Council of theEuropean Union
Brussels, 18 January 2023
(OR. en)5469/23
Interinstitutional File:
2020/0353(COD)
ENV 41
ENT 10
MI 30
CODEC 41
OUTCOME OF PROCEEDINGS
From:
To:

General Secretariat of the Council
Delegations

No. prev. doc.:
No. Cion doc.:

5217/2313944/20 + ADD 1 - COM(2020) 798 final + Annex

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
Letter to the Chair of the European Parliament Committee on theEnvironment, Public Health and Food Safety (ENVI)

Following the Permanent Representatives Committee meeting of 18 January 2023 which endorsed
the final compromise text with a view to agreement, delegations are informed that the Presidency
sent the attached letter, together with its Annex, to the Chair of the European Parliament Committee
on the Environment, Public Health and Food Safety (ENVI).

____________________

5469/23

KR/am
TREE.1.A

1EN

Sgg 臓ロり1 b2

Council of
the European Union

Brussels, 18 January 2023

Mr Pascal CANFIN
Chair, European Parliament Committee for Environment, Public Health and Food Saft
European Parliament
Bt WILLY BRANDT 041099
60, rue Wiertz /Wiertzstraat 60-1047 BruxelIes/rsse1

塾」旦i旦壁：Proposalfir aRegulation げthe European Parliament andげthe Council concerning
batteries and waste batteries, repealing Directive 2006/66/C and amending
Regulation伍のNo 2019/1020口020/0353に（)D))

Dear Mr CANFfN
Following the informal meeting between the representatives of the three institutions held on
9December 2022, a draft overall

compromise text was agreed today by thePermanent

Representatives' Committee.
Iam therefore now in aposition to conftrm that, should the European Parliament adopt its positionat first reading, in accordance with Article 294 paragraph 3of the Treaty, in the form set out in thecompromise text contained in the Annex to this letter (subject to revision by the legal linguists ofboth institutions), the Council would, in accordance with Article 294, paragraph 4 of the Treaty,
approve the European Parliament's position and the act shall be adopted in the wording whichcorresponds to the European Parliament's position.
On behalf of the Council Ialso wish to thank you for your close and swift cooperation which should
enable us to reach agreement on this dossier at first reading.
Yours sincerely,

Chairman of the Permanent Representatives
Committee (Part I)

copy to:Virginijus Sin kviるius, Commissioner
Achille Variati, Rapporteur

5469/23
ANNEX

KR/am
TREE.1.A

2EN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,
Whereas:1
2

OJ C , , p. .
OJ C , , p.

5469/23
ANNEX

KR/am
TREE.1.A

3

EN

(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 and light means of transport using batteries for traction, making thismarket an increasingly strategic one at the global level. Significant scientific and technicalprogress in the field of battery technology will continue. In view of the strategic importanceof batteries, and to provide legal certainty to all operators involved and to avoid
discrimination, barriers to trade and distortions on the market for batteries, it is necessary to
set out rules on sustainability parameters, performance, safety, collection, recycling andsecond life of batteries as well as on information about batteries for end-users andeconomic operators. It is necessary to create a harmonised regulatory framework for 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).

5469/23
ANNEX

KR/am
TREE.1.A

4

EN

(2a)

It is also necessary to update Union legislation on the management of battery waste and to
take measures to protect the environment and human health by preventing or reducing
the adverse impacts of the generation and management of waste, by reducing the impactof resource use and by improving resource efficiency. Such measures are crucial for thetransition to a circular and climate-neutral economy and toxic-free environment, and for
the Union’s long-term competitiveness and strategic autonomy. They can create importanteconomic opportunities, increasing synergies between the circular economy and energy,
climate, transport, industry and research policies, and protecting the environment andreducing greenhouse gas emissions.

(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

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)

5469/23
ANNEX

KR/am
TREE.1.A

5

EN

(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(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.

56

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
the evaluation of the Directive 2006/66/EC on batteries and accumulators and waste batteries
and accumulators 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).

5469/23
ANNEX

KR/am
TREE.1.A

6

EN

(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 reuse, 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).

5469/23
ANNEX

KR/am
TREE.1.A

7

EN

(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 ▌. In
order to reach the envisaged objectives to address the whole life cycle of a battery in one
legal instrument while avoiding barriers to trade and a distortion of competition andsafeguarding the integrity of the internal market, the rules setting out the requirements forbatteries should be of uniform application for all operators across the Union, and not giveroom for divergent implementation by Member States. Directive 2006/66/EC should
therefore be replaced by a Regulation.

(10)

This Regulation should apply to all categories of batteries ▌ placed on the market or put into
service within the Union, regardless of whether they were produced in the Union or
imported, whether on their own or incorporated into appliances or otherwise supplied withelectrical and electronic appliances, light means of transport and vehicles. This Regulation
should apply regardless of whether a battery is specifically designed for a product or is ofgeneral use and regardless of whether it is incorporated into a product or is supplied together
with or separately from a product in which it is to be used.

5469/23
ANNEX

KR/am
TREE.1.A

8

EN

Placing on the market is considered to take place when the batteries have been madeavailable for the first time on the Union market, supplied by the manufacturer or importerfor distribution, consumption or use in the course of a commercial activity, whether in
return for payment or free of charge. Thus, batteries placed in stock in the EU by
distributors, including retailers, wholesalers and sales divisions of manufacturers, before
the date of application of relevant requirements do not need to meet those requirements.
(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 theactivities 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 thetreatment and recycling of waste batteries. Such measures should ensure transition to acircular economy and the long-term competitiveness of the Union and should contributeto the efficient functioning of the internal market, while taking into account a high levelof protection of the environment. This Regulation should also minimise the negative
effects of the generation and management of batteries waste on human health and theenvironment and it should aim at reducing the use of resources, and favour the practicalapplication of the waste hierarchy.

5469/23
ANNEX

KR/am
TREE.1.A

9EN

Thus, to prevent divergences hampering the free circulation of batteries, uniform
obligations and requirements are to be laid down throughout the internal market based on
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 thosespecific 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.

(11a) Batteries that can be made ready for use by the end user with commonly available tools on
the basis of a "Do It Yourself" kit, should be considered as batteries for the purpose ofthis Regulation. The economic operator placing such kit on the market should be
responsible for the purposes of this Regulation.

5469/23
ANNEX

KR/am
TREE.1.A

10

EN

(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 and
SLI batteries on the other hand under Directive 2006/66/EC should be further developed tobetter reflect new developments in the use of batteries. Batteries that are used for traction inelectric vehicles and which under Directive 2006/66/EC fall in the category of industrial
batteries, constitute a large and growing part of the market due to the quick growth ofelectric road transport vehicles. It is therefore appropriate to classify those batteries that areused for traction in road vehicles as a new category of electric vehicle batteries. Batteries
used for traction in light means of transport, such as e-bikes and e-scooters, were notclearly classified as batteries under Directive 2006/66/EC, and constitute a significant partof the market due to their growing use in urban sustainable mobility. It is therefore
appropriate to classify those batteries that are used for traction in light means of transport
as a new category of batteries, namely light means of transport (LMT) batteries. Batteries
used for traction in other transport vehicles including rail, waterborne and aviation transport
or off-road machinery, continue to fall under the category of industrial batteries under thisRegulation. The industrial battery category encompasses a broad group of batteries, intended
to be used for industrial activities, communication infrastructure, agricultural activities, or
generation and distribution of electric energy. 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 thisRegulation. In addition to this non exhaustive list of examples, any battery with a weight
above 5 kg that does not fall under any other categories under this Regulation should beconsidered 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.
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 forthe purpose of this Regulation, they should be considered as portable batteries.

5469/23
ANNEX

KR/am
TREE.1.A11EN

(12a) After being placed on the Union market or put into service for the first time, a battery canbe 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, isconsidered to have already been placed on the market when it was first made available foruse or distribution. On the contrary, batteries subject to preparing for re-use, preparing
for repurpose, repurposing, or remanufacturing, are considered to be placed on themarket again and therefore should comply with the specific requirements and obligations
for which this Regulation provides.
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 the market
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 and obligations forwhich this Regulation provides.
(12b) Remanufacturing covers a wide range of technical operations that may occur on batteries
or on waste batteries. When occurring on waste batteries, remanufacturing can be
assimilated to preparing for reuse or preparing for repurpose. For this reason, it is notnecessary to provide in Chapter VII a specific regime for the remanufacturing of waste
batteries different from the regime on preparing for reuse or preparing for repurpose ofwaste batteries.

5469/23
ANNEX

KR/am
TREE.1.A

12

EN

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 modules ofthe 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, when the end-user is a consumer. In particular,
these requirements cover conformity of the product, liability of the seller (including theoption of a shorter liability or limitation period), burden of proof, remedies for lack ofconformity, repair or replacement of the goods, and commercial guarantees, among otherrequirements.
(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, LMT batteries and electric vehicle batteries as such batteries
represent the market segment which is expected to increase most in the coming years.

5469/23
ANNEX

KR/am
TREE.1.A13EN

(13a) For the safety of electric vehicle batteries and SLI batteries, the continued validity of the
EU type-approval for vehicles of categories M, N and O in accordance with Regulation(EU) 2018/858 requires that any battery which has been repaired or exchanged continues
to comply with the applicable safety requirements. Where safety particulars have changed,
further inspections or tests are required to verify continued compliance with therequirements upon which the existing EU type-approval has been based.
▌(14a) 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 at source.
The Commission underlines in the Chemicals Strategy for Sustainability9, that the
REACH and CLP Regulations should be reinforced as EU’s cornerstones for regulatingchemicals in the Union and that they should be complemented by coherent approaches toassess and manage chemicals in existing sectorial legislation10. The use of hazardous
substances in batteries should therefore primarily be restricted at source in order toprotect human health and the environment and to manage the presence of such
substances in waste. This Regulation should complement the REACH and CLP
Regulations and allow the adoption of risk management measures related to substances
including the waste phase.

8910(COM(2021) 400 final)(COM(2020) 667 final)
Chemicals Strategy for Sustainability, 2020

5469/23
ANNEX

KR/am
TREE.1.A

14

EN

(15)

▌In addition to the restrictions, set out in Annex XVII of Regulation (EC) No 1907/2006 of
the European Parliament and of the Council11, it is appropriate to set out restrictions for
mercury, cadmium and lead in certain 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. With a view to further restriction of substances contained in batteries or used intheir manufacturing, it is appropriate to carry out a mapping of substances of concern,
defined in the Chemical Strategy for Sustainability13 as substances having a chronic effectfor human health or the environment (such as substances in the Candidate list in REACH
and in Annex VI to the CLP Regulation) but also those which hamper recycling for safeand high quality secondary raw materials, in the context of the substance evaluation
planned in the REACH Evaluation Joint Action Plan14.

(16)

In order to ensure that ▌ substances that pose an unacceptable risk to human health or to theenvironment when used in batteries or present in waste batteries, can be duly addressed, 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 restrictions
on ▌ substances in batteries.

11
12
13
14

▌
▌
COM(2020) 667 final
REACH Evaluation Joint Action Plan

5469/23
ANNEX

KR/am
TREE.1.A

15

EN

(17)

The assessment procedure for adopting new and amending current restrictions on ▌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 therelated 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 order to ensure that this Regulation is coherent with any future amendment of theprovisions of Regulation (EC) No 1907/2006 or of other future Union legislation
concerning sustainability criteria for hazardous substances and chemicals, theCommission should assess whether an amendment of Article 6, Article 71, 71a and 71b of
this Regulation is required. Where appropriate, the Commission should propose
amending this regulation in the future amendment of the provisions of regulation (EC)No 1907/2006 or with other future Union legislation concerning sustainably criteria forhazardous substances and chemicals.
(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.

5469/23
ANNEX

KR/am
TREE.1.A

16

EN

(18)

The expected massive deployment of batteries in sectors like mobility and energy storage
should reduce carbon 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
Applications15, climate change is the second highest related impact category for batteries
after the mining and use of minerals and metals. The technical documentation forrechargeable industrial batteries with a capacity above 2 kWh, light means of transport
batteries and electric vehicle batteries placed on the Union market should therefore beaccompanied by a carbon footprint declaration. Harmonising the technical rules forcalculating the carbon footprint for all rechargeable industrial batteries with a capacity
above 2 kWh, light means of transport batteries and electric vehicle batteries placed on theUnion market is a prerequisite for introducing a requirement for the technical documentationof the batteries to include a carbon footprint declaration and subsequently establishingcarbon footprint performance classes that will allow identifying the batteries with overalllower 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 is achieved, inline with the internationally agreed objectives on climate change16. ▌ Therefore, maximum
carbon thresholds will be introduced, further to a dedicated impact assessment to determine
those values. In proposing the level of the maximum carbon footprint threshold, the15

16

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

5469/23
ANNEX

KR/am
TREE.1.A

17

EN

Commission will, inter alia, 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 footprintof batteries placed on the Union market and the effective and potential contribution of thismeasure to the Union’s objectives on sustainable mobility and climate neutrality by 2050 at
the latest. In order to bring about transparency on the batteries’ carbon footprint, and shift
the Union market towards lower carbon batteries, regardless of where they are produced, agradual and cumulative increase in the carbon footprint requirements is justified. As a resultof these requirements, the avoided carbon emissions in batteries’ life cycle, will contributeto the Union’s climate objectives, particularly that of reaching climate neutrality by 2050 at
the latest. 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.
(18a) The maximum life cycle carbon footprint thresholds should be future-proof. Therefore,
when adopting a delegated act determining the maximum life cycle carbon footprintthreshold, the European Commission should take into account the best available
manufacturing and production processes and ensure that the selected technical criteria
are consistent with the objective of this Regulation of ensuring that batteries placed on theUnion market guarantee a high level of protection of human health, safety, property andthe environment.

5469/23
ANNEX

KR/am
TREE.1.A

18

EN

(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. In line with the Union’s Industrial Strategy17,
Europe needs to enhance its strategic autonomy and increase its resilience in preparation forpotential disruptions in supply due to health or other crises. Enhancing circularity andresource efficiency with increased recycling and recovery of those raw materials, willcontribute to reaching that goal.

(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 by2030. For cobalt, lithium and nickel increased targets are established by 2035. All targets,should take into account the availability of waste, from which such materials can berecovered, the technical feasibility of the involved recovery and manufacture processes aswell as the time needed by the economic operators to adapt their supply and manufacturing
processes. Therefore, before such mandatory targets become applicable, the requirement
related to recycled content should be limited to disclosure of information on recycledcontent.

17

COM(2021) 350 final

5469/23
ANNEX

KR/am
TREE.1.A

19

EN

Battery manufacturing waste is likely to be the main source of secondary raw materials
for battery manufacturing during the production ramp-up and will be subject to the same
recycling processes as post-consumer waste batteries. Therefore, it should be included in
the recycled content targets with the objective to accelerate the development of thenecessary recycling infrastructure. By-products of battery manufacturing reused in thesame production process, such as manufacturing scrap, do not constitute waste andshould therefore not be counted as part of the recycled content targets.
(21)

In order to take into account the risk of supply of cobalt, lead, lithium and nickel and toassess 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 respectof amending the targets for the minimum share of recycled cobalt, lead, lithium or nickel
present in active materials in batteries.

(21a) In order to take into account changes in battery technologies impacting the types ofmaterials that can be recovered, the power to adopt acts in accordance with Article 290 of
the Treaty on the Functioning of the European Union should be delegated to theCommission in respect of supplementing this Regulation to insert further raw materials
and respective targets in the list of minimum shares of recycled content present in active
materials in batteries.

5469/23
ANNEX

KR/am
TREE.1.A

20

EN

(22)

In order to ensure uniform conditions for the implementation of the rules on calculating andverifying, per battery model and ▌ per manufacturing plant, the share of cobalt, lead,lithium or nickel recovered from battery manufacturing waste and post-consumer waste
present in active materials in batteries and the information requirements for technicaldocumentation, delegated powers should be conferred on the Commission.
For the purpose of those rules, the reutilisation of materials such as rework, regrind or
scrap generated in the battery manufacturing process, which can be reclaimed within thesame process that generated it, should be excluded.

(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, LMT batteries and electricvehicle batteries. For electric vehicle batteries, the informal UNECE Working Group on
Electric Vehicles and the Environment has developed in-vehicle durability requirementsthat are to apply in the EU through type-approval of motor vehicles, so this Regulation is
only sets information requirements on performance and durability of electric vehicle
batteries. On the other hand, in the area of batteries for energy storage, existingmeasurement methods to test battery performance and durability are not consideredsufficiently precise and representative to enable introducing minimum requirements. The
introduction of minimum requirements related to performance and durability of thesebatteries should be accompanied by available adequate harmonised standards or common
specifications.

5469/23
ANNEX

KR/am
TREE.1.A

21

EN

(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.

(24a) In order to ensure that the Union's rules on electrochemical performance and durability
for electric vehicle batteries are coherent in relation to technical specifications of theinformal UNECE Working Group on Electric Vehicles and the Environment and in viewof technical and scientific progress, the power to adopt acts in accordance with Article 290of the Treaty on the Functioning of the European Union should be delegated to theCommission in respect of amending the performance and durability parameters forelectric vehicle batteries. For minimum values of those parameters for electric vehicles
batteries incorporated in motor vehicles, it is appropriate to set minimum performancerequirements through regulation on type-approval of motor vehicles and engines withrespect to their emissions [replace with final title of Euro 7 proposal], based on minimum
performance requirements adopted in United Nations Global Technical Regulation No.22
on in-vehicle battery durability for electrified vehicles.18

18

UN GTR No.22 (In-vehicle Battery Durability for Electrified Vehicles) | UNECE

5469/23
ANNEX

KR/am
TREE.1.A

22

EN

(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. For batteries incorporated in mobile phones and tablets it
is appropriate to set performance and durability requirements on their batteries throughan eco-design regulation addressing phones and tablets [reformulate and replace withspecific title + OJ reference if published before this Regulation] and to update
Implementing Regulation 617/2013 on computers and computer servers. For otherportable batteries incorporated in other appliances, such as gardening tools or cordless
power tools, the possibility to set minimum performance and durability requirements
should be addressed in relevant product legislation, such as implementing regulations
under the Ecodesign Directive, or other applicable instrument.

5469/23
ANNEX

KR/am
TREE.1.A

23

EN

(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.
Where portable batteries are to be removed or replaced in an appliance, this should bedone while securing consumer safety, in line with EU safety standards and legislation. A
portable battery should be considered readily removable by the end-user when it can beremoved with the use of commercially available tools, without requiring the use of
specialised tools, unless provided free of charge, proprietary tools, thermal energy or
solvents to disassemble. Commercially available tools are tools available on the market toall end users without the need for them to provide evidence of any proprietary rights andthat can be used with no restriction, except for health and safety reasons. The generalprovisions of this Regulation should apply without prejudice to the safety and maintenancerequirements for professional medical imaging and radiotherapy devices as defined in ofRegulation 2017/745 on Medical Devices and for In-vitro Diagnostic medical devices as
defined in Regulation 2017/746 on In-vitro Diagnostic Medical Devices, and may becomplemented with requirements set up for particular products powered by batteries under
implementing measures under Directive 2009/125/EC of the European Parliament and of theCouncil19 . 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.

19▌5469/23
ANNEX

KR/am
TREE.1.A24EN

(26a) To ensure the safety of end-users, this Regulation should allow for a limited derogationfrom the removability and replaceability requirements set for portable batteries forappliances that are specifically designed to be used, for a majority of the active service of
the appliance, in an environment that is regularly subject to splashing water, water
streams or water immersion and that are intended to be washable or rinseable. This
derogation should only apply when it is not possible, by way of redesign of the appliance,
to ensure the safety of the end user and the safe continued use of the appliance after theend-user has correctly followed the instructions to remove and replace the battery. Whenthe derogation applies, the product may be designed in such as way as to make the battery
removable and replaceable only by independent operators, and not by end-users.
(26aa) For repaired electric vehicle batteries and SLI batteries, the safety requirements ofRegulation (EU) 2019/2144 apply to type-approved vehicles of categories M, N and O andbatteries designed and constructed for those vehicles. It is important that the safety ofsuch batteries when repaired can be assessed based on non-destructive tests adapted tothem. For repaired light means of transport batteries, the Commission will prepare ruleson the safety of micromobility devices, building on experience at national and local levels
on safety requirements, as announced in the new EU Urban Mobility Framework20. For
other repaired batteries intended for consumers or likely to be used by them, therequirements of Directive 2001/95/EC on general product safety apply as a safety net.

20

COM(2021)811

5469/23
ANNEX

KR/am
TREE.1.A25EN

(26b) Interoperability of chargers within specific categories of batteries could reduce
unnecessary waste and costs for the benefit of consumers and other end-users. It should
be possible therefore to recharge batteries for light means of transport, and rechargeable
batteries incorporated into specific categories of electrical and electronic equipment bymaking use of common chargers that allow interoperability within each category ofbatteries. This Regulation should therefore include provisions requiring the Commission
to assess how to introduce harmonised standards for common chargers for thosecategories of batteries, excluding charging devices for categories and classes of radio
equipment under Article 3(4) of Directive 2014/53/EU on the harmonisation of the laws of
the Member States relating to the making available on the market of radio equipment.
(26c) SLI batteries and electric vehicle batteries incorporated in motor vehicles should be
removable and replaceable by independent professionals. It is appropriate to consider
provisions, including as regards joining, fastening and sealing elements, to ensure thatthose batteries can be removed, replaced and disassembled through relevant legislative
proposal to revise Directive 2000/53/EC . For the purposes of the design, manufacturing
and the repair of SLI batteries and electric vehicle batteries, manufacturers should
provide the relevant vehicle on-board diagnostic information and vehicle repair andmaintenance information on a non-discriminatory basis to any interested manufacturer,
installer or repairer of equipment for vehicles of categories M, N and O as provided for in
Regulation (EU) 2018/858. Further, the Commission should encourage the developmentof standards for design and assembly techniques that facilitate the maintenance, repair
and repurpose of batteries and battery packs.

5469/23
ANNEX

KR/am
TREE.1.A

26

EN

(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, in order not to cause harm or damage to humans or to the environment
or property. This aspect is particularly relevant for stationary battery energy storage
systems, which are currently not covered by other Union legislation. Parameters to beconsidered in safety tests should therefore be laid down for those batteries and becomplemented by applicable CEN, CENELEC and IEC standards.

(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, which should respect the guidelines of ISO IEC Standard 18004. The QR code
printed or engraved on all batteries should give access to a battery's product passport.
Labels and QR codes should be accessible for persons with disabilities in accordance withthe requirements laid down in Directive (EU) 2019/882 of the European Parliament andof the Council21.

21

Directive (EU)2019/882 of the European Parliament and of the Council on the accessibility
requirements for products and services (OJ L 151, 7.6.2019, p. 70).

5469/23
ANNEX

KR/am
TREE.1.A

27

EN

(29)

Information about the performance of batteries is essential to ensure that end-users,
especially consumers, are well and timely informed and in particular that they have acommon basis to compare different batteries before making their purchase. Therefore, nonrechargeable portable batteries should be marked with a label indicating ‘nonrechargeable’ and containing the information on their minimum average duration whenused in specific applications. Additionally, it is important to guide the end-user to discard
waste batteries in an appropriate way.

(30)

For stationary battery energy storage systems, LMT batteries and electric-vehicle batteries
using a battery management system (BMS), that BMS should store data so that the state ofhealth and expected lifetime of batteries may be determined at any time by the end-user or
any other third party acting on his behalf. Read-only access to such data in the battery
management system should 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 preparing for re-use, preparing for repurpose, repurposing or
remanufacturing of the battery and for making the battery available to independent
aggregators, as defined in Directive (EU) 2019/944 of the European Parliament and of theCouncil1, which operate virtual power plants in electricity grids. Thus, such data should be
up to date for these purposes, at least updated daily and more frequently where this isrequired by a specific purpose. Technical specifications that ▌ originate from the work ofthe ▌ UNECE Working Group on Electric Vehicles and the Environment on data access inelectric vehicles should be considered as a benchmark for the state of health and expected
lifetime of electric vehicle batteries. This requirement should apply in addition to Union
law on type-approval of vehicles, which is the appropriate legal framework to address,
amongst others, smart charging functions such as vehicle-to-grid, vehicle-to-load, vehicleto-vehicle and vehicle-to-powerbank and vehicle-to-building charging.

5469/23
ANNEX

KR/am
TREE.1.A

28

EN

(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, standards and calculation methodologies. In order to ensure that there
are no barriers to trade on the internal market, standards should be harmonised at Unionlevel. Such methods and standards should, to the extent possible, take into account the reallife usage of batteries, reflect the average range of consumer behaviour and be robust inorder to deter intentional and unintentional circumvention. Once a reference to such astandard has been adopted in accordance with Regulation (EU) No 1025/2012 of theEuropean Parliament and of the Council22 and published in the Official Journal of theEuropean Union, presumption of conformity shall be established with those product-specificrequirements adopted on the basis of this Regulation, provided that the outcome of suchmethods demonstrate that the minimum values established for those substantive
requirements are attained. In order to avoid doubling of standards, to maximise efficiency
and to include the highest expertise and state-of the art knowledge, the Commission
should seek to request one or more European standardisation organisations to draft astandard where there is an absence of such a standard. In the absence of publishedstandards at the time of the application of product-specific requirements, or in the event of anon satisfactory response by the relevant European standardisation organisation the

22

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
Council Decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament andof the Council (OJ L 316, 14.11.2012, p. 12)5469/23
ANNEX

KR/am
TREE.1.A

29

EN

Commission should adopt, in exceptional, justified cases and after consultation with therelevant stakeholders, common specifications through implementing acts and thecompliance with such specifications should also give rise to the presumption of conformity.
In cases where the common specifications are, at a later stage, found to have shortcomings,
the Commission should by implementing act amend or repeal the common specifications inquestion.
Any common specifications should be repealed at the moment when reference numbers ofharmonised standards are being published in the Official Journal, with a reasonable
period in order to allow manufacturers to take into account the changes.
(31a) An active involvement in the work of international standardisation committees is an
important strategic prerequisite for placing future battery technologies into the market. In
some cases, the European involvement in these committees has been less effective andshould be improved to strengthen the EU’s voice in global standardisation , also with theview to enhance competitiveness of companies, reduce dependencies and protect interests,
policy objectives and values of the Union. Therefore, the Commission and the Member
States should monitor and coordinate the European approach to international
standardisation. Standards to support this regulation should take into account existing
international standards, in particular at IEC and ISO level.
(31b) The Commission should ensure that there is consistency regarding harmonised standards
and common specifications under this regulation and when reviewing Regulation (EU)No 1025/2012.

5469/23
ANNEX

KR/am
TREE.1.A

30

EN

(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 Council23 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.

23

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.
30)5469/23
ANNEX

KR/am
TREE.1.A

31

EN

(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 Council24 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.
Robust conformity assessment procedures are needed to ensure that there is conformity
with the novelty and complexity of carbon footprint, recycled content and due diligenceobligations set out in this Regulation.

