EUROPEAN UNIONTHE EUROPEAN PARLIAMENT

THE COUNCIL
Brussels, 28 June 2023
(OR. en)

2020/0353 (COD)

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ENV 45
ENT 11
MI 32
CODEC 44LEGISLATIVE ACTS AND OTHER INSTRUMENTS
Subject:

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE
COUNCIL concerning batteries and waste batteries, amending Directive
2008/98/EC and Regulation (EU) 2019/1020 and repealing Directive
2006/66/EC

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REGULATION (EU) 2023/…
OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL
of …
concerning batteries and waste batteries,
amending Directive 2008/98/EC and Regulation (EU) 2019/1020
and repealing Directive 2006/66/EC(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 54 to 76 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,
After consulting the Committee of the Regions,
Acting in accordance with the ordinary legislative procedure2,

1
2

OJ C 220, 9.6.2021, p. 128.
Position of the European Parliament of 14 June 2023 [(OJ …)/(not yet published in the
Official Journal)] and decision of the Council of …

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1ENWhereas:(1)

The Communication of the Commission of 11 December 2019 on ‘The European Green
Deal’ (the ‘European Green Deal’) is Europe’s growth strategy that aims to transform theUnion into a fair and prosperous society, with a modern, resource-efficient and competitive
economy where there are no net greenhouse gas emissions in 2050 and where economic
growth is decoupled 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 and manufactured in a sustainable manner.

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(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 themarket for batteries an increasingly strategic one at the global level. Significant scientificand technical progress in the field of battery technology will continue. In view of thestrategic importance of batteries, to provide legal certainty to all operators involved and to
avoid discrimination, barriers to trade and distortions on the market for batteries, it isnecessary to set out rules on the sustainability, performance, safety, collection, recycling
and second life of batteries as well as on information about batteries for end-users andeconomic operators. It is necessary to create a harmonised regulatory framework fordealing with the entire life cycle of batteries that are placed on the market in the Union.

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(3)

It is also necessary to update Union law on the management of waste batteries and to takemeasures to protect the environment and human health by preventing or reducing theadverse impacts of the generation and management of waste, by reducing the impact ofresource 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.

(4)

Directive 2006/66/EC of the European Parliament and of the Council1 has brought about
an improvement in the environmental performance of batteries and established somecommon rules and obligations for economic operators, in particular through harmonised
rules for the heavy metal content and labelling of batteries and rules and targets for the
management of all waste batteries, based on extended producer responsibility.

1

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).

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(5)

The Commission’s reports on the implementation, impact and evaluation of Directive
2006/66/EC submitted in 2019 highlighted not only the achievements but also thelimitations of that Directive, in particular against a fundamentally changed context
characterised by the strategic importance of batteries and their increased use.

(6)

The Communication of the Commission of 17 May 2018 on ‘Europe on the move –Sustainable Mobility for Europe: safe, connected and clean’ includes the Strategic Action
Plan on Batteries. That action plan sets out measures to support efforts to build a battery
value chain in Europe, covering raw materials extraction, sustainable sourcing andprocessing, sustainable battery materials, cell manufacturing as well as re-use andrecycling of batteries.

(7)

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.

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(8)

In its conclusions of 4 October 2019 on ‘More circularity – Transition to a sustainable
society’, the Council 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 battery 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.

(9)

The Communication of the Commission of 11 March 2020 on ‘A new Circular Economy
Action Plan – For a cleaner and more competitive Europe’ 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
the recovery of valuable materials and to provide guidance to consumers and will address
the possible phasing out of non-rechargeable batteries where alternatives exist.
Furthermore, it is stated that sustainability and transparency requirements will beconsidered, taking into account the carbon footprint of battery manufacturing, the ethicalsourcing of raw materials and the security of supply in order to facilitate re-use,
repurposing and recycling of batteries.

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(10)

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 waste
batteries. In order to reach the envisaged objectives of addressing the whole life cycle of abattery in one legal instrument while avoiding barriers to trade and a distortion ofcompetition and safeguarding the integrity of the internal market, the rules setting out therequirements for batteries should be of uniform application for all economic operators
across the Union and not leave room for divergent implementation by Member States.
Directive 2006/66/EC should therefore be replaced by a Regulation.

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(11)

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. It should apply regardless of whether a battery is incorporated into appliances,
light means of transport or other vehicles or otherwise added to products or whether abattery is placed on the market or put into service within the Union on its own. This
Regulation should apply regardless of whether a battery is specifically designed for a
product or is of general use and regardless of whether it is incorporated into a product or is
supplied together with or separately from a product in which it is to be used. Placing on themarket is considered to take place when the battery has been made available for the firsttime on the Union market, by being supplied by the manufacturer or importer for
distribution, consumption or use in the course of a commercial activity, whether in returnfor payment or free of charge. Thus, batteries placed in stock in the Union by distributors,
including retailers, wholesalers and sales divisions of manufacturers, before the date ofapplication of relevant requirements of this Regulation do not need to meet thoserequirements.

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(12)

This Regulation should prevent and reduce adverse impacts of batteries on the environment
and ensure a safe and sustainable battery value chain for all batteries, taking into account,
for instance, the carbon footprint of battery manufacturing, ethical sourcing of raw
materials and security of supply, and facilitating re-use, repurposing and recycling. It
should seek to improve the environmental performance of batteries and of the activities ofall operators involved in the life cycle of batteries, such as producers, distributors and endusers and, in particular, those operators directly involved in the treatment and recycling ofwaste batteries. Such measures will help to ensure the transition to a circular economy andthe long-term competitiveness of the Union and should contribute to the efficient
functioning of the internal market, while taking into account a high level of protection of
the environment. This Regulation should also aim to prevent and reduce the adverse
impacts of the generation and management of waste batteries on human health and theenvironment and it should aim to reduce the use of resources and favour the practicalapplication of the waste hierarchy. Thus, to prevent divergences hampering the freecirculation of batteries, by laying down uniform obligations and requirements throughout
the internal market, Article 114 of the Treaty on the Functioning of the European Union(TFEU) is the appropriate legal basis for this Regulation. To the extent that this Regulation
contains specific rules on the management of waste batteries, the appropriate legal basis, in
so far as those specific rules are concerned, is Article 192(1) TFEU.

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(13)

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

(14)

Batteries that can be made ready for use by the end-user with commonly available tools byusing a ‘Do It Yourself’ kit, should be considered to be batteries for the purposes of thisRegulation. The economic operator placing such kits on the market should be subject tothis Regulation.

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(15)

Within the broad scope of this Regulation, it is appropriate to distinguish between different
categories of batteries in accordance with their design and use, independently of theirbattery chemistry. The classification into portable batteries, on the one hand, and industrial
batteries and automotive batteries on the other hand under Directive 2006/66/EC should befurther developed to better reflect new developments in the use of batteries. Batteries thatare used for traction in electric vehicles and which, under Directive 2006/66/EC, fall under
the category of industrial batteries, constitute a large and growing part of the market due tothe quick growth of electric road transport vehicles. It is therefore appropriate to classify
those batteries that are used for traction in road vehicles as a new separate category ofelectric vehicle batteries. Batteries used for traction in light means of transport, such as
e-bikes and e-scooters, were not classified as a separate category of battery under Directive
2006/66/EC. However, such batteries constitute a significant part of the market due to theirgrowing use in urban sustainable mobility. It is therefore appropriate to classify thosebatteries as a new separate category of batteries, namely light means of transport batteries(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 this Regulation.

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The industrial battery category encompasses a broad group of batteries, intended to be used
for industrial activities, communication infrastructure, agricultural activities, or generationand distribution of electric energy. Batteries which are given industrial uses after being
subject to preparation for repurposing or repurposing, even though they were initiallydesigned for a different use, should be considered to be industrial batteries under thisRegulation. In addition to this non exhaustive list of examples, any battery that weighs
more than 5 kg that does not fall under any other categories under this Regulation should
be considered to be an industrial battery. Batteries used for energy storage in private ordomestic environments, should be considered to be industrial batteries for the purposes ofthis Regulation. Batteries used for traction in wheeled vehicles considered to be toys within
the meaning of Directive 2009/48/EC of the European Parliament and of the Council1,
should, for the purposes of this Regulation, not be considered to be LMT batteries, but tobe portable batteries.

1

Directive 2009/48/EC of the European Parliament and of the Council of 18 June 2009 on thesafety of toys (OJ L 170, 30.6.2009, p. 1).

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(16)

After being placed on the market or put into service within the Union for the first time, abattery can be subject to re-use, repurposing, remanufacturing, preparation for re-use or
preparation for repurposing. For the purposes of this Regulation, in accordance with theUnion framework on product regulation, a used battery, meaning a battery that has been
subject to re-use, is considered to have already been placed on the market when it was firstmade available on the market for use or distribution. Conversely, batteries that have been
subject to preparation for re-use, preparation for repurposing, repurposing or
remanufacturing, are considered to be placed on the market anew and should therefore
comply with this Regulation. In addition, in accordance with the Union framework on
product regulation, a used battery that has been imported from a third country is considered
to be placed on the market when it enters the Union for the first time. Therefore, a battery
that has been subject to re-use, repurposing, remanufacturing, preparation for re-use or
preparation for repurposing and that has been imported from a third country should comply
with this Regulation.

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(17)

Remanufacturing covers a wide range of technical operations that can be carried out onbatteries or on waste batteries. As regards waste batteries, remanufacturing can beconsidered to be preparation for re-use or preparation for repurposing. For that reason, it is
not necessary to provide in this Regulation a specific regime for the remanufacturing ofwaste batteries that is different from the regime on preparation for re-use or preparation for
repurposing of waste batteries. As regards used batteries, remanufacturing has theobjective of restoring the original performance of a battery. In that sense remanufacturing
can be seen as an extreme case of re-use entailing the disassembly and evaluation of thecells and modules of the battery and the replacement of a certain amount of these cells andmodules. In order to differentiate remanufacturing from mere re-use, the restoration of thebattery capacity to at least 90 % of the original rated battery capacity should be considered
to be remanufacturing and necessitates the application of a specific regime.

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(18)

Where the end-user is a consumer, and the battery has been subject to preparation for reuse, preparation for repurposing, repurposing or remanufacturing, that battery should becovered by a sales contract that complies with Directive (EU) 2019/771 of the European
Parliament and of the Council1. In particular, the requirements of that Directive coverconformity of the product, liability of the seller, including the option of a shorter liability
or limitation period, burden of proof, remedies for lack of conformity, repair or
replacement of the goods, and commercial guarantees.

(19)

Batteries should be designed and manufactured 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 a capacity
greater than 2 kWh, LMT batteries and electric vehicle batteries, as such batteries represent
the market segment which is expected to increase the most in the coming years.

1

Directive (EU) 2019/771 of the European Parliament and of the Council of 20 May 2019 on
certain aspects concerning contracts for the sale of goods, amending Regulation(EU) 2017/2394 and Directive 2009/22/EC, and repealing Directive 1999/44/EC (OJ L 136,
22.5.2019, p. 28).

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(20)

For the safety of electric vehicle batteries and starting, lighting and ignition batteries(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 of the European Parliament andof the Council1 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.

1

Regulation (EU) 2018/858 of the European Parliament and of the Council of 30 May 2018
on the approval and market surveillance of motor vehicles and their trailers, and of systems,
components and separate technical units intended for such vehicles, amending Regulations(EC) No 715/2007 and (EC) No 595/2009 and repealing Directive 2007/46/EC (OJ L 151,
14.6.2018, p. 1).

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(21)

In line with the Communication of the Commission of 12 May 2021 on ‘Pathway to a
Healthy Planet for All – EU Action Plan: “Towards Zero Pollution for Air, Water andSoil”’, Union policies should be based on the principle that preventive action should betaken at source. In its Communication of 14 October 2020 on ‘Chemicals Strategy for
Sustainability – Towards a Toxic-Free Environment’ (the ‘Chemicals Strategy for
Sustainability’), the Commission underlines that the Regulation (EC) No 1907/2006 of theEuropean Parliament and of the Council1 and Regulation (EC) No 1272/2008 of theEuropean Parliament and of the Council2 should be reinforced as the Union’s cornerstones
for regulating chemicals in the Union and that they should be complemented by coherent
approaches to assess and manage chemicals in existing sectorial legislation. The use ofhazardous substances in batteries should therefore primarily be restricted at source in orderto protect human health and the environment and to manage the presence of such
substances in waste. This Regulation should complement the Regulation(EC) No 1907/2006 and Regulation (EC) No 1272/2008 and allow the adoption of risk
management measures related to substances including the waste phase.

12Regulation (EC) No 1907/2006 of the European Parliament and of the Councilof 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restrictionof Chemicals (REACH), establishing a European Chemicals Agency, amending Directive
1999/45/EC and repealing Council Regulation (EEC) No 793/93 and Commission
Regulation (EC) No 1488/94 as well as Council Directive 76/769/EEC and Commission
Directives 91/155/EEC, 93/67/EEC, 93/105/EC and 2000/21/EC (OJ L 396, 30.12.2006,
p 1).
Regulation (EC) No 1272/2008 of the European Parliament and of the Councilof 16 December 2008 on classification, labelling and packaging of substances and mixtures,
amending and repealing Directives 67/548/EEC and 1999/45/EC, and amending Regulation(EC) No 1907/2006 (OJ L 353, 31.12.2008, p. 1).

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(22)

In addition to the restrictions set out in Annex XVII to Regulation (EC) No 1907/2006, it isappropriate to set out restrictions for the presence of 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 Council1 should
be excluded from the prohibition to contain cadmium. With a view to further restrictions
on substances present in batteries or used in their manufacturing, it is appropriate to carryout a mapping of substances of concern, defined in the Chemicals Strategy for
Sustainability as substances having a chronic effect for human health or the environment,such as substances in the candidate list for eventual inclusion in Annex XIV to Regulation(EC) No 1907/2006 and in Annex VI to Regulation (EC) No 1272/2008, but also thosewhich hamper recycling for safe and high quality secondary raw materials, in the context
of the substance evaluation planned in the REACH Evaluation Joint Action Plan publishedon the website of the European Chemicals Agency set up under Regulation(EC) No 1907/2006 (‘the Agency’).

(23)

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,
the power to adopt acts in accordance with Article 290 TFEU should be delegated to theCommission in respect of amending restrictions on substances in batteries.

1

Directive 2000/53/EC of the European Parliament and of the Council of 18 September 2000
on end-of life vehicles (OJ L 269, 21.10.2000, p. 34).

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(24)

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 managementof the related technical, scientific and administrative aspects of this Regulation, the Agency
should carry out 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 the evaluation of the socio-economic elements and the analysis of alternatives, inaccordance with relevant guidance by the Agency. Consequently, the Committees for Risk
Assessment and Socio-economic Analysis of the Agency should facilitate the carrying outof certain tasks conferred on the Agency by this Regulation.

(25)

In order to ensure that this Regulation is coherent with any future amendment ofRegulation (EC) No 1907/2006 or of other future Union law concerning sustainability
criteria for hazardous substances and chemicals, the Commission should assess whether anamendment of Articles 6, 86, 87 and 88 of this Regulation is required. Where appropriate,
the Commission should propose amendments to this Regulation in a future regulation
amending Regulation (EC) No 1907/2006 or in other future Union law concerning
sustainably criteria for hazardous substances and chemicals.

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(26)

In order to promote a sustainable European economic model, the Commission should,
where appropriate, propose amendments to the provisions of this Regulation regulating the
restrictions on substances in batteries and in waste batteries, including the introduction ofan export ban on batteries that are not compliant with those restrictions.

(27)

The expected massive deployment of batteries in sectors like mobility and energy storage
should reduce carbon emissions. However, to maximise that potential, it is necessary that
their overall life cycle have a low carbon footprint. According to the ProductEnvironmental Footprint Category Rules for High Specific Energy Rechargeable Batteries
for Mobile Applications, climate change is the second highest related impact category forbatteries after the mining and use of minerals and metals. Rechargeable industrial batteries
with a capacity greater than 2 kWh, LMT batteries and electric vehicle batteries placed on
the Union market should therefore be accompanied by a carbon footprint declaration.
Harmonising the technical rules for calculating the carbon footprint for all rechargeableindustrial batteries with a capacity greater than 2 kWh, LMT batteries and electric vehicle
batteries placed on the Union market is a prerequisite for introducing a requirement for a
carbon footprint declaration and subsequently for establishing carbon footprint
performance classes that will enable batteries with lower overall carbon footprints to be
identified.

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Information and clear labelling requirements on the carbon footprint of batteries is notexpected 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, in line with
the internationally agreed objectives on climate change. Therefore, maximum carbon
thresholds should be introduced, further to a dedicated impact assessment to determine
those values. In proposing the level of the maximum carbon footprint threshold, theCommission should, 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
footprint of batteries placed on the Union market and the effective and potential
contribution of this measure to the Union’s objectives on sustainable mobility and climate
neutrality by 2050 at the latest. In order to bring about transparency on the batteries’
carbon footprint, and shift the Union market towards batteries with a lower carbon
footprint, regardless of where they are produced, a gradual and cumulative increase in the
carbon footprint requirements is justified. As a result of these requirements, the avoided
carbon emissions in batteries’ life cycle, will contribute to the Union’s climate objectives,
particularly that of reaching climate neutrality by 2050 at the latest. This could also
contribute to other policies at Union and national level, such as by means of incentives orgreen public procurement criteria, fostering the production of batteries with lower
environmental impacts.

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(28)

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 Commission should take into account the best available manufacturing andproduction processes and ensure that the technical criteria it selects are consistent with theobjective of this Regulation of ensuring that batteries placed on the Union market
guarantee a high level of protection of human health, safety of persons, and of property andthe environment.

(29)

Certain substances present 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 communication of theCommission of 5 May 2021 on ‘Updating the 2020 New Industrial Strategy: Building astronger Single Market for Europe’s recovery’, the Union needs to enhance its strategic
autonomy and increase its resilience in preparation for potential disruptions in supply due
to health or other crises. Enhancing circularity and resource efficiency with increased
recycling and recovery of those raw materials, will contribute to reaching that goal.

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(30)

The increased use of recovered raw materials would support the development of thecircular economy and allow a more resource-efficient use of raw materials, while reducing
Union dependency on raw materials from third countries. For batteries, this is particularly
relevant for cobalt, lead, lithium and nickel. Therefore, it is necessary to promote therecovery of such materials from waste, by establishing a requirement for the level ofrecycled content in batteries using cobalt, lead, lithium and nickel in active materials. This
Regulation should therefore set mandatory recycled content targets for cobalt, lead, lithium
and nickel, which should be met by 2031. For cobalt, lithium and nickel, increased targets
should be established by 2036. All targets should take into account the availability of wastefrom which such materials can be recovered, the technical feasibility of the recovery andmanufacture processes involved, as well as the time needed by the economic operators toadapt their supply and manufacturing processes. Therefore, before such mandatory targets
become applicable, the requirement related to recycled content should be limited todisclosure of information on recycled content. Battery manufacturing waste is likely to be
the main source of secondary raw materials for battery manufacturing due to the increasein the production of batteries and should be subject to the same recycling processes as
post-consumer waste. Therefore, battery manufacturing waste should be counted as part of
the recycled content targets with the objective of accelerating the development of thenecessary recycling infrastructure. However, by-products of battery manufacturing that are
re-used in the production process, such as manufacturing scrap, do not constitute waste andshould therefore not be counted as part of the recycled content targets.

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(31)

In order to take into account the risk of short supply of cobalt, lead, lithium and nickel andto assess the availability of those raw materials, the power to adopt acts in accordance with
Article 290 TFEU should be delegated to the Commission in respect of amending thetargets for the minimum share of recycled cobalt, lead, lithium or nickel present in active
materials in batteries.

(32)

In order to take into account changes in battery technologies, which impact the types ofmaterials that can be recovered, the power to adopt acts in accordance with Article 290
TFEU should be delegated to the Commission to supplement this Regulation by inserting
further raw materials and respective targets in the list of minimum shares of recycledcontent present in active materials in batteries.

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(33)

In order to ensure that the calculations and verifications of the percentage share of cobalt,
lead, lithium and nickel recovered are accurate and reliable and ensure that there is greater
legal certainty, the power to adopt acts in accordance with Article 290 TFEU should bedelegated to the Commission to supplement this Regulation by establishing themethodology for the calculation and verification of the percentage share of cobalt, lithium
or nickel that is present in active materials and that has been recovered from battery
manufacturing waste or post-consumer waste and the percentage share of lead that ispresent in the battery and that has been recovered from waste and the format for thetechnical documentation on those percentage shares, for each battery model per year andper manufacturing plant. The reutilisation of materials, such as rework, regrind or scrap
generated in the battery manufacturing process, which can be reclaimed within the sameprocess that generated the material, should be excluded from that methodology.

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(34)

Batteries placed on the Union market should be durable and of high performance. It istherefore necessary to set out performance and durability parameters for portable batteriesof general 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 Union through a future regulation on type-approval of motor
vehicles and engines and of systems, components and separate technical units intended forsuch vehicles, with respect to their emissions and battery durability (Euro 7) (‘Euro 7
Regulation’). Therefore this Regulation should only set information requirements for the
performance and durability of electric vehicle batteries. On the other hand, in the area ofbatteries for energy storage, existing measurement methods to test battery performance anddurability are not considered to be sufficiently precise and representative to enable
introducing minimum requirements. The introduction of minimum requirements related toperformance and durability of these batteries should be accompanied by available adequate
harmonised standards or common specifications.

(35)

In order to reduce the life cycle environmental impact of batteries, the power to adopt acts
in accordance with Article 290 TFEU should be delegated to the Commission in respect ofamending the performance and durability parameters for portable batteries of general use
and for rechargeable industrial batteries and establishing minimum values for thoseparameters. Those delegated acts should also establish how those minimum values are to
apply to batteries that have been subject to remanufacturing.

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(36)

In order to ensure that the Union’s rules on electrochemical performance and durability forelectric vehicle batteries are consistent with the technical specifications of the informal
UNECE Working Group on Electric Vehicles and the Environment and in view oftechnical and scientific progress, the power to adopt acts in accordance with Article 290
TFEU should be delegated to the Commission in respect of amending the performance anddurability parameters for electric vehicle batteries. For the minimum values of thoseparameters for electric vehicle batteries that are incorporated in motor vehicles, it isappropriate to set minimum performance requirements through a future Euro 7 Regulation,
based on the minimum performance requirements set out in United Nations (UN) Global
Technical Regulation No. 22 on in-vehicle battery durability for electrified vehicles.

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(37)

Some non-rechargeable batteries of general use can be inefficient in terms of use ofresources and energy. Objective requirements regarding the performance and durability ofsuch batteries 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 in overall environmental benefits. For batteries that are incorporated in mobile
phones and tablets it is appropriate to set performance and durability requirements
regarding those batteries through a future eco-design regulation addressing phones andtablets and to update Commission Regulation (EU) No 617/20131 on computers andcomputer servers. For other portable batteries that are incorporated in other appliances,such as gardening tools or cordless power tools, the possibility of setting minimum
performance and durability requirements should be addressed in relevant product legal
acts, such as implementing acts under Directive 2009/125/EC of the European Parliamentand of the Council2, or in other Union legal act.

12Commission Regulation (EU) No 617/2013 of 26 June 2013 implementing Directive
2009/125/EC of the European Parliament and of the Council with regard to ecodesign
requirements for computers and computer servers (OJ L 175, 27.6.2013, p. 13).
Directive 2009/125/EC of the European Parliament and of the Council of 21 October 2009
establishing a framework for the setting of ecodesign requirements for energy-related
products (OJ L 285, 31.10.2009, p. 10).

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(38)

In order to ensure that portable batteries that were incorporated into appliances are subject
to separate collection, treatment and high quality recycling once those appliances become
waste, provisions to ensure the removability and replaceability of batteries in suchappliances are necessary. Consumer safety should be ensured, in line with Union law andin particular Union safety standards, during the removal of portable batteries from or the
replacement of portable batteries in an appliance. A portable battery should be considered
to be removable by the end-user when it can be removed with the use of commerciallyavailable tools and without requiring the use of specialised tools, unless they are provided
free of charge, or proprietary tools, thermal energy or solvents to disassemble it.
Commercially available tools are considered to be tools available on the market to all endusers without the need for them to provide evidence of any proprietary rights and that canbe used with no restriction, except health and safety-related restrictions. The generalprovisions of this Regulation should apply without prejudice to the safety and maintenancerequirements for professional medical imaging and radiotherapy devices as defined inRegulation (EU) 2017/745 of the European Parliament and of the Council1 and for in vitro
diagnostic medical devices as defined in Regulation (EU) 2017/746 of the European
Parliament and of the Council2, and could be complemented with requirements laid down
for particular products powered by batteries under implementing measures under Directive
2009/125/EC. Where other Union law lays down more specific requirements, for safety
reasons, regarding the removal of batteries from products, such as toys, those specific rules
should apply.

1

2

Regulation (EU) 2017/745 of the European Parliament and of the Council of 5 April 2017
on medical devices, amending Directive 2001/83/EC, Regulation (EC) No 178/2002 andRegulation (EC) No 1223/2009 and repealing Council Directives 90/385/EEC and93/42/EEC (OJ L 117, 5.5.2017, p. 1).
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 (OJ L 117, 5.5.2017, p. 176).

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(39)

To ensure the safety of end-users, this Regulation should provide for a limited derogation
for portable batteries from the removability and replaceability requirements set for portablebatteries concerning appliances that incorporate portable batteries and that are specificallydesigned to be used, for the majority of the active service of the appliance, in anenvironment 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 the end-user has correctly followed the
instructions to remove and replace the battery. Where the derogation applies, the productshould be designed in such a way as to make the battery removable and replaceable only
by independent professionals, and not by end-users.

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(40)

For repaired electric vehicle batteries and SLI batteries, the safety requirements ofRegulation (EU) 2019/2144 of the European Parliament and of the Council1 apply to
type-approved vehicles of categories M, N and O and batteries designed and constructed
for those vehicles. It is important that the safety of such batteries when repaired can beassessed based on non-destructive tests adapted to them. For repaired LMT batteries, theCommission will prepare rules on the safety of micromobility devices, building on
experience at national and local levels of safety requirements, as announced in thecommunication of the Commission of 14 December 2021 on ‘The new EU Urban Mobility
Framework’. For other repaired batteries intended for consumers or likely to be used bythem, the requirements of Directive 2001/95/EC of the European Parliament and of theCouncil2 apply.

1

2

Regulation (EU) 2019/2144 of the European Parliament and of the Councilof 27 November 2019 on type-approval requirements for motor vehicles and their trailers,and systems, components and separate technical units intended for such vehicles, as regards
their general safety and the protection of vehicle occupants and vulnerable road users,
amending Regulation (EU) 2018/858 of the European Parliament and of the Council andrepealing Regulations (EC) No 78/2009, (EC) No 79/2009 and (EC) No 661/2009 of theEuropean Parliament and of the Council and Commission Regulations (EC) No 631/2009,(EU) No 406/2010, (EU) No 672/2010, (EU) No 1003/2010, (EU) No 1005/2010,(EU) No 1008/2010, (EU) No 1009/2010, (EU) No 19/2011, (EU) No 109/2011,(EU) No 458/2011, (EU) No 65/2012, (EU) No 130/2012, (EU) No 347/2012,(EU) No 351/2012, (EU) No 1230/2012 and (EU) 2015/166 (OJ L 325, 16.12.2019, p. 1).
Directive 2001/95/EC of the European Parliament and of the Council of 3 December 2001
on general product safety (OJ L 11, 15.1.2002, p. 4).

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(41)

The interoperability of chargers for specific categories of batteries could reduce
unnecessary waste and costs for the benefit of consumers and other end-users. It should bepossible therefore to recharge LMT batteries and rechargeable batteries that areincorporated into specific categories of electrical and electronic equipment, by making useof common chargers that allow interoperability within each category of batteries. This
Regulation should therefore require the Commission to assess how to introduce
harmonised standards for common chargers for those categories of batteries, excluding
charging devices for categories and classes of radio equipment under Directive
2014/53/EU of the European Parliament and of the Council1.

(42)

SLI batteries and electric vehicle batteries that are incorporated in motor vehicles should
be removable and replaceable by independent professionals. It is appropriate to consider
revising Directive 2000/53/EC to ensure that those batteries can be removed, replaced anddisassembled, including as regards joining, fastening and sealing elements. 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 and maintenance 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. Furthermore, the Commission
should encourage the development of standards for design and assembly techniques thatfacilitate the maintenance, repair and repurposing of batteries and battery packs.

1

Directive 2014/53/EU of the European Parliament and of the Council of 16 April 2014 on
the harmonisation of the laws of the Member States relating to the making available on themarket of radio equipment and repealing Directive 1999/5/EC (OJ L 153, 22.5.2014, p. 62).

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(43)

Reliable batteries are fundamental for the operation and safety of many products,
appliances and services. Therefore, batteries should be designed and manufactured toensure they pose no risk to human health or the safety of persons, to property or theenvironment. This is particularly relevant for stationary battery energy storage systems,
which are currently not covered by other Union law. Parameters to be considered in safety
tests should therefore be laid down for those batteries and be complemented by applicablestandards of the European standardisation organisations.

(44)

Batteries should be labelled in order to provide end-users with transparent, reliable andclear information about batteries and waste batteries. That information would enable endusers to make informed decisions when buying and discarding batteries and waste
operators to appropriately treat waste batteries. Batteries should be labelled with all thenecessary information concerning their main characteristics, including their capacity andthe amount of certain hazardous substances present. To ensure the availability of
information over time, that information should also be made available by means of
QR codes which are printed or engraved on batteries or are affixed to the packaging and to
the documents accompanying the battery and should respect the guidelines of
ISO/IEC Standard 18004:2015. The QR code should give access to a battery’s productpassport. Labels and QR codes should be accessible to persons with disabilities, inaccordance with Directive (EU) 2019/882 of the European Parliament and of the Council1.

1Directive (EU) 2019/882 of the European Parliament and of the Council of 17 April 2019 on
the accessibility requirements for products and services (OJ L 151, 7.6.2019, p. 70).

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(45)

The inclusion on the battery label of information about the performance of batteries isessential to ensure that end-users, especially consumers, before making their purchase areappropriately informed and in particular that they have a common basis to compare
different batteries. Therefore, non-rechargeable portable batteries should be marked with alabel indicating ‘non-rechargeable’ and containing the information on their minimum
average duration when used in specific applications. Additionally, it is important to offer
guidance to the end-user on how to discard waste batteries in an appropriate way.

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(46)

For stationary battery energy storage systems, LMT batteries and electric-vehicle batteries
using a battery management system, it should be possible for the end-user or any otherthird party acting on behalf of that end-user to determine the state of health and expected
lifetime of the batteries at any time from the data stored in the battery management system.
Read-only access to those data should be provided to the person who purchased the battery
or any third party acting on behalf of that person at any time for the purposes of evaluating
the residual value of the battery, facilitating the preparation for re-use, preparation for
repurposing, repurposing or remanufacturing of the battery or for making the battery
available to independent aggregators, as defined in Directive (EU) 2019/944 of theEuropean Parliament and of the Council1, which operate virtual power plants in electricity
grids. Therefore, the data should be up to date. It should be updated at least daily and more
frequently where that is required for a specific purpose. Technical specifications thatoriginate from the work of the informal UNECE Working Group on Electric Vehicles andthe Environment on data access in electric vehicles should be considered to be abenchmark for the state of health and expected lifetime of electric vehicle batteries. These
requirements should apply in addition to Union law on type-approval of vehicles, which isthe appropriate legal framework for addressing, inter alia, smart charging functions such as
vehicle-to-grid, vehicle-to-load, vehicle-to-vehicle, vehicle-to-powerbank and vehicle-tobuilding charging.

1

Directive (EU) 2019/944 of the European Parliament and of the Council of 5 June 2019 oncommon rules for the internal market for electricity and amending Directive 2012/27/EU(OJ L 158, 14.6.2019, p. 125).

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(47)

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 atUnion level. Such methods and standards should, to the extent possible, take into accountthe real-life usage of batteries, reflect the average range of consumer behaviour and berobust in order to deter intentional and unintentional circumvention. Once a reference tosuch a standard has been published in the Official Journal of the European Union inaccordance with Regulation (EU) No 1025/2012 of the European Parliament and of theCouncil1, batteries that meet that standard should be presumed to be in conformity withthose product-specific requirements under this Regulation, provided that the minimum
values established for those product-specific requirements are attained.

1

Regulation (EU) No 1025/2012 of the European Parliament and of the Councilof 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 and of the Council (OJ L 316, 14.11.2012, p. 12).

