(e-c) The International Bill of Human Rights, including the international covenant on
Civil and Political Rights and the International Covenant on Economic, Social andCultural Rights;(e)OECD Due Diligence Guidance for Responsible Business Conduct; and(f)OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-

Affected and High-Risk Areas;(g)

The International Bill of Human Rights, including the international covenant on Civil

and Political Rights and the International Covenant on Economic, Social and Cultural Rights.

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ENANNEX XI
Calculation of collection rates of waste portable batteries and waste LMT batteries
1.

Producers or, where appointed in accordance with Article 47(247a(1), producer responsibility

organisations acting on their behalf, and Member States shall calculate the collection rate as thepercentage obtained by dividing the weight of waste portable batteries excluding waste batteries
from light means of transportbatteries, collected in accordance with Article 48 and Article 55,
respectively, in a given calendar year in a Member State by the average weight of such batteries that
producers either sellmake available on the market directly to end-users or deliver to third parties
in order to sellmake available on the market them to end-users in that Member State during thatyear and the preceding two3 predecing calendar years. These collection rates shall be calculated
for portable batteries, on the one hand, in accordance with Article 48, and for LMT batteries,
on the other hand, in accordance with Article 48a.

Year

Data collections

Calculations

Reportingrequirement

Year

Sales

in

1

year

1

(S1)
Year

Sales

in -

2

year

2

-

(S2)
Year

Sales

in

3

year

3

(S3)
Year

Sales

in Collection

4

year

4 year 4 (C4)in Collection

rate CR4(CR4)=3*C4/(S1+S2+S3)

(S4)
Year

Sales

in Collection

5

year

5 year 5 (C5)in Collection

rate CR5(CR5)=3*C5/(S2+S3+S4)

(S5)
Etc.

Etc.

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2.

Producers or, where appointed in accordance with Article 47(247a(1), producer responsibility
organisations acting on their behalf, and Member States shall calculate the annual sales ofportable batteries, excluding batteries from light means of transport, to end-users in a given
year, as the weight of such batteries made available on the market for the first timewithinthewithin the territory of the Member State in the year concerned, excluding any
portable batteries that have left the territory of that Member State in that year, before being
sold to the end -users. These sales are calculated for portable batteries on the one handand for LMT batteries on the other.

3.

For each battery, only the first time it is made available on the market in a Member State shallbe counted.

4.

The calculation provided for in points 21 and 32 shall be based on collected data or
statistically significant estimates based on collected data.

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ENANNEX XIITreatmentStorage, treatment and recycling and recycling requirements
Part A
TreatmentStorage, treatment requirements
1.

Treatment shall, as a minimum, include removal of all fluids and acids.

2.

Treatment and any storage, including temporary storage, at treatment and recycling andrecycling facilities shall take place in sites with impermeable surfaces and suitable
weatherproof covering or in suitable containers.

3.

Waste batteries in treatment and recycling and recycling facilities shall be stored in such a
way that waste batteries are not mixed with waste from conductive or combustible materials.

4.

Special precautions and safety measures shall be in place for the treatment of waste lithium
based batteries thatduring handling, sorting and storage. Such measuresshall beprotectedinclude protection from exposure to:(a)excessive heat, (such as high temperatures, fire or direct sunlight),(b)water (stored in dry place, protected from precipitation and flooding), or(c)

any crushing or physical damage.

They shall be stored in their normally installed orientation (never inverted) in wellventilated areas and covered with a high voltage rubber isolation. Storage facilities ofwaste lithium based batteries shall be marked with a warning sign.
4a.

Mercury shall be separated during handling, sorting and storagetreatment and recycling

and recycling into an identifiable stream, which is given a safe destination and cannot cause
adverse effects on humans or the environment.

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Part B
RecyclingMinimum recycling efficiencies
1.

No later than 1 January 202536 months after entry into force of the Regulation, recycling

processes shall achieve the following minimum recycling efficiencies:(a)recycling of 75 % by average weight of lead-acid batteries;(b)

recycling of 65 % by average weight of lithium-based batteries;(c)

recycling of 75 % by average weight of nickel-cadmium batteries;(d)recycling of 50 % by average weight of other waste batteries.

2.

No later than 1 January 203096 months after entry into force of the Regulation, recycling

processes shall achieve the following minimum recycling efficiencies:(a)recycling of 80 % by average weight of lead-acid batteries;(b)

recycling of 70 % by average weight of lithium-based batteries.
Part C
LevelsMinimum levels of recovered materials

1.

No later than 1 January 202648 months after entry into force of the Regulation, allrecycling processes shall achieve the following minimum levels of materials recovery:(a)90 % for cobalt;(b)

90 % for copper;(c)

90 % for lead;(d)

35 % for lithium;(e)

90 % for nickel.