▌(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.

24

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

5469/23
ANNEX

KR/am
TREE.1.A

32

EN

(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, performance, safety, labelling andinformation requirements for batteries and in order to ensure a consistent level of quality inthe performance of conformity 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 andimpartial with regard to its activity and has a sufficient number of technically competent
members of staff to perform its tasks. Furthermore, notifying authorities should be required
to safeguard the confidentiality of the information it obtains but should nonetheless be able
to exchange information on notified bodies with national authorities, the notifying
authorities of other Member States and the Commission to ensure consistency in theconformity 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. The
notified bodies should ensure rotation of the personnel carrying out different conformity
assessment tasks.

5469/23
ANNEX

KR/am
TREE.1.A

33

EN

(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.

(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. The Commission, during the investigation proceedings, could seek the advice of aUnion testing facility, when designated in accordance with Regulation (EU) 2019/1020. 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 totake corrective action in case a notified body does not meet or no longer meets therequirements of this Regulation.

5469/23
ANNEX

KR/am
TREE.1.A

34

EN

(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, labelling and information requirements for batteries, it is crucial
that notified bodies have continuous access to all testing equipment and testing facilities
needed and that they 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.

(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 repurposeor repurposing, or remanufacturing.

5469/23
ANNEX

KR/am
TREE.1.A35EN

(46a) It is appropriate to ensure that requirements for a battery, which is put into service
without being placed on the market beforehand, are the same as for batteries placed on
the market. This concerns for example batteries that the manufacturer uses for its own
purposes, or batteries that, because of their characteristics, can only be assembled andtested on-site in their final destination. However, to avoid the need to demonstratecompliance twice for the same product, batteries that are placed on the market should not
be subject again to the same requirements when they are put into service.
(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.

(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.

5469/23
ANNEX

KR/am
TREE.1.A

36

EN

(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 andwaste management, including possible repurposing.

(51)

In order to facilitate communication between economic operators, market surveillanceauthorities and end-users, economic operators should, as part of their contact details,
indicate a postal, email and website 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 to batteries. It
is important that there should be an economic operator established in the Union so thatmarket surveillance authorities have someone to whom requests can be addressed,
including requests for information regarding a battery’s compliance with Union
harmonisation legislation, and who can cooperate with market surveillance authorities inmaking sure that immediate corrective action is taken to remedy instances of noncompliance. The economic operators who should perform those tasks are the
manufacturer, or the importer when the manufacturer is not established in the Union, oran 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.

5469/23
ANNEX

KR/am
TREE.1.A

37

EN

(52)

It is necessary to ensure that batteries from third countries entering the Union market
comply with the requirements of this Regulation, and with relevant applicable Union law,whether imported as self‑ standing batteries or contained in products, and in particular thatappropriate conformity assessment procedures have been carried out by manufacturers withregard to those batteries. Provision should therefore be made for importers to make sure thatthe batteries they place on the market and put into service comply with the requirements ofthis Regulation and that the CE marking on batteries and documentation drawn up by
manufacturers are available for inspection by the national authorities, whether imported as
new or used batteries or batteries 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 and e-mail address, where one exists. Exceptions should be
provided for in cases where the size of the battery does not allow it because the battery is
too small in size to affix that information. Exceptions should also be provided for in cases
where the importer would have to open the packaging to put the name and the other contact
details. In those exceptional cases, the importer should provide that information in adocument accompanying the battery or in another immediately accessible way. Where
packaging exists, it should be used to indicate 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.

5469/23
ANNEX

KR/am
TREE.1.A

38

EN

(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.

(56)

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

(57)

Ensuring traceability of a battery throughout the whole supply chain helps to make market
surveillance simpler and more efficient, and provides transparency to consumers. An
efficient traceability system facilitates the market 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 tokeep the information on their transactions of batteries for a certain period of time, including
in electronic form.

(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.

5469/23
ANNEX

KR/am
TREE.1.A

39

EN

(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 battery 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 EU25 and their sustainable sourcing is required
for the EU battery ecosystem to perform adequately.

(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.

25

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).

5469/23
ANNEX

KR/am
TREE.1.A

40

EN

(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 Council26. 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 and secondary raw materials for battery manufacturing purposes. It
should encompass suppliers in the chain, and their subsidiaries or subcontractors, that
perform such activities.

26

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)

5469/23
ANNEX

KR/am
TREE.1.A

41

EN

(64)

When putting in place a risk-based due diligence policy, it should be based oninternationally recognised due diligence standards and principles in the United Nations
Guiding Principles on Business and Human Rights, the Ten Principles of the United
Nations Global Compact27 , the Guidelines for Social Life Cycle Assessment of Products28 ,the ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social
Policy29 , the OECD Guidelines for Multinational Enterprises and the OECD Due
Diligence Guidance for Responsible Business Conduct (RBC)30 , which reflect a common
understanding amongst governments and stakeholders, and should be tailored to the specificcontext and circumstances of each economic operator. In relation to the extraction,
processing and trading of natural mineral resources used for battery production, the OECD
Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected
and High-Risk Areas31 (‘OECD Due Diligence Guidance’) represents an internationallyacknowledged standard addressing specific risks of gross human rights violations, and along-standing effort by governments and stakeholders to establish good practice in this area.

27
28
29
30
31

▌
▌
▌
▌
▌

5469/23
ANNEX

KR/am
TREE.1.A

42

EN

(65)

According to the UN, ILO and OECD standards and principles, due diligence is an ongoing, proactive and reactive process through which companies can ensure that they respecthuman rights, the environment and do not contribute to conflict.32 Risk-based due diligencerefers to the steps companies should take to identify, prevent, mitigate and otherwise
address adverse impacts associated with their activities or sourcing decisions. Economic
operators should conduct informed, effective and meaningful consultation with affected
communities. A company can assess risk posed by its activities and relationships and adopt
risks mitigating measures, which may include requiring additional information,negotiating with a view to redress the situation, or suspending or discontinuingengagement with suppliers, in line with relevant standards provided under national andinternational law, recommendations on responsible business conduct by internationalorganisations, government-backed tools, private sector voluntary initiatives and a company's
internal policies and systems. This approach also helps to scale the due diligence exercise to
the size of the company's activities or supply chain relationships.

(65a) While private sector due diligence schemes can support economic operators in fulfilling
their due diligence obligation in line with the OECD Guidelines for Multinational
Enterprises and the UN Guiding Principles on Business and Human Rights, economic
operators should be individually responsible for compliance with the battery due diligenceobligations set out in this Regulation.

32▌

5469/23
ANNEX

KR/am
TREE.1.A

43

EN

(66)

Mandatory battery due diligence policies should be adopted or modified and address, atleast, 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,
climate change and biodiversity, including community life.

(67)

As regards the social risk categories, due diligence policies should address the risks in ▌relation to the protection of human rights, including human health, community life,
including that of indigenous peoples, the protection of children and gender equality, in linewith international human rights law33. The due diligence policies should include information
on how the economic operator has contributed to the prevention of human rights abuses andon the instruments in place with the operator’s business structure to fight corruption andbribery. The due diligence policies should also ensure correct implementation of the rules offundamental conventions of the International Labour Organisation34 as listed in Annex I of
the ILO Tripartite Declaration.

33

34

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)

5469/23
ANNEX

KR/am
TREE.1.A44

EN

(67a) Human rights abuses are common in resource-rich conflict-affected and high-risk areas.
Therefore, such areas deserve specific attention in the due diligence system of economic
operators. Regulation (EU) No 2017/821 includes provisions for an indicative, nonexhaustive, regularly updated list of conflict-affected and high-risk areas2. Such list isalso relevant for the implementation of the due diligence provision of this Regulation.
(68)

As regards the environmental risk categories, the due diligence policies should address therisks in ▌ relation to protection of the natural environment and of the biological diversity inline with the Convention on Biological Diversity35, which includes also the consideration of
local communities, and the protection and the development of those communities. It should
also address the risks in relation to climate change, in line with the Paris Agreement, as
well as environmental risks covered by other international environmental conventions.

(69)

The battery 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.

35

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 .

5469/23
ANNEX

KR/am
TREE.1.A

45

EN

(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. Such instruments may address civil liability of companies for damages
arising due to their failure to comply with due diligence requirements. Where such
instruments do not or not completely address civil liability of due diligence requirementsof this Regulation, national rules may address such civil liability.

(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 battery due diligence requirements.

5469/23
ANNEX

KR/am
TREE.1.A

46

EN

(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 and to ensure a highlevel of protection of human health and the environment across the Union. Extended
producer responsibility can contribute to reducing overall resource use, in particular by
reducing the generation of battery waste and the adverse impacts linked to the
management of battery waste. Maximising separate collection of waste batteries andensuring that all batteries collected are recycled through processes that reach common
minimum recycling efficiencies is necessary to attain a high level 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 and creating significant barriers to thefunctioning of recycling markets and suboptimal levels of recycling. Consequently, moredetailed and harmonised rules should avoid distortion of the market 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 of secondary 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.

5469/23
ANNEX

KR/am
TREE.1.A

47

EN

(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 Council36, which should be
adapted to reflect the specific nature of battery waste. For the collection of waste batteries
to be 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. Waste
batteries should be collected separately from other waste streams, such as metals, paperand cardboard, glass, plastics, wood, textiles and bio-waste. Also, waste batteries may becollected both together with waste electrical and electronic equipment and with end-of-life
vehicles, by way of national collection schemes set up on the basis of Directive 2012/19/EUof the European Parliament and of the Council37, and of Directive 2000/53/EC. While thecurrent Regulation sets up specific rules for batteries there is a need for a coherent andcomplementary approach, building upon and further harmonising existing waste
management structures. Consequently, and in order to effectively realise extended producer
responsibility related to the waste management, obligations should be laid down with respect
to the Member State where batteries are made available on the market for the first time.

36
37

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).

5469/23
ANNEX

KR/am
TREE.1.A

48

EN

(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. The information in the register should be accessible to those entities
that play a role in the verification of the compliance with the extended producer
responsibility obligations and their enforcement. That register may be the same as thenational register set up pursuant to Directive 2006/66/EC. Producers should be obliged toregister, in order to provide 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.

(74a) In case of state run producer responsibility organisations, where there is no represented
producer’s mandate, the requirements provided in the Regulation concerning suchmandate 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 Council38, 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.

38

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).

5469/23
ANNEX

KR/am
TREE.1.A

49

EN

(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, carrying out compositional surveys of mixed
collected municipal waste, reporting on batteries and waste batteries, and of providing
information to end-users and waste operators about batteries and appropriate re-use andmanagement of waste batteries. The new rules on extended producer responsibility under
this Regulation need to ensure a high level of environmental and health protection in the
EU by maximising separate collection of waste batteries and ensuring that all collectedbatteries are recycled through processes that reach high recycling efficiencies andmaterial recovery in light of technical and scientific progress. The obligations related toextended producer responsibility should apply to all forms of supply, including distanceselling. 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 and procedural
rules of authorisation of producers for individual and producer responsibility
organisations for collective compliance could differentiate processes for individual
producers and producer responsibility organisations to limit the administrative burden on
individual producers. In this context permits issued in accordance with Directive
2008/98/EC may be considered an authorisation for in the purposes of this Regulation.
Where necessary to avoid distortion of the internal market and to ensure uniform conditions
for the modulation of the financial contributions paid to producer responsibility
organisations by producers, implementing powers should be conferred on the Commission.

5469/23
ANNEX

KR/am
TREE.1.A

50

EN

Waste management operators carrying out collection and treatment in accordance withthis Regulation should be subject to a selection procedure by producers of the relevant
batteries or by producer responsibility organisations acting on their behalf, in accordancewith Articles 8 and 8a of Directive 2008/98/EC. In case of waste management operations
taking place in a Member State different than that where a battery was made available on
the market for the first time, producers should cover the costs incurred by the waste
management operators in the Member State where the waste operations take place. In thediscussion on possible proposals for Union legislative acts on end-of-life vehicles andwaste electrical and electronic equipment, the establishment of a cross-border extended
producers responsibility mechanisms for waste batteries, including those incorporated
into vehicles or appliances, between the relevant actors, should be considered.
Furthermore, the adoption of other measures should be considered, such as information
management and verification tools, including, as appropriate, authorised representatives
for extended producer responsibility, waste management operators, producer
responsibility organisations, digital product passport and producer registers, and national
vehicle registration systems when covering electric vehicle batteries.
(76a) Extended producer responsibility should apply to economic operators placing on themarket 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 fromthe 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.

5469/23
ANNEX

KR/am
TREE.1.A

51

EN

(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 the parameters forextended producer responsibility provided by this Regulation, in accordance with theprovisions 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 in accordancewith the provisions of Directive 2008/98/EC and consistently with national law
transposing that Directive. These additional rules should be consistent with the rules in
the Regulation, but may further regulate the non-harmonised topics covered by theRegulation.

5469/23
ANNEX

KR/am
TREE.1.A52

EN

(77a) This Regulation should specify how the traceability of traders obligations laid down in
Article 30(1), points (d) and (e), of Regulation (EU) 2022/2065 are to be applied to online
platforms allowing consumers to conclude distance contracts with producers offering
batteries, including those incorporated in appliances, light means of transport or vehicles,
to consumers located in the Union in relation to the registers of battery producers
established pursuant to this Regulation. In the context of this Regulation, any producer
offering batteries, including those incorporated in appliances, light means of transport orvehicles, by means of distance communication directly to consumers located in a Member
State, whether they are established in a Member State or a third country, should beconsidered to constitute a trader within the meaning of the definition of trader inRegulation (EU) 2022/2065. In line with Regulation (EU) 2022/2065, providers of online
platforms, falling within the scope of Section 4 of Chapter 3 of Regulation (EU)2022/2065, allowing consumers to conclude distance contracts with producers should
obtain from those producers information on the register of producers where they are
registered as well as their registration number and a self-certification committing tocomply with the extended producer responsibility rules set out in this Regulation. The
implementation of the traceability of traders rules for the sale of batteries online aresubject to the enforcement rules laid down in Chapter IV of Regulation (EU) 2022/2065.

5469/23
ANNEX

KR/am
TREE.1.A

53

EN

(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 and boost its
strategic autonomy in this sector, thus facilitating the access to the recovered materials thatcan 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 take-back and collection
network that covers 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 electronic equipment and end-of-life vehicles, civic amenity sites and otheractors based on their own accord, such as public authorities and schools. In order to verify
and improve the effectiveness of the collection network and the information campaigns,
regular compositional surveys at least at NUTS 2 level39 should be carried out on mixed
municipal waste and waste electrical and electronic equipment collected to determine theamount of waste portable batteries therein.

39

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).

5469/23
ANNEX

KR/am
TREE.1.A

54

EN

(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 category of battery in question and be subject to treatment andrecycling requirements laid down in this Regulation.

5469/23
ANNEX

KR/am
TREE.1.A

55

EN

(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. In view of the current increasein sales of LMT batteries and their longer lifespan, it is relevant to set specific collection
rate for this category of batteries separated from the collection rate for portable batteries.
Due to the expected development of the market and increase of the estimated lifetime of
LMT batteries and portable batteries, the methodology to calculate and verify collection
targets should evolve in order to better capture the actual volume of waste LMT batteries
and waste portable batteries available for collection. Therefore, 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 to amend such methodology and toamend the collection targets accordingly. It is crucial that a new available for collection
methodology maintains or increases the level of environmental ambition with regard to
the collection of waste LMT batteries and waste portable batteries compared to the existing
methodology. Based on a first study40, it is estimated that a collection target for waste
LMT batteries of 51% by 31 December 2028 and 61% by 31 December 2031, calculatedwith the quantities of LMT batteries made available on the market in a Member State,correspond to a collection target for waste LMT batteries of 79% by 31 December 2028 and
85% by 31 December 2031, calculated with the quantities of LMT batteries available forcollection in a Member State. The collection targets for waste portable batteries and waste
LMT batteries are to be reviewed. Such review may also address the possibility tointroduce two sub-categories of portable battery: rechargeable and non-rechargeable, withseparate collection rates. The Commission should prepare a report to underpin thesereviews. In order to maximise collection and reduce safety risks, the feasibility andpotential benefits of establishing a deposit return system for batteries, in particular for
portable batteries of general use should be assessed. National and harmonised Unionwide deposit return systems should be taken into account.

40

JRC Publications Repository - "Available for Collection" study on alternative collection
targets for waste portable and light means of transport batteries (europa.eu)

5469/23
ANNEX

KR/am
TREE.1.A

56

EN

(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.

(82a) The obligation on the Member States to adopt measures for the achievement of waste
portable batteries and waste LMT batteries collection targets by producers and, whereappointed, producer responsibility organisations, reflects the general principle that
Member States are to ensure the effectiveness of Union law, including the obligation on
producers and producer responsibility organisations to achieve the collection targets inquestion.
(83)

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

5469/23
ANNEX

KR/am
TREE.1.A

57

EN

(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/EC41, batteries collectedshould not be disposed of or be subject to an energy recovery operation.

(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 Council42 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.

41
42

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).

5469/23
ANNEX

KR/am
TREE.1.A

58

EN

(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 493/201243 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 Council44.

43

44Commission 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)

5469/23
ANNEX

KR/am
TREE.1.A

59

EN

(87)

It should only be possible to carry out treatment ▌ outside the Member State concerned oroutside the Union, where the shipment of waste batteries is in compliance with Regulation(EC) No 1013/2006 of the European Parliament and of the Council45 and Commission
Regulation (EC) No 1418/200746 and where the treatment ▌ activities meet the requirements
applicable for this type of wastes, according to their classification in Commission Decision
2000/532/EC , as amended.47 That Decision, as amended, should be revised to reflect allbattery chemistries, namely including codes for lithium-ion waste batteries, in order toenable proper sorting and reporting of lithium-ion waste batteries. This regulation is
without prejudice to the possible classification of waste batteries as hazardous waste
under Directive 2008/98/EC. Where such treatment ▌ takes place outside the Union, inorder to be counted towards the recycling efficiencies and targets, the waste management
operator for whose account it is carried out should be obliged to report on it to the competentauthority of the respective Member State and to prove that the treatment is carried out inconditions equivalent to those under this Regulation and relevant environmental andhuman health protection requirements in other Union legislation. In order to lay down
what are the requirements for such treatment to be considered equivalent, 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 of laying down detailed rules containing
criteria for the assessment of equivalent conditions.

45
46

47

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.

5469/23
ANNEX

KR/am
TREE.1.A60

EN

(87a) In the event waste batteries are exported from the Union for preparation for re-use,
preparation for repurposing, or recycling, Member States’ competent authorities shouldmake effective use of the powers provided for in Article 50(4) of Regulation (EC) No
1013/2006 to require documentary evidence to ascertain compliance with therequirements set out in this Regulation.
(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 for
end-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.
Batteries that are found to be suitable for use other than for their original purpose should
ideally be repurposed. In order to ensure uniform conditions for the implementation ofprovisions related to the requirements that waste industrial batteries or waste electricvehicle batteries should fulfil to cease to be waste, implementing powers should beconferred on the Commission.

5469/23
ANNEX

KR/am
TREE.1.A

61

EN

(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. Such information should be accessible for persons with disabilities
in accordance with the requirements laid down in Directive (EU) 2019/882 of theEuropean Parliament and of the Council (1).

(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.

5469/23
ANNEX

KR/am
TREE.1.A

62

EN

(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 category and chemistry. With regard to portable batteries, data on batteries andwaste batteries from light means of transport should be reported separately in view of theneed to gather data to allow for adapting the collection target, considering the market shareof such batteries and their specific purpose and characteristics. Such information 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 the Commission, as well
as for the verification methods, implementing powers should be conferred on theCommission.

(92)

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

5469/23
ANNEX

KR/am
TREE.1.A

63

EN

(93)

In order to enhance transparency along supply and value chains for all stakeholders, it isnecessary to provide for a battery passport 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 and whether
renewable material such as graphite produced from lignin is 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. The battery passport should provide
the public with information about batteries placed on the market and their sustainability
requirements. It should provide remanufacturers, second-life operators and recyclers with
up-to-date information for their handling of batteries and specific actors with tailoredinformation such as on the state of health of batteries. It may support market surveillanceauthorities in carrying out their tasks under this Regulation, but does not replace ormodify the responsibilities of the market surveillance authorities, who should, in line with
Regulation (EU) 2019/1020, carry out checks of the information contained in battery
passports.

5469/23
ANNEX

KR/am
TREE.1.A64

EN

(93a) Certain information in the battery passport should not be public as they concern sensitive
commercial information that is only needed by a limited number of persons with alegitimate interest. This applies to dismantling information, including safety, and detailed
composition which is essential for repairers, remanufacturers, second-life operators andrecyclers. It also applies to information concerning individual batteries, which is essential
to those who have purchased the battery or parties acting on their behalf for the purposeof making the battery available to independent energy aggregators or energy market
participants, evaluating the residual value or remaining lifetime for further use, andfacilitating the preparing for re-use, preparing for repurpose, or repurposing or
remanufacturing of the battery. Results of test reports should only be accessible to notified
bodies, market surveillance authorities and the Commission.
(94)

The battery passport should allow economic operators to gather and reuse 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. Once it is placed on the market it may incertain cases be more practical for another legal person to update information in the
passport, such as a vehicle manufacturer. The economic operator that places the batteryon the market should therefore be allowed to authorise in written form another operator
to act on its behalf. The responsibility of compliance with the provisions for the battery
passport should lie with the economic operator that places the battery on the market. In
order to ensure uniform conditions for the implementation of the battery passport,
implementing powers should be conferred on the Commission.

5469/23
ANNEX

KR/am
TREE.1.A65

EN

(94a) To ensure that the battery passport is flexible, agile and market-driven and evolving inline with business models, markets and innovation, it should be based on a decentralised
data system, set up and maintained by economic operators. To ensure the effective roll-outof the battery passport, technical design, data requirements and operation of the battery
passport should adhere to a set of essential technical requirements. Such requirements
should be developed hand-in-hand with those for digital product passports required byother Union legislation concerning eco-design for sustainable products. Technicalspecifications, for which the European Commission’s Connecting Europe Facility
principles for the eDelivery Network should be considered, should be established to ensure
the effective implementation of those essential requirements, either in the form of
harmonised standard referenced in the Official Journal or, as a fall-back option, common
specification adopted by the Commission. The technical design should ensure that thebattery passport carries data in a secure way, respecting privacy rules.
(95)

Regulation (EU) 2019/1020 lays down the general rules on market surveillance and control
of products placed on the Union market or entering the Union market from third countries.
In order to ensure that 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, and to ensure full enforceability ofthe obligations in particular in matters relating to the due diligence policies under thisRegulation, that Regulation should also apply to batteries and economic operatorsconcerned by this Regulation. Therefore, Annex I of Regulation (EU) 2019/1020 should be
amended accordingly.

5469/23
ANNEX

KR/am
TREE.1.A66

EN

(95a) Regulation (EU) 2019/1020 requires market surveillance authorities to perform
appropriate checks on the characteristics of products on an adequate scale. It empowers
the Commission to determine the uniform conditions of checks, criteria for determinationof the frequency of checks and amount of samples to be checked in relation to certain
products or categories of products. This provision also applies to batteries covered by thisRegulation when the conditions specified in Regulation (EU) 2019/1020 are met.
(95b) Regulation (EU) 2019/1020 introduced new instruments to improve compliance andmarket surveillance, which are also relevant to batteries. It provides for the Commission
to designate a public testing facility of Member State as Union testing facility for specificcategories of products or for specific risks related to a category of products. The
Commission should include batteries as covered by this Regulation in its next call for
expression of interest for the designation of the Union testing facilities pursuant toCommission implementing regulation (EU) 2022/1267 of 20 July 2022 specifying theprocedures for the designation of Union testing facilities for the purposes of market
surveillance and verification of product compliance in accordance with Regulation (EU)2019/1020 of the European Parliament and of the Council [OJ L 192, 21.7.2022, p. 21.].
Regulation (EU) 2019/1020 further provides that market surveillance authorities might
carry out joint activities with organisations representing economic operators or end users,with a view to promoting compliance, identifying non-compliance, raising awareness andproviding guidance in relation to the requirements of this Regulation. In that context,
Member States or market surveillance authorities might explore setting up battery
competence centres to this end. The members of the administrate cooperation (ADCO)
group for market surveillance of batteries should to inform each other of such activities
and promote best practices.

5469/23
ANNEX

KR/am
TREE.1.A

67

EN

(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, labellingand information or on supply chain due diligence.

5469/23
ANNEX

KR/am
TREE.1.A

68

EN

(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/EU48 of theEuropean Parliament and of the Council and Directive 2014/25/EU of the European
Parliament and of the Council49, and contracting entities as defined in Directive 2014/25/EU
should take account of the environmental impacts when procuring batteries or products
containing batteries and ensure effective compliance with social and environmental
requirements by the economic operators, in order to promote and stimulate the market forclean and energy-efficient mobility and energy-storage and thus contributing to theenvironment, climate and energy 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.

48
49

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)

5469/23
ANNEX

KR/am
TREE.1.A69

EN

(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.
(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-Making50. 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 Council51.
(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.

50
51

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.
13)5469/23
ANNEX

KR/am
TREE.1.A70

EN(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. When imposing penalties, due regard should begiven to the nature, gravity, scope, intentional nature and repetition of infringement andthe level of cooperation of the natural or legal person held responsible with the competentauthority. The imposition of penalties should comply with Union and national law,
including with applicable procedural safeguards and with the principles of the Charter ofFundamental Rights of the European Union.
(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.

5469/23
ANNEX

KR/am
TREE.1.A71

EN

(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 24 months after entry
into force of the Regulation. Obligations under that Directive related to monitoring andreporting the collection rate of portable batteries should remain in force until 31 December
2023, and the related obligations for the transmission of data to the Commission should
remain in force until 30 June 2025, and obligations under that Directive related tomonitoring and reporting the recycling efficiencies of recycling processes should remain inforce until 31 December 2025, and the related obligations for the transmission of data to theCommission should remain in force until 30 June 2027, in order to ensure continuity until
new calculation rules and reporting formats are adopted by the Commission under thisRegulation.

5469/23
ANNEX

KR/am
TREE.1.A72

EN

(109a) It is important that in the implementation of this Regulation, environmental, social andeconomic impacts are considered. Moreover, in order to ensure that there is a levelplaying field, it is important that in the implementation of this regulation all relevant
available technologies are equally taken into consideration, provided that thosetechnologies allow for full compliance by batteries with any relevant requirement set out
in this Regulation. Furthermore, no excessive administrative burden should be imposedon economic operators, in particular on SMEs.
(110) Since the objective of this Regulation, namely to guarantee the functioning of the internalmarket and to ensure that batteries placed on the market as well as the operations linked towaste batteries fulfil the requirements providing for a high level of protection of humanhealth, safety, property and the environment, cannot be sufficiently achieved by the Member
States but can rather, by reason of the need for harmonisation, be better achieved at Unionlevel, the Union may adopt measures, in accordance with the principle of subsidiarity as set
out in Article 5 of the Treaty on European Union. In accordance with the principle ofproportionality, as set out in that Article, this Regulation does not go beyond what isnecessary in order to achieve that objective,

5469/23
ANNEX

KR/am
TREE.1.A73

EN

HAVE ADOPTED THIS REGULATION:

Chapter I
General provisions

Article 1
Subject matter and scope
1.