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In order to avoid the duplication of technical specifications on the one hand and to
maximise efficiency and to take account of the highest levels of expertise and state-of theart knowledge on the other, the Commission should aim to request one or more European
standardisation organisations to draft a standard where there is no standard in existence. In
the absence of published standards at the time of the application of product-specificrequirements, or in the event of an unsatisfactory response by the relevant European
standardisation organisation the Commission should adopt, in exceptional and justified
cases and after consultation with the relevant stakeholders, common specifications throughimplementing acts. The compliance with such specifications should also give rise to thepresumption 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 in question. After the references of harmonised standards are
published in the Official Journal of the European Union, any common specification should
be repealed within a reasonable period which allows manufacturers to take the changes
into account.

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(48)

Active involvement in the work of international standardisation committees is an important
strategic prerequisite for placing future battery technologies on the market. European
involvement in some of those committees has been less effective than it could have been.
European involvement should be improved to strengthen the Union’s voice in global
standardisation, also with a view to enhance the competitiveness of Union companies, toreduce the Union’s dependencies and to protect the interests, policy objectives and valuesof the Union. Therefore, the Commission and the Member States should monitor andcoordinate the European approach to international standardisation. Harmonised standards
that complement the implementation of this Regulation should take into account existing
international standards, in particular at IEC and ISO level.

(49)

The Commission should ensure that there is consistency regarding harmonised standards
and common specifications under this Regulation, including when reviewing Regulation(EU) No 1025/2012.

(50)

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 provide information online regarding conformity withall Union acts applicable to batteries in the form of a single EU declaration of conformity.

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(51)

Regulation (EC) No 765/2008 of the European Parliament and of the Council1 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 thefree movement of goods within the Union fulfil requirements providing a high level ofprotection of public interests such as human health, safety of persons and the environment.

(52)

In order to enable economic operators to demonstrate and the competent authorities toverify that batteries made available on the market comply with this Regulation, it isnecessary to provide for conformity assessment procedures. Decision No 768/2008/EC of
the European Parliament and of the Council2 establishes modules for conformity
assessment procedures, ranging from the least to the most stringent depending on the levelof risk involved and the level of safety required. In accordance with that Decision, where
conformity assessment is required, the procedures to be used for that assessment are to bechosen from among those modules. Robust conformity assessment procedures are needed
to ensure that batteries comply with the novel and complex carbon footprint and recycledcontent requirements and due diligence obligations laid down in this Regulation.

1

2

Regulation (EC) No 765/2008 of the European Parliament and of the Council of 9 July 2008
setting out the requirements for accreditation and repealing Regulation (EEC) No 339/93(OJ L 218, 13.8.2008, p. 30).
Decision No 768/2008/EC of the European Parliament and of the Council of 9 July 2008 on
a common framework for the marketing of products, and repealing Council Decision
93/465/EEC (OJ L 218, 13.8.2008, p. 82).

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(53)

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 batteries are stored, used and discarded in a manner whichis safe from the point of view of protecting human health and the environment, specificrules governing the affixing of the CE marking for batteries should be laid down.

(54)

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.

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(55)

Due to the novelty and complexity of the sustainability, performance, safety, labelling andinformation requirements for batteries under this Regulation and in order to ensure a
consistent level of quality of conformity assessment of batteries, it is necessary to set
requirements for the notifying authorities that are involved in the assessment, notificationand monitoring of conformity assessment bodies that have been notified to theCommission, thereby becoming notified bodies. In particular, it should be ensured that the
notifying authority is objective and impartial with regard to its activities and has asufficient number of technically competent members of staff to perform its tasks.
Furthermore, notifying authorities should be required to safeguard the confidentiality of theinformation they obtain, 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 the conformity assessment.

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(56)

It is essential that all notified bodies perform their functions to the same level and underconditions of fair competition and autonomy. Therefore, this Regulation should lay down
requirements for conformity assessment bodies wishing to be notified in order to carry out
conformity assessment activities. Those requirements should continue to apply as aprerequisite for keeping the competence of the notified body up-to-date. To ensure its
autonomy, the notified body and the staff it employs should be required to remain
independent of economic operators in the battery value chain and from other companies,
including business associations and parent companies and subsidiaries. The notified bodyshould be required to provide documentary proof of its independence and provide that
documentation to the notifying authority. The notified bodies should ensure rotation of thepersonnel carrying out different conformity assessment tasks.

(57)

If a conformity assessment body demonstrates conformity of the battery with the criteria
laid down in harmonised standards it should be presumed to comply with thecorresponding requirements laid down in this Regulation.

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(58)

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 otheractivities internal to the notified body, should however be carried out exclusively by the
notified body itself, in order to ensure its independence and autonomy. Furthermore, inorder to safeguard the level of protection required for batteries to be placed on the Union
market, conformity assessment subcontractors and subsidiaries should fulfil the samerequirements as notified bodies in relation to the performance of conformity assessment
tasks under this Regulation.

(59)

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 its investigations, can seek the advice of a Union
testing facility, designated in accordance with Regulation (EU) 2019/1020 of the European
Parliament and of the Council1. In order to ensure uniform conditions for the
implementation of this Regulation, implementing powers should be conferred on theCommission in order to request the notifying authority to take corrective action in case a
notified body does not meet or no longer meets the requirements of this Regulation.

1

Regulation (EU) 2019/1020 of the European Parliament and of the Council of 20 June 2019
on market surveillance and compliance of products and amending Directive 2004/42/EC andRegulations (EC) No 765/2008 and (EU) No 305/2011 (OJ L 169, 25.6.2019, p. 1).

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(60)

In the interests of facilitating and accelerating the conformity assessment procedure,
certification and ultimately market access, and in view of the novelty and complexity ofthe sustainability, safety, labelling and information requirements for batteries provided forin this Regulation, 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
an unnecessary burden for economic operators. For the same reasons, and to ensure equal
treatment of economic operators, it is necessary that notified bodies apply the conformity
assessment procedures consistently.

(61)

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

(62)

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

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(63)

It is appropriate to lay down the obligations on the economic operators related to theplacing on the market or putting into service of batteries. For the purposes of thisRegulation the term ‘economic operator’ should be understood to cover the manufacturer,
the authorised representative, the importer, the distributor, the fulfilment service provider
or any other natural or legal person who is subject to obligations in relation to the
manufacture of batteries, making them available or placing them on the market or putting
them into service. Batteries, for the purposes of this Regulation, should include batteries
that have been subject to preparation for re-use, preparation for repurposing, repurposing
or remanufacturing.

(64)

It is appropriate to provide that the requirements for batteries, which are put into service
without being placed on the market beforehand, should be the same as for batteries that areplaced on the market before being put into service. This concerns for example batteries thatthe manufacturer uses for its own purposes, or batteries that, because of theircharacteristics, can only be assembled and tested on-site in their final destination.
However, to avoid the need to demonstrate compliance twice for the same product,
batteries that are placed on the market should not be subject to the same requirements
when they are put into service.

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(65)

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, toensure a high level of protection of public interests such as human health, safety of
persons, the protection of property and the environment.

(66)

All economic operators active in the supply and distribution chain should take appropriate
measures to ensure that they only make available on the market batteries which are inconformity with this Regulation. It is necessary to provide for a clear and proportionate
distribution of obligations which corresponds to the role of each economic operator in the
supply and distribution chain.

(67)

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 the obligation of the manufacturer alone.

(68)

The manufacturer should provide sufficiently detailed information on the intended use of
the battery to allow its correct and safe placing on the market, putting into service, use andwaste management, including possible repurposing.

(69)

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 and, if available, email and website address.

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(70)

The single market should ensure equal conditions of competition for all economic
operators and protection against unfair competition. To that end, strengthened enforcementof Union harmonisation legislation on batteries is necessary. Good cooperation between
economic operators and the market surveillance authorities is a key element of suchstrengthened enforcement, allowing immediate intervention and corrective action. It is
important that there be an economic operator established in the Union so that there issomeone to whom market surveillance authorities can address requests, including requests
for information regarding a battery’s compliance with Union harmonisation legislation,
and who can cooperate with market surveillance authorities in making sure that immediate
corrective action is taken to remedy instances of non-compliance. The economic operators
who should perform those tasks are the manufacturer, or the importer when the
manufacturer is not established in the Union, or an authorised representative mandated by
the manufacturer for this purpose, or a fulfilment service provider established in the Union
for batteries handled by it when no other economic operator is established in the Union.

(71)

It is necessary to ensure that batteries from third countries entering the Union market
comply with the requirements of this Regulation, and with other applicable Union law,whether imported on their own or incorporated into or added to products, and, in particular,that appropriate conformity assessment procedures have been carried out by manufacturers
with regard to those batteries. Provision should therefore be made for importers to makesure that the batteries they place on the market and put into service comply with therequirements of this 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 preparation for
re-use, preparation for repurposing, repurposing or remanufacturing.

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(72)

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 and, if available, e-mail and website address. Exceptions should be
provided for cases where the size of the battery is too small for that information to beaffixed to it or where the importer would have to open the packaging in order to affix theimporter’s name, registered trade name or registered trade mark and the other contact
details. In those exceptional cases, the importer should provide the information in adocument accompanying the battery or in another immediately accessible way. Where
packaging exists, the importer should indicate the information on that packaging.

(73)

Where a 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.

(74)

Any importer or distributor that 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 waythat compliance with the requirements of this Regulation could be affected or modifies the
purpose of a battery that is already placed on the market should be considered to be the
manufacturer and should assume the obligations of the manufacturer provided for in thisRegulation.

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(75)

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 ready to participate actively, providing those authorities with all necessary
information relating to the battery concerned.

(76)

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 have placed on the market, made available on the market or put
into service non-compliant batteries. Economic operators should therefore be required tokeep information on their transactions involving batteries for a certain period, including inelectronic form.

(77)

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 theirgeographical location, could inadvertently contribute to adverse impacts in the mineral
supply chain. For some raw materials, over half of global production is intended for use inbattery applications. For example, over 50 % of the global demand for cobalt and over
60 % of the world’s lithium is used for battery production. About 8 % of global naturalgraphite production and 6% of global nickel production goes into battery manufacturing.

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(78)

Only a few countries supply the raw materials used in battery manufacture and, in somecases, low standards of governance in those countries can exacerbate environmental andsocial problems. Both cobalt and nickel mining and refining are connected with a large
range of social and environmental issues. While the social and environmental impacts fornatural graphite are less severe, the mining of natural graphite can have serious health andenvironmental impacts since it is mainly carried out by artisanal and small scale
operations, mostly in informal settings. This, together with the absence of regularly
updated mine closure plans and rehabilitation, can result in the destruction of ecosystems
and soils. The expected increase in the use of lithium in battery manufacturing is likely to
put additional pressure on extraction and refining operations. It is therefore appropriate thatlithium be included in the scope of battery due diligence obligations. The expected massive
increase in demand for batteries in the Union should not contribute to an increase of suchenvironmental and social risks.

(79)

Some of the raw materials used in battery manufacturing, such as cobalt, lithium andnatural graphite, are considered to be critical raw materials for the Union, as indicated by
the Commission in its communication of 3 September 2020 on ‘Critical Raw Materials
Resilience: Charting a Path towards greater Security and Sustainability’, and theirsustainable sourcing is required for the Union battery ecosystem to perform adequately.

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(80)

A number of voluntary efforts from actors in the battery supply chain are already in placein order to encourage adherence to sustainable sourcing practices, including the Initiativefor Responsible Mining Assurance, the Responsible Minerals Initiative and the Cobalt
Industry Responsible Assessment Framework. However, it is not certain that voluntary
efforts to set up due diligence schemes will ensure that all economic operators placing
batteries in the Union market abide by the same set of minimum rules.

(81)

In the Union, general requirements on due diligence in relation to certain minerals andmetals were introduced by Regulation (EU) 2017/821 of the European Parliament and of
the Council1. That Regulation does not, however, address the minerals and materials used
for battery production.

(82)

Therefore, in view of the expected exponential growth in battery demand in the Union, an
economic operator that places a battery on the Union market should set up a battery due
diligence policy. Requirements therefore should be laid down in this Regulation, in orderto address the social and environmental risks inherent in the extraction, processing andtrading of certain raw materials and secondary raw materials used for the purposes ofbattery manufacturing. Such policy should encompass all operators in the supply chain,and their subsidiaries and subcontractors, that extract, process and trade certain raw
materials and secondary raw materials.

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

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(83)

When putting in place a risk-based battery due diligence policy, the economic operator
should base it on internationally recognised due diligence standards and principles, such as
those in the United Nations Guiding Principles on Business and Human Rights, the Ten
Principles of the United Nations Global Compact, the United Nations Environment
programme (UNEP) Guidelines for Social Life Cycle Assessment of Products, theInternational Labour Organisation (ILO) Tripartite Declaration of Principles concerning
Multinational Enterprises and Social Policy, the Organisation for Economic Co-operation
and Development (OECD) Guidelines for Multinational Enterprises and the OECD Due
Diligence Guidance for Responsible Business Conduct. Those standards and principles
which each economic operator should tailor to its specific context and circumstances,reflect a common understanding amongst governments and stakeholders. In relation to theextraction, 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 Areas represents an internationally acknowledged
standard addressing the specific risks of gross human rights violations, and a long-standing
effort by governments and stakeholders to establish good practice in this area.

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(84)

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
respect human rights and the environment and do not contribute to conflict. Risk-based due
diligence refers to the steps companies should take to identify, prevent, mitigate andotherwise address adverse impacts associated with their activities or sourcing decisions.
Economic operators should hold informed, effective and meaningful consultations withaffected communities. A company can assess the risks posed by its activities andrelationships and adopt risk-mitigation measures, which can include requiring additional
information, negotiating with a view to redressing the situation, or suspending or
discontinuing engagement with suppliers, in line with relevant standards provided undernational and international law, recommendations on responsible business conduct byinternational organisations, 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 in proportion to the size of the company’s activities or supply chain
relationships.

(85)

While private sector due diligence schemes can support economic operators in fulfilling
their battery due diligence obligations in line with the OECD Guidelines for Multinational
Enterprises and the United Nations Guiding Principles on Business and Human Rights,
economic operators should be individually responsible for fulfilment of the due diligenceobligations laid down in this Regulation.

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(86)

Mandatory battery due diligence policies should be adopted or changed and should
address, at least the most prevalent social and environmental risk categories. Such a policy
should cover the current and foreseeable impacts on social issues, in particular humanrights, human health and safety of persons as well as occupational health and safety, andlabour rights, on the one hand, and on the environment, in particular on water use, soil
protection, air pollution, climate change and biodiversity, as well as protection ofcommunity life, on the other.

(87)

As regards the social risk categories, battery 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 law. The battery due diligence policies should include
information on how the economic operator has contributed to the prevention of humanrights abuses and on the instruments in place within the operator’s business structure tofight corruption and bribery. The battery due diligence policies should also ensure proper
implementation of the rules of fundamental conventions of the ILO as listed in Annex I to
the ILO Tripartite Declaration of Principles concerning Multinational Enterprises andSocial Policy.

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(88)

Human rights abuses are common in resource-rich conflict-affected and high-risk areas.
Therefore, such areas deserve specific attention in the battery due diligence policy of
economic operators. Regulation (EU) 2017/821 includes provisions for an indicative,
non-exhaustive, regularly updated list of conflict-affected and high-risk areas. That list isalso relevant for the implementation of the battery due diligence provisions of thisRegulation.

(89)

As regards the environmental risk categories, the battery due diligence policies should
address the risks for the protection of the natural environment and biological diversity, inline with the Convention on Biological Diversity, which includes the consideration of local
communities and the protection and the development of those communities. Battery due
diligence policies should also address the risks related to climate change, in line with theParis Agreement1, adopted on 12 December 2015 under the United Nations Framework
Convention on Climate Change (the ‘UN Paris Agreement’), as well as environmental
risks covered by other international environmental conventions.

(90)

The battery due diligence obligations on the identification and mitigation of social andenvironmental risks associated with raw materials used in battery manufacturing should
contribute to the implementation of UNEP Resolution 4/19 on Mineral Resource
Governance, which recognises the important contribution of the mining sector towards theachievement of the 2030 Agenda and the Sustainable Development Goals.

1

OJ L 282, 19.10.2016, p. 4.

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(91)

Other Union legal acts that lay down requirements regarding supply chain due diligenceshould apply to batteries in so far as there are no specific provisions with the same
objective, nature and effect in this Regulation which can be adapted in the light of future
legislative amendments. Such legal acts might address the civil liability of companies fordamages arising due to their failure to comply with due diligence requirements. Where
such legal acts do not or not completely address the civil liability consequences of battery
due diligence obligations of this Regulation, it should be possible for them to be addressedby national rules.

(92)

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 inaccordance with Article 290 TFEU should be delegated to the Commission in respect ofamending the list of raw materials and risk categories, the list of international instruments
and the battery due diligence obligations.

(93)

In order to establish the equivalence of due diligence schemes that have been developed bygovernments, industry associations and groupings of interested organisations,
implementing powers should be conferred on the Commission.

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(94)

In order to enable proper, sound and consistent evaluation of the due diligence schemes,
the power to adopt acts in accordance with Article 290 TFEU should be delegated to theCommission to supplement this Regulation by establishing the criteria and themethodology for determining whether the due diligence schemes enable economic
operators to fulfil the due diligence requirements of this Regulation.

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(95)

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 waste batteries and the adverse impacts linked to the
management of waste batteries. Maximising the separate collection of waste batteries andensuring that all waste batteries that are collected are recycled through processes that meetcommon minimum recycling efficiencies is necessary in order to attain high levels ofrecovery of materials. In its evaluation of Directive 2006/66/EC, the Commission foundthat one of the shortcomings of that Directive is that its provisions were insufficiently
detailed, leading to uneven implementation and creating significant barriers to thefunctioning of recycling markets and suboptimal levels of recycling. Consequently, moredetailed and harmonised rules would avoid distortions of the market for the collection,
treatment and recycling of waste batteries and ensure even implementation of therequirements across the Union. It would also result in further harmonisation of the qualityof waste management services provided by economic operators and facilitate thefunctioning of the market for secondary raw materials.

(96)

In order to ensure that the obligations under this Regulation are carried out and to monitor
and verify compliance by producers and producer responsibility organisations with thisRegulation, it is necessary that Member States designate one or more competentauthorities.

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(97)

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 Council1, which should be
adapted to reflect the specific nature of waste batteries. For the collection of waste batteries
to be organised in the most effective way, it is important that it be done both near to theplace where the batteries are sold and to the end-user. Waste batteries should be collected
separately from other waste streams, such as metals, paper and cardboard, glass, plastics,
wood, textiles and bio-waste. Also, it should be possible for waste batteries to be collectedboth 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/EU of theEuropean Parliament and of the Council2, and of Directive 2000/53/EC. While Directive
2006/66/EC 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 implement extended
producer responsibility related to the waste management, obligations should be laid downwith respect to the Member State where batteries are made available on the market for the
first time.

1
2

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 onwaste electrical and electronic equipment (WEEE) (OJ L 197, 24.7.2012, p. 38).

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(98)

In order to monitor fulfilment by producers of their obligations as regards the waste
treatment of batteries made available on the market for the first time within the territory ofa Member State, it is necessary that a register be established and managed by thecompetent authority in each Member State. The information in the register should beaccessible to those entities that play a role in monitoring compliance with and enforcementof the extended producer responsibility. It should be possible for that register to be thesame as the national register set up pursuant to Directive 2006/66/EC. Producers should be
required to register, in order to provide the necessary information to allow the competentauthorities to monitor fulfilment by producers of their obligations. Registration
requirements should be simplified across the Union.

(99)

In the case of state-run producer responsibility organisations, as there is no represented
producer’s mandate, the requirements provided in this Regulation concerning suchmandates do not apply.

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(100)

In view of the polluter pays principle, it is appropriate to impose obligations on producers
as regards the management of waste batteries. In this context, producers should beunderstood to include any manufacturer, importer or distributor who, irrespective of theselling technique used, including by means of distance contracts as defined in Article 2,
point (7), of Directive 2011/83/EU of the European Parliament and of the Council1,
supplies a battery for the first time for distribution or use, including when incorporated into
appliances, light means of transport or other vehicles, within the territory of a
Member State on a commercial basis.

1

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

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(101)

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 are intended to ensure a high level of environmental and health protectionin the Union by maximising separate collection of waste batteries and ensuring that allcollected batteries are recycled through processes that reach high rates of recycling
efficiency and recovery of materials in light of technical and scientific progress. The
obligations related to extended producer responsibility should apply to all forms of supply,
including distance selling. Producers should be able to exercise those obligations
collectively, by means of producer responsibility organisations taking responsibility on
their behalf. Producers or producer responsibility organisations should be subject toauthorisation and they should demonstrate that they have the financial means to cover thecosts entailed by the extended producer responsibility. When laying down administrativeand procedural rules for authorisation of producers for individual compliance and of
producer responsibility organisations for collective compliance, Member States should be
able to differentiate processes for individual producers and producer responsibility
organisations to limit the administrative burden on individual producers.

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In this context, it should be possible to consider permits issued in accordance with
Directive 2008/98/EC to be an authorisation for the purposes of this Regulation. Where
necessary to avoid distortion of the internal market and in order 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.
Waste management operators carrying out collection and treatment in accordance with thisRegulation should be subject to a selection procedure by producers of the relevant batteries
or by producer responsibility organisations acting on their behalf, in accordance with
Directive 2008/98/EC. Where waste management operations take place in a Member Stateother than that in which a battery was made available on the market for the first time,
producers should cover the costs incurred by the waste management operators in theMember State where the waste operations take place. In the discussion on possible
proposals for Union legislative acts on end-of-life vehicles and waste electrical andelectronic equipment, the establishment of a cross-border extended producer responsibility
mechanism for waste batteries, including those incorporated into vehicles or appliances,
between the relevant actors, should be considered. Furthermore, the adoption of othermeasures 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 productpassports and registers of producers, and national vehicle registration systems when
covering electric vehicle batteries.

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(102)

Extended producer responsibility should apply also to economic operators placing on themarket a battery that results from preparation for re-use, preparation for repurposing,
repurposing or remanufacturing operations. Therefore, the economic operator thatoriginally placed the battery on the market should not bear the additional costs that could
result from the waste management arising from the subsequent life of that battery. It should
be possible for the economic operators subject to extended producer responsibility toestablish a cost-sharing mechanism based on the attribution of the actual waste
management costs.

(103)

This Regulation is a lex specialis in relation to Directive 2008/98/EC for the extended
producer responsibility minimum requirements on collection and recycling targets,
distributor take-back and second life. Member States should be required to define theextended producer responsibility provided for in this Regulation, in accordance with
Directive 2008/98/EC and national law transposing that Directive. In addition, where thisRegulation does not provide for full harmonisation in Chapter VIII, Member States shouldbe able to provide for additional measures on those specific topics, provided such further
regulation is in accordance with Directive 2008/98/EC and consistent both with national
law transposing that Directive and with this Regulation.

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(104)

This Regulation should specify how the traceability of traders’ obligations laid down inRegulation (EU) 2022/2065 of the European Parliament and of the Council1 is to be
applied to online platforms allowing consumers to conclude distance contracts withproducers offering batteries, including batteries that are incorporated in appliances, lightmeans of transport or other vehicles, and to consumers located in the Union in relation to
the registers of producers established pursuant to this Regulation. For the purposes of thisRegulation, any producer offering batteries, including those incorporated in appliances,
light means of transport or other vehicles, by means of distance contracts directly to
consumers located in a Member State, whether established in a Member State or a third
country, should be considered to be a trader as defined in Regulation (EU) 2022/2065.
Pursuant to that Regulation, providers of online platforms, falling within the scope ofSection 4 of Chapter III thereof and who allow 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 selfcertification committing to comply with the extended producer responsibility requirements
laid down in this Regulation. The implementation of the rules on the traceability of traders
for the sale of batteries online are subject to the enforcement rules laid down in Regulation(EU) 2022/2065.

1

Regulation (EU) 2022/2065 of the European Parliament and of the Councilof 19 October 2022 on a Single Market For Digital Services and amending Directive
2000/31/EC (Digital Services Act) (OJ L 277, 27.10.2022, p. 1).

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(105)In order to ensure high quality recycling in the battery supply chain, boost the uptake ofquality secondary raw materials and protect the environment, there should be high rates ofwaste battery collection and recycling. The collection of waste batteries is a fundamental
crucial step in the recovery of valuable materials present in batteries through theirrecycling and in keeping the battery supply chain in the Union, boosting the Union’s
strategic autonomy in this sector. Such recycling thus also facilitates access to materials
recovered that can be used to manufacture new products.

(106)

Producers should be responsible for financing and organising the separate collection ofwaste batteries. They should do so by establishing a take-back and collection network andrelated information campaigns that cover the whole territory of each Member State. Such
networks should be close to the end-user and should not only target areas and batteries
where collection of waste batteries is profitable. The collection network should include
distributors, authorised treatment facilities for waste electrical and electronic equipment
and end-of-life vehicles and civic amenity sites, and, on a voluntary basis other actors,
such as public authorities and schools. In order to verify and improve the effectiveness ofthe collection network and related information campaigns, regular compositional surveys
at least at NUTS 2 level, which is provided for in Regulation (EC) No 1059/2003 of theEuropean Parliament and of the Council1 should be carried out on mixed municipal waste
and waste electrical and electronic equipment collected to determine the amount of waste
portable batteries therein.

1

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

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(107)It should be possible for waste batteries to be collected together with waste electrical andelectronic equipment, by way of national collection schemes set up on the basis of
Directive 2012/19/EU and with end-of-life vehicles in accordance with Directive
2000/53/EC. In such cases, as an obligatory minimum treatment requirement, batteries
should be removed from the collected waste appliances and end-of-life vehicles. After
having been removed from the collected waste appliances and end-of-life vehicles,
batteries should be subject to the requirements of this Regulation. In particular, such waste
batteries should be counted towards the attainment of the collection target for that categoryof battery and be subject to the treatment and recycling requirements laid down in thisRegulation.

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(108)

Considering the environmental impact and the loss of materials due to waste batteries not
being separately collected, and consequently not being treated in an environmentally soundway, the collection target for waste portable batteries established under Directive
2006/66/EC should continue to apply and should be gradually increased. In view of thecurrent increase in sales of LMT batteries and the fact that they have a longer lifetime thanportable batteries, it is appropriate to set a specific collection target for waste LMT
batteries, separate from the collection target applicable to waste portable batteries. Due tothe expected development of the market for LMT batteries and portable batteries andincrease in their expected lifetime, the methodology for calculating and verifying
collection targets should be reviewed in order to better ascertain the actual volume of waste
LMT batteries and waste portable batteries available for collection. Therefore, the power toadopt acts in accordance with Article 290 TFEU should be delegated to the Commission in
respect of amending such methodology and of amending the collection targets accordingly.
It is crucial that a new ‘Available for collection’ methodology maintains or increases thelevel of environmental ambition with regard to the collection of waste LMT batteries andwaste portable batteries compared to the existing methodology.

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Based on a Joint Research Centre study on alternative collection targets for waste portable
and light means of transport batteries, it is estimated that a collection target for waste LMT
batteries of 51 % by 31 December 2028 and 61 % by 31 December 2031, calculated on thebasis of the quantities of LMT batteries made available on the market in a Member State,
will correspond to a collection target for waste LMT batteries of 79 % by
31 December 2028 and 85 % by 31 December 2031, calculated on the basis of thequantities of LMT batteries available for collection in a Member State. The collection
targets for waste portable batteries and waste LMT batteries should be reviewed. It should
be possible for such review to also address the possibility of adding two sub-categories ofportable batteries: rechargeable and non-rechargeable, with separate collection rates. The
Commission should prepare a report to accompany those reviews.
(109)

In order to maximise collection and reduce safety risks, the Commission should assess thefeasibility and potential benefits of establishing a deposit return system for batteries, inparticular for portable batteries of general use. National and harmonised Union-wide
deposit return systems should be taken into account in that assessment.

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(110)

The collection rate of waste portable batteries should continue to be calculated on the basisof average annual sales in the preceding years to have targets proportionate to the level ofbattery consumption in a Member State. In order to best reflect changes in what iscomprised in the portable batteries category, as well as in the lifetime and consumption
patterns of batteries, the power to adopt acts in accordance with Article 290 TFEU should
be delegated to the Commission to amend the methodology for calculation and verificationof the collection rate for waste portable batteries, as well as for waste LMT batteries.

(111)

The obligation on Member States to adopt measures concerning the achievement byproducers and, where appointed, producer responsibility organisations, of collection targets
for waste portable batteries and waste LMT batteries, reflects the general principle that
Member States are to ensure the effectiveness of Union law.

(112)

All waste SLI batteries, waste industrial batteries and waste electric vehicles batteries
should be collected. For that purpose the producers of SLI batteries, industrial batteries andelectric vehicle batteries should be required to accept and take back free of charge, allwaste batteries for their respective category from end-users. Detailed reporting obligations
should be established for all producers, waste management operators and waste holders
involved in the collection of waste SLI batteries, waste industrial batteries and waste
electric vehicles batteries.

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(113)

In view of the waste hierarchy as established by Directive 2008/98/EC which prioritises
prevention, preparation for re-use and recycling and in line with Directive 2008/98/EC andCouncil Directive 1999/31/EC1, waste batteries collected should not be disposed of or be
subject to an energy recovery operation.

(114)

Any permitted facility carrying out treatment of batteries should comply with minimum
requirements to prevent adverse impacts on the environment and human health and toallow a high degree of recovery of materials present in batteries. Directive 2010/75/EU of
the European Parliament and of the Council2 regulates a number of industrial activities
involved in the treatment of waste batteries, for which it provides for specific authorisation
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/EU, operators should in any case be obliged to apply best available techniques,defined in Article 3, point (10), of that Directive, and the specific requirements laid downin this Regulation. The requirements in this Regulation regarding the treatment andrecycling of batteries should, where relevant, be adapted by the Commission in the light ofscientific and technical progress and emerging new technologies in waste management.
Therefore, the power to adopt acts in accordance with Article 290 TFEU should bedelegated to the Commission in respect of amending those requirements.

1
2

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

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(115)

Targets for the efficiency of the recycling processes and recovery of materials should beestablished to ensure high quality of recovery of materials for the battery industry, while atthe same time ensuring clear and common rules for recyclers and avoiding distortions ofcompetition or other impediments to the smooth functioning of the internal market forsecondary raw materials from waste batteries. Targets for recycling efficiency, as ameasure of the total amount of materials recycled, should be established for lead-acidbatteries, nickel-cadmium batteries, lithium-based batteries and other batteries. Targets forrecovery of materials should also be established for cobalt, lead, lithium and nickel, inorder to attain a high rate of recovery of materials throughout the Union. The rules on thecalculation and reporting on recycling efficiency laid down in Commission Regulation(EU) No 493/20121 should continue to apply.

1

Commission Regulation (EU) No 493/2012 of 11 June 2012 laying down, pursuant to
Directive 2006/66/EC of the European Parliament and of the Council, detailed rules
regarding the calculation of recycling efficiencies of the recycling processes of waste
batteries and accumulators (OJ L 151, 12.6.2012, p. 9).

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In order to ensure that the calculations and verifications of recycling efficiency andrecovery of materials rates are accurate and reliable and ensure that there is greater legal
certainty, the power to adopt acts in accordance with Article 290 TFEU should bedelegated to the Commission to supplement this Regulation by establishing themethodology for calculation and verification of recycling efficiency and material recovery
rates in the recycling processes for batteries and the format for the documentation on
recycling efficiency and material recovery for waste batteries and on destination and yieldof the final output fractions, in accordance with Part A of Annex XII. The Commission
should also review Regulation (EU) No 493/2012 to properly reflect technologicaldevelopments and changes in industrial recovery processes, to extend their scope to coverexisting and new targets, and to provide tools for the characterisation of intermediate
products. Treatment 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 Council1.

1Regulation (EC) No 1221/2009 of the European Parliament and of the Councilof 25 November 2009 on the voluntary participation by organisations in a Community
eco-management and audit scheme (EMAS), repealing Regulation (EC) No 761/2001 andCommission Decisions 2001/681/EC and 2006/193/EC (OJ L 342, 22.12.2009, p. 1).