2.

No later than 1 January 203096 months after entry into force of the Regulation, allrecycling processes shall achieve the following minimum levels of materials recovery:(a)95 % for cobalt;(b)

95 % for copper;(c)

95 % for lead;(d)

70 % for lithium;(e)

95 % for nickel.

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ANNEX XIII
European Electronic Exchange System and Battery Passport
Part A
Information to be stored in the European Electronic Exchange System
Information and data shall be treated in accordance with Commission Decision (EU, Euratom)
2015/44356. The specific cyber-security arrangements of Commission Decision (EU, Euratom)
2017/4657 and its implementing rules shall apply. The confidentiality level shall reflect theconsequential harm that may result from disclosure of the data to unauthorised persons.
1.

PUBLICLY ACCESSIBLE PART OF THE SYSTEM

Information to be stored and made available in the publicly accessible part of the system by
the economic operator that places a battery on the market are at least the following:
Battery manufacturer;
Battery type;
General description of the model, sufficient for it to be unequivocally and easily identified,including the date of placing in the market;
Manufacturing place and date;(a)

Information about LMT batteries, electric vehicle batteries and industrial batteries witha capacity above 2 kWh, and about electric vehicle batteries specified in Part DA of
Annex VI;

Battery(b) Material composition of the battery, including its chemistry, hazardous substances
contained in the battery other than mercury, cadmium or lead, and critical raw
materials contained in the battery;

56
57

Commission Decision (EU, Euratom) 2015/443 of 13 March 2015 on Security in theCommission (OJ L 72, 17.3.2015, p. 41)
Commission Decision (EU, Euratom) 2017/46 of 10 January 2017 on the security ofcommunication and information systems in the European Commission (OJ L 6, 11.1.2017, p.
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(f)

Carbon footprint information referred to in the units indicated in the relevant implementing
measure(sArticles 7(1) and 7(2);(g)

Information on responsible sourcing as indicated in the relevant implementing measurereporton its supply chain due diligence policies referred to in Article 45e(3);(sh);
Recycled content information as indicated in the relevant implementing measure(sacts referred to
Article 8(1);(i)

Rated capacity (in Ah);(j)

Minimal, nominal and maximum voltage, with temperature ranges when relevant;(k)Original power capability (in Watts) and limits, with temperature range when relevant ;(l)Expected battery lifetime expressed in cycles, and reference test used ;(m) Capacity threshold for exhaustion (only for EVelectric vehicle batteries);(n)Temperature range the battery can withstand when not in use (reference test);(o)Period for which the commercial warranty for the calendar life applies;(p)

Initial round trip energy efficiency and at 50% of cycle-life;(q)Internal battery cell and pack resistance;(r)

C-rate of relevant cycle-life test.;(s)

The labelling requirements laid down in articles 13(3) and (4);(t)

The EU declaration of conformity referred to in Article 18;(u)

The information regarding the prevention and management of waste batteries laid downin point (a) to (f) of Article 60(1).

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2.

REQUIREMENTS FOR THE PART OF THE SYSTEM ACCESSIBLE ONLY TO
ACCREDITED ECONOMIC OPERATORS AND THE COMMISSION

The part of the system that shall be accessible, as relevant, only to accredited
remanufacturers, second-lifeeconomic operators and recyclers shall contain at least thefollowing:
Detailed composition(a)Composition, including materials used in the cathode, anode andelectrolyte;(b)Part numbers for components and contact details of sources for replacement spares;(c)Dismantling information, including at least:

(a)
3.


Exploded diagrams of the battery system/pack showing the location of battery cells,Disassembly sequences,Type and number of fastening techniques to be unlocked,
Tools required for disassembly,Warnings if risk of damaging parts exist,
Amount of cells used and layout;
Safety measures.
REQUIREMENTS FOR THE PART OF THE SYSTEM ACCESSIBLE ONLY TO
NOTIFIED BODIES, MARKET SURVEILLANCE AUTHORITIES AND THE
COMMISSION(a)

Results of tests reports proving compliance with the requirements laid out in thisRegulation, and its implementing or delegated measures.

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ENPart B
Information to be accessible in Battery Passport
1.

INFORMATION ABOUT THE BATTERY, COMMON TO ITS BATTERY MODEL(a)

Information about batteries specified in Point 1 of Part A;

2.