This 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 andtreatment of waste batteries and reporting.

1a.

This Regulation lays down the battery 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 areincorporated.

5469/23
ANNEX

KR/am
TREE.1.A

74

EN

2.

This Regulation shall apply to all categories of batteries, namely portable batteries, 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
into or added to products. For the purpose of chapter II, when batteries placed on themarket can be considered to fall under more than one category, the strictest
requirements provided thereof shall apply.

2a.

In cases where battery cells or battery modules are made available for end use, without
any further incorporation or assembly into larger battery packs or batteries, they shall beconsidered to have been placed on the market as batteries for the purposes of thisregulation, and the requirements for the most similar battery category shall beapplicable. In cases where it can be considered that such battery cells or battery modules
fall under more than one battery category, the strictest requirements shall apply.

5469/23
ANNEX

KR/am
TREE.1.A

75

EN

3.

This Regulation shall not apply to batteries 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)
3a.

equipment designed to be sent into space.

Chapters III and VIII of this Regulation shall not apply to equipment specificallydesigned for the safety of nuclear installations, as defined in Article 3 of Council
Directive 2009/71/Euratom52.

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 the environment,
and to protect the environment and human health by preventing or reducing the adverse impactsof the generation and management of waste batteries.

52

Council Directive 2009/71/Euratom of 25 June 2009 establishing a Community framework
for the nuclear safety of nuclear installations (OJ L 172, 2.7.2009, p.18).

5469/23
ANNEX

KR/am
TREE.1.A76

EN

Article 2
Definitions
For the purposes of this Regulation, the following definitions shall apply:(1)'battery’ means any device delivering electrical energy generated by direct conversion ofchemical energy, having internal or external storage, and consisting of one or more nonrechargeable or rechargeable battery cells, modules or of packs 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;(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.

(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 the reaction of which generates electrical energy;(3)‘active materials’ means material which reacts chemically to produce electric energy when
the battery cell discharges or to store electric energy when the battery is being charged;

5469/23
ANNEX

KR/am
TREE.1.A

77

EN

(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 external storage’ means a battery designed to have the energy stored
exclusively in one or more attached external devices ▌;(7)‘portable battery’ means any battery that:-is sealed;-weighs below or equal to 5 kg;-

is not designed specifically for industrial uses and-is neither an electric vehicle battery, nor a lights means of transport battery, nor an
SLI battery;(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), button cell, 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 electric power for the traction towheeled vehicles 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;

5469/23
ANNEX

KR/am
TREE.1.A

78

EN

(10)

‘SLI battery’ means any battery designed to supply electric power for starter, lighting, or
ignition and may also be used for auxiliary or backup purposes in vehicles, other meansof transport or machinery;(11)‘industrial battery’ means any battery:-

designed specifically for industrial uses, or-intended for industrial uses after being subject to preparing for repurpose or
repurposing, or-

any other battery with a weight above 5 kg that is not a LMT battery, an electricvehicle battery or a SLI battery(12)‘electric vehicle battery’ or 'EV battery' means any battery specifically designed toprovide electric power for the traction to hybrid or electric vehicles of L category as
provided for in Regulation (EU) No 168/2013, and with a weight above 25 kg, ordesigned to provide electric power for the traction to hybrid or electric vehicles of M, N or
O categories as provided for in Regulation (EU) 2018/858;(13)‘stationary battery energy storage system’ means a ▌ industrial battery with internal
storage specifically designed to store and deliver electric energy from and into the grid orstore and deliver electric energy to end-user, regardless of where and by whom thisbattery is being used;

5469/23
ANNEX

KR/am
TREE.1.A

79

EN

(14)

‘placing on the market’ means the first making available of a battery ▌ on the Union
market;(15)‘making available on the market’ means any supply of a battery for distribution or use on
the Union market in the course of a commercial activity, whether in return for payment or
free of charge;(16)‘putting into service’ means the first use, for its intended purpose, in the Union, of abattery, without having been placed on the market previously;(17)‘battery model’ means a version of a battery of which all units share the same technicalcharacteristics relevant for sustainability 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 healthor safety of persons, property or the environment to a degree which goes beyond thatconsidered reasonable and acceptable in relation to its intended purpose or under thenormal or reasonably foreseeable conditions of use of the battery concerned, including
the duration of use and, where applicable, its putting into service, installation andmaintenance requirements;

5469/23
ANNEX

KR/am
TREE.1.A

80

EN

(18)

‘carbon footprint’ means the sum of greenhouse gas (GHG) emissions and GHG removals
in a product system, expressed as carbon dioxide (CO2) equivalents and based on a
Product Environmental Footprint (PEF) study using the single impact category of climatechange;(19)‘economic operator’ means the manufacturer, the authorised representative, the importer,
the distributor or the fulfilment service provider or any other natural or legal person who
is subject to obligations in relation to manufacturing batteries, preparing batteries forreuse, 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 this Regulation;(20)‘independent operator’ means a natural or legal person ▌ who is independent from the
manufacturer and the producer and is directly or indirectly involved in the repair,maintenance or repurposing of batteries, and include 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 foralternative-fuel vehicles;(21)‘QR code’ means a machine-readable matrix code that links to information as required bythis Regulation;

5469/23
ANNEX

KR/am
TREE.1.A

81

EN

(22)

‘battery management system’ means an electronic device that controls or manages theelectric and thermal functions of the battery in order to ensure the battery’s safety,
performance and service life, that manages and stores the data on the parameters fordetermining the state of health and expected lifetime of batteries laid down in Annex VII
and that communicates with the vehicle, light mean of transport or appliance in which thebattery is incorporated, or with a public or private charging infrastructure;(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 energy in a battery expressed as a percentage of rated
capacity as declared 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;5469/23
ANNEX

KR/am
TREE.1.A82

EN

(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 other battery
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 is homogeneous, notdiffering more than 3% from one another, and results in the battery being used for thesame purpose or application than the one for which the battery was originally designed;(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 ortrademark 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;

5469/23
ANNEX

KR/am
TREE.1.A

83

EN

(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, labelling, information or due diligence requirements of this Regulation ▌ havebeen fulfilled;(34)‘conformity assessment body’ means a body that performs conformity assessment
activities including calibration, testing, certification and inspection;(35)‘notified body’ means a conformity assessment body notified in accordance with
Chapter V of this Regulation;(36)'battery due diligence' means the obligations of the economic operator ▌ , 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, preventing andaddressing actual and potential social and environmental risks linked to the sourcing,processing and trading of the raw materials and secondary raw materials required forbattery manufacturing including suppliers in the chain and their subsidiaries or
subcontractors that perform such activities;

5469/23
ANNEX

KR/am
TREE.1.A84

EN

(36aa) ‘subsidiary’ means a legal person through which the activity of a ‘controlled
undertaking’ as defined in Article 2(1), point (f), of Directive 2004/109/EC of theEuropean Parliament and of the Council53 is exercised;(36ab) ‘parent company’ means a company which controls one or more subsidiaries within themeaning of point (36aa);(36b)'conflict-affected and high-risk areas' means areas in a state of armed conflict or fragile
post-conflict as well as areas witnessing weak or non-existent governance and security,
such as failed states, and widespread and systematic violations of international law,
including human rights abuses;(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 them for the
first time under its own name or trademark, including those incorporated inappliances, light means of transport or vehicles, within the territory of that
Member State;

53

Directive 2004/109/EC of the European Parliament and of the Council of 15 December
2004 on the harmonisation of transparency requirements in relation to information about
issuers whose securities are admitted to trading on a regulated market and amending
Directive 2001/34/EC (OJ L 390, 31.12.2004, p. 38).

5469/23
ANNEX

KR/am
TREE.1.A

85

EN

(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);(iii) is established in a Member State and supplies for the first time in this Member
State on a professional basis, batteries, including those incorporated in appliances,
light means 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, andis 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 inaccordance with third subparagraph of Article 8a(5) of Directive 2008/98/EU for
fulfilling the obligations of that producer under Chapter VII of this Regulation;

5469/23
ANNEX

KR/am
TREE.1.A

86

EN

(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;(39a)

Battery manufacturing waste means the materials or objects rejected during the battery
manufacturing process, which cannot be re-used as an integral part in the same process
and need to be recycled.

▌

5469/23
ANNEX

KR/am
TREE.1.A

87

EN

(41)

‘hazardous substance’ means a substance classified as hazardous as a consequence offulfilling the criteria laid down in Parts 2 to 5 of the Annex I of Regulation (EC) No
1272/2008 of the European Parliament and of the Council54▌
▌
▌
▌
▌

(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, preparation
for recycling, or recycling;(42a)‘preparation for recycling’ means treatment of waste batteries prior to any recycling
process, which shall, inter alia, include storage, handling, dismantling of battery packs
or separation of fractions that are not part of the battery itself;

54

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)

5469/23
ANNEX

KR/am
TREE.1.A

88

EN

(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 handed over to producers, to producer
responsibility organisations or to waste management operators for subsequent treatment;(44)‘waste management operator’ means any natural or legal person dealing on a professional
basis with the separate collection ▌ or treatment of waste batteries;(45)‘permitted facility’ means any facility that is permitted in accordance with Directive
2008/98/EC to carry out the treatment ▌ of waste batteries;(46)‘recycler’ means any natural or legal person ▌ who carries out recycling ▌ in a permitted
facility;(47)‘lifetime’ of a battery means the period of time that starts when the battery is
manufactured, and ends when the battery becomes waste;▌▌

5469/23
ANNEX

KR/am
TREE.1.A

89

EN

(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 waste batteries input
fraction, expressed as a percentage;(51)‘Union harmonisation legislation’ means any Union legislation harmonising the conditions
for the marketing of products;(52)‘national authority’ means an approval authority or any other authority involved in andresponsible for market surveillance ▌ 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 on the market from a third country;(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;(55a)‘unique identifier’ means a unique string of characters for the identification of batteries
that also enables a web link to the battery passport;▌

5469/23
ANNEX

KR/am
TREE.1.A

90

EN

The definitions of ‘waste’, ‘waste holder’, ‘waste management’, ‘prevention’, ‘collection’,‘separate collection’, ‘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.

The definitions of ▌, ‘market surveillance’, ‘market surveillance authority’, ‘fulfilment service
provider’, ‘corrective action’, ‘end-user’, ‘recall’ and ‘withdrawal’, as well as of ‘risk’ in relation
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’, ‘market participant’ and ‘energy storage’ laid downin Article 2 of Directive (EU) 2019/944 shall apply.

The definition of ‘online platform’ laid down in Article 3 of Regulation (EU) 2022/2065 shallapply.

5469/23
ANNEX

KR/am
TREE.1.A91

EN

Article 3
Free movement
1.

Member States shall not, for reasons relating to sustainability, safety, labelling andinformation requirements of ▌ batteries covered by this Regulation, prohibit, restrict or
impede the making available on the market or the putting into service of batteries thatcomply 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 cannot be made available on the market or put into service until they have beenbrought into conformity. During demonstrations, the relevant economic operator shalltake adequate measures to ensure the safety of persons.

5469/23
ANNEX

KR/am
TREE.1.A

92

EN

Article 4
Sustainability, safety, labelling and information requirements for batteries
1.

2.

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

▌

5469/23
ANNEX

KR/am
TREE.1.A

93

EN

Chapter II
Sustainability and safety requirements

Article 6
Restrictions of ▌ substances1.

In addition to the restrictions set out in Annex XVII of Regulation (EC) No 1907/2006 andin Annex II of Directive 2000/53/EC, batteries shall not contain ▌ substances for which
Annex I contains a restriction unless they comply with the conditions of that restriction.

2.

In case of an unacceptable risk to human health or the environment, arising from the use of
a substance in the manufacture of batteries, or from the presence of a substance ▌ in thebatteries when they are placed on the market, or during their subsequent life cycle stages,
including during repurposing or during the treatment of waste batteries, that is notadequately controlled and needs to be addressed on a Union-wide basis, the Commission
shall adopt a delegated act in accordance with the procedure referred to in Article 73 toamend the restrictions in Annex I, pursuant to the procedure laid down in Article 71.

▌5469/23
ANNEX

KR/am
TREE.1.A

94

EN

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.

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, this exemption, as well as the maximum quantity of the substance exempted,
shall be specified in Annex I.

5a.

By 31 December 2027, the Commission, assisted by the European Chemicals Agency,
shall prepare a report on substances of concern, meaning substances having adverse
effect on human health or the environment or hampering recycling for safe and highquality secondary raw materials, contained in batteries or used in their manufacturing.
The Commission shall submit the report to the European Parliament and to the Council
detailing its findings and will consider the appropriate follow-up measures including the
adoption of the delegated acts referred to in the second paragraph.

5469/23
ANNEX

KR/am
TREE.1.A

95

EN

Article 7
Carbon footprint of electric vehicle batteries, light means of transport and rechargeable industrial
batteries
1.

For rechargeable industrial batteries with ▌ a capacity above 2 kWh, light means oftransport batteries and electric vehicle batteries a carbon footprint declaration shall bedrawn up, for each battery model per manufacturing plant, in accordance with thedelegated act referred to in the second subparagraph and containing, at least, the following
information:(a)administrative information about the 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 carbon footprint of the battery, calculated as kg of carbon dioxide equivalent per
one kWh of the total energy provided by the battery over its expected service life;(e)

the carbon footprint of the battery differentiated per life cycle stage as described inpoint 4 of Annex II;

5469/23
ANNEX

KR/am
TREE.1.A

96

EN

(f)

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 values referred to in points (d) and (e).

The carbon footprint declaration ▌ shall apply as of:(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;(b)

30 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, forrechargeable industrial batteries except those with exclusively external storage.

(c)

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, for LMT
batteries;(d)

84 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 with external storage;5469/23
ANNEX

KR/am
TREE.1.A

97

EN

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 6 months after entry into force of the Regulation forelectric vehicle batteries and 18 months after entry into force of the Regulation forrechargeable industrial batteries, except those with external storage, 42 months after
entry into force of the Regulation for LMT batteries and 66 months for industrial
batteries with external storage, adopt:(a)a delegated act in accordance with Article 73 to supplement this Regulation by
establishing the methodology for calculation and verification of the carbon footprintof the battery referred to in point (d), in accordance with the essential elements set
out in Annex II;(b)an implementing act establishing the format for the carbon footprint declarationreferred to in the first subparagraph. That implementing act shall be adopted inaccordance with the examination procedure referred to in Article 74(3).

▌5469/23
ANNEX

KR/am
TREE.1.A

98

EN

2.

▌Rechargeable industrial batteries with ▌ a capacity above 2 kWh, LMT batteries andelectric vehicle batteries shall bear a conspicuous, clearly legible and indelible label
indicating the carbon footprint of the battery referred to in point (d) of paragraph 1 andthe carbon footprint performance class that the relevant battery model per manufacturing
plant corresponds to.
For batteries referred to in first subparagraph, the technical documentation referred to in
Annex VIII shall demonstrate that the carbon footprint declared and the relatedclassification into a carbon footprint performance class have been calculated in accordancewith the methodology set out in the delegated acts adopted by the Commission pursuant to
the 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
as of:(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;(b)

48 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 except those with exclusively external storage;5469/23
ANNEX

KR/am
TREE.1.A

99

EN

(c)

78 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 LMT
batteries;(d)102 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 to in points (a) and (b) of the third subparagraph, whichever is the latest,for rechargeable industrial batteries with external storage.

The Commission shall, no later than 18 months after entry into force of the Regulationfor electric vehicle batteries and 36 months after entry into force of the Regulation forrechargeable industrial batteries except those with exclusively external storage, 60months after entry into force of the Regulation for LMT batteries and 84 months after
entry into force of the regulation for rechargeable industrial batteries with external
storage, 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
account the conditions 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
in accordance with the examination procedure referred to in Article 74(3).

5469/23
ANNEX

KR/am
TREE.1.A

100

EN

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.
3.

For rechargeable industrial batteries with ▌ a capacity above 2 kWh, LMT batteries andelectric vehicle batteries, the technical documentation 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.
This requirement for a maximum life cycle carbon footprint threshold in the firstsubparagraph shall apply as of:(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;

5469/23
ANNEX

KR/am
TREE.1.A

101

EN

(b)

66 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 except those with exclusively external storage.

(c)

96 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 LMT
batteries;(d)

120 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 with external storage.

The Commission shall, no later than 36 months after entry into force of the Regulationfor electric vehicle batteries and 54 months after entry into force of the Regulation forrechargeable industrial batteries, except those with external storage, 78 months after
entry into force of the Regulation for LMT batteries and 102 months after entry into
force of the Regulation for industrial batteries with external storage, adopt a delegated
act in accordance with Article 73 to supplement this Regulation by determining the
maximum life cycle carbon footprint threshold referred to in the first subparagraph. In
preparing that delegated act, the Commission shall take into account the relevant
conditions set out in point 9 of Annex II.

5469/23
ANNEX

KR/am
TREE.1.A

102

EN

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.

By 31 December 2030, the Commission shall assess the feasibility of extending therequirements in this article to portable batteries, and the requirement referred to inparagraph 3 to rechargeable industrial batteries with nominal energy below 2kWh. Tothat end, the Commission shall submit a report to the European Parliament and theCouncil and consider taking the appropriate measures, including the adoption oflegislative proposals.

3b.

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.

5469/23
ANNEX

KR/am
TREE.1.A

103

EN

Article 8
Recycled content in industrial batteries, electric vehicle batteries and SLI batteries
1.

From either 60 months after entry into force of the Regulation or 24 months after theentry into force of the delegated act referred to in the third subparagraph, whichever islater, industrial batteries, with a capacity above 2 kWh, except those with exclusively
external storage, electric vehicle batteries and SLI batteries that contain cobalt, lead,lithium or nickel in active materials, shall be accompanied by ▌ documentation containing
information about the share of, respectively, cobalt, lithium or nickel recovered frombattery manufacturing waste or post-consumer waste present in active materials, andshare of lead recovered from waste present in the battery, for each battery model per year
and per manufacturing plant. The first subparagraph shall apply to light means oftransport batteries that contain cobalt, lead, lithium or nickel in active materials from
120 months after entry into force of the Regulation.
By 36 months after entry into force of the Regulation, the Commission shall adopt adelegated act in accordance with Article 73 to supplement this Regulation by
establishing the methodology for the calculation and verification of the share of cobalt, ▌lithium or nickel recovered from waste present in active materials, and share of leadrecovered from battery manufacturing waste or post-consumer waste present in battery,in the batteries referred to in the first and second subparagraphs, and the format for the
documentation.

5469/23
ANNEX

KR/am
TREE.1.A

104

EN

2.

From 96 months after entry into force of the Regulation, for industrial batteries with acapacity above 2 kWh, except those with exclusively external storage, electric vehicle and
SLI batteries that contain cobalt, lead, lithium or nickel in active materials, the technicaldocumentation referred to in Annex VIII shall demonstrate that those batteries containthe following minimum share of, respectively, cobalt, lithium or nickel recovered frombattery manufacturing waste or post-consumer waste present in active materials, andshare of lead recovered from waste present in the battery, for each battery model per year
and per manufacturing plant:

3.

(a)

16% cobalt;(b)85% lead;(c)

6% lithium;(d)6% nickel.

From 156 months after entry into force of the Regulation, for industrial batteries, with acapacity above 2 kWh, except those with exclusively external storage, electric vehicle
batteries, light means of transport batteries and SLI batteries that contain cobalt, lead,lithium or nickel in active materials, the technical documentation referred to in Annex
VIII shall demonstrate that those batteries contain the following minimum share of,respectively, cobalt, lithium or nickel recovered from battery manufacturing waste or
post-consumer waste present in active materials, and share of lead recovered from waste
present in the battery, for each battery model per year and per manufacturing plant:

5469/23
ANNEX(a)

26% cobalt;(b)

85 % lead;(c)

12% lithium;(d)

15% nickel.

KR/am
TREE.1.A

105

EN

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.

4.

After the entry into force of the delegated act under paragraph 1, and no later than 31
December 2028, the Commission shall assess whether, due to the existing and forecasted
availability for 2030 and 2035 of cobalt, lead, lithium or nickel recovered from waste, orlack thereof, and in view of technical and scientific progress, it is appropriate to revise
the targets laid down in paragraphs 2 and 3.
Where justified and appropriate on the basis of the assessment made under the previous
paragraph, or by other considerable changes in battery technologies impacting the typeof materials recovered, the Commission shall be empowered to adopt, by 72 months after
entry into force of the Regulation, a delegated act in accordance with Article 73, to amend
the targets laid down in paragraphs 2 and 3.

4a.

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.

5469/23
ANNEX

KR/am
TREE.1.A

106

EN

Article 9
Performance and durability requirements for portable batteries of general use
1.

From either 60 months after entry into force of the Regulation or 24 months after theentry into force of the delegated act referred to in paragraph 2, whichever is later,
portable batteries of general use, excluding button cells, shall meet the minimum values
for the electrochemical performance and durability parameters set out in Annex III as laid
down in the delegated act adopted by the Commission pursuant to paragraph 2.

2.

By 48 months after entry into force of the Regulation, the Commission shall adopt adelegated act in accordance with Article 73 to supplement this Regulation by establishingminimum values for the electrochemical performance and durability parameters laid downin Annex III that portable batteries of general use, excluding button cells, shall attain.
The Commission is empowered to adopt delegated acts in accordance with Article 73 toamend the minimum values or add electrochemical performance and durability parameterslaid down in Annex III in view of technical and scientific progress.
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, including the increase of the resource efficiency of portable batteries andtake into consideration relevant international standards and labelling schemes.

5469/23
ANNEX

KR/am
TREE.1.A

107

EN

The Commission shall also ensure that the provisions laid down by that delegated act do
not have a significant negative impact on the safety and functionality of those batteries orthe appliances, light means of transport or vehicles into which those batteries areincorporated, the affordability and the cost for end-users and the industry’s
competitiveness. ▌3.

By 31 December 2030, the Commission shall assess the feasibility of measures to phaseout the use of non-rechargeable portable batteries of general use in view of minimising
their environmental impact based on the life cycle assessment methodology and viable
alternatives for end-users. To that end, the Commission shall submit a report to theEuropean Parliament and to the Council and consider taking the appropriate measures,
including the adoption of legislative proposals for either the phase out or the setting of
eco-design requirements.

Article 10
Performance and durability requirements for LMT batteries, rechargeable industrial batteries andelectric vehicle batteries
1.

From 12 months after entry into force of the Regulation, LMT batteries, rechargeableindustrial batteries with ▌ a capacity above 2 kWh, and electric vehicle batteries shall beaccompanied by a document containing values for the electrochemical performance anddurability parameters laid down in Part A of Annex IV.

5469/23
ANNEX

KR/am
TREE.1.A

108

EN

For batteries referred to in first subparagraph the technical documentation referred to in
Annex VIII shall ▌ contain an explanation of the technical specifications, standards andconditions used to measure, calculate or estimate the values for the electrochemical
performance and durability parameters. That explanation shall include, at least, theelements laid down in Part B of Annex IV.
2.

From either 48 months after entry into force of the Regulation or 18 months after theentry into force of the delegated act referred to in paragraph 3, whichever is later,
rechargeable industrial batteries with ▌ 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 performanceand durability parameters set out in Part A of Annex IV.

2a.

From either 60 months after entry into force of the Regulation or 18 months after theentry into force of the delegated act referred to in paragraph 3a, whichever is later, LMT
batteries shall meet the minimum values laid down in the delegated act adopted by theCommission pursuant to paragraph 3a for the electrochemical performance anddurability parameters set out in Part A of Annex IV.

5469/23
ANNEX

KR/am
TREE.1.A

109

EN

2b.

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 30 months after entry into force of the Regulation, the Commission shall adopt adelegated act in accordance with Article 73 to supplement this Regulation by establishingminimum values for the electrochemical performance and durability parameters laid down
in Part A of Annex IV that rechargeable industrial batteries with a capacity above 2 kWh,except those with exclusively external storage, shall attain.
By 42 months after entry into force of the Regulation, the Commission shall adopt adelegated act in accordance with Article 73 to supplement this Regulation by
establishing minimum values for the electrochemical performance and durability
parameters laid down in Part A of Annex IV that LMT batteries shall attain.

5469/23
ANNEX

KR/am
TREE.1.A

110

EN

In preparing the delegated acts referred to in the first and second subparagraphs, theCommission shall consider the need to reduce the life cycle environmental impact ofrechargeable industrial batteries with ▌ a capacity above 2 kWh, except of those with
exclusively external storage, and of LMT batteries, and ensure that the requirements laid
down therein do not have a significant negative impact on the functionality of thosebatteries or the appliances light means of transport or vehicles into which those batteries
are incorporated, its affordability and industry’s competitiveness. ▌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.

From 42 months after entry into force of the Regulation, any natural or legal personthat places on the market products incorporating portable batteries shall ensure thatthose batteries are readily removable and replaceable by the end-user at any time during
the lifetime of the product. The first sentence shall only apply to batteries as a whole, andnot to individual cells or other parts included in the batteries.

5469/23
ANNEX

KR/am
TREE.1.A

111

EN

A portable battery shall be considered readily removable by the end-user where it can beremoved from a product with the use of commercially available tools, without requiring
the use of specialized tools, unless provided free of charge with the product, proprietary
tools, thermal energy, or solvents to disassemble.
Any natural or legal person that places on the market products incorporating portablebatteries shall ensure that those products are accompanied with instructions and safety
information on the use, removal and replacement of the batteries. These instructions andsafety information shall be made available permanently online on a publicly available
website in an easily understandable way for end users.
This paragraph shall be without prejudice to any specific provisions ensuring a higher
level of protection of the environment and human health relating to the removability andreplaceability of portable batteries by end-users laid down in any Union legislative act onelectric and electronic equipment as defined in Article 3(a) of Directive 2012/19/EU55.

55

Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 onwaste electrical and electronic equipment (WEEE) (recast) Text with EEA relevance, OJ L
197, 24.7.2012, p. 38–71.

5469/23
ANNEX

KR/am
TREE.1.A

112

EN

2.

By way of an exception to paragraph 1, the following products incorporating portablebatteries may be designed in such a way as to make the battery removable andreplaceable only by independent professionals:(a)appliances specifically designed to operate primarily in an environment that isregularly subject to splashing water, water streams or water immersion and thatare intended to be washable or rinseable,(b)professional medical imaging and radiotherapy devices, as defined in Article 2(1)of Regulation of the European Parliament and of the Council (EU) 2017/74556,
and in-vitro diagnostic medical devices, as defined in Article 2(2) of Regulation [ofthe European Parliament and of the Council] (EU) 2017/74657.