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(116)It should only be possible to carry out treatment of waste batteries outside the Member
State where the waste was collected or outside the Union, where the shipment of waste
batteries is in compliance with Regulation (EC) No 1013/2006 of the European Parliamentand of the Council1 and Commission Regulation (EC) No 1418/20072 and where thetreatment meets the requirements applicable for this type of waste, according to theirclassification in Commission Decision 2000/532/EC3. That Decision should be revised toreflect all battery chemistries, in particular the codes for lithium-based waste batteries, inorder to enable proper sorting and reporting of such waste batteries. This Regulation is
without prejudice to the possible classification of waste batteries as hazardous waste underDirective 2008/98/EC. Where such treatment takes place outside the Union, in order to be
counted towards the recycling efficiencies and targets, the waste management operator on
whose behalf it is carried out should be obliged to report on that treatment to the competentauthority of the Member State in which those waste batteries were collected and to provethat the treatment took place in conditions that are equivalent to those required under thisRegulation and in line with other Union law regarding human health and environmental
protection. In order to lay down what are the requirements for such treatment to beconsidered equivalent, the power to adopt acts in accordance with Article 290 TFEU
should be delegated to the Commission to supplement this Regulation by laying down
detailed rules containing criteria for the assessment of equivalent conditions.

1
2

3

Regulation (EC) No 1013/2006 of the European Parliament and of the Councilof 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
for recovery of certain waste listed in Annex III or IIIA to Regulation (EC) No 1013/2006 of
the European 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).
Commission Decision 2000/532/EC 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)of Council Directive 91/689/EEC on hazardous waste (OJ L 226, 6.9.2000, p. 3.).

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(117)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 Regulation (EC) No 1013/2006 to require
documentary evidence to ascertain compliance with the requirements laid down in thisRegulation.

(118)

It should be possible for industrial batteries and electric vehicle batteries that are no longer
fit for the original purpose for which they were manufactured to be used for a different
purpose as stationary energy storage batteries. A market for used industrial batteries andused electric vehicle batteries is emerging and in order to support the practical applicationof the waste hierarchy, specific rules should thus be established to allow responsible
repurposing of used batteries while taking into account the precautionary principle andensuring safety of use for end-users. Any such used battery should undergo an assessmentof its state of health and available capacity to ascertain its suitability for a purpose otherthan its original purpose. Batteries that are found to be suitable for a purpose other thantheir original purpose should ideally be repurposed. In order to ensure uniform conditions
for the implementation of requirements that waste industrial batteries, waste LMT batteries
or waste electric vehicle batteries should fulfil to cease to be waste, implementing powers
should be conferred on the Commission.

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(119)

Producers and distributors should be actively involved in providing information to
end-users concerning the mandatory separate collection of waste batteries and theavailability of collection schemes. They should also inform end-users about the importantrole end-users have in ensuring the environmentally optimal management of waste
batteries. Producers and distributors should make use of up-to-date information technology
for the purposes of communicating information to all end-users as well as reporting on
batteries. The information should be provided either by classical means, such as outdoor
advertising, posters, through social media campaigns, or by more innovative means, suchas electronic access to websites provided by QR codes affixed to the battery. Suchinformation should be accessible for persons with disabilities in accordance with Directive(EU) 2019/882.

(120)

To enable the verification of fulfilment of and the effectiveness of the obligations
regarding the collection and treatment of waste batteries, it is necessary for operators toreport to the competent authorities. Producers of batteries and other waste management
operators collecting waste batteries should report for each calendar year, where applicable,
the data on batteries sold and waste batteries collected. Regarding treatment, reporting
obligations should be imposed upon the waste management operators and recyclers
respectively.

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(121)For each calendar year, Member States should provide the Commission with informationon the amount of batteries supplied within their territory and the amount of waste batteries
collected, by category and chemistry. With regard to waste portable batteries and waste
LMT batteries data should be reported separately, allowing the respective collection targets
to be adapted, considering the market share of such batteries and their specific purpose andcharacteristics. Such information should be provided electronically and be accompanied bya quality check report. In order to ensure uniform conditions for the reporting of those dataand information to the Commission, as well as for the verification methods, implementing
powers should be conferred on the Commission.

(122)

For each calendar year, Member States should report to the Commission the rates forrecycling efficiency and recovery of materials achieved taking into account all theindividual steps of the recycling process and the output fractions.

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(123)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,
enables tracking and tracing of batteries and provides information about the carbon
intensity of their manufacturing processes as well as the origin of the materials used andwhether renewable material, such as material produced from lignin to substitute graphite, isused, about composition of batteries, including raw materials and hazardous chemicals,
about repair, repurposing and dismantling operations and possibilities, and about thetreatment, recycling and recovery processes to which the batteries could be subject to at theend of their lifetime. 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 thehandling of batteries and specific actors with tailored information such as on the state ofhealth of batteries. It should be possible for the battery passport to support market
surveillance authorities in carrying out their tasks under this Regulation, but it should not
replace or modify the responsibilities of market surveillance authorities, which should, inline with Regulation (EU) 2019/1020, check the information provided in battery passports.

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(124)

Certain information in the battery passport should not be public, such as sensitive
commercial information to which only a limited number of persons with a legitimate
interest would need to have access. This applies to information on dismantling, including
safety, and detailed information regarding the composition of the battery, which is essential
for repairers, remanufacturers, second-life operators and recyclers. It also applies toinformation concerning individual batteries, which is essential to those who havepurchased the battery or parties acting on their behalf for the purpose of making the battery
available to independent energy aggregators or energy market participants, evaluating its
residual value or remaining lifetime for further use, and facilitating the preparation for reuse, preparation for repurposing, repurposing or remanufacturing of the battery. Results oftest reports should only be accessible to notified bodies, market surveillance authorities
and the Commission.

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(125)The battery passport should allow economic operators to gather and re-use in a more
efficient way the information and data on individual batteries placed on the market and to
make better informed choices in their planning activities. Once the battery is placed on themarket it might, in certain cases, be more practical for another legal person, such as avehicle manufacturer, to update information in the passport. The economic operator thatplaces the battery on the market should therefore be allowed to give written authorisation
to any other operator to act on its behalf. The responsibility of compliance with theprovisions for the battery passport should lie with the economic operator that places thebattery on the market. In order to ensure uniform conditions for the implementation of thebattery passport, implementing powers should be conferred on the Commission.

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EN(126)

To ensure that the battery passport is flexible, dynamic and market-driven and evolves 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, the 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 law concerning eco-design for sustainable products. Technical specifications,for which the 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 standards
for which the references are published in the Official Journal of the European Union or, asa fall-back option, in the form of common specifications adopted by the Commission. The
technical design should ensure that the battery passport carries data in a secure way which
respects privacy rules.

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(127)

Regulation (EU) 2019/1020 lays down the general rules on market surveillance and control
of products placed on the Union market or that enter the Union market from third
countries. In order to ensure that batteries benefiting from the free movement of goods
fulfil requirements providing for a high level of protection of public interests such as
human health, safety of persons, protection of property and the environment, and to ensure
full enforceability of the obligations, in particular relating to the battery due diligencepolicies, under this Regulation, Regulation (EU) 2019/1020 should also apply to thebatteries and economic operators covered by this Regulation. Therefore, Annex I to
Regulation (EU) 2019/1020 should be amended accordingly.

(128)

Regulation (EU) 2019/1020 requires market surveillance authorities to perform appropriate
checks on the characteristics of products on an adequate scale. It confers powers on theCommission to adopt implementing acts to determine the uniform conditions for checks,
criteria for determination of the frequency of checks and amount of samples to be checked
in relation to certain products or categories of products. That conferral of powers also
applies to the batteries covered by this Regulation where the conditions specified inRegulation (EU) 2019/1020 are met.

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(129)

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 a Member State as a Union testing facility for specificcategories of products or for specific risks related to a category of products. The
Commission is to include the batteries covered by this Regulation in its next call for
expression of interest for the designation of Union testing facilities pursuant toCommission Implementing Regulation (EU) 2022/12671. Regulation (EU) 2019/1020 also
provides that market surveillance authorities can carry out joint activities withorganisations representing economic operators or end-users, with a view to promoting
compliance, identifying non-compliance, raising awareness and providing guidance inrelation to specific categories of products. That possibility should also be provided inrelation to the requirements of this Regulation. In that context, Member States or market
surveillance authorities might explore setting up battery competence centres.

(130)

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

1

Commission 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).

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(131)A procedure should exist under which interested parties are informed of measures intended
to be taken with regard to batteries that present a risk to human health, safety of persons,property or the environment. Such a procedure should also allow market surveillanceauthorities in the Member States, in cooperation with the relevant economic operators, toact at an early stage in respect of such batteries. In order to ensure uniform conditions forthe implementation of this Regulation, implementing powers should be conferred on theCommission in order to determine whether national measures in respect of non-compliant
batteries are justified or not.

(132)

The market surveillance authorities should be allowed to require an economic operator totake corrective action if they find either that a battery is not compliant with therequirements of this Regulation or that an economic operator has infringed the rules on theplacing or making available on the market of a battery, or on sustainability, safety,
labelling and information or on supply chain due diligence.

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(133)

Public procurement constitutes an important sector with regard to reducing the impacts on
the environment of human activities and to stimulating market transformation towards
more sustainable products. Contracting authorities, as defined in Directives 2014/24/EU1
and 2014/25/EU2 of the European Parliament and of the Council, 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 should ensure effective
compliance by the economic operators with social and environmental requirements, inorder to promote and stimulate the market for clean and energy-efficient mobility andenergy-storage and thus contribute to the environment, climate and energy policy
objectives of the Union.

(134)

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-Making3. 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.

1
2

3

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).
OJ L 123, 12.5.2016, p. 1.

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(135)The implementing powers that are conferred on the Commission by this Regulation should
be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliamentand of the Council1.

(136)

The advisory procedure should be used for the adoption of an implementing act insituations where the Commission ascertains that a notified body does not meet therequirements for its notification, in order to request the notifying authority to take thenecessary corrective action, including withdrawal of the notification if necessary.

(137)

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 or
the safety of persons, or the protection of property or the environment, imperative groundsof urgency so require.

1

Regulation (EU) No 182/2011 of the European Parliament and of the Councilof 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).

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(138)

Member States should lay down rules on penalties applicable to infringements of thisRegulation and ensure that those rules are implemented. The penalties provided for shouldbe effective, proportionate and dissuasive. When imposing penalties, it is important that
due regard be given to the nature, gravity, scope, intentional nature and repetition of theinfringement and the level of cooperation of the natural or legal person held responsible
with the competent authority. The imposition of penalties is to comply with Union andnational law, including with applicable procedural safeguards and with the principles of theCharter of Fundamental Rights of the European Union.

(139)

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 application of this Regulationand its impact on the environment and the functioning of the internal market. The
Commission should include, in its report, an evaluation of the provisions on sustainability,
safety, labelling and information criteria, the waste batteries management measures and the
supply chain due diligence requirements. Where appropriate, the report should beaccompanied by a proposal to amend relevant provisions of this Regulation.

(140)

It is necessary to provide for sufficient time for economic operators to fulfil 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.

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(141)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 organisationof the authorisation procedures by the competent authorities, while keeping continuity foreconomic operators, Directive 2006/66/EC should be repealed as of … [24 months after
the date of entry into force of this Regulation]. Obligations under that Directive related tomonitoring and reporting the collection rate of portable batteries should remain in force
until 31 December 2023, and the related obligations for the transmission of data to theCommission should remain in force until 30 June 2025, obligations under that Directive
related to monitoring and reporting the recycling efficiencies of recycling processes should
remain in force until 31 December 2025, and the related obligations for the transmission ofdata to the Commission should remain in force until 30 June 2027, in order to ensure
continuity until new calculation rules and reporting formats are adopted by theCommission under this Regulation.

(142)

It is important that, in the implementation of this Regulation, environmental, social andeconomic impacts be considered. Moreover, in order to ensure that there is a level playing
field, it is important that, in the implementation of this Regulation, all relevant available
technologies are equally taken into consideration, provided that those technologies allow
for full compliance of batteries with any relevant requirement set out in this Regulation.
Furthermore, no excessive administrative burden should be imposed on economic
operators, in particular on small- and medium-sized enterprises (SMEs).

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(143)

Since the objectives of this Regulation, namely to contribute to the functioning of theinternal market and to prevent and reduce the adverse impacts of batteries and waste
batteries to ensure a high level of protection of human health, safety of persons, 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 Union level, 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 of proportionality, as set
out in that Article, this Regulation does not go beyond what is necessary in order toachieve those objectives,

HAVE ADOPTED THIS REGULATION:

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Chapter I
General provisions

Article 1
Subject matter and scope
1.

This Regulation lays down requirements on sustainability, safety, labelling, marking andinformation to allow the placing on the market or putting into service of batteries within
the Union. It also lays down minimum requirements for extended producer responsibility,
the collection and treatment of waste batteries and for reporting.

2.

This Regulation imposes battery due diligence obligations on economic operators placing
batteries on the market or putting them into service. It also lays down requirements forgreen public procurement when procuring batteries or products into which batteries areincorporated.

3.

This Regulation applies to all categories of batteries, namely portable batteries, starting,lighting and ignition batteries (SLI batteries), light means of transport batteries(LMT batteries), electric vehicle batteries and industrial batteries, regardless of their shape,
volume, weight, design, material composition, chemistry, use or purpose. It shall also
apply to batteries that are incorporated into or added to products or that are specificallydesigned to be incorporated into or added to products.

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For the purposes of Chapter II, where batteries placed on the market can be considered tofall under more than one category, they shall be deemed to fall under the category to which
the strictest requirements apply.
4.

In cases where battery cells or battery modules are made available on the market for end
use, without any further incorporation or assembly into larger battery packs or batteries,
they shall be considered to have been placed on the market as batteries for the purposes ofthis Regulation, and the requirements for the most similar battery category shall apply. In
cases where it can be considered that such battery cells or battery modules fall under morethan one battery category, they shall be deemed to fall under the category to which thestrictest requirements apply.

5.

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

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6.

Chapters III and VIII of this Regulation do not apply to equipment specifically designed
for the safety of nuclear installations, as defined in Article 3 of Council Directive
2009/71/Euratom1.

Article 2
Objectives
The objectives of this Regulation are to contribute to the efficient functioning of the internal market,
while preventing and reducing the adverse impacts of batteries on the environment, and to protect
the environment and human health by preventing and reducing the adverse impacts of thegeneration and management of waste batteries.

Article 3
Definitions
1.

For the purposes of this Regulation, the following definitions apply:(1)‘battery’ means any device delivering electrical energy generated by directconversion of chemical energy, having internal or external storage, and consisting of
one or more non-rechargeable or rechargeable battery cells, modules or of packs ofthem, and includes a battery that has been subject to preparation for re-use,
preparation for repurposing, repurposing or remanufacturing;1

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).

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(2)

‘battery pack’ means any set of battery cells or modules that are connected together
or encapsulated within an outer casing, to form a complete unit which is not meant tobe split up or opened by the end-user;(3)‘battery module’ means any set of battery cells that are connected together or
encapsulated within an outer casing to protect the cells against external impact, andwhich is meant to be used either alone or in combination with other modules;(4)‘battery cell’ means the basic functional unit in a battery, composed of electrodes,
electrolyte, container, terminals and, if applicable, separators, and containing theactive materials the reaction of which generates electrical energy;(5)‘active material’ means a material which reacts chemically to produce electric energy
when the battery cell discharges or to store electric energy when the battery is being
charged;(6)‘non-rechargeable battery’ means a battery that is not designed to be electricallyrecharged;(7)‘rechargeable battery’ means a battery that is designed to be electrically recharged;(8)‘battery with external storage’ means a battery that is specifically designed to haveits energy stored exclusively in one or more attached external devices;

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(9)

‘portable battery’ means a battery that is sealed, weighs 5 kg or less, is not designed
specifically for industrial use and is neither an electric vehicle battery, an LMT
battery, nor an SLI battery;(10) ‘portable battery of general use’ means a portable battery, whether or notrechargeable, that is specifically designed to be interoperable and that has one of thefollowing common formats 4,5 Volts (3R12), button cell, D, C, AA, AAA, AAAA,
A23, 9 Volts (PP3);(11) ‘light means of transport battery’ or ‘LMT battery’ means a battery that is sealed,weighs 25 kg or less and is specifically designed to provide electric power for thetraction of wheeled vehicles that can be powered by an electric motor alone or by a
combination of motor and human power, including type-approved vehicles ofcategory L within the meaning of Regulation (EU) No 168/2013 of the European
Parliament and of the Council1, and that is not an electric vehicle battery;(12) ‘starting, lighting and ignition battery’ or ‘SLI battery’ means a battery that is
specifically designed to supply electric power for starting, lighting, or ignition andthat can also be used for auxiliary or backup purposes in vehicles, other means oftransport or machinery;1

Regulation (EU) No 168/2013 of the European Parliament and of the Councilof 15 January 2013 on the approval and market surveillance of two- or three-wheel vehicles
and quadricycles (OJ L 60, 2.3.2013, p. 52).

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(13) ‘industrial battery’ means a battery that is specifically designed for industrial uses,
intended for industrial uses after having been subject to preparation for repurposing
or repurposing, or any other battery that weighs more than 5 kg and that is neither anelectric vehicle battery, an LMT battery, nor an SLI battery;(14) ‘electric vehicle battery’ means a battery that is specifically designed to provide
electric power for traction in hybrid or electric vehicles of category L as provided forin Regulation (EU) No 168/2013, that weighs more than 25 kg, or a battery that is
specifically designed to provide electric power for traction in hybrid or electricvehicles of categories M, N or O as provided for in Regulation (EU) 2018/858;(15) ‘stationary battery energy storage system’ means an industrial battery with internal
storage that is specifically designed to store from and deliver electric energy to thegrid or store for and deliver electric energy to end-users, regardless of where and bywhom the battery is being used;(16) ‘placing on the market’ means the first making available of a battery on the Union
market;(17) ‘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;

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(18) ‘putting into service’ means the first use, for its intended purpose, in the Union, of abattery, without having been previously placed on the market;(19) ‘battery model’ means a version of a battery all units of which share the same
technical characteristics relevant for the requirements of this Regulation onsustainability, safety, labelling, marking and information, and the same model
identifier;(20) ‘battery presenting a risk’ means a battery which has the potential to have adverse
effects on human health or the safety of persons, on property or the environment to adegree which goes beyond that considered reasonable and acceptable in relation to
the battery’s intended purpose or under the normal or reasonably foreseeableconditions of use of the battery concerned, including the duration of use, and, whereapplicable, to its putting into service, installation and maintenance requirements;(21) ‘carbon footprint’ means the sum of greenhouse gas emissions and greenhouse gas
removals in a product system, expressed as carbon dioxide equivalents and based on
a Product Environmental Footprint (PEF) study using the single impact category ofclimate change;

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(22) ‘economic operator’ means the manufacturer, the authorised representative, theimporter, the distributor or the fulfilment service provider or any other natural or
legal person who is subject to obligations in relation to the manufacture, preparation
for re-use, preparation for repurposing, repurposing or remanufacturing of batteries,
the making available or the placing of batteries on the market, including online, or
the putting of batteries into service in accordance with this Regulation;(23) ‘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 includes waste management operators,
repairers, manufacturers or distributors of repair equipment, tools or spare parts, aswell as publishers of technical information, operators offering inspection and testing
services, operators offering training for installers, manufacturers and repairers ofequipment for alternative-fuel vehicles;(24) ‘QR code’ means a machine-readable matrix code that links to information as
required by this Regulation;(25) ‘battery management system’ means an electronic device that controls or manages
the electric and thermal functions of a battery in order to ensure the battery’s safety,
performance and service life, manages and stores the data for the parameters fordetermining the battery’s state of health and expected lifetime set out in Annex VII
and communicates with the vehicle, light means of transport or appliance in which
the battery is incorporated, or with a public or private charging infrastructure;

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(26) ‘appliance’ means any electrical or electronic equipment, as defined in Article 3(1),point (a), of Directive 2012/19/EU, which is fully or partly powered by a battery or iscapable of being so;(27) ‘state of charge’ means the available energy in a battery expressed as a percentage of
its rated capacity as declared by the manufacturer;(28) ‘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 initialcondition;(29) ‘preparation for re-use’ means preparing for re-use as defined in Article 3, point (16),of Directive 2008/98/EC;(30) ‘preparation for repurposing’ means any operation, by which a waste battery, or parts
thereof, is prepared so that it can be used for a different purpose or application thanthat for which it was originally designed;(31) ‘repurposing’ means any operation that results in a battery, that is not a waste
battery, or parts thereof being used for a purpose or application other than that for
which the battery was originally designed;

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(32) ‘remanufacturing’ means any technical operation on a used battery that includes thedisassembly and evaluation of all its battery cells and modules and the use of acertain number of battery cells and modules that are new, used or recovered fromwaste, or other battery components, to restore the battery capacity to at least 90 % of
the original rated capacity, and where the state of health of all individual battery cells
does not differ more than 3 % between cells, and results in the battery being used forthe same purpose or application as the one for which the battery was originallydesigned;(33) ‘manufacturer’ means any natural or legal person who manufactures a battery or has
a battery designed or manufactured, and markets that battery under its own name ortrademark or puts it into service for its own purposes;(34) ‘technical specifications’ means a document that prescribes technical requirements to
be fulfilled by a product, process or service;(35) ‘harmonised standard’ means a standard as defined in Article 2, point (1)(c), ofRegulation (EU) No 1025/2012;(36) ‘CE marking’ means a marking by which a manufacturer indicates that the battery is
in conformity with the applicable requirements laid down in Union harmonisation
legislation providing for its affixing;

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(37) ‘accreditation’ means accreditation as defined in Article 2, point (10), of Regulation(EC) No 765/2008;(38) ‘national accreditation body’ means a national accreditation body as defined in
Article 2, point (11), of Regulation (EC) No 765/2008;(39) ‘conformity assessment’ means the process demonstrating whether the sustainability,
safety, labelling, information and due diligence requirements of this Regulation havebeen fulfilled;(40) ‘conformity assessment body’ means a body that performs conformity assessment
activities including calibration, testing, certification and inspection;(41) ‘notified body’ means a conformity assessment body that has been notified inaccordance with Chapter V;(42) ‘battery due diligence’ means the obligations of an economic operator in relation toits management system, risk management, third-party verifications and surveillance
by notified bodies and disclosure of information, for the purpose of identifying,
preventing and addressing actual and potential social and environmental risks linked
to the sourcing, processing and trading of the raw materials and secondary raw
materials required for battery manufacturing, including by suppliers in the chain andtheir subsidiaries or subcontractors;

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EN(43) ‘subsidiary’ means a legal person through which the activity of a controlled
undertaking within the meaning of Article 2(1), point (f), of Directive 2004/109/EC
of the European Parliament and of the Council1 is exercised;(44) ‘parent company’ means a company which controls one or more subsidiaries;(45) ‘conflict-affected and high-risk areas’ means conflict-affected and high-risk areas asdefined in Article 2, point (f), of Regulation (EU) 2017/821;(46) ‘distance contracts’ means distance contracts as defined in Article 2, point (7), of
Directive 2011/83/EU;(47) ‘producer’ means any manufacturer, importer or distributor or other natural or legal
person that, irrespective of the selling technique used, including by means of distancecontracts, either:(a)is established in a Member State and manufactures batteries under its own
name or trademark, or has batteries designed or manufactured and supplies
them for the first time under its own name or trademark, including thoseincorporated in appliances, light means of transport or other vehicles, within
the territory of that Member State;1

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).

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(b)

is established in a Member State and resells within the territory of that
Member State, under its own name or trademark, batteries, including thoseincorporated in appliances, light means of transport or other vehicles,
manufactured by others, on which the name or trademark of those othermanufacturers does not appear;(c)

is established in a Member State and supplies for the first time in that
Member State on a professional basis, batteries, including those incorporated inappliances, light means of transport or other vehicles, from another Member
State or from a third country; or(d)sells batteries, including those incorporated in appliances, light means oftransport or other vehicles, by means of distance contracts directly to
end-users, whether or not they are private households, in a Member State, andis established in another Member State or in a third country;(48) ‘authorised representative for extended producer responsibility’ means a natural or
legal person established in a Member State in which the producer places batteries on
the market and which is different from the Member State where the producer isestablished, and is appointed by the producer in accordance with Article 8a(5),third subparagraph, of Directive 2008/98/EC to fulfil the obligations of that producer
under Chapter VIII of this Regulation;

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(49) ‘producer responsibility organisation’ means a legal entity that financially or
financially and operationally organises the fulfilment of extended producer
responsibility obligations on behalf of several producers;(50) ‘waste battery’ means any battery which is waste as defined in Article 3, point (1), of
Directive 2008/98/EC;(51) ‘battery manufacturing waste’ means the materials or objects rejected during thebattery manufacturing process, which cannot be re-used as an integral part in thesame process and need to be recycled;(52) ‘hazardous substance’ means a substance classified as hazardous pursuant to
Article 3 of Regulation (EC) No 1272/2008;(53) ‘treatment’ means any operation carried out on waste batteries after they have been
handed over to a facility for sorting, preparation for re-use, preparation for
repurposing, preparation for recycling or for recycling;(54) ‘preparation for recycling’ means the treatment of waste batteries prior to any
recycling process, including, inter alia, the storage, handling and dismantling ofbattery packs or the separation of fractions that are not part of the battery itself;

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(55) ‘voluntary collection point’ means any non-profit, commercial or other economic
undertaking or public body involved on its own initiative in the separate collection ofwaste portable batteries and waste LMT batteries, generated by it or by other endusers, before handing those waste batteries over to producers, to producer
responsibility organisations or to waste management operators for subsequent
treatment;(56) ‘waste management operator’ means any natural or legal person dealing on aprofessional basis with the separate collection or treatment of waste batteries;(57) ‘permitted facility’ means an establishment or undertaking that is permitted inaccordance with Directive 2008/98/EC to carry out the treatment of waste batteries;(58) ‘recycler’ means any natural or legal person who carries out recycling in a permitted
facility;(59) ‘lifetime of a battery’ means the period that starts when the battery is manufactured
and ends when the battery becomes waste;(60) ‘recycling efficiency’ means the ratio, expressed as a percentage, obtained by
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(61) ‘Union harmonisation legislation’ means any Union legislation harmonising theconditions for the marketing of products;(62) ‘national authority’ means an approval authority or any other authority involved in
and responsible for market surveillance in a Member State in respect of batteries;(63) ‘authorised representative’ means any natural or legal person established in theUnion 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
Chapters IV and VI;(64) ‘importer’ means any natural or legal person established within the Union who
places on the market a battery from a third country;(65) ‘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;(66) ‘unique identifier’ means a unique string of characters for the identification ofbatteries that also enables a web link to the battery passport;(67) ‘online platform’ means an online platform as defined in Article 3, point (i), ofRegulation (EU) 2022/2065;

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(68) ‘market participant’ means a market participant as defined in Article 2, point (25), ofRegulation (EU) 2019/943 of the European Parliament and of the Council1.
2.

In addition to the definitions referred to in paragraph 1, the following definitions apply:(a)‘waste’, ‘waste holder’, ‘waste management’, ‘prevention’, ‘collection’, ‘separate
collection’, ‘extended producer responsibility scheme’, ‘re-use’ and ‘recycling’, laid
down in Article 3 of Directive 2008/98/EC;(b)‘market surveillance’, ‘market surveillance authority’, ‘fulfilment service provider’,‘corrective action’, ‘end-user’, ‘recall’ and ‘withdrawal’, as well as ‘risk’ in relation
to requirements of Chapters I, IV, VI, VII and IX of and Annexes V, VIII and XIII tothis Regulation, laid down in Article 3 of Regulation (EU) 2019/1020;(c)‘independent aggregator’ and ‘energy storage’, laid down in Article 2 of Directive(EU) 2019/944.

1

Regulation (EU) 2019/943 of the European Parliament and of the Council of 5 June 2019 on
the internal market for electricity (OJ L 158, 14.6.2019, p. 54).

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Article 4
Free movement
1.

Member States shall not, for reasons relating to the sustainability, safety, labelling andinformation requirements for 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 that avisible sign clearly indicates that those 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 with this Regulation. During demonstrations of such batteries, therelevant economic operator shall take adequate measures to ensure the safety of persons.

Article 5
Sustainability, safety, labelling and information requirements for batteries
1.

Batteries shall only be placed on the market or put into service if they meet the following
requirements:(a)the sustainability and safety requirements laid down in Articles 6 to 10 and 12; andPE-CONS 2/23

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(b)
2.

the labelling and information requirements laid down in Chapter III.

For any aspects not covered by Chapters II and III, batteries placed on the market or put
into service pursuant to paragraph 1 shall not present a risk to human health, to the safetyof persons, to property or to the environment.

Chapter II
Sustainability and safety requirements

Article 6
Restrictions on substances1.

In addition to the restrictions set out in Annex XVII to Regulation (EC) No 1907/2006 andin Article 4(2), point (a), of Directive 2000/53/EC, batteries shall not contain substances
for which Annex I to this Regulation contains a restriction unless the conditions of that
restriction are complied with.

2.

In the event of an unacceptable risk to human health or the environment, arising from theuse of a substance in the manufacture of batteries or from the presence of a substance inthe batteries when they are placed on the market, or arising during their subsequent life
cycle stages, including during repurposing or 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 Article 89 to amend the restrictions in
Annex I, pursuant to the procedure laid down in Articles 86, 87 and 88.

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3.

Restrictions adopted pursuant to paragraph 2 of this Article shall not apply to the use of a
substance in scientific research and development as defined in Article 3, point (23), ofRegulation (EC) No 1907/2006, carried out in relation to batteries.

4.

Where a restriction adopted pursuant to paragraph 2 of this Article does not apply to
product and process orientated research and development, as defined in Article 3,
point (22), of Regulation (EC) No 1907/2006, that exemption, as well as the maximum
quantity of the substance exempted, shall be specified in Annex I to this Regulation.

5.

By 31 December 2027, the Commission, assisted by the European Chemicals Agency set
up under Regulation (EC) No 1907/2006 (‘the Agency’), shall prepare a report on
substances of concern, namely substances having an adverse effect on human health or theenvironment or hampering recycling for safe and high quality secondary raw materials,
present in batteries or used in their manufacture. The Commission shall submit that reportto the European Parliament and to the Council detailing its findings and shall consider theappropriate follow-up measures including the adoption of delegated acts as referred to inparagraph 2 of this Article.

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Article 7
Carbon footprint of electric vehicle batteries, rechargeable industrial batteries and LMT batteries
1.

For electric vehicle batteries, rechargeable industrial batteries with a capacity greater than
2 kWh and LMT batteries a carbon footprint declaration shall be drawn up for each battery
model per manufacturing plant, in accordance with the implementing act referred to in the
fourth subparagraph and containing, at least, the following information:(a)administrative information about the manufacturer;(b)

information about the battery model;(c)information about the geographic location of the battery manufacturing plant;(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 according to life cycle stage as
described in point 4 of Annex II;(f)the identification number of the EU declaration of conformity of the battery;(g)a web link giving access to a public version of the study supporting the carbon
footprint values referred to in points (d) and (e).

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The carbon footprint declaration shall apply from:(a)… [18 months after the date of entry into force of this Regulation] or 12 months after
the date of entry into force either of the delegated act or of the implementing act
respectively referred to in the fourth subparagraph, points (a) and (b), whichever isthe latest, for electric vehicle batteries;(b)… [30 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force either of the delegated act or of the implementing act
respectively referred to in the fourth subparagraph, points (a) and (b), whichever isthe latest, for rechargeable industrial batteries except those with exclusively external
storage;(c)… [60 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force either of the delegated act or of the implementing act
respectively referred to in the fourth subparagraph, points (a) and (b), whichever isthe latest, for LMT batteries;(d)… [84 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force either of the delegated act or of the implementing act
respectively referred to in the fourth subparagraph, points (a) and (b), whichever isthe latest, for rechargeable industrial batteries with external storage.

Until it becomes accessible via the QR code referred to in Article 13(6), the carbon
footprint declaration shall accompany the battery.

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The Commission shall, by … [6 months after the date of entry into force of thisRegulation] for electric vehicle batteries, … [18 months after the date of entry into force of
this Regulation] for rechargeable industrial batteries, except those with external storage, …
[42 months after the date of entry into force of this Regulation] for LMT batteries and …
[66 months after the date of entry into force of this Regulation] for industrial batteries withexternal storage, adopt:(a)a delegated act in accordance with Article 89 to supplement this Regulation by
establishing the methodology for the calculation and verification of the carbon
footprint of the battery referred to in the first subparagraph, point (d), in accordancewith 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 90(3).

2.

Electric vehicle batteries, rechargeable industrial batteries with a capacity greater than
2 kWh and LMT batteries shall bear a conspicuous, clearly legible and indelible label
indicating the carbon footprint of the battery referred to in paragraph 1, first subparagraph,point (d) and declaring the carbon footprint performance class to which the relevant battery
model per manufacturing plant corresponds.

