# Official Journal L 191/2023

| | ISSN 1977-0677 |
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| Official Journal
  of the European Union | L 191 |
| | |
| English edition | Legislation | Volume 6628 July 2023 |

ISSN 1977-0677

Official Journal

of the European Union

L 191

English edition

Legislation

Volume 6628 July 2023

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| Contents | | I   Legislative acts | page |
| --- | --- | --- | --- |
| | | REGULATIONS |
| | * | Regulation (EU) 2023/1542 of the European Parliament and of the Council of 12 July 2023 concerning batteries and waste batteries, amending Directive 2008/98/EC and Regulation (EU) 2019/1020 and repealing Directive 2006/66/EC  (
  1
  ) | 1 |
| | * | Regulation (EU) 2023/1543 of the European Parliament and of the Council of 12 July 2023 on European Production Orders and European Preservation Orders for electronic evidence in criminal proceedings and for the execution of custodial sentences following criminal proceedings | 118 |
| | | DIRECTIVES |
| | * | Directive (EU) 2023/1544 of the European Parliament and of the Council of 12 July 2023 laying down harmonised rules on the designation of designated establishments and the appointment of legal representatives for the purpose of gathering electronic evidence in criminal proceedings | 181 |

Contents

I   Legislative acts

page

REGULATIONS

*

Regulation (EU) 2023/1542 of the European Parliament and of the Council of 12 July 2023 concerning batteries and waste batteries, amending Directive 2008/98/EC and Regulation (EU) 2019/1020 and repealing Directive 2006/66/EC  (
  1
  )

1

1

*

Regulation (EU) 2023/1543 of the European Parliament and of the Council of 12 July 2023 on European Production Orders and European Preservation Orders for electronic evidence in criminal proceedings and for the execution of custodial sentences following criminal proceedings

118

DIRECTIVES

*

Directive (EU) 2023/1544 of the European Parliament and of the Council of 12 July 2023 laying down harmonised rules on the designation of designated establishments and the appointment of legal representatives for the purpose of gathering electronic evidence in criminal proceedings

181

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| | (1)   Text with EEA relevance |

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(1)   Text with EEA relevance

1

| EN | Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.
  The titles of all other Acts are printed in bold type and preceded by an asterisk. |
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EN

Acts whose titles are printed in light type are those relating to day-to-day management of agricultural matters, and are generally valid for a limited period.

The titles of all other Acts are printed in bold type and preceded by an asterisk.

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I Legislative acts

REGULATIONS

| 28.7.2023 | EN | Official Journal of the European Union | L 191/1 |
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28.7.2023

EN

Official Journal of the European Union

L 191/1

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REGULATION (EU) 2023/1542 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 12 July 2023

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 Committee (1),

After consulting the Committee of the Regions,

Acting in accordance with the ordinary legislative procedure (2),

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 the Union 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 to electromobility 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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(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 the Union 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 to electromobility 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.

| (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 the demand for batteries will grow rapidly in the coming years, notably for electric road transport vehicles and light means of transport using batteries for traction, making the market for batteries an increasingly strategic one at the global level. Significant scientific and technical progress in the field of battery technology will continue. In view of the strategic importance of batteries, to provide legal certainty to all operators involved and to avoid discrimination, barriers to trade and distortions on the market for batteries, it is necessary to set out rules on the sustainability, performance, safety, collection, recycling and second life of batteries as well as on information about batteries for end-users and economic operators. It is necessary to create a harmonised regulatory framework for dealing with the entire life cycle of batteries that are placed on the market in the Union. |
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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 the demand for batteries will grow rapidly in the coming years, notably for electric road transport vehicles and light means of transport using batteries for traction, making the market for batteries an increasingly strategic one at the global level. Significant scientific and technical progress in the field of battery technology will continue. In view of the strategic importance of batteries, to provide legal certainty to all operators involved and to avoid discrimination, barriers to trade and distortions on the market for batteries, it is necessary to set out rules on the sustainability, performance, safety, collection, recycling and second life of batteries as well as on information about batteries for end-users and economic operators. It is necessary to create a harmonised regulatory framework for dealing with the entire life cycle of batteries that are placed on the market in the Union.

| (3) | It is also necessary to update Union law on the management of waste batteries and to take measures to protect the environment and human health by preventing or reducing the adverse impacts of the generation and management of waste, by reducing the impact of resource use and by improving resource efficiency. Such measures are crucial for the transition 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 important economic opportunities, increasing synergies between the circular economy and energy, climate, transport, industry and research policies, and protecting the environment and reducing greenhouse gas emissions. |
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(3)

It is also necessary to update Union law on the management of waste batteries and to take measures to protect the environment and human health by preventing or reducing the adverse impacts of the generation and management of waste, by reducing the impact of resource use and by improving resource efficiency. Such measures are crucial for the transition 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 important economic opportunities, increasing synergies between the circular economy and energy, climate, transport, industry and research policies, and protecting the environment and reducing greenhouse gas emissions.

| (4) | Directive 2006/66/EC of the European Parliament and of the Council (3) has brought about an improvement in the environmental performance of batteries and established some common rules and obligations for economic operators, in particular through harmonised rules for the heavy metal content and labelling of batteries and rules and targets for the management of all waste batteries, based on extended producer responsibility. |
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(4)

Directive 2006/66/EC of the European Parliament and of the Council (3) has brought about an improvement in the environmental performance of batteries and established some common rules and obligations for economic operators, in particular through harmonised rules for the heavy metal content and labelling of batteries and rules and targets for the management of all waste batteries, based on extended producer responsibility.

| (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 the limitations of that Directive, in particular against a fundamentally changed context characterised by the strategic importance of batteries and their increased use. |
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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 the limitations 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 and processing, sustainable battery materials, cell manufacturing as well as re-use and recycling of batteries. |
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(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 and processing, sustainable battery materials, cell manufacturing as well as re-use and recycling of batteries.

| (7) | In the European Green Deal, the Commission confirmed its commitment to implement the Strategic Action Plan on Batteries and stated that it would propose legislation to ensure a safe, circular and sustainable battery value chain for all batteries, including to supply the growing market of electric vehicles. |
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(7)

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

| (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 of technologies that improve the sustainability and circularity of batteries to accompany the transition to electro-mobility. Furthermore, the Council called for an urgent revision of Directive 2006/66/EC, which should include all relevant battery materials and which should consider, in particular, specific requirements for lithium and cobalt as well as a mechanism allowing the adaptation of that Directive to future changes in battery technologies. |
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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 of technologies that improve the sustainability and circularity of batteries to accompany the transition to electro-mobility. Furthermore, the Council called for an urgent revision of Directive 2006/66/EC, which should include all relevant battery materials and which should consider, in particular, specific requirements for lithium and cobalt as well as a mechanism 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 and measures 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 be considered, taking into account the carbon footprint of battery manufacturing, the ethical sourcing of raw materials and the security of supply in order to facilitate re-use, repurposing and recycling of batteries. |
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(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 and measures 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 be considered, taking into account the carbon footprint of battery manufacturing, the ethical sourcing of raw materials and the security of supply in order to facilitate re-use, repurposing and recycling of batteries.

| (10) | Addressing the entire life cycle of all batteries placed on the Union market requires the setting up of harmonised product and marketing requirements, including conformity assessment procedures, as well as requirements to fully address the end-of-life stage of batteries. Requirements concerning the end-of-life stage are necessary to address the environmental implications of the batteries and, in particular, to support the creation of recycling 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 a battery in one legal instrument while avoiding barriers to trade and a distortion of competition and safeguarding the integrity of the internal market, the rules setting out the requirements for batteries should be of uniform application for all 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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(10)

Addressing the entire life cycle of all batteries placed on the Union market requires the setting up of harmonised product and marketing requirements, including conformity assessment procedures, as well as requirements to fully address the end-of-life stage of batteries. Requirements concerning the end-of-life stage are necessary to address the environmental implications of the batteries and, in particular, to support the creation of recycling 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 a battery in one legal instrument while avoiding barriers to trade and a distortion of competition and safeguarding the integrity of the internal market, the rules setting out the requirements for batteries should be of uniform application for all 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.

| (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 a battery 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 the market is considered to take place when the battery has been made available for the first time 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 return for 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 of application of relevant requirements of this Regulation do not need to meet those requirements. |
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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 a battery 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 the market is considered to take place when the battery has been made available for the first time 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 return for 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 of application of relevant requirements of this Regulation do not need to meet those requirements.

| (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 of all operators involved in the life cycle of batteries, such as producers, distributors and end-users and, in particular, those operators directly involved in the treatment and recycling of waste batteries. Such measures will help to ensure the transition to a circular economy and the 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 the environment and it should aim to reduce the use of resources and favour the practical application of the waste hierarchy. Thus, to prevent divergences hampering the free circulation 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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(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 of all operators involved in the life cycle of batteries, such as producers, distributors and end-users and, in particular, those operators directly involved in the treatment and recycling of waste batteries. Such measures will help to ensure the transition to a circular economy and the 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 the environment and it should aim to reduce the use of resources and favour the practical application of the waste hierarchy. Thus, to prevent divergences hampering the free circulation 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.

| (13) | Products placed on the market as battery packs, which are batteries or groups of cells that are 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 and which conform to the definition of batteries, or battery cells that conform to the definition of batteries, should be subject to requirements applicable to batteries. |
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(13)

Products placed on the market as battery packs, which are batteries or groups of cells that are 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 and which conform to the definition of batteries, or battery cells that conform to the definition of 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 by using a ‘Do It Yourself’ kit, should be considered to be batteries for the purposes of this Regulation. The economic operator placing such kits on the market should be subject to this Regulation. |
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(14)

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

| (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 their battery 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 be further developed to better reflect new developments in the use of batteries. Batteries that are used for traction in electric vehicles and which, under Directive 2006/66/EC, fall under the category of industrial batteries, constitute a large and growing part of the market due to the 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 of electric 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 their growing use in urban sustainable mobility. It is therefore appropriate to classify those batteries 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. The industrial battery category encompasses a broad group of batteries, intended to be used for industrial activities, communication infrastructure, agricultural activities, or generation and distribution of electric energy. Batteries which are given industrial uses after being subject to preparation for repurposing or repurposing, even though they were initially designed for a different use, should be considered to be industrial batteries under this Regulation. 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 or domestic environments, should be considered to be industrial batteries for the purposes of this 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 Council (4), should, for the purposes of this Regulation, not be considered to be LMT batteries, but to be portable batteries. |
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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 their battery 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 be further developed to better reflect new developments in the use of batteries. Batteries that are used for traction in electric vehicles and which, under Directive 2006/66/EC, fall under the category of industrial batteries, constitute a large and growing part of the market due to the 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 of electric 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 their growing use in urban sustainable mobility. It is therefore appropriate to classify those batteries 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. The industrial battery category encompasses a broad group of batteries, intended to be used for industrial activities, communication infrastructure, agricultural activities, or generation and distribution of electric energy. Batteries which are given industrial uses after being subject to preparation for repurposing or repurposing, even though they were initially designed for a different use, should be considered to be industrial batteries under this Regulation. 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 or domestic environments, should be considered to be industrial batteries for the purposes of this 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 Council (4), should, for the purposes of this Regulation, not be considered to be LMT batteries, but to be portable batteries.

| (16) | After being placed on the market or put into service within the Union for the first time, a battery 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 the Union 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 first made 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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(16)

After being placed on the market or put into service within the Union for the first time, a battery 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 the Union 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 first made 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.

| (17) | Remanufacturing covers a wide range of technical operations that can be carried out on batteries or on waste batteries. As regards waste batteries, remanufacturing can be considered 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 of waste 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 the objective 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 the cells and modules of the battery and the replacement of a certain amount of these cells and modules. In order to differentiate remanufacturing from mere re-use, the restoration of the battery 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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(17)

Remanufacturing covers a wide range of technical operations that can be carried out on batteries or on waste batteries. As regards waste batteries, remanufacturing can be considered 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 of waste 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 the objective 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 the cells and modules of the battery and the replacement of a certain amount of these cells and modules. In order to differentiate remanufacturing from mere re-use, the restoration of the battery 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.

| (18) | Where the end-user is a consumer, and the battery has been subject to preparation for re-use, preparation for repurposing, repurposing or remanufacturing, that battery should be covered by a sales contract that complies with Directive (EU) 2019/771 of the European Parliament and of the Council (5). In particular, the requirements of that Directive cover conformity 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. |
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(18)

Where the end-user is a consumer, and the battery has been subject to preparation for re-use, preparation for repurposing, repurposing or remanufacturing, that battery should be covered by a sales contract that complies with Directive (EU) 2019/771 of the European Parliament and of the Council (5). In particular, the requirements of that Directive cover conformity 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. |
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(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.

| (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 and of the Council (6) 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 the requirements upon which the existing EU type-approval has been based. |
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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 and of the Council (6) 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 the requirements upon which the existing EU type-approval has been based.

| (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 and Soil” ’, Union policies should be based on the principle that preventive action should be taken 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 the European Parliament and of the Council (7) and Regulation (EC) No 1272/2008 of the European Parliament and of the Council (8) 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 of hazardous substances in batteries should therefore primarily be restricted at source in order to 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. |
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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 and Soil” ’, Union policies should be based on the principle that preventive action should be taken 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 the European Parliament and of the Council (7) and Regulation (EC) No 1272/2008 of the European Parliament and of the Council (8) 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 of hazardous substances in batteries should therefore primarily be restricted at source in order to 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.

| (22) | In addition to the restrictions set out in Annex XVII to Regulation (EC) No 1907/2006, it is appropriate 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 Council (9) 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 carry out 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 those which 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 published on the website of the European Chemicals Agency set up under Regulation (EC) No 1907/2006 (‘the Agency’). |
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(22)

In addition to the restrictions set out in Annex XVII to Regulation (EC) No 1907/2006, it is appropriate 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 Council (9) 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 carry out 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 those which 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 published on 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 the environment when used in batteries or present in waste batteries, can be duly addressed, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission in respect of amending restrictions on substances in batteries. |
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(23)

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

| (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 management of 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 socioeconomic elements and the analysis of alternatives, in accordance with relevant guidance by the Agency. Consequently, the Committees for Risk Assessment and Socioeconomic Analysis of the Agency should facilitate the carrying out of certain tasks conferred on the Agency by this Regulation. |
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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 management of 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 socioeconomic elements and the analysis of alternatives, in accordance with relevant guidance by the Agency. Consequently, the Committees for Risk Assessment and Socioeconomic Analysis of the Agency should facilitate the carrying out of certain tasks conferred on the Agency by this Regulation.

| (25) | In order to ensure that this Regulation is coherent with any future amendment of Regulation (EC) No 1907/2006 or of other future Union law concerning sustainability criteria for hazardous substances and chemicals, the Commission should assess whether an amendment 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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(25)

In order to ensure that this Regulation is coherent with any future amendment of Regulation (EC) No 1907/2006 or of other future Union law concerning sustainability criteria for hazardous substances and chemicals, the Commission should assess whether an amendment 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.

| (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 of an export ban on batteries that are not compliant with those restrictions. |
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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 of an 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 Product Environmental Footprint Category Rules for High Specific Energy Rechargeable Batteries for Mobile Applications, climate change is the second highest related impact category for batteries 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 rechargeable industrial 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. Information and clear labelling requirements on the carbon footprint of batteries is not expected in itself to lead to the behavioural change necessary to ensure that the Union’s objective to decarbonise the mobility and energy storage sectors is achieved, 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, the Commission 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 or green public procurement criteria, fostering the production of batteries with lower environmental impacts. |
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(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 Product Environmental Footprint Category Rules for High Specific Energy Rechargeable Batteries for Mobile Applications, climate change is the second highest related impact category for batteries 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 rechargeable industrial 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. Information and clear labelling requirements on the carbon footprint of batteries is not expected in itself to lead to the behavioural change necessary to ensure that the Union’s objective to decarbonise the mobility and energy storage sectors is achieved, 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, the Commission 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 or green public procurement criteria, fostering the production of batteries with lower environmental impacts.

| (28) | The maximum life cycle carbon footprint thresholds should be future-proof. Therefore, when adopting a delegated act determining the maximum life cycle carbon footprint threshold, the Commission should take into account the best available manufacturing and production processes and ensure that the technical criteria it selects are consistent with the objective 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 and the environment. |
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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 footprint threshold, the Commission should take into account the best available manufacturing and production processes and ensure that the technical criteria it selects are consistent with the objective 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 and the 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 the Commission of 5 May 2021 on ‘Updating the 2020 New Industrial Strategy: Building a stronger 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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(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 the Commission of 5 May 2021 on ‘Updating the 2020 New Industrial Strategy: Building a stronger 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.

| (30) | The increased use of recovered raw materials would support the development of the circular 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 the recovery of such materials from waste, by establishing a requirement for the level of recycled 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 waste from which such materials can be recovered, the technical feasibility of the recovery and manufacture processes involved, as well as the time needed by the economic operators to adapt their supply and manufacturing processes. Therefore, before such mandatory targets become applicable, the requirement related to recycled content should be limited to disclosure of information on recycled content. Battery manufacturing waste is likely to be the main source of secondary raw materials for battery manufacturing due to the increase in 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 the necessary recycling infrastructure. However, by-products of battery manufacturing that are re-used in the production process, such as manufacturing scrap, do not constitute waste and should therefore not be counted as part of the recycled content targets. |
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(30)

The increased use of recovered raw materials would support the development of the circular 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 the recovery of such materials from waste, by establishing a requirement for the level of recycled 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 waste from which such materials can be recovered, the technical feasibility of the recovery and manufacture processes involved, as well as the time needed by the economic operators to adapt their supply and manufacturing processes. Therefore, before such mandatory targets become applicable, the requirement related to recycled content should be limited to disclosure of information on recycled content. Battery manufacturing waste is likely to be the main source of secondary raw materials for battery manufacturing due to the increase in 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 the necessary recycling infrastructure. However, by-products of battery manufacturing that are re-used in the production process, such as manufacturing scrap, do not constitute waste and should therefore not be counted as part of the recycled content targets.

| (31) | In order to take into account the risk of short supply of cobalt, lead, lithium and nickel and to 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 the targets for the minimum share of recycled cobalt, lead, lithium or nickel present in active materials in batteries. |
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(31)

In order to take into account the risk of short supply of cobalt, lead, lithium and nickel and to 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 the targets 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 of materials 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 recycled content present in active materials in batteries. |
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(32)

In order to take into account changes in battery technologies, which impact the types of materials 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 recycled content present in active materials in batteries.

| (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 be delegated to the Commission to supplement this Regulation by establishing the methodology 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 is present in the battery and that has been recovered from waste and the format for the technical documentation on those percentage shares, for each battery model per year and per manufacturing plant. The reutilisation of materials, such as rework, regrind or scrap generated in the battery manufacturing process, which can be reclaimed within the same process that generated the material, should be excluded from that methodology. |
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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 be delegated to the Commission to supplement this Regulation by establishing the methodology 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 is present in the battery and that has been recovered from waste and the format for the technical documentation on those percentage shares, for each battery model per year and per manufacturing plant. The reutilisation of materials, such as rework, regrind or scrap generated in the battery manufacturing process, which can be reclaimed within the same process that generated the material, should be excluded from that methodology.

| (34) | Batteries placed on the Union market should be durable and of high performance. It is therefore necessary to set out performance and durability parameters for portable batteries of general use as well as for rechargeable industrial batteries, LMT batteries and electric vehicle batteries. For electric vehicle batteries, the informal UNECE Working Group on Electric Vehicles and the Environment has developed in-vehicle durability requirements that 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 for such 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 of batteries for energy storage, existing measurement methods to test battery performance and durability are not considered to be sufficiently precise and representative to enable introducing minimum requirements. The introduction of minimum requirements related to performance and durability of these batteries should be accompanied by available adequate harmonised standards or common specifications. |
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(34)

Batteries placed on the Union market should be durable and of high performance. It is therefore necessary to set out performance and durability parameters for portable batteries of general use as well as for rechargeable industrial batteries, LMT batteries and electric vehicle batteries. For electric vehicle batteries, the informal UNECE Working Group on Electric Vehicles and the Environment has developed in-vehicle durability requirements that 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 for such 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 of batteries for energy storage, existing measurement methods to test battery performance and durability are not considered to be sufficiently precise and representative to enable introducing minimum requirements. The introduction of minimum requirements related to performance 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 of amending the performance and durability parameters for portable batteries of general use and for rechargeable industrial batteries and establishing minimum values for those parameters. 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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(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 of amending the performance and durability parameters for portable batteries of general use and for rechargeable industrial batteries and establishing minimum values for those parameters. Those delegated acts should also establish how those minimum values are to apply to batteries that have been subject to remanufacturing.

| (36) | In order to ensure that the Union’s rules on electrochemical performance and durability for electric vehicle batteries are consistent with the technical specifications of the informal UNECE Working Group on Electric Vehicles and the Environment and in view of technical 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 and durability parameters for electric vehicle batteries. For the minimum values of those parameters for electric vehicle batteries that are incorporated in motor vehicles, it is appropriate 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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(36)

In order to ensure that the Union’s rules on electrochemical performance and durability for electric vehicle batteries are consistent with the technical specifications of the informal UNECE Working Group on Electric Vehicles and the Environment and in view of technical 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 and durability parameters for electric vehicle batteries. For the minimum values of those parameters for electric vehicle batteries that are incorporated in motor vehicles, it is appropriate 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.

| (37) | Some non-rechargeable batteries of general use can be inefficient in terms of use of resources and energy. Objective requirements regarding the performance and durability of such batteries should be established in order to ensure that fewer low performing non-rechargeable 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 and tablets and to update Commission Regulation (EU) No 617/2013 (10) on computers and computer 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 Parliament and of the Council (11), or in other Union legal act. |
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(37)

Some non-rechargeable batteries of general use can be inefficient in terms of use of resources and energy. Objective requirements regarding the performance and durability of such batteries should be established in order to ensure that fewer low performing non-rechargeable 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 and tablets and to update Commission Regulation (EU) No 617/2013 (10) on computers and computer 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 Parliament and of the Council (11), or in other Union legal act.

| (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 such appliances are necessary. Consumer safety should be ensured, in line with Union law and in 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 commercially available 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 end-users without the need for them to provide evidence of any proprietary rights and that can be used with no restriction, except health and safety-related restrictions. The general provisions of this Regulation should apply without prejudice to the safety and maintenance requirements for professional medical imaging and radiotherapy devices as defined in Regulation (EU) 2017/745 of the European Parliament and of the Council (12) and for in vitro diagnostic medical devices as defined in Regulation (EU) 2017/746 of the European Parliament and of the Council (13), 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. |
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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 such appliances are necessary. Consumer safety should be ensured, in line with Union law and in 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 commercially available 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 end-users without the need for them to provide evidence of any proprietary rights and that can be used with no restriction, except health and safety-related restrictions. The general provisions of this Regulation should apply without prejudice to the safety and maintenance requirements for professional medical imaging and radiotherapy devices as defined in Regulation (EU) 2017/745 of the European Parliament and of the Council (12) and for in vitro diagnostic medical devices as defined in Regulation (EU) 2017/746 of the European Parliament and of the Council (13), 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.

| (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 portable batteries concerning appliances that incorporate portable batteries and that are specifically designed to be used, for the majority of the active service of the appliance, in an environment that is regularly subject to splashing water, water streams or water immersion and that are intended to be washable or rinseable. This derogation should only apply when it is not possible, by way of redesign of the appliance, to ensure the safety of the end-user and the safe continued use of the appliance after the end-user has correctly followed the instructions to remove and replace the battery. Where the derogation applies, the product should 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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(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 portable batteries concerning appliances that incorporate portable batteries and that are specifically designed to be used, for the majority of the active service of the appliance, in an environment that is regularly subject to splashing water, water streams or water immersion and that are intended to be washable or rinseable. This derogation should only apply when it is not possible, by way of redesign of the appliance, to ensure the safety of the end-user and the safe continued use of the appliance after the end-user has correctly followed the instructions to remove and replace the battery. Where the derogation applies, the product should be designed in such a way as to make the battery removable and replaceable only by independent professionals, and not by end-users.

| (40) | For repaired electric vehicle batteries and SLI batteries, the safety requirements of Regulation (EU) 2019/2144 of the European Parliament and of the Council (14) 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 be assessed based on non-destructive tests adapted to them. For repaired LMT batteries, the Commission will prepare rules on the safety of micromobility devices, building on experience at national and local levels of safety requirements, as announced in the communication 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 by them, the requirements of Directive 2001/95/EC of the European Parliament and of the Council (15) apply. |
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(40)

For repaired electric vehicle batteries and SLI batteries, the safety requirements of Regulation (EU) 2019/2144 of the European Parliament and of the Council (14) 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 be assessed based on non-destructive tests adapted to them. For repaired LMT batteries, the Commission will prepare rules on the safety of micromobility devices, building on experience at national and local levels of safety requirements, as announced in the communication 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 by them, the requirements of Directive 2001/95/EC of the European Parliament and of the Council (15) apply.

| (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 be possible therefore to recharge LMT batteries and rechargeable batteries that are incorporated into specific categories of electrical and electronic equipment, by making use of 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 Council (16). |
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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 be possible therefore to recharge LMT batteries and rechargeable batteries that are incorporated into specific categories of electrical and electronic equipment, by making use of 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 Council (16).

| (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 and disassembled, 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 that facilitate the maintenance, repair and repurposing of batteries and battery packs. |
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(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 and disassembled, 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 that facilitate the maintenance, repair and repurposing of batteries and battery packs.

| (43) | Reliable batteries are fundamental for the operation and safety of many products, appliances and services. Therefore, batteries should be designed and manufactured to ensure they pose no risk to human health or the safety of persons, to property or the environment. 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 applicable standards of the European standardisation organisations. |
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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 to ensure they pose no risk to human health or the safety of persons, to property or the environment. 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 applicable standards of the European standardisation organisations.

| (44) | Batteries should be labelled in order to provide end-users with transparent, reliable and clear information about batteries and waste batteries. That information would enable end-users to make informed decisions when buying and discarding batteries and waste operators to appropriately treat waste batteries. Batteries should be labelled with all the necessary information concerning their main characteristics, including their capacity and the 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 product passport. Labels and QR codes should be accessible to persons with disabilities, in accordance with Directive (EU) 2019/882 of the European Parliament and of the Council (17). |
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(44)

Batteries should be labelled in order to provide end-users with transparent, reliable and clear information about batteries and waste batteries. That information would enable end-users to make informed decisions when buying and discarding batteries and waste operators to appropriately treat waste batteries. Batteries should be labelled with all the necessary information concerning their main characteristics, including their capacity and the 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 product passport. Labels and QR codes should be accessible to persons with disabilities, in accordance with Directive (EU) 2019/882 of the European Parliament and of the Council (17).