SPECIFIC INFORMATION AND DATA ABOUT THE INDIVIDUAL BATTERY(a)information about the values for performance and durability parameters referred to in
Article 10(1), when the battery is placed on the market and when it is subject to changes
in its status;(b)information on the status of the battery, defined as [‘original’, ‘repurposed’, ‘reused’],or ‘waste’;(c)information and data as a result of its use, including the number of charging anddischarging cycles and negative events, such as accidents, as well as periodicallyrecorded information on the operating environmental conditions, including
temperature, and on the state of charge;

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ENANNEX XIV
Correlation tableMinimum requirements for shipments of used batteries
Directive 2006/66/EC

This Regulation

Article 1

Article 1

Article 1 first subparagarph point1

Article 1(1)Article 1 subparagraph 1 point 2

Article 1(1)Article 1, second subparagraph---Article 2

Article 1(2) and (3)Article 2(1)Article 1(2)Article 2(2)Article 1(3)Article 2(2)(a)Article 1(3)(a)Article 2(2)(b)Article 1(3)(b)Article 3

Article 2

Article 3 point 1

Article 2 point 1

Article 3 point 2---

Article 3 point 3

Article 2 point 7

Article 3 point 4---

Article 3 point 5

Article 2 point 10

Article 3 point 6

Article 2 point 11

Article 3 point 7

Article 2 point 39

Article 3 point 8

Article 2 point 49

Article 3 point 9---

Article 3 point10

Article 2 point 42

Article 3 point 11

Article 2 point 23

Article 3 point 12

Article 2 point 37

Article 3 point 13

Article 2 point 55

Article 3 point 14

Article 2 point 14

Article 3 point 15

Article 2 point 19

Article 3 point 16---

Article 3 point 17---

Article 4

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Directive 2006/66/EC

This Regulation

Article 4(1)Annex I

Article 4(1)(a)Annex I first entry point 1

Article 4(1)(b)Annex I second entry points 1 to 3

Article 4(2)---Article 4(3)Annex I second entry point 2

Article 4(3)(a)Annex I second entry point 2 (a)Article 4(3)(b)Annex I second entry point 2 (b)Article 4(3)(c)---Article 4(4)---Article 5---

Article 6

Article 3

Article 6(1)Article 3(1)Article 6(2)---Article 7---

Article 8

Article 48, Article 49, Article 50, Article
51, Article 52, Article 53, Article 54

Article 8(1)Article 48

Article 8(1)(a)Article 48(1)(a)Article 48(1)(b)

Article 8(1)(b)

Article 50

Article 8(1)(c)

Article 49(1)Article 50(1)Article 8(1)(d)Article 48(2)(a)(ii)
Article 49(1)(b)

Article 8(1), second subparagraphArticle 48(5)Article 8(2)Article 48(1)Article 48 (2)Article 8(2)(a)Article 48(1)Article 48(2)Article 8(2)(b)Article 48(2)Article 8(2)(c)---Article 8(3)Article 49

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Directive 2006/66/EC

This Regulation

Article 8(4)Article 49

Article 9---

Article 10

Article 55

Article 10(1)---Article 10(1) second subparagraphArticle 61 (3)Article 10(2)Article 55(1)Article 10(2)(a)---Article 10(2)(b)Article 55(1)(a)Article 10(3)Article55(2),

Article62(1)secondsubparagraphArticle 10(4)---Article 11

Article 11

Article 11, first subparagraphArticle 11(1)Article 11, second subparagraphArticle 11(2)Article 12

Article 56

Article 12(1)Article 56(2)Article 12(1)(a)Article 48 (1)(e) , Article 49(3)(c)Article 12(1)(b)

Article 57(1)Article 12(1), second subparagraph---Article 12(1), third subparagraph---Article 12(2)Article 57(2)Article 12(3)Article 51(3) ; Article 56(3)Article 12(4)Article 57(2) ; Article 57(3)Article 12(5)Article 61(4)(c) ; 62(1)(c)

Article 12(6)Article 57(4)Article 13---

Article 13(1)---Article 13(2)Recital 78

Article 14

Article 56(1)Article 15

Article 58

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Directive 2006/66/EC

This Regulation

Article 15(3)Article 58(3)Article 16

Article 47

Article 16(1)Article 47(1)Article 16(1)(a)Article 47(1)(a)Article 16(1)(b)

Article 47 (1)(a)Article 16(2)---Article 16(3)Article 47(1)(d) and (e)Article 16(4)Article 60(5)Article 16(5)---Article 16(6)---Article 17

Article 46

Article 18

Article 47(4) (c)Article 18(1)---Article 18(2)---Article 18(3)---Article 19

Article 48(1), 49(1), 50-54

Article 19(1)Article 48(2), 49(1), 50, 52-54

Article 19(2)Article 47(4) ( c)Article 20

Article 60

Article 20(1)Article 60(1)Article 20(1)(a)Article 60(1)(f)Article 20(1)(b)

Article 60(1)(b)

Article 20(1)(c)

Article 60(1)(c)