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For batteries referred to in the first subparagraph, the technical documentation referred toin 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 toparagraph 1, fourth subparagraph, point (a) and the fourth subparagraph, point (a), of thisparagraph.
The carbon footprint performance class requirements in the first subparagraph shall apply
from:
(a)

… [36 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force either of the delegated act or of the implementing act
respectively referred to in the fourth subparagraph, points (a) and (b), whichever isthe latest, for electric vehicle batteries;(b)… [48 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force either of the delegated act or of the implementing act
respectively referred to in the fourth subparagraph, points (a) and (b), whichever isthe latest, for rechargeable industrial batteries except those with exclusively external
storage;

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(c)

… [78 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force either of the delegated act or of the implementing act
respectively referred to in the fourth subparagraph, points (a) and (b), whichever isthe latest, for LMT batteries;(d)… [102 months after the date of entry into force of this Regulation] or 18 months
after the date of entry into force either of the delegated act or of the implementing act
respectively referred to in the fourth subparagraph, points (a) and (b), whichever isthe latest, for rechargeable industrial batteries with external storage.

The Commission shall, by … [18 months after the date of entry into force of thisRegulation] for electric vehicle batteries, … [36 months after the date of entry into force of
this Regulation] for rechargeable industrial batteries except those with exclusively external
storage, … [60 months after the date of entry into force of this Regulation] for LMT
batteries and … [84 months after the date of entry into force of this Regulation] forrechargeable industrial batteries with external storage, adopt:(a)a delegated act in accordance with Article 89 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 that subparagraph. That implementing act shall be adopted inaccordance with the examination procedure referred to in Article 90(3).

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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 89 to amend
the number of performance classes and thresholds between them with a view to keeping
them representative of the market reality and expected developments in the market.
3.

For electric vehicle batteries, rechargeable industrial batteries with a capacity greater than
2 kWh and LMT 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 pursuant to the third subparagraph.

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The requirement for a maximum life cycle carbon footprint threshold referred to in thefirst subparagraph shall apply as of:(a)… [54 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force of the delegated act referred to in the third subparagraph,
whichever is the latest, for electric vehicle batteries;(b)… [66 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force of the delegated act referred to in the third subparagraph,
whichever is the latest, for rechargeable industrial batteries except those with
exclusively external storage;(c)… [96 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force of the delegated act referred to in the third subparagraph,
whichever is the latest, for LMT batteries;(d)… [120 months after the date of entry into force of this Regulation] or 18 months
after the date of entry into force of the delegated act referred to in the third
subparagraph, whichever is the latest, for rechargeable industrial batteries withexternal storage.

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The Commission shall, by … [36 months after the date of entry into force of thisRegulation] for electric vehicle batteries, … [54 months after the date of entry into force of
this Regulation] for rechargeable industrial batteries, except those with external storage, …
[78 months after the date of entry into force of this Regulation] for LMT batteries and …
[102 months after the date of entry into force of this Regulation] for industrial batteries
with external storage, adopt a delegated act in accordance with Article 89 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.
The introduction of a maximum life cycle carbon footprint threshold shall trigger, if
necessary, a reclassification of the carbon footprint performance classes referred to inparagraph 2.
4.

By 31 December 2030, the Commission shall assess the feasibility of extending therequirements in this Article to portable batteries, and the requirement laid down inparagraph 3 to rechargeable industrial batteries with a capacity of 2 kWh or less. To that
end, the Commission shall submit a report to the European Parliament and the Council andconsider taking the appropriate measures, including the adoption of legislative proposals.

5.

Paragraphs 1, 2 and 3 shall not apply to a battery that has been subject to preparation for
re-use, preparation for repurposing, repurposing or remanufacturing, if the battery had
already been placed on the market or put into service before undergoing such operations.

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

From … [60 months after the date of entry into force of this Regulation] or 24 months after
the date of entry into force of the delegated act referred to in the third subparagraph,
whichever is the latest, industrial batteries with a capacity greater than 2 kWh, except thosewith exclusively external storage, electric vehicle batteries and SLI batteries that containcobalt, lead, lithium or nickel in active materials, shall be accompanied by documentation
containing information about the percentage share of cobalt, lithium or nickel that ispresent in active materials and that has been recovered from battery manufacturing wasteor post-consumer waste, and the percentage share of lead that is present in the battery andthat has been recovered from waste, for each battery model per year and per manufacturing
plant.
The first subparagraph shall apply from … [120 months after the date of entry into force of
this Regulation] to LMT batteries that contain cobalt, lead, lithium or nickel in active
materials.

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By … [36 months after the date of entry into force of this Regulation], the Commission
shall adopt a delegated act in accordance with Article 89 to supplement this Regulation by
establishing, for the batteries referred to in the first and second subparagraphs, themethodology for the calculation and verification of the percentage share of cobalt, lithium
or nickel that is present in active materials and that has been recovered from battery
manufacturing waste or post-consumer waste, and the percentage share of lead that ispresent in the battery and that has been recovered from waste, and the format for the
documentation.
2.

From … [96 months after the date of entry into force of this Regulation], for industrial
batteries with a capacity greater than 2 kWh, except those with exclusively external
storage, electric vehicle batteries and SLI batteries that contain cobalt, lead, lithium or
nickel in active materials, the technical documentation referred to in Annex VIII shalldemonstrate that those batteries contain, in active materials, the following minimum
percentage share of, respectively, cobalt, lithium or nickel that has been recovered frombattery manufacturing waste or post-consumer waste, and the minimum percentage shareof lead that is present in the battery and that has been recovered from waste, for eachbattery model per year and per manufacturing plant:(a)

16 % cobalt;(b)

85 % lead;(c)

6 % lithium;(d)

6 % nickel.

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3.

From … [156 months after the date of entry into force of this Regulation], for industrial
batteries with a capacity greater than 2 kWh, except those with exclusively external
storage, electric vehicle batteries, LMT 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, in the active materials, the following
minimum percentage share of, respectively, cobalt, lithium or nickel that has been
recovered from battery manufacturing waste or post-consumer waste, and the minimum
percentage share of lead that is present in the battery and that has been recovered fromwaste, for each battery model per year and per manufacturing plant:(a)26 % cobalt;(b)

85 % lead;(c)

12 % lithium;(d)

15 % nickel.

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4.

Paragraphs 1, 2 and 3 shall not apply to batteries that have been subject to preparation for
re-use, preparation for repurposing, repurposing or remanufacturing, if the batteries had
already been placed on the market or put into service before undergoing such operations.

5.

After the date of entry into force of the delegated act adopted under paragraph 1, and nolater than 31 December 2028, the Commission shall assess whether, due to the existingavailability, and the forecasted availability for 2030 and 2035, of cobalt, lead, lithium or
nickel recovered from waste, or lack thereof, and in view of technical and scientificprogress, 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
first subparagraph or due to other considerable changes in battery technology impacting thetype of materials recovered, the Commission shall adopt, by … [72 months after the dateof entry into force of this Regulation], a delegated act in accordance with Article 89, toamend the targets laid down in paragraphs 2 and 3.

6.

Where justified and appropriate due to market developments regarding battery chemistries
impacting the type of materials that can be recovered, the Commission is empowered toadopt delegated acts in accordance with Article 89, to amend this Regulation by adding
materials other than cobalt, lead, lithium and nickel, with specific minimum shares ofrecycled content per specific material in paragraphs 2 and 3 of this Article.

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

From … [60 months after the date of entry into force of this Regulation] or 24 months after
the date of entry into force of the delegated act referred to in paragraph 2, whichever is thelatest, 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 pursuant to paragraph 2.

2.

By … [48 months after the date of entry into force of this Regulation], the Commission
shall adopt a delegated act in accordance with Article 89 to supplement this Regulation by
establishing mandatory minimum values for the electrochemical performance anddurability parameters set out in Annex III for portable batteries of general use, excluding
button cells.
The Commission is empowered to adopt delegated acts in accordance with Article 89 toamend the minimum values referred to in the first subparagraph or add electrochemical
performance and durability parameters to those set out in Annex III in view of technicaland scientific progress.

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In preparing the delegated act referred to in the first subparagraph, the Commission shallconsider the need to reduce the life cycle environmental impact of portable batteries ofgeneral use, including by means of increasing the resource efficiency thereof, and shalltake into consideration relevant international standards and labelling schemes.
The Commission shall also ensure that the provisions laid down by the delegated act
referred to in the first subparagraph do not have a significant adverse impact on the safety
and functionality of those batteries or the appliances, light means of transport or othervehicles into which those batteries are incorporated, the affordability and the cost for endusers and the industry’s competitiveness.
3.

By 31 December 2030, the Commission shall assess the feasibility of measures to phaseout non-rechargeable portable batteries of general use with a view to minimising theirenvironmental 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.

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

From … [12 months after the date of entry into force of this Regulation], rechargeableindustrial batteries with a capacity greater than 2 kWh, LMT batteries and electric vehicle
batteries shall be accompanied by a document containing values for the electrochemical
performance and durability parameters set out in Part A of Annex IV.
For batteries referred to in the first subparagraph, the technical documentation referred toin 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 set out in Part B of Annex IV.

2.

From either … [48 months after the date of entry into force of this Regulation] or
18 months after the date of entry into force of the delegated act referred to in thefirst subparagraph of paragraph 5, whichever is the latest, rechargeable industrial batteries
with a capacity greater than 2 kWh, except those with exclusively external storage, shallmeet the minimum values laid down in the delegated act adopted pursuant to thefirst subparagraph of paragraph 5 for the electrochemical performance and durability
parameters set out in Part A of Annex IV.

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3.

From either … [60 months after the date of entry into force of this Regulation] or
18 months after the date of entry into force of the delegated act referred to in thesecond subparagraph of paragraph 5, whichever is the latest, LMT batteries shall meet theminimum values laid down in the delegated act adopted pursuant to thesecond subparagraph of paragraph 5 for the electrochemical performance and durability
parameters set out in Part A of Annex IV.

4.

Paragraphs 1, 2 and 3 shall not apply to a battery that has been subject to preparation for
re-use, preparation for repurposing, repurposing or remanufacturing, where the economic
operator placing that battery on the market or putting it into service demonstrates that thebattery, before undergoing such operations, has been placed on the market or put into
service before the dates on which those obligations become applicable in accordance withthose paragraphs.

5.

By … [30 months after the date of entry into force of this Regulation], the Commission
shall adopt a delegated act in accordance with Article 89 to supplement this Regulation by
establishing minimum values for the electrochemical performance and durability
parameters set out in Part A of Annex IV that rechargeable industrial batteries with acapacity greater than 2 kWh, except those with exclusively external storage, shall attain.

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By … [42 months after the date of entry into force of this Regulation], the Commission
shall adopt a delegated act in accordance with Article 89 to supplement this Regulation by
establishing minimum values for the electrochemical performance and durability
parameters set out in Part A of Annex IV that LMT batteries shall attain.
In preparing the delegated acts referred to in the first and second subparagraph, theCommission shall consider the need to reduce the life cycle environmental impact ofrechargeable industrial batteries with a capacity greater than 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 adverse impact on the functionality of thosebatteries or the appliances, light means of transport or other vehicles into which thosebatteries are incorporated, their affordability and industry’s competitiveness.
6.

The Commission is empowered to adopt delegated acts in accordance with Article 89 toamend the electrochemical performance and durability parameters set out in Annex IV inlight of market developments and technical and scientific progress, including, in particular,
related to technical specifications of the informal UNECE Working Group on Electric
Vehicles and the Environment.

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Article 11
Removability and replaceability of portable batteries and LMT batteries
1.

Any natural or legal person that places on the market products incorporating portablebatteries shall ensure that those batteries are readily removable and replaceable by theend-user at any time during the lifetime of the product. That obligation shall only apply toentire batteries and not to individual cells or other parts included in such batteries.
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 theuse of specialised tools, unless provided free of charge with the product, proprietary tools,
thermal energy, or solvents to disassemble the product.
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. Those instructions andthat safety 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 levelof protection of the environment and human health relating to the removability andreplaceability of portable batteries by end-users laid down in any Union law on electricaland electronic equipment as defined in Article 3(1), point (a), of Directive 2012/19/EU.

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2.

By way of derogation from paragraph 1, the following products incorporating portablebatteries may be designed in such a way as to make the battery removable and replaceable
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 that are
intended to be washable or rinseable;(b)professional medical imaging and radiotherapy devices, as defined in Article 2,
point (1), of Regulation (EU) 2017/745, and in vitro diagnostic medical devices, as
defined in Article 2, point (2), of Regulation (EU) 2017/746.

The derogation set out in point (a) of this paragraph shall only be applicable where suchderogation is required to ensure the safety of the user and the appliance.
3.

The obligations laid down in paragraph 1 shall not apply where continuity of power supply
is necessary 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.

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4.

The Commission is empowered to adopt delegated acts in accordance with Article 89 toamend paragraph 2 of this Article by adding further products to be exempted from theremovability and replaceability requirements laid down in paragraph 1 of this Article. Suchdelegated acts shall be adopted only on account of market developments and technical andscientific progress, and provided that there are scientifically grounded concerns over thesafety of end-users removing or replacing the portable battery, or in cases where there is arisk that the removal or the replacement of the battery by end-users would be in violationof any product safety requirements provided for by applicable Union law.

5.

Any natural or legal person that places on the market products incorporating LMT batteries
shall ensure that those batteries, 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.

6.

For the purposes of paragraphs 1 and 5, a portable battery or LMT battery shall beconsidered readily replaceable where, after its removal from an appliance or light means oftransport, it can be substituted by another compatible battery without affecting thefunctioning, the performance or the safety of that appliance or light means of transport.

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7.

Any natural or legal person that places on the market products incorporating portablebatteries or LMT batteries shall ensure that those batteries are available as spare parts ofthe equipment that they power for a minimum of five years after placing the last unit of theequipment model on the market, with a reasonable and non-discriminatory price forindependent professionals and end-users.

8.

Software shall not be used to impede the replacement of a portable battery or LMT battery,or of their key components, with another compatible battery or key components.

9.

The Commission shall publish guidelines to facilitate the harmonised application of this
Article.

Article 12
Safety of stationary battery energy storage systems
1.

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

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2.

By … [12 months after the date of entry into force of this Regulation], the technicaldocumentation referred to in Annex VIII shall:(a)demonstrate that the stationary battery energy storage systems are compliant withparagraph 1 and include evidence that they have been successfully tested for thesafety parameters set out in Annex V, for which state-of-the-art testing
methodologies shall be used. The safety parameters shall only apply in so far as acorresponding hazard exists for the stationary battery energy storage system inquestion when it is used under the conditions envisaged by the manufacturer;(b)

include an assessment of possible safety hazards of the stationary battery energy
storage system that are not addressed in Annex V;(c)include evidence that the hazards referred to in point (b) have been successfully
mitigated and tested; state-of-the-art testing methodologies shall be used for suchtesting;

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(d)

include mitigation instructions in case the identified hazards could occur, forexample a fire or explosion.

The technical documentation shall be reviewed if a battery is prepared for re-use, preparedfor repurposing, remanufactured or repurposed.
3.

The Commission is empowered to adopt delegated acts in accordance with Article 89 toamend the safety parameters set out in Annex V in view of technical and scientificprogress.

Chapter III
Labelling, marking and information requirements

Article 13
Labelling and marking of batteries
1.

From … [36 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force of the implementing act referred to in paragraph 10, whicheveris the latest, batteries shall bear a label containing the general information on batteries set
out in Part A of Annex VI.

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2.

From … [36 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force of the implementing act referred to in paragraph 10, whicheveris the latest, rechargeable portable batteries, LMT batteries and SLI batteries shall bear alabel containing information on their capacity.

3.

From … [36 months after the date of entry into force of this Regulation] or 18 months after
the date of entry into force of the implementing act referred to in paragraph 10, whicheveris the latest, non-rechargeable portable batteries shall bear a label containing informationon their minimum average duration when used in specific applications and a label
indicating ‘non-rechargeable’.

4.

From … [24 months after the date of entry into force of this Regulation], all batteries shallbe marked with the symbol for separate collection of batteries (‘separate collection
symbol’) as shown in Part B of Annex VI.
The separate collection symbol shall cover at least 3 % of the area of the largest side of thebattery up to a maximum size of 5 × 5 cm.
In the case of cylindrical battery cells, the separate collection symbol shall cover at least
1,5 % of the surface area of the battery and shall have a maximum size of 5 × 5 cm.

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Where the size of the battery is such that the separate collection symbol would be smaller
than 0,47 × 0,47 cm, the battery does not need to be marked with that symbol. Instead, aseparate collection symbol measuring at least 1 × 1 cm shall be printed on the packaging.
5.

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 relevant chemical symbol indicating the heavy metal content shall be printed beneaththe separate collection symbol and shall cover an area of at least one-quarter the size ofthat symbol.

6.

From … [42 months after the date of entry into force of this Regulation], all batteries shallbe marked with a QR code as described in Part C of Annex VI. The QR code shall provide
access to the following:(a)for LMT batteries, industrial batteries with a capacity greater than 2kWh and electricvehicles batteries, the battery passport in accordance with Article 77;(b)for other batteries, the applicable information referred to in paragraphs 1 to 5 of this
Article, the declaration of conformity referred to in Article 18, the report referred toin Article 52(3) and the information regarding the prevention and management ofwaste batteries laid down in Article 74(1), points (a) to (f);PE-CONS 2/23

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(c)

for SLI batteries, the amount of cobalt, lead, lithium or nickel recovered from waste
and present in active materials in the battery, calculated in accordance with Article 8.

This information shall be complete, up-to-date and accurate.
7.

The labels and the QR code referred to in paragraphs 1 to 6 shall be printed or engraved
visibly, legibly and indelibly on the battery. Where this is not possible or not warranted on
account of the nature and size of the battery, the labels and the QR code shall be affixed tothe packaging and to the documents accompanying the battery.

8.

The Commission is empowered to adopt delegated acts in accordance with Article 89 toamend this Regulation to provide for alternative types of smart labels for use instead of orin addition to the QR code, in view of technical and scientific progress.

9.

Batteries that have been subject to preparation for re-use, preparation for repurposing,
repurposing or remanufacturing shall bear new labels or shall be marked with markings inaccordance with this Article, and containing information on their change of status inaccordance with point 4 of Annex XIII, which shall be accessible through the QR code.

10.

The Commission shall, by … [24 months after the date of entry into force of thisRegulation], adopt implementing acts to establish harmonised specifications for thelabelling requirements referred to in paragraphs 1, 2 and 3 of this Article. Those
implementing acts shall be adopted in accordance with the examination procedure referred
to in Article 90(3).

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Article 14
Information on the state of health and expected lifetime of batteries
1.

From … [12 months after the date of entry into force of this Regulation], up-to-date data
for the parameters for determining the state of health and expected lifetime of batteries as
set out in Annex VII shall be contained in the battery management system of stationary
battery energy storage systems, LMT batteries and electric vehicle batteries.

2.

Read-only access to the data for the parameters set out in Annex VII through the battery
management system referred to in paragraph 1 shall be provided, respecting the intellectual
property rights of the battery manufacturer, on a non-discriminatory basis to the natural or
legal 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:(a)making the battery available to independent aggregators or market participants
through energy storage;(b)evaluating the residual value or remaining lifetime of the battery and capability forfurther use, based on the estimation of the state of health of the battery;(c)facilitating the preparation for re-use, preparation for repurposing, repurposing or
remanufacturing of the battery.

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3.

The battery management system shall include a software reset function, in case economic
operators carrying out preparation for re-use, preparation for repurposing, repurposing or
remanufacturing need to upload different battery management system software. If thesoftware reset function is used, the original battery manufacturer shall not be held liable forany breach of the safety or functionality of the battery that could be attributed to battery
management system software uploaded after that battery was placed on the market.

4.

The Commission is empowered to adopt a delegated act in accordance with Article 89 toamend the parameters for determining the state of health and expected lifetime of batteries
set out in Annex VII in view of market developments and technical and scientific progress
and to ensure synergies with parameters set in UN Global Technical Regulation No. 22 on
in-vehicle battery durability for electrified vehicles, with due regard to the intellectual
property rights of the battery manufacturer.

5.

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

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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 laid down in Articles 9, 10, 12, 13, 14 and 78, tests, measurements andcalculations shall be made using reliable, accurate and reproducible methods which take
into account the generally recognised state-of-the-art methods, and the results of which are
deemed to be of low uncertainty, including methods set out in standards for whichreferences have been published for those purposes in the Official Journal of the European
Union.

2.

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

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3.

Batteries which are in conformity with harmonised standards, or parts thereof, for whichreferences have been published in the Official Journal of the European Union shall be
presumed to be in conformity with the requirements laid down in Articles 9, 10, 12, 13, 14
and 78 to the extent that those requirements are covered by such harmonised standards orparts thereof, and, if applicable, to the extent that the minimum values established for thoserequirements pursuant to Articles 9 and 10 are attained.

Article 16
Common specifications
1.

In exceptional cases, the Commission may adopt implementing acts laying down common
specifications for the requirements laid down in Articles 9, 10, 12, 13, 14 and 78 or tests
referred to in Article 15(1), where:(a)those requirements or tests are not covered by harmonised standards, or parts thereof,
for which references have been published in the Official Journal of the European
Union;(b)

the Commission has requested one or more European standardisation organisations
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(c)

at least one of the following conditions has been fulfilled:(i)the request of the Commission has not been accepted by any of the European
standardisation organisations,(ii)

the Commission observes undue delays in the adoption of the requested
harmonised standards, or(iii) a European standardisation organisation has delivered a standard that does notentirely correspond to the request of the Commission.
Those implementing acts shall be adopted in accordance with the examination procedurereferred to in Article 90(3).
When preparing the draft implementing act establishing the common specifications, theCommission shall take into account the views of relevant bodies or the expert group andshall duly consult all relevant stakeholders.
2.

Batteries which are in conformity with common specifications or parts thereof shall be
presumed to be in conformity with the requirements laid down in Articles 9, 10, 12, 13, 14
and 78 to the extent that those requirements are covered by such common specifications orparts thereof, and, if applicable, to the extent that the minimum values established for thoserequirements pursuant to Articles 9 and 10 are attained.

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3.

Where a harmonised standard is adopted by an European standardisation organisation andproposed to the Commission for the purpose of publishing its reference in the Official
Journal of the European Union, the Commission shall assess the harmonised standard inaccordance with Regulation (EU) No 1025/2012. When the reference of a harmonised
standard is published in the Official Journal of the European Union, the Commission shallrepeal the implementing acts referred to in paragraph 1, or parts thereof which cover thesame requirements or tests referred to in paragraph 1.

Article 17
Conformity assessment procedures
1.

Conformity assessment of batteries with the requirements laid down in Articles 6, 9, 10,
12, 13 and 14 shall be carried out in accordance with one of the following procedures:(a)for batteries manufactured in series:(i)‘Module A – Internal production control’, set out in Part A of Annex VIII, or(ii)‘Module D1 – Quality assurance of the production process’, set out in Part B of
Annex VIII;

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(b)

for batteries not manufactured in series:(i)‘Module A – Internal production control’, set out in Part A of Annex VIII, or(ii)‘Module G – Conformity based on unit verification’, set out in Part C of
Annex VIII.

2.

Conformity assessment of batteries with requirements laid down in Articles 7 and 8 shallbe 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.

3.

An additional conformity assessment of batteries that have been subject to preparation for
re-use, preparation for repurposing, repurposing or remanufacturing, shall be carried out inaccordance with the procedure ‘Module A – Internal production control’, set out in Part Aof Annex VIII, taking into account the requirements laid down in Articles 6, 9, 10, 12, 13
and 14.

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4.

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 one
or more languages accepted by that body.

Article 18
EU declaration of conformity
1.

The EU declaration of conformity shall state that the compliance with the requirements
laid down in Articles 6 to 10 and Articles 12, 13 and 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
kept up to date. 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.

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4.

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.

5.

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

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.

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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.

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.

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Chapter V
Notification of conformity assessment bodies

Article 21
Notification
Member States shall notify the Commission and the other Member States of the conformity
assessment bodies authorised to carry out conformity assessment tasks in accordance with thisRegulation.

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 as defined in Regulation(EC) No 765/2008 and in accordance with the provisions of that Regulation.

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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, comply mutatis mutandis with therequirements laid down in Article 23 and have arrangements to cover liabilities arisingfrom its activities.

4.

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

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.

2.

A notifying authority shall be organised and operated in such a way that the objectivity andimpartiality of its activities are safeguarded.

3.

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.

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4.

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

5.

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.

6.

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

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 for the monitoring of notified bodies, and of any changes
thereto.
The Commission shall make that information publicly available.

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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 shall have legal personality.

3.

A conformity assessment body shall be a third-party body independent from business andas regards 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’ business associations, 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. That prohibition
shall not preclude the use of assessed batteries that are necessary for the operations of theconformity assessment body or the use of such batteries for personal purposes.

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A conformity assessment body, its top level management and the personnel responsible forcarrying out the conformity assessment tasks shall not be directly involved in the design,
manufacture, marketing, importation, distribution, installation, use or maintenance of thosebatteries, or represent the parties engaged in those activities. They shall not engage in any
activity that could conflict with their independence of judgement or their integrity inrelation to conformity assessment activities for which they are notified. This shall inparticular 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.

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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 theirconformity 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 48(2) and third-party verification in accordance with Article 51 in relation to which
it has been notified, whether those tasks are carried out by the conformity assessment bodyitself or on its behalf and under its responsibility.
At all times, and for each conformity assessment procedure set out in Annex VIII, forperiodical audits in accordance with Article 48(2) and third-party verification inaccordance with Article 51, and for each category of batteries in relation to which it has
been notified, a conformity assessment body shall have at its disposal:(a)the necessary personnel with technical knowledge and sufficient and appropriate
experience to perform the conformity assessment tasks;(b)the necessary descriptions of procedures in accordance with which conformity
assessment is carried out, ensuring the transparency of those procedures and theirability to be reproduced;

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(c)

appropriate policies and procedures to distinguish between activities that it carries
out as a notified body and other tasks;(d)the necessary procedures for the performance of conformity assessment tasks whichtake due account of the size of an undertaking, the sector in which it operates, its
structure, the degree of complexity of the battery technology in question and themass or serial nature of the production process.

A conformity assessment body shall have the means necessary to perform the technical andadministrative tasks related to its conformity assessment activities in an appropriatemanner and shall have access to all necessary information, testing equipment or facilities.
This shall include establishment and the supervision of internal procedures, generalpolicies, codes of conduct or other internal rules, the assignment of personnel to specifictasks, and conformity assessment decisions, without delegating them to a subcontractor ora 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;

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(b)

satisfactory knowledge of the requirements of the assessments they carry out andadequate authority to carry out those assessments;(c)appropriate knowledge and understanding of the requirements and obligations laid
down in Articles 6 to 10 and Articles 12, 13 and 14 and in Articles 48 to 52, of theapplicable harmonised standards referred to in Article 15 and common specifications
referred to in Article 16 and of the relevant provisions of Union harmonisation
legislation and of national law;(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.

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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 48(2), or
third-party verification in accordance with Article 51, 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 sectoral coordination group of notified
bodies established pursuant to Article 37 and shall apply as general guidance theadministrative decisions and documents produced by 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, for which references have been published in the
Official Journal of the European Union, it shall be presumed to comply with the requirements laid
down in Article 25 in so far as the applicable harmonised standards cover those requirements.

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Article 27
Subsidiaries of and subcontracting by notified bodies
1.

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

2.

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

3.

A notified body may subcontract activities or have activities 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 andconcerning the work carried out by them under Article 48(2) and Article 51 and under
Annex VIII.

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.

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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 inAnnex VIII or the procedures set out in Article 48(2) and Article 51, and of the batteries
for which the conformity assessment body claims to be competent, as well as by anaccreditation certificate, where applicable, issued by a national accreditation body attestingthat the conformity assessment body meets 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 of this Article, it shall provide the notifying
authority with all the documentary evidence necessary for the verification, recognition andregular monitoring of its compliance with the requirements laid down in Article 25,
including appropriate documentation demonstrating that the conformity assessment body is
independent within the meaning of Article 25(3).

Article 29
Notification procedure
1.

A notifying authority shall only notify conformity assessment bodies which meet therequirements laid down in Article 25.

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2.

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

3.

The notification shall include full details of the conformity assessment activities, theconformity assessment module or modules or the procedures set out in Article 48(2) and
Article 51, the categories of 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
States with 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 will continue to meet the requirements laid down in Article 25.

5.

The conformity assessment body concerned shall 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 of this Article. Only such a conformity assessment
body shall be considered to be a notified body for the purposes of this Regulation.

6.

The notifying authority shall inform the Commission and the other Member States of any
subsequent changes to the notification referred to in paragraph 2.

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Article 30
Identification numbers and lists of notified bodies
1.

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

2.

The Commission shall make publicly available and keep updated a list of bodies notified
under this Regulation, including the identification numbers that have been assigned tothem and the conformity assessment activities for which they have been notified.

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.

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2.

In the event of restriction, suspension or withdrawal of notification pursuant toparagraph 1, or where a notified body has ceased its activity, the notifying authority shalltake appropriate steps to ensure that the files of that body are either processed by anothernotified body or kept available for the responsible notifying and market surveillanceauthorities at their request.

Article 32
Challenge to the competence of notified bodies
1.

The Commission shall investigate all cases where it has a doubt, or a 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.

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.

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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 Article 74(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 Article 48(2), Article 51 or Annex VIII, as determined by
the scope of the notification made in accordance with Article 29.

2.

A notified body shall carry out conformity assessments in a proportionate manner,
avoiding the creation of an unnecessary burden for economic operators, and taking due
account of the size of an undertaking, the sector in which the undertaking operates, thestructure of the undertaking, the degree of complexity of the battery to be assessed and themass or serial nature of the production process. The notified body shall neverthelessrespect the degree of rigour and the level of protection required for the compliance of thebattery and of economic operators with this Regulation.

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3.

Where a notified body finds that the applicable requirements laid down in Articles 6 to 10
and Articles 12, 13, 14, 49 and 50, in corresponding harmonised standards referred to in
Article 15, common specifications referred to in Article 16 or other technical specifications
have not been met, it shall require the manufacturer or other relevant economic operator totake appropriate corrective action in anticipation of a second and final conformity
assessment, unless the deficiencies cannot be remedied. Where the deficiencies cannot be
remedied, the notified body shall not issue the certificate of conformity 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 48(1) as applicable, to takeappropriate corrective action and shall suspend or withdraw the approval decision, if
necessary.

5.

Where corrective action as referred to in paragraph 4 is not taken or does not have therequired effect, the notified body shall restrict, suspend or withdraw the approval decision,
as appropriate.

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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.

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2.

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

any restriction, suspension or withdrawal 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 notified
bodies are put in place and properly operated in the form of a sectoral coordination group of
notified bodies.
Notified bodies shall participate in the work of the sectoral coordination group, directly or by meansof designated representatives.

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Chapter VI
Obligations of economic operators
other than the obligations in Chapters VII and VIII

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 Articles 6 to 10 and
Articles 12 and 14, and is accompanied by clear, understandable and readable
instructions and safety 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 placed on the market or put into service; and(b)2.

is marked and labelled in accordance with Article 13.

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.

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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 shalldraw up an EU declaration of conformity in accordance with Article 18 and affix theCE marking in accordance with Articles 19 and 20.

4.

Manufacturers shall keep the technical documentation referred to in Annex IX 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.

5.

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, manufacturers 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.

6.

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, the required
information shall be provided on the packaging or in a document accompanying thebattery.

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7.

Manufacturers shall indicate on the battery their name, registered trade name or registeredtrade mark, their postal address, indicating a single contact point, and, if available, web ande-mail address. 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
indicated in a language or languages which can be easily understood by end-users andmarket surveillance authorities, as determined by the Member State in which the battery is
to be placed on the market or put into service, and shall be clear, understandable andlegible.

8.

Manufacturers shall provide access to the data for the parameters set out in Annex VII in
the battery management system referred to in Article 14(1), in accordance with therequirements laid down in that Article.

9.

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 laid down in Articles 6 to 10 and Articles 12, 13 and 14 shallimmediately take the corrective action necessary to bring that battery into conformity, towithdraw it or recall it, as appropriate. Furthermore, where the battery presents a risk,
manufacturers shall immediately inform the market surveillance authority of the Member
State in which they made the battery available on the market, giving details, in particular,of the non-compliance and of any corrective action taken.

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10.