The derogation set out in point a) of this paragraph is only applicable where this isrequired to ensure the safety of the user and the appliance.

56

57

Regulation (EU) 2017/746 of the European Parliament and of the Council of 5 April 2017
on in vitro diagnostic medical devices and repealing Directive 98/79/EC and Commission
Decision 2010/227/EU (Text with EEA relevance.), OJ L 117, 5.5.2017, p. 176–332.
Regulation (EU) 2017/746 of the European Parliament and of the Council of 5 April 2017
on in vitro diagnostic medical devices and repealing Directive 98/79/EC and Commission
Decision 2010/227/EU (Text with EEA relevance.), OJ L 117, 5.5.2017, p. 176–332.

5469/23
ANNEX

KR/am
TREE.1.A

113

EN

3.

The obligations set out in paragraph 1 shall not apply where continuity of power supply isnecessary and a permanent connection between the product and the respective portablebattery is required to ensure the safety of the user and the appliance or, for products thatcollect and supply data as their main function, for data integrity reasons.
▌▌

4.

The Commission is empowered to adopt delegated acts in accordance with Article 73 toamend paragraph 2 by adding further products to be exempted from the removability
and replaceability requirements laid down in paragraph 1. The delegated act shall be
adopted only on account of technical and market developments, and provided that there
are scientifically grounded concerns over the safety of end users removing or replacing
the portable battery, or in cases where the removal or the replacement of the battery by
end-users risks to be in violation of any product safety requirements provided for by
applicable Union legislation.

5.

From 42 months after entry into force of the Regulation, any natural or legal personthat places on the market products incorporating LMT batteries shall ensure that thosebatteries, as well as individual battery cells included in the battery pack, are readily
removable and replaceable by an independent professional at any time during the
lifetime of the product.

5469/23
ANNEX

KR/am
TREE.1.A

114

EN

A portable or LMT battery is readily replaceable where, after its removal from anappliance or a light mean of transport, it can be substituted by a similar battery, without
affecting the functioning or the performance or safety of that appliance or light mean oftransport. Any natural or legal person that places on the market products incorporating
portable or LMT batteries shall ensure that batteries shall be available as spare parts ofthe equipment they power for a minimum of 5 years after placing the last unit of themodel on the market, with a reasonable and non-discriminatory price for independent
professionals and end users.
6.

Software shall not be used to affect the replacement of a portable battery or light meansof transport battery or of their key components with another compatible battery or key
components.

7.

The Commission shall publish guidelines to facilitate harmonised application of theprovisions set out in this Article.

Article 12
Safety of stationary battery energy storage system
1.

Stationary battery energy storage systems placed on the market or put into service shallbe safe during their normal operation and use ▌.

5469/23
ANNEX

KR/am
TREE.1.A

115

EN

1a.

By 12 months after entry into force of the Regulation, the technical documentationreferred to in Annex VIII shall:(a)demonstrate that the batteries referred to in paragraph 1 are compliant with therequirements in accordance with paragraph 1 and include evidence that they havebeen successfully tested for the safety parameters laid down in Annex V, for whichstate-of-the-art testing methodologies shall be used. The safety parameters only
apply insofar when the corresponding hazard exists for the battery in question
when it is used under the conditions foreseen by the manufacturer.

(b)

include an assessment of possible additional safety hazards, not addressed in
Annex V, of the battery energy storage system.

(c)include evidence that the additional hazards have been successfully mitigated andtested for which state-of-the-art testing methodologies shall be used;(d)include mitigation instructions in case the identified hazards may occur, forexample a fire or explosion.
The technical documentation shall be reviewed if a battery is prepared for re-use,
prepared for repurpose, remanufactured or repurposed;

2.

The Commission 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.

5469/23
ANNEX

KR/am
TREE.1.A

116

EN

Chapter III
Labelling, marking and information requirements

Article 13
Labelling and marking of batteries
1.

From 36 months after the entry into force of this Regulation or 18 months after the entry
into force of the implementing act referred to in paragraph 7, whichever is later,
batteries shall be marked with a label containing the general information about laid down
in Part A of Annex VI.

2.

From either 36 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,
rechargeable portable batteries, LMT batteries and SLI batteries shall be marked with alabel containing information on their capacity.

5469/23
ANNEX

KR/am
TREE.1.A

117

EN

2a.

From either 36 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 informationon their minimum average duration when used in specific applications and with a label
indicating ‘non-rechargeable’.

3.

From 24 months after entry into force of the Regulation, all batteries shall be marked
with the symbol indicating ‘separate collection’ in accordance with the requirements 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
area of 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 0,47 × 0,47 cm,
the battery does not need to be marked but a symbol measuring at least 1 × 1 cm shall be
printed on the packaging.

5469/23
ANNEX

KR/am
TREE.1.A

118

EN

4.

All batteries containing more than 0,002 % cadmium or more than 0,004 % lead, shall bemarked with the chemical symbol for the metal concerned: 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.

5.

From 42 months after entry into force of the Regulation, all batteries shall be marked
with a QR code in accordance with Part C of Annex VI. The QR code shall provide accessto the following ▌:(a)for LMT batteries, industrial batteries with a capacity above 2kWh and electricvehicles batteries, the battery passport in accordance with Article 65.

(b)for other batteries by linking to the applicable information referred to inparagraphs 1 to 4 of this article, the declaration of conformity referred to in Article
18, the report referred to in Article 45e(3) and the information regarding theprevention and management of waste batteries laid down in Article 60(1) points (a)to (f).

▌▌▌▌▌

5469/23
ANNEX

KR/am
TREE.1.A

119

EN

(h)

for SLI batteries, ▌ the amount of cobalt, lead, lithium or nickel recovered fromwaste and present in active materials in the battery, in accordance with Article 8;▌▌This information shall be complete, up-to-date and accurate.
6.

Labels and QR code referred to in paragraphs 1 to 5 shall be printed or engraved visibly,
clearly legibly and indelibly on the battery. Where this is not possible or not warranted on
account of the nature and size of the battery, labels and QR code shall be affixed to the
packaging and to the documents accompanying the battery.

6a.

The Commission is empowered to adopt delegated acts in accordance with Article 73 toamend the Regulation to provide for alternative types of smart labels instead of or in
addition to the QR-code, in view of technical and scientific progress.

6b.

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.

5469/23
ANNEX

KR/am
TREE.1.A

120

EN

7.

The Commission shall, by 24 months after entry into force of the Regulation, 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 inaccordance with the examination procedure referred to in Article 74(3).

Article 14
Information on the state of health and expected lifetime of batteries using a battery management
system1.

As from 12 months after the date of entry into force, stationary battery energy storage
systems, LMT batteries and electric vehicle batteries that use a battery management
system shall contain in their battery management system up-to-date data on theparameters for determining the state of health and expected lifetime of batteries as laid
down in Annex VII.

2.

Read-only access to the values data of the parameters referred to in Annex VII throughthe battery management system referred to in paragraph 1 shall be provided, respecting
intellectual property rights of battery manufacturer, on a non-discriminatory basis to thelegal or natural person who has legally purchased the battery, including independent
operators or waste management operators, or any third party acting on their behalf at any
time for the purpose of:5469/23
ANNEX

KR/am
TREE.1.A

121

EN

(-a) making the battery available to independent aggregators or market participants
through energy storage;(a)evaluating the residual value or remaining lifetime of the battery and capability forfurther use, based on the estimation of the state of health;(b)facilitating the preparing for re-use, preparing for repurpose, or repurposing or
remanufacturing of the battery.

▌
2a.

The battery management system shall also include a software reset function, in caseeconomic operators carrying out preparing for reuse, preparing for repurpose,
repurposing or remanufacturing need to upload a different battery management system
software. If such software reset function is used, the original battery manufacturer shallnot be held liable for any breach to the safety or functionality of the battery that could be
attributed to a BMS software uploaded after that battery was placed on the market.

2b.

The Commission is empowered to adopt a delegated act in accordance with Article 73 toamend the parameters for determining the state of health and expected lifetime ofbatteries laid down in Annex VII in view of market developments and technical andscientific progress and to ensure synergies with parameters set in United Nations (UN)Global Technical Regulation (GTR 22) on In-vehicle Battery Durability for Electrified
Vehicles, with due regard to the intellectual property rights of battery manufacturer.

3.

The provisions of this Article shall apply in addition to those laid down in Union law ontype approval of vehicles.

5469/23
ANNEX

KR/am
TREE.1.A

122

EN

Chapter IV
Conformity of batteries

Article 15
Presumption of conformity of batteries
1.

For the purposes of compliance and verification of compliance of batteries with therequirements set out in Articles 9, 10, 12, 13 and 14 and 65a of this Regulation, test,
measurements and calculations shall be made using ▌ reliable, accurate and reproducible
methods, which take into account the generally recognised state-of-the-art methods, andwhose 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.

1a.

Harmonised standards shall aim to simulate real-life usage as far as possible while
maintaining standard tests.

2.

Batteries which are in conformity with harmonised standards or parts thereof thereferences of which have been published in the Official Journal of the European Union
shall be presumed to be in conformity with the requirements set out in Articles 9, 10, 12,
13, 14 and 65a to the extent that those requirements are covered by such harmonised
standards or parts thereof, and, if applicable, to the extent that the minimum values
established for those requirements are attained.

▌

5469/23
ANNEX

KR/am
TREE.1.A

123

EN

Article 16
Common specifications
1.

The Commission may adopt in exceptional cases, implementing acts laying downcommon specifications for the requirements set out in Articles 9, 10, 12, 13, 14, 65a or
tests referred to in Article 15(1), where:(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(b)

the Commission has requested one or more European standardisation
organisation to draft a harmonised standard for those requirements or tests; and(c)at least one of the following conditions has also been fulfilled:-

the request has not been accepted by any of the European standardisation
organisations; or-the Commission observes undue delays in the adoption of requested
harmonised standards ▌; or-a European standardisation organisation has delivered a standard that does
not entirely correspond with the request of the Commission.

▌

5469/23
ANNEX

KR/am
TREE.1.A124

EN

Those implementing acts shall be adopted in accordance with the examination procedurereferred to in Article 74(3).
In the early preparation of the draft implementing act establishing the common
specification, the Commission shall gather the views of relevant bodies or expert groups
established under relevant sectorial Union law, and shall duly consult all relevant
stakeholders. Based on that consultation, the Commission shall prepare the draft
implementing act.
2.

Batteries which are in conformity with common specifications or parts thereof shall be
presumed to be in conformity with the requirements set out in Articles 9, 10, 12, 13, 14
and 65a to the extent that those requirements are covered by those common specifications
or parts thereof, and, if applicable, to the extent that the minimum values established for
those requirements are attained.

3.

Where a harmonised standard is adopted by an European standardisation organisationand proposed to the Commission for the publication of its reference in the Official
Journal of the European Union, the Commission shall assess the harmonised standard
in accordance with Regulation 1025/2012. When reference of a harmonised standard is
published in the Official Journal of the European Union the Commission shall repeal
implementing acts referred to in paragraph 1, or parts thereof which cover the samerequirements or tests referred to in paragraph 1.

5469/23
ANNEX

KR/am
TREE.1.A

125

EN

Article 17
Conformity assessment procedures▌
2.

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

5469/23
ANNEX

KR/am
TREE.1.A

126

EN

3.

Conformity assessment of batteries with requirements set out in Articles 7 and 8 shall be
carried out in accordance with one of the 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(b)‘Module G – Conformity based on unit verification’ set out in Part C of Annex
VIII for batteries not manufactured in series.

▌
4a.

An additional conformity assessment of batteries that have been subject to preparing for
re-use, preparing for repurpose or repurposing, or remanufacturing, shall be carried out
in accordance 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 the official language or languages of the Member State where thenotified body carrying out the conformity assessment procedures ▌ is established, or in alanguage or languages accepted by that body.

5469/23
ANNEX

KR/am
TREE.1.A

127

EN

Article 18
EU declaration of conformity
1.

The EU declaration of conformity shall state that the fulfilment of the requirements set out
in Articles 6 to 10 and 12 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
updated, if necessary. It shall be translated into the language or languages required by theMember 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 shall be
provided in paper format.

3.

Where a battery ▌ 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.

5469/23
ANNEX

KR/am
TREE.1.A

128

EN

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
not possible 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.

3.

The CE marking shall be followed by the identification number of the notified body whererequired under Annex VIII. That identification number shall be affixed by the notified
body itself or, under its instructions, by the manufacturer or by its authorised
representative.

5469/23
ANNEX

KR/am
TREE.1.A

129

EN

4.

The CE marking and the identification number referred to in paragraph 3 may be followed,
if applicable, by any pictogram or other mark indicating a special risk, use or 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
improper use of that marking.

Chapter V
Notification of conformity assessment 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 in accordance with thisRegulation.

5469/23
ANNEX

KR/am
TREE.1.A

130

EN

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 ofconformity assessment bodies and the monitoring of notified bodies, including compliancewith Article 27.

2.

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

3.

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

4.

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

5469/23
ANNEX

KR/am
TREE.1.A

131

EN

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
and impartiality of its activities.

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 exchange information on notified bodies with the Commission as well aswith notifying authorities of other Member States and other relevant national authorities.

5.

A notifying authority shall have a sufficient number of competent personnel and sufficientfunding at its disposal for the proper performance of its tasks.

5469/23
ANNEX

KR/am
TREE.1.A

132

EN

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 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
State and have legal personality.

5469/23
ANNEX

KR/am
TREE.1.A

133

EN

3.

A conformity assessment body shall be a third-party body independent from any and allbusiness ties and from the batteries 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 thebatteries which they assess, nor the representative of any of those parties. This shall notpreclude the use of assessed batteries that are necessary for the operations of theconformity assessment body or the use of such batteries for personal purposes.
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 sistercompanies, subsidiaries or subcontractors do not affect the confidentiality, objectivity or
impartiality of its conformity assessment activities.

5469/23
ANNEX

KR/am
TREE.1.A

134

EN

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 withan interest in the results of those activities.

6.

A conformity assessment body shall be capable of carrying out all the conformity
assessment tasks assigned to it in Annex VIII, periodical audits in accordance with
Article 45a(1a) and third-party verification in accordance with Article 45d in relation towhich it has been notified, whether those tasks are carried out by the conformity
assessment body itself or on its behalf and under its responsibility.
At all times, and for each conformity assessment procedure set out in Annex VIII,
periodical audits in accordance with Article 45a(1a) and third-party verification inaccordance 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)▌ personnel with technical knowledge and sufficient and appropriate experience toperform the conformity assessment tasks;(b)descriptions of procedures in accordance with which conformity assessment iscarried out, ensuring the transparency and the ability of reproduction of those
procedures;

5469/23
ANNEX

KR/am
TREE.1.A

135

EN

(c)

appropriate policies and procedures to distinguish between activities that it carries
out as a notified body and other tasks;(d)procedures for the performance of conformity assessment tasks 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
nature of the production process.

A conformity assessment body shall have the means necessary to perform the technicaland administrative tasks connected with the conformity assessment activities in an
appropriate manner and shall have access to all necessary information, testing equipment
or facilities. This shall include establishment and the supervision of internal procedures,
general policies, codes of conduct or other internal rules, the assignment of personnel tospecific tasks and the conformity assessment decisions, without delegating them to a
subcontractor or a subsidiary.
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 has been notified;(b)satisfactory knowledge of the requirements of the assessments they carry out andadequate authority to carry out those assessments;

5469/23
ANNEX

KR/am
TREE.1.A

136

EN

(c)

appropriate knowledge and understanding of the requirements and obligations set
out in Articles 6 to 10 and 12 to 14 and in Articles 45a to 45e, of the applicableharmonised standards referred to in Article 15 and common specifications referred toin Article 16 and of the relevant provisions of Union harmonisation legislation and ofnational legislation;(d)the ability to draw up certificates, records and reports demonstrating that conformity
assessments have been carried out.

8.

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

9.

A conformity assessment body shall take out liability insurance unless liability is assumed
by the state in accordance with national law in the notifying Member State, or the Member
State itself is directly responsible for the conformity assessment.

5469/23
ANNEX

KR/am
TREE.1.A

137

EN

10.

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

11.

A conformity assessment body shall participate in, or ensure that its personnel responsible
for carrying out the conformity assessment tasks is informed of, the relevant
standardisation activities and the activities of the notified body coordination group
established pursuant to Article 37 and shall apply as general guidance the administrativedecisions and documents 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.

5469/23
ANNEX

KR/am
TREE.1.A

138

EN

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 meetsthe requirements 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 established3.

Activities may be subcontracted or carried out by a subsidiary only with the agreement of
the client. ▌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 andthe work carried out by them under Annex VIII and under Articles 45a(1a) and 45d.

5469/23
ANNEX

KR/am
TREE.1.A

139

EN

Article 28
Application for notification
1.

A conformity assessment body shall submit an application for notification to the notifying
authority of the Member State in which it is established.

2.

The application for notification shall be accompanied by a description of the conformity
assessment 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 batteries for which
the conformity assessment body claims to be competent, as well as by an accreditation
certificate, where applicable, issued by a national accreditation body attesting that theconformity assessment body fulfils the requirements laid down in Article 25.

3.

Where the conformity assessment 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 and regular monitoring of
its compliance with the requirements laid down in Article 25, including appropriate
documentation demonstrating that the conformity assessment body is independent in themeaning of paragraph 3 of that Article.

5469/23
ANNEX

KR/am
TREE.1.A

140

EN

Article 29
Notification procedure
1.

A notifying authority may notify only conformity assessment bodies 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 referred to in paragraph 1 using the electronic
notification tool developed and managed by the Commission.

3.

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

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 Stateswith documentary evidence which attests to the conformity assessment body's competence
and the arrangements in place to ensure that that body will be monitored regularly and willcontinue to satisfy the requirements laid down in Article 25.

5469/23
ANNEX

KR/am
TREE.1.A

141

EN

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 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.

5469/23
ANNEX

KR/am
TREE.1.A

142

EN

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
States accordingly.

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 ensurethat the 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, in particular by economic operators and other relevant stakeholders, regarding
the competence of a notified body or the continued fulfilment by a notified body of therequirements and responsibilities to which it is subject.

5469/23
ANNEX

KR/am
TREE.1.A

143

EN

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 thenotified 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 meetsthe requirements for its notification, it shall adopt an implementing act requiring thenotifying Member State to take the necessary corrective action, including withdrawal of
the notification if necessary. That implementing act shall be adopted in accordance withthe advisory procedure referred to in Article74(2).

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, Article 45a(1a) or in Article 45d, as
determined by its scope of notification.

5469/23
ANNEX

KR/am
TREE.1.A

144

EN

2.

A notified body shall carry out conformity assessments in a proportionate manner,
avoiding unnecessary burdens for economic operators, and taking due account of the sizeof an undertaking, the sector in which the undertaking operates, the structure of theundertaking, the degree of complexity of the battery to be assessed and the mass or serial
nature of the production process.
In so doing, the notified body shall nevertheless respect the degree of rigour and the levelof protection required for the compliance of the battery with this Regulation.

3.

Where a notified body finds that the applicable requirements set out in Articles 6 to 10, 12
to 14, 45b and 45c, in corresponding harmonised standards referred to in Article 15,
common specifications referred to in Article 16 or other technical specifications have notbeen met ▌ , it shall require the manufacturer or other relevant economic operator, to takeappropriate corrective action in view of a second and final conformity assessment, unlessthe deficiencies cannot be remedied, in which case it shall not issue the certificate ofconformity or approval decision.

4.

Where, in the course of the monitoring of conformity following the issue of ▌ an approval
decision, a notified body finds that there is no longer compliance, it shall require the
manufacturer or the economic operator referred to in Article 45a as applicable, to takeappropriate corrective action and shall suspend or withdraw ▌ the approval decision, if
necessary.

5469/23
ANNEX

KR/am
TREE.1.A

145

EN

5.

Where corrective action referred to in paragraph 4 is not taken or do not have the required
effect, the notified body shall restrict, suspend or withdraw the approval 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;(c)

any request for information which it has received from market surveillanceauthorities 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.

5469/23
ANNEX

KR/am
TREE.1.A

146

EN

2.

A notified body shall provide other bodies notified under this Regulation carrying out
similar conformity assessment activities covering the same batteries with relevant
information on issues relating to:(a)negative and, on request, positive conformity assessment;(b)

any suspension, or withdrawal or other restriction of an approval decision.

Article 36
Exchange of experience and good practice

The Commission shall provide for the organisation of exchange of experience and good practice
between the Member States’ ▌ authorities responsible for notification policy.

Article 37
Coordination of notified bodies

The Commission shall ensure that appropriate coordination and cooperation between bodies
notified under this Regulation are put in place and properly operated in the form of a sectoral
group ▌ of notified bodies.

5469/23
ANNEX

KR/am
TREE.1.A147

EN▌ Notified bodies shall participate in the work of that group ▌, directly or by means of designatedrepresentatives.

Chapter VI
Obligations of economic operators other than the obligations in Chapters 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 and safety information, provided underthose articles in a language or languages, which can be easily understood by endusers, as determined by the Member State in which the battery is to be placed on
the market or put into service; and(b)

5469/23
ANNEX

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

KR/am
TREE.1.A

148

EN

2.

Before placing a battery on the market or putting it into service, manufacturers shall draw
up the technical documentation referred to in Annex VIII ▌ and carry out the relevant
conformity assessment procedure, ▌ referred to, in ▌ Article 17, or have it carried out ▌.

3.

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

▌
5.

Manufacturers shall keep the technical documentation referred to in Annex VIII and the
EU declaration of conformity at the disposal of ▌ national authorities for 10 years after thebattery 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. In doing so, manufacturer shalladequately take into account changes in the production process or in battery design orcharacteristics and changes in the harmonised standards referred to in article 15, common
specifications referred to in Article 16 or other technical specifications by reference towhich the conformity of the battery is declared or by application of which its conformity isverified ▌.

5469/23
ANNEX

KR/am
TREE.1.A

149

EN

7.

Manufacturers shall ensure that 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, therequired information shall be provided on the packaging or in a document
accompanying the battery.

8.

Manufacturers shall indicate on the battery their name, registered trade name or registeredtrade mark, the postal address, indicating a single contact point, and web address and email address, where one exist. Where that is not possible, the required information shallbe provided on the packaging or in a document accompanying the battery. The 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 thebattery is to be placed on the market or put into service, and shall be clear, understandable
and legible.

▌
10.

Manufacturers shall provide access to the values of the parameters referred to in Annex
VII in the battery management system referred to in paragraph 1 of Article 14 ▌, inaccordance with the requirements laid down in that Article.

5469/23
ANNEX

KR/am
TREE.1.A

150

EN

11.

Manufacturers who consider or have reason to believe that a battery which they haveplaced on the market or put into service is not in conformity with one or more of theapplicable requirements set out in Articles 6 to 10 or 12 to 14 shall immediately take thecorrective 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 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.

12.

Manufacturers shall, further to a reasoned request from a national authority, provide that
authority with all the information and ▌ documentation necessary to demonstrate theconformity of the battery with the requirements set out in Articles 6 to 10 and 12 to 14, ina language or languages, which can be easily understood by that authority. That
information and ▌ documentation shall be provided in electronic format and, on request,
in paper format. Manufacturers shall cooperate with the national authority, at its request,
on any action taken to eliminate the risks posed by a battery which they have placed on themarket or put into service.

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.

5469/23
ANNEX

KR/am
TREE.1.A

151

EN

Article 38a
Obligations of suppliers of battery cells and battery modules

The supplier of battery cells and battery modules shall provide the information anddocumentation necessary to comply with the requirements of this regulation when supplying
battery cells or modules to the manufacturer. The information shall be provided free of charge.

▌

Article 40
Obligations of authorised representatives
1.

A manufacturer may, by a written mandate, designate an authorised representative.

▌▌The authorised representative’s mandate ▌ shall be valid only when accepted in writingby the authorised representative ▌.

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
from the manufacturer. The authorised representative shall have the appropriate means toperform the tasks specified in the mandate. The authorised representative shall provide a
copy of the mandate to the market surveillance authority, upon request, in a Union
language determined by the national authority. The mandate shall allow the authorised
representative to do at least the following:▌

5469/23
ANNEX

KR/am
TREE.1.A

152

EN

(b)

keep the EU declaration of conformity, the technical documentation and theverification 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 disposal ofnational authorities for 10 years after the battery has been placed on the market or
put into service;(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 thebattery. That information and 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 toeliminate the risks posed by batteries covered by the authorised representative's
mandate;▌▌
4a.

Where the battery presents a risk, authorised representatives shall immediately informthe market surveillance authorities thereof.

5469/23
ANNEX

KR/am
TREE.1.A

153

EN

Article 41
Obligations of importers
1.

Importers shall only place on the market ▌ a battery which is compliant with theapplicable requirements of Articles 6 to 10 and 12 to 14.

2.

Before placing a battery on the market ▌, 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;(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 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 madeavailable on the market; and5469/23
ANNEX

KR/am
TREE.1.A

154

EN

(d)

the manufacturer has complied with the requirements set out in Article 38(7a) and(8).

Where an importer considers or has reason to believe that a battery is not in conformity
with the applicable requirements set out in Articles 6 to 10 and 12 to 14, the importer shallnot place the battery on the market ▌ until it has been brought into conformity.
Furthermore, where the battery presents a risk, the importer shall inform the manufacturer
and the market surveillance 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, ▌ the postal address, indicating a single contact point, and web address and e-mailaddress, where one exists. Where that is not possible, the required information shall be
provided on the packaging or in a document accompanying the battery. The contact details
shall be 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 made available on themarket, and shall be clear, understandable and 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
Articles 6 to 10 and 12 to 14.

5469/23
ANNEX

KR/am
TREE.1.A

155

EN

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 of marketed
batteries, investigate, and, if necessary, keep a register of complaints, of non-conforming
batteries and battery recalls, and shall keep distributors informed of such monitoring.

7.

Importers who consider or have reason to believe that a battery, which they have placed on
the market ▌, is not in conformity with the applicable requirements set out in Articles 6 to
10 and 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 the 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.

8.

Importers shall, for 10 years after the battery has been placed on the market, keep a copyof the EU declaration of conformity at the disposal of the national authorities and ensurethat the technical documentation referred to in Annex VIII is made available to thoseauthorities, upon request.

9.

Importers shall, further to a reasoned request from a national authority, provide that
authority with all the information and ▌ documentation necessary to demonstrate theconformity of a battery with the applicable requirements set out in Articles 6 to 10 and 12
to 14, in a language or languages, which can be easily understood by that authority. That
information and the ▌ documentation shall be provided in electronic 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 by batteries, which they haveplaced on the market ▌.