| (45) | The inclusion on the battery label of information about the performance of batteries is essential to ensure that end-users, especially consumers, before making their purchase are appropriately informed and in particular that they have a common basis to compare different batteries. Therefore, non-rechargeable portable batteries should be marked with a label 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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(45)

The inclusion on the battery label of information about the performance of batteries is essential to ensure that end-users, especially consumers, before making their purchase are appropriately informed and in particular that they have a common basis to compare different batteries. Therefore, non-rechargeable portable batteries should be marked with a label 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.

| (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 other third 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 the European Parliament and of the Council (18), 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 that originate from the work of the informal UNECE Working Group on Electric Vehicles and the Environment on data access in electric vehicles should be considered to be a benchmark 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 is the 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-to-building charging. |
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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 other third 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 the European Parliament and of the Council (18), 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 that originate from the work of the informal UNECE Working Group on Electric Vehicles and the Environment on data access in electric vehicles should be considered to be a benchmark 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 is the 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-to-building charging.

| (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-of-the-art measurements, standards and calculation methodologies. In order to ensure that there are no barriers to trade on the internal market, standards should be harmonised at Union level. Such methods and standards should, to the extent possible, take into account the real-life usage of batteries, reflect the average range of consumer behaviour and be robust in order to deter intentional and unintentional circumvention. Once a reference to such a standard has been published in the Official Journal of the European Union in accordance with Regulation (EU) No 1025/2012 of the European Parliament and of the Council (19), batteries that meet that standard should be presumed to be in conformity with those product-specific requirements under this Regulation, provided that the minimum values established for those product-specific requirements are attained. 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 the art 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-specific requirements, 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 through implementing acts. The compliance with such specifications should also give rise to the presumption of conformity. In cases where the common specifications are, at a later stage, found to have shortcomings, the Commission should by implementing act amend or repeal the common specifications 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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(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-of-the-art measurements, standards and calculation methodologies. In order to ensure that there are no barriers to trade on the internal market, standards should be harmonised at Union level. Such methods and standards should, to the extent possible, take into account the real-life usage of batteries, reflect the average range of consumer behaviour and be robust in order to deter intentional and unintentional circumvention. Once a reference to such a standard has been published in the Official Journal of the European Union in accordance with Regulation (EU) No 1025/2012 of the European Parliament and of the Council (19), batteries that meet that standard should be presumed to be in conformity with those product-specific requirements under this Regulation, provided that the minimum values established for those product-specific requirements are attained. 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 the art 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-specific requirements, 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 through implementing acts. The compliance with such specifications should also give rise to the presumption of conformity. In cases where the common specifications are, at a later stage, found to have shortcomings, the Commission should by implementing act amend or repeal the common specifications 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.

| (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, to reduce the Union’s dependencies and to protect the interests, policy objectives and values of the Union. Therefore, the Commission and the Member States should monitor and coordinate the European approach to international standardisation. Harmonised standards that complement the implementation of this Regulation should take into account existing international standards, in particular at IEC and ISO level. |
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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, to reduce the Union’s dependencies and to protect the interests, policy objectives and values of the Union. Therefore, the Commission and the Member States should monitor and coordinate the European approach to international standardisation. 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. |
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(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 new technologies 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 with all Union acts applicable to batteries in the form of a single EU declaration of conformity. |
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(50)

To ensure effective access to information for market surveillance purposes, to adapt to new technologies 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 with all Union acts applicable to batteries in the form of a single EU declaration of conformity.

| (51) | Regulation (EC) No 765/2008 of the European Parliament and of the Council (20) lays down rules on the accreditation of conformity assessment bodies, provides a framework for the market 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 to batteries covered by this Regulation in order to ensure that products benefiting from the free movement of goods within the Union fulfil requirements providing a high level of protection of public interests such as human health, safety of persons and the environment. |
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(51)

Regulation (EC) No 765/2008 of the European Parliament and of the Council (20) lays down rules on the accreditation of conformity assessment bodies, provides a framework for the market 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 to batteries covered by this Regulation in order to ensure that products benefiting from the free movement of goods within the Union fulfil requirements providing a high level of protection 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 to verify that batteries made available on the market comply with this Regulation, it is necessary to provide for conformity assessment procedures. Decision No 768/2008/EC of the European Parliament and of the Council (21) establishes modules for conformity assessment procedures, ranging from the least to the most stringent depending on the level of 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 be chosen from among those modules. Robust conformity assessment procedures are needed to ensure that batteries comply with the novel and complex carbon footprint and recycled content requirements and due diligence obligations laid down in this Regulation. |
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(52)

In order to enable economic operators to demonstrate and the competent authorities to verify that batteries made available on the market comply with this Regulation, it is necessary to provide for conformity assessment procedures. Decision No 768/2008/EC of the European Parliament and of the Council (21) establishes modules for conformity assessment procedures, ranging from the least to the most stringent depending on the level of 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 be chosen from among those modules. Robust conformity assessment procedures are needed to ensure that batteries comply with the novel and complex carbon footprint and recycled content requirements and due diligence obligations laid down in this Regulation.

| (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 which is safe from the point of view of protecting human health and the environment, specific rules governing the affixing of the CE marking for batteries should be laid down. |
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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 which is safe from the point of view of protecting human health and the environment, specific rules 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 of conformity assessment bodies. In order to ensure a uniform implementation of the provisions in this Regulation, those bodies should be notified by the Member State authorities to the Commission. |
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(54)

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

| (55) | Due to the novelty and complexity of the sustainability, performance, safety, labelling and information 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, notification and monitoring of conformity assessment bodies that have been notified to the Commission, 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 a sufficient number of technically competent members of staff to perform its tasks. Furthermore, notifying authorities should be required to safeguard the confidentiality of the information 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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(55)

Due to the novelty and complexity of the sustainability, performance, safety, labelling and information 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, notification and monitoring of conformity assessment bodies that have been notified to the Commission, 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 a sufficient number of technically competent members of staff to perform its tasks. Furthermore, notifying authorities should be required to safeguard the confidentiality of the information 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.

| (56) | It is essential that all notified bodies perform their functions to the same level and under conditions 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 a prerequisite 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 body should be required to provide documentary proof of its independence and provide that documentation to the notifying authority. The notified bodies should ensure rotation of the personnel carrying out different conformity assessment tasks. |
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(56)

It is essential that all notified bodies perform their functions to the same level and under conditions 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 a prerequisite 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 body should be required to provide documentary proof of its independence and provide that documentation to the notifying authority. The notified bodies should ensure rotation of the personnel carrying out different conformity assessment tasks.

| (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 the corresponding requirements laid down in this Regulation. |
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(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 the corresponding requirements laid down in this Regulation.

| (58) | Conformity assessment bodies frequently subcontract parts of their activities linked to the assessment of conformity or have recourse to a subsidiary. Certain activities and decision-making processes, both regarding the conformity assessment of batteries and other activities 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, in order to safeguard the level of protection required for batteries to be placed on the Union market, conformity assessment subcontractors and subsidiaries should fulfil the same requirements as notified bodies in relation to the performance of conformity assessment tasks under this Regulation. |
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(58)

Conformity assessment bodies frequently subcontract parts of their activities linked to the assessment of conformity or have recourse to a subsidiary. Certain activities and decision-making processes, both regarding the conformity assessment of batteries and other activities 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, in order to safeguard the level of protection required for batteries to be placed on the Union market, conformity assessment subcontractors and subsidiaries should fulfil the same requirements as notified bodies in relation to the performance of conformity assessment tasks under 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 other Member 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 Council (22). In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission in order to request the notifying authority to take corrective action in case a notified body does not meet or no longer meets the requirements of this Regulation. |
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(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 other Member 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 Council (22). In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission in order to request the notifying authority to take corrective action in case a notified body does not meet or no longer meets the requirements of this Regulation.

| (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 of the sustainability, safety, labelling and information requirements for batteries provided for in 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. |
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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 of the sustainability, safety, labelling and information requirements for batteries provided for in 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 to submit complementary documentation on the battery once. |
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(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 to submit complementary documentation on the battery once.

| (62) | The Commission should enable appropriate coordination and cooperation between notified bodies. |
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(62)

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

| (63) | It is appropriate to lay down the obligations on the economic operators related to the placing on the market or putting into service of batteries. For the purposes of this Regulation 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. |
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(63)

It is appropriate to lay down the obligations on the economic operators related to the placing on the market or putting into service of batteries. For the purposes of this Regulation 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 are placed on the market before being put into service. This concerns for example batteries that the manufacturer uses for its own purposes, or batteries that, because of their characteristics, 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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(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 are placed on the market before being put into service. This concerns for example batteries that the manufacturer uses for its own purposes, or batteries that, because of their characteristics, 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.

| (65) | Economic operators should be responsible for the compliance of batteries with the requirements of this Regulation, in relation to their respective roles in the supply chain, to ensure a high level of protection of public interests such as human health, safety of persons, the protection of property and the environment. |
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(65)

Economic operators should be responsible for the compliance of batteries with the requirements of this Regulation, in relation to their respective roles in the supply chain, to ensure 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 in conformity 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. |
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(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 in conformity 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 best placed to carry out the conformity assessment procedure. Conformity assessment should therefore remain the obligation of the manufacturer alone. |
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(67)

The manufacturer, having detailed knowledge of the design and production process, is best placed 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 and waste management, including possible repurposing. |
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(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 and waste management, including possible repurposing.

| (69) | In order to facilitate communication between economic operators, market surveillance authorities 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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(69)

In order to facilitate communication between economic operators, market surveillance authorities and end-users, economic operators should, as part of their contact details, indicate a postal and, if available, email and website address.

| (70) | The single market should ensure equal conditions of competition for all economic operators and protection against unfair competition. To that end, strengthened enforcement of Union harmonisation legislation on batteries is necessary. Good cooperation between economic operators and the market surveillance authorities is a key element of such strengthened enforcement, allowing immediate intervention and corrective action. It is important that there be an economic operator established in the Union so that there is someone 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. |
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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 enforcement of Union harmonisation legislation on batteries is necessary. Good cooperation between economic operators and the market surveillance authorities is a key element of such strengthened enforcement, allowing immediate intervention and corrective action. It is important that there be an economic operator established in the Union so that there is someone 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 make sure that the batteries they place on the market and put into service comply with the requirements of this Regulation and that the CE marking on batteries and documentation drawn up by manufacturers are available 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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(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 make sure that the batteries they place on the market and put into service comply with the requirements of this Regulation and that the CE marking on batteries and documentation drawn up by manufacturers are available 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.

| (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 mark as well as the postal and, if available, email and website address. Exceptions should be provided for cases where the size of the battery is too small for that information to be affixed to it or where the importer would have to open the packaging in order to affix the importer’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 a document accompanying the battery or in another immediately accessible way. Where packaging exists, the importer should indicate the information on that packaging. |
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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 mark as well as the postal and, if available, email and website address. Exceptions should be provided for cases where the size of the battery is too small for that information to be affixed to it or where the importer would have to open the packaging in order to affix the importer’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 a document 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 the market 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. |
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(73)

Where a distributor makes a battery available on the market after it has been placed on the market 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 way that 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 this Regulation. |
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(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 way that 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 this Regulation.

| (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, and should be ready to participate actively, providing those authorities with all necessary information relating to the battery concerned. |
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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, and should 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 to keep information on their transactions involving batteries for a certain period, including in electronic form. |
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(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 to keep information on their transactions involving batteries for a certain period, including in electronic form.

| (77) | The extraction, processing and trading of natural mineral resources is fundamental in providing the necessary raw materials for the production of batteries. Battery manufacturers, regardless of their position or leverage over suppliers and of their geographical 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 in battery 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 natural graphite production and 6 % of global nickel production goes into battery manufacturing. |
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(77)

The extraction, processing and trading of natural mineral resources is fundamental in providing the necessary raw materials for the production of batteries. Battery manufacturers, regardless of their position or leverage over suppliers and of their geographical 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 in battery 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 natural graphite production and 6 % of global nickel production goes into battery manufacturing.

| (78) | Only a few countries supply the raw materials used in battery manufacture and, in some cases, low standards of governance in those countries can exacerbate environmental and social 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 for natural graphite are less severe, the mining of natural graphite can have serious health and environmental 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 that lithium 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 such environmental and social risks. |
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(78)

Only a few countries supply the raw materials used in battery manufacture and, in some cases, low standards of governance in those countries can exacerbate environmental and social 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 for natural graphite are less severe, the mining of natural graphite can have serious health and environmental 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 that lithium 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 such environmental and social risks.

| (79) | Some of the raw materials used in battery manufacturing, such as cobalt, lithium and natural 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 their sustainable sourcing is required for the Union battery ecosystem to perform adequately. |
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(79)

Some of the raw materials used in battery manufacturing, such as cobalt, lithium and natural 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 their sustainable sourcing is required for the Union battery ecosystem to perform adequately.

| (80) | A number of voluntary efforts from actors in the battery supply chain are already in place in order to encourage adherence to sustainable sourcing practices, including the Initiative for 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. |
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(80)

A number of voluntary efforts from actors in the battery supply chain are already in place in order to encourage adherence to sustainable sourcing practices, including the Initiative for 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 and metals were introduced by Regulation (EU) 2017/821 of the European Parliament and of the Council (23). That Regulation does not, however, address the minerals and materials used for battery production. |
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(81)

In the Union, general requirements on due diligence in relation to certain minerals and metals were introduced by Regulation (EU) 2017/821 of the European Parliament and of the Council (23). 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 order to address the social and environmental risks inherent in the extraction, processing and trading of certain raw materials and secondary raw materials used for the purposes of battery 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. |
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(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 order to address the social and environmental risks inherent in the extraction, processing and trading of certain raw materials and secondary raw materials used for the purposes of battery 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.

| (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, the International Labour Organisation (ILO) Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy, the Organisation for Economic Cooperation 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 the extraction, processing and trading of natural mineral resources used for battery production, the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk 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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(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, the International Labour Organisation (ILO) Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy, the Organisation for Economic Cooperation 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 the extraction, processing and trading of natural mineral resources used for battery production, the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk 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.

| (84) | According to the UN, ILO and OECD standards and principles, due diligence is an on-going, 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 and otherwise address adverse impacts associated with their activities or sourcing decisions. Economic operators should hold informed, effective and meaningful consultations with affected communities. A company can assess the risks posed by its activities and relationships 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 under national and international law, recommendations on responsible business conduct by international organisations, government-backed tools, private sector voluntary initiatives and a company’s internal policies and systems. This approach also helps to scale the due diligence exercise in proportion to the size of the company’s activities or supply chain relationships. |
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(84)

According to the UN, ILO and OECD standards and principles, due diligence is an on-going, 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 and otherwise address adverse impacts associated with their activities or sourcing decisions. Economic operators should hold informed, effective and meaningful consultations with affected communities. A company can assess the risks posed by its activities and relationships 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 under national and international law, recommendations on responsible business conduct by international organisations, government-backed tools, private sector voluntary initiatives and a company’s internal policies and systems. 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 diligence obligations laid down in this Regulation. |
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(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 diligence obligations laid down in this Regulation.

| (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 human rights, human health and safety of persons as well as occupational health and safety, and labour 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 of community life, on the other. |
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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 human rights, human health and safety of persons as well as occupational health and safety, and labour 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 of community 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 line with international human rights law. The battery due diligence policies should include information on how the economic operator has contributed to the prevention of human rights abuses and on the instruments in place within the operator’s business structure to fight 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 and Social Policy. |
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(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 line with international human rights law. The battery due diligence policies should include information on how the economic operator has contributed to the prevention of human rights abuses and on the instruments in place within the operator’s business structure to fight 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 and Social Policy.

| (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 is also relevant for the implementation of the battery due diligence provisions of this Regulation. |
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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 is also relevant for the implementation of the battery due diligence provisions of this Regulation.

| (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, in line 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 the Paris Agreement (24), 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. |
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(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, in line 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 the Paris Agreement (24), 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 and environmental 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 the achievement of the 2030 Agenda and the Sustainable Development Goals. |
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(90)

The battery due diligence obligations on the identification and mitigation of social and environmental 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 the achievement of the 2030 Agenda and the Sustainable Development Goals.

| (91) | Other Union legal acts that lay down requirements regarding supply chain due diligence should 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 for damages 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 addressed by national rules. |
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(91)

Other Union legal acts that lay down requirements regarding supply chain due diligence should 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 for damages 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 addressed by national rules.

| (92) | In order to adapt to developments in the battery value chain, including to changes in the scope and nature of the relevant environmental and social risks, as well as to technical and scientific progress in batteries and battery chemistries, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission in respect of amending the list of raw materials and risk categories, the list of international instruments and the battery due diligence obligations. |
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(92)

In order to adapt to developments in the battery value chain, including to changes in the scope and nature of the relevant environmental and social risks, as well as to technical and scientific progress in batteries and battery chemistries, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission in respect of amending 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 by governments, industry associations and groupings of interested organisations, implementing powers should be conferred on the Commission. |
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(93)

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

| (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 the Commission to supplement this Regulation by establishing the criteria and the methodology for determining whether the due diligence schemes enable economic operators to fulfil the due diligence requirements of this Regulation. |
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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 the Commission to supplement this Regulation by establishing the criteria and the methodology for determining whether the due diligence schemes enable economic operators to fulfil the due diligence requirements of this Regulation.

| (95) | Harmonised rules for waste management are necessary to ensure that producers and other economic operators are subject to the same rules across the Member States in the implementation of the extended producer responsibility for batteries and to ensure a high level 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 and ensuring that all waste batteries that are collected are recycled through processes that meet common minimum recycling efficiencies is necessary in order to attain high levels of recovery of materials. In its evaluation of Directive 2006/66/EC, the Commission found that one of the shortcomings of that Directive is that its provisions were insufficiently detailed, leading to uneven implementation and creating significant barriers to the functioning of recycling markets and suboptimal levels of recycling. Consequently, more detailed and harmonised rules would avoid distortions of the market for the collection, treatment and recycling of waste batteries and ensure even implementation of the requirements across the Union. It would also result in further harmonisation of the quality of waste management services provided by economic operators and facilitate the functioning of the market for secondary raw materials. |
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(95)

Harmonised rules for waste management are necessary to ensure that producers and other economic operators are subject to the same rules across the Member States in the implementation of the extended producer responsibility for batteries and to ensure a high level 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 and ensuring that all waste batteries that are collected are recycled through processes that meet common minimum recycling efficiencies is necessary in order to attain high levels of recovery of materials. In its evaluation of Directive 2006/66/EC, the Commission found that one of the shortcomings of that Directive is that its provisions were insufficiently detailed, leading to uneven implementation and creating significant barriers to the functioning of recycling markets and suboptimal levels of recycling. Consequently, more detailed and harmonised rules would avoid distortions of the market for the collection, treatment and recycling of waste batteries and ensure even implementation of the requirements across the Union. It would also result in further harmonisation of the quality of waste management services provided by economic operators and facilitate the functioning 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 this Regulation, it is necessary that Member States designate one or more competent authorities. |
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(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 this Regulation, it is necessary that Member States designate one or more competent authorities.

| (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 Council (25), 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 the place 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 collected both together with waste electrical and electronic equipment and with end-of-life vehicles, by way of national collection schemes set up on the basis of Directive 2012/19/EU of the European Parliament and of the Council (26), and of Directive 2000/53/EC. While Directive 2006/66/EC sets up specific rules for batteries, there is a need for a coherent and complementary approach, building upon and further harmonising existing waste management structures. Consequently, and in order to effectively implement extended producer responsibility related to the waste management, obligations should be laid down with respect to the Member State where batteries are made available on the market for the first time. |
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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 Council (25), 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 the place 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 collected both together with waste electrical and electronic equipment and with end-of-life vehicles, by way of national collection schemes set up on the basis of Directive 2012/19/EU of the European Parliament and of the Council (26), and of Directive 2000/53/EC. While Directive 2006/66/EC sets up specific rules for batteries, there is a need for a coherent and complementary approach, building upon and further harmonising existing waste management structures. Consequently, and in order to effectively implement extended producer responsibility related to the waste management, obligations should be laid down with respect to the Member State where batteries are made available on the market for the first time.

| (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 of a Member State, it is necessary that a register be established and managed by the competent authority in each Member State. The information in the register should be accessible to those entities that play a role in monitoring compliance with and enforcement of the extended producer responsibility. It should be possible for that register to be the same 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 competent authorities to monitor fulfilment by producers of their obligations. Registration requirements should be simplified across the Union. |
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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 of a Member State, it is necessary that a register be established and managed by the competent authority in each Member State. The information in the register should be accessible to those entities that play a role in monitoring compliance with and enforcement of the extended producer responsibility. It should be possible for that register to be the same 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 competent authorities 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 such mandates do not apply. |
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(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 such mandates do not apply.

| (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 be understood to include any manufacturer, importer or distributor who, irrespective of the selling 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 Council (27), 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. |
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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 be understood to include any manufacturer, importer or distributor who, irrespective of the selling 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 Council (27), 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.

| (101) | Producers should have extended producer responsibility for the management of their batteries 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 and management of waste batteries. The new rules on extended producer responsibility under this Regulation are intended to ensure a high level of environmental and health protection in the Union by maximising separate collection of waste batteries and ensuring that all collected 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 to authorisation and they should demonstrate that they have the financial means to cover the costs entailed by the extended producer responsibility. When laying down administrative and 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. 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 this Regulation 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 State other 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 the Member 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 and electronic 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 other measures should be considered, such as information management and verification tools, including, as appropriate, authorised representatives for extended producer responsibility, waste management operators, producer responsibility organisations, digital product passports and registers of producers, and national vehicle registration systems when covering electric vehicle batteries. |
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(101)

Producers should have extended producer responsibility for the management of their batteries 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 and management of waste batteries. The new rules on extended producer responsibility under this Regulation are intended to ensure a high level of environmental and health protection in the Union by maximising separate collection of waste batteries and ensuring that all collected 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 to authorisation and they should demonstrate that they have the financial means to cover the costs entailed by the extended producer responsibility. When laying down administrative and 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. 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 this Regulation 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 State other 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 the Member 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 and electronic 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 other measures should be considered, such as information management and verification tools, including, as appropriate, authorised representatives for extended producer responsibility, waste management operators, producer responsibility organisations, digital product passports and registers of producers, and national vehicle registration systems when covering electric vehicle batteries.

| (102) | Extended producer responsibility should apply also to economic operators placing on the market a battery that results from preparation for re-use, preparation for repurposing, repurposing or remanufacturing operations. Therefore, the economic operator that originally 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 to establish a cost-sharing mechanism based on the attribution of the actual waste management costs. |
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(102)

Extended producer responsibility should apply also to economic operators placing on the market a battery that results from preparation for re-use, preparation for repurposing, repurposing or remanufacturing operations. Therefore, the economic operator that originally 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 to establish 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 the extended producer responsibility provided for in this Regulation, in accordance with Directive 2008/98/EC and national law transposing that Directive. In addition, where this Regulation does not provide for full harmonisation in Chapter VIII, Member States should be 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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(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 the extended producer responsibility provided for in this Regulation, in accordance with Directive 2008/98/EC and national law transposing that Directive. In addition, where this Regulation does not provide for full harmonisation in Chapter VIII, Member States should be 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.

| (104) | This Regulation should specify how the traceability of traders’ obligations laid down in Regulation (EU) 2022/2065 of the European Parliament and of the Council (28) is to be applied to online platforms allowing consumers to conclude distance contracts with producers offering batteries, including batteries that are incorporated in appliances, light means 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 this Regulation, 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 of Section 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 self-certification 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. |
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(104)

This Regulation should specify how the traceability of traders’ obligations laid down in Regulation (EU) 2022/2065 of the European Parliament and of the Council (28) is to be applied to online platforms allowing consumers to conclude distance contracts with producers offering batteries, including batteries that are incorporated in appliances, light means 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 this Regulation, 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 of Section 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 self-certification 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.

| (105) | In order to ensure high quality recycling in the battery supply chain, boost the uptake of quality secondary raw materials and protect the environment, there should be high rates of waste battery collection and recycling. The collection of waste batteries is a fundamental crucial step in the recovery of valuable materials present in batteries through their recycling 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. |
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(105)

In order to ensure high quality recycling in the battery supply chain, boost the uptake of quality secondary raw materials and protect the environment, there should be high rates of waste battery collection and recycling. The collection of waste batteries is a fundamental crucial step in the recovery of valuable materials present in batteries through their recycling 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 of waste batteries. They should do so by establishing a take-back and collection network and related 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 of the 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 the European Parliament and of the Council (29) should be carried out on mixed municipal waste and waste electrical and electronic equipment collected to determine the amount of waste portable batteries therein. |
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(106)

Producers should be responsible for financing and organising the separate collection of waste batteries. They should do so by establishing a take-back and collection network and related 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 of the 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 the European Parliament and of the Council (29) should be carried out on mixed municipal waste and waste electrical and electronic equipment collected to determine the amount of waste portable batteries therein.

| (107) | It should be possible for waste batteries to be collected together with waste electrical and electronic equipment, by way of national collection schemes set up on the basis of Directive 2012/19/EU and with end-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 category of battery and be subject to the treatment and recycling requirements laid down in this Regulation. |
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(107)

It should be possible for waste batteries to be collected together with waste electrical and electronic equipment, by way of national collection schemes set up on the basis of Directive 2012/19/EU and with end-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 category of battery and be subject to the treatment and recycling requirements laid down in this Regulation.

| (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 sound way, 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 the current increase in sales of LMT batteries and the fact that they have a longer lifetime than portable 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 to the expected development of the market for LMT batteries and portable batteries and increase 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 to adopt 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 the level of environmental ambition with regard to the collection of waste LMT batteries and waste portable batteries compared to the existing methodology. Based on a 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 the basis 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 the quantities 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 of portable batteries: rechargeable and non-rechargeable, with separate collection rates. The Commission should prepare a report to accompany those reviews. |
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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 sound way, 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 the current increase in sales of LMT batteries and the fact that they have a longer lifetime than portable 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 to the expected development of the market for LMT batteries and portable batteries and increase 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 to adopt 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 the level of environmental ambition with regard to the collection of waste LMT batteries and waste portable batteries compared to the existing methodology. Based on a 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 the basis 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 the quantities 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 of portable 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 the feasibility and potential benefits of establishing a deposit return system for batteries, in particular 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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(109)