Manufacturers shall, further to a reasoned request from a national authority, provide it withall the information and documentation necessary to demonstrate the conformity of thebattery with the requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14, in alanguage or languages which can be easily understood by that national 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.

11.

Economic operators that carry out preparation for re-use, preparation for repurposing,
repurposing or remanufacturing, and place on the market or put into service a battery thathas undergone any of those operations, shall be considered to be manufacturers for the
purposes of this Regulation.

Article 39
Obligations of suppliers of battery cells and battery modules
Suppliers of battery cells and battery modules shall provide the information and documentationnecessary to comply with the requirements of this Regulation when supplying battery cells or
modules to a manufacturer. That information and documentation shall be provided free of charge.

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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 writing by
the authorised representative.

2.

The obligations laid down in Article 38(1) and Articles 48 to 52 and the obligation to draw
up technical documentation shall not form part of the authorised representative’s mandate.

3.

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 that authority. The mandate shall include at least the following
tasks:(a)keep the EU declaration of conformity, the technical documentation, the verification
report and approval decision referred to in Article 51(2) and the audit reports referred
to in Article 48(2) at the disposal of national authorities for 10 years after the battery
has been placed on the market or put into service;

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(b)

further to a reasoned request from a national authority, provide it with all theinformation 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;(c)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.

4.

Where the battery presents a risk, authorised representatives shall immediately inform themarket surveillance authorities thereof.

Article 41
Obligations of importers
1.

Importers shall only place on the market a battery which is compliant with Articles 6 to 10
and Articles 12, 13 and 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 procedurereferred to in Article 17 has been carried out by the manufacturer;

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(b)

the battery bears the CE marking referred to in Article 19, and is marked and labelledin accordance with Article 13;(c)the battery is accompanied by the documents required pursuant to Articles 6 to 10
and Articles 12, 13 and 14 and by instructions and safety information in a languageor languages which can be easily understood by end-users, as determined by theMember State in which the battery is to be made available on the market; and(d)the manufacturer has complied with the requirements laid down in Article 38(6)and (7).

Where an importer considers or has reason to believe that a battery is not in conformity
with Articles 6 to 10 and Articles 12, 13 and 14, the importer shall not place that 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 surveillanceauthorities giving details of the non-compliance and of any corrective action taken.

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3.

Importers shall indicate on the battery their name, registered trade name or registered trademark, their postal address, indicating a single contact point, and, if available, web ande-mail address. 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 alanguage or languages which can be easily understood by end-users, as determined by theMember State in which the battery is to be made available on the market, and shall beclear, understandable and legible.

4.

Importers shall ensure that, while a battery is under their responsibility, storage or transportconditions do not jeopardise its compliance with Articles 6 to 10 and Articles 12, 13
and 14.

5.

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.

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6.

Importers who consider or have reason to believe that a battery which they have placed on
the market is not in conformity with Articles 6 to 10 and Articles 12, 13 and 14, shallimmediately take the corrective action necessary to bring that battery into conformity, towithdraw it or recall it, as appropriate. Furthermore, where the battery presents a risk,
importers shall immediately inform the market surveillance authority of the Member Statein which they made the battery available on the market, giving details, in particular, of the
non-compliance and of any corrective action taken.

7.

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

8.

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 Articles 6 to 10 and Articles 12, 13 and 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 toeliminate the risks posed by batteries, which they have placed on the market.

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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 55;(b)

the battery bears the CE marking referred to in Article 19 and is marked and labelledin accordance with Article 13;(c)the battery is accompanied by the documents required pursuant to Articles 6 to 10
and Articles 12, 13 and 14 and by instructions and safety information in a languageor languages which can be easily understood by end-users, as determined by theMember State in which the battery is to be made available on the market or put into
service; and(d)the manufacturer and the importer have complied with the requirements laid down in
Article 38(6) and (7) and Article 41(3) respectively.

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3.

Where a distributor considers or has reason to believe that a battery is not in conformity
with Articles 6 to 10 or Article 12, 13 or 14, the distributor shall not make the battery
available on the market until it has been brought into conformity. Furthermore, where thebattery presents a risk, the distributor shall inform the manufacturer or the importer as wellas the market surveillance authorities.

4.

Distributors shall ensure that, while a battery is under their responsibility, storage ortransport conditions do not jeopardise its compliance with Articles 6 to 10 and Articles 12,
13 and 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 Articles 6 to 10 or Article 12, 13 or 14
shall make sure that the corrective action necessary to bring that battery into conformity, towithdraw it or recall it, as appropriate, is taken. Furthermore, where the battery presents arisk, distributors shall immediately inform the market surveillance authorities of theMember States in which they made the battery available on the market, giving details, inparticular, of the non-compliance and of any corrective action taken.

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6.

Distributors shall, further to a reasoned request from a national authority, provide it withall the information and the documentation necessary to demonstrate the conformity of abattery with Articles 6 to 10 and Articles 12, 13 and 14 in a language or languages which
can be easily understood by that national 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 made available on the market.

Article 43
Obligations of fulfilment service providers
Fulfilment service providers shall ensure that, for batteries that they handle, the conditions during
warehousing, packaging, addressing or dispatching, do not jeopardise the batteries’ compliance with
Articles 6 to 10 and Articles 12, 13 and 14.
Without prejudice to the obligations of the relevant economic operators laid down in this Chapter,
fulfilment service providers shall, in addition to the requirement referred to in the first paragraph,
perform the tasks laid down in Article 40(3), point (c), and Article 40(4).

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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 shall be subject to the obligations of a manufacturer under Article 38, where any of thefollowing applies:(a)a battery is placed on the market or put into service under that importer’s or distributor’s
own name or trademark;(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
could be affected; or(c)the purpose of a battery already placed on the market or put into service is modified by thatimporter or distributor.

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Article 45
Obligations of economic operators placing on the market
or putting into service batteries that have been subject to preparation for re-use,
preparation for repurposing, repurposing or remanufacturing
1.

Economic operators placing on the market or putting into service batteries that have been
subject to preparation for re-use, preparation for repurposing, repurposing or
remanufacturing shall ensure that the examination, performance testing, packing andshipment of those batteries, and of such batteries’ components 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 have been
subject to preparation for re-use, preparation for repurposing, repurposing or
remanufacturing shall ensure that the battery complies with the requirements of thisRegulation, any relevant product, environmental, human health protection and transport
safety requirements in other Union law, taking into account the fact that, as a result of
those operations, the battery might 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 that the battery
has been subject to remanufacturing in accordance with this Regulation.

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Article 46
Identification of economic operators
1.

Economic operators shall, upon a request of a national authority, provide the following
information 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 ensure that they are able to provide the information referred to inparagraph 1 for 10 years after they have been supplied with the battery and for 10 years
after they have supplied the battery.

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Chapter VII
Obligations of economic operators
as regards battery due diligence policies

Article 47
Scope of this Chapter
This Chapter does 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 not part of agroup, consisting of parent and subsidiary undertakings, which, on a consolidated basis, exceeds thelimit of EUR 40 million.
This Chapter does not apply to economic operators in relation to the placing on the market or
putting into service of batteries that have been subject to preparation for re-use, preparation for
repurposing, repurposing or remanufacturing, if such batteries had already been placed on themarket or put into service before undergoing such operations.
This Chapter applies without prejudice to the provisions laid down in Union law on due diligenceobligations in relation to minerals and metals originating from conflict-affected and high-risk areas.

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Article 48
Battery due diligence policies
1.

From … [24 months after the date of entry into force of this Regulation], economic
operators that place batteries on the market or put them into service shall fulfil the due
diligence obligations laid down in paragraphs 2 and 3 of this Article, and in Articles 49, 50
and 52 and shall, to that end, set up and implement battery due diligence policies.

2.

Economic operators referred to in paragraph 1 of this Article shall have their battery due
diligence policies verified by a notified body in accordance with Article 51 (‘third-party
verification’) and periodically audited by that notified body to make sure that the battery
due diligence policies are maintained and applied in accordance with Articles 49, 50
and 52. The notified body shall provide the audited economic operator with an audit report.

3.

Economic operators referred to in paragraph 1 of this Article shall keep documentation
demonstrating their fulfilment of the obligations laid down in Articles 49, 50 and 52,
including the verification report and approval decision referred to in Article 51 and theaudit reports referred to in paragraph 2 of this Article, for 10 years after the last battery
manufactured under the relevant battery due diligence policy has been placed on themarket.

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4.

Without prejudice to the individual responsibility of economic operators for their battery
due diligence policies, economic operators referred to in paragraph 1 of this Article may,for the purposes of compliance with the requirements laid down in Articles 48, 49, 50
and 52, collaborate with other actors, including through due diligence schemes recognised
under this Regulation.

5.

By … [18 months after the date of entry into force of this Regulation], the Commission
shall publish guidelines as regards the application of the due diligence requirements laid
down in Articles 49 and 50, with regard to the risks referred to in point 2 of Annex X, andin line, in particular, with the international instruments referred to in points 3 and 4 ofAnnex X.

6.

Member States may, in order to provide information and support to economic operators infulfilling the due diligence obligations under this Regulation, set up and operate,individually or jointly, dedicated websites, platforms or portals.

7.

The Commission may complement the Member State support measures referred to inparagraph 6, by building on existing Union action to support due diligence in the Unionand in third countries, and may devise new measures to help economic operators fulfil their
obligations under this Regulation.

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8.

The Commission shall regularly assess 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 89 to:(a)amend the list of raw materials in point 1 of Annex X and of risk categories inpoint 2 of Annex X, in view of scientific and technological progress in battery
manufacturing and chemistries and amendments to Regulation (EU) 2017/821;(b)amend the list of international instruments in point 3 of Annex X, in accordance with
developments within the relevant international fora concerning standards related todue diligence policies and to protection of the environment and of social rights;(c)amend the obligations on the economic operators referred to in paragraph 1 of this
Article which are laid down in Articles 49 and 50 in view of amendments toRegulation (EU) 2017/821, and amend the list of internationally recognised due
diligence instruments set out in point 4 of Annex X.

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Article 49
Economic operator’s management system
1.

Each economic operator referred to in Article 48(1) shall:(a)adopt, and clearly communicate to suppliers and the public, a company battery due
diligence policy, concerning raw materials listed in point 1 of Annex X, andassociated social and environmental risk categories listed in point 2 of Annex X;(b)

incorporate in its battery due diligence policy standards that are consistent with thestandards set out in the internationally recognised due diligence instruments listed inpoint 4 of Annex X;(c)structure its internal management system to support its battery due diligence policyby assigning responsibility to its top management level to oversee its battery due
diligence policy as well as maintain records of that system for a minimum of
10 years;(d)establish and operate a system of controls and transparency regarding the supply
chain, including a chain of custody or traceability system, identifying upstream
actors in the supply chain;

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(e)

incorporate its battery due diligence policy, including risk management measures,
into contracts and agreements with suppliers; and(f)establish a grievance mechanism, including an early-warning risk-awareness system
and a remediation mechanism, or provide for such mechanisms through collaborative
agreements with other economic operators or organisations or by facilitating recourse
to an external expert or body, such as an ombudsman; such mechanisms shall bebased on the UN Guiding Principles on Business and Human Rights.

2.

The system referred to in paragraph 1, point (d), shall be supported by documentation thatprovides at least the following information:(a)a description of the raw material, including its trade name and type;(b)

the name and address of the supplier that supplied the raw material present in thebatteries to the economic operator that places the batteries containing the raw
material in question on the market;(c)the 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 that places
the battery on the market;

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(d)

the quantities of the raw material present in the battery placed on the market,
expressed in percentage or weight;(e)third-party verification reports issued by a notified body and concerning the suppliers
as referred to in Article 50(3);(f)

if the reports referred to in point (e) are not available and where the raw material
originates from a conflict-affected and high-risk area, additional information inaccordance with the specific recommendations for upstream economic operators, as
set out in the OECD Due diligence guidance for Responsible Supply Chains ofMinerals from Conflict-Affected and High-Risk Areas, where relevant, such as themine of origin, locations where the raw material is consolidated, traded andprocessed, and taxes, fees and royalties are paid.

Third party verification reports referred to in point (e) of the first subparagraph shall bemade available by suppliers as referred to in Article 50(3) to the downstream operators of
the supply chain.

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Article 50
Risk management obligations
1.

The economic operator referred to in Article 48(1) shall:(a)identify and assess the risk of adverse impacts in its supply chain, associated with therisk categories listed in point 2 of Annex X as part of its management plan, including
on the basis of the information provided pursuant to Article 49 and any other relevant
information that is either publicly available or provided by stakeholders, by reference
to its battery due diligence policy;(b)

design and implement a strategy to respond to the identified risks to prevent, mitigate
and otherwise address adverse impacts by:(i)reporting findings of its risk assessment to its top management level assignedin accordance with Article 49(1), point (c);(ii)

adopting risk management measures that are consistent with the internationallyrecognised due diligence instruments listed in point 4 of Annex X, considering
its ability to influence, and where necessary take steps to exert pressure on,
suppliers, including their subsidiaries and subcontractors, who can mosteffectively prevent or mitigate the identified risk;

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(iii) designing and implementing a risk management plan, monitoring and tracking
performance of risk mitigation efforts, reporting back to its top managementlevel assigned in accordance with Article 49(1), point (c), and consideringsuspending or discontinuing engagement with a supplier or its subsidiary or
subcontractor after failed attempts at mitigation, based on relevant contracts
and agreements referred to in Article 49(1), point (e);(iv) undertaking additional fact and risk assessments for risks requiring mitigation,
or after a change of circumstances.
2.

If the economic operator referred to in Article 48(1) 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 paragraph 1, point (b)(iii), of this Article.

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3.

The economic operator referred to in Article 48(1) shall identify and assess the probabilityof adverse impacts in the risk categories listed in point 2 of Annex X, in its supply chain.
That economic operator shall identify and assess the risks in its supply chain as part of its
own risk management systems. The economic operator shall carry out third party
verifications of its own due diligence chains via a notified body in accordance with
Article 51. The economic operator may use third-party verification reports issued pursuant
to Article 51(2) by such a notified body concerning battery due diligence policies
implemented by suppliers in that chain in accordance with this Chapter. The economic
operator may also use those third-party verification reports to assess, as appropriate, thedue diligence practices of those suppliers.

4.

The economic operator referred to in Article 48(1) shall report the findings of the risk
assessment referred to in paragraph 3 of this Article to its top management level to which
responsibility has been assigned in accordance with Article 49(1), point (c), and shall
implement the strategy referred to in paragraph 1, point (b), of this Article.

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Article 51
Third-party verification of battery due diligence policies
1.

The notified body shall carry out third-party verifications. Such third-party verifications
shall:(a)cover all activities, processes and systems used by economic operators to fulfil theirdue diligence obligations in accordance with Articles 49, 50 and 52;(b)have as their objective the determination of conformity of the due diligence practicesof economic operators placing batteries on the market in accordance with Articles 49,
50 and 52;(c)where relevant, include checks on undertakings and gather information fromstakeholders;(d)identify, for the economic operators that place batteries on the market, areas ofpotential improvement in relation to their due diligence practices;(e)

respect the audit principles of independence, competence and accountability, as set
out in the OECD Due Diligence Guidance for Responsible Supply Chains ofMinerals from Conflict-Affected and High-Risk Areas.

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2.

The notified body shall issue a verification report that records the activities undertaken inaccordance with paragraph 1 of this Article and their outcomes. Where the battery due
diligence policies referred to in Article 48 fulfil the obligations laid down in Articles 49, 50
and 52, the notified body shall issue an approval decision.

Article 52
Disclosure of information on battery due diligence policies
1.

The economic operator referred to in Article 48(1) 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 51, the audit reports
referred to in Article 48(2) and available evidence of compliance with a due diligencescheme recognised by the Commission in accordance with Article 53.

2.

The economic operator referred to in Article 48(1) shall make available to its immediate
downstream purchasers all relevant information gained and maintained pursuant to its
battery due diligence policy, with due regard for business confidentiality and othercompetitive concerns.

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3.

The economic operator referred to in Article 48(1) shall on an annual basis review andmake publicly available, including on the internet, a report on its battery due diligencepolicy. 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 bythat economic operator to comply with the requirements laid down in Articles 49 and 50,
including findings of significant adverse impacts in the risk categories listed in point 2 ofAnnex X, and how they have been addressed, as well as a summary report of the thirdparty verifications carried out in accordance with Article 51, including the name of thenotified body, with due regard for business confidentiality and other competitive concerns.
That report shall also cover, where relevant, access to information, public participation indecision-making and access to justice in environmental matters in relation to the sourcing,processing and trading of the raw materials present in batteries.

4.

Where the economic operator referred to in Article 48(1) can demonstrate that the raw
materials listed in point 1 of Annex X, 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.

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Article 53
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 have theirdue diligence schemes recognised by the Commission. The Commission is empowered toadopt implementing acts establishing the information requirements that the application forrecognition is to contain. Those implementing acts shall be adopted in accordance with theexamination procedure referred to in Article 90(3).

2.

Where, on the basis of the evidence and information provided pursuant to the paragraph 1of this Article, the Commission determines that the due diligence scheme referred to in thatparagraph, enables economic operators to meet the requirements laid down in Articles 48,
49, 50 and 52, it shall adopt an implementing act granting that scheme a recognition ofequivalence with the requirements laid down in this Regulation. The OECD Centre for
Responsible Business Conduct shall be consulted prior to the adoption of that
implementing act. That implementing act shall be adopted in accordance with theexamination procedure referred to in Article 90(3).
When making a determination on the recognition of a due diligence scheme, theCommission shall take into account the diverse industry practices covered by that schemeand shall have regard to the risk-based approach and method used by that scheme toidentify risks.

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3.

The Commission shall adopt delegated acts in accordance with Article 89 setting out thecriteria and the methodology according to which the Commission is to determine, in
accordance with paragraph 2 of this Article, whether due diligence schemes enableeconomic operators to meet the requirements laid down in Articles 48, 49, 50 and 52. The
Commission shall also, as appropriate, periodically verify that recognised due diligenceschemes continue to fulfil the criteria that led to a decision to grant recognition ofequivalence pursuant to paragraph 2 of this Article.

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 such changes or
updates affect the recognition of equivalence of that scheme and take appropriate action.

5.

If there is evidence of repeated or significant cases where economic operators
implementing a scheme recognised in accordance with paragraph 2 of this Article havefailed to meet the requirements laid down in Articles 48, 49, 50 and 52, the Commission
shall examine, in consultation with the owner of the recognised due diligence scheme,
whether those cases indicate deficiencies in the scheme.

6.

Where the Commission identifies a failure to comply with the requirements laid down in
Articles 48, 49, 50 and 52 or deficiencies in a recognised due diligence scheme, it may
grant the scheme owner an appropriate period to take remedial action.

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7.

Where the scheme owner fails or refuses to take the necessary remedial action, and where
the Commission has determined that the failure or deficiencies referred to in paragraph 6 ofthis Article compromise the ability of the economic operator referred to in Article 48(1)implementing the scheme to comply with the requirements laid down in Articles 48, 49, 50
and 52 or where repeated or significant cases of non-compliance by economic operators
implementing a scheme are due to deficiencies in the scheme, the Commission shall adopt
an implementing act withdrawing the recognition of equivalence of the scheme. That
implementing act shall be adopted in accordance with the examination procedure referred
to in Article 90(3).

8.

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

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ENChapter VIIIManagement of waste batteries

Article 54
Competent authority
1.

Member States shall designate one or more competent authorities responsible for the
obligations under this Chapter, in particular for monitoring and verifying fulfilment byproducers and producer responsibility organisations of their obligations under this Chapter.

2.

Each Member State may also designate one contact point, among the competent authorities
referred to in paragraph 1, for the purpose of communicating with the Commission
pursuant to paragraph 4.

3.

Member States shall lay down the details of the competent authority’s or authorities’organisation and operation, including the administrative and procedural rules for:(a)the registration of producers in accordance with Article 55;(b)

the authorisation of producers and producer responsibility organisations inaccordance with Article 58;

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(c)

the oversight of implementation of extended producer responsibility obligations inaccordance with Article 57;

4.

(d)

the collection of data on batteries and waste batteries in accordance with Article 75;(e)making information available in accordance with Article 76.

By … [three months after the date referred to in Article 96(2), the second subparagraph,point (c) of this Regulation], Member States shall notify the Commission of the names andaddresses of the competent authorities designated pursuant to paragraph 1. Member Statesshall inform the Commission without undue delay of any changes to the names oraddresses of those competent authorities.

Article 55
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 register in the register referred to in paragraph 1. They shall to that end
submit an application for registration in each Member State where they make a battery
available on the market for the first time.

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Producers shall submit the application for registration via an electronic data-processing
system as referred to in paragraph 9, point (a).
Producers shall only make available batteries, including those incorporated in appliances,
light means of transport or other vehicles, on the market of a Member State, if they or, inthe case of authorisation, their authorised representatives for extended producer
responsibility, are registered in that Member State.
3.

The application for registration shall include the following information:(a)name, and brand names if available, under which the producer operates in theMember State and address of the producer, including postal code and place, street
and number, country, telephone number, if any, web and e-mail address, indicating asingle 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;(c)

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 portablebatteries, industrial batteries, LMT batteries, electric vehicle batteries, or SLI
batteries, and their chemistry;

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(d)

information on how the producer meets its responsibilities laid down in Article 56
and the requirements under Articles 59, 60 and 61, respectively:(i)for portable batteries or LMT batteries, the requirements of point (d) shall be
met by providing:–information in written form on the measures put in place by the producer
to fulfil the producer responsibility obligations laid down in Article 56,
the measures put in place to fulfil the separate collection obligations laid
down in Article 59(1) or Article 60(1) with regard to the amount ofbatteries the producer makes available on the market in the Member
State, and on the system to ensure that the data reported to the competentauthorities are reliable;–

where applicable, the name and contact details, including postal code andplace, street and number, country, telephone number, web and e-mailaddress and the national identification code of the producer responsibility
organisation appointed by the producer to fulfil its extended producer
responsibility obligations in accordance with Article 57(1) and (2),including the trade register number or an equivalent official registration
number and the European or national tax identification number of the
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(ii)

for SLI batteries, industrial batteries and electric vehicle batteries, therequirements of point (d) shall be met by providing:–information in written form on the measures put in place by the producer
to fulfil the producer responsibility obligations laid down in Article 56,
the measures put in place to fulfil the collection obligations laid down in
Article 61(1) with regard to the amount of batteries the producer makes
available on the market in the Member State and on the system to ensurethat the data reported to the competent authorities are reliable;–

where applicable, the name and contact details, including postal code andplace, street and number, country, telephone number, web and e-mailaddress and the national identification code of the producer responsibility
organisation appointed by the producer to fulfil its extended producer
responsibility obligations in accordance with Article 57(1) and (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 the represented producer’s
mandate.

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(e)

a statement by the producer or, where applicable, authorised representative forextended producer responsibility or the producer responsibility organisation
appointed in accordance with Article 57(1), stating that the information provided is
true.

4.

Without prejudice to paragraph 3 of this Article, the information laid down in point (d) ofthat paragraph shall be provided either in the application for registration under paragraph 3of this Article or in the application for authorisation under Article 58. Such application forauthorisation shall include at least information on either individual or collective fulfilmentof the extended producer responsibility obligations.

5.

Member States may request additional information or documents, as necessary, to use theregister of producers in an efficient manner.

6.

Where a producer has appointed a producer responsibility organisation in accordance with
Article 57(1), the obligations under this Article shall be met by that organisation mutatis
mutandis unless otherwise specified by the Member State.

7.

The obligations under this Article may be fulfilled on a producer’s behalf by an authorised
representative for extended producer responsibility.

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Where obligations under this Article are fulfilled on a producer’s behalf by an authorised
representative for extended producer responsibility that represents more than one producer,
in addition to the information required under paragraph 3, that authorised representative
shall provide the name and the contact details for each of the represented producers
separately.
8.

Member States may decide that the registration procedure pursuant to this Article and theauthorisation procedure pursuant to Article 58 constitute a single procedure, provided thatthe application meets the requirements laid down in paragraphs (3) to (7) of this Article.

9.

The competent authority shall:(a)make available on its website information about the application process via anelectronic data-processing system;(b)grant registrations and provide a registration number within a maximum period of
12 weeks from the moment that all the information required under paragraphs 2
and 3 is provided.

10.

The competent authority may:(a)

lay down modalities with regard to the requirements and process of registration
without adding substantive requirements to those laid down in paragraphs 2 and 3;

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(b)

charge cost-based and proportionate fees to producers for the processing of theapplications referred to in paragraph 2.

11.

The competent authority may refuse to register a producer or withdraw the producer’s
registration where the information referred to in paragraph 3 and related documentary
evidence are not provided or are not sufficient, or where the producer no longer meets therequirements laid down in paragraph 3, point (d).
The competent authority shall withdraw the producer’s registration if it has ceased to exist.

12.

The producer, or, where applicable, authorised representative for extended producer
responsibility or the producer responsibility organisation appointed on behalf of the
producers it represents shall without 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 thebatteries referred to in the registration.

13.

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 information in
the register.

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Article 56
Extended Producer Responsibility
1.

Producers shall have extended producer responsibility for batteries that they makeavailable on the market for the first time within the territory of a Member State. Suchproducers shall comply with the requirements of Articles 8 and 8a of Directive 2008/98/EC
and of this Chapter.

2.

An economic operator that makes available on the market for the first time within the
territory of a Member State a battery that results from preparation for re-use, preparation
for repurposing, repurposing or remanufacturing operations shall be considered to be theproducer of such battery for the purposes of this Regulation and shall have extended
producer responsibility.

3.

A producer as defined in Article 3, point (47)(d) shall appoint an authorised representativefor extended producer responsibility in each Member State in which it sells batteries. Suchappointment shall be made by written mandate.

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4.

The financial contributions to be paid by the producer shall cover the following costs forthe 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 obtained from preparation for re-use or
preparation for repurposing or from the value of secondary raw materials recoveredfrom recycled waste batteries;(b)

costs of carrying out a compositional survey of collected mixed municipal waste inaccordance with Article 69(5);(c)

costs of providing information on prevention and management of waste batteries inaccordance with Article 74;(d)costs of data gathering and reporting to the competent authorities in accordance with
Article 75.

5.

In the case of making available batteries that have been subject to preparation for re-use,
preparation for repurposing, repurposing or remanufacturing, both the producers of theoriginal batteries and the producers of the batteries that are placed on the market as a resultof those operations, may establish and adjust a cost sharing mechanism, based on the actual
attribution of costs between the different producers, for the costs referred to in paragraph 4,
points (a), (c) and (d).

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Where a battery referred to in paragraph 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 a result of the cost sharing mechanism referred to in thefirst subparagraph.
The Commission shall facilitate the exchange of information and sharing of best practices
among Member States regarding such cost sharing mechanisms.

Article 57
Producer Responsibility Organisation
1.

Producers may appoint a producer responsibility organisation authorised in accordancewith Article 58 to fulfil the extended producer responsibility obligations on their behalf.
Member States may adopt measures to make the appointment of a producer responsibility
organisation mandatory. Such measures shall be justified on the basis of the specificcharacteristics of a given category of batteries placed on the market and related waste
management characteristics.

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2.

In the case of a collective fulfilment of extended producer responsibility obligations,producer responsibility organisations shall ensure equal treatment of producers regardlessof their origin or size, without placing a disproportionate burden on producers of small
quantities of batteries, including small- and medium-sized enterprises. They shall also
ensure that the financial contributions paid to them by producers:(a)are modulated in accordance with Article 8a(4), point (b), of Directive 2008/98/EC
and as a minimum by battery category and battery chemistry, taking into account as
appropriate the rechargeability, the level of recycled content in the manufacture ofbatteries and whether the batteries were subject to preparation for re-use, preparation
for repurposing, repurposing or remanufacturing, and their carbon footprint; and(b)

are adjusted to take account of any revenues obtained by the producer responsibility
organisations from preparation for re-use or preparation for repurposing or from thevalue of secondary raw materials recovered from recycled waste batteries.

3.

Where, in a Member State, multiple producer responsibility organisations are authorised tofulfil extended producer responsibility obligations on behalf of producers, they shall ensure
coverage across the whole territory of the Member State of the activities referred to in
Article 59(1), Article 60(1) and Article 61(1). Member States shall designate the competentauthority or appoint an independent third party to ensure that producer responsibility
organisations fulfil their obligations in coordinated manner.

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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 for extended producer
responsibility.

5.

In addition to the information referred to in Article 8a(3), point (e), of Directive
2008/98/EC, producer responsibility organisations shall publish on their websites at least
each year, subject to commercial and industrial confidentiality, the information on the rateof separate collection of waste batteries, recycling efficiencies and the levels of recovery ofmaterials achieved by the producers which appointed the producer responsibility
organisation.

6.

In addition to the information referred to in paragraph 5, producer responsibility
organisations shall make publicly available information on the selection procedure forwaste management operators selected in accordance with paragraph 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,
point (a), of this Article. That implementing act shall not concern the precise determinationof the level of the contributions and shall be adopted in accordance with the examination
procedure referred to in Article 90(3).

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8.

Waste management operators shall be subject to a non-discriminatory selection procedure,
based on transparent award criteria, carried out by producers or producer responsibility
organisations and which does not place a disproportionate burden on small- and mediumsized enterprises.

Article 58
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
on fulfilment of extended producer responsibility from the competent authority.

2.

The authorisation shall be granted only where it is demonstrated:(a)that requirements laid down in Article 8a(3), points (a) to (d), 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 fulfil the obligations set out inthis Chapter with regard to the amount of batteries made available on the market for
the first time within the territory of a Member State by the producer or producers on
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(b)

by providing documentary evidence, that the requirements of Article 59(1) and (2) or
the requirements of Article 60(1), (2) and (4), are complied with and that all thearrangements are in place to make it possible to attain and maintain durably at least
the collection target referred to in Article 59(3) and Article 60(3), respectively.

3.

Member States shall, in their measures laying down administrative and procedural rules
referred to in Article 54(3), point (b), include the details of the authorisation procedure,
which may differ according to whether it relates to individual or collective fulfilment of theextended producer responsibility obligations, and the modalities for verifying complianceof producers or producer responsibility organisations, including the information to beprovided by producers or producer responsibility organisations to that end. The
authorisation procedure shall include requirements on the verification of the arrangements
put in place to ensure compliance with the requirements laid down in Article 59(1) and (2)and in Article 60(1), (2) and (4), and timeframes for the verification, which shall not
exceed 12 weeks from the submission of a complete application dossier. The verification
may be carried out by an independent expert, which 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.

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5.

The self-control mechanism provided for in Article 8a(3), point (d), of Directive
2008/98/EC shall be carried out regularly, and at least every three years, and upon request
by the competent authority, in order to verify that the provisions in that point are compliedwith and the conditions 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 a 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 shall communicate any such observations to the
producer or the producer responsibility organisation. The producer or the producer
responsibility organisation shall draw up and implement the corrective action plan basedon those observations.

6.

The competent authority may decide to revoke the authorisation if collection targets laid
down in Article 59(3) or Article 60(3) are not met or the producer or producer
responsibility organisation no longer meets the requirements with regard to theorganisation of the collection and treatment of waste batteries or fails in relation toreporting to the competent authority or fails to notify it of any changes that concern theterms of the authorisation, or has ceased operations.

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7.

A producer, in the case of individual fulfilment of extended producer responsibility
obligations, and producer responsibility organisations appointed in the case of collective
fulfilment of extended producer responsibility, shall provide a guarantee intended to cover
the costs related to waste management operations due by the producer, or the producer
responsibility organisation, in the event of non-compliance with the extended producer
responsibility obligations, including in the event of permanent cessation of their operations
or insolvency. Member States may specify additional requirements concerning suchguarantee. In the case of a state-run producer responsibility organisation, such guarantee
may be provided otherwise than by the organisation itself and may take the form of apublic fund that is financed by producers’ fees and for which the Member State running theorganisation is jointly and severally liable.

Article 59
Collection of waste portable batteries
1.

Producers of portable batteries or, where appointed in accordance with Article 57(1),producer responsibility organisations, shall ensure that all waste portable batteries,
regardless of their nature, chemical composition, condition, brand or origin, are collected
separately in the territory of a Member State where they make portable batteries available
on the market for the first time. For that purpose they shall:(a)establish a waste portable battery take-back and collection system;

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(b)

offer the collection of waste portable batteries, free of charge, to the entities referred
to in paragraph 2, point (a), and provide for the collection of waste portable batteries
from all entities that have made use of that offer (‘connected collection points for
waste portable batteries’);(c)provide for the necessary practical arrangements for collection and transport of waste
portable batteries, including the provision, free of charge, of suitable collection andtransport containers meeting the requirements of Directive 2008/68/EC of theEuropean Parliament and of the Council1, to the connected collection points for
waste portable batteries;(d)collect, free of charge, the waste portable batteries collected at the connectedcollection points, with a frequency that is proportionate to the area covered and thevolume and hazardous nature of the waste portable batteries usually collected
through the connected collection points for waste portable batteries;(e)collect, free of charge, the waste portable batteries removed from waste electrical andelectronic equipment, with a frequency that is proportionate to the volume andhazardous nature of the waste portable batteries;

1

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).