5469/23
ANNEX

KR/am
TREE.1.A

156

EN

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 producer is registered in the register of producers referred to in 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 language or languages, which can be easily understood by endusers, as determined by the Member State in which the battery is to be madeavailable on the market or put into service; and(d)the manufacturer and the importer have complied with the requirements set out in
Article 38(7a) and (8) and Article 41(3) ▌ respectively.

3.

Where a distributor considers or has reason to believe that a battery is not in conformity
with any of the applicable requirements set out in Articles 6 to 10 or 12 to 14, thedistributor 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 ▌ market surveillance authorities.

5469/23
ANNEX

KR/am
TREE.1.A

157

EN

4.

Distributors shall ensure that, while a battery is under their responsibility, storage ortransport conditions do not jeopardise its compliance with the applicable requirements set
out in Articles 6 to 10 and 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 Articles 6 to 10 or 12 to 14, shall make sure that the corrective action necessary tobring that battery into conformity, to withdraw it or recall it, as appropriate, are taken.
Furthermore, where the battery presents a risk, distributors shall immediately inform themarket 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 non-complianceand of any corrective action taken.

6.

Distributors shall, further to a reasoned request from a national authority provide that
authority with all the information and the ▌ documentation necessary to demonstrate theconformity of a battery with the applicable requirements set out in Articles 6 to 10 and 12
to 14 in a language or languages, which can be easily understood by that authority. That
information and the ▌ documentation shall be provided in electronic 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 by batteries that they have madeavailable on the market.

5469/23
ANNEX

KR/am
TREE.1.A

158

EN

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 Articles 6 to 10 and 12 to 14. Without prejudice to the obligations of
the relevant economic operators set out in Chapter VI, fulfilment service providers shall in
addition to the requirement referred to in the first subparagraph perform the tasks set out in
Article 40(4), point (d), and Article 40(4a).

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
38, where any of the following applies:(a)a battery is placed on the market or put into service under that importer’s or distributor’s
own name or trademark; or(b)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; or5469/23
ANNEX

KR/am
TREE.1.A

159

EN

(c)

the purpose of a battery already placed on the market or put into service is modified by thatimporter or distributor.

Article 44a
Obligations of economic operators placing on the market batteries that have been subject topreparing for re-use, preparing for repurpose, 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 of 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, complies with the requirements of thisRegulation, any relevant product, environmental, human health protection andtransport safety requirements in other Union legislation, taking into account that, as aresult of those operations, that battery may fall under a different battery category. For
remanufacturing operations, such economic operators shall provide, upon request,
market surveillance authorities with the documentation necessary to demonstrate thatthe remanufactured battery conforms with the definition in Article 2(26(a)).

5469/23
ANNEX

KR/am
TREE.1.A

160

EN

Article 45
Identification of economic operators
1.

Economic operators shall, upon a request of a ▌ national authority, provide informationon the following to the market surveillance authorities:(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 wellas the quantity and exact models.

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.

5469/23
ANNEX

KR/am
TREE.1.A

161

EN

Chapter VI.A
Obligations of economic operators on due diligence policies

Article 45a▌ Due diligence policies
1.

From 24 months after ▌ entry into force of the Regulation, the economic operator thatplaces batteries on the market, shall comply with the due diligence obligations set out inparagraphs 1a and 1b and Articles 45b, 45c and 45e(1) and shall, to that end, set up andimplement due diligence policies.
This Chapter shall not apply to economic operators when placing on the market or
putting into service batteries that have been subject to preparing for re-use, preparing
for repurpose or repurposing, or remanufacturing, if such batteries had already beenplaced on the market or put into service before undergoing such operations.
This Chapter shall not apply to economic operators that had a net turnover of less than
EUR 40 million in the financial year preceding the last financial year, and that are notpart of a group, consisting of parent and subsidiary undertakings, which, on aconsolidated basis, exceeds the limit of EUR 40 million.

5469/23
ANNEX

KR/am
TREE.1.A

162

EN

The provisions of this Chapter shall apply without prejudice to those laid down in Union
law on due diligence obligations in relation to minerals and metals originating fromconflict-affected and high-risk areas.
1a.

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

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 battery due diligence policies has been placed on themarket.

1c.

Without prejudice to the individual responsibility of economic operators for their due
diligence processes, the requirements set out in Article 45a to 45c and 45e may be
implemented in collaboration with other actors, including through due diligenceschemes, recognised under this Regulation.

5469/23
ANNEX

KR/am
TREE.1.A

163

EN

2.

By 18 months after entry into force of the Regulation, the Commission shall publish
guidelines 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.

3.

Member States may, in order to provide information and support to economic operatorsin fulfilling the due diligence obligations resulting from this Regulation, set up andoperate individually or jointly dedicated websites, platforms or portals. The Commission
may complement Member States’ support measures building on existing Union action to
support due diligence in the Union and in third countries and may devise new measures
to help companies fulfil their obligations.

3a.

The Commission shall regularly make an assessment on the need to update the list of
raw materials and risk categories set out in Annex X.
The Commission is 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 andchemistries and amendments to Regulation (EU) 2017/821;(aa) amend the list of international instruments in Annex X in accordance with
developments within the relevant international fora concerning standards related
to due diligence policies, protection of the environment and of social rights;

5469/23
ANNEX

KR/am
TREE.1.A

164

EN

(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 amend
the list of internationally recognised due diligence instruments set out in Annex X,
point 3a;Article 45b
Economic operator's management system▌

The economic operator referred to in Article 45a shall:(a)adopt, and clearly communicate to suppliers and the public, a company due diligencepolicy for batteries, concerning raw materials indicated in Annex X, point 1 andassociated social and environmental risk categories indicated in Annex X, point 2;(b)incorporate in its due diligence policy standards consistent with the standards set out
in internationally recognised due diligence Guidance standards listed in Annex X,
point 3a;(c)

structure its respective internal management systems to support ▌ due diligencepolicy by assigning responsibility to the top management level of the economic
operator to oversee the due diligence policy as well as maintain records of thosesystems for a minimum of ten years;

5469/23
ANNEX

KR/am
TREE.1.A

165

EN

(d)

establish and operate a system of controls and transparency over the value chain,including a chain of custody or traceability system, identifying upstream actors in the
supply chain.
Such a system shall be supported by documentation that provides at least thefollowing 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 as referred to in Article 45c(3b);5469/23
ANNEX

KR/am
TREE.1.A

166

EN

(vi) if the reports referred to in point (v) are not available: where the raw
material originates from a conflict-affected and high-risk areas, additional
information in accordance with the specific recommendations for upstream
economic operators, as set out in the OECD Due Diligence Guidance, where
relevant, such as the mine of origin, locations where raw materials areconsolidated, traded and processed, and taxes, fees and royalties paid.
Third party verification reports referred to in point (v) shall be made available to thedownstream operators of the supply chain.
(e)incorporate its due diligence policy into contracts and agreements with suppliers,
including their risk management measures;(f)establish a grievance mechanism, including an early-warning risk-awareness system
and a remediation mechanism, or provide for such mechanisms throughcollaborative agreements with other economic operators or organisations, or by
facilitating recourse to an external expert or body, such as an ombudsman; suchmechanisms shall be based on the UN Guiding Principles on Business and Human
Rights.

5469/23
ANNEX

KR/am
TREE.1.A

167

EN

Article 45c
Risk management plan3.

The economic operator referred to in Article 45a shall:(a)identify and assess risks of adverse impacts in its supply chain, associated to the risk
categories listed in Annex X, point 2 as part of its management plan, including on
the basis of the information provided pursuant to Article 45b and any other relevant
information that is either publicly available or provided by stakeholders, against thestandards of its due diligence policy;(b)

design and implement a strategy to respond to the identified risks ▌ so as to prevent,mitigate and otherwise address adverse impacts by:(i)reporting findings of the ▌ risk assessment to the top management level of theeconomic operator assigned in accordance with point (c) of Article 45b;(ii)

adopting risk management measures consistent with the internationallyrecognised due diligence standards listed in Annex X, point 3a, considering
their ability to influence, and where necessary take steps to exert pressure on
suppliers and their subsidiaries and subcontractors who can most effectively
prevent or mitigate the identified risk;

5469/23
ANNEX

KR/am
TREE.1.A

168

EN

(iii) designing and implementing the risk management plan, monitoring andtracking performance of risk mitigation efforts, reporting back to the top
management level of the economic operator assigned in accordance withpoint (c) of Article 45b, and considering suspending or discontinuingengagement with a supplier or its subsidiary or subcontractor 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.
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 and withthe stakeholders concerned, including local and national government authorities,
international or civil society organisations and affected third parties such as local
communities, before establishing a strategy for measurable risk mitigation in the risk
management plan referred to in point (c)(iii) of paragraph 3.

5469/23
ANNEX

KR/am
TREE.1.A

169

EN

The economic operator referred to in Article 45a shall identify and assess the probability ofadverse impacts in the risk categories listed in Annex X, point 2, in its supply chain. The
economic operator shall identify and assess the risks in its supply chain as part of its
own risk management systems. In such cases, the economic operator shall carry out
third party verifications of their own due diligence chains via a notified body inaccordance with Article 45d. The economic operator may make use of available reportsby third-party verification done by a notified body concerning due diligence policies
implemented in accordance with the relevant requirements of this Chapter, including
those in Article 45b(d)(vi), by suppliers in that chain, and, by assessing, as appropriate,its due diligence practices. Those verification reports shall be in accordance with Article
45d.
The economic operator referred to in Article 45a shall report the findings of the risk
assessment referred to in paragraph 3b to its top management level assigned inaccordance with point (c) of Article 45b, and a strategy, referred to in point (c) of
paragraph 3, shall be implemented.

5469/23
ANNEX

KR/am
TREE.1.A

170

EN

Article 45d
Third-party verification of battery 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 ▌ due diligence requirements in accordance with Articles 45b,
45c and 45e(1);(b)

have as its objective the determination of conformity of the ▌ due diligence practicesof economic operators placing batteries on the market with Articles 45b, 45c and45e(1);(ba) where relevant, carry out checks on undertakings and gather information fromstakeholders;(c)identify areas for the potential improvement for the economic operators that placebatteries on the market on how to improve their ▌ due diligence practices;(d)

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

4a.

The notified body shall issue a verification report that records the activities undertakenin accordance with paragraph 4 and their outcomes. Where the due diligence policies ofthe 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 an approval decision.

5469/23
ANNEX

KR/am
TREE.1.A

171

EN

Article 45eDisclosure of information on due diligence policies
5.

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 and 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 a ▌due diligence scheme recognised by the Commission in accordance with Article 45f.

6.

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 ▌due diligence policies with due regard for business confidentiality and other competitive
concerns.
The economic operator referred to in Article 45a shall on an annual basis review and makepublicly available, including on the internet, report on its ▌ due diligence policies. That
report shall contain, in a manner that is easily comprehensible for end-users and clearly
identifies the batteries concerned, the data and information on steps taken by that
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 third-party
verifications carried out in accordance with Article 45d, including the name of the notified
body, with due regard for business confidentiality and other competitive concerns. It shallalso elaborate, where relevant, on access to information, public participation in decisionmaking and access to justice in environmental matters in relation the sourcing,processing and trading of the raw materials.

5469/23
ANNEX

KR/am
TREE.1.A

172

EN

Where the economic operator referred to in Article 45a can demonstrate that the raw
materials listed in Annex X, point 1, that are present in the battery are derived ▌ fromrecycled sources, it shall publicly disclose its conclusions in reasonable detail, with due
regard for business confidentiality and other competitive concerns.

Article 45f
Recognition of 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 ▌ due diligence schemes recognised by the Commission. The
Commission shall be 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 paragraph 1,
the Commission determines that the ▌ due diligence scheme referred to in paragraph 1,
enables that economic operators to fulfil the requirements set out in Articles 45a to 45c
and 45e 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
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 theexamination procedure referred to in Article 74(3).

5469/23
ANNEX

KR/am
TREE.1.A

173

EN

When making a determination on the recognition of a due diligence scheme, theCommission shall take into account the diverse industry practices covered by that schemeand shall have regard to the risk-based approach and method used by that scheme toidentify risks.
3.

The Commission is empowered to adopt delegated acts in accordance with Article 73
setting out the criteria and the methodology according to which the Commission shalldetermine, in accordance with paragraph 2, whether ▌ due diligence schemes ensure that
economic operators fulfil the requirements set out in Articles 45a to 45c and 45e of thisRegulation. The Commission shall also, as appropriate, periodically verify that recognised▌ 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 ▌ due diligence scheme for which the recognition of equivalence was
granted in accordance with paragraph 2 shall inform the Commission without delay of any
changes or updates made to that scheme. The Commission shall assess whether suchchanges or updates affect the basis for the recognition of equivalence of that scheme andtake 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 therequirements set out in Article 45a to 45c and 45e of this Regulation, the Commission
shall examine, in consultation with the owner of the recognised scheme, whether thosecases indicate deficiencies in the scheme.

5469/23
ANNEX

KR/am
TREE.1.A

174

EN

6.

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

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 45a(1)implementing a scheme to comply with the requirements set out in Articles 45a to 45c and45e 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 of equivalenceof the scheme. Those implementing acts shall be adopted in accordance with theexamination procedure referred to in Article 74(3).

8.

The Commission shall establish and keep up-to-date a register of recognised ▌ due
diligence schemes. That register shall be made publicly available on the internet.

5469/23
ANNEX

KR/am
TREE.1.A

175

ENChapter VII▌Management of waste batteries

Article 45g
Competent authority
1.

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

1a.

Each Member State may also designate one contact point, among the competentauthorities referred to in the first subparagraph, for the purpose of communicating with
the Commission pursuant to paragraph 3.

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 inaccordance with Article 47b;

5469/23
ANNEX

KR/am
TREE.1.A

176

EN

(c)

the oversight of implementation of extended producer responsibility obligations inaccordance with Article 47a;

3.

(d)

the collection of data on batteries and waste 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 delayof any changes to the names or addresses of those competent authorities.

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. ▌2.

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

5469/23
ANNEX

KR/am
TREE.1.A

177

EN

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 vehicles, on the market of a Member State, if they or, in caseof authorisation, their authorised representatives for the EPR, are not registered in such
Member State.
2b.

The application for registration ▌ shall include the following information ▌:(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
and number, country, telephone ▌, if any, web address and e-mail address, indicating
a single contact point;(b)national identification code of the producer, including its trade register number or
equivalent official registration number and the European or national tax
identification number;▌

5469/23
ANNEX

KR/am
TREE.1.A

178

EN

(d)

the category, or categories, of batteries that the producer intends to make available
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
SLI batteries, and their type;▌(f)

information on how the producer meets its responsibilities set out in Article 47 andthe requirements under Articles 48, 48a and 49 respectively:(i)for portable batteries or LMT batteries, the requirements of this point (d) shallbe met by providing:-information in written form on the measures put in place 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 Articles 48(1) or 48a(1) with regard to the amountof batteries the producer makes available on the market in the Member
State and the system to ensure that the data reported to the competentauthorities is reliable;

5469/23
ANNEX

KR/am
TREE.1.A

179

EN

-

where applicable, the name and contact details, including postal code andplace, street and number, country, telephone, web address and e-mailaddress 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 47a(2), including the trade register number or an equivalent
official registration number and the European or national tax
identification number of the producer responsibility organisation, and therepresented producer’s mandate;(ii)

for SLI batteries, industrial batteries and electric vehicle batteries, therequirements of this point (f) shall be met by providing:-information in written form on the measures put in place by 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 makes available on the market in the Member State and thesystem to ensure that the data reported to the competent authorities isreliable;

5469/23
ANNEX

KR/am
TREE.1.A

180

EN

-

where applicable, the name and contact details, including postal codeand place, street and number, country, telephone, web address and email 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, including the trade register number or an equivalent
official registration number and the European or national tax
identification number of the producer responsibility organisation, and therepresented producer’s mandate.

▌(g)a statement by the producer or, where applicable, producer’s authorised
representative or the producer responsibility organisation appointed in accordancewith Article 47a(1), stating that the information provided is true.

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 orcollective 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.

5469/23
ANNEX

KR/am
TREE.1.A

181

EN

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 periodof twelve weeks from the moment that all the information laid down in 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 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.

5469/23
ANNEX

KR/am
TREE.1.A

182

EN

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.

4.

The producer, or, where applicable, producer’s authorised representative or the producer
responsibility organisation appointed ▌ on behalf of the producers it represents shallwithout undue delay notify the competent authority of any changes to the information
contained in the 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 toin the registration in accordance with paragraph 2b(d). A producer shall be excluded fromthe register if it has ceased to exist.

4a.

Where the information in the register of producers is not publicly accessible, Member
States shall ensure that providers of online platforms allowing consumers to conclude
distance contracts with producers are granted access, free of charge, to the informationin the register.

5469/23
ANNEX

KR/am
TREE.1.A

183

EN

Article 47
Extended Producer Responsibility
1.

Producers of batteries shall have extended producer responsibility for batteries that they
make available on the market for the first time within the territory of a Member State thatshall be in compliance with the requirements of Article 8 and Article 8a of Directive
2008/98/EC and of this Chapter.

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.

5469/23
ANNEX

KR/am
TREE.1.A

184

EN

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)costs of separate collection of waste batteries and their subsequent transport andtreatment, taking into account any revenues from preparing for re-use or
preparing for repurpose or from the value of secondary raw material from recycled
waste batteries;▌(b)▌ costs of carrying out compositional survey of collected mixed municipal waste inaccordance with Articles 48(12) and 48a(6);(c)

costs of providing information on prevention and management of waste batteries inaccordance with Article 60;▌(d)costs of data gathering and reporting to the competent authorities in accordancewith Article 61.

5469/23
ANNEX

KR/am
TREE.1.A

185

EN

5.

In case of making available batteries that have been subject to preparing for re-use,
preparing for repurpose, repurposing or remanufacturing, both the producers of theoriginal batteries and the producers of batteries that are placed on the market as a resultof 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 thecosts referred to in paragraph 4(a), (c) and (d). Where a battery, in accordance withparagraph 2, 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 aresult of such mechanism. The Commission shall facilitate the exchange of informationand sharing of best practices among Member States on such cost sharing mechanisms.
Article 47a
Producer Responsibility Organisation

1.

Producers may entrust a producer responsibility organisation authorised in accordance with
Article 47b to carry out the extended producer responsibility obligations on their behalf.
Member States may adopt measures to make the entrustment of a producer responsibility
organisation mandatory. Such measures shall be justified on the basis of the specificcharacteristics of a certain category of batteries placed on the market and related waste
management characteristics.

▌

5469/23
ANNEX

KR/am
TREE.1.A

186

EN

2.

In the case of a collective 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
category and battery chemistry and, ▌ taking into account as appropriate therechargeability, the level of recycled content in the manufacture of batteries and thefact that the batteries were subject to preparing for reuse, preparing for repurpose,
repurposing or remanufacturing, and their carbon footprint;(b)

are adjusted to take account of any revenues by the producer responsibility
organisations from preparing for reuse or preparing for repurposing or from thevalue of secondary raw materials from recycled waste batteries;(c)ensure equal treatment of producers regardless of their origin or size, without placing▌ disproportionate ▌ burden on producers, including small and medium sizedenterprises, of small quantities of batteries.

▌

5469/23
ANNEX

KR/am
TREE.1.A

187

EN

3.

▌
▌
Where, in the territory of a Member State, multiple producer responsibility organisations
are authorised to fulfil extended producer responsibility obligations on behalf of producers,
they shall ▌ ensure a coverage across the whole territory of the Member State of theactivities in accordance with Articles 48(1), 48a(1) and 49(1). Member States shall entrust
the competent authority or appoint an independent third party to oversee that producer
responsibility organisations fulfil their obligation in coordinated manner.

▌
4.

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

5.

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 ▌ on theirwebsites at least each year, subject to commercial and industrial confidentiality, theinformation on the rate of separate collection of waste batteries, recycling efficiencies
and levels of recovered materials achieved by the producers which entrusted the
producer responsibility organisation.
▌▌▌▌

5469/23
ANNEX

KR/am
TREE.1.A

188

EN

6.

In addition to information referred to in paragraph 5, producer responsibility
organisations shall make publicly available information on the selection procedure forwaste management operators referred to in Article 47a(8).

▌7.

Where necessary to avoid distortion of the internal market, the Commission is empoweredto adopt an implementing act laying down criteria for the application of paragraph 2(a).
That implementing act cannot concern the precise determination of the level of thecontributions and shall be adopted in accordance with the examination procedure referred
to in Article 74(3).

▌8.

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.

5469/23
ANNEX

KR/am
TREE.1.A

189

EN

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.

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
Directive 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 toallow attaining and maintaining durably at least the collection target referred to in
Article 48(4) and Article 48a(3), respectively.

5469/23
ANNEX

KR/am
TREE.1.A

190

EN

3.

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.

4.

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

5469/23
ANNEX

KR/am
TREE.1.A

191

EN

5.

The self-control mechanism provided in point (d) of paragraph 3 of Article 8a of
Directive 2008/98/EC shall be carried out regularly, and at least every three years, andupon request by the competent authority, in order to verify that the provisions in point(d) of paragraph 3 of Article 8a of Directive 2008/98/EC are complied with and theconditions for authorisation referred to in paragraph 2 of this Article continue to be met.
The producer or the producer responsibility organisation shall, upon request, present the
self-control report and, where necessary, the draft corrective action plan to thecompetent authority. Without prejudice to the competencies under paragraph 6 of this
Article, the competent authority may make observations on the self-control report and on
the draft corrective action plan, and, if any, shall communicate them to the producer or
the producer responsibility organisation. The producer or the producer responsibility
organisation shall draw up and implement the corrective action plan in accordance withthose observations.

6.

The competent authority 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.

5469/23
ANNEX

KR/am
TREE.1.A

192

EN

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 be provided by the organisation itself and may have the form of a public fund,financed by producers’ fees, for which the Member State running the organisation is
jointly and severally liable.

Article 48
Collection of waste portable batteries
1.

Producers or, where appointed in accordance with Article 47a(1), producer responsibility
organisations ▌, shall ensure the separate collection of all waste portable batteries,
regardless of their nature, chemical composition, condition, brand or origin, in the territoryof a 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;

5469/23
ANNEX

KR/am
TREE.1.A

193

EN

(b)

offer the collection of waste portable batteries, free of charge, to the entities referred
to in 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”);(c)provide for the necessary practical arrangements for collection and transport,
including the provision, free of charge, of suitable collection and transport containers
meeting the requirements of Directive 2008/68/EC58 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, with a frequency that is proportionate to
the volume and hazardous nature of the waste portable batteries;(e)ensure that the waste portable batteries collected from the connected collection points
and removed from waste electrical and electronic equipment are subsequently
subject to treatment ▌ in a permitted facility by a waste management operator inaccordance with Article 56.

58

Directive 2008/68/EC of the European Parliament and of the Council of 24 September
2008 on the inland transport of dangerous goods (OJ L 260, 30.9.2008, p. 13)

5469/23
ANNEX

KR/am
TREE.1.A

194

EN

2.

Producers or, where appointed in accordance with Article 47a(1), producer responsibility
organisations ▌, shall ensure that the take-back and collection system for waste portablebatteries:(a)consists of collection points provided by them in cooperation with one or more of
the following:(i)distributors in accordance with Article 50;(ii)▌ end-of-life vehicle treatment ▌ facilities in accordance with Article 52;(iii) public authorities or third parties carrying out waste management on theirbehalf in accordance with Article 53;(iv) voluntary collection points in accordance with Article 54;(v)

waste electrical and electronic equipment treatment facilities in accordancewith 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,
not being limited to areas where the collection and subsequent management of waste
portable batteries is profitable.

5469/23
ANNEX

KR/am
TREE.1.A

195

EN

3.

End users shall be able to discard waste portable batteries at collection points referred toin paragraph 2 and shall not be charged or be obliged to buy a new battery or to havebought the battery from the producers who set up the collection points.

4.

Producers or, where appointed in accordance with Article 47a(1), producer responsibility
organisations ▌, shall attain, and maintain durably, at least the following collection targetsof waste portable batteries ▌, 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;(b)

63 % by 31 December 2027;(c)

73% by 31 December 2030.

Producers or, where appointed in accordance with Article 47a(1), producer responsibility
organisations ▌ , shall calculate the collection rate referred to in this paragraph inaccordance 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.

Member State may adopt measures to require that the collection points mentioned inparagraph 2 may collect waste portable batteries only if they have concluded a contract
with the producers or, where appointed in accordance with Article 47a(1), producer
responsibility organisations.

5469/23
ANNEX

KR/am
TREE.1.A

196

EN

▌
▌
▌
▌
▌
7.

Every five years the Member States shall carry out a compositional survey ▌of 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 1
January of the year 24 months after the date of entry into force of this Regulation. On
the basis 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) ▌.

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 maintaining equivalent ambition and timelines.

5469/23
ANNEX

KR/am
TREE.1.A

197

EN

Article 48aCollection of waste LMT batteries
1.

Producers or, where appointed in accordance with Article 47a(1), producer
responsibility organisations, shall ensure the collection of all LMT batteries, regardlessof their nature, chemical composition, 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 shall:(a)establish waste LMT battery take back and collection systems, which include
collection points;(b)offer the collection of waste LMT batteries, free of charge, to the entities referred
to in paragraph 2(a) and provide for the collection of waste LMT batteries from all
entities that have made use of that offer ("connected collection points");(c)provide for the necessary practical arrangements for collection and transport,
including the provision, free of charge, of suitable collection and transport
containers meeting the requirements of Directive 2008/68/EC59 to the connectedcollection points;

59

Directive 2008/68/EC of the European Parliament and of the Council of 24 September
2008 on the inland transport of dangerous goods (OJ L 260, 30.9.2008, p. 13)

5469/23
ANNEX

KR/am
TREE.1.A

198

EN

(d)

ensure the collection, free of charge, of the waste LMT 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 LMT batteries usually
collected through those collection points;(e)ensure that the waste LMT batteries collected from the connected collection points
and removed from waste electrical and electronic equipment are subsequently
subject to treatment in a permitted facility by a waste management operator inaccordance 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 ofconnected take back and collection points system for waste LMT battery :(a)consists of collection points provided by them in cooperation with one or more of
the following:(i)distributors in accordance with Article 50;(ii)

end-of-life vehicle treatment facilities in accordance with Article 52;(iii) public authorities, or third parties carrying out waste management on theirbehalf, in accordance with Article 53;5469/23
ANNEX

KR/am
TREE.1.A

199

EN

(iv) voluntary collection points in accordance with Article 54;(v)

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 LMT batteries, accessibility and vicinity to end-users, notbeing limited to areas where the collection and subsequent management of waste
LMT batteries is profitable.

3.

End -users, when discarding waste LMT batteries at collection points referred to inparagraph 2, shall not be charged or be obliged to buy a new battery or to have bought
the battery from the producers who set up the collection points.
Producers or, where appointed in accordance with Article 47a(2), producer
responsibility organisations, shall attain, and maintain durably, at least the following
collection targets of waste LMT batteries:
51% by 31 December 2028
61% by 31 December 2031
Producers or producer responsibility organisations shall calculate the collection rate
referred to in this paragraph in accordance with Annex XI.