Article 20(1)(d)Article 60(1)(b)

Article 20(1)(e)Article 60(1)(e)Article 20(2)Article 60

Article 20(3)Article 60(4)Article 21

Article 20 Rules and conditions for
affixing the CE marking;
Article 13, Annex VI Part A, B, C

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Directive 2006/66/EC

This Regulation

Article 21(3)Article 13(4)Article 21(4)Article 13(3)Article 21(5)Article 13(3)Article 21(6)---Article 21(7)---Article 22a---

Article 23 Review

Article 55(3), Article 77

Article 23(1)Article 77(1)Article 23(2)Article 77(2)Article 23(2)(a)---Article 23(2)(b)Article 55(3) ; Article 77 2(d)Article 23(2)(c)Article 56(4)Article 23(3)Article 77(2) second subparagraphArticle 23a

Article 73

Article 23a(1)Article 73(1)Article 23a(2)Article 73(2)Article 23a(3)Article 73(3)Article 23a(4)Article 73(5)Article 23a(5)Article 73(6)Article 24

Article 74

Article 24(1)Article 74(1)Article 24(2)Article 74(3)Article 24(2), second subparagraphArticle 74(3) second subparagraphArticle 25

Article 76

Article 26---

Article 27---

Article 28

Article 78

Article 29

Article 79

Article 30--

Annex I

Annex XI

Annex II

Annex VI Part B

Annex III

Annex XII

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Directive 2006/66/EC

This Regulation

Annex III Part A

Annex XII Part A

Annex III Part B

Annex XII Part B

Annex IV Procedural requirements for --registration

1. In order to distinguish between used and waste batteries, where the holder , meaning thenatural or legal person in possession of the used batteries or the waste batteries claims that it
intends to ship or is shipping used batteries and not waste, that holder may be required tohave available the following to substantiate this claim:(a) a copy of the invoice and contract relating to the sale or transfer ofownership of the battery which states that the equipment is destined for
direct re-use and that it is fully functional;(b) evidence of evaluation or testing in the form of a copy of the records(certificate of testing, proof of functionality) on every item within theconsignment and a protocol containing all record information according
to point 3;(c) a declaration made by the holder who arranges the transport of the used battery
that none of the material or equipment within the consignment is waste as
defined by Article 3(1) of Directive (EU) 2008/98; and7103/1/22 REV 1
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(d) appropriate protection against damage during transportation, loading andunloading in particular through sufficient packaging and appropriate
stacking of the load.
2. By way of derogation, point 1(a) and (b) and point 3 do not apply where it is documented byconclusive proof that the shipment is taking place in the framework of a business-to-business
transfer agreement and that:(a) the used battery is sent back to the producer or a third party acting on his behalf
as defective for repair under warranty with the intention of re-use; or(b) the used battery for professional use is sent to the producer or a third party
acting on his behalf or a third-party facility in countries to which DecisionC(2001)107/Final of the OECD Council concerning the revision of Decision C(92)39/Final on
control of transboundary movements of wastes destined for recovery operations applies, forrefurbishment or repair under a valid contract with the intention of re-use; or(c) the defective used battery for professional use is sent to the producer or a third party
acting on his behalf for root cause analysis under a valid contract, in cases where such ananalysis can only be conducted by the producer or third parties acting on hisbehalf.

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EN3. In order to demonstrate that the object being shipped constitute used batteries, rather thanwaste, its holder shall carry out the following steps for testing and record keeping for usedbatteries:
Step 1: Testing(a) The battery shall be tested for its State of Health and the presence of hazardous
substances shall be evaluated.
(b) Results of evaluation and testing shall be recorded.
Step 2: Record(a) The record shall be fixed securely but not permanently on either the usedbatteryitself (if not packed) or on the packaging so it can be read without unpacking theequipment.
(b) The record shall contain the following information:— name of item
— identification number of the item, where applicable,— year of production, if available,— name and address of the company responsible for testing the State of Health,— result of tests as described in step 1 (including the date of the test),— kind of tests performed.

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EN4. In addition to the documentation requested in points 1, 2 and 3, every load (e.g. shipping
container, lorry) of used batteries shall be accompanied by:(a) a relevant transport document;(b) a declaration by the liable person on its responsibility.
5. In the absence of proof that an object is used battery, and not waste, through theappropriate documentation required in points 1, 2, 3 and 4 and of appropriate protection
against damage during transportation, loading and unloading in particular through sufficient
packaging and appropriate stacking of the load, which are the obligations of the holder who
arranges the transport, the object shall be considered waste and it shall be presumed that theload comprises an illegal shipment. In these circumstances the load will be dealt with inaccordance with Articles 24 and 25 of Regulation (EC) No 1013/2006.

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