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(f)

ensure that the waste portable batteries collected from the connected collection points
for waste portable batteries and removed from waste electrical and electronicequipment are subsequently subject to treatment in a permitted facility by a waste
management operator in accordance with Article 70.

2.

Producers of portable batteries or, where appointed in accordance with Article 57(1),producer responsibility organisations, shall ensure that the waste portable battery take-backand collection system:(a)consists of collection points set up by them in cooperation with one or more of thefollowing:(i)distributors in accordance with Article 62;(ii)

end-of-life vehicle treatment facilities subject to Directive 2000/53/EC;(iii) public authorities, or third parties carrying out waste management on theirbehalf, in accordance with Article 66;(iv) voluntary collection points in accordance with Article 67;(v)

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(b)

covers the whole territory of the Member State taking into account population sizeand density, expected volume of waste portable batteries, accessibility for andproximity to end-users, not being limited to areas where the collection andsubsequent management of waste portable batteries is profitable.

3.

Producers of portable batteries or, where appointed in accordance with Article 57(1),producer responsibility organisations, shall attain, and maintain durably, at least thefollowing collection targets for waste portable batteries:(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 57(1), producer responsibility
organisations, shall calculate the collection rate referred to in this paragraph in accordancewith Annex XI.
4.

End-users shall be able to discard waste portable batteries at collection points referred to inparagraph 2, point (a), and shall not be charged or be obliged to buy a new battery or tohave bought the portable battery from the producers who set up the collection points.

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5.

Collection points set up in accordance with paragraph 2, points (a)(i), (iii) and (iv), shallnot be subject to the registration or permit requirements of Directive 2008/98/EC.

6.

Member States may adopt measures to require that the collection points referred to inparagraph 2, point (a), of this Article may collect waste portable batteries only if they haveconcluded a contract with the producers or, where appointed in accordance with
Article 57(1), producer responsibility organisations.

7.

In view of the expected development of the market and increase of the expected lifetime ofrechargeable portable batteries, and in order to better ascertain the actual volume of waste
portable batteries available for collection, the Commission is empowered to adopt, by …
[48 months after the date of entry into force of this Regulation] delegated acts inaccordance with Article 89 to amend the methodology to calculate the collection rate of
portable batteries set out in Annex XI and to amend the collection target laid down inparagraph 3 of this Article to adapt that collection target to the new methodology while
maintaining equivalent ambition and timelines.

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Article 60
Collection of waste LMT batteries
1.

Producers of LMT batteries or, where appointed in accordance with Article 57(1), producer
responsibility organisations, shall ensure that all waste LMT batteries, regardless of theirnature, chemical composition, condition, brand or origin, are collected separately in the
territory of a Member State where they make batteries available on the market for the firsttime. For that purpose they shall:(a)establish a waste LMT battery take back and collection system;(b)offer the collection of waste LMT batteries, free of charge, to the entities referred toin paragraph 2, point (a), and provide for the collection of waste LMT batteries fromall entities that have made use of that offer (‘connected collection points for LMT
batteries’);(c)provide for the necessary practical arrangements for collection and transport of waste
LMT batteries, including the provision, free of charge, of suitable collection andtransport containers meeting the requirements of Directive 2008/68/EC, to theconnected collection points for LMT batteries;

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(d)

collect, free of charge, the waste LMT batteries collected at the connected collection
points for LMT batteries, with a frequency that is proportionate to the area covered
and the volume and hazardous nature of the waste LMT batteries usually collected atthose collection points;(e)collect, free of charge, the waste LMT batteries removed from waste electrical andelectronic equipment, with a frequency that is proportionate to the volume andhazardous nature of the waste LMT batteries;(f)ensure that the waste LMT batteries collected from the connected collection points
for LMT batteries and removed from waste electrical and electronic equipment aresubsequently subject to treatment in a permitted facility by a waste management
operator in accordance with Article 70.

2.

Producers of LMT batteries or, where appointed in accordance with Article 57(1), producer
responsibility organisations, shall ensure that the take back and collection system for waste
LMT batteries:(a)consists of collection points set up by them in cooperation with one or more of thefollowing:(i)distributors in accordance with Article 62;(ii)

end-of-life vehicle treatment facilities subject to Directive 2000/53/EC;

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(iii) public authorities, or third parties carrying out waste management on theirbehalf, in accordance with Article 66;(iv) voluntary collection points in accordance with Article 67;(v)

waste electrical and electronic equipment treatment facilities subject to
Directive 2012/19/EU; and(b)covers the whole territory of the Member State taking into account population sizeand density, expected volume of waste LMT batteries, accessibility for and proximity
to end-users, not being limited to areas where the collection and subsequent
management of waste LMT batteries is profitable.

3.

Producers of LMT batteries or, where appointed in accordance with Article 57(1), producer
responsibility organisations, shall attain, and maintain durably, at least the following
collection targets of waste LMT batteries:(a)

51 % by 31 December 2028;(b)

61 % by 31 December 2031.

Producers of LMT batteries or, where appointed in accordance with Article 57(1), producer
responsibility organisations shall calculate the collection rate referred to in this paragraphin accordance with Annex XI.

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4.

Producers of LMT batteries or, where appointed in accordance with Article 57(1), producer
responsibility organisations, shall:(a)

set up the collection points referred to in paragraph 2, point (a), with suitablecollection infrastructure for the separate collection of waste LMT batteries meetingthe applicable safety requirements and cover the necessary costs incurred by thosecollection points in relation to the take back activities; the containers for collection
and temporary storage of such waste batteries at the collection points shall besuitable in view of the volume and hazardous nature of waste LMT batteries that arelikely to be collected through those collection points;(b)collect waste LMT batteries from the collection points referred to in paragraph 2,
point (a), with a frequency that is proportionate to the storage capacity of the separate
collection infrastructure and the volume and hazardous nature of waste batteries thatare usually collected through those collection points; and(c)provide for the delivery of waste LMT batteries collected from the collection points
referred to in paragraph 2, point (a), of this Article to permitted facilities fortreatment in accordance with Articles 70 and 73.

5.

End-users shall be able to discard waste LMT batteries at collection points referred to inparagraph 2, point (a), and shall not be charged or be obliged to buy a new battery or tohave bought the LMT battery from the producers who set up the collection points.

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6.

Collection points set up in accordance with paragraph 2, points (a)(i), (iii) and (iv), shallnot be subject to the registration or permit requirements of Directive 2008/98/EC.

7.

Member States may adopt measures to require that the collection points referred to inparagraph 2, point (a), of this Article may collect waste LMT batteries only if they haveconcluded a contract with the producers or, where appointed in accordance with
Article 57(1), producer responsibility organisations.

8.

In view of the expected development of the market and increase of the expected lifetime of
LMT batteries, and in order to better ascertain the actual volume of waste LMT batteries
available for collection, the Commission is empowered to adopt, by … [48 months after
the date of entry into force of this Regulation], delegated acts in accordance with Article 89
to amend the methodology to calculate the collection rate of waste LMT batteries set out inAnnex XI and to amend the collection target laid down in paragraph 3 of this Article toadapt the collection target to the new methodology while maintaining equivalent ambition
and timelines.

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Article 61
Collection of waste SLI batteries, waste industrial batteries and waste electric vehicle batteries
1.

Producers of SLI batteries, industrial batteries and electric vehicle batteries or, whereappointed in accordance with Article 57(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 shall ensure that all waste SLI batteries,
waste industrial batteries and waste electric vehicle batteries regardless of their nature,chemical composition, condition, brand, or origin of the respective category that they havemade available on the market for the first time in the territory of that Member State arecollected separately. For that purpose, they shall accept to take back waste SLI batteries,
waste industrial batteries and waste electric vehicle batteries from end-users, or from takeback and collection systems which include collection points set up by them in cooperation
with:
(a)

distributors of SLI batteries, industrial batteries and electric vehicle batteries inaccordance with Article 62(1);(b)

operators carrying out remanufacturing or repurposing of SLI batteries, industrial
batteries and electric vehicle batteries;

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(c)

waste electrical and electronic equipment and end-of-life vehicle treatment facilities
referred to in Article 65 for the waste SLI batteries, waste industrial batteries andwaste electric vehicle batteries arising from their operations;(d)public authorities or third parties carrying out waste management on their behalf inaccordance with Article 66.

Member States may adopt measures to require that the entities referred to in thefirst subparagraph, points (a) to (d), may collect waste SLI batteries, waste industrial
batteries and waste electric vehicle batteries only if they have concluded a contract with the
producers or, where appointed in accordance with Article 57(1), producer 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.

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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, waste industrial batteries and waste electricvehicle batteries, accessibility for and proximity to end-users, not being limited to areas
where the collection and subsequent management of waste SLI batteries, waste industrial
batteries and waste electric vehicle batteries is profitable.

3.

Producers of SLI batteries, industrial batteries and electric vehicle batteries or, whereappointed in accordance with Article 57(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, waste
industrial batteries and waste electric vehicle batteries meeting the applicable safety
requirements, and cover the necessary costs incurred by those take back andcollection systems in relation to the take back activities; the containers for collection
and temporary storage of such waste batteries at the take back and collection systems
shall be suitable in view of the volume and hazardous nature of waste SLI batteries,
waste industrial batteries and waste electric vehicle batteries that are likely to becollected through those collection points;

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(b)

collect waste SLI batteries, waste industrial batteries and waste electric vehicle
batteries from the take back and collection systems referred to in paragraph 1 with afrequency 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 take back and collection systems; and(c)provide for the delivery of waste SLI batteries, waste industrial batteries and waste
electric vehicle batteries collected from end-users and from the take back andcollection systems referred to in paragraph 1 of this Article to permitted facilities fortreatment in accordance with Articles 70 and 73.

4.

The entities referred to in paragraph 1, points (a) to (d), of this Article may hand overcollected waste SLI batteries, waste industrial batteries and waste electric vehicle batteries
to waste management operators selected in accordance with Article 57(8) with a view totheir treatment in accordance with Article 70. In such cases, the obligation of producers
pursuant to paragraph 3, point (c), of this Article shall be deemed to be met.

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Article 62
Obligations of distributors
1.

Distributors shall take back waste batteries from the end-user free of charge and without
imposing an obligation on the end-user to buy or to have bought a new battery, regardlessof their chemical composition, brand or origin as follows:(a)for waste portable batteries, at or in the immediate vicinity of the distributor’s retail
outlet;(b)

for waste LMT batteries, waste SLI batteries, waste industrial batteries and waste
electric vehicle batteries, at or in the vicinity of the distributor’s retail outlet.

2.

The take back obligation laid down in paragraph 1:(a)shall not apply to waste products containing batteries;(b)

shall be limited to the categories of waste batteries which the distributor has or had as
batteries in its offer and, for waste portable batteries, to the quantity that nonprofessional end-users normally discard.

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3.

Distributors shall hand over waste batteries that they have taken back to the producers or
producer responsibility organisations who are responsible for collecting those waste
batteries in accordance with Articles 59, 60 and 61 respectively, or to a waste management
operator selected in accordance with Article 57(8) with a view to their treatment inaccordance with Article 70.

4.

The obligations under this Article shall apply mutatis mutandis to distributors that supply
batteries by means of distance contracts to end-users. Those distributors shall provide for a
sufficient number of collection points covering the whole territory of a Member State andtaking into account population size and density, expected volume of waste portablebatteries, waste LMT batteries, waste SLI batteries, waste industrial batteries and waste
electric vehicle batteries respectively, and accessibility for and proximity to end-users,
allowing end-users to return batteries.

5.

In the case of sales with delivery, distributors shall offer to take back waste portablebatteries, waste LMT batteries, waste industrial batteries, waste SLI batteries and waste
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 when ordering a battery of the take backarrangements for a waste battery.

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6.

For the purposes of compliance with Article 30(1), points (d) and (e), of Regulation(EU) 2022/2065, providers of online platforms, falling within the scope of Section 4 ofChapter III of that Regulation, that allow consumers to conclude distance contracts withproducers shall obtain the following information from producers offering batteries,
including batteries incorporated in appliances, light means of transport or other vehicles, toconsumers located in the Union:(a)details concerning the register of producers referred to in Article 55 and the
producer’s registration number or registration numbers in that register;(b)a self-certification by the producer committing to only offer batteries, including thoseincorporated in appliances, light means of transport or other vehicles, with regard towhich the extended producer responsibility requirements referred to in Article 56(1),(2), (3) and (4), Article 57(1) and Article 58(1), (2) and (7) are complied with.

Article 63
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 of generaluse. To that end, the Commission shall submit a report to the European Parliament and to theCouncil and consider taking appropriate measures, including the adoption of legislative proposals.

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Article 64
Obligations of end-users
1.

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

2.

End-users shall discard waste batteries in designated separate collection points set up by, orin accordance with the specific arrangements concluded with, the producer or a producer
responsibility organisation, in accordance with Articles 59, 60 and 61.

Article 65
Obligations of operators of treatment facilities
1.

Operators of treatment facilities subject to Directives 2000/53/EC or 2012/19/EU shallhand over waste batteries resulting from the treatment of end-of-life vehicles or waste
electrical and electronic equipment to producers of the relevant category of batteries or,where appointed in accordance with Article 57(1), producer responsibility organisations, orto waste management operators selected in accordance with Article 57(8) with a view totheir treatment in accordance with Article 70.

2.

The operators of treatment facilities referred to in paragraph 1 shall keep records of thosehandover transactions.

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Article 66
Participation of public waste management authorities
1.

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

2.

Public waste management authorities shall ensure that collected waste batteries are treatedin accordance with Article 70, either by:(a)handing them over to producers of the relevant category of batteries or, whereappointed in accordance with Article 57(1), to producer responsibility organisations,or to waste management operators selected in accordance with Article 57(8); or(b)

carrying out the treatment of the collected waste batteries themselves in accordancewith Article 68(2).

Article 67
Participation of voluntary collection points
1.

Voluntary collection points for waste portable batteries shall hand over 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
selected in accordance with Article 57(8) with a view to their treatment in accordance with
Article 70.

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2.

Voluntary collection points for waste LMT batteries shall hand over 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 selected inaccordance with Article 57(8) with a view to their treatment in accordance with Article 70.

Article 68
Restrictions regarding handover of waste portable batteries and waste LMT batteries
1.

Member States may restrict the ability of distributors, operators of waste treatment
facilities referred to in Article 65, public waste management authorities referred to in
Article 66 and voluntary collection points referred to in Article 67 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 inaccordance with Article 70. Member States shall ensure that such restrictions do not havean adverse impact on the collection and recycling systems.

2.

Member States may also adopt measures to allow public waste management authorities
referred to in Article 66 to carry out treatment in accordance with Article 70 themselves.

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Article 69
Obligations for Member States regarding collection targets
for waste portable batteries and waste LMT batteries
1.

Member States shall adopt the necessary measures for the achievement by producers or,where appointed in accordance with Article 57(1), producer responsibility organisations, ofthe collection targets laid down in Article 59(3), first subparagraph, points (a), (b) and (c),with regard to waste portable batteries, and laid down in Article 60(3), first subparagraph,points (a) and (b), with regard to waste LMT batteries.

2.

In particular, Member States shall regularly, at least once a year, monitor producers’ or,where appointed in accordance with Article 57(1), producer responsibility organisations’collection rates to verify that they have taken adequate measures to achieve the collection
targets laid down in Article 59(3), first subparagraph, points (a), (b) and (c) with regard towaste portable batteries, and laid down in Article 60(3), first subparagraph, points (a)and (b) with regard to waste LMT batteries. Such monitoring shall be based in particularon the information reported to the competent authorities in accordance with Article 75 andshall include the verification of that information, and of whether the producer has compliedwith the calculation methodology set out in Annex XI and the results of the compositional
survey referred to in paragraph 5 of this Article and any other information available to theMember State.

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3.

Where, on the basis of the monitoring referred to in paragraph 2 of this Article, aMember State finds that a producer or, where appointed in accordance with Article 57(1), a
producer responsibility organisation, has not taken measures consistent with theachievement of the collection targets laid down in Article 59(3), first subparagraph,points (a), (b) and (c) with regard to waste portable batteries, or laid down in Article 60(3),first subparagraph, points (a) and (b) with regard to waste LMT batteries, the competentauthority of that Member State shall request that producer or producer responsibility
organisation to take appropriate corrective action ensuring that it can achieve the collection
targets laid down in either of those Articles, as applicable.

4.

Without prejudice to the self-control mechanism referred to in Article 58(5), the producer
or, where appointed in accordance with Article 57(1), producer responsibility organisation
shall present a draft corrective action plan to the competent authority within three monthsof the request by the competent authority referred to in paragraph 3 of this Article. Thatcompetent authority may make observations on the draft plan, and shall communicate any
such observations to the producer or the producer responsibility organisation within one
month of the reception of the draft corrective action plan.
Where the competent authority communicates its observations on the draft corrective
action plan, the producer or the producer responsibility organisations shall, within one
month of receipt of those observations, draw up the corrective action plan, taking into
account those observations, and shall implement it accordingly.

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The content of the corrective action plan and the compliance with it by the producer or the
producer responsibility organisation shall be taken into account when evaluating whether
the conditions for the registration laid down in Article 55 and, where applicable, theauthorisation laid down in Article 58 continue to be met.
5.

By 1 January 2026 and every five years thereafter, Member States shall carry out acompositional survey of collected mixed municipal waste and waste electrical andelectronic equipment streams for the preceding calendar year to determine the share ofwaste portable batteries and waste LMT batteries therein. On the basis of those surveys, thecompetent authorities may require that the producers of portable batteries, producers of
LMT batteries or, where appointed in accordance with Article 57(1), the respective
producer responsibility organisations take corrective action to increase their network ofconnected collection points and carry out information campaigns in accordance with
Article 74(1).

Article 70
Treatment
1.

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

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2.

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

3.

Where batteries are collected while still incorporated in a waste appliance, a waste lightmeans of transport or an end-of-life vehicle, they shall be removed from the waste
appliance, waste light means of transport or end-of-life vehicle in accordance with, whereapplicable, the requirements laid down in Directives 2000/53/EC or 2012/19/EU.

4.

The Commission is empowered to adopt delegated acts in accordance with Article 89 toamend the treatment requirements for waste batteries set out in Part A of Annex XII inlight of technical and scientific progress and emerging new technologies in waste
management.

5.

Member States may set up incentive schemes for economic operators that achieve higher
rates than the targets set out in Parts B and C of Annex XII for recycling efficiency andrecovery of materials respectively.

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Article 71
Targets for recycling efficiency and recovery of materials
1.

Each permitted facility shall ensure that all waste batteries made available to that facility
are accepted and undergo preparation for re-use, preparation for repurposing or recycling.

2.

Recyclers shall ensure that recycling achieves the targets for recycling efficiency and thetargets for recovery of materials set out in Parts B and C of Annex XII respectively.

3.

The rates for recycling efficiency and recovery of materials shall be calculated inaccordance with the rules laid down in a delegated act adopted pursuant to paragraph 4 ofthis Article.

4.

The Commission shall, by … [18 months after the date of entry into force of thisRegulation], adopt a delegated act in accordance with Article 89 to supplement thisRegulation by establishing the methodology for calculation and verification of rates forrecycling efficiency and recovery of materials, in accordance with Part A of Annex XII,and the format for the documentation.

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5.

By … [36 months after the date of entry into force of this Regulation] and at least every
five years thereafter, the Commission shall assess whether, due to market developments, inparticular concerning battery technologies impacting the type of materials recovered andthe existing and forecasted availability of cobalt, copper, lead, lithium or nickel or the lackthereof, and in view of technical and scientific progress, it is appropriate to revise thetargets for recycling efficiency and recovery of materials set out in Parts B and C of
Annex XII. Where justified and appropriate on the basis of that assessment, theCommission is empowered to adopt a delegated act in accordance with Article 89 to amend
the targets for recycling efficiency and recovery of materials set out in Parts B and C of
Annex XII.

6.

Where appropriate due to market developments impacting the type of materials that can berecovered and in light of technical and scientific progress, including emerging newtechnologies in waste management, the Commission is empowered to adopt delegated acts
in accordance with Article 89, to amend Part C of Annex XII, by adding further materials
with specific targets for recovery of material per specific material, and Part B of
Annex XII, by adding further battery chemistries with specific targets for recycling
efficiency.

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Article 72
Shipment 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
Regulations (EC) No 1013/2006 and (EC) No 1418/2007.

2.

In order to distinguish between used batteries and waste batteries, the competentauthorities of Member States may inspect shipments of used batteries suspected to be
waste batteries for compliance with the minimum requirements set out in Annex XIV andmonitor such shipments accordingly.
Where the competent authorities in a Member State establish that an intended shipment ofused batteries consists of waste batteries, the costs of appropriate analyses, inspections andstorage of the used batteries suspected to be waste may be charged to the producers of therelevant category of batteries, to third parties acting on their behalf or to other persons
arranging the shipment. The Commission is empowered to adopt delegated acts inaccordance with Article 89, supplementing the minimum requirements set out inAnnex XIV, in particular on the state of health, to distinguish between the shipment ofused batteries and waste batteries.

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3.

Waste batteries or fractions thereof exported from the Union in accordance withparagraph 1 of this Article shall only count towards the fulfilment of obligations,efficiencies and targets laid down in Articles 70 and 71 if the exporter of the waste
batteries or fractions thereof provides documentary evidence approved by the competentauthority of destination that the treatment took place in conditions that are equivalent tothose required by this Regulation and in accordance with other Union law regarding humanhealth and environmental protection.

4.

The Commission is empowered to adopt a delegated act in accordance with Article 89, tolay down detailed rules supplementing those in paragraph 3 of this Article, by laying down
the criteria for the assessment of equivalent conditions.

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Article 73
Preparation for re-use or preparation for repurposing of waste LMT batteries,
waste industrial batteries and waste electric vehicle batteries
1.

In order to document that a waste LMT battery, waste industrial battery and waste electricvehicle battery subject to preparation for re-use or preparation for repurposing, is no longer
waste, the battery holder shall demonstrate the following upon request by a competentauthority:(a)evidence of a state of health evaluation or state of health testing carried out in a
Member State in the form of a copy of the record confirming the capability of thebattery to deliver the performance relevant for its use following preparation for reuse or preparation for repurposing;(b)further use of the battery that has been subject to preparation for re-use or
preparation for repurposing, is documented by means of an invoice or a contract forthe sale or transfer of ownership of the battery;(c)evidence of appropriate protection against damage during transportation, loading andunloading, including through sufficient packaging and appropriate stacking of theload.

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2.

The information referred to in paragraph 1, point (a), 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 1 when placed on themarket or put into service.

3.

The provision of information in accordance with paragraphs 1 and 2 shall be without
prejudice to obligations to preserve the confidentiality of commercially sensitive
information under the relevant Union and national law.

4.

The Commission is empowered to adopt an implementing act establishing detailed
technical and verification requirements that waste LMT batteries, waste industrial batteries
or waste electric vehicle batteries are to fulfil to cease being waste. That implementing act
shall be adopted in accordance with the examination procedure referred to in Article 90(3).

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Article 74
Information on prevention and management of waste batteries
1.

In addition to the information referred to in Article 8a(2) of Directive 2008/98/EC,
producers or, where appointed in accordance with Article 57(1), producer responsibility
organisations shall make available to end-users and distributors the following information
regarding the prevention and management of waste batteries with regard to the categories
of batteries that they 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 aimed at
extending their use phase and the possibilities of re-use, preparation for re-use,
preparation for repurposing, repurposing and remanufacturing;(b)

the role of end-users in contributing to the separate collection of waste batteries inaccordance with their obligations under Article 64 to allow their treatment;(c)the separate collection, take-back and collection points, preparation for re-use,
preparation for repurposing and treatment 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;

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(e)

the meaning of the labels and symbols on batteries in accordance with Article 13 orprinted on their packaging or in the documents accompanying batteries; and(f)the impact of substances, in particular hazardous substances, present in batteries on
the environment and on human health or the safety of persons, including the impact
due to inappropriate discarding of waste batteries, such as littering or discarding as
unsorted municipal waste.

That information shall be made available:(a)at regular time intervals for each battery model from the moment the battery model
concerned is being made available on the market for the first time in a Member State,
as a minimum at the point of sale in a visible manner and through online platforms;(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 62, 65
and 66 and other waste management operators carrying out preparation for re-use,
preparation for repurposing, or treatment, information regarding the safety and protective
measures, including on occupational safety, applicable to the storage and collection ofwaste batteries.

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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 preparation for re-use, preparation for repurposing or
treatment, 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 for the dismantling of light means of transport, vehicles and appliances
in a way that allows the removal of incorporated batteries;(b)

the safety and protective measures, including as regards occupational safety and fire
protection, applicable to the storage, transport, and the treatment processes for waste
batteries.

The information referred to in points (a) and (b) of the first subparagraph shall identify thecomponents and materials and the location of all hazardous substances in a battery, as far
as it is needed by operators carrying out preparation for re-use, preparation for repurposing
or treatment, in order to enable them to comply with the requirements of this Regulation.
That information shall be made available in a language or languages, which can be easily
understood by the operators mentioned in the first subparagraph, as determined by theMember State on whose market the battery is to be made available.

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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 thebatteries, the information referred to in paragraphs 1 and 2, and information on how theend-users may return waste batteries free of charge to the respective collection points
established at retail outlets or on behalf of an online platform. That obligation shall belimited to the categories of batteries which the distributor or retailer has, or had, as newbatteries in its offer.
Distributors shall provide the information referred to in paragraphs 1 and 2 also when theysell their products through online platforms that allow consumers to conclude distancecontracts with traders.

5.

The costs covered by the producer under Article 56(4), points (a) to (d), shall be shown
separately to the end-user at the point of sale of a new battery.

6.

Producers of the relevant category of batteries or producer responsibility organisations
shall conduct awareness campaigns and offer incentives to encourage end-users to discard
waste batteries in a manner that is in line with the information made available to end-users
regarding the prevention and management of waste batteries in accordance withparagraph 1.

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7.

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 75
Minimum requirements for reporting to the competent authorities
1.

Producers of portable batteries and producers of LMT batteries or, where appointed inaccordance with Article 57(1), producer responsibility organisations shall report to thecompetent authority, for each calendar year, at least the following information according to
the chemistry and category of batteries and waste batteries:(a)the amount of portable batteries and 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;(b)

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 portable batteries of generaluse that have left the territory of that Member State in that year, before being sold to
end-users;(c)the amount of waste portable batteries and waste LMT batteries collected inaccordance with Articles 59 and 60, respectively;

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(d)

the collection rate reached by the producer or producer responsibility organisation for
waste portable batteries and waste LMT batteries;(e)the amount of collected waste portable batteries and waste LMT batteries delivered
to permitted facilities for treatment;(f)the amount of collected waste portable batteries and waste LMT batteries exported tothird countries for treatment, preparation for re-use or preparation for repurposing;(g)

the amount of collected waste portable batteries and waste LMT batteries delivered
to permitted facilities for preparation for re-use or preparation for repurposing.

Where waste management operators other than producers or, where appointed inaccordance with Article 57(1), producer responsibility organisations, collect waste portablebatteries or waste LMT batteries from distributors or other collection points for waste
portable batteries or waste LMT batteries, they shall report to the competent authority foreach calendar year the amount of waste portable batteries and waste LMT batteries
collected according to their chemistry.

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2.

Producers of SLI batteries, industrial batteries and electric vehicle batteries or whereappointed in accordance with Article 57(1) producer responsibility organisations, shallreport 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 endusers;(b)

the amount of collected waste SLI batteries, waste industrial batteries and waste
electric vehicle batteries delivered to permitted facilities for preparation for re-use or
preparation for repurposing;(c)the amount of collected waste SLI batteries, waste industrial batteries and waste
electric vehicle batteries delivered to permitted facilities for treatment;(d)the amount of collected waste SLI batteries, waste industrial batteries and waste
electric vehicle batteries exported to third countries for preparation for re-use,
preparation for repurposing or for treatment.

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3.

Where waste management operators collect waste batteries from distributors or othercollection points for waste SLI batteries, waste industrial batteries and waste electricvehicle batteries or from end-users, they shall report to the competent authority for eachcalendar 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;(b)

the amount of collected waste SLI batteries, waste industrial batteries and waste
electric vehicle batteries delivered to permitted facilities for preparation for re-use or
preparation for repurposing;(c)the amount of collected waste SLI batteries, waste industrial batteries and waste
electric vehicle batteries delivered to permitted facilities for treatment;(d)the amount of collected waste SLI batteries, waste industrial batteries and waste
electric vehicle batteries exported to third countries for preparation for re-use,
preparation for repurposing or for treatment.

4.

The information referred to in paragraph 1, points (a) to (g), of this Article shall include
information on batteries incorporated into vehicles and appliances, and waste batteries
removed from vehicles and appliances in accordance with Article 65.

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5.

Waste management operators carrying out treatment and recyclers shall report to thecompetent authorities of the Member State where treatment of waste batteries takes place,for each calendar year and by Member State where the waste batteries were collected, thefollowing information:(a)the amount of waste batteries received for treatment;(b)the amount of waste batteries that began to undergo preparation for re-use,
preparation for repurposing or recycling processes;(c)data on recycling efficiency for waste batteries, recovery of materials from waste
batteries and the destination and yield of the final output fractions.

Reporting on the recycling efficiency and recovery of materials shall cover all individual
steps of recycling and all corresponding output fractions. Where recycling operations arecarried out at more than one facility, the first recycler shall be responsible for collecting theinformation and reporting that information to the competent authorities.
The competent authority of the Member State where the treatment of waste batteries takes
place, shall provide the information referred to in this paragraph to the competent authorityof the Member State where the batteries were collected, if different.

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Waste batteries sent to another Member State for treatment in that other Member State
shall be included in the recycling efficiency and recovery of materials data and shall counttowards the attainment of the targets set out in Annex XII by the Member State in whichthat 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 5, points (b) and (c) to thecompetent authorities of the Member States where they are located.

7.

Producers or, where appointed in accordance with Article 57(1), producer responsibility
organisations, waste management operators and waste holders referred to in this Article
shall report within six months of the end of the reporting year for which the data arecollected. 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 theCommission, in accordance with Article 76(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 that the data reported are reliable.

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Article 76
Reporting to the Commission
1.

Member States shall make publicly available in an aggregated form for each calendar year
and in the format established by the Commission in the implementing act adopted pursuant
to paragraph 5, the following data on portable batteries, LMT batteries, SLI batteries,
industrial batteries and electric vehicle batteries, according to battery categories and theirchemistries:(a)the amount of batteries made available on the market for the first time in a Member
State, including those incorporated in appliances, vehicles or industrial products, but
excluding batteries that have left the territory of that Member State in that year,
before being sold to end-users;(b)

the amount of waste batteries collected in accordance with Articles 59, 60 and 61,
and collection rates calculated on the basis of the methodology set out in Annex XI;(c)the amount of waste industrial batteries and the amount of waste electric vehicle
batteries collected and delivered to permitted facilities for preparation for re-use or
preparation for repurposing;

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(d)

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

Member States shall make those data available within 18 months of the end of thereporting year for which the data are collected. They shall make those data 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, and shall respect open standards for third party use. Member
States shall notify the Commission when the data referred to in the first subparagraph are
made available.
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 paragraph 1, first subparagraph, points (a) to (d), of this Article shall include batteries
incorporated into vehicles and appliances, and waste batteries removed from those vehicles
and appliances in accordance with Article 65.

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2.

Reporting on the recycling efficiency and recovery of materials referred to in paragraph 1,
first subparagraph, point (d), shall cover all individual steps of recycling and all
corresponding output fractions.

3.

The data made available by Member States in accordance with this Article shall beaccompanied by a quality check report to be presented in the format established by theCommission in accordance with paragraph 5.

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 those data. That assessment
may include specific recommendations for improvement. The report shall be drawn up
within 6 months of the first reporting of the data by Member States and every four years
thereafter.

5.

The Commission shall, by … [24 months after the date of entry into force of thisRegulation], 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 related to collection and treatment of waste batteries, for the purpose ofparagraphs 1 and 4 of this Article. Those implementing acts shall be adopted in accordancewith the examination procedure referred to in Article 90(3).