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

| (110) | The collection rate of waste portable batteries should continue to be calculated on the basis of average annual sales in the preceding years to have targets proportionate to the level of battery consumption in a Member State. In order to best reflect changes in what is comprised 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 verification of the collection rate for waste portable batteries, as well as for waste LMT batteries. |
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(110)

The collection rate of waste portable batteries should continue to be calculated on the basis of average annual sales in the preceding years to have targets proportionate to the level of battery consumption in a Member State. In order to best reflect changes in what is comprised 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 verification of 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 by producers 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. |
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(111)

The obligation on Member States to adopt measures concerning the achievement by producers 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 and electric vehicle batteries should be required to accept and take back free of charge, all waste 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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(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 and electric vehicle batteries should be required to accept and take back free of charge, all waste 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.

| (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 and Council Directive 1999/31/EC (30), waste batteries collected should not be disposed of or be subject to an energy recovery operation. |
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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 and Council Directive 1999/31/EC (30), 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 to allow a high degree of recovery of materials present in batteries. Directive 2010/75/EU of the European Parliament and of the Council (31) 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 down in this Regulation. The requirements in this Regulation regarding the treatment and recycling of batteries should, where relevant, be adapted by the Commission in the light of scientific and technical progress and emerging new technologies in waste management. Therefore, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission in respect of amending those requirements. |
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(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 to allow a high degree of recovery of materials present in batteries. Directive 2010/75/EU of the European Parliament and of the Council (31) 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 down in this Regulation. The requirements in this Regulation regarding the treatment and recycling of batteries should, where relevant, be adapted by the Commission in the light of scientific and technical progress and emerging new technologies in waste management. Therefore, the power to adopt acts in accordance with Article 290 TFEU should be delegated to the Commission in respect of amending those requirements.

| (115) | Targets for the efficiency of the recycling processes and recovery of materials should be established to ensure high quality of recovery of materials for the battery industry, while at the same time ensuring clear and common rules for recyclers and avoiding distortions of competition or other impediments to the smooth functioning of the internal market for secondary raw materials from waste batteries. Targets for recycling efficiency, as a measure of the total amount of materials recycled, should be established for lead-acid batteries, nickel-cadmium batteries, lithium-based batteries and other batteries. Targets for recovery of materials should also be established for cobalt, lead, lithium and nickel, in order to attain a high rate of recovery of materials throughout the Union. The rules on the calculation and reporting on recycling efficiency laid down in Commission Regulation (EU) No 493/2012 (32) should continue to apply. In order to ensure that the calculations and verifications of recycling efficiency and recovery 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 be delegated to the Commission to supplement this Regulation by establishing the methodology 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 yield of 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 technological developments and changes in industrial recovery processes, to extend their scope to cover existing 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 Council (33). |
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(115)

Targets for the efficiency of the recycling processes and recovery of materials should be established to ensure high quality of recovery of materials for the battery industry, while at the same time ensuring clear and common rules for recyclers and avoiding distortions of competition or other impediments to the smooth functioning of the internal market for secondary raw materials from waste batteries. Targets for recycling efficiency, as a measure of the total amount of materials recycled, should be established for lead-acid batteries, nickel-cadmium batteries, lithium-based batteries and other batteries. Targets for recovery of materials should also be established for cobalt, lead, lithium and nickel, in order to attain a high rate of recovery of materials throughout the Union. The rules on the calculation and reporting on recycling efficiency laid down in Commission Regulation (EU) No 493/2012 (32) should continue to apply. In order to ensure that the calculations and verifications of recycling efficiency and recovery 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 be delegated to the Commission to supplement this Regulation by establishing the methodology 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 yield of 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 technological developments and changes in industrial recovery processes, to extend their scope to cover existing 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 Council (33).

| (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 Parliament and of the Council (34) and Commission Regulation (EC) No 1418/2007 (35) and where the treatment meets the requirements applicable for this type of waste, according to their classification in Commission Decision 2000/532/EC (36). That Decision should be revised to reflect all battery chemistries, in particular the codes for lithium-based waste batteries, in order 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 under Directive 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 competent authority of the Member State in which those waste batteries were collected and to prove that the treatment took place in conditions that are equivalent to those required under this Regulation 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 be considered 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. |
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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 Parliament and of the Council (34) and Commission Regulation (EC) No 1418/2007 (35) and where the treatment meets the requirements applicable for this type of waste, according to their classification in Commission Decision 2000/532/EC (36). That Decision should be revised to reflect all battery chemistries, in particular the codes for lithium-based waste batteries, in order 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 under Directive 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 competent authority of the Member State in which those waste batteries were collected and to prove that the treatment took place in conditions that are equivalent to those required under this Regulation 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 be considered 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.

| (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 should make 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 this Regulation. |
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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 should make 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 this Regulation.

| (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 and used electric vehicle batteries is emerging and in order to support the practical application of the waste hierarchy, specific rules should thus be established to allow responsible repurposing of used batteries while taking into account the precautionary principle and ensuring safety of use for end-users. Any such used battery should undergo an assessment of its state of health and available capacity to ascertain its suitability for a purpose other than its original purpose. Batteries that are found to be suitable for a purpose other than their 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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(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 and used electric vehicle batteries is emerging and in order to support the practical application of the waste hierarchy, specific rules should thus be established to allow responsible repurposing of used batteries while taking into account the precautionary principle and ensuring safety of use for end-users. Any such used battery should undergo an assessment of its state of health and available capacity to ascertain its suitability for a purpose other than its original purpose. Batteries that are found to be suitable for a purpose other than their 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.

| (119) | Producers and distributors should be actively involved in providing information to end-users concerning the mandatory separate collection of waste batteries and the availability of collection schemes. They should also inform end-users about the important role 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, such as electronic access to websites provided by QR codes affixed to the battery. Such information should be accessible for persons with disabilities in accordance with Directive (EU) 2019/882. |
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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 the availability of collection schemes. They should also inform end-users about the important role 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, such as electronic access to websites provided by QR codes affixed to the battery. Such information should be accessible for persons with disabilities in accordance with 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 to report 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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(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 to report 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.

| (121) | For each calendar year, Member States should provide the Commission with information on the amount of batteries supplied within their territory and the amount of waste batteries collected, by category and chemistry. With regard to 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 and characteristics. Such information should be provided electronically and be accompanied by a quality check report. In order to ensure uniform conditions for the reporting of those data and information to the Commission, as well as for the verification methods, implementing powers should be conferred on the Commission. |
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(121)

For each calendar year, Member States should provide the Commission with information on the amount of batteries supplied within their territory and the amount of waste batteries collected, by category and chemistry. With regard to 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 and characteristics. Such information should be provided electronically and be accompanied by a quality check report. In order to ensure uniform conditions for the reporting of those data and 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 for recycling efficiency and recovery of materials achieved taking into account all the individual steps of the recycling process and the output fractions. |
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(122)

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

| (123) | In order to enhance transparency along supply and value chains for all stakeholders, it is necessary 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 and whether renewable material, such as material produced from lignin to substitute graphite, is used, about composition of batteries, including raw materials and hazardous chemicals, about repair, repurposing and dismantling operations and possibilities, and about the treatment, recycling and recovery processes to which the batteries could be subject to at the end 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 the handling of batteries and specific actors with tailored information such as on the state of health 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, in line with Regulation (EU) 2019/1020, check the information provided in battery passports. |
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(123)

In order to enhance transparency along supply and value chains for all stakeholders, it is necessary 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 and whether renewable material, such as material produced from lignin to substitute graphite, is used, about composition of batteries, including raw materials and hazardous chemicals, about repair, repurposing and dismantling operations and possibilities, and about the treatment, recycling and recovery processes to which the batteries could be subject to at the end 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 the handling of batteries and specific actors with tailored information such as on the state of health 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, in line with Regulation (EU) 2019/1020, check the information provided in battery passports.

| (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 to information concerning individual batteries, which is essential to those who have purchased 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 re-use, preparation for repurposing, repurposing or remanufacturing of the battery. Results of test reports should only be accessible to notified bodies, market surveillance authorities and the Commission. |
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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 to information concerning individual batteries, which is essential to those who have purchased 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 re-use, preparation for repurposing, repurposing or remanufacturing of the battery. Results of test reports should only be accessible to notified bodies, market surveillance authorities and the Commission.

| (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 the market it might, in certain cases, be more practical for another legal person, such as a vehicle manufacturer, to update information in the passport. The economic operator that places 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 the provisions for the battery passport should lie with the economic operator that places the battery on the market. In order to ensure uniform conditions for the implementation of the battery passport, implementing powers should be conferred on the Commission. |
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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 the market it might, in certain cases, be more practical for another legal person, such as a vehicle manufacturer, to update information in the passport. The economic operator that places 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 the provisions for the battery passport should lie with the economic operator that places the battery on the market. In order to ensure uniform conditions for the implementation of the battery passport, implementing powers should be conferred on the Commission.

| (126) | To ensure that the battery passport is flexible, dynamic and market-driven and evolves in line 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-out of 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 by other 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, as a 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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(126)

To ensure that the battery passport is flexible, dynamic and market-driven and evolves in line 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-out of 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 by other 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, as a 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.

| (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 diligence policies, under this Regulation, Regulation (EU) 2019/1020 should also apply to the batteries and economic operators covered by this Regulation. Therefore, Annex I to Regulation (EU) 2019/1020 should be amended accordingly. |
| --- | --- |

(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 diligence policies, under this Regulation, Regulation (EU) 2019/1020 should also apply to the batteries 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 the Commission 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 in Regulation (EU) 2019/1020 are met. |
| --- | --- |

(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 the Commission 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 in Regulation (EU) 2019/1020 are met.

| (129) | Regulation (EU) 2019/1020 introduced new instruments to improve compliance and market 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 specific categories 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 to Commission Implementing Regulation (EU) 2022/1267 (37). Regulation (EU) 2019/1020 also provides that market surveillance authorities can carry out joint activities with organisations representing economic operators or end-users, with a view to promoting compliance, identifying non-compliance, raising awareness and providing guidance in relation to specific categories of products. That possibility should also be provided in relation to the requirements of this Regulation. In that context, Member States or market surveillance authorities might explore setting up battery competence centres. |
| --- | --- |

(129)

Regulation (EU) 2019/1020 introduced new instruments to improve compliance and market 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 specific categories 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 to Commission Implementing Regulation (EU) 2022/1267 (37). Regulation (EU) 2019/1020 also provides that market surveillance authorities can carry out joint activities with organisations representing economic operators or end-users, with a view to promoting compliance, identifying non-compliance, raising awareness and providing guidance in relation to specific categories of products. That possibility should also be provided in relation 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 such conditions of use could result from lawful and readily predictable human behaviour. |
| --- | --- |

(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 such conditions of use could result from lawful and readily predictable human behaviour.

| (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 surveillance authorities in the Member States, in cooperation with the relevant economic operators, to act at an early stage in respect of such batteries. In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission in order to determine whether national measures in respect of non-compliant batteries are justified or not. |
| --- | --- |

(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 surveillance authorities in the Member States, in cooperation with the relevant economic operators, to act at an early stage in respect of such batteries. In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission 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 to take corrective action if they find either that a battery is not compliant with the requirements of this Regulation or that an economic operator has infringed the rules on the placing or making available on the market of a battery, or on sustainability, safety, labelling and information or on supply chain due diligence. |
| --- | --- |

(132)

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

| (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/EU (38) and 2014/25/EU (39) 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, in order to promote and stimulate the market for clean and energy-efficient mobility and energy-storage and thus contribute to the environment, climate and energy policy objectives of the Union. |
| --- | --- |

(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/EU (38) and 2014/25/EU (39) 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, in order to promote and stimulate the market for clean and energy-efficient mobility and energy-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 the Commission 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-Making (40). 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. |
| --- | --- |

(134)

When adopting delegated acts under this Regulation, it is of particular importance that the Commission 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-Making (40). 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.

| (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 Parliament and of the Council (41). |
| --- | --- |

(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 Parliament and of the Council (41).

| (136) | The advisory procedure should be used for the adoption of an implementing act in situations where the Commission ascertains that a notified body does not meet the requirements for its notification, in order to request the notifying authority to take the necessary corrective action, including withdrawal of the notification if necessary. |
| --- | --- |

(136)

The advisory procedure should be used for the adoption of an implementing act in situations where the Commission ascertains that a notified body does not meet the requirements for its notification, in order to request the notifying authority to take the necessary 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 is justified 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 grounds of urgency so require. |
| --- | --- |

(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 is justified 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 grounds of urgency so require.

| (138) | Member States should lay down rules on penalties applicable to infringements of this Regulation and ensure that those rules are implemented. The penalties provided for should be 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 the infringement 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 and national law, including with applicable procedural safeguards and with the principles of the Charter of Fundamental Rights of the European Union. |
| --- | --- |

(138)

Member States should lay down rules on penalties applicable to infringements of this Regulation and ensure that those rules are implemented. The penalties provided for should be 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 the infringement 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 and national law, including with applicable procedural safeguards and with the principles of the Charter 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 Regulation and 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 be accompanied by a proposal to amend relevant provisions of this Regulation. |
| --- | --- |

(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 Regulation and 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 be accompanied 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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(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.

| (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 organisation of the authorisation procedures by the competent authorities, while keeping continuity for economic operators, Directive 2006/66/EC should be repealed as of 18 August 2025. Obligations under that Directive related to monitoring 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 the Commission 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 of data 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 the Commission under this Regulation. |
| --- | --- |

(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 organisation of the authorisation procedures by the competent authorities, while keeping continuity for economic operators, Directive 2006/66/EC should be repealed as of 18 August 2025. Obligations under that Directive related to monitoring 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 the Commission 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 of data 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 the Commission under this Regulation.

| (142) | It is important that, in the implementation of this Regulation, environmental, social and economic 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). |
| --- | --- |

(142)

It is important that, in the implementation of this Regulation, environmental, social and economic 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).

| (143) | Since the objectives of this Regulation, namely to contribute to the functioning of the internal 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 to achieve those objectives, |
| --- | --- |

(143)

Since the objectives of this Regulation, namely to contribute to the functioning of the internal 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 to achieve those objectives,

HAVE ADOPTED THIS REGULATION:

CHAPTER I

General provisions

Article 1

Subject matter and scope

1.   This Regulation lays down requirements on sustainability, safety, labelling, marking and information 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 for green public procurement when procuring batteries or products into which batteries are incorporated.

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 specifically designed to be incorporated into or added to products.

For the purposes of Chapter II, where batteries placed on the market can be considered to fall 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 of this 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 more than one battery category, they shall be deemed to fall under the category to which the strictest 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 |
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(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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(b)

equipment designed to be sent into space.

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/Euratom (42).

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 the generation 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 direct conversion of chemical energy, having internal or external storage, and consisting of one or more non-rechargeable or rechargeable battery cells, modules or of packs of them, and includes a battery that has been subject to preparation for re-use, preparation for repurposing, repurposing or remanufacturing; |
| --- | --- |

(1)

‘battery’ means any device delivering electrical energy generated by direct conversion of chemical energy, having internal or external storage, and consisting of one or more non-rechargeable or rechargeable battery cells, modules or of packs of them, and includes a battery that has been subject to preparation for re-use, preparation for repurposing, repurposing or remanufacturing;

| (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 to be split up or opened by the end-user; |
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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 to be 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, and which is meant to be used either alone or in combination with other modules; |
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(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, and which 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 the active materials the reaction of which generates electrical energy; |
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(4)

‘battery cell’ means the basic functional unit in a battery, composed of electrodes, electrolyte, container, terminals and, if applicable, separators, and containing the active 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; |
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(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 electrically recharged; |
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(6)

‘non-rechargeable battery’ means a battery that is not designed to be electrically recharged;

| (7) | ‘rechargeable battery’ means a battery that is designed to be electrically recharged; |
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(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 have its energy stored exclusively in one or more attached external devices; |
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(8)

‘battery with external storage’ means a battery that is specifically designed to have its energy stored exclusively in one or more attached external devices;

| (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; |
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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 not rechargeable, that is specifically designed to be interoperable and that has one of the following common formats 4,5 Volts (3R12), button cell, D, C, AA, AAA, AAAA, A23, 9 Volts (PP3); |
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(10)

‘portable battery of general use’ means a portable battery, whether or not rechargeable, that is specifically designed to be interoperable and that has one of the following 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 the traction 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 of category L within the meaning of Regulation (EU) No 168/2013 of the European Parliament and of the Council (43), and that is not an electric vehicle battery; |
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(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 the traction 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 of category L within the meaning of Regulation (EU) No 168/2013 of the European Parliament and of the Council (43), 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 and that can also be used for auxiliary or backup purposes in vehicles, other means of transport or machinery; |
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(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 and that can also be used for auxiliary or backup purposes in vehicles, other means of transport or machinery;

| (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 an electric vehicle battery, an LMT battery, nor an SLI battery; |
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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 an electric 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 for in 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 electric vehicles of categories M, N or O as provided for in Regulation (EU) 2018/858; |
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(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 for in 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 electric vehicles 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 the grid or store for and deliver electric energy to end-users, regardless of where and by whom the battery is being used; |
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(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 the grid or store for and deliver electric energy to end-users, regardless of where and by whom the battery is being used;

| (16) | ‘placing on the market’ means the first making available of a battery on the Union market; |
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(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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(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;

| (18) | ‘putting into service’ means the first use, for its intended purpose, in the Union, of a battery, without having been previously placed on the market; |
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(18)

‘putting into service’ means the first use, for its intended purpose, in the Union, of a battery, 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 on sustainability, safety, labelling, marking and information, and the same model identifier; |
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(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 on sustainability, 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 a degree which goes beyond that considered reasonable and acceptable in relation to the battery’s intended purpose or under the normal or reasonably foreseeable conditions of use of the battery concerned, including the duration of use, and, where applicable, to its putting into service, installation and maintenance requirements; |
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(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 a degree which goes beyond that considered reasonable and acceptable in relation to the battery’s intended purpose or under the normal or reasonably foreseeable conditions of use of the battery concerned, including the duration of use, and, where applicable, 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 of climate change; |
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(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 of climate change;

| (22) | ‘economic operator’ means the manufacturer, the authorised representative, the importer, the distributor or the fulfilment service provider or any other natural or legal person who is subject to obligations in relation to 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; |
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(22)

‘economic operator’ means the manufacturer, the authorised representative, the importer, the distributor or the fulfilment service provider or any other natural or legal person who is subject to obligations in relation to 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, as well as publishers of technical information, operators offering inspection and testing services, operators offering training for installers, manufacturers and repairers of equipment for alternative-fuel vehicles; |
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(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, as well as publishers of technical information, operators offering inspection and testing services, operators offering training for installers, manufacturers and repairers of equipment for alternative-fuel vehicles;

| (24) | ‘QR code’ means a machine-readable matrix code that links to information as required by this Regulation; |
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(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 for determining 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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(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 for determining 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;

| (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 is capable of being so; |
| --- | --- |

(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 is capable 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; |
| --- | --- |

(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 initial condition; |
| --- | --- |

(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 initial condition;

| (29) | ‘preparation for re-use’ means preparing for re-use as defined in Article 3, point (16), of Directive 2008/98/EC; |
| --- | --- |

(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 than that for which it was originally designed; |
| --- | --- |

(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 than that 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; |
| --- | --- |

(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;

| (32) | ‘remanufacturing’ means any technical operation on a used battery that includes the disassembly and evaluation of all its battery cells and modules and the use of a certain number of battery cells and modules that are new, used or recovered from waste, 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 for the same purpose or application as the one for which the battery was originally designed; |
| --- | --- |

(32)

‘remanufacturing’ means any technical operation on a used battery that includes the disassembly and evaluation of all its battery cells and modules and the use of a certain number of battery cells and modules that are new, used or recovered from waste, 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 for the same purpose or application as the one for which the battery was originally designed;

| (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 or trademark or puts it into service for its own purposes; |
| --- | --- |

(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 or trademark 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; |
| --- | --- |

(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), of Regulation (EU) No 1025/2012; |
| --- | --- |

(35)

‘harmonised standard’ means a standard as defined in Article 2, point (1)(c), of Regulation (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; |
| --- | --- |

(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;

| (37) | ‘accreditation’ means accreditation as defined in Article 2, point (10), of Regulation (EC) No 765/2008; |
| --- | --- |

(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; |
| --- | --- |

(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 have been fulfilled; |
| --- | --- |

(39)

‘conformity assessment’ means the process demonstrating whether the sustainability, safety, labelling, information and due diligence requirements of this Regulation have been fulfilled;

| (40) | ‘conformity assessment body’ means a body that performs conformity assessment activities including calibration, testing, certification and inspection; |
| --- | --- |

(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 in accordance with Chapter V; |
| --- | --- |

(41)

‘notified body’ means a conformity assessment body that has been notified in accordance with Chapter V;

| (42) | ‘battery due diligence’ means the obligations of an economic operator in relation to its 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 and their subsidiaries or subcontractors; |
| --- | --- |

(42)

‘battery due diligence’ means the obligations of an economic operator in relation to its 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 and their subsidiaries or subcontractors;

| (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 Council (44) is exercised; |
| --- | --- |

(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 Council (44) is exercised;

| (44) | ‘parent company’ means a company which controls one or more subsidiaries; |
| --- | --- |

(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 as defined in Article 2, point (f), of Regulation (EU) 2017/821; |
| --- | --- |

(45)

‘conflict-affected and high-risk areas’ means conflict-affected and high-risk areas as defined 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; |
| --- | --- |

(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 distance contracts, 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 those incorporated in appliances, light means of transport or other vehicles, within the territory of that Member State; |
| --- | --- | --- |

(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 distance contracts, 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 those incorporated in appliances, light means of transport or other vehicles, within the territory of that Member State;

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

(b)

is established in a Member State and resells within the territory of that Member State, under its own name or trademark, batteries, including those incorporated in appliances, light means of transport or other vehicles, manufactured by others, on which the name or trademark of those other manufacturers 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 in appliances, light means of transport or other vehicles, from another Member State or from a third country; or |
| --- | --- |

(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 in appliances, 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 of transport or other vehicles, by means of distance contracts directly to end-users, whether or not they are private households, in a Member State, and is established in another Member State or in a third country; |
| --- | --- |

(d)

sells batteries, including those incorporated in appliances, light means of transport or other vehicles, by means of distance contracts directly to end-users, whether or not they are private households, in a Member State, and is 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 is established, 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; |
| --- | --- |

(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 is established, 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;

| (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; |
| --- | --- |

(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; |
| --- | --- |

(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 the battery manufacturing process, which cannot be re-used as an integral part in the same process and need to be recycled; |
| --- | --- |

(51)

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

| (52) | ‘hazardous substance’ means a substance classified as hazardous pursuant to Article 3 of Regulation (EC) No 1272/2008; |
| --- | --- |

(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; |
| --- | --- |

(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 of battery packs or the separation of fractions that are not part of the battery itself; |
| --- | --- |

(54)

‘preparation for recycling’ means the treatment of waste batteries prior to any recycling process, including, inter alia, the storage, handling and dismantling of battery packs or the separation of fractions that are not part of the battery itself;

| (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 of waste portable batteries and waste LMT batteries, generated by it or by other end-users, before handing those waste batteries over to producers, to producer responsibility organisations or to waste management operators for subsequent treatment; |
| --- | --- |

(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 of waste portable batteries and waste LMT batteries, generated by it or by other end-users, 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 a professional basis with the separate collection or treatment of waste batteries; |
| --- | --- |

(56)

‘waste management operator’ means any natural or legal person dealing on a professional basis with the separate collection or treatment of waste batteries;

| (57) | ‘permitted facility’ means an establishment or undertaking that is permitted in accordance with Directive 2008/98/EC to carry out the treatment of waste batteries; |
| --- | --- |

(57)

‘permitted facility’ means an establishment or undertaking that is permitted in accordance 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; |
| --- | --- |

(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; |
| --- | --- |

(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 dividing the mass of output fractions accounting for recycling by the mass of the waste batteries’ input fraction, in relation to a recycling process; |
| --- | --- |

(60)

‘recycling efficiency’ means the ratio, expressed as a percentage, obtained by dividing the mass of output fractions accounting for recycling by the mass of the waste batteries’ input fraction, in relation to a recycling process;

| (61) | ‘Union harmonisation legislation’ means any Union legislation harmonising the conditions for the marketing of products; |
| --- | --- |

(61)

‘Union harmonisation legislation’ means any Union legislation harmonising the conditions 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; |
| --- | --- |

(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 the Union who has received a written mandate from a manufacturer to act on its behalf in relation to specified tasks with regard to the manufacturer’s obligations under Chapters IV and VI; |
| --- | --- |

(63)

‘authorised representative’ means any natural or legal person established in the Union who has received a written mandate from a manufacturer to act on its behalf in relation to specified tasks with regard to the manufacturer’s obligations under 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; |
| --- | --- |

(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; |
| --- | --- |

(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 of batteries that also enables a web link to the battery passport; |
| --- | --- |

(66)

‘unique identifier’ means a unique string of characters for the identification of batteries that also enables a web link to the battery passport;

| (67) | ‘online platform’ means an online platform as defined in Article 3, point (i), of Regulation (EU) 2022/2065; |
| --- | --- |

(67)

‘online platform’ means an online platform as defined in Article 3, point (i), of Regulation (EU) 2022/2065;

| (68) | ‘market participant’ means a market participant as defined in Article 2, point (25), of Regulation (EU) 2019/943 of the European Parliament and of the Council (45). |
| --- | --- |

(68)

‘market participant’ means a market participant as defined in Article 2, point (25), of Regulation (EU) 2019/943 of the European Parliament and of the Council (45).

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; |
| --- | --- |

(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 to this Regulation, laid down in Article 3 of Regulation (EU) 2019/1020; |
| --- | --- |

(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 to this 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. |
| --- | --- |

(c)

‘independent aggregator’ and ‘energy storage’, laid down in Article 2 of Directive (EU) 2019/944.

Article 4

Free movement

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

2.   At trade fairs, exhibitions, demonstrations or similar events, Member States shall not prevent the showing of batteries which do not comply with this Regulation, provided that a visible sign clearly indicates that those batteries do not comply with this Regulation and that they cannot be made available on the market or put into service until they have been brought into conformity with this Regulation. During demonstrations of such batteries, the relevant 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; and |
| --- | --- |

(a)

the sustainability and safety requirements laid down in Articles 6 to 10 and 12; and

| (b) | the labelling and information requirements laid down in Chapter III. |
| --- | --- |

(b)

the labelling and information requirements laid down in Chapter III.

2.   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 safety of persons, to property or to the environment.