5469/23
ANNEX

KR/am
TREE.1.A

200

EN

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 forcollection and temporary storage of such waste batteries at the collection points
shall be adequate 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 inaccordance with Article 56.

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.

5469/23
ANNEX

KR/am
TREE.1.A

201

EN

6.

Member State may adopt measures to require that the collection points mentioned inparagraph 2 may collect waste LMT batteries only if they have concluded a contract withthe producers or, where appointed in accordance with Article 47a(1), producer
responsibility organisations.

7.

In the compositional survey carried out in accordance with Article 48(7) Member Statesshall determine the share of waste LMT batteries in the collected mixed municipal waste.
On the basis of the information obtained, the competent authorities may require that the
producers of LMT 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).

8.

Due to the expected development of the market and increase of the estimated lifetime of
LMT batteries, in order to better capture the actual volume of waste LMT batteries
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 toamend the methodology to calculate the collection rate of waste LMT batteries laid downin Annex XI and amend the target laid down in paragraph 3, accordingly.

5469/23
ANNEX

KR/am
TREE.1.A202

EN

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

Producers of SLI batteries, industrial batteries and electric vehicle batteries or, whereappointed in accordance with Article 47a(1), producer responsibility organisations, shalltake back, free of charge and without an obligation on the end -user to buy a new battery,
nor to have bought the battery from them, and collect all waste SLI batteries, industrial
batteries and electric vehicle batteries regardless of their nature, chemical composition,
condition, brand, or origin of the respective category that they have made available on themarket for the first time in the territory of that Member State. For that purpose they shallaccept to take back waste SLI 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 SLI batteries, industrial batteries and electric vehicle batteries inaccordance with Article 50(1);(aa) operators carrying out re-use, remanufacturing or repurposing of SLI batteries,
industrial batteries and electric vehicle batteries;(b)

waste electrical and electronic equipment and end-of-life vehicle treatment ▌facilities referred to in Article 52 for the waste SLI batteries, industrial batteries andelectric vehicle batteries arising from their operations;

5469/23
ANNEX

KR/am
TREE.1.A

203

EN

(c)

public authorities or third parties carrying out waste management on their behalf inaccordance 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 only if they have a contract with the producers or theirproducer responsibility organisations.
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 shallnot result in any costs related to the dismantling and collection of those waste batteries
being borne by those users.
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 SLI 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 SLI batteries, industrial batteries and electric vehicle
batteries is most profitable.

5469/23
ANNEX

KR/am
TREE.1.A

204

EN

3.

Producers of SLI batteries, industrial batteries and electric vehicle batteries or, whereappointed in accordance with Article 47a(1), producer responsibility organisations, shall:(a)provide the take back and collection systems referred to in paragraph 1 with suitablecollection infrastructure for the separate collection of waste SLI batteries, industrial
batteries and electric vehicle batteries meeting the applicable safety requirements andcover the necessary costs incurred by those take back and collection systems in
relation to the take back activities. The containers for collection and temporarystorage of such waste batteries at the take back and collection systems shall beadequate to provide for the volume and hazardous nature of waste SLI batteries,
industrial batteries and electric vehicle batteries that are likely to be collected
through those collection points;(b)collect waste SLI batteries, industrial batteries and electric vehicle batteries from thetake back and collection systems referred to in paragraph 1 with a frequency that is
proportionate to the storage capacity of the separate collection infrastructure and thevolume and hazardous nature of waste batteries that are usually collected throughthose take back and collection systems;(c)provide for the delivery of waste SLI batteries, industrial batteries and electricvehicle batteries collected from end-users and from the take back and collection
systems referred to in paragraph 1 to facilities for treatment ▌ in accordance with
Article 56 and Article 59.

5469/23
ANNEX

KR/am
TREE.1.A

205

EN

4.

The entities referred to in points (a), (b) and (c) of paragraph 1 may hand over collected
waste SLI batteries, industrial batteries and electric vehicle batteries to authorised waste
management operators referred to in Article 47a(8) for treatment in accordance with
Article 56. In such cases, the obligation of producers pursuant to paragraph 3(c) shall bedeemed to be met.

Article 50
Obligations of distributors
1.

Distributors shall take back waste batteries from the end-user free of charge and without anobligation on the end-user to buy or to have bought a new battery, regardless of theirchemical composition, brand or origin. Take back for waste portable batteries shall be
provided at or in the immediate vicinity of their retail outlet. Take back for waste LMT
batteries, SLI batteries, industrial batteries and electric vehicle batteries shall be provided
at or in the vicinity of their retail outlet. This obligation is limited to the categories ofwaste batteries which the distributor has, or had, as new batteries in its offer and, for waste
portable batteries, to the quantity that non-professional end-users normally discard.

2.

The take back obligation laid down in paragraph 1 does not apply to waste products
containing batteries. ▌5469/23
ANNEX

KR/am
TREE.1.A

206

EN

3.

Distributors shall hand over waste batteries that they have taken back to the producers or
producer responsibility organisations who are responsible to 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 ▌ inaccordance with the requirements of Article 56.

4.

The obligations under this article shall apply mutatis mutandis to distributors ▌ supplying
batteries by means of distance contracts to end -users. Those distributors shall provide fora sufficient number of collection points covering the whole territory of a Member State andtaking into account population size and density, expected volume of, respectively, waste
portable batteries, LMT batteries, SLI batteries, industrial batteries and electric 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 portablebatteries, 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 shall be informed of the arrangements for taking back of a waste battery whenordering a battery.

5469/23
ANNEX

KR/am
TREE.1.A

207

EN

4b.

For the purpose of compliance with Article 30, paragraph 1, points (d) and (e), ofRegulation (EU) 2022/2065, providers of online platforms, falling within the scope ofSection 4 of Chapter 3 of Regulation (EU) 2022/2065, allowing consumers to conclude
distance contracts with producers shall obtain the following information from producers
offering batteries, including those incorporated in appliances, light means of transport
or vehicles, to consumers located in the Union:(a)information on the register of producers referred to in Article 46 of this Regulationand its registration number(s) in that register;(b)a self-certification by the producer committing to only offer batteries, including
those incorporated in appliances, light means of transport or vehicles, with regard
to which the extended producer responsibility requirements referred to in Article
47(1), (2), (3) and (4), Article 47a(1) and Article 47b(1), (2) and (7), of thisRegulation are complied with.

Article 50a
Deposit return systems for batteries
By 31 December 2027, the Commission shall assess the feasibility and potential benefits ofestablishment of deposit return systems for batteries, in particular for portable batteries ofgeneral use. To that end, the Commission shall submit a report to the European Parliament andto the Council and consider taking appropriate measures, including the adoption of legislative
proposals.

5469/23
ANNEX

KR/am
TREE.1.A

208

EN

Article 51
Obligations of end-users
1.

End-users shall discard waste batteries separately from other waste streams, includingfrom mixed municipal waste.

2.

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

▌▌

Producers or producer responsibility organisations shall set up awareness campaigns oroffer 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).

5469/23
ANNEX

KR/am
TREE.1.A

209

EN

Article 52
Obligations of treatment facilities
1.

Operators of waste treatment facilities subject to Directives 2000/53/EC or 2012/19/EU
shall hand over waste batteries resulting from the treatment of end-of-life vehicles or waste
electrical and electronic equipment to the producers of the relevant category of batteries or,where appointed in accordance with Article 47a(1), producer responsibility organisations,or to waste management operators referred to in Article 47a(8) with a view to theirtreatment ▌ in accordance with the requirements of Article 56.

2.

The operators of waste treatment facilities referred to in paragraph 1 shall keep recordsof 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.

5469/23
ANNEX

KR/am
TREE.1.A

210

EN

2.

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

Article 54
Participation of voluntary collection points
1.

Voluntary collection points for waste portable batteries shall handover collected waste
portable batteries to- the producers of portable batteries or third parties acting on theirbehalf, including producer responsibility organisations, or to waste management operators
referred to in Article 47a(8) with a view to their treatment ▌ in accordance with therequirements of Article 56.

2.

Voluntary collection points for waste LMT batteries shall handover collected waste LMT
batteries to- the producers of LMT 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 in accordance with therequirements of Article 56.

5469/23
ANNEX

KR/am
TREE.1.A

211

EN

Article 54a
Restrictions regarding hand over of waste portable batteries and waste LMT batteries
1.

Member States may restrict the possibility of distributors, operators of waste treatment
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 hand over 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
in accordance with Article 56. Member States shall ensure that such restrictions do nothave an adverse impact on the collection and recycling systems.

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 inaccordance with Article 56 themselves.

5469/23
ANNEX

KR/am
TREE.1.A

212

EN

Article 55
Obligations for Member States regarding collection rates for waste portable and waste LMT
batteries
1.

Member States shall adopt the necessary measures for the achievement by producers or,where appointed in accordance with Article 47a(1), producer responsibility
organisations, of the collection targets laid down in Article 48(4), first subparagraph,points (a) to (c), with respect to waste portable batteries, and laid down in Article 48a(3),first indent, with respect to waste LMT batteries, calculated in accordance with Annex
XI.
▌
▌
▌

5469/23
ANNEX

KR/am
TREE.1.A

213

EN

2.

In particular, Member States shall regularly, at least once a year, monitor producers’ or,where appointed in accordance with Article 47a(1), producer responsibility
organisations’ collection rates to verify that they have taken adequate measures toachieve the collection targets laid down in Article 48(4), first subparagraph, points (a) to(c) with respect to waste portable batteries, and laid down in Article 48a(3), first indent
with respect to waste LMT batteries, calculated in accordance with Annex XI. The
monitoring shall be based in particular on the information reported to the competentauthorities in accordance with Article 61, including the verification of that information,
the verification of compliance with the calculation methodology set out in Annex XI andthe results of the compositional survey referred to in paragraph 2 and any otherinformation available to the Member State.

3.

Where, on the basis of the monitoring referred to in paragraph 2, a Member State findsthat a producer or, where appointed in accordance with Article 47a(1), a producer
responsibility organisation, has not taken measures consistent with the achievement of
the collection targets laid down in Article 48(4), first subparagraph, points (a) to (c), withrespect to waste portable batteries, and laid down in Article 48a(3), first indent, withrespect to waste LMT batteries, it shall require that producer or producer responsibility
organisation to take appropriate corrective actions ensuring that it can achieve thetargets set out in Article 48(4), first subparagraph, points (a) to (c), or in Article 48a(3),first indent, as applicable.

5469/23
ANNEX

KR/am
TREE.1.A

214

EN

4.

Without prejudice to the self-control mechanism under Art 47b(5), the producer or
producer responsibility organisation shall present a draft corrective action plan to thecompetent authority within three months of the request by the competent authority
referred to in paragraph 3, which may make observations on the draft plan, and, if any,
shall communicate them to the producer or the producer responsibility organisation
within one month after reception of the draft corrective plan.
When the competent authority makes its observation known, the producer or the
producer responsibility organisations shall draw up the corrective action plan, in
accordance with such observation within one month of the reception of the observations
by the competent authority and shall implement it accordingly. The content of thecorrective action plan and the compliance with it by the producer or the producer
responsibility organisation shall be taken into account when evaluating whether theconditions for the authorisation continue to be met.

5.

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

5469/23
ANNEX

KR/am
TREE.1.A

215

EN

Article 56
Treatment ▌1.

Collected waste batteries shall not be disposed of or be the subject of an energy recovery
operation.

2.

Without prejudice to Directive 2010/75/EU, permitted facilities shall ensure that all
treatment 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.

▌Where 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 lightmeans of transport or end-of-life vehicle in accordance with, where applicable, therequirements laid down in Directive 2000/53/EC or 2012/19/EU.

4.

The Commission is empowered to adopt delegated acts in accordance with Article 73 toamend the treatment ▌ requirements for waste batteries laid down in Part A of Annex XII
in light of technical and scientific progress and emerging new technologies in waste
management.

4a.

Member States may set up incentive schemes for economic operators that achieve higher
yields than the respective thresholds set out in Parts B and C of Annex XII.

5469/23
ANNEX

KR/am
TREE.1.A

216

EN

Article 57
Recycling efficiencies and material recovery targets
1.

Permitted facilities shall ensure that all waste batteries made available to that facility will
be accepted and undergo preparation for reuse, preparation for repurposing or
recycling.

2.

Recyclers shall ensure that ▌ recycling ▌ 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 18 months after entry into force of the Regulation, adopt adelegated act in accordance with Article 73 to supplement this Regulation by
establishing the methodology for calculation and verification of recycling efficiencies andrecovery of material, in accordance with the essential elements set out in Annex XII, andthe format for the documentation.

5469/23
ANNEX

KR/am
TREE.1.A

217

EN

5.

By 36 months after entry into force of the Regulation and at least every five years
thereafter, the Commission shall assess whether, due to the developments in the market,
in particular battery technologies impacting the type of materials recovered and existing
and forecasted availability of cobalt, copper, lead, lithium or nickel or the lack thereof,
and in view of technical and scientific progress, it is appropriate to revise the recycling
efficiencies and the recovery of materials laid down in ▌ Parts B and C of Annex XII.
Where justified and appropriate on the basis of that assessment, the Commission shall beempowered to adopt a delegated act in accordance with Article 73 to amend the recycling
efficiencies and the recovery of materials laid down in Parts B and C of Annex XII.

5a.

Where appropriate due to market developments impacting the type of materials that canbe recovered and in light of technical and scientific progress, including emerging newtechnologies in waste management, the Commission shall be empowered to adopt
delegated acts in accordance with Article 73, to amend Annex XII, Part C of thisRegulation by adding further materials with specific levels of recovered material per
specific material, and Annex XII, Part B of this Regulation by adding further battery
chemistries with specific levels of minimum recycling efficiency.

5469/23
ANNEX

KR/am
TREE.1.A

218

EN

Article 58
Shipments of waste batteries
1.

Treatment ▌ may be undertaken outside the Member State concerned or outside the Union,
provided that the shipment of waste batteries, or fractions thereof, is in compliance with
Regulation (EC) No 1013/2006 and Regulation (EC) No 1418/2007.
In order to distinguish 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.
When it has been established by the competent authorities in Member States that an
intended shipment of used batteries consists of waste batteries, the costs of appropriate
analyses and inspections, including storage costs, of used batteries suspected to be waste
may be charged to the producers, to third parties acting on their behalf or to otherpersons arranging the shipment of used batteries suspected to be waste. The Commission
is empowered to adopt delegated acts, in accordance with Article 73 of this Regulation,
supplementing the minimum requirements in Annex XIV, in particular on the state ofhealth, to distinguish between the shipment of used batteries and waste batteries.

5469/23
ANNEX

KR/am
TREE.1.A

219

EN

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 exporter of the waste batteries, or fractions
thereof, for treatment provides documentary evidence approved by the competentauthority of destination that the treatment took place in conditions that are equivalent to
the requirements of this Regulation and to human health and environmental protection
requirements laid down in other Union legislation.

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 the criteria for the assessment of equivalent conditions.

Article 59
Preparing for re-use, preparing for repurpose of waste LMT batteries, waste industrial batteries
and waste electric vehicle batteries▌▌▌▌

5469/23
ANNEX

KR/am
TREE.1.A

220

EN

4.

In order to document that a waste LMT battery, industrial battery and electric vehicle
battery subject to preparing for re-use, or preparing for repurpose, is no longer waste, thebattery 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 preparing for re-use, or preparing for
repurpose;(b)further use of the battery that has been subject to preparing for re-use, or preparing
for repurpose, is documented by means of an invoice or a contract for the sale ortransfer 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.

5.

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

5469/23
ANNEX

KR/am
TREE.1.A

221

EN

6.

The provision of information in accordance with paragraphs 1, 2, 4 and 5 shall be without
prejudice to preserving the confidentiality of commercially sensitive information in
conformity with the relevant Union and national law.

7.

The Commission is empowered to adopt implementing acts establishing detailed technicaland verification requirements that waste LMT batteries, waste industrial batteries orwaste electric vehicle batteries have to fulfil to cease to be waste. This implementing act
shall be adopted in accordance with the examination procedure referred to in Article 74(3).

Article 60▌Information 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 47a(1), producer
responsibility organisations ▌ shall make available to end -users and distributors thefollowing information regarding the prevention and management of waste batteries withrespect to the categories of batteries that the producers supply within the territory of a
Member State:(a)the role of end-users in contributing to waste prevention, including by information
on good practices and recommendations concerning the use of batteries aiming at
extending their use phase and the possibilities of re-use, preparing for re-use,
preparing for repurpose, repurposing and remanufacturing;5469/23
ANNEX

KR/am
TREE.1.A

222

EN

(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;(c)the separate collection, take-back and collection points, preparing for re-use,
preparing for repurposing, and recycling operations available for waste batteries;(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 their packaging or in the documents accompanying
batteries;(f)the impact of substances, in particular hazardous substances, contained in batteries
on the environment and on human health or 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 Stateas a minimum at the point of sale in a visible manner and through online
marketplaces;5469/23
ANNEX

KR/am
TREE.1.A

223

EN

(b)

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 made available on themarket.

2.

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

3.

From the moment that a battery ▌ is supplied within the territory of a Member State
producers shall make available electronically, free of charge and upon request, to waste
management operators carrying out preparing for re-use, preparing for repurposing, andtreatment, as far as it is needed by those operators to carry out those activities, thefollowing battery model specific information regarding the proper and environmentallysound 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 and fire
protection, applicable to the storage, transport, and treatment processes for waste
batteries.

5469/23
ANNEX

KR/am
TREE.1.A224

EN

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 preparing
for re-use, preparing for repurposing, and treatment activities in order to enable them tocomply 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 on whose market the battery is to be made available.
4.

Distributors that supply batteries to end-users shall permanently provide in their retailpremises in an easily accessible and clearly visible manner for the end-users of thebattery, the information listed in paragraph 1 and 2, and information on how the end users
may return waste batteries free of charge to the respective collection points established atretail outlets or on behalf of a marketplace. That obligation shall be limited to the types ofbatteries which the distributor or retailer has, or had, as new batteries in its offer.
Distributors shall provide the information listed in paragraphs 1 and 2 also when theysell their products through online platforms allowing consumers to conclude distancecontracts with traders.

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. ▌5469/23
ANNEX

KR/am
TREE.1.A

225

EN

▌

Where information is provided publicly to end-users under this Article, the confidentialityof commercially sensitive information in conformity with the relevant Union and nationallaw shall be preserved.

Article 61
Minimum requirements for reporting to the competent authorities
1.

Producers of portable batteries and producers of LMT batteries or, where appointed inaccordance with Article 47a(1), producer responsibility organisations ▌ shall report to thecompetent authority, at least, for each calendar year the following information according tochemistries and categories of waste batteries:(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 ▌ batteries that have left
the territory of that Member State in that year, before being sold to end-users;(aa) the amount of portable batteries of general use made available on the market for
the first time in the territory of a Member State, excluding any portable batteries ofgeneral use that have left 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 inaccordance with Articles 48 and 48a, respectively;

5469/23
ANNEX

KR/am
TREE.1.A

226

EN

(c)

the collection rate 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.

(da) the amount of collected waste portable batteries exported to third countries fortreatment, preparation for reuse, preparation for repurposing or recycling.
(db) the amount of waste portable and LMT batteries collected and delivered topreparing for re-use or preparing for repurposing;
Where waste management operators other than producers or, where appointed inaccordance with Article 47a(1), producer responsibility organisations acting on theirbehalf, collect waste portable batteries or waste LMT batteries from distributors or othercollection 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 their chemistry▌▌5469/23
ANNEX

KR/am
TREE.1.A

227

EN

2.

Producers of SLI batteries, industrial batteries and electric vehicle batteries or whereappointed in accordance with Article 47a(1) producer responsibility organisations acting
on their behalf, shall report to the competent authority for each calendar year the following
information, according to chemistries and categories of waste batteries:(a)the amount of SLI batteries, industrial batteries and electric vehicle batteries madeavailable on the market for the first time in a Member State, excluding batteries thathave left the territory of that Member State in that year, before being sold to end
users;(aa) the amount of waste industrial batteries or waste electric vehicle batteries collected
and delivered to preparing for re-use or preparing for repurposing;(b)

the amount of waste SLI batteries, waste industrial batteries or waste electric vehicle
batteries collected and delivered ▌ to permitted facilities for treatment.

(ba) the amount of collected waste SLI batteries, industrial batteries and electric vehicle
batteries exported to third countries for treatment, preparation for reuse,
preparation for repurposing or recycling.

5469/23
ANNEX

KR/am
TREE.1.A

228

EN

3.

Where waste management operators collect waste batteries from distributors or other waste
SLI batteries, industrial batteries and electric vehicle batteries collection points or fromend-users, they shall report to the competent authority for each calendar year the following
information according to ▌ chemistries and categories of waste batteries:(a)the amount of waste SLI batteries, waste industrial batteries and waste electricvehicle batteries collected;(aa) the amount of waste industrial batteries or waste electric vehicle batteries collected
and delivered to preparing for re-use or preparing for repurposing;(b)

the amount of waste SLI batteries, waste industrial batteries and waste electricvehicle batteries delivered to permitted facilities for treatment operation and forrecycling.

(ba) the amount of collected waste SLI batteries, industrial batteries and electric vehicle
batteries exported to third countries for treatment, preparation for reuse,
preparation for repurposing or recycling▌▌
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.

5469/23
ANNEX

KR/am
TREE.1.A

229

EN

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, by Member State where waste
was collected;(b)

the amount of waste batteries entering preparation for reuse, preparation for
repurposing or recycling processes, by Member State where waste was collected;(c)information on recycling efficiencies and levels of recovered materials for waste
batteries and on destination and outcome of the final output fractions, by Member
State where waste was collected.

Reporting on the recycling efficiency and levels of recovered materials shall cover all
individual steps of recycling and all corresponding output fractions. Where ▌ recycling
operations are carried out at more than one facility, the first recycler is responsible forcollecting the information and reporting this information to the competent authorities.
Recyclers shall report ▌ the data on the recycling efficiency and levels of recoveredmaterials to the competent authorities of the Member State where it is located.
The competent authority of the Member State, where treatment of waste batteries iscarried out, shall provide the data referred to in paragraph 5 to the competent authorityof Member State, where the batteries were collected, if different.

5469/23
ANNEX

KR/am
TREE.1.A

230

EN

Waste batteries sent to another Member State for the purposes of treatment in that otherMember State shall be counted towards the waste data and the attainment of the targets
laid down in Annex XII by the Member State in which that waste was collected.
6.

Where waste holders other than those referred to in paragraph 5 export batteries fortreatment ▌ they shall report the data on the amount of separately collected waste batteries
exported for treatment ▌ and the data referred to in paragraph 45(b) and (c) to thecompetent 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 six months of the end of thereporting 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).

8.

The competent authorities shall establish electronic systems through which data shall bereported to them and specify the formats to be used.

9.

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

5469/23
ANNEX

KR/am
TREE.1.A

231

EN

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, LMT batteries, SLI batteries, industrial
batteries and electric vehicle batteries, according to battery categories and their chemistries▌:(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 thatyear, including those incorporated in vehicles or industrial products, before being
sold to end-users;(b)

the amount of waste batteries collected and collection rates in accordance with
Articles 48, 48a and 49, calculated on the basis of the methodology set out in Annex
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;

5469/23
ANNEX

KR/am
TREE.1.A

232

EN

(c)

the values of the achieved recycling efficiencies as referred to in Annex XII, Part B,
and the values of the achieved material recovery referred to in Part C of Annex XII,
regarding the batteries collected in that Member State.

Member States shall make this data available within 18 months after 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 withparagraph 5, using easily accessible data services ▌. The data shall be machine readable,
sortable and searchable, respecting open standards for third party use. Member States shallnotify the Commission when the data referred to in the first sub-paragraph is madeavailable.
The first reporting period shall concern the first full calendar year after the entry into forceof the implementing act that establishes the format for reporting to the Commission, in
accordance with paragraph 5.
In addition to the obligations under Directives 2000/53/EC and 2012/19/EU, data referred
to in points (a), (b) and (c) 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.

5469/23
ANNEX

KR/am
TREE.1.A

233

EN

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.

4.

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

5.

The Commission shall, by 24 months after entry into force of the Regulation, adopt
implementing acts laying down the format for the data and information to be reported to
the Commission, as well as assessment methods and operational conditions, for the
purpose of paragraphs 1 and 4. Those implementing acts shall be adopted in accordancewith the examination procedure referred to in Article 74(3).

5469/23
ANNEX

KR/am
TREE.1.A

234

EN

▌

Chapter VIII
Digital battery passport▌

Article 65
Battery passport
1.

From 42 months after entry into force of the Regulation each LMT battery, ▌ eachindustrial battery with a capacity above 2 kWh and each electric vehicle battery placed on
the market or put into service ▌ shall have an electronic record ("battery passport").

2.

The battery passport shall contain information relating to the battery model andinformation specific to the individual battery including as a result of the use of thatbattery, as set out in Annex XIII.

5469/23
ANNEX

KR/am
TREE.1.A

235

EN

The information in the battery passport shall comprise:(a)information accessible to the general public in accordance with point 1 of Annex
XIII,

(b)

information accessible only to notified bodies, market surveillance authorities andthe Commission in accordance with points 2 and 3 of Annex XIII, and(c)information accessible only to any natural or legal person with a legitimate interestin accessing and processing that information in accordance with points 2 and 4 ofAnnex XIII.

The information accessible to the persons referred to in point (c) shall:(i)

concern dismantling of the battery, including safety measures to be taken duringthat dismantling, and the detailed composition of the individual battery and be
essential to allow repairers, remanufacturers, second-life operators and recyclers
to conduct their respective economic activities in accordance with this Regulation;

or
(ii)

in the case of individual batteries, be essential to the purchaser of the battery
orparties acting on the purchaser’s behalf, for the purpose of making theindividual battery available to independent energy aggregators or energy market
participants.

5469/23
ANNEX

KR/am
TREE.1.A236

EN

Such information shall be included to the extent applicable to the category or
subcategory of battery concerned.
The Commission shall be empowered to adopt delegated acts in accordance with Article
73 to amend Annex XIII to change the information to be included in the battery passport
in view of technical and scientific progress.
3.

The battery passport shall be accessible through the QR code referred to in Article 13(5)and (6), linking to a unique identifier that the economic operator placing the battery on
the market shall attribute to it.
The QR code and the unique identifier shall comply with standard (‘ISO/IEC’)
15459:2015 or equivalent.
The Commission is empowered to adopt delegated acts in accordance with Article 73 toamend the second subparagraph in light of technical and scientific progress by replacing
the standard referred to or adding other European or international standards with which
the QR code and the unique identifier shall comply.

4.

The economic operator placing the battery on the market shall ensure that the
information in the battery passport is accurate, complete and up to date. It may authorise
an operator to act on their behalf.