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Chapter IX
Digital battery passport

Article 77
Battery passport
1.

From … [42 months after the date of entry into force of this Regulation] each
LMT battery, each industrial battery with a capacity greater than 2 kWh and each electricvehicle 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 resulting from the use of thatbattery, as set out in Annex XIII.
The information in the battery passport shall comprise:(a)information accessible to the general public in accordance with point 1 ofAnnex XIII;(b)

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(c)

information accessible only to any natural or legal person with a legitimate interest inaccessing and processing that information for the purposes referred to in points (a)and (b) of the third subparagraph in accordance with points 2 and 4 of Annex XIII.

The purposes for accessing and processing the information as referred to in point (c) of thesecond subparagraph, shall:(a)concern dismantling of the battery, including safety measures to be taken during thedismantling, and the detailed composition of the battery model and be essential toallow repairers, remanufacturers, second-life operators and recyclers to conduct theirrespective economic activities in accordance with this Regulation; or(b)in the case of individual batteries, be essential to the purchaser of the battery or
parties acting on the purchaser’s behalf, for the purpose of making the individual
battery available to independent energy aggregators or energy market participants.

The information referred to in the second subparagraph shall be included in the battery
passport to the extent applicable to the category or sub-category of battery concerned.
The Commission is empowered to adopt delegated acts in accordance with Article 89 toamend Annex XIII as regards the information to be included in the battery passport in viewof technical and scientific progress.

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3.

The battery passport shall be accessible through the QR code referred to in Article 13(6)which links to a unique identifier that the economic operator placing the battery on themarket shall attribute to it.
The QR code and the unique identifier shall comply with the ISO/IEC standards
15459-1:2014, 15459-2:2015, 15459-3:2014, 15459-4:2014, 15459-5:2014 and
15459-6:2014 or their equivalent.
The Commission is empowered to adopt delegated acts in accordance with Article 89 toamend the second subparagraph of this paragraph in light of technical and scientificprogress by replacing the standards referred to in that subparagraph or adding other
European or international standards with which the QR code and the unique identifier shallcomply.

4.

The economic operator placing the battery on the market shall ensure that the informationin the battery passport is accurate, complete and up to date. It may give written
authorisation to any other operator to act on its behalf.

5.

All information included in the battery passport shall be based on open standards and be in
an interoperable format, transferable through an open interoperable data exchange network
without vendor lock-in, machine-readable, structured and searchable, in accordance withthe essential requirements laid down in Article 78.

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6.

The access to information included in the battery passport shall be regulated in accordancewith the essential requirements laid down in Article 78.

7.

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
under paragraph 4 of this Article shall be transferred to the economic operator that has
placed that battery on the market or has put it into service. Such battery shall have a newbattery passport linked to the battery passport or passports of the original battery orbatteries.
Where the status of a battery changes to that of a waste battery, the responsibility for thefulfilment of the obligations under paragraph 4 of this Article shall be transferred either tothe producer or, where appointed in accordance with Article 57(1), the producer
responsibility organisation, or the waste management operator selected in accordance with
Article 57(8).

8.

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

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9.

By … [36 months after the date of entry into force of this Regulation], the Commission
shall adopt implementing acts specifying which persons are to be considered persons witha legitimate interest as referred to in points 2 and 4 respectively of Annex XIII for the
purposes of paragraph 2, point (c), of this Article and to which information listed in thosepoints they shall have access, and to what extent they can download, share, publish andre-use that information. Those implementing acts shall be adopted in accordance with theexamination procedure referred to in Article 90(3).
The criteria for specifying the persons referred to in paragraph 2, point (c), and for
determining the extent to which they can download, share, publish and re-use theinformation referred to in points 2 and 4 of Annex XIII shall be the following:(a)the necessity of having such information in order to evaluate the status and residual
value of the battery and its capability for further use;(b)

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 operations;(c)the need to ensure that the accessing and processing of information in the battery
passport that is commercially sensitive is limited to the minimum necessary inaccordance with applicable Union law.

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Article 78
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)the battery passport shall be fully interoperable with other digital product passports
required by Union law concerning eco-design, in relation to the technical, semantic andorganisational 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 77(9);(c)

the data included in the battery passport shall be stored by the economic operator
responsible for the fulfilment of the obligations under Article 77(4) or (7), or by operators
authorised to act on their behalf;

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(d)

if the data included in the battery passport are stored or otherwise processed by operators
authorised to act on behalf of the economic operator responsible for the fulfilment of theobligations under Article 77(4) or (7), 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 battery passport shall remain available after the economic operator responsible for thefulfilment of the obligations under Article 77(4) or (7) ceases to exist or ceases its activity
in the Union;(f)

the rights to access, introduce, modify or update information in the battery passport shallbe restricted based on the access rights specified in Annex XIII and the implementing act
adopted pursuant to Article 77(9);(g)

data authentication, reliability and integrity shall be ensured;(h)the battery passport shall be such that a high level of security and privacy is ensured andfraud is avoided.

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ENChapter X
Union market surveillance and Union safeguard procedures

Article 79
Procedure at national level for dealing with batteries presenting a risk
1.

Without prejudice to Article 19 of 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.
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 (‘non-compliant battery’), they shall without delay require therelevant economic operator to take all appropriate corrective action, within a reasonable
period prescribed by the market surveillance authorities and commensurate with the natureof the risk, to bring the battery into compliance with those requirements, to withdraw itfrom the market, or to recall it.
The market surveillance authorities shall inform the relevant notified body accordingly.

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2.

The market surveillance authorities shall inform the Commission and the other Member
States of the results of the evaluation and of the actions which they have required theeconomic operator to take.

3.

The economic operator shall ensure that all appropriate corrective action is taken in respectof all the non-compliant batteries that the economic operator has made available on themarket throughout the Union.

4.

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

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5.

The information referred to in paragraph 4, second subparagraph, shall include all available
details, in particular the data necessary for the identification of the non-compliant battery,the origin of that battery, the nature of the non-compliance alleged and the risk involved,
the nature and duration of the national measures taken and the arguments put forward by
the relevant economic operator. In particular, the market surveillance authorities shallindicate whether the non-compliance is due to any of the following:

6.

(a)

failure of the battery to be in conformity with Articles 6 to 10 or Article 12, 13 or 14;(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.

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7.

Where, within three months of receipt of the information referred to in paragraph 4,second subparagraph, 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 the
non-compliant battery from the market, are taken in respect of the non-compliant battery
without delay.

Article 80
Union safeguard procedure
1.

Where, on completion of the procedure set out in Article 79(4), (6) and (7), objections areraised against a measure taken by market surveillance authorities, or where theCommission considers a national measure to be contrary to Union law, the Commission
shall without delay enter into consultation with the Member States and the relevant
economic operator or operators and shall evaluate the national measure. The Commission
shall endeavour to conclude that evaluation within one month.
On the basis of the results of that evaluation, the Commission shall adopt an implementing
act determining whether the national measure is justified or not. That implementing act
shall be adopted in accordance with the examination procedure referred to in Article 90(3).

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2.

The Commission shall address the implementing act referred to in paragraph 1,
second subparagraph, to all Member States and shall immediately communicate it to themand 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.

4.

Where the national measure is considered justified and the non-compliance of the battery is
attributed to shortcomings in the common specifications referred to in Article 16, theCommission shall, without delay, adopt an implementing act amending or repealing thecommon specifications concerned. That implementing act shall be adopted in accordancewith the examination procedure referred to in Article 90(3).

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Article 81
Compliant batteries which present a risk
1.

Where, having carried out an evaluation under Article 79(1), a Member State finds that
although a battery is in compliance with Articles 6 to 10 and Articles 12, 13 and 14, it
presents a risk to the human health or safety of persons, to the protection of property or to
the environment (‘compliant battery which presents a risk’), it shall without delay require
the relevant economic operator to take all appropriate measures, within a reasonable period
prescribed by the market surveillance authorities and commensurate with the nature of therisk, to ensure that the compliant battery which presents a risk, when made available on themarket, no longer presents that risk, to withdraw that battery from the market or to recall it.

2.

The economic operator shall ensure that corrective action is taken in respect of all thecompliant batteries which present a risk 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
where the situation referred to in paragraph 1 occurs. That information shall include allavailable details, in particular the data necessary for the identification of compliant
batteries which present a risk, the origin and the supply chain of such batteries, the natureof the risk involved and the nature and duration of the national measures taken.

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4.

The Commission shall without delay enter into consultation with the Member States 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 determining whether the national measure is justified or not and, where necessary,
proposing appropriate measures. That implementing act shall be adopted in accordancewith the examination procedure referred to in Article 90(3).

5.

On duly justified imperative grounds of urgency relating to the protection of human healthand the safety of persons, and to the protection of property or the environment, theCommission shall adopt an immediately applicable implementing act in accordance withthe procedure referred to in Article 90(4).

6.

The Commission shall address the implementing act referred to in paragraphs 4 and 5 to all
Member States and shall immediately communicate it to them and the relevant economic
operator or operators.

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Article 82
Joint activities
Market surveillance authorities may carry out joint activities with organisations representing
economic operators or end-users. Such joint activities may include the setting up by Member States
or market surveillance authorities of battery competence centres, with a view to promoting
compliance, identifying non-compliance, raising awareness and providing guidance in relation to
the requirements laid down in this Regulation, in accordance with Article 9 of Regulation(EU) 2019/1020.

Article 83
Formal non-compliance1.

Without prejudice to Article 79, 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)

the CE marking has not been affixed;

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(c)

the identification number of the notified body, where required under Annex VIII, hasbeen affixed in violation of Article 20 or has not been affixed;(d)the EU declaration of conformity has not been drawn up or has not been drawn up
correctly;(e)the technical documentation referred to in Annex VIII is either not available, or notcomplete;(f)the information referred to in Article 38(7) or Article 41(3) is absent, false or
incomplete;(g)

any other administrative requirement provided for in Article 38 or 41 has not been
met;

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 withdrawn from the market or recalled.

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Article 84
Non-compliance with due diligence obligations
1.

Where a Member State finds that an economic operator does not fulfil its due diligenceobligations laid down in Articles 48, 49 and 50, it shall require the relevant 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 no othereffective 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 arewithdrawn from the market or recalled.

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ENChapter XIGreen public procurement
and procedure for amending restrictions on substances

Article 85
Green public procurement
1.

Contracting authorities, as defined in Article 2(1), point (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 insituations covered by those Directives, take account of the environmental impacts of thosebatteries over their life cycle with a view to ensuring that such impacts are kept to aminimum.

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2.

From 12 months after the date of entry into force of the first delegated act referred to inparagraph 3 of this Article, establishing award criteria for procurement procedures, theobligation laid down in paragraph 1 of this Article shall be fulfilled through the applicationof those award criteria. Any procurement procedure carried out by contracting authorities
or contracting entities for the purchase of batteries, or products containing batteries, thatfall within the scope of Articles 7 to 10 shall make reference in its technical specifications
and award criteria to that first delegated act to ensure that those batteries, or products
containing batteries, are procured with significantly lower environmental impacts overtheir life cycle.

3.

The Commission shall, 12 months after the adoption of the latest of the delegated acts
referred to in Article 7(2), fourth subparagraph, point (a), Article 8(1), Article 9(2) and
Article 10(5), adopt delegated acts in accordance with Article 89 supplementing thisRegulation by establishing award criteria for procurement procedures for batteries, or
products containing batteries, based on the sustainability requirements laid down in
Articles 7 to 10.

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Article 86
Restriction procedure for 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 treatment of 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 which conforms to the requirements of Annex XV to Regulation(EC) No 1907/2006. The restriction dossier shall include a socio-economic assessment,
including an analysis of alternatives.

2.

Within 12 months of the receipt of the request from the Commission referred to inparagraph 1 of this Article and if the restriction dossier prepared by the Agency pursuant tothat paragraph demonstrates that action is necessary on a Union-wide basis, in addition to
any measures already in place, the Agency shall suggest restrictions in order to initiate theprocess described in paragraphs 4 to 9 of this Article and Articles 87 and 88.

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3.

If a Member State 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 treatment of 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 notify the Agency that it
proposes to prepare a restriction dossier. The Member State shall prepare a restriction
dossier. The restriction dossier shall include a socio-economic assessment, including ananalysis of alternatives.
If the restriction dossier demonstrates that action on a Union-wide basis is necessary, in
addition to any measures already in place, the Member State shall submit it to the Agency
in the format set out in Annex XV to Regulation (EC) No 1907/2006, in order to initiate
the process described in paragraphs 4 to 9 of this Article, and Articles 87 and 88.

4.

For the purposes of the restriction dossier and the restriction process, the Agency orMember States shall take into account any dossier, chemical safety report or risk
assessment submitted to the Agency or a Member State under the Regulation(EC) No 1907/2006. The Agency or Member States shall also take into account any
available information and refer to any relevant risk assessment submitted for the purposesof other Union law covering the life cycle of the substance used in the battery, including
the waste phase. To this end, other bodies established under Union law and carrying out asimilar task shall provide information to the Agency or Member State concerned onrequest.

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5.

Access to information held by the Agency in performing the tasks defined in Article 6 ofthis Regulation and in this Article shall be subject to Article 118 of Regulation(EC) No 1907/2006.

6.

The Agency shall maintain a list of substances for which a restriction dossier under this
Article is planned by or in progress in either the Agency or a Member State.

7.

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 that Regulation, shall check whether the restriction dossier submitted
conforms to the requirements of Annex XV to that Regulation. Within 30 days of receipt ofthe dossier, the respective Committee shall inform the Agency or the Member Statesuggesting restrictions, as to whether the dossier conforms. If the dossier does not conform,
the reasons shall be given to the Agency or the Member State in writing within 45 days ofreceipt. The Agency or the Member State shall bring the dossier into conformity within
60 days of the date of receipt of the reasons from the respective Committee, otherwise theprocedure under this Article shall be terminated.

8.

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 shall informstakeholders concerned.

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9.

The Agency shall make publicly available on its website the restriction dossier, including
the restrictions suggested pursuant to paragraphs 2 and 3 without delay, clearly indicating
its date of publication. The Agency shall invite all stakeholders concerned to submit
individually or jointly, within four months of the date of publication:(a)comments on the restriction dossier and the suggested restrictions;(b)a socio-economic analysis of the suggested restrictions, including an analysis ofalternatives, or information which can contribute to such an analysis, examining theadvantages and drawbacks of the suggested restrictions. Such analysis shall conformto the requirements of Annex XVI to Regulation (EC) No 1907/2006.

10.

The delegated acts referred to in Article 6(2) shall be adopted within nine months
following the receipt of the opinion of the Committee for Socio-economic Analysis of the
Agency referred to in Article 87(2). If the Committee for Socio-economic Analysis does
not adopt an opinion by the deadline set in Article 87(2) or (5), as applicable, theCommission shall take into account the socio-economic impact of the restriction, including
the availability of alternatives for the substance and shall adopt a delegated act by thedeadline set in Article 87(2).

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11.

Where the draft amendment to Annex I diverges from the original proposal of therestriction dossier, prepared pursuant to the procedure laid down in this Article andArticles 87 and 88, or if it does not take the opinions from the Agency into account, theCommission shall attach a detailed explanation of the reasons for the differences.

Article 87
Opinion of the Agency’s Committees
1.

Within 12 months of the date of publication referred to in Article 86(9), 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 restriction dossier. This opinion shall take accountof the restriction dossier prepared by the Agency at the request of the Commission or by
the Member State, and the views of interested parties referred to in Article 86(9), point (a).

2.

Within 15 months of the date of publication referred to in Article 86(9), the Committee forSocio-economic Analysis shall adopt an opinion on the suggested restrictions, based on its
consideration of the relevant parts of the restriction 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 86(9), point (b), if there are any.

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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.

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 of this Article. That opinion shall take account of the comments of interested parties
submitted under Article 86(9), point (b), and paragraph 3 of this Article.

5.

Where the opinion of the Committee for Risk Assessment diverges significantly from therestrictions suggested in the restriction dossier, the Agency shall postpone the deadline forthe opinion of the Committee 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 of this Article, they shall make use of rapporteurs
under Article 87 of Regulation (EC) No 1907/2006 and in line with the conditions
provided therein.

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Article 88
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 86. Where the opinions of the Committees for Risk Assessment andSocio-economic Analysis diverge significantly from the suggested 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 Article 87(1) and (2), respectively, the Agency shall inform theCommission accordingly, stating the reasons.

2.

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

3.

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

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Delegated powers and committee procedure

Article 89
Exercise of the delegation
1.

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

2.

The power to adopt delegated acts referred to in Article 6(2), Article 7(1), (2) and (3),Article 8(1) and(5), Article 9(2), Article 10(5) and (6), Article 11(4), Article 12(3),Article 13(8), Article 14(4), Article 48(8), Article 53(3), Article 59(7), Article 60(8),Article 70(4), Article 71(4), (5) and (6), Article 72(4), Article 77(2) and (3), andArticle 85(3) shall be conferred on the Commission for a period of five years from … [dateof entry into force of this Regulation]. The Commission shall draw up a report in respect ofthe delegation of power no later than nine months 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 the Council opposes such extension no later than threemonths before the end of each period.

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3.

The delegation of power referred to in Article 6(2), Article 7(1), (2) and (3), Article 8(1)and(5), Article 9(2), Article 10(5) and (6), Article 11(4), Article 12(3), Article 13(8),Article 14(4), Article 48(8), Article 53(3), Article 59(7), Article 60(8), Article 70(4),Article 71(4), (5) and (6), Article 72(4), Article 77(2) and (3), and Article 85(3) may be
revoked at any time by the European Parliament or by the Council. A decision to revoke
shall put an end to the delegation of the power specified in that decision. It shall take effectthe day following the publication of the decision in the Official Journal of the European
Union or at a later date specified therein. It shall not affect the validity of any delegatedacts 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.

5.

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

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6.

A delegated act adopted pursuant to Article 6(2), Article 7(1), (2) and (3), Article 8(1)and (5), Article 9(2), Article 10(5) and(6), Article 11(4), Article 12(3), Article 13(8),Article 14(4), Article 48(8), Article 53(3), Article 59(7), Article 60(8), Article 70(4),Article 71(4), (5) and (6), Article 72(4), Article 77(2) and (3), or 85(3) shall enter into
force only if no objection has been expressed either by the European Parliament or theCouncil within a period of three months 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 the Commission that they will not object. That period
shall be extended by two months at the initiative of the European Parliament or of theCouncil.

Article 90
Committee procedure
1.

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

2.

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

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3.

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

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Amendments

Article 91
Amendments to Regulation (EU) 2019/1020
Regulation (EU) 2019/1020 is amended as follows:(1)

in Article 4(5), the text ‘(EU) 2016/42535 and (EU) 2016/42636’ is replaced by thefollowing:‘(EU) 2016/425*, (EU) 2016/426** and (EU) 2023/…***________________*

Regulation (EU) 2016/425 of the European Parliament and of the Councilof 9 March 2016 on personal protective equipment and repealing Council Directive
89/686/EEC (OJ L 81, 31.3.2016, p. 51).

OJ: Please insert in the text the number of this Regulation and insert the number, date andOJ reference of this Regulation in the footnote.

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**

***

(2)

Regulation (EU) 2016/426 of the European Parliament and of the Councilof 9 March 2016 on appliances burning gaseous fuels and repealing Directive
2009/142/EC (OJ L 81, 31.3.2016, p. 99).
Regulation (EU) 2023/… of the European Parliament and of the Council of …
concerning batteries and waste batteries, amending Directive 2008/98/EC andRegulation (EU) 2019/1020 and repealing Directive 2006/66/EC (OJ L …, …,
p. …).’;

in Annex I, point 21 of the list of Union harmonisation legislation is replaced by thefollowing:‘21. Regulation (EU) 2023/… of the European Parliament and of the Council of …
concerning batteries and waste batteries, amending Directive 2008/98/EC andRegulation (EU) 2019/1020 and repealing Directive 2006/66/EC (OJ L …, …,
p. …);’.

OJ: Please insert in the text the number, date and OJ reference of this Regulation.

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Article 92
Amendment to Directive 2008/98/EC
In Article 8a(7) of Directive 2008/98/EC, the following subparagraph is added:‘For batteries, as defined in Article 2, point (1), of Regulation (EU) 2023/… of the European
Parliament and of Council*, 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 the date of entry into force of this Regulation].
________________*

Regulation (EU) 2023/… of the European Parliament and of the Council of … concerning
batteries and waste batteries, amending Directive 2008/98/EC and Regulation(EU) 2019/1020 and repealing Directive 2006/66/EC (OJ L …, …, p …).’.

OJ: Please insert in the text the number of this Regulation and insert the number, date andOJ reference of this Regulation in the footnote.

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Chapter XIV
Final provisions

Article 93
Penalties
By … [24 months after the date of entry into force of this Regulation] Member States shall lay
down the rules on penalties applicable to infringements of this Regulation and shall take allmeasures necessary to ensure that they are implemented. The penalties provided for shall beeffective, proportionate and dissuasive. Member States shall, without delay, notify the Commissionof those rules and of those measures and shall notify it, without delay, of any subsequent
amendment affecting them.

Article 94
Review
1.

By 30 June 2031, the Commission shall review and draw up a report on the application ofthis Regulation and its impact on the environment, human health and the functioning of theinternal market and submit it to the European Parliament and to the Council.

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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;(b)the sustainability and safety requirements laid down in Chapter II, including thepossible need to introduce an export ban on batteries which are non-compliant withthe restrictions set out in Annex I;(c)the labelling and information requirements laid down in Chapter III;(d)the battery due diligence requirements laid down in Articles 48 to 53;(e)the measures regarding management of waste batteries laid down in Chapter VIII,
including the possibility of introducing two sub-categories of portable batteries
namely rechargeable and non-rechargeable portable batteries, with separate
collection targets, and of introducing a separate collection target for portablebatteries of general use;(f)the measures regarding the battery passport set out in Chapter IX;

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(g)

infringements and the effectiveness, proportionality and dissuasiveness of penalties
as set out in Article 93;(h)analysis of the impact of this Regulation on the competitiveness of, and on theinvestments in, the batteries sector, and of the administrative burden resulting fromthis Regulation.

Where appropriate, the report referred to in paragraph 1 shall be accompanied by alegislative proposal for amendment of the relevant provisions of this Regulation.
3.

Taking into account the revision of Regulation (EC) No 1907/2006, the Commission shallin its report include a specific evaluation of the need for a legislative proposal to amend
Articles 6, 86, 87 and 88 of this Regulation.

4.

The Commission shall assess whether any amendment to Chapter VII 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 in relation to their own
operations, the operations of their subsidiaries and branches, and their value chain
operations.

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The Commission shall publish a report containing the results of such assessment by
12 months after the date of entry into force of any of the legislative acts referred to in thefirst subparagraph, or by 30 June 2031, whichever is the earliest. Where appropriate, theCommission shall accompany its report with a legislative proposal amending Chapter VII.
5.

By 30 June 2031, the Commission shall submit a report to the European Parliament and theCouncil assessing the feasibility and the technical consequences of extending the scope ofthe definition of ‘LMT battery’ in Article 3, point (11), in particular by including batteries
powering non-wheeled vehicles. The report shall be accompanied, where appropriate, by alegislative proposal.

6.

By 1 January 2025, the Commission shall assess how best to introduce harmonised
standards for a common charger for, respectively, rechargeable batteries designed for lightmeans 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 shall be excluded from the scope of that assessment.

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Article 95
Repeal and transitional rules
Directive 2006/66/EC is repealed with effect from … [24 months after the date of entry into forceof this Regulation].
However, the following provisions shall continue to apply as set out below:(a)Article 11 until … [42 months after the date of entry into force of this Regulation];(b)

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

Article 21(2) until … [36 months after the date of entry into force of this Regulation].

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

Article 96
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.

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2.

It shall apply from … [6 months after the date of entry into force of this Regulation], saveas set out in the second subparagraph and in other provisions of this Regulation.
The following provisions shall apply as follows:(a)

Article 11 shall apply from … [42 months after the date of entry into force of thisRegulation];(b)

Article 17 and Chapter VI shall apply from … [12 months after the date of entry into
force of this Regulation], except for Article 17(2) which shall apply from 12 months
after the date of the first publication of the list referred to in Article 30(2);(c)

Chapter VIII shall apply from … [24 months after the date of entry into force of thisRegulation].

This Regulation shall be binding in its entirety and directly applicable in all Member States.
Done at …,

For the European Parliament

For the Council

The President

The President

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ENANNEX I
Restriction on substances
Column 1

Column 2

Designation of the substance or group of
substances

Conditions of restriction

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

Batteries, whether or not incorporated into
appliances, light means of transport or othervehicles, shall not contain more than 0,0005 %of mercury (expressed as mercury metal) by
weight.

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

Portable batteries, whether or not incorporated
into appliances, light means of transport or othervehicles, shall not contain more than 0,002 % of
cadmium (expressed as cadmium metal) by
weight.

3. LeadCAS No. 7439-92-1
EC No. 231-100-4 and its compounds

1.

From … [12 months after the date ofentry into force of this Regulation],
portable batteries, whether or notincorporated into appliances, shall notcontain more than 0,01 % of lead(expressed as lead metal) by weight.

2.

The restriction set out in point 1 shall not
apply to portable zinc-air button cells
until … [60 months after the date ofentry into force of this Regulation].

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Carbon footprint
1.

Scope
This Annex provides essential elements on how to calculate the carbon footprint.
The methodology for calculation and verification of the carbon footprint to be provided forby means of the delegated act adopted pursuant to Article 7 shall build on the essential
elements included in this Annex, be in compliance with the latest version of theCommission Product Environmental Footprint (PEF) method and relevant ProductEnvironmental Footprint Category Rules (PEFCRs) and reflect the international
agreements and technical/scientific progress in the area of life cycle assessment.
The calculation of the life cycle carbon footprint shall be based on the bill of materials, theenergy and the auxiliary materials used in a specific manufacturing plant to produce a
specific battery model. In particular, the electronic components, for example battery
management units and safety units, and the cathode materials shall be accurately identified,as they can become the main contributor for the battery carbon footprint.

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2.

Definitions
For the purposes of this Annex, the following definitions apply:(a)‘activity data’ means the information associated with processes while modelling Life
Cycle Inventories (LCI), whereby the aggregated LCI results of the process chainsthat represent the activities of a process are each multiplied by the corresponding
activity data and then combined to derive the carbon footprint associated with thatprocess;(b)‘bill of materials’ means a list of the raw materials, sub-assemblies, intermediate
assemblies, sub-components and parts, and the quantities of each, needed to
manufacture the battery;(c)‘company-specific data’ means data that are directly measured or collected from one
or multiple facilities (site-specific data) that are representative of the activities of thecompany, such data are also known as ‘primary data’;(d)‘functional unit’ means the qualitative and quantitative aspects of the functions,services, or both, provided by the battery;

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(e)

‘life cycle’ means the consecutive and interlinked stages of a product system, fromraw material acquisition or generation from natural resources to final disposal(ISO 14040:2006 or an equivalent standard);(f)‘life cycle inventory (LCI)’ means the combined set of exchanges of elementary,
waste and product flows in an LCI dataset;(g)‘life cycle inventory (LCI) dataset’ means a document or file with life cycle
information on a specified product or other reference, such as the site or process,covering descriptive metadata and quantitative life cycle inventory, which could
include a unit 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 an equivalent standard);(i)‘secondary data’ means data that are not directly collected or measured from a
specific process within the supply-chain of the company or estimated by thatcompany, but that are sourced from a third party LCI database or other sources; suchdata include industry average data, for example from published production data,
government statistics, and industry associations, as well as literature studies,engineering studies and patents, and can also be based on financial data, and containproxy data and other generic data; and also include primary data that go through ahorizontal aggregation step;

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(j)

‘system boundary’ means the aspects included or excluded from the life cycle stages.

Additionally, the harmonised rules for the calculation of the carbon footprint of batteries
shall include any further definition necessary for their interpretation.
3.

Functional unit and reference flow
The functional unit is defined as one kWh (kilowatt-hour) of the total energy provided by
the battery system over the battery’s service life, measured in kWh. The total energy is
obtained from the number of cycles multiplied by the amount of delivered energy overeach cycle.
The reference flow is the weight of battery needed to fulfil a specific function and shall bemeasured 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 the reference flow.

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By way of exception to the first paragraph, for back-up batteries that have as their primaryfunction to ensure continuity of a power source, the functional unit is defined as the ability
to provide one kWmin (kilowatt-minute) of backup power capability at any moment overthe lifetime of the battery. Accordingly, the reference flow for back-up batteries is theweight of battery needed to fulfil the defined function and shall be measured in kg ofbattery per kWmin of backup power capability divided by the service life of the battery inyears. All quantitative input and output data collected by manufacturers of back-up
batteries to quantify the carbon footprint shall be calculated in relation to that referenceflow.
In exceptional cases, such as for batteries for hybrid non -plug-in vehicles, themethodology may define a different functional unit.

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4.

System boundary
The following life cycle stages and the processes involved therein shall be included in thesystem boundary:Life cycle stage

Processes involved

Raw material acquisition and pre-processing

Includes mining and other relevant sourcing,
pre-processing and transport of active materials,
up to the manufacturing of battery cells andbattery components (active materials, separator,
electrolyte, casings, active and passive battery
components), and electric or electronic
components.

Main product production

Assembly of battery cells and assembly ofbatteries with the battery cells and the electric orelectronic components

Distribution

Transport to the point of sale

End of life and recycling

Collection, dismantling and recycling

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The following processes involved in the life cycle stages shall be excluded from the systemboundary:–

manufacturing of equipment for the assembly and recycling of batteries, as carbon
footprint impacts have been calculated as negligible in the PEFCRs for high specificenergy rechargeable batteries for mobile applications;–the battery assembly process using the original equipment manufacturer (OEM)system components; this process corresponds for the most part to mechanicalassembly and it is included inside the OEM equipment or vehicle assembly line; theconsumption of energy and material for this specific process is negligible whencompared to the manufacturing process of OEM components.

The use phase shall be excluded from the life cycle carbon footprint calculations, as it is
not under the direct influence of manufacturers except where it is demonstrated thatchoices made by battery manufacturers at the design stage can make a non-negligible
contribution to that impact.

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5.

Use of company-specific and secondary datasets
Due to the high number of battery components and the complexity of manufacturing
processes, the economic operator shall limit, where justified, the use of company specificdata to process and component analysis of 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. Accordingly, no default activity data shall be used. The battery-specific activity data
shall be used in combination with the relevant PEF-compliant secondary datasets.
As the carbon footprint declaration is specific to a battery model produced in a defined
production site, sampling of data collected from different plants producing the same
battery model shall not be allowed.
Where there is a change in the bill of materials or energy mix used to produce a battery
model, the carbon footprint for that battery model shall be recalculated.

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The harmonised rules to be provided for via a delegated act as referred to in Article 7(1)shall include detailed modelling of the following life cycle stages:

6.

–

raw material acquisition and pre-processing,–production,–

distribution,–

own electricity production,–end of life.

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 report entitled‘Suggestions for updating the Product Environmental Footprint (PEF) method’.
The results shall be provided as characterised results without normalisation and weighting.
The list of characterization factors to be used is available at the European Platform on Life
Cycle Assessment (LCA).

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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.

8.

Carbon footprint performance classes
Depending on the distribution of the values in the carbon footprint declarations of batteries
placed on the market, a meaningful number of classes of performance shall be identified,with category A being the best class with the lowest carbon footprint life cycle impact, toenable market differentiation of the battery categories referred to in Article 7(1).
The setting of the threshold for each class of performance, as well as the width of thatclass, shall be based on the distribution of performances of the battery categories referred
to in Article 7(1) placed on the market in the previous three years, the expected
technological improvements, and other technical factors.

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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 shall set maximum life cycle carbon footprint thresholds for the battery
categories referred to in Article 7(1), after having carried out a dedicated impact
assessment to determine the values for the thresholds.
In setting maximum life cycle carbon footprint thresholds referred to in thefirst subparagraph, the Commission shall take into account the relative distribution of the
carbon footprint values for batteries on the market, the extent of progress in reducing thecarbon footprint of batteries placed on the market and the actual and potential contributionof those life cycle carbon footprint thresholds to the Union’s objectives on sustainablemobility and climate neutrality by 2050.

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ANNEX IIIElectrochemical performance and durability parameters for portable batteries of general use
Part A
Parameters for non-rechargeable batteries
1.

Minimum average duration: minimum average time reached by a sample of batteries ondischarge when used under specific conditions, such as temperature and relative humidity.