CHAPTER II

CHAPTER II

Sustainability and safety requirements

Sustainability and safety requirements

Article 6

Restrictions on substances

1.   In addition to the restrictions set out in Annex XVII to Regulation (EC) No 1907/2006 and in 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 the use of a substance in the manufacture of batteries or from the presence of a substance in the 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 not adequately 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.

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), of Regulation (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 the environment or hampering recycling for safe and high quality secondary raw materials, present in batteries or used in their manufacture. The Commission shall submit that report to the European Parliament and to the Council detailing its findings and shall consider the appropriate follow-up measures including the adoption of delegated acts as referred to in paragraph 2 of this Article.

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; |
| --- | --- |

(a)

administrative information about the manufacturer;

| (b) | information about the battery model; |
| --- | --- |

(b)

information about the battery model;

| (c) | information about the geographic location of the battery manufacturing plant; |
| --- | --- |

(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; |
| --- | --- |

(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; |
| --- | --- |

(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; |
| --- | --- |

(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). |
| --- | --- |

(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).

The carbon footprint declaration shall apply from:

| (a) | 18 February 2025 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 is the latest, for electric vehicle batteries; |
| --- | --- |

(a)

18 February 2025 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 is the latest, for electric vehicle batteries;

| (b) | 18 February 2026 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 is the latest, for rechargeable industrial batteries except those with exclusively external storage; |
| --- | --- |

(b)

18 February 2026 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 is the latest, for rechargeable industrial batteries except those with exclusively external storage;

| (c) | 18 August 2028 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 is the latest, for LMT batteries; |
| --- | --- |

(c)

18 August 2028 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 is the latest, for LMT batteries;

| (d) | 18 August 2030 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 is the latest, for rechargeable industrial batteries with external storage. |
| --- | --- |

(d)

18 August 2030 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 is the 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.

The Commission shall, by 18 February 2024 for electric vehicle batteries, 18 February 2025 for rechargeable industrial batteries, except those with external storage, 18 February 2027 for LMT batteries and 18 February 2029 for industrial batteries with external 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 accordance with the essential elements set out in Annex II; |
| --- | --- |

(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 accordance with the essential elements set out in Annex II;

| (b) | an implementing act establishing the format for the carbon footprint declaration referred to in the first subparagraph. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 90(3). |
| --- | --- |

(b)

an implementing act establishing the format for the carbon footprint declaration referred to in the first subparagraph. That implementing act shall be adopted in accordance 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.

For batteries referred to in the first subparagraph, the technical documentation referred to in Annex VIII shall demonstrate that the carbon footprint declared and the related classification into a carbon footprint performance class have been calculated in accordance with the methodology set out in the delegated acts adopted by the Commission pursuant to paragraph 1, fourth subparagraph, point (a) and the fourth subparagraph, point (a), of this paragraph.

The carbon footprint performance class requirements in the first subparagraph shall apply from:

| (a) | 18 August 2026 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 is the latest, for electric vehicle batteries; |
| --- | --- |

(a)

18 August 2026 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 is the latest, for electric vehicle batteries;

| (b) | 18 August 2027 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 is the latest, for rechargeable industrial batteries except those with exclusively external storage; |
| --- | --- |

(b)

18 August 2027 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 is the latest, for rechargeable industrial batteries except those with exclusively external storage;

| (c) | 18 February 2030 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 is the latest, for LMT batteries; |
| --- | --- |

(c)

18 February 2030 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 is the latest, for LMT batteries;

| (d) | 18 February 2032 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 is the latest, for rechargeable industrial batteries with external storage. |
| --- | --- |

(d)

18 February 2032 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 is the latest, for rechargeable industrial batteries with external storage.

The Commission shall, by 18 February 2025 for electric vehicle batteries, 18 August 2026 for rechargeable industrial batteries except those with exclusively external storage, 18 August 2028 for LMT batteries and 18 August 2030 for rechargeable 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 first subparagraph. In preparing that delegated act, the Commission shall take into account the conditions set out in point 8 of Annex II; |
| --- | --- |

(a)

a delegated act in accordance with Article 89 to supplement this Regulation by establishing the carbon footprint performance classes referred to in the first subparagraph. 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 first subparagraph and the format for the declaration on the carbon footprint performance class referred to in that subparagraph. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 90(3). |
| --- | --- |

(b)

an implementing act establishing the formats for the labelling referred to in the first subparagraph and the format for the declaration on the carbon footprint performance class referred to in that subparagraph. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 90(3).

The Commission shall, in accordance with the conditions set out in point 8 of Annex II, review the number of performance classes and the thresholds between them, every three years and, where appropriate, adopt delegated acts in accordance with Article 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 shall demonstrate that the declared life cycle carbon footprint value for the relevant battery model per manufacturing plant, is below the maximum threshold established in the delegated act adopted pursuant to the third subparagraph.

The requirement for a maximum life cycle carbon footprint threshold referred to in the first subparagraph shall apply as of:

| (a) | 18 February 2028 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; |
| --- | --- |

(a)

18 February 2028 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) | 18 February 2029 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; |
| --- | --- |

(b)

18 February 2029 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) | 18 August 2031 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; |
| --- | --- |

(c)

18 August 2031 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) | 18 August 2033 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 with external storage. |
| --- | --- |

(d)

18 August 2033 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 with external storage.

The Commission shall, by 18 August 2026 for electric vehicle batteries, 18 February 2028 for rechargeable industrial batteries, except those with external storage, 18 February 2030 for LMT batteries and 18 February 2032 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 in paragraph 2.

4.   By 31 December 2030, the Commission shall assess the feasibility of extending the requirements in this Article to portable batteries, and the requirement laid down in paragraph 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 and consider 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.

Article 8

Recycled content in industrial batteries, electric vehicle batteries, LMT batteries and SLI batteries

1.   From 18 August 2028 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 those with exclusively external storage, electric vehicle batteries and SLI batteries that contain cobalt, lead, lithium or nickel in active materials, shall be accompanied by documentation containing information about the 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 is present in the battery and that has been recovered from waste, for each battery model per year and per manufacturing plant.

The first subparagraph shall apply from 18 August 2033 to LMT batteries that contain cobalt, lead, lithium or nickel in active materials.

By 18 August 2026, 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, the methodology 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 is present in the battery and that has been recovered from waste, and the format for the documentation.

2.   From 18 August 2031, 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 shall demonstrate that those batteries contain, in 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 from waste, for each battery model per year and per manufacturing plant:

| (a) | 16 % cobalt; |
| --- | --- |

(a)

16 % cobalt;

| (b) | 85 % lead; |
| --- | --- |

(b)

85 % lead;

| (c) | 6 % lithium; |
| --- | --- |

(c)

6 % lithium;

| (d) | 6 % nickel. |
| --- | --- |

(d)

6 % nickel.

3.   From 18 August 2036, 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 from waste, for each battery model per year and per manufacturing plant:

| (a) | 26 % cobalt; |
| --- | --- |

(a)

26 % cobalt;

| (b) | 85 % lead; |
| --- | --- |

(b)

85 % lead;

| (c) | 12 % lithium; |
| --- | --- |

(c)

12 % lithium;

| (d) | 15 % nickel. |
| --- | --- |

(d)

15 % nickel.

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 no later than 31 December 2028, the Commission shall assess whether, due to the existing availability, 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 scientific progress, it is appropriate to revise the targets laid down in paragraphs 2 and 3.

Where justified and appropriate on the basis of the assessment made under the first subparagraph or due to other considerable changes in battery technology impacting the type of materials recovered, the Commission shall adopt, by 18 August 2029, a delegated act in accordance with Article 89, to amend 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 to adopt 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 of recycled content per specific material in paragraphs 2 and 3 of this Article.

Article 9

Performance and durability requirements for portable batteries of general use

1.   From 18 August 2028 or 24 months after the date of entry into force of the delegated act referred to in paragraph 2, whichever is the latest, 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 18 August 2027, 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 and durability 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 to amend 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 technical and scientific progress.

In preparing the delegated act referred to in the first subparagraph, the Commission shall consider the need to reduce the life cycle environmental impact of portable batteries of general use, including by means of increasing the resource efficiency thereof, and shall take 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 other vehicles into which those batteries are incorporated, the affordability and the cost for end-users and the industry’s competitiveness.

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

Article 10

Performance and durability requirements for rechargeable industrial batteries, LMT batteries and electric vehicle batteries

1.   From 18 August 2024, rechargeable industrial 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 to in Annex VIII shall contain an explanation of the technical specifications, standards and conditions used to measure, calculate or estimate the values for the electrochemical performance and durability parameters. That explanation shall include, at least, the elements set out in Part B of Annex IV.

2.   From either 18 August 2027 or 18 months after the date of entry into force of the delegated act referred to in the first subparagraph of paragraph 5, whichever is the latest, rechargeable industrial batteries with a capacity greater than 2 kWh, except those with exclusively external storage, shall meet the minimum values laid down in the delegated act adopted pursuant to the first subparagraph of paragraph 5 for the electrochemical performance and durability parameters set out in Part A of Annex IV.

3.   From either 18 August 2028 or 18 months after the date of entry into force of the delegated act referred to in the second subparagraph of paragraph 5, whichever is the latest, LMT batteries shall meet the minimum values laid down in the delegated act adopted pursuant to the second 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 the battery, 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 with those paragraphs.

5.   By 18 February 2026, 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 a capacity greater than 2 kWh, except those with exclusively external storage, shall attain.

By 18 February 2027, 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, the Commission shall consider the need to reduce the life cycle environmental impact of rechargeable 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 those batteries or the appliances, light means of transport or other vehicles into which those batteries are incorporated, their affordability and industry’s competitiveness.

6.   The Commission is empowered to adopt delegated acts in accordance with Article 89 to amend the electrochemical performance and durability parameters set out in Annex IV in light 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.

Article 11

Removability and replaceability of portable batteries and LMT batteries

1.   Any natural or legal person that places on the market products incorporating portable batteries shall ensure that those batteries are readily removable and replaceable by the end-user at any time during the lifetime of the product. That obligation shall only apply to entire 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 be removed from a product with the use of commercially available tools, without requiring the use 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 portable batteries shall ensure that those products are accompanied with instructions and safety information on the use, removal and replacement of the batteries. Those instructions and that 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 level of protection of the environment and human health relating to the removability and replaceability of portable batteries by end-users laid down in any Union law on electrical and electronic equipment as defined in Article 3(1), point (a), of Directive 2012/19/EU.

2.   By way of derogation from paragraph 1, the following products incorporating portable batteries 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 is regularly subject to splashing water, water streams or water immersion, and that are intended to be washable or rinseable; |
| --- | --- |

(a)

appliances specifically designed to operate primarily in an environment that is regularly 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. |
| --- | --- |

(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 such derogation 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 portable battery is required to ensure the safety of the user and the appliance or, for products that collect and supply data as their main function, for data integrity reasons.

4.   The Commission is empowered to adopt delegated acts in accordance with Article 89 to amend paragraph 2 of this Article by adding further products to be exempted from the removability and replaceability requirements laid down in paragraph 1 of this Article. Such delegated acts shall be adopted only on account of market developments and technical and scientific progress, and provided that there are scientifically grounded concerns over the safety of end-users removing or replacing the portable battery, or in cases where there is a risk that the removal or the replacement of the battery by end-users would be in violation of 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 be considered readily replaceable where, after its removal from an appliance or light means of transport, it can be substituted by another compatible battery without affecting the functioning, the performance or the safety of that appliance or light means of transport.

7.   Any natural or legal person that places on the market products incorporating portable batteries or LMT batteries shall ensure that those batteries are available as spare parts of the equipment that they power for a minimum of five years after placing the last unit of the equipment model on the market, with a reasonable and non-discriminatory price for independent 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 be safe during their normal operation and use.

2.   By 18 August 2024, the technical documentation referred to in Annex VIII shall:

| (a) | demonstrate that the stationary battery energy storage systems are compliant with paragraph 1 and include evidence that they have been successfully tested for the safety 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 a corresponding hazard exists for the stationary battery energy storage system in question when it is used under the conditions envisaged by the manufacturer; |
| --- | --- |

(a)

demonstrate that the stationary battery energy storage systems are compliant with paragraph 1 and include evidence that they have been successfully tested for the safety 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 a corresponding hazard exists for the stationary battery energy storage system in question 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; |
| --- | --- |

(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 such testing; |
| --- | --- |

(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 such testing;

| (d) | include mitigation instructions in case the identified hazards could occur, for example a fire or explosion. |
| --- | --- |

(d)

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

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

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

CHAPTER III

CHAPTER III

Labelling, marking and information requirements

Labelling, marking and information requirements

Article 13

Labelling and marking of batteries

1.   From 18 August 2026 or 18 months after the date of entry into force of the implementing act referred to in paragraph 10, whichever is the latest, batteries shall bear a label containing the general information on batteries set out in Part A of Annex VI.

2.   From 18 August 2026 or 18 months after the date of entry into force of the implementing act referred to in paragraph 10, whichever is the latest, rechargeable portable batteries, LMT batteries and SLI batteries shall bear a label containing information on their capacity.

3.   From 18 August 2026 or 18 months after the date of entry into force of the implementing act referred to in paragraph 10, whichever is the latest, non-rechargeable portable batteries shall bear a label containing information on their minimum average duration when used in specific applications and a label indicating ‘non-rechargeable’.

4.   From 18 August 2025, all batteries shall be 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 the battery 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.

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, a separate 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 be marked with the chemical symbol for the metal concerned: Cd or Pb.

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

6.   From 18 February 2027, all batteries shall be 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 electric vehicles batteries, the battery passport in accordance with Article 77; |
| --- | --- |

(a)

for LMT batteries, industrial batteries with a capacity greater than 2kWh and electric vehicles 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 to in Article 52(3) and the information regarding the prevention and management of waste batteries laid down in Article 74(1), points (a) to (f); |
| --- | --- |

(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 to in Article 52(3) and the information regarding the prevention and management of waste batteries laid down in Article 74(1), points (a) to (f);

| (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. |
| --- | --- |

(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 to the packaging and to the documents accompanying the battery.

8.   The Commission is empowered to adopt delegated acts in accordance with Article 89 to amend this Regulation to provide for alternative types of smart labels for use instead of or in 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 in accordance with this Article, and containing information on their change of status in accordance with point 4 of Annex XIII, which shall be accessible through the QR code.

10.   The Commission shall, by 18 August 2025, adopt implementing acts to establish harmonised specifications for the labelling 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).

Article 14

Information on the state of health and expected lifetime of batteries

1.   From 18 August 2024, 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; |
| --- | --- |

(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 for further use, based on the estimation of the state of health of the battery; |
| --- | --- |

(b)

evaluating the residual value or remaining lifetime of the battery and capability for further 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. |
| --- | --- |

(c)

facilitating the preparation for re-use, preparation for repurposing, repurposing or remanufacturing of the battery.

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 the software reset function is used, the original battery manufacturer shall not be held liable for any 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 to amend 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 on type approval of vehicles.

CHAPTER IV

CHAPTER IV

Conformity of batteries

Conformity of batteries

Article 15

Presumption of conformity of batteries

1.   For the purposes of compliance and verification of compliance of batteries with the requirements laid down in Articles 9, 10, 12, 13, 14 and 78, tests, measurements and calculations 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 which references 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.

3.   Batteries which are in conformity with harmonised standards, or parts thereof, for which references 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 or parts thereof, and, if applicable, to the extent that the minimum values established for those requirements 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; |
| --- | --- |

(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 to draft a harmonised standard for those requirements or tests; and |
| --- | --- |

(b)

the Commission has requested one or more European standardisation organisations to draft a harmonised standard for those requirements or tests; and

| (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, |
| --- | --- | --- |

(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 |
| --- | --- |

(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 not entirely correspond to the request of the Commission. |
| --- | --- |

(iii)

a European standardisation organisation has delivered a standard that does not entirely correspond to the request of the Commission.

Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 90(3).

When preparing the draft implementing act establishing the common specifications, the Commission shall take into account the views of relevant bodies or the expert group and shall 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 or parts thereof, and, if applicable, to the extent that the minimum values established for those requirements pursuant to Articles 9 and 10 are attained.

3.   Where a harmonised standard is adopted by an European standardisation organisation and proposed 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 in accordance 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 shall repeal the implementing acts referred to in paragraph 1, or parts thereof which cover the same 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 |
| --- | --- | --- |

(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; |
| --- | --- |

(ii)

‘Module D1 – Quality assurance of the production process’, set out in Part B of Annex VIII;

| (b) | for batteries not manufactured in series:






  (i) | ‘Module A – Internal production control’, set out in Part A of Annex VIII, or |
| --- | --- | --- |

(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. |
| --- | --- |

(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 shall be carried out in accordance with one of the following procedures:

| (a) | ‘Module D1 – Quality assurance of the production process’ set out in Part B of Annex VIII for batteries manufactured in series; or |
| --- | --- |

(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. |
| --- | --- |

(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 in accordance with the procedure ‘Module A – Internal production control’, set out in Part A of Annex VIII, taking into account the requirements laid down in Articles 6, 9, 10, 12, 13 and 14.

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 the notified 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, shall contain 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 the Member State in which the battery is placed or made available on the market or put into service. It shall be drawn up in electronic format and, where requested, it shall be provided in paper format.

3.   Where a battery is subject to more than one Union act requiring an EU declaration of conformity, 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 publication references.

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 this Regulation.

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 compliance with 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.

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 where required under Annex VIII. That identification number shall be affixed by the notified body itself or, under its instructions, by the manufacturer or by 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 the regime governing the CE marking and shall take appropriate action in the event of improper use of that marking.

CHAPTER V

CHAPTER V

Notification of conformity assessment bodies

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 this Regulation.

Article 22

Notifying authorities

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

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 a governmental entity, that body shall be a legal entity, comply mutatis mutandis with the requirements laid down in Article 23 and have arrangements to cover liabilities arising from its activities.

4.   The notifying authority shall take full responsibility for the tasks performed by the body referred 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 and impartiality 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 from those who carried out the assessment of the conformity assessment bodies applying for notification in accordance with Article 28.

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 as with notifying authorities of other Member States and other relevant national authorities.

6.   A notifying authority shall have a sufficient number of competent personnel and sufficient funding 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 notification of conformity assessment bodies and for the monitoring of notified bodies, and of any changes thereto.

The Commission shall make that information publicly available.

Article 25

Requirements relating to notified bodies

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

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

3.   A conformity assessment body shall be a third-party body independent from business and as 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 for carrying out the conformity assessment tasks shall not be the designer, manufacturer, supplier, importer, distributor, installer, purchaser, owner, user or maintainer of the batteries which they assess, nor the representative of any of those parties. That prohibition shall not preclude the use of assessed batteries that are necessary for the operations of the conformity assessment body or the use of such batteries for personal purposes.

A conformity assessment body, its top level management and the personnel responsible for carrying out the conformity assessment tasks shall not be directly involved in the design, manufacture, marketing, importation, distribution, installation, use or maintenance of those batteries, 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 in relation to conformity assessment activities for which they are notified. This shall in particular apply to consultancy services.

A conformity assessment body shall ensure that the activities of its parent or sister companies, subsidiaries or subcontractors do not affect the confidentiality, objectivity or impartiality of its conformity assessment activities.

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

6.   A conformity assessment body shall be capable of carrying out all the conformity assessment 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 body itself or on its behalf and under its responsibility.

At all times, and for each conformity assessment procedure set out in Annex VIII, for periodical audits in accordance with Article 48(2) and third-party verification in accordance 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; |
| --- | --- |

(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 their ability to be reproduced; |
| --- | --- |

(b)

the necessary descriptions of procedures in accordance with which conformity assessment is carried out, ensuring the transparency of those procedures and their ability to be reproduced;

| (c) | appropriate policies and procedures to distinguish between activities that it carries out as a notified body and other tasks; |
| --- | --- |

(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 which take 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 the mass or serial nature of the production process. |
| --- | --- |

(d)

the necessary procedures for the performance of conformity assessment tasks which take due account of the size of an undertaking, the sector in which it operates, its structure, the degree of complexity of the battery technology in question and the mass or serial nature of the production process.

A conformity assessment body shall have the means necessary to perform the technical and administrative tasks related to its conformity assessment activities in an appropriate manner and shall have access to all necessary information, testing equipment or facilities. This shall include establishment and the supervision of internal procedures, general policies, codes of conduct or other internal rules, the assignment of personnel to specific tasks, and conformity assessment decisions, without delegating them to a subcontractor or a subsidiary.

7.   The personnel responsible for carrying out conformity assessment tasks shall have the following:

| (a) | sound technical and vocational training covering all the conformity assessment activities in relation to which the conformity assessment body has been notified; |
| --- | --- |

(a)

sound technical and vocational training covering all the conformity assessment activities in relation to which the conformity assessment body has been notified;

| (b) | satisfactory knowledge of the requirements of the assessments they carry out and adequate authority to carry out those assessments; |
| --- | --- |

(b)

satisfactory knowledge of the requirements of the assessments they carry out and adequate 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 the applicable 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; |
| --- | --- |

(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 the applicable 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. |
| --- | --- |

(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 the personnel responsible for carrying out the conformity assessment tasks shall be guaranteed.

The remuneration of the top-level management and the personnel responsible for carrying out 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.

10.   The personnel of a conformity assessment body shall observe professional secrecy with regard to all information obtained in carrying out the conformity assessment tasks in accordance 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 carried out. 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 the administrative 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 the relevant 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.

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 the requirements 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 and concerning 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.

2.   The application for notification shall be accompanied by a description of the conformity assessment activities, of the conformity assessment module or modules set out in Annex VIII or the procedures set out in Article 48(2) and Article 51, and of the batteries for which the conformity assessment body claims to be competent, as well as by an accreditation certificate, where applicable, issued by a national accreditation body attesting that 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 and regular monitoring of its compliance with the requirements laid down in Article 25, including appropriate documentation demonstrating that the conformity assessment body is independent within the meaning of Article 25(3).

Article 29

Notification procedure

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

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 in paragraph 1 using the electronic notification tool developed and managed by the Commission.

3.   The notification shall include full details of the conformity assessment activities, the conformity 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.

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 to them 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 no longer meets the requirements laid down in Article 25 or that it is failing to fulfil its obligations, the notifying authority shall restrict, suspend or withdraw the notification, as appropriate, depending on the seriousness of the failure to meet those requirements or fulfil those obligations. It shall immediately inform the Commission and the other Member States accordingly.

2.   In the event of restriction, suspension or withdrawal of notification pursuant to paragraph 1, or where a notified body has ceased its activity, the notifying authority shall take appropriate steps to ensure that the files of that body are either processed by another notified body or kept available for the responsible notifying and market surveillance authorities at their request.

Article 32

Challenge 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 the requirements and responsibilities to which it is subject.

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

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

4.   Where the Commission ascertains that a notified body does not meet or no longer meets the requirements for its notification, it shall adopt an implementing act requiring the notifying Member State to take the necessary corrective action, including withdrawal of the notification if necessary. That implementing act shall be adopted in accordance with the 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, the structure of the undertaking, the degree of complexity of the battery to be assessed and the mass or serial nature of the production process. The notified body shall nevertheless respect the degree of rigour and the level of protection required for the compliance of the battery and of economic operators with this Regulation.

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 to take 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 take appropriate 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 the required effect, the notified body shall restrict, suspend or withdraw the approval decision, as appropriate.

Article 34

Appeal against decisions of notified bodies

Member States shall ensure that an appeal procedure against the decisions of notified bodies is available.

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; |
| --- | --- |

(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; |
| --- | --- |

(b)

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

| (c) | any request for information which it has received from market surveillance authorities regarding its conformity assessment activities; |
| --- | --- |

(c)

any request for information which it has received from market surveillance authorities regarding its conformity assessment activities;

| (d) | on request, any conformity assessment activities performed within the scope of its notification and any other activity performed, including cross-border activities and subcontracting. |
| --- | --- |

(d)

on request, any conformity assessment activities performed within the scope of its notification and any other activity performed, including cross-border activities and subcontracting.

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 |
| --- | --- |

(a)

negative and, on request, positive conformity assessments; and

| (b) | any restriction, suspension or withdrawal of an approval decision. |
| --- | --- |

(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 means of designated representatives.

CHAPTER VI

CHAPTER VI

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

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 |
| --- | --- |

(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) | is marked and labelled in accordance with Article 13. |
| --- | --- |

(b)

is marked and labelled in accordance with Article 13.

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

3.   Where compliance of a battery with the applicable requirements has been demonstrated by the relevant conformity assessment procedure referred to in Article 17, manufacturers shall draw up an EU declaration of conformity in accordance with Article 18 and affix the CE 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 the battery 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 shall adequately take into account changes in the production process or in battery design or characteristics and changes in the harmonised standards referred to in Article 15, common specifications referred to in Article 16 or other technical specifications by reference to which the conformity of the battery is declared or by application of which its conformity is verified.

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 the battery.

7.   Manufacturers shall indicate on the battery their name, registered trade name or registered trade mark, their postal address, indicating a single contact point, and, if available, web and email 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 and market surveillance authorities, as determined by the Member State in which the battery is to be placed on the market or put into service, and shall be clear, understandable and legible.

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 the requirements laid down in that Article.

9.   Manufacturers who consider or have reason to believe that a battery which they have placed on the market or put into service is not in conformity with one or more of the applicable requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14 shall immediately take the corrective action necessary to bring that battery into conformity, to withdraw it or recall it, as appropriate. Furthermore, where the battery presents a risk, 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.

10.   Manufacturers shall, further to a reasoned request from a national authority, provide it with all the information and documentation necessary to demonstrate the conformity of the battery with the requirements laid down in 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 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 the market 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 that has 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 documentation necessary 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.

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 to perform 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; |
| --- | --- |

(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;

| (b) | further to a reasoned request from a national authority, provide it with all the information and documentation necessary to demonstrate the conformity of the battery. That information and the documentation shall be provided in electronic format and, on request, in paper format; |
| --- | --- |

(b)

further to a reasoned request from a national authority, provide it with all the information and documentation necessary to demonstrate the conformity of the battery. 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 to eliminate the risks posed by batteries covered by the authorised representative’s mandate. |
| --- | --- |

(c)

cooperate with the national authorities, at their request, on any action taken to eliminate the risks posed by batteries covered by the authorised representative’s mandate.

4.   Where the battery presents a risk, authorised representatives shall immediately inform the market 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 procedure referred to in Article 17 has been carried out by the manufacturer; |
| --- | --- |

(a)

the EU declaration of conformity and technical documentation referred to in Annex VIII have been drawn up and that the relevant conformity assessment procedure referred to in Article 17 has been carried out by the manufacturer;

| (b) | the battery bears the CE marking referred to in Article 19, and is marked and labelled in accordance with Article 13; |
| --- | --- |

(b)

the battery bears the CE marking referred to in Article 19, and is marked and labelled in 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 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 the market; and |
| --- | --- |

(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 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 the market; and

| (d) | the manufacturer has complied with the requirements laid down in Article 38(6) and (7). |
| --- | --- |

(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 surveillance authorities giving details of the non-compliance and of any corrective action taken.