5469/23
ANNEX

KR/am
TREE.1.A

237

EN

5.

All information included in the product passport shall be based on open standards,
developed with an inter-operable format and shall be transferable through an open
interoperable data exchange network without vender lock-in and shall be machinereadable, structured, and searchable, in accordance with the essential requirements set
out in Article 65a.

6.

The access to information included in the battery passport shall be regulated inaccordance with the essential requirements set out in Article 65a.

6a.

For a battery that has been subject to preparation for re-use, preparation for
repurposing, repurposing, or remanufacturing, the responsibility for the fulfilment of
the obligations with respect to the battery passport under paragraph 4 first subparagraphshall be transferred to the economic operator that has placed that battery on the market
or has put it into service. The battery shall have a new battery passport linked to thebattery passport or passports of the original battery or batteries. When there is a change
in the status of a battery to a waste battery, the responsibility for the fulfilment of theobligations with respect to the battery passport under paragraph 4 first subparagraphshall 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.

6b.

5469/23
ANNEX

A battery passport shall cease to exist after the battery has been recycled.

KR/am
TREE.1.A

238

EN

7.

By [36 months after entry into force of the Regulation], the Commission shall adopt
implementing acts specifying the persons referred to in paragraph 2, point (c), to what
information they shall have access, and to what extent they can download, share, publish
and reuse that information.
The criteria for specifying the persons referred to in paragraph 2(c) and for determining
the extent to which they can download, share, publish and reuse the informationreferred to in points 2 and 4 of Annex XIII shall be the following:-

the necessity of having such information in order to evaluate the status andresidual value of the battery and its capability for further use;-

the necessity of having such information for the purpose of preparation for re-use,
preparation for repurposing, repurposing, remanufacturing or recycling of thebattery, or for choosing between those activities;-

the need to ensure that the accessing and the processing of, commercially sensitive
information is limited to the minimum necessary in accordance with applicable
Union law.

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

5469/23
ANNEX

KR/am
TREE.1.A

239

EN

Article 65a
Technical design and operation of the battery passport
The technical design and operation of the battery passport shall comply with the following
essential requirements:(a)battery passports shall be fully interoperable with other digital product passports
required by Union legislation concerning eco-design in relation to the technical,
semantic and organisational aspects of end-to-end communication and data transfer;(b)consumers, economic operators and other relevant actors shall have access to the battery
passport free of charge and based on their respective access rights set out in Annex XIII
and the implementing act adopted pursuant to Article 65(7)(c)

the data included in the battery passport shall be stored by the economic operator
responsible for the fulfilment of the obligations with respect to the battery passport
under Article 65, paragraphs 4 or 6a, or by operators authorised to act on their behalf;

5469/23
ANNEX

KR/am
TREE.1.A

240

EN

(d)

if the data included in the battery passport is stored or otherwise processed by operators
authorised to act on their behalf, those operators shall not be allowed to sell, re-use orprocess such data, in whole or in part, beyond what is necessary for the provision of therelevant storing or processing services;(e)the product passport shall remain available after the economic operator responsible forthe fulfilment of the obligations with respect to the battery passport under Article 65,
paragraphs 4 or 6a, ceases to exist or ceases its activity in the Union;(f)

the rights to access and to introduce, modify or update information in product passportshall be restricted based on the access rights specified in Annex XIII and theimplementing act adopted pursuant to Article 65(9).

Chapter IX
Union market surveillance ▌ and Union safeguard procedures

Article 66
Procedure at national level for dealing with batteries presenting a risk
1.

Without prejudice to Article 19 of the Regulation (EU) 2019/1020, where the market
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.

5469/23
ANNEX

KR/am
TREE.1.A

241

ENWhere, in the course of the evaluation referred to in the first subparagraph, the market
surveillance authorities find that the battery does not comply with the requirements laid
down in this Regulation, they shall without delay require the relevant economic operator totake all appropriate 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 torecall it ▌The market surveillance authorities shall inform the relevant notified body accordingly.
2.

▌The market surveillance authorities ▌ shall inform the Commission and the otherMember States of the results 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 respectof 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 thebatteries being made available on their national market, to withdraw the battery from thatmarket or to recall it.

5469/23
ANNEX

KR/am
TREE.1.A

242

EN

The market surveillance authorities shall inform the Commission and the other Member
States, without delay, of those measures.
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 surveillanceauthorities 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 Articles 6
to 10 or 12 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.

5469/23
ANNEX

KR/am
TREE.1.A

243

EN

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 market 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.

Article 67
Union safeguard procedure
1.

Where, on completion of the procedure set out in Article 66(3) and (4), objections areraised against a measure taken by market 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. The
Commission shall endeavour to conclude that evaluation within one month. On the basisof the results of that evaluation, the Commission shall adopt an implementing act in theform of a decision determining whether the national measure is justified or not.
That implementing act shall be adopted in accordance with the examination procedurereferred to in Article 74(3).

5469/23
ANNEX

KR/am
TREE.1.A

244

EN

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, andshall inform the Commission accordingly.
If the national measure is considered unjustified, the Member State concerned shallwithdraw 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.

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 inaccordance with the examination procedure referred to in Article 74(3).

5469/23
ANNEX

KR/am
TREE.1.A

245

EN

Article 68
Compliant batteries which present a risk
1.

Where, having carried out an evaluation under Article 66(1), a Member State finds that
although a battery is in compliance with the applicable requirements set out in Articles 6 to
10 and 12 to 14, it presents a risk to the human health or safety of persons, to theprotection 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 made available on the market, no longer presents
that risk, to withdraw the battery from the market or to recall it ▌ .

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.

5469/23
ANNEX

KR/am
TREE.1.A

246

EN

4.

The Commission shall without delay enter into consultation with the Member States andthe relevant 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, proposing 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 withthe procedure referred to in Article 74(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.

5469/23
ANNEX

KR/am
TREE.1.A

247

EN

Article 68b
Joint activities
1.

Market surveillance authorities may carry out joint activities with organisations
representing economic operators or end users, which may include the setting up by
Member States or market surveillance authorities of battery competence centres, with aview to promoting compliance, identifying non-compliance, raising awareness andproviding guidance in relation to the requirements of this Regulation in accordance with
Article 9 of Regulation EU 2019/1020.

Article 69
Formal non-compliance1.

Without prejudice to Article 66, where a Member State makes one of the following
findings, it shall require the relevant economic operator to put an end to the noncompliance concerned ▌:(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)

5469/23
ANNEX

the CE marking has not been affixed;

KR/am
TREE.1.A

248

EN

(c)

the identification number of the notified body, 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;▌(f)the technical documentation is either not available, or not complete ▌;(g)

the information referred to in ▌ Article 38(8) or Article 41(3) ▌ is absent, false or
incomplete ▌;(h)any other administrative requirement provided for in Article 38 or Article 41 is not
fulfilled;

▌
▌
▌
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 the market.

▌

5469/23
ANNEX

KR/am
TREE.1.A

249

EN

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

Where a Member State finds that an economic operator has infringed an obligation ondue diligence set out in Articles 45a to 45c of this Regulation, it shall require therelevant economic operator to put an end to the non-compliance concerned.

2.

Where the non-compliance referred to in paragraph 1 persists and where there is noother effective means available to put an end to the non-compliance, the Member State
concerned shall take all appropriate measures to restrict or prohibit the batteries madeavailable on the market by the economic operator referred to in paragraph 1 from being
made available on the market and, if the non-compliance is serious, ensure that they arerecalled or withdrawn from the market.

5469/23
ANNEX

KR/am
TREE.1.A

250

ENChapter X
Green public procurement, procedure for amending restrictions on ▌ substances ▌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 overtheir life cycle with a view to ensure that such impacts of the batteries procured are kept toa minimum.

2.

From 12 months after entry into force of delegated acts referred to in paragraph 3, theobligation set out in paragraph 1 shall apply to any procedure for procurement bycontracting 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 and award criteria based on Articles
7 to 10 to ensure that batteries or products are chosen ▌ with significantly lower
environmental impacts over their lifecycle.

5469/23
ANNEX

KR/am
TREE.1.A

251

EN

3.

The Commission shall, 12 months after the adoption of the latest of the delegated acts
referred to in Article 7(2) subparagraph 4(a), Article 8(1), Article 9(2) and Article 10(3),adopt delegated acts in accordance with Article 73 supplementing this Regulation by
establishing criteria for the award of procurement procedures for batteries based on thesustainability requirements set out in Articles 7 to 10.

Article 71
Initiation of restriction procedure substances
1.

If the Commission considers that the use of a substance in the manufacture of batteries, orthe 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 the treatmentof waste batteries, poses a risk to human health or the environment that is not adequately
controlled and needs to be addressed on a Union-wide basis, it shall request the ▌ Agency▌ to prepare a restriction dossier, in the format outlined in Annex XV to Regulation (EC)No 1907/2006. The dossier shall include a socio-economic assessment, including ananalysis of alternatives.

▌
2.

Within 12 months of the receipt of the request from the Commission in paragraph 1 and if
the ▌ 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, the Agency
shall suggest restrictions in order to initiate the ▌ process described in paragraph 3 to 8 ofthis Article, Article 71a and Article 71b.

5469/23
ANNEX

KR/am
TREE.1.A

252

EN

3a.

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 of waste batteries, 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 notify
the Agency that it proposes to prepare a restriction dossier. The Member State shallprepare 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 inthe format outlined in Annex XV to Regulation (EC) No 1907/2006, in order to initiate
the process.

3b.

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. The Commission shall give access to the Agency, as appropriate,
to the information defined in part A of Annex XIII, reported to the European Electronic
Exchange System. Access to information held by the Agency in performing the tasks
defined in Articles 6 and 71 will be subject to the provision in Article 118 of Regulation(EC) No 1907/2006.

5469/23
ANNEX

KR/am
TREE.1.A

253

EN

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.

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.

5469/23
ANNEX

KR/am
TREE.1.A

254

EN

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 ▌ dossier, including the
restrictions suggested pursuant to paragraph 2 and 3 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 suggested restrictions;(b)a socio-economic analysis including an analysis of alternatives., or information
which can contribute to one, of the suggested restrictions, examining theadvantages and drawbacks of the proposed restrictions. It shall conform to therequirements in Annex XVI of Regulation (EC) No 1907/2006.

9.

This delegated act shall be adopted within nine months following the receipt of theopinion of the Committee for Socio-economic Analysis of the European Chemical
Agency (the "Agency") referred to in Article 71a. If the Committee for Socio-economic
Analysis does not adopt an opinion by the deadline set in paragraph 2 or 5, asapplicable, of Article 71a, the Commission shall take into account the socio-economic
impact of the restriction, including the availability of alternatives for the substance andshall adopt a delegated act by the deadline set in paragraph 2 of Article 71a.

10.

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.

5469/23
ANNEX

KR/am
TREE.1.A

255

EN

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

Within 12 months of the date of publication referred to in Article 71(8), the Committee for
Risk Assessment ▌ shall adopt an opinion as to whether the suggested restrictions areappropriate in reducing the risk to human health or the environment, based on its
consideration of the relevant parts of the ▌ dossier. This opinion shall take account of the▌ 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 Article 71(8)(a).

2.

Within 15 months of the date of publication referred to in Article 71(8), the Committee forSocio-economic Analysis ▌ 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 relatedsocio-economic impact, taking account of the analyses or information according to Article
71(8)(b), if there are any.

3.

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 thedraft opinion no later than 60 days from the publication of that draft opinion.

5469/23
ANNEX

KR/am
TREE.1.A

256

EN

4.

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
3. This opinion shall take account of the comments of interested parties submitted under
Article 71(8)(b) and paragraph 3 of this Article.

5.

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.

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
therein.
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 ▌ restrictions suggested pursuant to
Article 71. Where the opinions of the Committees for Risk Assessment and Socioeconomic Analysis diverge significantly from the ▌ suggested the restrictions, the Agency
shall submit an explanatory note to the Commission providing a detailed explanation of thereasons for such differences. If one or both of the Committees do not adopt an opinion by
the deadline set in paragraphs 1 and 2 of Article 71a the Agency shall inform theCommission accordingly, stating the reasons.

5469/23
ANNEX

KR/am
TREE.1.A

257

EN

2.

The Agency shall publish the opinions of the two Committees on its website without delay.

3.

The Agency shall provide the Commission or Member State on request with all documents
and evidence submitted to or considered by it.

▌▌▌

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 theconditions laid down in this Article.

5469/23
ANNEX

KR/am
TREE.1.A

258

EN

2.

The power to adopt delegated acts referred to in Articles 6(2), 7(1), (2) and (3), 8(1), 8(4),9(2), 10(3), 10(3a), 11(4), 12(2), 13(6a), 14(2c), 45a(3a), 45f(3), 48(8), 48a(8), 56(4),57(4), (5) and (5b), 58(3), 65(2) and (3), and 70(3) shall be conferred on the Commission
for a period of five years from [date of entry into force of this Regulation]. The
Commission shall draw up a report in respect of the delegation of power no later than ninemonths before the end of the five-year period. The delegation of power shall be tacitly
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.

3.

The delegation of power referred to in Articles 6(2), 7(1), (2) and (3), 8(1), 8(4), 9(2),10(3), 10(3a), 11(4), 12(2), 13(6a), 14(2c), 45a(3a), 45f(3), 48(8), 48a(8), 56(4), 57(4), (5)and (5b), 58(3), 65(2) and (3), and 70(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 thepower specified in that decision. It shall take effect the day following the publication of thedecision in the Official Journal of the European Union or at a later date specified 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
Agreement of 13 April 2016 on Better Law-Making.

5469/23
ANNEX

KR/am
TREE.1.A

259

EN

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(1), 8(4), 9(2), 10(3),10(3a), 11(4), 12(2), 13(6a), 14(2c), 45a(3a), 45f(3), 48(8), 48a(8), 56(4), 57(4), (5) and(5b), 58(3), 65(2) and (3), and 70(3) shall enter into force only if no objection has been
expressed either by the European Parliament or the Council within a period of threemonths of notification of that act to the European Parliament and the Council or if, before
the expiry of that period, the European Parliament and the Council have both informed theCommission that they will not object. That period shall be extended by two months at theinitiative 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.

5469/23
ANNEX

KR/am
TREE.1.A

260

EN

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.

5469/23
ANNEX

KR/am
TREE.1.A

261

EN

Chapter XII
Amendments

Article 75
Amendments to Regulation (EU) 2019/1020
Regulation (EU) 2019/1020 is amended as follows:(1)

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) […] [year of adoption of thisRegulation]/…(***)]_____________________* 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).

5469/23
ANNEX

KR/am
TREE.1.A262

EN

** 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 andwaste 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, ▌ point 21 of the list of Union harmonisation legislation is replaced by thefollowing:–"71.

Regulation of the European Parliament and of the Council onbatteries 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);"
Article 75a
Amendments to Directive 2008/98/EC
Directive 2008/98/EC is amended as follows:(1)

in Article 8a(7), the following subparagraph is added:"For batteries, as defined in Article 2 point (1) of [insert reference and numberingof this Regulation (= the Batteries regulation)], Member States shall take measures
to ensure that extended producer responsibility schemes that have been established
before 4 July 2018, comply with this Article by … 24 months after entry into forceof this Regulation (= the Batteries regulation)."5469/23
ANNEX

KR/am
TREE.1.A

263

EN

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.

5469/23
ANNEX

KR/am
TREE.1.A

264

EN

Article 77
Review
1.

By 30 June of the calendar year in which the date falls that is 96 months after entry into
force of the Regulation, the Commission shall draw up a report on the application of thisRegulation and its impact on the environment, human health and the functioning of theinternal market and submit and present it to the European Parliament and to theCouncil.

2.

Taking account of technical progress and practical experience gained in Member States,
the Commission shall in its report include an evaluation on the following aspects of thisRegulation:(-a) 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 possible
need to introduce an export ban of batteries which are non-compliant with therestrictions set out in Annex I;

5469/23
ANNEX(b)labelling and information requirements set out in Chapter III;(c)battery due diligence requirements set out in Articles 45a to 45f;

KR/am
TREE.1.A

265

EN

(d)

measures regarding ▌ 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 to
introduce a separate collection target for portable batteries of general use.

(da) measures regarding electronic exchange of information and battery passport set
out in Chapter VIII.
(db) infringements and the effectiveness, proportionality and dissuasiveness of penalties
as set out in Article 76;(dc) analysis of the impact of the Regulation on the competitiveness of and on theinvestments in the batteries sector, and of the administrative burden.
If appropriate, the report referred to in paragraph 1 shall be accompanied by a legislative
proposal for amendment of the relevant provisions of this Regulation.
3.

Taking into account the revision of Regulation (EC) No 1907/2006, the Commission
shall in its report include a specific evaluation on the need for a legislative proposal toamend Articles 6, 71, 71a and 71b.

5469/23
ANNEX

KR/am
TREE.1.A

266

EN

4.

The Commission shall assess whether any amendment to Chapter VIa is necessary in thelight of the adoption, if any, of Union legislative acts laying down rules on sustainablecorporate governance and due diligence, including obligations for companies regarding
human rights adverse impacts and environmental adverse impacts with respect to theirown operations, the operations of their subsidiaries and branches, and their value chain
operations.
The Commission shall publish a report containing the results of such assessment by 12months after entry into force of any of the legislative acts referred to in the firstsubparagraph, or by [the date of the general review clause in the batteries regulation],
whichever is the earliest. Where appropriate, the Commission shall accompany its reportwith a legislative proposal amending Chapter VIa.

5.

By 31 December 2030, the Commission shall submit a report to the European
Parliament and the Council assessing the feasibility and the technical consequences ofextending the scope of the definition of LMT battery in Article 2(9), in particular byincluding batteries powering non-wheeled vehicles. The report shall be accompanied,
where appropriate, by a legislative proposal.

5469/23
ANNEX

KR/am
TREE.1.A

267

EN

6.

By 1 January 2025, the Commission shall assess how best to introduce harmonised
standards for a common charger for, respectively, rechargeable batteries designed forlight means of transport, as well as for rechargeable batteries incorporated into specificcategories of electrical and electronic equipment covered by Directive 2012/19/EU.
Charging devices for categories and classes of radio equipment under Article 3(4) of
Directive 2014/53/EU on the harmonisation of the laws of the Member States relating to
the making available on the market of radio equipment shall be excluded from the scopeof this assessment.

Article 78
Repeal and transitional rules
Directive 2006/66/EC is repealed with effect from … [24 months after the entry into force of thisRegulation]; however, its:(a)Article 10(3) ▌ shall continue to apply until 31 December 2023, except as regards thetransmission of data to the Commission which shall continue to apply until 30 June 2025;(b)

Article 12(4) and Article 12(5) shall continue to apply until 31 December 2025, except as
regards the transmission of data to the Commission which shall continue to apply until
30 June 2027;(c)

Article 21(2) shall continue to apply until 36 months after entry into force of thisregulation.

References to the repealed Directive shall be construed as references to this Regulation.

5469/23
ANNEX

KR/am
TREE.1.A

268

EN

Article 79
Entry into force and application
1.

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

2.

It shall apply from 6 months after the entry into force of this Regulation.
Article 17 and Chapter VI shall apply from 12 months after entry into force of theRegulation, except for Article 17(3) which shall apply from 12 months after the date of
the first publication referred to in Article 30(2).

3.

Chapter VII shall apply from 24 months after entry into force of the Regulation.

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

5469/23
ANNEX

KR/am
TREE.1.A

269

EN

Annex I
Restrictions on hazardous substances

Designation of the substance or group ofConditions of restriction

substances

1. Mercury

1. Batteries, whether or not incorporated

CAS No. 7439-97-6

into appliances, light means of transport

EC No. 231-106-7 and its compounds

or vehicles, shall not contain more than
0,0005 % of mercury (expressed as mercury
metal) by weight ▌.
▌2. Cadmium

1. Portable batteries, whether or not

CAS No. 7440-43-9

incorporated into appliances, light means of

EC No. 231-152-8 and its compounds

transport or vehicles, shall not containmore than 0,002% of cadmium (expressed
as cadmium metal) by weight ▌.
▌▌▌5469/23
ANNEX

KR/am
TREE.1.A

270

EN

2a. Lead

1. From 12 months after entry into force of

CAS No. 7439-92-1

the Regulation, portable batteries, whether

EC No. 231-100-4 and its compounds

or not incorporated into appliances, shallnot contain more than 0,01 % of lead(expressed as lead metal) by weight.
2. The restriction set out in point 1 shallnot apply to portable zinc-air button cells
until 60 months after entry into force of theRegulation.

5469/23
ANNEX

KR/am
TREE.1.A

271

EN

Annex II
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 modellingLife Cycle Inventories (LCI). The aggregated LCI results of the process chains that
represent the activities of a process are each multiplied by the corresponding activity
data and then combined to derive the carbon 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 scope of 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 thecompany. It is synonymous 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;

5469/23
ANNEX

KR/am
TREE.1.A

272

EN

(e)

‘Life cycle’ means the consecutive and interlinked stages of a product system, fromraw material acquisition or generation from natural resources to final disposal (ISO14040:2006 or equivalent);(f)‘Life cycle inventory (LCI)’ means the combined set of exchanges of elementary,
waste and product 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 and quantitative life cycle inventory. A LCI dataset could be aunit process dataset, partially aggregated or an aggregated dataset;(h)‘Reference flow’ means the measure of the outputs from processes in a given productsystem required to fulfil the function expressed by the functional unit (based on ISO
14040:2006 or equivalent);

5469/23
ANNEX

KR/am
TREE.1.A

273

EN

(i)

‘Secondary data’ means data not from a specific process within the supply-chain of
the company performing a carbon footprint study. This refers to data that is notdirectly collected, measured, or estimated by the company, but sourced from a third
party LCI database or other sources. Secondary data includes industry average data
(e.g., from published production data, government statistics, and industry
associations), literature studies, engineering studies and patents, and may also bebased on financial data, and contain proxy data, and other generic data. Primary datathat 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.
2.

Scope
This Annex provides essential elements on how to calculate the carbon footprint.

5469/23
ANNEX

KR/am
TREE.1.A

274

EN

The harmonised calculation rules referred to in Article 7 shall build on the essential
elements included in this Annex, be in compliance with the latest version of theCommission Product Environmental Footprint1 (PEF) method and relevant ProductEnvironmental Footprint Category Rules (PEFCRs)2 and reflect the international
agreements and technical/scientific progress in the area of life cycle assessment3.
The calculation of the life cycle carbon footprint shall be based on the bill of material, theenergy, and auxiliary materials used in a specific plant to produce a specific battery model.
In particular, the electronic components (e.g. battery management units, safety units) andthe cathode materials have to 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 over the service life by the battery system, measured in kWh. The total energy is
obtained from the number of cycles multiplied by the amount of delivered energy overeach cycle.

1
2
3

https://eur-lex.europa.eu/legalcontent/EN/TXT/PDF/?uri=CELEX:32013H0179&amp;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

5469/23
ANNEX

KR/am
TREE.1.A

275

EN

The reference flow is the amount of product needed to fulfil the defined function and shallbe measured in kg of battery per kWh of the total energy delivered by the battery over its
service life. All quantitative input and output data collected by the manufacturer toquantify the carbon footprint shall be calculated in relation to this reference flow.
As an exception, for back-up batteries that have as primary function ensuring continuityof a power source, the functional unit is defined as the ability of providing one kWmin(kilowatt-minute) of backup power capability at any moment over the lifetime of thebattery, measured in kWmin. The reference flow is the amount of product needed tofulfil the defined function and shall be measured in kg of battery per kWmin of backup
power capability divided by the service life of the battery in years. All quantitative input
and output data collected by the manufacturer to quantify the carbon footprint shall becalculated in relation to this reference flow. In exceptional cases, such as for batteries forhybrid non plug-in vehicles, the methodology may specify a different functional unit.
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 other relevant
sourcing, pre-processing and transport ofactive materials, up to the manufacturing ofbattery cells and batteries components(active materials, separator, electrolyte,
casings, active and passive battery
components), and electric/electronics
components.

5469/23
ANNEX

KR/am
TREE.1.A276

EN

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 havebeen calculated as negligible in the PEFCRs for high specific energy rechargeable
batteries for mobile applications;-

Battery assembly process with the original equipment manufacturer (OEM) systemcomponents. It mainly corresponds to mechanical assembly, and it is included inside
the OEM equipment or vehicle assembly line. The specific energy or material
consumption for this 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.

5469/23
ANNEX

KR/am
TREE.1.A

277

EN

5.

Use of company specific and secondary datasets
Due to the high number of battery components and the complexity of the processes, theeconomic 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 cell-casing 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 the relevant Product Environmental Footprint compliant
secondary datasets.
As the carbon footprint declaration shall be specific to a model battery produced in adefined production site, sampling of data collected from different plants producing thesame 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:-

5469/23
ANNEX

Raw material acquisition and pre-processing stage

KR/am
TREE.1.A

278

EN

6.

-

Production stage-

Distribution-

Own electricity production-

End of life stage

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) reportavailable at https://eplca.jrc.ec.europa.eu/permalink/PEF_method.pdf.
The results shall be provided as characterised results (without normalisation andweighting). The list of characterization factors to be used is available at▌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 theoffsets.
Offsets shall not be included in the carbon footprint declaration, but may be reported
separately as additional environmental information and used for communication purposes.

5469/23
ANNEX

KR/am
TREE.1.A

279

EN

8.

Carbon footprint performance classes
Depending on the distribution of the values of the batteries’ carbon footprint declarations
placed on the market, a meaningful number of classes of performance will be identified,with category A being the best class with the lowest carbon footprint life cycle impact, toallow for market differentiation of battery categories laid down in Article 7(1).
The identification of the threshold for each class of performance, as well as their width,
will be based on the distribution of performances of the battery categories laid down in
Article 7(1) placed on the market in the previous 3 years, the expected technologicalimprovements, and other technical factors to be identified.
▌

9.

Maximum carbon thresholds
Based on the information collected through the carbon footprint declarations and therelative distribution of the carbon footprint performance classes of battery models placedon the market, and taking into account the scientific and technical progress in the field, theCommission will identify maximum lifecycle carbon footprint thresholds for battery
categories laid down in Article 7(1), further to a dedicated impact assessment to determine
those values.

5469/23
ANNEX

KR/am
TREE.1.A

280

EN

In proposing maximum carbon footprint thresholds referred to in the first subparagraph,
the Commission will 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 footprintof batteries placed on the Union market and the effective and potential contribution of thismeasure to the Union’s objectives on sustainable mobility and climate neutrality by 2050.

5469/23
ANNEX

KR/am
TREE.1.A

281

EN

Annex III
Electrochemical performance and durability parameters for portable batteries ofgeneral use
Part A non-rechargeable batteries▌
2.

Minimum average duration, minimum average time met by a sample of batteries ondischarge when used in specific applications.

3.