2.

Delayed discharge performance: the relative decrease of the minimum average duration,with the initially measured minimum average duration as the reference point, after adefined period and under specific conditions, such as temperature and relative humidity.

3.

Resistance to leakage: resistance to unplanned escape of electrolyte, gas or other material.

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1ENPart B
Parameters for rechargeable batteries
1.

Rated capacity: the capacity value of a battery, under specific conditions, such astemperature and relative humidity, and declared by the manufacturer.

2.

Charge (capacity)1 retention: the capacity that a battery can deliver after storage, under
specific conditions, such as temperature and relative humidity, for a specific time, without
a subsequent recharge and expressed as a percentage of the rated capacity.

3.

Charge (capacity) recovery: the capacity that a battery can deliver with a subsequent
recharge after storage, under specific conditions, such as temperature and relative
humidity, for a specific time and expressed as percentage of the rated capacity.

4.

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

5.

Resistance to leakage: resistance to unplanned escape of electrolyte, gas or other material.

1

IEC mentions charge and capacity. Both represent the same physical quantity (charge); theonly difference is that charge is expressed in C = A*s whereas capacity is expressed in A*h.
In practice, capacity is used in most cases.

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2ENANNEX IV
Electrochemical performance and durability requirements for LMT batteries,
industrial batteries with a capacity greater than 2 kWh and electric vehicle batteries
For the purposes of this Annex the following definitions apply:(1)‘Rated capacity’ means the total number of ampere-hours (Ah) that can be withdrawn froma fully charged battery under reference conditions.

(2)‘Capacity fade’ means the decrease over time and upon usage in the amount of charge thata battery can deliver at the rated voltage, with respect to the original rated capacity.

(3)‘Power’ means the amount of energy that a battery is capable of providing over a given
period under reference conditions.

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(4)

‘Power fade’ means the decrease over time and upon usage in the amount of power that abattery can deliver at the rated voltage.

(5)‘Internal resistance’ means the opposition to the flow of current within a cell or a battery
under reference conditions, that is, the sum of electronic resistance and ionic resistance tothe contribution to total effective resistance including inductive/capacitive properties.

(6)‘Energy round trip efficiency’ means the ratio of the net energy delivered by a battery
during a discharge test to the total energy required to restore the initial state of charge by astandard charge.
Part A
Parameters related to 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.

The expected life-time of the battery under the reference conditions for which it has been
designed, in terms of cycles, except for non-cycle applications, and calendar years.

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2ENPart B
Elements to explain the measurements 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.

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3EN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.

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 can damage circuitry or lead to reduced isolation resistance.

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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 lithium plating, which can lead to self-heating of thebattery and thermal runaway. The factors affecting the outcome of the test shall, as aminimum, include, the charging rate and the finally reached state of charge. The protection
can be ensured either by 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 can cause dendrite formation and ultimately short-circuiting.

5.

Over-temperature protection
This test shall evaluate the effect of temperature control failure or failure of other features
for protection against internal overheating during operation.

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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 throughout theentire 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
that are under development for transport applications by ISO and the UN Global TechnicalRegulation.

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.

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8.

Internal short circuit
This test shall evaluate the safety performance of a battery in internal short-circuit
situations. The occurrence of internal short circuits, one of the main concerns for battery
manufacturers, potentially leads to venting, thermal runaway, and sparking which canignite the electrolyte vapours escaping from the cell. The generation of such internal shortcircuits can be triggered by manufacturing imperfections, the presence of impurities in thecells or dendritic growth of lithium, and is the cause of most in-field safety incidents.
Multiple internal short circuit 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 be exposed to elevated temperatures (in IEC 62619 thetemperature is 85 °C) which can trigger exothermal decomposition reactions and lead to athermal runaway in the cell.

10.

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

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11.

Emission of gases
Batteries can contain significant amounts of potentially hazardous materials, for example
highly flammable electrolytes, corrosive and toxic components. If exposed to certain
conditions, the integrity of the battery could be compromised, resulting in the release ofhazardous gases. Therefore, it is important to identify emissions of gases from substances
released from the battery during tests: the risk of toxic gases emitted from non-aqueous
electrolytes shall be properly taken into account for all safety parameters listed inpoints 1 to 10.

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ENANNEX VI
Labelling, marking and information requirements
Part A: General information on batteries
Information on the label of a battery shall comprise the following information regarding the battery:1.

information identifying the manufacturer in accordance with Article 38(7);2.

the battery category and information identifying the battery in accordance with
Article 38(6);3.

the place of manufacture (geographical location of a battery manufacturing plant);4.

the date of manufacture (month and year);5.

the weight;

6.

the capacity;

7.

the chemistry;8.

the hazardous substances present in the battery, other than mercury, cadmium or lead;

9.

usable extinguishing agent;10.

critical raw materials present in the battery in a concentration of more than 0,1 % weightby weight.

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1ENPart B: Symbol for separate collection of batteriesPart C: QR code
The QR code shall be in high contrast to the background colour and of a size that is easily readable
by a commonly available QR reader, such as those integrated in hand-held communication devices.

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2ENANNEX VII
Parameters for determining the state of health and expected lifetime of batteriesPart A
Parameters for determining the state of health of electric vehicle batteries, stationary battery energy
storage systems and LMT batteries:
For electric vehicle batteries:
state of certified energy (SOCE).
For stationary battery energy storage systems and LMT batteries:
1.

the remaining capacity;2.

where possible, the remaining power capability;3.

where possible, the remaining round trip efficiency;

4.

the evolution of self-discharging rates;5.

where possible, the ohmic resistance.

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

the date of manufacture of the battery and, where appropriate, the date of putting into
service;2.

the energy throughput;3.

the capacity throughput;

4.

the tracking of harmful events, such as the number of deep discharge events, time spent in
extreme temperatures, time spent charging in extreme temperatures;

5.

the number of full equivalent charge-discharge cycles.

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2EN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 set out in points 2, 3 and 4, and ensures and declares on
its sole responsibility that the batteries concerned meet the requirements laid down 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 risks.

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The technical documentation shall specify the applicable requirements and cover, as far as
relevant for the assessment, the design, manufacture and operation of the battery. The
technical documentation shall, where applicable, contain at least the following elements:(a)a general description of the battery and its intended use;(b)the conceptual design and manufacturing drawings and schemes of components, subassemblies and circuits;(c)the descriptions and explanations necessary for the understanding of the drawings
and schemes referred to in point (b) and the operation of the battery;(d)a specimen of the label required in accordance with Article 13;(e)a list of the harmonised standards referred to in Article 15, applied in full or in part,
including an indication of which parts have been applied, a list of the common
specifications referred to in Article 16, applied in full or in part, including an
indication of which parts have been applied, and a list of other relevant technicalspecifications used for measurement or calculation purposes;(f)where the harmonised standards and the common specifications referred to in point(e) have not been applied or are not available, a description of the solutions adopted
to meet the applicable requirements laid down in Articles 6, 9, 10, 12, 13 and 14 or toverify the compliance of batteries with those requirements;

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(g)

the results of design calculations made and the examinations carried out, and thetechnical or documentary evidence used; and(h)3.

the test reports.

Manufacturing
The manufacturer shall take all measures necessary so that the manufacturing process andthe monitoring thereof ensure the batteries comply 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 meets theapplicable 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.
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 10 years after the last battery belonging to therespective battery model has been placed on the market. The EU declaration of conformity
shall identify the battery model for which it has been drawn up.

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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.
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 set out in points 2, 4 and 7, and ensuresand declares on its sole responsibility, without prejudice to the obligations of othereconomic operators in accordance with this Regulation, that the batteries concerned meet
the applicable requirements laid down in Articles 7 and 8, or, at the choice of the
manufacturer, all applicable requirements laid down in Articles 6 to 10 and Articles 12, 13
and 14.

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2.

Technical documentation
The manufacturer shall draw up the technical documentation. The technical documentation
shall make it possible to assess the battery’s conformity with the relevant requirements
referred to in point 1, and shall include an adequate analysis and assessment of the risks.
The technical documentation shall specify the applicable requirements and cover, as far as
relevant for the assessment, the design, manufacture and operation of the battery. The
technical documentation shall, where applicable, contain at least the following elements:(a)a general description of the battery and its intended use;(b)the conceptual design and manufacturing drawings and schemes of components, subassemblies and circuits;(c)the descriptions and explanations necessary for the understanding of the drawings
and schemes referred to in point (b) and the operation of the battery;(d)a specimen of the label required in accordance with Article 13;(e)a list of the harmonised standards referred to in Article 15, the common
specifications referred to in Article 16, or of both, applied, and, in the event of partly
applied harmonised standards, common specifications, or both, an indication ofwhich parts have been applied;

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(f)

a list of other relevant technical specifications used for measurement or calculation
purposes and descriptions of the solutions adopted to meet the applicablerequirements laid down in Articles 6 to 10 and Articles 12, 13 and 14 or to verify thecompliance of batteries with those requirements, where harmonised standards,
common specifications, or both, have not been applied or are not available;(g)the results of design calculations made and the examinations carried out, and thetechnical or documentary evidence used;(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 made inaccordance with the methodology set out in the delegated act adopted pursuant to
Article 7(1), fourth subparagraph, point (a), 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 delegated act
adopted pursuant to Article 8(1), second subparagraph, and the evidence andinformation determining the input data for those calculations; and(j)the test reports.

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3.

Availability of technical documentation
The manufacturer shall keep the technical documentation at the disposal of the national
authorities for 10 years after the battery has been placed on the market.

4.

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

5.

Quality system
1.

The manufacturer shall lodge an application for assessment of its quality system with
the notified body of its choice, for the batteries concerned.
The application shall include:(a)the name and address of the manufacturer and, if the application is lodged by
the manufacturer’s authorised representative, its name and address as well;(b)a written declaration that the same application has not been lodged with anyother notified body;(c)

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all relevant information for the battery category envisaged;

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2.

(d)

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

The quality system shall ensure that the batteries comply with the applicablerequirements laid down in Articles 6 to 10 and Articles 12, 13 and 14.
All the elements, requirements and provisions adopted by the manufacturer shall be
documented in a systematic and orderly manner in the form of written policies,
procedures and instructions. The quality system documentation shall make it possible
to have a consistent interpretation of the quality programmes, plans, manuals andrecords.
The quality system documentation 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 to in
Article 8 and, where applicable, the carbon footprint values and class referred
to in Article 7;

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(c)

the corresponding manufacturing, quality control and quality assurance
techniques, processes and systematic actions that will be used;(d)the examinations, calculations, measurements and tests that will be carried out
before, during and after manufacture, and the frequency with which they will
be carried out;(e)the quality records, such as inspection reports and calculation, measurement
and test data, calibration data, qualification reports on the personnel concerned;(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 meets therequirements referred to in point 5.2.
It shall presume conformity with those requirements in respect of the elements of thequality system that comply with the corresponding specifications of the relevant
harmonised standard.
In addition to experience in quality management systems, the auditing team shallhave at least one member with experience of evaluation in the relevant product fieldand product technology concerned, and knowledge of the applicable requirements
laid down in Articles 6 to 10 and Articles 12, 13 and 14.

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The audit shall include an assessment visit to the manufacturer’s premises.
The auditing team shall review the technical documentation referred to in point 2 inorder to verify the manufacturer’s ability to identify the applicable requirements laid
down in Articles 6 to 10 and Articles 12, 13 and 14 and to carry out the necessary
examinations, calculations, measurements and tests with a view to ensuring that thebattery complies with those requirements. The auditing team shall check thereliability of data used for the calculation of the recycled content share referred to in
Article 8 and, where applicable, the carbon footprint values and class referred to in
Article 7 as well as the proper implementation of the relevant calculation
methodology.
After having assessed the quality system, the notified body shall notify its decision to
the manufacturer. The notification shall contain the conclusions of the audit and thereasons for that decision.
4.

The manufacturer shall undertake to fulfil the obligations arising from the quality
system as approved and to maintain it so that it remains adequate and efficient.

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5.

The manufacturer shall keep the notified body that has approved the quality system
informed of any intended change to the quality system.
The notified body shall evaluate any proposed changes and decide whether themodified quality system will continue to meet the requirements referred to inpoint 5.2 or whether reassessment is necessary.
The notified body shall notify the manufacturer of its decision. The notification shallcontain the conclusions of the examination and the reasoned assessment decision.

6.

Surveillance under the responsibility of the notified body
1.

The purpose of surveillance is to make sure that the manufacturer duly fulfils theobligations arising from 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;

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(c)

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

3.

The notified body shall carry out periodic audits to make sure that the manufacturer
maintains and applies the quality system, and shall provide the manufacturer with anaudit report. During such audits, the notified body shall check at least the reliabilityof data used for the calculation of the recycled content share referred to in Article 8
and, where applicable, the carbon footprint values and class referred to in Article 7,
as well as the proper implementation of the relevant calculation methodology.

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.

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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 meets the applicable requirements referred to in point 1, or,where that is not possible or is not warranted due to the nature of the battery, to the
packaging and the documents accompanying the battery.

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.

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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.
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.

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Part CMODULE G – CONFORMITY BASED ON UNIT VERIFICATION
1.

Description of the module
Conformity based on unit verification is the conformity assessment procedure whereby the
manufacturer fulfils the obligations set out in points 2, 3 and 5, and ensures and declares on
its sole responsibility, without prejudice to the obligations of other economic operators inaccordance with this Regulation, that the battery concerned, which has been subject to theprovisions of point 4, is in conformity with the applicable requirements laid down in
Articles 7 and 8, or, at the choice of the manufacturer, all applicable requirements laid
down in Articles 6 to 10 and Articles 12, 13 and 14.

2.

Technical documentation
1.

The manufacturer shall draw up the technical documentation and make it available tothe notified body referred to in point 4. The technical documentation shall make itpossible to assess the battery’s conformity with the relevant requirements referred toin point 1 and shall include an adequate analysis and assessment of the risks.
The technical documentation shall specify the applicable requirements and cover, as
far as relevant for the assessment, the design, manufacture and operation of thebattery.

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The technical documentation shall, where applicable, contain at least the following
elements:(a)a general description of the battery and its intended use;(b)the conceptual design and manufacturing drawings and schemes ofcomponents, sub-assemblies and circuits;(c)the descriptions and explanations necessary for the understanding of thedrawings and schemes referred to in point (b) and the operation of the battery;(d)a specimen of the label required in accordance with Article 13;(e)a list of the harmonised standards referred to in Article 15, the common
specifications referred to in Article 16, or of both, applied, and, in the event of
partly applied harmonised standards, common specifications, or both, 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 conformity ofbatteries with those requirements, where harmonised standards, common
specifications, or both, have not been applied or are not available;

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(g)

the results of design calculations made and the examinations carried out, andthe technical or documentary evidence used;(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 inthe delegated act adopted pursuant to Article 7(1), fourth subparagraph,point (a), 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 inthe delegated act adopted pursuant to Article 8(1), second subparagraph, andthe evidence and information determining the input data for those calculations;
and

(j)
2.

the 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.

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3.

Manufacturing
The manufacturer shall take all measures necessary so that the manufacturing process andthe monitoring thereof ensure that the manufactured battery is in conformity with theapplicable requirements referred to in point 1.

4.

Verification
1.

A notified body chosen by the manufacturer shall carry out appropriate
examinations, calculations, measurements and tests, as set out in the relevant
harmonised standards referred to in Article 15, common specifications referred to in
Article 16, or both, or equivalent tests, to check the conformity of the battery withthe applicable requirements referred to in point 1, or have them carried out. In theabsence of such a harmonised standard or common specification, the notified bodyconcerned 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.

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.

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5.

CE marking and EU declaration of conformity
The manufacturer shall affix the CE marking and, under the responsibility of the notified
body referred to in point 4, the latter’s identification number to each battery that meets theapplicable requirements referred to in point 1, or, where that is not possible or is notwarranted due to the nature of the battery, to the packaging and the documents
accompanying the battery.
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.

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ANNEX IXEU 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 (description of the battery and identification allowing traceability,
and which may, where appropriate, include an image 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 of and conditions for its validity).

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8.

Additional information
Signed for and on behalf of:(place and date of issue):(name, function) (signature)

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2EN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:(i)air, including air pollution such as greenhouse gas emissions,(ii)

water, including seabed and marine environment, and including waterpollution, water use, water quantities (flooding or droughts) and access towater,

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(iii) soil, including soil pollution, soil erosion, land use and land degradation,(iv) biodiversity, including damage to habitats, wildlife, flora and ecosystems,
including ecosystem services,(v)

hazardous substances,(vi) noise and vibration,(vii) plant safety,(viii) energy use,(ix) waste and residues;(b)human rights, labour rights and industrial relations, including:(i)occupational health and safety,(ii)

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

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trade union freedoms;

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(c)
3.

community life, including that of indigenous peoples.

The international instruments covering the risks referred to in point 2 include:(a)the Ten Principles of the United Nations Global Compact;(b)

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

the Convention on Biological Diversity, in particular Decision COP VIII/28 –Voluntary guidelines on Biodiversity-Inclusive impact assessment;(d)the UN Paris Agreement;(e)the eight fundamental ILO Conventions as defined under the ILO Declaration on
Fundamental Principles and Rights at Work;(f)any other international environmental conventions that are binding upon the Union or
its Member States;(g)the ILO Declaration on Fundamental Principles and Rights at Work;(h)

the International Bill of Human Rights, including the International Covenant on Civil
and Political Rights and the International Covenant on Economic, Social andCultural Rights.

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4.

The internationally recognized due diligence instruments applicable to the due diligencerequirements laid down in Chapter VII 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)

the UN Guiding Principles on Business and Human Rights;(c)the OECD Guidelines for Multinational Enterprises;(d)the ILO Tripartite Declaration of Principles concerning Multinational Enterprises andSocial Policy;(e)the OECD Due Diligence Guidance for Responsible Business Conduct;(f)the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from
Conflict-Affected and High-Risk Areas.

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ENANNEX XI
Calculation of collection rates for waste portable batteries and waste LMT batteries
1.

Producers of the relevant category of batteries or, where appointed in accordance with
Article 57(1), producer responsibility organisations, and Member States shall calculate thecollection rate as the percentage obtained by dividing the weight of waste batteries,
collected in accordance with Articles 59, 60 and 69, respectively, in a given calendar year
in a Member State by the average weight of such batteries that producers either makeavailable on the market directly to end-users or deliver to third parties in order to makethem available on the market to end-users in that Member State during the three preceding
calendar years. The collection rate shall be calculated for portable batteries in accordancewith Article 59, and for LMT batteries in accordance with Article 60 respectively.
Year

Data collection

Calculation

Reportingrequirement

Year 1

Sales in year 1(S1)

Year 2

Sales in year 2(S2)

Year 3

Sales in year 3(S3)

Year 4

Sales in year 4(S4)

Collection inyear 4 (C4)Collection rate(CR4)=3*C4/(S1+S2+S3)

CR4

Year 5

Sales in year 5(S5)

Collection inyear 5 (C5)Collection rate(CR5)=3*C5/(S2+S3+S4)

CR5

Etc.

Etc.

Etc.

Etc.

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2.

Producers of the relevant category of batteries or, where appointed in accordance with
Article 57(1), producer responsibility organisations, and Member States shall calculate theannual sales of batteries to end-users in a given year, as the weight of such batteries madeavailable on the market for the first time within the territory of the Member State in theyear concerned, excluding any batteries that have left the territory of that Member State inthat year, before being sold to the end-users. Those sales shall be calculated separately for
portable batteries and for LMT batteries.

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.

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2ENANNEX XII
Storage and treatment, including recycling, requirements
Part A: Storage and 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 they 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:(a)excessive heat, such as high temperatures, fire or direct sunlight;(b)water, such as precipitation and flooding;(c)

any crushing or physical damage.

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Waste lithium-based batteries shall be stored in their normally installed orientation, that is,never inverted, and in well-ventilated areas and they shall be covered with a high voltage
rubber isolation. Storage facilities for waste lithium-based batteries shall be marked with awarning sign.
5.

Mercury shall be separated during treatment into an identifiable stream, which is safely
immobilised and disposed of and cannot cause adverse effects on human health or theenvironment.

6.

Cadmium shall be separated during treatment into an identifiable stream, which is given asafe destination and cannot cause adverse effects on human health or the environment.
Part B: Targets for recycling efficiency

1.

No later than 31 December 2025, recycling shall achieve at least the following targets forrecycling efficiency:(a)recycling of 75 % by average weight of lead-acid batteries;(b)

recycling of 65 % by average weight of lithium-based batteries;(c)

recycling of 80 % by average weight of nickel-cadmium batteries;(d)recycling of 50 % by average weight of other waste batteries.

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2.

No later than 31 December 2030, recycling shall achieve at least the following targets forrecycling efficiency:(a)recycling of 80 % by average weight of lead-acid batteries;(b)

recycling of 70 % by average weight of lithium-based batteries.
Part C: Targets for recovery of materials

1.

No later than 31 December 2027, all recycling shall achieve at least the following targets
for recovery of materials:(a)

90 % for cobalt;(b)

90 % for copper;(c)

90 % for lead;(d)

50 % for lithium;(e)

90 % for nickel.

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2.

No later than 31 December 2031, all recycling shall achieve at least the following targets
for recovery of materials:(a)95 % for cobalt;(b)

95 % for copper;(c)

95 % for lead;(d)

80 % for lithium;(e)

95 % for nickel.

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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)the information specified in Part A of Annex VI;(b)

the material composition of the battery, including its chemistry, hazardous
substances present in the battery, other than mercury, cadmium or lead, and criticalraw materials present in the battery;(c)the carbon footprint information referred to in Article 7(1) and (2);(d)

information on responsible sourcing as indicated in the report on battery due
diligence policy referred to in Article 52(3);(e)

recycled content information as contained in the documentation referred to in
Article 8(1);(f)

the share of renewable content;(g)

rated capacity (in Ah);

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(h)

minimal, nominal and maximum voltage, with temperature ranges when relevant;(i)

original power capability (in Watts) and limits, with temperature range whenrelevant;(j)

expected battery lifetime expressed in cycles, and reference test used;(k)capacity threshold for exhaustion (only for electric vehicle batteries);(l)temperature range the battery can withstand when not in use (reference test);(m) period for which the commercial warranty for the calendar life applies;(n)initial round trip energy efficiency and at 50 % of cycle-life;(o)internal battery cell and pack resistance;(p)c-rate of relevant cycle-life test.

(q)

the marking requirements laid down in Article 13(3) and (4);(r)

the EU declaration of conformity referred to in Article 18;(s)

the information regarding the prevention and management of waste batteries laid
down in Article 74(1), points (a) to (f).

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2.

INFORMATION RELATING TO THE BATTERY MODEL ACCESSIBLE ONLY TOPERSONS WITH A LEGITIMATE INTEREST AND THE COMMISSION
A battery passport shall include the following information relating to the battery model,
which shall be accessible only to persons with a legitimate interest 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,(d)–disassembly sequences,–type and number of fastening techniques to be unlocked,–

tools required for disassembly,–

warnings if risk of damaging parts exist,–

amount of cells used and layout;

safety measures.

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3.

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:–

results of test reports proving compliance with the requirements laid down in thisRegulation or any delegated or implementing act adopted pursuant to thisRegulation.

4.

INFORMATION AND DATA RELATING TO AN INDIVIDUAL BATTERYACCESSIBLE ONLY TO PERSONS WITH A LEGITIMATE INTEREST
A battery passport shall include the following specific information and data relating to anindividual battery, which shall be accessible only to persons with a legitimate interest:(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;(b)

information on the state of health of the battery pursuant to Article 14;

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(c)

information on the status of the battery, defined as ‘original’, ‘repurposed’, ‘re-used’,‘remanufactured’ or ‘waste’;(d)information and data resulting from its use, including the number of charging anddischarging cycles and negative events, such as accidents, as well as periodicallyrecorded information on the operating environmental conditions, including
temperature, and on the state of charge.

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ENANNEX XIV
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 thatit intends to ship or is shipping used batteries and not waste batteries, that holder shall be
required to have available the following to substantiate that claim:(a)a copy of the invoice and contract relating to the sale or transfer of ownership of thebatteries which states that the batteries are destined for direct re-use and that they are
fully functional;(b)evidence of evaluation or testing in the form of a copy of the records, such as thecertificate of testing, proof of functionality for every battery or fraction thereof in theconsignment, and the protocol containing all information on the record in accordancewith point 3;(c)a declaration made by the holder that none of the material or equipment within theconsignment is waste as defined by Article 3, point (1), of Directive 2008/98/EC; and(d)appropriate protection against damage during transportation, loading and unloading,in particular through sufficient packaging and appropriate stacking of the load.

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2.

Point 1(a) and (b) and point 3 shall not apply where it is demonstrated by documentary
proof that the shipment is taking place in the framework of a business-to-business transfer
agreement and that:(a)the used battery is sent back to the producer or a third party acting on its behalf forrepair under warranty with the intention of re-use; or(b)

if the used battery is for professional use, it is sent to the producer or a third party
acting on its behalf or a third-party facility in countries to which OECD Council
Decision C(2001)107/Final on the Control of Transboundary Movements of Wastes
Destined for Recovery Operations applies, for refurbishment or repair under a valid
contract with the intention of re-use; or(c)

if the used battery is for professional use and is defective, it is sent to the producer ora third party acting on its behalf for root cause analysis under a valid contract, incases where such an analysis can only be conducted by the producer or third parties
acting on its behalf.

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3.

In order to demonstrate that the batteries being shipped constitute used batteries, rather
than waste batteries, its holder shall carry out the following steps for testing andrecord-keeping:
Step 1: Testing(a)the battery shall be tested for its state of health and the presence of hazardous
substances shall be evaluated;(b)

the results of the evaluation and testing referred to in point (a) shall be recorded.

Step 2: Record(a)the record shall be fixed securely but not permanently on either the used battery
itself, if the used battery has not been packed, or on the packaging, so it can be read
without removing the packaging;(b)

the record shall contain the following information:–

name of the battery or fraction thereof,–

identification number of the battery or fraction thereof, where applicable,–

year of production, if available,

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4.

–

name and address of the company responsible for testing the state of health,–types of tests performed for step 1,–

result of the tests performed for step 1, including the date of the tests.

In addition to the documentation required in points 1, 2 and 3, every load, for example
shipping container or lorry, of used batteries shall be accompanied by:

5.

(a)

a relevant transport document; and(b)a declaration of responsibility by the person liable.

In the absence of proof that an object is a used battery, and not a waste battery, in the formof the appropriate documentation required in points 1, 2, 3 and 4, and of appropriate
protection against damage during transportation, loading and unloading, in particularthrough sufficient packaging and appropriate stacking of the load, which are theobligations of the holder that arranges the transport, the object shall be considered waste
and it shall be presumed that the load comprises an illegal shipment. In such cases, the load
shall be dealt with in accordance with Articles 24 and 25 of Regulation(EC) No 1013/2006.

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ENANNEX XVCorrelation table
Directive 2006/66/EC

This Regulation

Article 1

Article 1

Article 1, first paragraph, point 1

Article 1(1)Article 1, first paragraph, point 2

Article 1(1)Article 1, second paragraph–Article 2

Article 1(3), (4) and (5)Article 2(1)Article 1(3) and (4)Article 2(2)Article 1(5)Article 2(2), point (a)Article 1(5), point (a)Article 2(2), point (b)Article 1(5), point (a)Article 3

Article 3

Article 3, point 1

Article 3(1), point 1

Article 3, point 2

Article 3(1), point 2

Article 3, point 3

Article 3(1), point 9

Article 3, point 4–

Article 3, point 5

Article 3(1), point 12

Article 3, point 6

Article 3(1), point 13

Article 3, point 7

Article 3(1), point 50

Article 3, point 8

Article 3(2), point (a)Article 3, point 9–

Article 3, point 10

Article 3(1), point 53

Article 3, point 11

Article 3(1), point 26

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Article 3, point 12

Article 3(1), point 47

Article 3, point 13

Article 3(1), point 65

Article 3, point 14

Article 3(1), point 16

Article 3, point 15

Article 3(1), point 22

Article 3, point 16–

Article 3, point 17–

Article 4

Article 6

Article 4(1)Annex I

Article 4(1), point (a)Annex I, entry 1

Article 4(1), point (b)Annex I, entry 2

Article 4(2)–Article 4(3)–Article 4(3), point (a)–Article 4(3), point (b)–Article 4(3), point (c)–Article 4(4)–Article 5–

Article 6

Article 4

Article 6(1)Article 4(1)Article 6(2)–Article 7

Article 2

Article 8

Articles 59 to 62 and 64 to 67

Article 8(1)Article 59

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Article 8(1), first subparagraph, point (b)Article 62

Article 8(1), first subparagraph, point (c)Article 61(1)Article 62(1)Article 8(1), first subparagraph, point (d)Article 59(2), point (a)(ii)
Article 61(1), point (c)Article 8(1), second subparagraphArticle 59(5)Article 8(2)Article 59(1) and Article 59(2)Article 8(2), point (a)Article 59(1) and Article 59(2)Article 8(2), point (b)Article 59(2)Article 8(2), point (c)–Article 8(3)Article 61

Article 8(4)Article 61

Article 9–

Article 10

Articles 59, 60 and 69

Article 10(1)–Article 10(1), second subparagraphArticle 75(4)Article 10(2)Articles 59 and 60

Article 10(2), point (a)–Article 10(2), point (b)Article 59(3) and Article 60(3)Article 10(3)Article 69(2)and Article 76(1), second subparagraphArticle 10(4)–Article 11

Article 11

Article 11, first paragraphArticle 11(1)Article 11, second paragraphArticle 11(3)Article 12

Article 70

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Directive 2006/66/EC

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Article 12(1)Article 70(2)Article 12(1), first subparagraph, point (a)Article 59(1), point (f), Article 60(1), point (f),and Article 61(3), point (c)Article 12(1), first subparagraph, point (b)Article 71(1)Article 12(1), second subparagraph–Article 12(1), third subparagraph–Article 12(2)Article 71(4)Article 12(3)Article 70(3)Article 12(4)Article 71(2) and (3)Article 12(5)Article 75(5), point (c),and Article 76(1), point (d)Article 12(6)Article 71(4)Article 13–

Article 13(1)–Article 13(2)–Article 14

Article 70(1)Article 15

Article 72

Article 15(1)Article 72(1)Article 15(2)Article 72(3)Article 15(3)Article 72(4)Article 16

Article 56

Article 16(1)Article 56(1) and (4)Article 16(1), point (a)Article 56(4), point (a)Article 16(1), point (b)Article 56(4), point (a)Article 16(2)–PE-CONS 2/23
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Directive 2006/66/EC

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Article 16(3)Article 56(1), point (c)Article 16(4)Article 74(5)Article 16(5)–Article 16(6)–Article 17

Article 55

Article 18

Article 57(2), point (c)Article 18(1)–Article 18(2)–Article 18(3)–Article 19

Article 59(1), Article 60(1), Article 61(1),Article 62 and Articles 64 to 67

Article 19(1)Article 59(2), Article 60(2), Article 61(1) and
Articles 62, 65, 66 and 67

Article 19(2)Article 57(2), point (c)Article 20

Article 74

Article 20(1)Article 74(1)Article 20(1), point (a)Article 74(1), point (f)Article 20(1), point (b)Article 74(1), point (b)Article 20(1), point (c)Article 74(1), point (c)Article 20(1), point (d)Article 74(1), point (b)Article 20(1), point (e)Article 74(1), point (e)Article 20(2)Article 74

Article 20(3)Article 74(4)Article 21

Article 20
Article 13, Annex VI, Part A, B and C

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Directive 2006/66/EC

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Article 21(1)Article 13(4)Article 21(2)Article 13(2)Article 21(3)Article 13(5)Article 21(4)Article 13(4)Article 21(5)Article 13(4)Article 21(6)–Article 21(7)–Article 22a–

Article 23

Article 94

Article 23(1)Article 94(1)Article 23(2)Article 94(2)Article 23(2), point (a)–Article 23(2), point (b)Article 94(2), first subparagraph, point (e)Article 23(2), point (c)Article 71(5) and (6)Article 23(3)Article 94(2), second subparagraphArticle 23a

Article 89

Article 23a(1)Article 89(1)Article 23a(2)Article 89(2)Article 23a(3)Article 89(3)Article 23a(4)Article 89(5)Article 23a(5)Article 89(6)Article 24

Article 90

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Article 24(2), second subparagraphArticle 90(3), second subparagraphArticle 25

Article 93

Article 26–

Article 27–

Article 28

Article 95

Article 29

Article 96

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

Article 55

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