3.   Importers shall indicate on the battery their name, registered trade name or registered trade mark, their postal address, indicating a single contact point, and, if available, web and email 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 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 the market, and shall be clear, understandable and legible.

4.   Importers shall ensure that, while a battery is under their responsibility, storage or transport conditions 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.

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, shall immediately take the corrective action necessary to bring that battery into conformity, to withdraw it or recall it, as appropriate. Furthermore, where the battery presents a risk, importers shall immediately inform the market surveillance authority of the Member State in which they made the battery available on the market, 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 that the technical documentation referred to in Annex VIII is made available to those authorities, 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 the conformity 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 to eliminate the risks posed by batteries, which they have placed on the market.

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; |
| --- | --- |

(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 labelled in accordance with Article 13; |
| --- | --- |

(b)

the battery bears the CE marking referred to in Article 19 and is marked and labelled in 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 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 the market or put into service; and |
| --- | --- |

(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 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 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. |
| --- | --- |

(d)

the manufacturer and the importer have complied with the requirements laid down in Article 38(6) and (7) and Article 41(3) respectively.

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 the battery presents a risk, the distributor shall inform the manufacturer or the importer as well as the market surveillance authorities.

4.   Distributors shall ensure that, while a battery is under their responsibility, storage or transport 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 made available 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, to withdraw it or recall it, as appropriate, is taken. Furthermore, where the battery presents a risk, distributors shall immediately inform the market surveillance authorities of the Member States in which they made the battery available on the market, giving details, in particular, of the non-compliance and of any corrective action taken.

6.   Distributors shall, further to a reasoned request from a national authority, provide it with all the information and the documentation necessary to demonstrate the conformity 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 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).

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 Regulation and shall be subject to the obligations of a manufacturer under Article 38, where any of the following applies:

| (a) | a battery is placed on the market or put into service under that importer’s or distributor’s own name or trademark; |
| --- | --- |

(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 |
| --- | --- |

(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 that importer or distributor. |
| --- | --- |

(c)

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

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 and shipment 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 this Regulation, 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.

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; |
| --- | --- |

(a)

the identity of any economic operator that has supplied them with a battery;

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

(b)

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

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

CHAPTER VII

CHAPTER VII

Obligations of economic operators as regards battery due diligence policies

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 a group, consisting of parent and subsidiary undertakings, which, on a consolidated basis, exceeds the limit 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 the market or put into service before undergoing such operations.

This Chapter applies without prejudice to the provisions laid down in Union law on due diligence obligations in relation to minerals and metals originating from conflict-affected and high-risk areas.

Article 48

Battery due diligence policies

1.   From 18 August 2025, 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 the audit 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 the market.

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 February 2025, 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, and in line, in particular, with the international instruments referred to in points 3 and 4 of Annex X.

6.   Member States may, in order to provide information and support to economic operators in fulfilling 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 in paragraph 6, by building on existing Union action to support due diligence in the Union and in third countries, and may devise new measures to help economic operators fulfil their obligations under this Regulation.

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 in point 2 of Annex X, in view of scientific and technological progress in battery manufacturing and chemistries and amendments to Regulation (EU) 2017/821; |
| --- | --- |

(a)

amend the list of raw materials in point 1 of Annex X and of risk categories in point 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 to due diligence policies and to protection of the environment and of social rights; |
| --- | --- |

(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 to due 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 to Regulation (EU) 2017/821, and amend the list of internationally recognised due diligence instruments set out in point 4 of Annex X. |
| --- | --- |

(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 to Regulation (EU) 2017/821, and amend the list of internationally recognised due diligence instruments set out in point 4 of Annex X.

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, and associated social and environmental risk categories listed in point 2 of Annex X; |
| --- | --- |

(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, and associated 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 the standards set out in the internationally recognised due diligence instruments listed in point 4 of Annex X; |
| --- | --- |

(b)

incorporate in its battery due diligence policy standards that are consistent with the standards set out in the internationally recognised due diligence instruments listed in point 4 of Annex X;

| (c) | structure its internal management system to support its battery due diligence policy by 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; |
| --- | --- |

(c)

structure its internal management system to support its battery due diligence policy by 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; |
| --- | --- |

(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;

| (e) | incorporate its battery due diligence policy, including risk management measures, into contracts and agreements with suppliers; and |
| --- | --- |

(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 be based on the UN Guiding Principles on Business and Human Rights. |
| --- | --- |

(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 be based 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 that provides at least the following information:

| (a) | a description of the raw material, including its trade name and type; |
| --- | --- |

(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 the batteries to the economic operator that places the batteries containing the raw material in question on the market; |
| --- | --- |

(b)

the name and address of the supplier that supplied the raw material present in the batteries 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; |
| --- | --- |

(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;

| (d) | the quantities of the raw material present in the battery placed on the market, expressed in percentage or weight; |
| --- | --- |

(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); |
| --- | --- |

(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 in accordance with the specific recommendations for upstream economic operators, as set out in the OECD Due diligence guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, where relevant, such as the mine of origin, locations where the raw material is consolidated, traded and processed, and taxes, fees and royalties are paid. |
| --- | --- |

(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 in accordance with the specific recommendations for upstream economic operators, as set out in the OECD Due diligence guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas, where relevant, such as the mine of origin, locations where the raw material is consolidated, traded and processed, and taxes, fees and royalties are paid.

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

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 the risk 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; |
| --- | --- |

(a)

identify and assess the risk of adverse impacts in its supply chain, associated with the risk 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 assigned in accordance with Article 49(1), point (c); |
| --- | --- | --- |

(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 assigned in accordance with Article 49(1), point (c);

| (ii) | adopting risk management measures that are consistent with the internationally recognised 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 most effectively prevent or mitigate the identified risk; |
| --- | --- |

(ii)

adopting risk management measures that are consistent with the internationally recognised 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 most effectively prevent or mitigate the identified risk;

| (iii) | designing and implementing a risk management plan, monitoring and tracking performance of risk mitigation efforts, reporting back to its top management level assigned in accordance with Article 49(1), point (c), and considering suspending 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); |
| --- | --- |

(iii)

designing and implementing a risk management plan, monitoring and tracking performance of risk mitigation efforts, reporting back to its top management level assigned in accordance with Article 49(1), point (c), and considering suspending 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. |
| --- | --- |

(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 with the 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.

3.   The economic operator referred to in Article 48(1) shall identify and assess the probability of 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, the due 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.

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 their due diligence obligations in accordance with Articles 49, 50 and 52; |
| --- | --- |

(a)

cover all activities, processes and systems used by economic operators to fulfil their due diligence obligations in accordance with Articles 49, 50 and 52;

| (b) | have as their objective the determination of conformity of the due diligence practices of economic operators placing batteries on the market in accordance with Articles 49, 50 and 52; |
| --- | --- |

(b)

have as their objective the determination of conformity of the due diligence practices of 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 from stakeholders; |
| --- | --- |

(c)

where relevant, include checks on undertakings and gather information from stakeholders;

| (d) | identify, for the economic operators that place batteries on the market, areas of potential improvement in relation to their due diligence practices; |
| --- | --- |

(d)

identify, for the economic operators that place batteries on the market, areas of potential 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 of Minerals from Conflict-Affected and High-Risk Areas. |
| --- | --- |

(e)

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

2.   The notified body shall issue a verification report that records the activities undertaken in accordance 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 diligence scheme 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 other competitive concerns.

3.   The economic operator referred to in Article 48(1) shall on an annual basis review and make publicly available, including on the internet, a report on its battery due diligence policy. That report shall contain, in a manner that is easily comprehensible for end-users and clearly identifies the batteries concerned, the data and information on steps taken by that economic operator to comply with the requirements laid down in Articles 49 and 50, including findings of significant adverse impacts in the risk categories listed in point 2 of Annex X, and how they have been addressed, as well as a summary report of the third-party verifications carried out in accordance with Article 51, including the name of the notified body, with due regard for business confidentiality and other competitive concerns. That report shall also cover, where relevant, access to information, public participation in decision-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 from recycled sources, it shall publicly disclose its conclusions in reasonable detail, with due regard for business confidentiality and other competitive concerns.

Article 53

Recognition of due diligence schemes

1.   Governments, industry associations and groupings of interested organisations that have developed and oversee due diligence schemes (‘scheme owners’) may apply to have their due diligence schemes recognised by the Commission. The Commission is empowered to adopt implementing acts establishing the information requirements that the application for recognition is to contain. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 90(3).

2.   Where, on the basis of the evidence and information provided pursuant to the paragraph 1 of this Article, the Commission determines that the due diligence scheme referred to in that paragraph, 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 of equivalence 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 the examination procedure referred to in Article 90(3).

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

3.   The Commission shall adopt delegated acts in accordance with Article 89 setting out the criteria and the methodology according to which the Commission is to determine, in accordance with paragraph 2 of this Article, whether due diligence schemes enable economic 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 diligence schemes continue to fulfil the criteria that led to a decision to grant recognition of equivalence 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 have failed 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.

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 of this 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 diligence schemes. That register shall be made publicly available on the internet.

CHAPTER VIII

CHAPTER VIII

Management of waste batteries

Management 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 by producers 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; |
| --- | --- |

(a)

the registration of producers in accordance with Article 55;

| (b) | the authorisation of producers and producer responsibility organisations in accordance with Article 58; |
| --- | --- |

(b)

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

| (c) | the oversight of implementation of extended producer responsibility obligations in accordance with Article 57; |
| --- | --- |

(c)

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

| (d) | the collection of data on batteries and waste batteries in accordance with Article 75; |
| --- | --- |

(d)

the collection of data on batteries and waste batteries in accordance with Article 75;

| (e) | making information available in accordance with Article 76. |
| --- | --- |

(e)

making information available in accordance with Article 76.

4.   By 18 November 2025, Member States shall notify the Commission of the names and addresses of the competent authorities designated pursuant to paragraph 1. Member States shall inform the Commission without undue delay of any changes to the names or addresses 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.

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, in the 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 the Member State and address of the producer, including postal code and place, street and number, country, telephone number, if any, web and email address, indicating a single contact point; |
| --- | --- |

(a)

name, and brand names if available, under which the producer operates in the Member State and address of the producer, including postal code and place, street and number, country, telephone number, if any, web and email address, indicating a single contact point;

| (b) | national identification code of the producer, including its trade register number or equivalent official registration number and the European or national tax identification number; |
| --- | --- |

(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 portable batteries, industrial batteries, LMT batteries, electric vehicle batteries, or SLI batteries, and their chemistry; |
| --- | --- |

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

| (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 of batteries the producer makes available on the market in the Member State, and on the system to ensure that the data reported to the competent authorities are reliable; |
| --- | --- | --- | --- |

(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 of batteries the producer makes available on the market in the Member State, and on the system to ensure that the data reported to the competent authorities are reliable;

| — | where applicable, the name and contact details, including postal code and place, street and number, country, telephone number, web and email address 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; |
| --- | --- |

—

where applicable, the name and contact details, including postal code and place, street and number, country, telephone number, web and email address 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;

| (ii) | for SLI batteries, industrial batteries and electric vehicle 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 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 ensure that the data reported to the competent authorities are reliable; |
| --- | --- | --- |

(ii)

for SLI batteries, industrial batteries and electric vehicle 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 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 ensure that the data reported to the competent authorities are reliable;

| — | where applicable, the name and contact details, including postal code and place, street and number, country, telephone number, web and email address 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. |
| --- | --- |

—

where applicable, the name and contact details, including postal code and place, street and number, country, telephone number, web and email address 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.

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

(e)

a statement by the producer or, where applicable, authorised representative for extended 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) of that paragraph shall be provided either in the application for registration under paragraph 3 of this Article or in the application for authorisation under Article 58. Such application for authorisation shall include at least information on either individual or collective fulfilment of the extended producer responsibility obligations.

5.   Member States may request additional information or documents, as necessary, to use the register 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.

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 the authorisation procedure pursuant to Article 58 constitute a single procedure, provided that the 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 an electronic data-processing system; |
| --- | --- |

(a)

make available on its website information about the application process via an electronic 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. |
| --- | --- |

(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; |
| --- | --- |

(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;

| (b) | charge cost-based and proportionate fees to producers for the processing of the applications referred to in paragraph 2. |
| --- | --- |

(b)

charge cost-based and proportionate fees to producers for the processing of the applications 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 the requirements 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 the batteries 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.

Article 56

Extended Producer Responsibility

1.   Producers shall have extended producer responsibility for batteries that they make available on the market for the first time within the territory of a Member State. Such producers 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 the producer 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 representative for extended producer responsibility in each Member State in which it sells batteries. Such appointment shall be made by written mandate.

4.   The financial contributions to be paid by the producer shall cover the following costs for the products that the producer makes available on the market in the Member State concerned:

| (a) | costs of separate collection of waste batteries and their subsequent transport and treatment, taking into account any revenues obtained from preparation for re-use or preparation for repurposing or from the value of secondary raw materials recovered from recycled waste batteries; |
| --- | --- |

(a)

costs of separate collection of waste batteries and their subsequent transport and treatment, taking into account any revenues obtained from preparation for re-use or preparation for repurposing or from the value of secondary raw materials recovered from recycled waste batteries;

| (b) | costs of carrying out a compositional survey of collected mixed municipal waste in accordance with Article 69(5); |
| --- | --- |

(b)

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

| (c) | costs of providing information on prevention and management of waste batteries in accordance with Article 74; |
| --- | --- |

(c)

costs of providing information on prevention and management of waste batteries in accordance with Article 74;

| (d) | costs of data gathering and reporting to the competent authorities in accordance with Article 75. |
| --- | --- |

(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 the original batteries and the producers of the batteries that are placed on the market as a result of 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).

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 the first 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 accordance with 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 specific characteristics of a given category of batteries placed on the market and related waste management characteristics.

2.   In the case of a collective fulfilment of extended producer responsibility obligations, producer responsibility organisations shall ensure equal treatment of producers regardless of 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 of batteries and whether the batteries were subject to preparation for re-use, preparation for repurposing, repurposing or remanufacturing, and their carbon footprint; and |
| --- | --- |

(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 of batteries 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 the value of secondary raw materials recovered from recycled waste batteries. |
| --- | --- |

(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 the value of secondary raw materials recovered from recycled waste batteries.

3.   Where, in a Member State, multiple producer responsibility organisations are authorised to fulfil 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 competent authority or appoint an independent third party to ensure that producer responsibility organisations fulfil their obligations in coordinated manner.

4.   Producer responsibility organisations shall ensure the confidentiality of the data in its possession as regards proprietary information or information directly attributable to individual 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 rate of separate collection of waste batteries, recycling efficiencies and the levels of recovery of materials 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 for waste management operators selected in accordance with paragraph 8.

7.   Where necessary to avoid distortion of the internal market, the Commission is empowered to 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 determination of the level of the contributions and shall be adopted in accordance with the examination procedure referred to in Article 90(3).

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 medium-sized 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 in this 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 whose behalf the producer responsibility organisation acts; and |
| --- | --- |

(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 in this 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 whose behalf the producer responsibility organisation acts; and

| (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 the arrangements 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. |
| --- | --- |

(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 the arrangements 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 the extended producer responsibility obligations, and the modalities for verifying compliance of producers or producer responsibility organisations, including the information to be provided 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 competent authority without undue delay of any changes to the information contained in the authorisation, of any changes that concern the terms of the authorisation or of the permanent cessation of operations.

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 complied with 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 the competent 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 based on 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 the organisation of the collection and treatment of waste batteries or fails in relation to reporting to the competent authority or fails to notify it of any changes that concern the terms of the authorisation, or has ceased operations.

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 such guarantee. 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 a public fund that is financed by producers’ fees and for which the Member State running the organisation 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; |
| --- | --- |

(a)

establish a waste portable battery take-back and collection system;

| (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’); |
| --- | --- |

(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 and transport containers meeting the requirements of Directive 2008/68/EC of the European Parliament and of the Council (46), to the 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 and transport containers meeting the requirements of Directive 2008/68/EC of the European Parliament and of the Council (46), to the connected collection points for waste portable batteries;

| (d) | collect, free of charge, the waste portable batteries collected at the connected collection points, with a frequency that is proportionate to the area covered and the volume and hazardous nature of the waste portable batteries usually collected through the connected collection points for waste portable batteries; |
| --- | --- |

(d)

collect, free of charge, the waste portable batteries collected at the connected collection points, with a frequency that is proportionate to the area covered and the volume and hazardous nature of the waste portable batteries usually collected through the connected collection points for waste portable batteries;

| (e) | collect, free of charge, the waste portable batteries removed from waste electrical and electronic equipment, with a frequency that is proportionate to the volume and hazardous nature of the waste portable batteries; |
| --- | --- |

(e)

collect, free of charge, the waste portable batteries removed from waste electrical and electronic equipment, with a frequency that is proportionate to the volume and hazardous nature of the waste portable batteries;

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

(f)

ensure that the waste portable batteries collected from the connected collection points for waste portable batteries and removed from waste electrical and electronic equipment 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-back and collection system:

| (a) | consists of collection points set up by them in cooperation with one or more of the following:






  (i) | distributors in accordance with Article 62; |
| --- | --- | --- |

(a)

consists of collection points set up by them in cooperation with one or more of the following:

(i)

distributors in accordance with Article 62;

| (ii) | end-of-life vehicle treatment facilities subject to Directive 2000/53/EC; |
| --- | --- |

(ii)

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

| (iii) | public authorities, or third parties carrying out waste management on their behalf, in accordance with Article 66; |
| --- | --- |

(iii)

public authorities, or third parties carrying out waste management on their behalf, in accordance with Article 66;

| (iv) | voluntary collection points in accordance with Article 67; |
| --- | --- |

(iv)

voluntary collection points in accordance with Article 67;

| (v) | waste electrical and electronic equipment treatment facilities subject to Directive 2012/19/EU; and |
| --- | --- |

(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 size and density, expected volume of waste portable batteries, accessibility for and proximity to end-users, not being limited to areas where the collection and subsequent management of waste portable batteries is profitable. |
| --- | --- |

(b)

covers the whole territory of the Member State taking into account population size and density, expected volume of waste portable batteries, accessibility for and proximity to end-users, not being limited to areas where the collection and subsequent 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 the following collection targets for waste portable batteries:

| (a) | 45 % by 31 December 2023; |
| --- | --- |

(a)

45 % by 31 December 2023;

| (b) | 63 % by 31 December 2027; |
| --- | --- |

(b)

63 % by 31 December 2027;

| (c) | 73 % by 31 December 2030. |
| --- | --- |

(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 accordance with Annex XI.

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

5.   Collection points set up in accordance with paragraph 2, points (a)(i), (iii) and (iv), shall not 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 in paragraph 2, point (a), of this Article may collect waste portable batteries only if they have concluded 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 of rechargeable 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 18 August 2027 delegated acts in accordance 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 in paragraph 3 of this Article to adapt that collection target to the new methodology while maintaining equivalent ambition and timelines.

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 their nature, 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 first time. For that purpose they shall:

| (a) | establish a waste LMT battery take back and collection system; |
| --- | --- |

(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 to in paragraph 2, point (a), and provide for the collection of waste LMT batteries from all entities that have made use of that offer (‘connected collection points for LMT batteries’); |
| --- | --- |

(b)

offer the collection of waste LMT batteries, free of charge, to the entities referred to in paragraph 2, point (a), and provide for the collection of waste LMT batteries from all 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 and transport containers meeting the requirements of Directive 2008/68/EC, to the 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 and transport containers meeting the requirements of Directive 2008/68/EC, to the connected collection points for LMT batteries;

| (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 at those collection points; |
| --- | --- |

(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 at those collection points;

| (e) | collect, free of charge, the waste LMT batteries removed from waste electrical and electronic equipment, with a frequency that is proportionate to the volume and hazardous nature of the waste LMT batteries; |
| --- | --- |

(e)

collect, free of charge, the waste LMT batteries removed from waste electrical and electronic equipment, with a frequency that is proportionate to the volume and hazardous 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 are subsequently subject to treatment in a permitted facility by a waste management operator in accordance with Article 70. |
| --- | --- |

(f)

ensure that the waste LMT batteries collected from the connected collection points for LMT batteries and removed from waste electrical and electronic equipment are subsequently 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 the following:






  (i) | distributors in accordance with Article 62; |
| --- | --- | --- |

(a)

consists of collection points set up by them in cooperation with one or more of the following:

(i)

distributors in accordance with Article 62;

| (ii) | end-of-life vehicle treatment facilities subject to Directive 2000/53/EC; |
| --- | --- |

(ii)

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

| (iii) | public authorities, or third parties carrying out waste management on their behalf, in accordance with Article 66; |
| --- | --- |

(iii)

public authorities, or third parties carrying out waste management on their behalf, in accordance with Article 66;

| (iv) | voluntary collection points in accordance with Article 67; |
| --- | --- |

(iv)

voluntary collection points in accordance with Article 67;

| (v) | waste electrical and electronic equipment treatment facilities subject to Directive 2012/19/EU; and |
| --- | --- |

(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 size and 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. |
| --- | --- |

(b)

covers the whole territory of the Member State taking into account population size and 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; |
| --- | --- |

(a)

51 % by 31 December 2028;

| (b) | 61 % by 31 December 2031. |
| --- | --- |

(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 paragraph in accordance with Annex XI.

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 suitable collection infrastructure for the separate collection of waste LMT batteries meeting the applicable safety requirements and cover the necessary costs incurred by those collection points in relation to the take back activities; the containers for collection and temporary storage of such waste batteries at the collection points shall be suitable in view of the volume and hazardous nature of waste LMT batteries that are likely to be collected through those collection points; |
| --- | --- |

(a)

set up the collection points referred to in paragraph 2, point (a), with suitable collection infrastructure for the separate collection of waste LMT batteries meeting the applicable safety requirements and cover the necessary costs incurred by those collection points in relation to the take back activities; the containers for collection and temporary storage of such waste batteries at the collection points shall be suitable in view of the volume and hazardous nature of waste LMT batteries that are likely to be collected through those collection points;

| (b) | collect waste LMT batteries from the collection points referred to in paragraph 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 that are usually collected through those collection points; and |
| --- | --- |

(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 that are 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 for treatment in accordance with Articles 70 and 73. |
| --- | --- |

(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 for treatment in accordance with Articles 70 and 73.

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

6.   Collection points set up in accordance with paragraph 2, points (a)(i), (iii) and (iv), shall not 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 in paragraph 2, point (a), of this Article may collect waste LMT batteries only if they have concluded 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 18 August 2027, delegated acts in accordance with Article 89 to amend the methodology to calculate the collection rate of waste LMT batteries set out in Annex XI and to amend the collection target laid down in paragraph 3 of this Article to adapt the collection target to the new methodology while maintaining equivalent ambition and timelines.

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, where appointed in accordance with Article 57(1), producer responsibility organisations, shall take 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 have made available on the market for the first time in the territory of that Member State are collected 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 take-back 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 in accordance with Article 62(1); |
| --- | --- |

(a)

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

| (b) | operators carrying out remanufacturing or repurposing of SLI batteries, industrial batteries and electric vehicle batteries; |
| --- | --- |

(b)

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

| (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 and waste electric vehicle batteries arising from their operations; |
| --- | --- |

(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 and waste electric vehicle batteries arising from their operations;

| (d) | public authorities or third parties carrying out waste management on their behalf in accordance with Article 66. |
| --- | --- |

(d)

public authorities or third parties carrying out waste management on their behalf in accordance with Article 66.

Member States may adopt measures to require that the entities referred to in the first 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, non-commercial users, the obligation of the producer to take back those waste batteries shall not result in any costs related to the dismantling and collection of those waste batteries being borne by those users.

2.   The take-back arrangements put in place in accordance with paragraph 1 shall cover the whole territory of a Member State taking into account population size and density, expected volume of waste SLI batteries, waste industrial batteries and waste electric vehicle 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, where appointed in accordance with Article 57(1), producer responsibility organisations, shall:

| (a) | provide the take back and collection systems referred to in paragraph 1 with suitable collection 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 and collection 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 be collected through those collection points; |
| --- | --- |

(a)

provide the take back and collection systems referred to in paragraph 1 with suitable collection 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 and collection 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 be collected through those collection points;

| (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 a frequency that is proportionate to the storage capacity of the separate collection infrastructure and the volume and hazardous nature of waste batteries that are usually collected through those take back and collection systems; and |
| --- | --- |

(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 a frequency that is proportionate to the storage capacity of the separate collection infrastructure and the volume and hazardous nature of waste batteries that are usually collected through those 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 and collection systems referred to in paragraph 1 of this Article to permitted facilities for treatment in accordance with Articles 70 and 73. |
| --- | --- |

(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 and collection systems referred to in paragraph 1 of this Article to permitted facilities for treatment in accordance with Articles 70 and 73.

4.   The entities referred to in paragraph 1, points (a) to (d), of this Article may hand over collected 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 to their 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.

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, regardless of 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; |
| --- | --- |

(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. |
| --- | --- |

(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; |
| --- | --- |

(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 non-professional end-users normally discard. |
| --- | --- |

(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 non-professional end-users normally discard.

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 in accordance 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 and taking into account population size and density, expected volume of waste portable batteries, 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 portable batteries, 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 back arrangements for a waste battery.

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 of Chapter III of that Regulation, that allow consumers to conclude distance contracts with producers shall obtain the following information from producers offering batteries, including batteries incorporated in appliances, light means of transport or other vehicles, to consumers 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; |
| --- | --- |

(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 those incorporated in appliances, light means of transport or other vehicles, with regard to which 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. |
| --- | --- |

(b)

a self-certification by the producer committing to only offer batteries, including those incorporated in appliances, light means of transport or other vehicles, with regard to which 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 of establishment of deposit return systems for batteries, in particular for portable batteries of general use. To that end, the Commission shall submit a report to the European Parliament and to the Council and consider taking appropriate measures, including the adoption of legislative proposals.

Article 64

Obligations of end-users

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

2.   End-users shall discard waste batteries in designated separate collection points set up by, or in 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 shall hand 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, or to waste management operators selected in accordance with Article 57(8) with a view to their treatment in accordance with Article 70.