▌Delayed discharge performance ▌, the relative decrease of the minimum average
duration, with the initially measured capacity as the reference point, after a defined
period of time and specific conditions (temperature, and relative humidity).

3a.

Resistance to leakage, resistance to unplanned escape of electrolyte, gas or othermaterial.

Part B rechargeable batteries
1.

Rated capacity, capacity value of a battery determined under specified conditions anddeclared by the manufacturer.

5469/23
ANNEX

KR/am
TREE.1.A

282

EN

Charge (capacity)1 retention, capacity that a battery can deliver after storage, at a2.

specific temperature, for a specific time without subsequent recharge as a percentage ofthe rated capacity.
3.

Charge (capacity) recovery, capacity that a battery can deliver with subsequent recharge
after storage, at a specific temperature, for a specific time, as percentage of rated
capacity.

4.

Endurance in cycles, the number of charge and discharge cycles a battery can perform
under specific conditions before the capacity drops below a specified fraction of the
rated capacity.

5.

Resistance to leakage, ▌ resistance to unplanned escape of electrolyte, gas or othermaterial ▌.

1

IEC mentions charge and capacity. Both represent the same physical quantity (charge); thedifference is only that charge is expressed in C = A*s whereas capacity is expressed in
A*h. In practice mostly capacity is used.

5469/23
ANNEX

KR/am
TREE.1.A

283

EN

Annex IV
Electrochemical performance and durability requirements for LMT batteries,
industrial batteries with a capacity above 2 kWh and electric vehicle batteriesPart 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.

Where applicable, energy round trip efficiency and its fade (in %).

5.

▌Their expected life-time under the reference conditions for which they have been designed
in terms of cycles, except for non-cycle applications, and calendar years.

▌‘Rated capacity’ means the total number of ampere-hours (Ah) that can be withdrawn from a fully
charged battery under specific reference conditions.

5469/23
ANNEX

KR/am
TREE.1.A284

EN‘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 rated capacity ▌.
‘Power’ means the amount of energy that a battery is capable to provide over a given period of time
under reference conditions.
‘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 underreference conditions, that is, the sum of electronic resistance and ionic resistance to thecontribution to total effective resistance including 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.

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 nominal 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.

5469/23
ANNEX

KR/am
TREE.1.A

285

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 fromexpansion and contraction of cell components upon exposure to extreme and suddenchanges in temperature and 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 shortcircuit. The test can evaluate the activation of the overcurrent protection device or theability of cells to withstand the current without reaching a hazardous situation (e.g. thermal
runaway, explosion, fire). The main risk factors are heat generation at cell level andelectrical arcing which may damage circuitry or may lead to reduced isolation resistance.

5469/23
ANNEX

KR/am
TREE.1.A

286

EN

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 andanode breakdown, exothermic decomposition of the solid electrolyte interphase (SEI)
layer, separator degradation, and the Lithium plating, which can lead to self-heating of thebattery and thermal runaway. The factors affecting the outcome of the test shall include, atleast, the charging rate and the finally reached state-of-charge (SOC). The protection canbe ensured by either voltage control (interruption after reaching the limit charging voltage)or current control (interruption after exceeding maximum charging current).

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 theanode current collector (Copper) and to plating on the cathode side. Even minor overdischarge 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 otherprotection features against internal overheating during operation.

5469/23
ANNEX

KR/am
TREE.1.A

287

EN

6.

Thermal propagation protection
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 be composed of numerous cells. It can lead to severe consequences
including a significant gas release. The test shall take into account the tests underdevelopment for transport applications by ISO and UN GTR.

7.

Mechanical damage by external forces ▌These tests shall simulate one or more situations in which a battery is accidentally exposed
to mechanical stresses and remains operational for the purpose for which it was designed.
The criteria to simulate these situations should reflect real life uses.

5469/23
ANNEX

KR/am
TREE.1.A

288

EN

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, potentially leads 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 most of in-field safety incidents. Multiple
internal short circuits scenarios are possible (e.g. electrical contact 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 runawayof the cell.
▌5469/23
ANNEX

KR/am
TREE.1.A

289

EN

9a.

Fire test
The risk of explosion shall be assessed by exposing the battery to fire.

10.

Emission of gases
Batteries can contain significant amounts of potentially hazardous materials, forexample highly flammable electrolytes, corrosive and toxic components. If exposed tocertain conditions, the integrity of the battery could be compromised, with release ofhazardous gases. Therefore, it is important to identify emission of substances released
from the battery during tests: proper considerations to the risk of toxic gases emitted
from non-aqueous electrolytes shall be made for all safety parameters listed in points 1
to 10.

5469/23
ANNEX

KR/am
TREE.1.A

290

EN

Annex VI
Labelling, marking and information requirements
Part A: General information about batteries
Information on the label of batteries:
1.

the manufacturer’s identification in accordance with Article 38(8);2.

the battery category and its identification in accordance with Article 38(7a);

▌
▌
▌
3.

manufacturing place (geographical location of a battery manufacturing facility);4.

manufacturing date (month and year);5.

weight;5a.

capacity;

5469/23
ANNEX

KR/am
TREE.1.A

291

EN

6.

chemistry;

7.

hazardous substances contained in the battery other than mercury, cadmium or lead;▌
9.

usable extinguishing agent.

10.

Critical raw materials contained in the battery above a concentration of 0,1 % weight byweight.

Part B: Symbol for separate collection of batteriesPart C: QR code
The QR code shall be of a high colour contrast and of a size that is easily readable by a commonly
available QR reader, such as those integrated in hand-held communication devices.

5469/23
ANNEX

KR/am
TREE.1.A

292

EN

Annex VII
Parameters for determining the state of health of batteries and expected lifetime ofbatteries
Part A
Parameters for determining the state of health of batteries:
Electric vehicle batteries
1.

State of certified energy (SOCE)

Stationary battery energy storage systems and LMT batteries
1.

Remaining capacity;▌
3.

Where possible, remaining power capability ▌;4.

Where possible, remaining round trip efficiency;▌

5469/23
ANNEX

KR/am
TREE.1.A

293

EN

6.

Evolution of self-discharging rates;

7.

Where possible, ohmic resistance ▌.

Part B
Parameters for determining the expected lifetime of stationary battery energy storage systems andLMT batteries:
1.

The date of manufacturing of the battery and, where appropriate, 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.

5469/23
ANNEX

Number of full charge-discharge cycles.

KR/am
TREE.1.A

294

EN

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, andensures and declares on his sole responsibility that the batteries concerned satisfy therequirements set out in Articles 6, 9, 10 ▌, 12, 13 and 14 that apply to them.

2.

Technical documentation
The manufacturer shall draw up the technical documentation. The documentation shallmake 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 the risk(s).

5469/23
ANNEX

KR/am
TREE.1.A

295

EN

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 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, subassemblies, circuits;(c)descriptions and explanations necessary for the understanding of the drawings andschemes referred to in point (b) and the operation of the battery;(ca) a specimen of the labelling required in accordance with Article 13;(d)a list which includes:(i)a list of the harmonised standards referred to in Article 15, applied in full or inpart, including an indication of which parts have been applied;(ii)

a list of the common specifications referred to in Article 16, applied in full orin part, including an indication of which parts have been applied;(iii) a list of other relevant technical specifications used for measurement or
calculation purposes;▌

5469/23
ANNEX

KR/am
TREE.1.A

296

EN

(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 notavailable, a description of the solutions adopted to meet the applicablerequirements referred to in point 1 or to verify the compliance of batteries withthose requirements;(da) results of design calculations made, examinations carried out, technical or
documentary evidence used; and(e)3.

test reports.

Manufacturing
The manufacturer shall take all measures necessary so that the manufacturing process andits monitoring ensure compliance of the batteries with the technical documentationreferred to in point 2 and with the applicable requirements referred to in point 1.

4.

CE marking and EU declaration of conformity
The manufacturer shall affix the CE marking to each individual ▌ 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 ▌ .

5469/23
ANNEX

KR/am
TREE.1.A

297

EN

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 thedisposal of the national authorities for ten years after the last battery belonging to therespective battery model has been placed on the market. The EU declaration ofconformity 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 national
authorities ▌ upon request.
5.

Manufacturer’s Authorised representative
The manufacturer’s obligations set out in point 4 may be fulfilled by the manufacturer’s
authorised representative, on its behalf and under the manufacturer’s responsibility,
provided that they are specified in the mandate.

5469/23
ANNEX

KR/am
TREE.1.A

298

EN

Part B
MODULE D1 - QUALITY ASSURANCE OF THE PRODUCTION PROCESS
1.

Description of the module
Quality assurance of the production process is the conformity assessment procedure
whereby the manufacturer fulfils the obligations laid down in points 2, 4 and 7 of thismodule, and ensures and declares on his sole responsibility, without prejudice to the
responsibilities of other economic operators in accordance with this Regulation, that thebatteries concerned satisfy the applicable requirements set out in Articles 7 and 8, or, atthe choice of the manufacturer, all applicable requirement set out in Articles 6 to 10 and
12 to 14.

2.

Technical documentation
The manufacturer shall establish the technical documentation. The technicaldocumentation shall make it possible 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)5469/23
ANNEX

a general description of the battery and its intended use,

KR/am
TREE.1.A

299

EN

(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,(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 theapplicable requirements referred to in point 1 or to verify the compliance ofbatteries 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.,

5469/23
ANNEX

KR/am
TREE.1.A

300

EN

(h)

a study supporting the carbon footprint values referred to in Article 7(1) and thecarbon footprint class referred to in Article 7(2), containing the calculations madein accordance with the methodology set out in the delegated act adopted by theCommission pursuant to point (a) 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)3.

test reports.

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.

5469/23
ANNEX

KR/am
TREE.1.A

301

EN

4.

Manufacturing
The manufacturer ▌ shall operate an approved quality system for production, final
product inspection and testing of the batteries concerned as specified in point 5, andshall be subject to surveillance as specified in point 6.

5.

Quality system
1.

The manufacturer shall lodge an application for assessment of his quality systemwith 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 islodged by the manufacturer’s authorised representative, his name andaddress as well,(b)a written declaration that the same application has not been lodged withany other notified body,5469/23
ANNEX(c)

all relevant information for the battery category envisaged,(d)

the documentation concerning the quality system referred to in point 5.2,(e)the technical documentation referred to in point 2.

KR/am
TREE.1.A

302

EN

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 shallbe documented in a systematic and orderly manner in the form of written policies,
procedures and instructions. The quality system documentation shall permit aconsistent interpretation 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 andpowers of 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 toin Article 8 and, where applicable, the carbon footprint values and classreferred to in 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 carriedout before, during and after manufacture, and the frequency with which they
will be carried out,

5469/23
ANNEX

KR/am
TREE.1.A

303

EN

(e)

the quality records, such as inspection reports and calculation, measurement
and test data, calibration data, qualification reports on the personnel
concerned, etc.,(f)

the means of monitoring the achievement of the required product quality andthe effective operation of the quality system.

3.

The notified body shall assess the quality system to determine whether it satisfies
the requirements referred to in point 5.2.
It shall presume conformity with those requirements in respect of the elements of
the quality system that comply with the corresponding specifications of the relevant
harmonised standard.
In addition to experience in quality management systems, the auditing team shallhave at least one member with experience of evaluation in the relevant productfield and product technology concerned, and knowledge of the applicablerequirements referred to in point 1. The audit shall include an assessment visit to
the manufacturer's premises.

5469/23
ANNEX

KR/am
TREE.1.A

304

EN

The auditing team shall review the technical documentation referred to in point 2
in order 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 withthose requirements. The auditing team shall check the reliability of data used forthe calculation of the recycled content share referred to in Article 8 and, whereapplicable, 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.
4.

The manufacturer shall undertake to fulfil the obligations arising out of thequality system as approved and to maintain it so that it remains adequate andefficient.

5.

The manufacturer shall keep the notified body that has approved the quality
system informed of any intended change to the quality system.

5469/23
ANNEX

KR/am
TREE.1.A

305

EN

The notified body shall evaluate any proposed changes and decide whether themodified quality system will continue to satisfy the requirements referred to inpoint 5.2 or whether reassessment is necessary.
The notified body shall notify the manufacturer of its decision. The notification
shall contain the conclusions of the examination and the reasoned assessment
decision.
6.

Surveillance under the responsibility of the notified body
1.

The purpose of surveillance is to make sure that the manufacturer duly fulfils theobligations arising out of the approved quality system.

2.

The manufacturer shall, for assessment purposes, allow the notified body access tothe manufacture, inspection, testing and storage sites and shall provide it with allnecessary 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
and test data, calibration data, qualification reports on the personnel
concerned, etc.

5469/23
ANNEX

KR/am
TREE.1.A

306

EN

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 an audit report. During such audits the notified body shallcheck at least 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 therelevant calculation methodology.

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 a visit report and, if tests have been carried out, with a test
report.

7.

CE marking and EU declaration of conformity
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, tothe packaging and the documents accompanying the battery.

5469/23
ANNEX

KR/am
TREE.1.A

307

EN

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 shallidentify the battery 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:

9.

(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.

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.

5469/23
ANNEX

KR/am
TREE.1.A

308

EN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 under the
manufacturer's responsibility, provided that they are specified in the mandate.

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 ensures and declares on his sole responsibility, without prejudice to the
responsibilities of other economic operators in accordance with this Regulation, that thebattery 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.

5469/23
ANNEX

KR/am
TREE.1.A

309

EN

2.

Technical documentation
2.1

The manufacturer shall establish the technical documentation and make itavailable to the notified body referred to in point 4. The technical documentation
shall make it possible 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 thebattery.
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,
sub-assemblies, circuits, etc.,(c)descriptions and explanations necessary for the understanding of thedrawings and schemes referred to in point (b) and the operation of thebattery,(d)5469/23
ANNEX

a specimen of the labelling required in accordance with Article 13,

KR/am
TREE.1.A

310

EN

(e)

a list of the harmonised standards referred to in Article 15 and/or thecommon specifications referred to in Article 16 applied, and, in the event of
partly applied harmonised standards and/or common specifications, anindication 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 theapplicable requirements referred to in point 1 or to verify the compliance ofbatteries 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 and class referred to in Article
7, containing the calculations made in accordance with the methodology set
out in the delegated 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,

5469/23
ANNEX

KR/am
TREE.1.A

311

EN

(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 the evidence and information determining
the input data for those calculations,

(j)
2.2

test reports.

The manufacturer shall keep the technical documentation at the disposal of thenational 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
and its monitoring ensure conformity of the manufactured battery with the applicablerequirements referred to in point 1.

5469/23
ANNEX

KR/am
TREE.1.A

312

EN

4.

Verification
4.1

A notified body chosen by the manufacturer shall carry out appropriate
examinations, calculations, measurements and tests, 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
with the applicable requirements referred to in point 1, 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.
The notified body shall issue a certificate of conformity in respect of theexaminations, 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 thenational authorities for 10 years after the battery has been placed on the market.

5.

CE marking and EU declaration of conformity
The manufacturer 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 thatsatisfies 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.

5469/23
ANNEX

KR/am
TREE.1.A

313

EN

The manufacturer shall draw up an EU declaration of conformity in accordance with
Article 18 for each battery and keep it at the disposal of the national authorities for 10
years after the battery 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 national
authorities upon request.
6.

Manufacturer's authorised representative
The manufacturer's obligations set out in points 2.2, 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.

5469/23
ANNEX

KR/am
TREE.1.A

314

EN

Annex IX
EU Declaration of conformity No* …
* (identification number of the declaration)
1.

Battery model (product, category, and batch or serial number):2.

Name and address of the manufacturer and, where applicable, its 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, and whichmay, where appropriate, include an image of the battery): description of the battery.

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 ofintervention) … and issued the certificate(s): … (details, including its date, and, whereappropriate, 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)5469/23
ANNEX

KR/am
TREE.1.A

315

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 (d) which arenecessary for the manufacturing of the active materials of batteries.

2.

Social and environmental risk categories:(a)environment, climate and human health considering direct, induced, indirect andcumulative effects, including but not limited to:(i)air, including but not limited to air pollution, including greenhouse gas
emissions;

5469/23
ANNEX

KR/am
TREE.1.A

316

EN

(ii)

water, including seabed and marine environment and including but notlimited to water pollution, water use, water quantities (flooding or draughts)
and access to water;(iii) soil, including but not limited to soil pollution, soil erosion, land use andland degradation;(iv) biodiversity, including but not limited to damage to habitats, wildlife, floraand ecosystems, including ecosystem services;(v)

hazardous substances;(vi) noise and vibration;(vii) plant safety;(viii) energy use;(ix) waste and residues;(b)5469/23
ANNEX

human rights, labour rights and industrial relations, including but not limited to:(i)occupational health and safety,(ii)▌child labour,

KR/am
TREE.1.A

317

EN

(iii) forced labour,(iv) discrimination,(v)

trade union freedoms;

▌
(c)
3.

community life, including that of indigenous peoples;

The international instruments covering the risks referred to in point 2 include:(a)

Ten Principles of the United Nations Global Compact;(b)

UNEP Guidelines for Social Life Cycle Assessment of Products;(c)

Convention on Biological Diversity, in particular Decision COP VIII/28- Voluntary
guidelines on Biodiversity-Inclusive impact assessment;(ca) UN Paris Agreement;(cb) Eight fundamental ILO Conventions as defined under the ILO Declaration on
Fundamental Principles and Rights at work;(cc) any other international environmental conventions that are binding upon theUnion or its Member States,

5469/23
ANNEX

KR/am
TREE.1.A

318

EN

▌
(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;▌▌
3a.

The internationally recognized due diligence principles applicable to the due diligencerequirements laid down in Article 39 of this Regulation:(a)

The International Bill of Human Rights, including the international covenant on
Civil and Political Rights and the International Covenant on Economic, Social andCultural Rights;(b)

UN Guiding Principles for Businesses and Human Rights;(c)

OECD Guidelines for Multinational Enterprises;(d)

ILO Tripartite Declaration of Principles concerning Multinational Enterprises andSocial Policy;(e)OECD Due Diligence Guidance for Responsible Business Conduct;(f)OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from
Conflict-Affected and High-Risk Areas.

▌5469/23
ANNEX

KR/am
TREE.1.A

319

EN

Annex XI
Calculation of collection rates of waste portable batteries and waste LMT batteries
1.

Producers or, where appointed in accordance with Article 47a(1), producer responsibility
organisations acting on their behalf, and Member States shall calculate the collection rate
as the percentage obtained by dividing the weight of waste ▌ batteries ▌ , collected inaccordance 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 make available
on the market directly to end-users or deliver to third parties in order to make available on
the market them to end-users in that Member State during the 3 preceding 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 accordancewith Article 48a.
Year

Data collections

Calculations

Reportingrequirement

Year 1

Sales inyear 1 (S1)

Year 2

Sales in--

Sales inCollection in

Collection rate

year 4 (S4)year 4 (C4)

(CR4)=3*C4/(S1+S2+S3)

Sales inCollection in

Collection rate

year 5 (S5)year 5 (C5)

(CR5)=3*C5/(S2+S3+S4)

Etc.

Etc.

Etc.

year 2 (S2)Year 3

Sales inyear 3 (S3)Year 4
Year 5
Etc.

5469/23
ANNEX

CR4
CR5

KR/am
TREE.1.A

320

EN

2.

Producers or, where appointed in accordance with Article 47a(1), producer responsibility
organisations acting on their behalf, and Member States shall calculate the annual sales of▌ batteries ▌ to end-users in a given year, as the weight of such batteries made available
on the market for the first time within the territory of the Member State in the year
concerned, excluding any ▌ batteries that have left the territory of that Member State inthat year, before being sold to the end -users. These sales are calculated for portablebatteries on the one hand and 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
shall be counted.

4.

The calculation provided for in points 1 and 2 shall be based on collected data or
statistically significant estimates based on collected data.

5469/23
ANNEX

KR/am
TREE.1.A

321

ENAnnex XII
Storage and treatment, including recycling, requirements
Part A: Storage, 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 facilities, including
recycling facilities shall take place in sites with impermeable surfaces and suitable
weatherproof covering or in suitable containers.

3.

Waste batteries in treatment facilities, including recycling facilities, shall be stored in sucha 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 during handling, sorting and storage. Such measures shall include
protection from exposure to:5469/23
ANNEX(a)excessive heat (such as high temperatures, fire or direct sunlight),(b)water (stored in dry place, protected from precipitation and flooding),(c)

any crushing or physical damage.

KR/am
TREE.1.A

322

EN

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 and cadmium shall be separated during treatment into an identifiable stream,
which shall be safely immobilised and disposed and cannot cause adverse effects onhumans or the environment.

Part B: Minimum recycling efficiencies
1.

No later than 31 December 2025, recycling ▌ 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;(ba) recycling of 80 % by average weight of nickel-cadmium batteries;(c)5469/23
ANNEX

recycling of 50 % by average weight of other waste batteries.

KR/am
TREE.1.A

323

EN

2.

No later than 31 December 2030, recycling ▌ 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: Minimum levels of recovered materials
1.

No later than 31 December 2027, all recycling ▌ shall achieve the following minimum
levels of materials recovery:

5469/23
ANNEX(a)

90 % for cobalt;(b)

90 % for copper;(c)

90 % for lead;(d)

50 % for lithium;(e)

90 % for nickel.

KR/am
TREE.1.A

324

EN

2.

No later than 31 December 2031, all recycling ▌ shall achieve the following minimum
levels of materials recovery:

5469/23
ANNEX(a)

95 % for cobalt;(b)

95 % for copper;(c)

95 % for lead;(d)

80 % for lithium;(e)

95 % for nickel.

KR/am
TREE.1.A

325

EN

Annex XIII
Information to be included in the battery passport▌
1.

PUBLICLY ACCESSIBLE INFORMATION RELATING TO THE BATTERY MODEL
A battery passport shall include the following information relating to the battery model
which shall be accessible to the public:(a)

Information specified in Part A of Annex VI;(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;

▌
▌
▌
(f)

5469/23
ANNEX

Carbon footprint information referred to in Articles 7(1) and 7(2);KR/am
TREE.1.A

326

EN

(g)

Information on responsible sourcing as indicated in the report on its due diligencepolicies referred to in Article 45e(3)(h)

Recycled content information as contained in the documentation referred to in
Article 8(1);(ha) The share of renewable content;(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 whenrelevant;(l)

Expected battery lifetime expressed in cycles, and reference test used;(m) Capacity threshold for exhaustion (only for electric vehicle batteries);

5469/23
ANNEX(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;

KR/am
TREE.1.A

327

EN

(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
down in point (a) to (f) of Article 60(1).

2.

INFORMATION RELATING TO THE BATTERY MODEL ACCESSIBLE ONLY TO
INTERESTED PERSONS AND THE COMMISSION
A battery passport shall include the following information relating to the battery model
which shall be accessible only to interested persons and the Commission:(a)

Detailed composition, including materials used in the cathode, anode and electrolyte;(b)Part numbers for components and contact details of sources for replacement spares;(c)Dismantling information, including at least:-

Exploded diagrams of the battery system/pack showing the location of battery
cells,-

5469/23
ANNEX

Disassembly sequences,

KR/am
TREE.1.A

328

EN

(d)
3.

-

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.

INFORMATION ACCESSIBLE ONLY TO NOTIFIED BODIES, MARKETSURVEILLANCE AUTHORITIES AND THE COMMISSION
A battery passport shall include the following information relating to the battery model
which shall be accessible only to notified bodies, market surveillance authorities and theCommission:(a)Results of tests reports proving compliance with the requirements set out in thisRegulation or any implementing or delegated act adopted on its basis.

5469/23
ANNEX

KR/am
TREE.1.A

329

EN

4.

INFORMATION AND DATA RELATING TO AN INDIVIDUAL BATTERYACCESSIBLE ONLY TO INTERESTED PERSONS
A battery passport shall include the following specific information and data relating toan individual battery which shall be accessible only to interested persons:(a)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;(aa) information on the state of health of the battery pursuant to Article 14;(b)

information on the status of the battery, defined as 'original’, ‘repurposed’,‘reused’, 'remanufactured' 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.

5469/23
ANNEX

KR/am
TREE.1.A330

EN

Annex XIV
Correlation table

Directive 2006/66/EC

This Regulation

Article 1

Article 1

Article 1 first subparagraph 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---

5469/23
ANNEX

KR/am
TREE.1.A

331

EN

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---

5469/23
ANNEX

KR/am
TREE.1.A

332

EN

Article 4

Article 6

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---5469/23
ANNEX

KR/am
TREE.1.A

333

EN

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 subparagraph5469/23
ANNEX

Article 48(5)KR/am
TREE.1.A

334

EN

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

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)Article 55(2), Article 62(1) second

5469/23
ANNEX

KR/am
TREE.1.A

335

ENsubparagraphArticle 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)5469/23
ANNEX

KR/am
TREE.1.A

336

EN

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

Article 15(1)Article 58(1)Article 15(2)Article 58(2)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)5469/23
ANNEX

KR/am
TREE.1.A

337

EN

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)5469/23
ANNEX

KR/am
TREE.1.A

338

EN

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

Article 21(1)Article 13(3)Article 21(2)Article 13(2)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---

5469/23
ANNEX

KR/am
TREE.1.A

339

EN

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)5469/23
ANNEX

KR/am
TREE.1.A

340

EN

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

Annex III Part A

Annex XII Part A

Annex III Part B

Annex XII Part B

Annex IV Procedural requirements for---registration

5469/23
ANNEX

KR/am
TREE.1.A

341

EN

Annex XIV (new)Minimum requirements for shipments of used batteries
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 shall be
required to have available the following to substantiate this claim:(a)a copy of the invoice and contract relating to the sale or transfer of ownership ofthe 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 the consignment 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 definedby Article 3(1) of Directive (EU) 2008/98; and(d)appropriate protection against damage during transportation, loading andunloading in particular through sufficient packaging and appropriate stacking of
the load.

5469/23
ANNEX

KR/am
TREE.1.A

342

EN

2.

By way of derogation, point 1(a) and (b) and point 3 do not apply where it is documented
by conclusive proof that the shipment is taking place in the framework of a business-tobusiness 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 forrecovery operations applies, for refurbishment 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 an analysis can only be conducted by the producer or third parties
acting on his behalf.

5469/23
ANNEX

KR/am
TREE.1.A

343

EN

3.

In order to demonstrate that the object being shipped constitute used batteries, rather
than waste, its holder shall carry out the following steps for testing and record keeping
for used batteries:
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 used battery
itself (if not packed) or on the packaging so it can be read without unpacking theequipment.

(b)5469/23
ANNEX

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.

KR/am
TREE.1.A

344

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:

5.

(a)

a relevant transport document;(b)a declaration by the liable person on its responsibility.

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 throughsufficient 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 shallbe presumed that the load comprises an illegal shipment. In these circumstances the load
will be dealt with in accordance with Articles 24 and 25 of Regulation (EC) No
1013/2006.

5469/23
ANNEX

KR/am
TREE.1.A

345

EN