2.   The operators of treatment facilities referred to in paragraph 1 shall keep records of those handover transactions.

Article 66

Participation of public waste management authorities

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

2.   Public waste management authorities shall ensure that collected waste batteries are treated in accordance with Article 70, either by:

| (a) | handing them over to producers of the relevant category of batteries or, where appointed in accordance with Article 57(1), to producer responsibility organisations, or to waste management operators selected in accordance with Article 57(8); or |
| --- | --- |

(a)

handing them over to producers of the relevant category of batteries or, where appointed 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 accordance with Article 68(2). |
| --- | --- |

(b)

carrying out the treatment of the collected waste batteries themselves in accordance with 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 their behalf, 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.

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 in accordance 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 in accordance with Article 70. Member States shall ensure that such restrictions do not have an 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.

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, of the 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 to waste 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 particular on the information reported to the competent authorities in accordance with Article 75 and shall include the verification of that information, and of whether the producer has complied with 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 the Member State.

3.   Where, on the basis of the monitoring referred to in paragraph 2 of this Article, a Member State finds that a producer or, where appointed in accordance with Article 57(1), a producer responsibility organisation, has not taken measures consistent with the achievement 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 competent authority 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 months of the request by the competent authority referred to in paragraph 3 of this Article. That competent 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.

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, the authorisation laid down in Article 58 continue to be met.

5.   By 1 January 2026 and every five years thereafter, Member States shall carry out a compositional survey of collected mixed municipal waste and waste electrical and electronic equipment streams for the preceding calendar year to determine the share of waste portable batteries and waste LMT batteries therein. On the basis of those surveys, the competent 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 of connected 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.

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 light means 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, where applicable, 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 to amend the treatment requirements for waste batteries set out in Part A of Annex XII in light 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 and recovery of materials respectively.

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 the targets 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 in accordance with the rules laid down in a delegated act adopted pursuant to paragraph 4 of this Article.

4.   The Commission shall, by 18 February 2025, adopt a delegated act in accordance with Article 89 to supplement this Regulation by establishing the methodology for calculation and verification of rates for recycling efficiency and recovery of materials, in accordance with Part A of Annex XII, and the format for the documentation.

5.   By 18 August 2026 and at least every five years thereafter, the Commission shall assess whether, due to market developments, in particular concerning battery technologies impacting the type of materials recovered and the existing and forecasted availability of cobalt, copper, lead, lithium or nickel or the lack thereof, and in view of technical and scientific progress, it is appropriate to revise the targets 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, the Commission 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 be recovered and in light of technical and scientific progress, including emerging new technologies 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.

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 competent authorities 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 and monitor such shipments accordingly.

Where the competent authorities in a Member State establish that an intended shipment of used batteries consists of waste batteries, the costs of appropriate analyses, inspections and storage of the used batteries suspected to be waste may be charged to the producers of the relevant 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 in accordance with Article 89, supplementing the minimum requirements set out in Annex XIV, in particular on the state of health, to distinguish between the shipment of used batteries and waste batteries.

3.   Waste batteries or fractions thereof exported from the Union in accordance with paragraph 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 competent authority of destination that the treatment took place in conditions that are equivalent to those required by this Regulation and in accordance with other Union law regarding human health and environmental protection.

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

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 electric vehicle 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 competent authority:

| (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 the battery to deliver the performance relevant for its use following preparation for re-use or preparation for repurposing; |
| --- | --- |

(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 the battery to deliver the performance relevant for its use following preparation for re-use 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 for the sale or transfer of ownership of the battery; |
| --- | --- |

(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 for the sale or transfer of ownership of the battery;

| (c) | evidence of appropriate protection against damage during transportation, loading and unloading, including through sufficient packaging and appropriate stacking of the load. |
| --- | --- |

(c)

evidence of appropriate protection against damage during transportation, loading and unloading, including through sufficient packaging and appropriate stacking of the load.

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 the market 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).

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; |
| --- | --- |

(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 in accordance with their obligations under Article 64 to allow their treatment; |
| --- | --- |

(b)

the role of end-users in contributing to the separate collection of waste batteries in accordance 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; |
| --- | --- |

(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 the risks associated with, and the handling of, batteries containing lithium; |
| --- | --- |

(d)

the necessary safety instructions to handle waste batteries, including in relation to the risks associated with, and the handling of, batteries containing lithium;

| (e) | the meaning of the labels and symbols on batteries in accordance with Article 13 or printed on their packaging or in the documents accompanying batteries; and |
| --- | --- |

(e)

the meaning of the labels and symbols on batteries in accordance with Article 13 or printed 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. |
| --- | --- |

(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; |
| --- | --- |

(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 the market. |
| --- | --- |

(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 the market.

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 of waste batteries.

3.   From the moment that a battery is supplied within the territory of a Member State producers shall make available electronically, free of charge and upon request, to waste management operators carrying out preparation for re-use, preparation for repurposing or treatment, as far as it is needed by those operators to carry out those activities, the following battery model specific information regarding the proper and environmentally sound 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; |
| --- | --- |

(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. |
| --- | --- |

(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 the components 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 the Member State on whose market the battery is to be made available.

4.   Distributors that supply batteries to end-users shall permanently provide in their retail premises in an easily accessible and clearly visible manner for the end-users of the batteries, the information referred to in paragraphs 1 and 2, and information on how the end-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 be limited to the categories of batteries which the distributor or retailer has, or had, as new batteries in its offer.

Distributors shall provide the information referred to in paragraphs 1 and 2 also when they sell their products through online platforms that allow consumers to conclude distance contracts 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 with paragraph 1.

7.   Where information is provided publicly to end-users under this Article, the confidentiality of commercially sensitive information in conformity with the relevant Union and national law 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 in accordance with Article 57(1), producer responsibility organisations shall report to the competent 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; |
| --- | --- |

(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 general use 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 general use 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 in accordance with Articles 59 and 60, respectively; |
| --- | --- |

(c)

the amount of waste portable batteries and waste LMT batteries collected in accordance with Articles 59 and 60, respectively;

| (d) | the collection rate reached by the producer or producer responsibility organisation for waste portable batteries and waste LMT batteries; |
| --- | --- |

(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; |
| --- | --- |

(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 to third countries for treatment, preparation for re-use or preparation for repurposing; |
| --- | --- |

(f)

the amount of collected waste portable batteries and waste LMT batteries exported to third 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. |
| --- | --- |

(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 in accordance with Article 57(1), producer responsibility organisations, collect waste portable batteries 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 for each calendar year the amount of waste portable batteries and waste LMT batteries collected according to their chemistry.

2.   Producers of SLI batteries, industrial batteries and electric vehicle batteries or where appointed in accordance with Article 57(1) producer responsibility organisations, shall report to the competent authority for each calendar year the following information, according to chemistries and categories of waste batteries:

| (a) | the amount of SLI batteries, industrial batteries and electric vehicle batteries made available on the market for the first time in a Member State, excluding batteries that have left the territory of that Member State in that year, before being sold to end-users; |
| --- | --- |

(a)

the amount of SLI batteries, industrial batteries and electric vehicle batteries made available on the market for the first time in a Member State, excluding batteries that have left the territory of that Member State in that year, before being sold to end-users;

| (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; |
| --- | --- |

(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; |
| --- | --- |

(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. |
| --- | --- |

(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.

3.   Where waste management operators collect waste batteries from distributors or other collection points for waste SLI batteries, waste industrial batteries and waste electric vehicle batteries or from end-users, they shall report to the competent authority for each calendar year the following information according to chemistries and categories of waste batteries:

| (a) | the amount of waste SLI batteries, waste industrial batteries and waste electric vehicle batteries collected; |
| --- | --- |

(a)

the amount of waste SLI batteries, waste industrial batteries and waste electric vehicle 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; |
| --- | --- |

(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; |
| --- | --- |

(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. |
| --- | --- |

(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.

5.   Waste management operators carrying out treatment and recyclers shall report to the competent 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, the following information:

| (a) | the amount of waste batteries received for treatment; |
| --- | --- |

(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; |
| --- | --- |

(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. |
| --- | --- |

(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 are carried out at more than one facility, the first recycler shall be responsible for collecting the information 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 authority of the Member State where the batteries were collected, if different.

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 count towards the attainment of the targets set out in Annex XII by the Member State in which that waste was collected.

6.   Where waste holders other than those referred to in paragraph 5 export batteries for treatment 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 the competent 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 are collected. The first reporting period shall concern the first full calendar year after the entry into force of the implementing act that establishes the format for reporting to the Commission, in accordance with Article 76(5).

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

9.   Member State may allow competent authorities to request any additional information necessary to ensure that the data reported are reliable.

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 their chemistries:

| (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; |
| --- | --- |

(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; |
| --- | --- |

(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; |
| --- | --- |

(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;

| (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 in Part C of Annex XII, regarding the batteries collected in that Member State. |
| --- | --- |

(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 in Part 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 the reporting year for which the data are collected. They shall make those data public electronically in the format established by the Commission in accordance with paragraph 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 force of 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.

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 be accompanied by a quality check report to be presented in the format established by the Commission in accordance with paragraph 5.

4.   The Commission shall collect and review the information made available in accordance with this Article. The Commission shall publish a report assessing the organisation of the data 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 18 August 2025, 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 of paragraphs 1 and 4 of this Article. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 90(3).

CHAPTER IX

CHAPTER IX

Digital battery passport

Digital battery passport

Article 77

Battery passport

1.   From 18 February 2027 each LMT battery, each industrial battery with a capacity greater than 2 kWh and each electric vehicle battery placed on the market or put into service shall have an electronic record (‘battery passport’).

2.   The battery passport shall contain information relating to the battery model and information specific to the individual battery, including resulting from the use of that battery, 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 of Annex XIII; |
| --- | --- |

(a)

information accessible to the general public in accordance with point 1 of Annex XIII;

| (b) | information accessible only to notified bodies, market surveillance authorities and the Commission in accordance with points 2 and 3 of Annex XIII; and |
| --- | --- |

(b)

information accessible only to notified bodies, market surveillance authorities and the Commission in accordance with points 2 and 3 of Annex XIII; and

| (c) | information accessible only to any natural or legal person with a legitimate interest in accessing 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. |
| --- | --- |

(c)

information accessible only to any natural or legal person with a legitimate interest in accessing 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 the second subparagraph, shall:

| (a) | concern dismantling of the battery, including safety measures to be taken during the dismantling, and the detailed composition of the battery model and be essential to allow repairers, remanufacturers, second-life operators and recyclers to conduct their respective economic activities in accordance with this Regulation; or |
| --- | --- |

(a)

concern dismantling of the battery, including safety measures to be taken during the dismantling, and the detailed composition of the battery model and be essential to allow repairers, remanufacturers, second-life operators and recyclers to conduct their respective 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. |
| --- | --- |

(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 to amend Annex XIII as regards the information to be included in the battery passport in view of technical and scientific progress.

3.   The battery passport shall be accessible through the QR code referred to in Article 13(6) which links to a unique identifier that the economic operator placing the battery on the market shall attribute to it.

The QR code and the unique identifier shall comply with 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 to amend the second subparagraph of this paragraph in light of technical and scientific progress 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 shall comply.

4.   The economic operator placing the battery on the market shall ensure that the information in the battery passport is accurate, complete and up to date. It may 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 with the essential requirements laid down in Article 78.

6.   The access to information included in the battery passport shall be regulated in accordance with 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 new battery passport linked to the battery passport or passports of the original battery or batteries.

Where the status of a battery changes to that of a waste battery, the responsibility for the fulfilment of the obligations under paragraph 4 of this Article shall be transferred either to the 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.

9.   By 18 August 2026, the Commission shall adopt implementing acts specifying which persons are to be considered persons with a 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 those points they shall have access, and to what extent they can download, share, publish and re-use that information. Those implementing acts shall be adopted in accordance with the examination 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 the information 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; |
| --- | --- |

(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 the battery, or for choosing between those operations; |
| --- | --- |

(b)

the necessity of having such information for the purpose of preparation for re-use, preparation for repurposing, repurposing, remanufacturing or recycling of the battery, 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 in accordance with applicable Union law. |
| --- | --- |

(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 in accordance with applicable Union law.

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 and organisational aspects of end-to-end communication and data transfer; |
| --- | --- |

(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 and organisational aspects of end-to-end communication and data transfer;

| (b) | consumers, economic operators and other relevant actors shall have access to the battery passport free of charge and based on their respective access rights set out in Annex XIII and the implementing act adopted pursuant to Article 77(9); |
| --- | --- |

(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; |
| --- | --- |

(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;

| (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 the obligations under Article 77(4) or (7), those operators shall not be allowed to sell, re-use or process such data, in whole or in part, beyond what is necessary for the provision of the relevant storing or processing services; |
| --- | --- |

(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 the obligations under Article 77(4) or (7), those operators shall not be allowed to sell, re-use or process such data, in whole or in part, beyond what is necessary for the provision of the relevant storing or processing services;

| (e) | the battery passport shall remain available after the economic operator responsible for the fulfilment of the obligations under Article 77(4) or (7) ceases to exist or ceases its activity in the Union; |
| --- | --- |

(e)

the battery passport shall remain available after the economic operator responsible for the fulfilment 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 shall be restricted based on the access rights specified in Annex XIII and the implementing act adopted pursuant to Article 77(9); |
| --- | --- |

(f)

the rights to access, introduce, modify or update information in the battery passport shall be 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; |
| --- | --- |

(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 and fraud is avoided. |
| --- | --- |

(h)

the battery passport shall be such that a high level of security and privacy is ensured and fraud is avoided.

CHAPTER X

CHAPTER X

Union market surveillance and Union safeguard procedures

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 a battery covered by this Regulation presents a risk to human health or safety of persons, to property 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 the relevant economic operator to take all appropriate corrective action, within a reasonable period prescribed by the market surveillance authorities and commensurate with the nature of the risk, to bring the battery into compliance with those requirements, to withdraw it from the market, or to recall it.

The market surveillance authorities shall inform the relevant notified body accordingly.

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 the economic operator to take.

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

4.   Where the relevant economic operator does not take adequate corrective action within the period referred to in 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 from that market or to recall them.

The market surveillance authorities shall inform the Commission and the other Member States, without delay, of those measures.

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 shall indicate whether the non-compliance is due to any of the following:

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

(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; |
| --- | --- |

(b)

shortcomings in the harmonised standards referred to in Article 15;

| (c) | shortcomings in the common specifications referred to in Article 16. |
| --- | --- |

(c)

shortcomings in the common specifications referred to in Article 16.

6.   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-compliance of the battery concerned, and, in the event of disagreement with the adopted national measure, of their objections.

7.   Where, within three months of receipt of the information referred to in paragraph 4, second subparagraph, no objection has been raised by either a Member State or the Commission 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 are raised against a measure taken by market surveillance authorities, or where the Commission 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).

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 them and the relevant economic operator or operators.

If the national measure is considered justified, all Member States shall take the necessary measures to ensure that the non-compliant battery is withdrawn from their market, and shall inform the Commission accordingly.

If the national measure is considered unjustified, the Member State concerned shall withdraw that measure.

3.   Where the national measure is considered justified and the non-compliance of the battery is attributed to shortcomings in the harmonised standards referred to in Article 15 of this Regulation, the Commission shall apply the procedure provided for in Article 11 of Regulation (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, the Commission shall, without delay, adopt an implementing act amending or repealing the common specifications concerned. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 90(3).

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 the risk, to ensure that the compliant battery which presents a risk, when made available on the market, 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 the compliant 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 all available 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 nature of the risk involved and the nature and duration of the national measures taken.

4.   The Commission shall without delay enter into consultation with the Member States and the 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 accordance with the examination procedure referred to in Article 90(3).

5.   On duly justified imperative grounds of urgency relating to the protection of human health and the safety of persons, and to the protection of property or the environment, the Commission shall adopt an immediately applicable implementing act in accordance with the 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.

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-compliance

1.   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 non-compliance 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; |
| --- | --- |

(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; |
| --- | --- |

(b)

the CE marking has not been affixed;

| (c) | the identification number of the notified body, where required under Annex VIII, has been affixed in violation of Article 20 or has not been affixed; |
| --- | --- |

(c)

the identification number of the notified body, where required under Annex VIII, has been affixed in violation of Article 20 or has not been affixed;

| (d) | the EU declaration of conformity has not been drawn up or has not been drawn up correctly; |
| --- | --- |

(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 not complete; |
| --- | --- |

(e)

the technical documentation referred to in Annex VIII is either not available, or not complete;

| (f) | the information referred to in Article 38(7) or Article 41(3) is absent, false or incomplete; |
| --- | --- |

(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; |
| --- | --- |

(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.

Article 84

Non-compliance with due diligence obligations

1.   Where a Member State finds that an economic operator does not fulfil its due diligence obligations 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 other effective means available to put an end to the non-compliance, the Member State concerned shall take all appropriate measures to restrict or prohibit the batteries made available 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 are withdrawn from the market or recalled.

CHAPTER XI

CHAPTER XI

Green public procurement and procedure for amending restrictions on substances

Green 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 in situations covered by those Directives, take account of the environmental impacts of those batteries over their life cycle with a view to ensuring that such impacts are kept to a minimum.

2.   From 12 months after the date of entry into force of the first delegated act referred to in paragraph 3 of this Article, establishing award criteria for procurement procedures, the obligation laid down in paragraph 1 of this Article shall be fulfilled through the application of those award criteria. Any procurement procedure carried out by contracting authorities or contracting entities for the purchase of batteries, or products containing batteries, that fall 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 over their 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 this Regulation 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.

Article 86

Restriction procedure for substances

1.   If the Commission considers that the use of a substance in the manufacture of batteries, or the presence of a substance in the batteries when they are placed on the market, or during their subsequent life cycle stages, including during repurposing or 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 socioeconomic assessment, including an analysis of alternatives.

2.   Within 12 months of the receipt of the request from the Commission referred to in paragraph 1 of this Article and if the restriction dossier prepared by the Agency pursuant to that 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 the process described in paragraphs 4 to 9 of this Article and Articles 87 and 88.

3.   If a Member State considers that the use of a substance in the manufacture of batteries, or the presence of a substance in the batteries when they are placed on the market, or during their subsequent life cycle stages, including during repurposing or 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 socioeconomic assessment, including an analysis 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 or Member 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 purposes of 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 a similar task shall provide information to the Agency or Member State concerned on request.

5.   Access to information held by the Agency in performing the tasks defined in Article 6 of this 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 Socioeconomic 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 of the dossier, the respective Committee shall inform the Agency or the Member State suggesting 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 of receipt. 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 the procedure 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 inform stakeholders concerned.

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; |
| --- | --- |

(a)

comments on the restriction dossier and the suggested restrictions;

| (b) | a socioeconomic analysis of the suggested restrictions, including an analysis of alternatives, or information which can contribute to such an analysis, examining the advantages and drawbacks of the suggested restrictions. Such analysis shall conform to the requirements of Annex XVI to Regulation (EC) No 1907/2006. |
| --- | --- |

(b)

a socioeconomic analysis of the suggested restrictions, including an analysis of alternatives, or information which can contribute to such an analysis, examining the advantages and drawbacks of the suggested restrictions. Such analysis shall conform to 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 Socioeconomic Analysis of the Agency referred to in Article 87(2). If the Committee for Socioeconomic Analysis does not adopt an opinion by the deadline set in Article 87(2) or (5), as applicable, the Commission shall take into account the socioeconomic impact of the restriction, including the availability of alternatives for the substance and shall adopt a delegated act by the deadline set in Article 87(2).

11.   Where the draft amendment to Annex I diverges from the original proposal of the restriction dossier, prepared pursuant to the procedure laid down in this Article and Articles 87 and 88, or if it does not take the opinions from the Agency into account, the Commission 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 are appropriate 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 account of the restriction dossier prepared by the Agency at the request of the Commission or by the Member State, and the views of interested parties referred to in Article 86(9), point (a).

2.   Within 15 months of the date of publication referred to in Article 86(9), the Committee for Socioeconomic Analysis shall adopt an opinion on the suggested restrictions, based on its consideration of the relevant parts of the restriction dossier and the socioeconomic impact. Prior to that, it shall prepare a draft opinion on the suggested restrictions and on the related socioeconomic impact, taking account of the analyses or information according to Article 86(9), point (b), if there are any.

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

4.   The Committee for Socioeconomic 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 the restrictions suggested in the restriction dossier, the Agency shall postpone the deadline for the opinion of the Committee for Socioeconomic Analysis by a maximum of 90 days.

6.   Where the Committees for Risk Assessment and Socioeconomic 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.

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 Socioeconomic Analysis on restrictions suggested pursuant to Article 86. Where the opinions of the Committees for Risk Assessment and Socioeconomic Analysis diverge significantly from the suggested restrictions, the Agency shall submit an explanatory note to the Commission providing a detailed explanation of the reasons 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 the Commission 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.

CHAPTER XII

CHAPTER XII

Delegated powers and committee procedure

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 the conditions 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), and Article 85(3) shall be conferred on the Commission for a period of five years from 17 August 2023. The Commission shall draw up a report in respect of the 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 three months before the end of each period.

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 effect the 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 delegated acts already in force.

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

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

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 the Council 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 the Council.

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 shall apply.

3.   Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

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.

CHAPTER XIII

CHAPTER XIII

Amendments

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 the following:
  ‘(EU) 2016/425 (*1), (EU) 2016/426 (*2) and (EU) 2023/1542 (*3)


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


  (*2)  Regulation (EU) 2016/426 of the European Parliament and of the Council of 9 March 2016 on appliances burning gaseous fuels and repealing Directive 2009/142/EC (OJ L 81, 31.3.2016, p. 99)."


  (*3)  Regulation (EU) 2023/1542 of the European Parliament and of the Council of 12 July 2023 concerning batteries and waste batteries, amending Directive 2008/98/EC and Regulation (EU) 2019/1020 and repealing Directive 2006/66/EC (OJ L 191, 28.7.2023, p. 1).’;" |
| --- | --- |

(1)

in Article 4(5), the text ‘(EU) 2016/42535 and (EU) 2016/42636’ is replaced by the following:

‘(EU) 2016/425 (*1), (EU) 2016/426 (*2) and (EU) 2023/1542 (*3)

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

(*2)  Regulation (EU) 2016/426 of the European Parliament and of the Council of 9 March 2016 on appliances burning gaseous fuels and repealing Directive 2009/142/EC (OJ L 81, 31.3.2016, p. 99)."

(*3)  Regulation (EU) 2023/1542 of the European Parliament and of the Council of 12 July 2023 concerning batteries and waste batteries, amending Directive 2008/98/EC and Regulation (EU) 2019/1020 and repealing Directive 2006/66/EC (OJ L 191, 28.7.2023, p. 1).’;"

| (2) | in Annex I, point 21 of the list of Union harmonisation legislation is replaced by the following:






  ‘21. | Regulation (EU) 2023/1542 of the European Parliament and of the Council of 12 July 2023 concerning batteries and waste batteries, amending Directive 2008/98/EC and Regulation (EU) 2019/1020 and repealing Directive 2006/66/EC (OJ L 191, 28.7.2023, p. 1) ;’. |
| --- | --- | --- |

(2)

in Annex I, point 21 of the list of Union harmonisation legislation is replaced by the following:

‘21.

Regulation (EU) 2023/1542 of the European Parliament and of the Council of 12 July 2023 concerning batteries and waste batteries, amending Directive 2008/98/EC and Regulation (EU) 2019/1020 and repealing Directive 2006/66/EC (OJ L 191, 28.7.2023, p. 1) ;’.

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) 2023/1542 of the European Parliament and of Council (*4), 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 18 August 2025.

CHAPTER XIV

CHAPTER XIV

Final provisions

Final provisions

Article 93

Penalties

By 18 August 2025 Member States shall lay down the rules on penalties applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive. Member States shall, without delay, notify the Commission of 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 of this Regulation and its impact on the environment, human health and the functioning of the internal market and submit it to the European Parliament and to the Council.

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 this Regulation:

| (a) | the list of common formats falling under the definition of portable batteries of general use; |
| --- | --- |

(a)

the list of common formats falling under the definition of portable batteries of general use;

| (b) | the sustainability and safety requirements laid down in Chapter II, including the possible need to introduce an export ban on batteries which are non-compliant with the restrictions set out in Annex I; |
| --- | --- |

(b)

the sustainability and safety requirements laid down in Chapter II, including the possible need to introduce an export ban on batteries which are non-compliant with the restrictions set out in Annex I;

| (c) | the labelling and information requirements laid down in Chapter III; |
| --- | --- |

(c)

the labelling and information requirements laid down in Chapter III;

| (d) | the battery due diligence requirements laid down in Articles 48 to 53; |
| --- | --- |

(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 portable batteries of general use; |
| --- | --- |

(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 portable batteries of general use;

| (f) | the measures regarding the battery passport set out in Chapter IX; |
| --- | --- |

(f)

the measures regarding the battery passport set out in Chapter IX;

| (g) | infringements and the effectiveness, proportionality and dissuasiveness of penalties as set out in Article 93; |
| --- | --- |

(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 the investments in, the batteries sector, and of the administrative burden resulting from this Regulation. |
| --- | --- |

(h)

analysis of the impact of this Regulation on the competitiveness of, and on the investments in, the batteries sector, and of the administrative burden resulting from this Regulation.

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

3.   Taking into account the revision of Regulation (EC) No 1907/2006, the Commission shall in its report include a specific evaluation 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 the light of the adoption, if any, of Union legislative acts laying down rules on sustainable corporate 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.

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 the first subparagraph, or by 30 June 2031, whichever is the earliest. Where appropriate, the Commission 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 the Council assessing the feasibility and the technical consequences of extending the scope of the 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 a legislative 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 light means of transport, as well as for rechargeable batteries incorporated into specific categories 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.

Article 95

Repeal and transitional rules

Directive 2006/66/EC is repealed with effect from 18 August 2025.

However, the following provisions shall continue to apply as set out below:

| (a) | Article 11 until 18 February 2027; |
| --- | --- |

(a)

Article 11 until 18 February 2027;

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

(b)

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

| (c) | Article 21(2) until 18 August 2026. |
| --- | --- |

(c)

Article 21(2) until 18 August 2026.

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 publication in the Official Journal of the European Union.

2.   It shall apply from 18 February 2024, save as 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 18 February 2027; |
| --- | --- |

(a)

Article 11 shall apply from 18 February 2027;

| (b) | Article 17 and Chapter VI shall apply from 18 August 2024, 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); |
| --- | --- |

(b)

Article 17 and Chapter VI shall apply from 18 August 2024, 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 18 August 2025. |
| --- | --- |

(c)

Chapter VIII shall apply from 18 August 2025.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

Done at Strasbourg, 12 July 2023.

For the European Parliament

The President

R. METSOLA

For the Council

The President

P. NAVARRO RÍOS

---

(1)  OJ C 220, 9.6.2021, p. 128.

1

(2)  Position of the European Parliament of 14 June 2023 (not yet published in the Official Journal) and decision of the Council of 28 June 2023.

2

(3)  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).

3

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

4

(5)  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).

5

(6)  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).

6

(7)  Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of 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).

7

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

8

(9)  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).

9

(10)  Commission 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).

10

(11)  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).

11

(12)  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 and Regulation (EC) No 1223/2009 and repealing Council Directives 90/385/EEC and 93/42/EEC (OJ L 117, 5.5.2017, p. 1).

12

(13)  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).

13

in vitro

(14)  Regulation (EU) 2019/2144 of the European Parliament and of the Council of 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 and repealing Regulations (EC) No 78/2009, (EC) No 79/2009 and (EC) No 661/2009 of the European 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).

14

(15)  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).

15

(16)  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 the market of radio equipment and repealing Directive 1999/5/EC (OJ L 153, 22.5.2014, p. 62).

16

(17)  Directive (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).

17

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

18

(19)  Regulation (EU) No 1025/2012 of the European Parliament and of the Council of 25 October 2012 on European standardisation, amending Council Directives 89/686/EEC and 93/15/EEC and Directives 94/9/EC, 94/25/EC, 95/16/EC, 97/23/EC, 98/34/EC, 2004/22/EC, 2007/23/EC, 2009/23/EC and 2009/105/EC of the European Parliament and of the Council and repealing Council Decision 87/95/EEC and Decision No 1673/2006/EC of the European Parliament and of the Council (OJ L 316, 14.11.2012, p. 12).

19

(20)  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).

20

(21)  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).

21

(22)  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 and Regulations (EC) No 765/2008 and (EU) No 305/2011 (OJ L 169, 25.6.2019, p. 1).

22

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

23

(24)  OJ L 282, 19.10.2016, p. 4.

24

(25)  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).

25

(26)  Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste electrical and electronic equipment (WEEE) (OJ L 197, 24.7.2012, p. 38).

26

(27)  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 the European 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).

27

(28)  Regulation (EU) 2022/2065 of the European Parliament and of the Council of 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).

28

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

29

(30)  Council Directive 1999/31/EC of 26 April 1999 on the landfill of waste (OJ L 182, 16.7.1999, p. 1).

30

(31)  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).

31

(32)  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).

32

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

33

(34)  Regulation (EC) No 1013/2006 of the European Parliament and of the Council of 14 June 2006 on shipments of waste (OJ L 190, 12.7.2006, p. 1).

34

(35)  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).

35

(36)  Commission Decision 2000/532/EC of 3 May 2000 replacing Decision 94/3/EC establishing a list of wastes pursuant to Article 1(a) of Council Directive 75/442/EEC on waste and Council 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.).

36

(37)  Commission Implementing Regulation (EU) 2022/1267 of 20 July 2022 specifying the procedures 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).

37

(38)  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).

38

(39)  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).

39

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

40

(41)  Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).

41

(42)  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).

42

(43)  Regulation (EU) No 168/2013 of the European Parliament and of the Council of 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).

43

(44)  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).

44

(45)  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).

45

(46)  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).

46

---

ANNEX I

RESTRICTION ON SUBSTANCES

| Column 1
  Designation of the substance or group of substances | Column 2
  Conditions of restriction |
| --- | --- |
| 1. | Mercury
  CAS No 7439-97-6
  EC No 231-106-7 and its compounds |

Column 1

Designation of the substance or group of substances

Column 2

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 other vehicles, 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 |
| --- | --- |

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 other vehicles, shall not contain more than 0,002 % of cadmium (expressed as cadmium metal) by weight.

| 3. | Lead
  CAS No 7439-92-1
  EC No 231-100-4 and its compounds |
| --- | --- |

3.

Lead

CAS No 7439-92-1

EC No 231-100-4 and its compounds

| 1. | From 18 August 2024, portable batteries, whether or not incorporated into appliances, shall not contain more than 0,01 % of lead (expressed as lead metal) by weight. |
| --- | --- |

1.

From 18 August 2024, portable batteries, whether or not incorporated into appliances, shall not contain 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 18 August 2028. |
| --- | --- |

2.

The restriction set out in point 1 shall not apply to portable zinc-air button cells until 18 August 2028.

---

ANNEX II

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 for by 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 the Commission Product Environmental Footprint (PEF) method and relevant Product Environmental 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, the energy 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.

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 chains that represent the activities of a process are each multiplied by the corresponding activity data and then combined to derive the carbon footprint associated with that process; |
| --- | --- |

(a)

‘activity data’ means the information associated with processes while modelling Life Cycle Inventories (LCI), whereby the aggregated LCI results of the process chains that represent the activities of a process are each multiplied by the corresponding activity data and then combined to derive the carbon footprint associated with that process;

| (b) | ‘bill of materials’ means a list of the raw materials, sub-assemblies, intermediate assemblies, sub-components and parts, and the quantities of each, needed to manufacture the battery; |
| --- | --- |

(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 the company, such data are also known as ‘primary data’; |
| --- | --- |

(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 the company, 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; |
| --- | --- |

(d)

‘functional unit’ means the qualitative and quantitative aspects of the functions, services, or both, provided by the battery;

| (e) | ‘life cycle’ means the consecutive and interlinked stages of a product system, from raw material acquisition or generation from natural resources to final disposal (ISO 14040:2006 or an equivalent standard); |
| --- | --- |

(e)

‘life cycle’ means the consecutive and interlinked stages of a product system, from raw material acquisition or generation from natural resources to final disposal (ISO 14040:2006 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; |
| --- | --- |

(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; |
| --- | --- |

(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 product system required to fulfil the function expressed by the functional unit (based on ISO 14040:2006 or an equivalent standard); |
| --- | --- |

(h)

‘reference flow’ means the measure of the outputs from processes in a given product system required to fulfil the function expressed by the functional unit (based on ISO 14040:2006 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 that company, but that are sourced from a third party LCI database or other sources; such data 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 contain proxy data and other generic data; and also include primary data that go through a horizontal aggregation step; |
| --- | --- |

(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 that company, but that are sourced from a third party LCI database or other sources; such data 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 contain proxy data and other generic data; and also include primary data that go through a horizontal aggregation step;

| (j) | ‘system boundary’ means the aspects included or excluded from the life cycle stages. |
| --- | --- |

(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 over each cycle.

The reference flow is the weight of battery needed to fulfil a specific function and shall be measured in kg of battery per kWh of the total energy delivered by the battery over its service life. All quantitative input and output data collected by the manufacturer to quantify the carbon footprint shall be calculated in relation to the reference flow.

By way of exception to the first paragraph, for back-up batteries that have as their primary function 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 over the lifetime of the battery. Accordingly, the reference flow for back-up batteries is the weight of battery needed to fulfil the defined function and shall be measured in kg of battery per kWmin of backup power capability divided by the service life of the battery in years. All quantitative input and output data collected by manufacturers of back-up batteries to quantify the carbon footprint shall be calculated in relation to that reference flow.

In exceptional cases, such as for batteries for hybrid non -plug-in vehicles, the methodology may define a different functional unit.

4.   System boundary

The following life cycle stages and the processes involved therein shall be included in the system 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 and battery 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 of batteries with the battery cells and the electric or electronic components |
| Distribution | Transport to the point of sale |
| End of life and recycling | Collection, dismantling and recycling |

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 and battery 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 of batteries with the battery cells and the electric or electronic components

Distribution

Transport to the point of sale

End of life and recycling

Collection, dismantling and recycling

The following processes involved in the life cycle stages shall be excluded from the system boundary:

| — | manufacturing of equipment for the assembly and recycling of batteries, as carbon footprint impacts have been calculated as negligible in the PEFCRs for high specific energy rechargeable batteries for mobile applications; |
| --- | --- |

—

manufacturing of equipment for the assembly and recycling of batteries, as carbon footprint impacts have been calculated as negligible in the PEFCRs for high specific energy 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 mechanical assembly and it is included inside the OEM equipment or vehicle assembly line; the consumption of energy and material for this specific process is negligible when compared to the manufacturing process of OEM components. |
| --- | --- |

—

the battery assembly process using the original equipment manufacturer (OEM) system components; this process corresponds for the most part to mechanical assembly and it is included inside the OEM equipment or vehicle assembly line; the consumption of energy and material for this specific process is negligible when compared 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 that choices made by battery manufacturers at the design stage can make a non-negligible contribution to that impact.

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 specific data 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.

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:

| — | raw material acquisition and pre-processing, |
| --- | --- |

—

raw material acquisition and pre-processing,

| — | production, |
| --- | --- |

—

production,

| — | distribution, |
| --- | --- |

—

distribution,

| — | own electricity production, |
| --- | --- |

—

own electricity production,

| — | end of life. |
| --- | --- |

—

end of life.

6.   Carbon footprint impact assessment

The carbon footprint of the battery shall be calculated using the ‘climate change’ life cycle impact assessment method recommended in the 2019 Joint Research Centre 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).

7.   Offsets

Offsets are calculated relative to a baseline that represents a hypothetical scenario for what emissions would have been in the absence of the mitigation project that generates the offsets.

Offsets shall not be included in the carbon footprint declaration, but may be reported separately as additional environmental information and used for communication purposes.

8.   Carbon footprint performance classes

Depending on the distribution of the values 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, to enable 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 that class, 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.

9.   Maximum carbon thresholds

Based on the information collected through the carbon footprint declarations and the relative distribution of the carbon footprint performance classes of battery models placed on the market, and taking into account the scientific and technical progress in the field, the Commission 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 the first 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 the carbon footprint of batteries placed on the market and the actual and potential contribution of those life cycle carbon footprint thresholds to the Union’s objectives on sustainable mobility and climate neutrality by 2050.

---

ANNEX III

ELECTROCHEMICAL 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 on discharge when used under specific conditions, such as temperature and relative humidity. |
| --- | --- |

1.

| 2. | Delayed discharge performance: the relative decrease of the minimum average duration, with the initially measured minimum average duration as the reference point, after a defined period and under specific conditions, such as temperature and relative humidity. |
| --- | --- |

2.

| 3. | Resistance to leakage: resistance to unplanned escape of electrolyte, gas or other material. |
| --- | --- |

3.

Part B

Parameters for rechargeable batteries

| 1. | Rated capacity: the capacity value of a battery, under specific conditions, such as temperature and relative humidity, and declared by the manufacturer. |
| --- | --- |

1.

| 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. |
| --- | --- |

2.

| 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. |
| --- | --- |

3.

| 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. |
| --- | --- |

4.

| 5. | Resistance to leakage: resistance to unplanned escape of electrolyte, gas or other material. |
| --- | --- |

5.

---

(1)  IEC mentions charge and capacity. Both represent the same physical quantity (charge); the only 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.

---

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 from a fully charged battery under reference conditions. |
| --- | --- |

(1)

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

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

(2)

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

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

(3)

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

| (4) | ‘Power fade’ means the decrease over time and upon usage in the amount of power that a battery can deliver at the rated voltage. |
| --- | --- |

(4)

‘Power fade’ means the decrease over time and upon usage in the amount of power that a battery 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 to the contribution to total effective resistance including inductive/capacitive properties. |
| --- | --- |

(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 to the 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 a standard charge. |
| --- | --- |

(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 a standard charge.

Part A

Parameters related to electrochemical performance and durability

| 1. | Rated capacity (in Ah) and capacity fade (in %). |
| --- | --- |

1.

| 2. | Power (in W) and power fade (in %). |
| --- | --- |

2.

| 3. | Internal resistance (in Ω) and internal resistance increase (in %). |
| --- | --- |

3.

| 4. | Where applicable, energy round trip efficiency and its fade (in %). |
| --- | --- |

4.

| 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. |
| --- | --- |

5.

Part B

Elements to explain the measurements for parameters listed in Part A

| 1. | Applied discharge rate and charge rate. |
| --- | --- |

1.

| 2. | Ratio between nominal battery power (W) and battery energy (Wh). |
| --- | --- |

2.

| 3. | Depth of discharge in the cycle-life test. |
| --- | --- |

3.

| 4. | Power capability at 80 % and 20 % state of charge. |
| --- | --- |

4.

| 5. | Any calculations performed with the measured parameters, if applicable. |
| --- | --- |

5.

---

ANNEX V

SAFETY PARAMETERS

1.   Thermal shock and cycling

This test shall be designed to evaluate changes in the integrity of the battery arising from expansion and contraction of cell components upon exposure to extreme and sudden changes in 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 short circuit. The test can evaluate the activation of the overcurrent protection device or the ability 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 and electrical arcing, which can damage circuitry or lead to reduced isolation resistance.

3.   Overcharge protection

This test shall evaluate the safety performance of a battery in overcharge situations. The main safety risks during overcharge are the decomposition of the electrolyte, cathode and anode breakdown, exothermic decomposition of the solid electrolyte interphase (SEI) layer, separator degradation, and lithium plating, which can lead to self-heating of the battery and thermal runaway. The factors affecting the outcome of the test shall, as a minimum, 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 the anode current collector (Copper) and to plating on the cathode side. Even minor over-discharge 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.

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 the entire battery which can be composed of numerous cells. It can lead to severe consequences including a significant gas release. The test shall take into account the tests that are under development for transport applications by ISO and the UN Global Technical Regulation.

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.

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 can ignite the electrolyte vapours escaping from the cell. The generation of such internal short circuits can be triggered by manufacturing imperfections, the presence of impurities in the cells 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 the temperature is 85 °C) which can trigger exothermal decomposition reactions and lead to a thermal runaway in the cell.

10.   Fire test

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

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 of hazardous 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 in points 1 to 10.

---

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); |
| --- | --- |

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); |
| --- | --- |

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); |
| --- | --- |

3.

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

| 4. | the date of manufacture (month and year); |
| --- | --- |

4.

the date of manufacture (month and year);

| 5. | the weight; |
| --- | --- |

5.

the weight;

| 6. | the capacity; |
| --- | --- |

6.

the capacity;

| 7. | the chemistry; |
| --- | --- |

7.

the chemistry;

| 8. | the hazardous substances present in the battery, other than mercury, cadmium or lead; |
| --- | --- |

8.

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

| 9. | usable extinguishing agent; |
| --- | --- |

9.

usable extinguishing agent;

| 10. | critical raw materials present in the battery in a concentration of more than 0,1 % weight by weight. |
| --- | --- |

10.

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

Part B: Symbol for separate collection of batteries

Part 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.

---

ANNEX VII

PARAMETERS FOR DETERMINING THE STATE OF HEALTH AND EXPECTED LIFETIME OF BATTERIES

Part 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; |
| --- | --- |

1.

the remaining capacity;

| 2. | where possible, the remaining power capability; |
| --- | --- |

2.

where possible, the remaining power capability;

| 3. | where possible, the remaining round trip efficiency; |
| --- | --- |

3.

where possible, the remaining round trip efficiency;

| 4. | the evolution of self-discharging rates; |
| --- | --- |

4.

the evolution of self-discharging rates;

| 5. | where possible, the ohmic resistance. |
| --- | --- |

5.

where possible, the ohmic resistance.

Part B

Parameters for determining the expected lifetime of stationary battery energy storage systems and LMT batteries:

| 1. | the date of manufacture of the battery and, where appropriate, the date of putting into service; |
| --- | --- |

1.

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

| 2. | the energy throughput; |
| --- | --- |

2.

the energy throughput;

| 3. | the capacity 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; |
| --- | --- |

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. |
| --- | --- |

5.

the number of full equivalent charge-discharge cycles.

---

ANNEX VIII

CONFORMITY ASSESSMENT PROCEDURES

Part 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 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; |
| --- | --- |

(a)

a general description of the battery and its intended use;

| (b) | the conceptual design and manufacturing drawings and schemes of components, sub-assemblies and circuits; |
| --- | --- |

(b)

the conceptual design and manufacturing drawings and schemes of components, sub-assemblies 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; |
| --- | --- |

(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; |
| --- | --- |

(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 technical specifications used for measurement or calculation purposes; |
| --- | --- |

(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 technical specifications 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 to verify the compliance of batteries with those requirements; |
| --- | --- |

(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 to verify the compliance of batteries with those requirements;

| (g) | the results of design calculations made and the examinations carried out, and the technical or documentary evidence used; and |
| --- | --- |

(g)

the results of design calculations made and the examinations carried out, and the technical or documentary evidence used; and

| (h) | the test reports. |
| --- | --- |

(h)

the test reports.

3.   Manufacturing

The manufacturer shall take all measures necessary so that the manufacturing process and the monitoring thereof ensure the batteries comply with the technical documentation referred 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 the applicable requirements referred to in point 1, or, where that is not possible or not warranted due to the nature of the battery, to the packaging and the documents accompanying the battery.

The manufacturer shall draw up an EU declaration of conformity for each battery model in accordance with Article 18 and keep it together with the technical documentation at the disposal of the national authorities for 10 years after the last battery belonging to the respective battery model has been placed on the market. The EU declaration of conformity shall identify the battery model for which it has been drawn up.

A copy of the EU declaration of conformity shall be made available to the national authorities upon request.

5.   Manufacturer’s authorised representative

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

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 ensures and declares on its sole responsibility, without prejudice to the obligations of other economic 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.

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; |
| --- | --- |

(a)

a general description of the battery and its intended use;

| (b) | the conceptual design and manufacturing drawings and schemes of components, sub-assemblies and circuits; |
| --- | --- |

(b)

the conceptual design and manufacturing drawings and schemes of components, sub-assemblies 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; |
| --- | --- |

(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; |
| --- | --- |

(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 of which parts have been applied; |
| --- | --- |

(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 of which parts have been applied;

| (f) | a list of other relevant technical specifications used for measurement or calculation purposes and descriptions of the solutions adopted to meet the applicable requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14 or to verify the compliance of batteries with those requirements, where harmonised standards, common specifications, or both, have not been applied or are not available; |
| --- | --- |

(f)

a list of other relevant technical specifications used for measurement or calculation purposes and descriptions of the solutions adopted to meet the applicable requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14 or to verify the compliance 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 the technical or documentary evidence used; |
| --- | --- |

(g)

the results of design calculations made and the examinations carried out, and the technical or documentary evidence used;

| (h) | a study supporting the carbon footprint values referred to in Article 7(1) and the carbon footprint class referred to in Article 7(2), containing the calculations made in accordance 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; |
| --- | --- |

(h)

a study supporting the carbon footprint values referred to in Article 7(1) and the carbon footprint class referred to in Article 7(2), containing the calculations made in accordance 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 and information determining the input data for those calculations; and |
| --- | --- |

(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 and information determining the input data for those calculations; and

| (j) | the test reports. |
| --- | --- |

(j)

the test reports.

3.   Availability of technical documentation

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

4.   Manufacturing

The manufacturer shall operate an approved quality system for production, final product inspection 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; |
| --- | --- | --- |

1.

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 any other notified body; |
| --- | --- |

(b)

a written declaration that the same application has not been lodged with any other notified body;

| (c) | all relevant information for the battery category envisaged; |
| --- | --- |

(c)

all relevant information for the battery category envisaged;

| (d) | the documentation concerning the quality system referred to in point 5.2; |
| --- | --- |

(d)

the documentation concerning the quality system referred to in point 5.2;

| (e) | the technical documentation referred to in point 2. |
| --- | --- |

(e)

the technical documentation referred to in point 2.

| 2. | The quality system shall ensure that the batteries comply with the applicable requirements 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 and records.
  The quality system documentation shall, in particular, contain an adequate description of:






  (a) | the quality objectives and the organisational structure, responsibilities and powers of the management with regard to product quality; |
| --- | --- | --- |

2.

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 and records.

The quality system documentation shall, in particular, contain an adequate description of:

(a)

the quality objectives and the organisational structure, responsibilities and powers of the management with regard to product quality;

| (b) | the procedures for documenting and monitoring the parameters and data necessary 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; |
| --- | --- |

(b)

the procedures for documenting and monitoring the parameters and data necessary 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;

| (c) | the corresponding manufacturing, quality control and quality assurance techniques, processes and systematic actions that will be used; |
| --- | --- |

(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; |
| --- | --- |

(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; |
| --- | --- |

(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 and the effective operation of the quality system. |
| --- | --- |

(f)

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

| 3. | The notified body shall assess the quality system to determine whether it meets the requirements referred to in point 5.2.
  It shall presume conformity with those requirements in respect of the elements of the quality system that comply with the corresponding specifications of the relevant harmonised standard.
  In addition to experience in quality management systems, the auditing team shall have at least one member with experience of evaluation in the relevant product field and product technology concerned, and knowledge of the applicable requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14.
  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 in order 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 the battery complies with those requirements. The auditing team shall check the reliability of data used for the calculation of the recycled content share referred to in Article 8 and, where applicable, the carbon footprint values and class referred to in Article 7 as well as the proper implementation of the relevant calculation methodology.
  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 the reasons for that decision. |
| --- | --- |

3.

It shall presume conformity with those requirements in respect of the elements of the quality system that comply with the corresponding specifications of the relevant harmonised standard.

In addition to experience in quality management systems, the auditing team shall have at least one member with experience of evaluation in the relevant product field and product technology concerned, and knowledge of the applicable requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14.

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 in order 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 the battery complies with those requirements. The auditing team shall check the reliability of data used for the calculation of the recycled content share referred to in Article 8 and, where applicable, the carbon footprint values and class referred to in Article 7 as well as the proper implementation of the relevant calculation methodology.

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 the reasons 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. |
| --- | --- |

4.

| 5. | The manufacturer shall keep the notified body that has approved the quality system informed of any intended change to the quality system.
  The notified body shall evaluate any proposed changes and decide whether the modified quality system will continue to meet the requirements referred to in point 5.2 or whether reassessment is necessary.
  The notified body shall notify the manufacturer of its decision. The notification shall contain the conclusions of the examination and the reasoned assessment decision. |
| --- | --- |

5.

The notified body shall evaluate any proposed changes and decide whether the modified quality system will continue to meet the requirements referred to in point 5.2 or whether reassessment is necessary.

The notified body shall notify the manufacturer of its decision. The notification shall contain the conclusions of the examination and the reasoned assessment decision.

| 6. | Surveillance under the responsibility of the notified body






  1. | The purpose of surveillance is to make sure that the manufacturer duly fulfils the obligations arising from the approved quality system. |
| --- | --- | --- |

6.

1.

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

| 2. | The manufacturer shall, for assessment purposes, allow the notified body access to the manufacture, inspection, testing and storage sites and shall provide it with all necessary information, in particular:






  (a) | the quality system documentation referred to in point 5.2; |
| --- | --- | --- |

2.

The manufacturer shall, for assessment purposes, allow the notified body access to the manufacture, inspection, testing and storage sites and shall provide it with all necessary information, in particular:

(a)

the quality system documentation referred to in point 5.2;

| (b) | the technical documentation referred to in point 2; |
| --- | --- |

(b)

the technical documentation referred to in point 2;

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

(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 an audit report. During such audits, the notified body shall check at least the reliability of data used for the calculation of the recycled content share referred to in Article 8 and, where applicable, the carbon footprint values and class referred to in Article 7, as well as the proper implementation of the relevant calculation methodology. |
| --- | --- |

3.

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

4.

In addition, the notified body may pay unexpected visits to the manufacturer. During such visits, the notified body may, if necessary, carry out examinations, calculations, measurements and tests, or have them carried out, in order to verify that the quality system is functioning correctly. The notified body shall provide the manufacturer with a visit report and, if tests have been carried out, with a test report.

| 7. | CE marking and EU declaration of conformity






  1. | The manufacturer shall affix the CE marking, and, under the responsibility of the notified body referred to in point 5.1, the latter’s identification number to each individual 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. |
| --- | --- | --- |

7.

1.

The manufacturer shall affix the CE marking, and, under the responsibility of the notified body referred to in point 5.1, the latter’s identification number to each individual 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 shall identify the battery model for which it has been drawn up. |
| --- | --- |

2.

The manufacturer shall draw up an EU declaration of conformity for each battery model in accordance with Article 18 and keep it at the disposal of the national authorities for 10 years after the last battery belonging to the respective battery model has been placed on the market. The EU declaration of conformity shall identify the battery model for which it has been drawn up.

A copy of the EU declaration of conformity shall be made available to the national authorities upon request.

| 8. | Availability of quality system documentation
  The manufacturer shall, for a period of 10 years after the battery has been placed on the market, keep at the disposal of the national authorities:






  (a) | the quality system documentation referred to in point 5.2; |
| --- | --- | --- |

8.

The manufacturer shall, for a period of 10 years after the battery has been placed on the market, keep at the disposal of the national authorities:

(a)

the quality system documentation referred to in point 5.2;

| (b) | the change referred to in point 5.5, as approved; |
| --- | --- |

(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. |
| --- | --- |

(c)

the decisions and reports of the notified body referred to in points 5.5, 6.3 and 6.4.

| 9. | Information obligations of the notified body
  Each notified body shall inform its notifying authority of quality system approvals issued or withdrawn, and shall, periodically or upon request, make available to its notifying authority the list of quality system approvals refused, suspended or otherwise restricted.
  Each notified body shall inform the other notified bodies of quality system approvals which it has refused, withdrawn, suspended or otherwise restricted, and, upon request, of quality system approvals which it has issued. |
| --- | --- |

9.

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. |
| --- | --- |

10.

The manufacturer’s obligations set out in points 3, 5.1, 5.5, 7 and 8 may be fulfilled by the manufacturer’s authorised representative, on the manufacturer’s behalf and under the manufacturer’s responsibility, provided that they are specified in the mandate.

Part C

MODULE 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 in accordance with this Regulation, that the battery concerned, which has been subject to the provisions of point 4, is in conformity with the applicable requirements 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 to the notified body referred to in point 4. The technical documentation shall make it possible to assess the battery’s conformity with the relevant requirements 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; |
| --- | --- | --- |

1.

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, sub-assemblies and circuits; |
| --- | --- |

(b)

the conceptual design and manufacturing drawings and schemes of components, sub-assemblies 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; |
| --- | --- |

(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; |
| --- | --- |

(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 of which parts have been applied; |
| --- | --- |

(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 of which parts have been applied;

| (f) | a list of other relevant technical specifications used for measurement or calculation purposes and descriptions of the solutions adopted to meet the applicable requirements referred to in point 1 or to verify the conformity of batteries with those requirements, where harmonised standards, common specifications, or both, have not been applied or are not available; |
| --- | --- |

(f)

a list of other relevant technical specifications used for measurement or calculation purposes and descriptions of the solutions adopted to meet the applicable requirements referred to in point 1 or to verify the conformity 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 the technical or documentary evidence used; |
| --- | --- |

(g)

the results of design calculations made and the examinations carried out, and the 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 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; |
| --- | --- |

(h)

a study supporting the carbon footprint values and class referred to in Article 7, containing the calculations made in accordance with the methodology set out in the delegated act adopted 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 and information determining the input data for those calculations; and |
| --- | --- |

(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 and information determining the input data for those calculations; and

| (j) | the test reports. |
| --- | --- |

(j)

the test reports.

| 2. | The manufacturer shall keep the technical documentation at the disposal of the national authorities for 10 years after the battery has been placed on the market. |
| --- | --- |

2.

| 3. | Manufacturing
  The manufacturer shall take all measures necessary so that the manufacturing process and the monitoring thereof ensure that the manufactured battery is in conformity with the applicable requirements referred to in point 1. |
| --- | --- |

3.

The manufacturer shall take all measures necessary so that the manufacturing process and the monitoring thereof ensure that the manufactured battery is in conformity with the applicable 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 with the applicable requirements referred to in point 1, or have them carried out. In the absence of such a harmonised standard or common specification, the notified body concerned shall decide on the appropriate examinations, calculations, measurements and tests to be carried out.
  The notified body shall issue a certificate of conformity in respect of the examinations, calculations, measurements and tests carried out and shall affix its identification number to the approved battery, or have it affixed under its responsibility. |
| --- | --- | --- |

4.

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 with the applicable requirements referred to in point 1, or have them carried out. In the absence of such a harmonised standard or common specification, the notified body concerned shall decide on the appropriate examinations, calculations, measurements and tests to be carried out.

The notified body shall issue a certificate of conformity in respect of the examinations, calculations, measurements and tests carried out and shall affix its identification number to the approved battery, or have it affixed under its responsibility.

| 2. | The manufacturer shall keep the certificates of conformity at the disposal of the national authorities for 10 years after the battery has been placed on the market. |
| --- | --- |

2.

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

| 5. | CE marking and EU declaration of conformity
  The 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 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.
  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. |
| --- | --- |

5.

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 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.

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. |
| --- | --- |

6.

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.

---

ANNEX IX

EU DECLARATION OF CONFORMITY No* ...

- (identification number of the declaration)

| 1. | Battery model (product, category, and batch or serial number): |
| --- | --- |

1.

| 2. | Name and address of the manufacturer and, where applicable, its authorised representative: |
| --- | --- |

2.

| 3. | This declaration of conformity is issued under the sole responsibility of the manufacturer. |
| --- | --- |

3.

| 4. | Object of the declaration (description of the battery and identification allowing traceability, and which may, where appropriate, include an image of the battery): |
| --- | --- |

4.

| 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). |
| --- | --- |

5.

| 6. | References to the relevant harmonised standards or the common specifications used or references to the other technical specifications in relation to which conformity is declared: |
| --- | --- |

6.

| 7. | The notified body ... (name, address, number) ... performed ... (description of intervention) ... and issued the certificate(s): ... (details, including its date, and, where appropriate, information on the duration of and conditions for its validity). |
| --- | --- |

7.

| 8. | Additional information
  Signed for and on behalf of:
  (place and date of issue):
  (name, function) (signature) |
| --- | --- |

8.

Signed for and on behalf of:

(place and date of issue):

(name, function) (signature)

---

ANNEX X

LIST OF RAW MATERIALS AND RISK CATEGORIES

| 1. | Raw materials:






  (a) | cobalt; |
| --- | --- | --- |

1.

(a)

cobalt;

| (b) | natural graphite; |
| --- | --- |

(b)

natural graphite;

| (c) | lithium; |
| --- | --- |

(c)

lithium;

| (d) | nickel; |
| --- | --- |

(d)

nickel;

| (e) | chemical compounds based on the raw materials listed in points (a) to (d), which are necessary for the manufacturing of the active materials of batteries. |
| --- | --- |

(e)

chemical compounds based on the raw materials listed in points (a) to (d), which are necessary 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 and cumulative effects, including:






  (i) | air, including air pollution such as greenhouse gas emissions, |
| --- | --- | --- | --- |

2.

(a)

environment, climate and human health, considering direct, induced, indirect and cumulative effects, including:

(i)

air, including air pollution such as greenhouse gas emissions,

| (ii) | water, including seabed and marine environment, and including water pollution, water use, water quantities (flooding or droughts) and access to water, |
| --- | --- |

(ii)

water, including seabed and marine environment, and including water pollution, water use, water quantities (flooding or droughts) and access to water,

| (iii) | soil, including soil pollution, soil erosion, land use and land degradation, |
| --- | --- |

(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, |
| --- | --- |

(iv)

biodiversity, including damage to habitats, wildlife, flora and ecosystems, including ecosystem services,

| (v) | hazardous substances, |
| --- | --- |

(v)

hazardous substances,

| (vi) | noise and vibration, |
| --- | --- |

(vi)

noise and vibration,

| (vii) | plant safety, |
| --- | --- |

(vii)

plant safety,

| (viii) | energy use, |
| --- | --- |

(viii)

energy use,

| (ix) | waste and residues; |
| --- | --- |

(ix)

waste and residues;

| (b) | human rights, labour rights and industrial relations, including:






  (i) | occupational health and safety, |
| --- | --- | --- |

(b)

human rights, labour rights and industrial relations, including:

(i)

occupational health and safety,

| (ii) | child labour, |
| --- | --- |

(ii)

child labour,

| (iii) | forced labour, |
| --- | --- |

(iii)

forced labour,

| (iv) | discrimination, |
| --- | --- |

(iv)

discrimination,

| (v) | trade union freedoms; |
| --- | --- |

(v)

trade union freedoms;

| (c) | community life, including that of indigenous peoples. |
| --- | --- |

(c)

community life, including that of indigenous peoples.

| 3. | The international instruments covering the risks referred to in point 2 include:






  (a) | the Ten Principles of the United Nations Global Compact; |
| --- | --- | --- |

3.

(a)

the Ten Principles of the United Nations Global Compact;

| (b) | the UNEP Guidelines for Social Life Cycle Assessment of Products; |
| --- | --- |

(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; |
| --- | --- |

(c)

the Convention on Biological Diversity, in particular Decision COP VIII/28 – Voluntary guidelines on Biodiversity-Inclusive impact assessment;

| (d) | the UN Paris Agreement; |
| --- | --- |

(d)

the UN Paris Agreement;

| (e) | the eight fundamental ILO Conventions as defined under the ILO Declaration on Fundamental Principles and Rights at Work; |
| --- | --- |

(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; |
| --- | --- |

(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; |
| --- | --- |

(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 and Cultural Rights. |
| --- | --- |

(h)

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

| 4. | The internationally recognized due diligence instruments applicable to the due diligence requirements 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 and Cultural Rights; |
| --- | --- | --- |

4.

(a)

the International Bill of Human Rights, including the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights;

| (b) | the UN Guiding Principles on Business and Human Rights; |
| --- | --- |

(b)

the UN Guiding Principles on Business and Human Rights;

| (c) | the OECD Guidelines for Multinational Enterprises; |
| --- | --- |

(c)

the OECD Guidelines for Multinational Enterprises;

| (d) | the ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy; |
| --- | --- |

(d)

the ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy;

| (e) | the OECD Due Diligence Guidance for Responsible Business Conduct; |
| --- | --- |

(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. |
| --- | --- |

(f)

the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas.

---

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 the collection 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 make available on the market directly to end-users or deliver to third parties in order to make them 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 accordance with Article 59, and for LMT batteries in accordance with Article 60 respectively.









  Year | Data collection | Calculation | Reporting requirement |
| --- | --- | --- | --- | --- |
| 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 in year 4 (C4) | Collection rate (CR4) = 3*C4/(S1+S2+S3) | CR4 |
| Year 5 | Sales in year 5 (S5) | Collection in year 5 (C5) | Collection rate (CR5) = 3*C5/(S2+S3+S4) | CR5 |
| Etc. | Etc. | Etc. | Etc. | |

1.

Year

Data collection

Calculation

Reporting requirement

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 in year 4 (C4)

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

CR4

Year 5

Sales in year 5 (S5)

Collection in year 5 (C5)

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

CR5

Etc.

Etc.

Etc.

Etc.

| 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 the annual sales of batteries to end-users in a given year, as the weight of such batteries made available on the market for the first time within the territory of the Member State in the year concerned, excluding any batteries that have left the territory of that Member State in that year, before being sold to the end-users. Those sales shall be calculated separately for portable batteries and for LMT batteries. |
| --- | --- |

2.

| 3. | For each battery, only the first time it is made available on the market in a Member State shall be counted. |
| --- | --- |

3.

| 4. | The calculation provided for in points 1 and 2 shall be based on collected data or statistically significant estimates based on collected data. |
| --- | --- |

4.

---

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. |
| --- | --- |

1.

| 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. |
| --- | --- |

2.

| 3. | Waste batteries in treatment facilities, including recycling facilities, shall be stored in such a way that they are not mixed with waste from conductive or combustible materials. |
| --- | --- |

3.

| 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; |
| --- | --- | --- |

4.

(a)

excessive heat, such as high temperatures, fire or direct sunlight;

| (b) | water, such as precipitation and flooding; |
| --- | --- |

(b)

water, such as precipitation and flooding;

| (c) | any crushing or physical damage. |
| --- | --- |

(c)

any crushing or physical damage.

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 a warning 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 the environment. |
| --- | --- |

5.

| 6. | Cadmium shall be separated during treatment into an identifiable stream, which is given a safe destination and cannot cause adverse effects on human health or the environment. |
| --- | --- |

6.

Part B: Targets for recycling efficiency

| 1. | No later than 31 December 2025, recycling shall achieve at least the following targets for recycling efficiency:






  (a) | recycling of 75 % by average weight of lead-acid batteries; |
| --- | --- | --- |

1.

(a)

recycling of 75 % by average weight of lead-acid batteries;

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

(b)

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

| (c) | recycling of 80 % by average weight of nickel-cadmium batteries; |
| --- | --- |

(c)

recycling of 80 % by average weight of nickel-cadmium batteries;

| (d) | recycling of 50 % by average weight of other waste batteries. |
| --- | --- |

(d)

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

| 2. | No later than 31 December 2030, recycling shall achieve at least the following targets for recycling efficiency:






  (a) | recycling of 80 % by average weight of lead-acid batteries; |
| --- | --- | --- |

2.

(a)

recycling of 80 % by average weight of lead-acid batteries;

| (b) | recycling of 70 % by average weight of lithium-based 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; |
| --- | --- | --- |

1.

(a)

90 % for cobalt;

| (b) | 90 % for copper; |
| --- | --- |

(b)

90 % for copper;

| (c) | 90 % for lead; |
| --- | --- |

(c)

90 % for lead;

| (d) | 50 % for lithium; |
| --- | --- |

(d)

50 % for lithium;

| (e) | 90 % for nickel. |
| --- | --- |

(e)

90 % for nickel.

| 2. | No later than 31 December 2031, all recycling shall achieve at least the following targets for recovery of materials:






  (a) | 95 % for cobalt; |
| --- | --- | --- |

2.

(a)

95 % for cobalt;

| (b) | 95 % for copper; |
| --- | --- |

(b)

95 % for copper;

| (c) | 95 % for lead; |
| --- | --- |

(c)

95 % for lead;

| (d) | 80 % for lithium; |
| --- | --- |

(d)

80 % for lithium;

| (e) | 95 % for nickel. |
| --- | --- |

(e)

95 % for nickel.

---

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; |
| --- | --- |

(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 critical raw materials present in the battery; |
| --- | --- |

(b)

the material composition of the battery, including its chemistry, hazardous substances present in the battery, other than mercury, cadmium or lead, and critical raw materials present in the battery;

| (c) | the carbon footprint information referred to in Article 7(1) and (2); |
| --- | --- |

(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); |
| --- | --- |

(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); |
| --- | --- |

(e)

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

| (f) | the share of renewable content; |
| --- | --- |

(f)

the share of renewable content;

| (g) | rated capacity (in Ah); |
| --- | --- |

(g)

rated capacity (in Ah);

| (h) | minimal, nominal and maximum voltage, with temperature ranges when relevant; |
| --- | --- |

(h)

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

| (i) | original power capability (in Watts) and limits, with temperature range when relevant; |
| --- | --- |

(i)

original power capability (in Watts) and limits, with temperature range when relevant;

| (j) | expected battery lifetime expressed in cycles, and reference test used; |
| --- | --- |

(j)

expected battery lifetime expressed in cycles, and reference test used;

| (k) | capacity threshold for exhaustion (only for electric vehicle batteries); |
| --- | --- |

(k)

capacity threshold for exhaustion (only for electric vehicle batteries);

| (l) | temperature range the battery can withstand when not in use (reference test); |
| --- | --- |

(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; |
| --- | --- |

(m)

period for which the commercial warranty for the calendar life applies;

| (n) | initial round trip energy efficiency and at 50 % of cycle-life; |
| --- | --- |

(n)

initial round trip energy efficiency and at 50 % of cycle-life;

| (o) | internal battery cell and pack resistance; |
| --- | --- |

(o)

internal battery cell and pack resistance;

| (p) | c-rate of relevant cycle-life test. |
| --- | --- |

(p)

c-rate of relevant cycle-life test.

| (q) | the marking requirements laid down in Article 13(3) and (4); |
| --- | --- |

(q)

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

| (r) | the EU declaration of conformity referred to in Article 18; |
| --- | --- |

(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). |
| --- | --- |

(s)

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

2.   INFORMATION RELATING TO THE BATTERY MODEL ACCESSIBLE ONLY TO PERSONS 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; |
| --- | --- |

(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; |
| --- | --- |

(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, |
| --- | --- | --- |

(c)

dismantling information, including at least:

—

exploded diagrams of the battery system/pack showing the location of battery cells,

| — | disassembly sequences, |
| --- | --- |

—

disassembly sequences,

| — | type and number of fastening techniques to be unlocked, |
| --- | --- |

—

type and number of fastening techniques to be unlocked,

| — | tools required for disassembly, |
| --- | --- |

—

tools required for disassembly,

| — | warnings if risk of damaging parts exist, |
| --- | --- |

—

warnings if risk of damaging parts exist,

| — | amount of cells used and layout; |
| --- | --- |

—

amount of cells used and layout;

| (d) | safety measures. |
| --- | --- |

(d)

safety measures.

3.   INFORMATION ACCESSIBLE ONLY TO NOTIFIED BODIES, MARKET SURVEILLANCE 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 the Commission:

| — | results of test reports proving compliance with the requirements laid down in this Regulation or any delegated or implementing act adopted pursuant to this Regulation. |
| --- | --- |

—

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

4.   INFORMATION AND DATA RELATING TO AN INDIVIDUAL BATTERY ACCESSIBLE ONLY TO PERSONS WITH A LEGITIMATE INTEREST

A battery passport shall include the following specific information and data relating to an individual 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; |
| --- | --- |

(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; |
| --- | --- |

(b)

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

| (c) | information on the status of the battery, defined as ‘original’, ‘repurposed’, ‘re-used’, ‘remanufactured’ or ‘waste’; |
| --- | --- |

(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 and discharging cycles and negative events, such as accidents, as well as periodically recorded information on the operating environmental conditions, including temperature, and on the state of charge. |
| --- | --- |

(d)

information and data resulting from its use, including the number of charging and discharging cycles and negative events, such as accidents, as well as periodically recorded information on the operating environmental conditions, including temperature, and on the state of charge.

---

ANNEX XIV

MINIMUM REQUIREMENTS FOR SHIPMENTS OF USED BATTERIES

| 1. | In order to distinguish between used and waste batteries, where the holder, meaning the natural or legal person in possession of the used batteries or the waste batteries, claims that it intends to ship or is shipping used batteries and not waste 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 the batteries which states that the batteries are destined for direct re-use and that they are fully functional; |
| --- | --- | --- |

1.

(a)

a copy of the invoice and contract relating to the sale or transfer of ownership of the batteries 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 the certificate of testing, proof of functionality for every battery or fraction thereof in the consignment, and the protocol containing all information on the record in accordance with point 3; |
| --- | --- |

(b)

evidence of evaluation or testing in the form of a copy of the records, such as the certificate of testing, proof of functionality for every battery or fraction thereof in the consignment, and the protocol containing all information on the record in accordance with point 3;

| (c) | a declaration made by the holder that none of the material or equipment within the consignment is waste as defined by Article 3, point (1), of Directive 2008/98/EC; and |
| --- | --- |

(c)

a declaration made by the holder that none of the material or equipment within the consignment 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. |
| --- | --- |

(d)

appropriate protection against damage during transportation, loading and unloading, in particular through sufficient packaging and appropriate stacking of the load.

| 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 for repair under warranty with the intention of re-use; or |
| --- | --- | --- |

2.

(a)

the used battery is sent back to the producer or a third party acting on its behalf for repair 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 |
| --- | --- |

(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 or a third party acting on its behalf for root cause analysis under a valid contract, in cases where such an analysis can only be conducted by the producer or third parties acting on its behalf. |
| --- | --- |

(c)

if the used battery is for professional use and is defective, it is sent to the producer or a third party acting on its behalf for root cause analysis under a valid contract, in cases where such an analysis can only be conducted by the producer or third parties acting on its behalf.

| 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 and record-keeping: | Step 1: Testing






  (a) | the battery shall be tested for its state of health and the presence of hazardous substances shall be evaluated; |
| --- | --- | --- | --- |

3.

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. |
| --- | --- |

(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; |
| --- | --- | --- |

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, |
| --- | --- | --- |

(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, |
| --- | --- |

—

identification number of the battery or fraction thereof, where applicable,

| — | year of production, if available, |
| --- | --- |

—

year of production, if available,

| — | name and address of the company responsible for testing the state of health, |
| --- | --- |

—

name and address of the company responsible for testing the state of health,

| — | types of tests performed for step 1, |
| --- | --- |

—

types of tests performed for step 1,

| — | result of the tests performed for step 1, including the date of the tests. |
| --- | --- |

—

result of the tests performed for step 1, including the date of the tests.

| 4. | 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:






  (a) | a relevant transport document; and |
| --- | --- | --- |

4.

(a)

a relevant transport document; and

| (b) | a declaration of responsibility by the person liable. |
| --- | --- |

(b)

a declaration of responsibility by the person liable.

| 5. | In the absence of proof that an object is a used battery, and not a waste battery, in the form of the appropriate documentation required in points 1, 2, 3 and 4, and of appropriate protection against damage during transportation, loading and unloading, in particular through sufficient packaging and appropriate stacking of the load, which are the obligations of the holder 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. |
| --- | --- |

5.

---

ANNEX XV

CORRELATION 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 |
| 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 |
| Article 8(1), first subparagraph, point (a) | Article 59(1), point (a) Article 59(1), point (b) |
| 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 subparagraph | Article 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 subparagraph | Article 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 subparagraph |
| Article 10(4) | — |
| Article 11 | Article 11 |
| Article 11, first paragraph | Article 11(1) |
| Article 11, second paragraph | Article 11(3) |
| Article 12 | Article 70 |
| 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) | — |
| 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 |
| 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 subparagraph |
| Article 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 |
| Article 24(1) | Article 90(1) |
| Article 24(2) | Article 90(3) |
| Article 24(2), second subparagraph | Article 90(3), second subparagraph |
| Article 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 |

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

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

Article 8(1), first subparagraph, point (a)

Article 59(1), point (a) Article 59(1), point (b)

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 subparagraph

Article 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 subparagraph

Article 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 subparagraph

Article 10(4)

—

Article 11

Article 11

Article 11, first paragraph

Article 11(1)

Article 11, second paragraph

Article 11(3)

Article 12

Article 70

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)

—

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

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 subparagraph

Article 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

Article 24(1)

Article 90(1)

Article 24(2)

Article 90(3)

Article 24(2), second subparagraph

Article 90(3), second subparagraph

Article 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

---

| 28.7.2023 | EN | Official Journal of the European Union | L 191/118 |
| --- | --- | --- | --- |

28.7.2023

EN

Official Journal of the European Union

L 191/118

---

REGULATION (EU) 2023/1543 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 12 July 2023

on European Production Orders and European Preservation Orders for electronic evidence in criminal proceedings and for the execution of custodial sentences following criminal proceedings

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 82(1) thereof,

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 Committee (1),

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

| (1) | The Union has set itself the objective of maintaining and developing an area of freedom, security and justice. For the gradual establishment of such an area, the Union is to adopt measures relating to judicial cooperation in criminal matters based on the principle of mutual recognition of judgments and judicial decisions, which is commonly referred to as a cornerstone of judicial cooperation in criminal matters within the Union since the Tampere European Council of 15 and 16 October 1999. |
| --- | --- |

(1)

The Union has set itself the objective of maintaining and developing an area of freedom, security and justice. For the gradual establishment of such an area, the Union is to adopt measures relating to judicial cooperation in criminal matters based on the principle of mutual recognition of judgments and judicial decisions, which is commonly referred to as a cornerstone of judicial cooperation in criminal matters within the Union since the Tampere European Council of 15 and 16 October 1999.

| (2) | Measures to obtain and preserve electronic evidence are increasingly important for criminal investigations and prosecutions across the Union. Effective mechanisms to obtain electronic evidence are essential to combat crime, and such mechanisms should be subject to conditions and safeguards to ensure full compliance with fundamental rights and principles recognised in Article 6 of the Treaty on European Union (TEU) and the Charter of Fundamental Rights of the European Union (the ‘Charter’), in particular the principles of necessity and proportionality, due process, protection of privacy and personal data and confidentiality of communications. |
| --- | --- |

(2)

Measures to obtain and preserve electronic evidence are increasingly important for criminal investigations and prosecutions across the Union. Effective mechanisms to obtain electronic evidence are essential to combat crime, and such mechanisms should be subject to conditions and safeguards to ensure full compliance with fundamental rights and principles recognised in Article 6 of the Treaty on European Union (TEU) and the Charter of Fundamental Rights of the European Union (the ‘Charter’), in particular the principles of necessity and proportionality, due process, protection of privacy and personal data and confidentiality of communications.

| (3) | The Joint Statement of the Ministers of Justice and Home Affairs and representatives of the Union institutions of 24 March 2016 on the terrorist attacks in Brussels stressed the need, as a matter of priority, to secure and obtain more quickly and effectively digital evidence and to identify concrete measures to do so. |
| --- | --- |

(3)

The Joint Statement of the Ministers of Justice and Home Affairs and representatives of the Union institutions of 24 March 2016 on the terrorist attacks in Brussels stressed the need, as a matter of priority, to secure and obtain more quickly and effectively digital evidence and to identify concrete measures to do so.

| (4) | The Council conclusions of 9 June 2016 stressed the increasing importance of electronic evidence in criminal proceedings, and the importance of protecting cyberspace from abuse and criminal activities for the benefit of economies and societies, and therefore the need for law enforcement authorities and judicial authorities to have effective tools to investigate and prosecute criminal acts related to cyberspace. |
| --- | --- |

(4)

The Council conclusions of 9 June 2016 stressed the increasing importance of electronic evidence in criminal proceedings, and the importance of protecting cyberspace from abuse and criminal activities for the benefit of economies and societies, and therefore the need for law enforcement authorities and judicial authorities to have effective tools to investigate and prosecute criminal acts related to cyberspace.

| (5) | In the joint communication of the Commission and of the High Representative of the Union for Foreign Affairs and Security Policy to the European Parliament and the Council of 13 September 2017 on Resilience, Deterrence and Defence: Building strong cybersecurity for the EU, the Commission emphasised that effective investigation and prosecution of cyber-enabled crime is a key deterrent to cyber-attacks, and that today’s procedural framework needs to be better adapted to the internet age. The speed of cyber-attacks can sometimes overwhelm current procedures, thereby creating particular needs for swift cooperation across borders. |
| --- | --- |

(5)

In the joint communication of the Commission and of the High Representative of the Union for Foreign Affairs and Security Policy to the European Parliament and the Council of 13 September 2017 on Resilience, Deterrence and Defence: Building strong cybersecurity for the EU, the Commission emphasised that effective investigation and prosecution of cyber-enabled crime is a key deterrent to cyber-attacks, and that today’s procedural framework needs to be better adapted to the internet age. The speed of cyber-attacks can sometimes overwhelm current procedures, thereby creating particular needs for swift cooperation across borders.

| (6) | The resolution of the European Parliament of 3 October 2017 on the fight against cybercrime (3) underlined the need to find means to secure and obtain electronic evidence more rapidly, as well as the importance of close cooperation between law enforcement authorities, third countries and service providers active on European territory, in accordance with Regulation (EU) 2016/679 of the European Parliament and of the Council (4) and Directive (EU) 2016/680 of the European Parliament and of the Council (5), and existing mutual legal assistance agreements. That resolution of the European Parliament also highlighted that the currently fragmented legal framework can create challenges for service providers seeking to comply with law enforcement requests and called on the Commission to put forward a Union legal framework for electronic evidence with sufficient safeguards for the rights and freedoms of all concerned, while welcoming the ongoing work of the Commission towards a cooperation platform with a secure communication channel for digital exchanges of European Investigation Orders (EIOs) for electronic evidence and replies between Union judicial authorities. |
| --- | --- |

(6)

The resolution of the European Parliament of 3 October 2017 on the fight against cybercrime (3) underlined the need to find means to secure and obtain electronic evidence more rapidly, as well as the importance of close cooperation between law enforcement authorities, third countries and service providers active on European territory, in accordance with Regulation (EU) 2016/679 of the European Parliament and of the Council (4) and Directive (EU) 2016/680 of the European Parliament and of the Council (5), and existing mutual legal assistance agreements. That resolution of the European Parliament also highlighted that the currently fragmented legal framework can create challenges for service providers seeking to comply with law enforcement requests and called on the Commission to put forward a Union legal framework for electronic evidence with sufficient safeguards for the rights and freedoms of all concerned, while welcoming the ongoing work of the Commission towards a cooperation platform with a secure communication channel for digital exchanges of European Investigation Orders (EIOs) for electronic evidence and replies between Union judicial authorities.

| (7) | Network-based services can be provided from anywhere and do not require physical infrastructure, premises or staff in the country where the relevant service is offered. Therefore, relevant electronic evidence is often stored outside of the investigating State or by a service provider established outside of that State, creating challenges regarding the gathering of electronic evidence in criminal proceedings. |
| --- | --- |

(7)

Network-based services can be provided from anywhere and do not require physical infrastructure, premises or staff in the country where the relevant service is offered. Therefore, relevant electronic evidence is often stored outside of the investigating State or by a service provider established outside of that State, creating challenges regarding the gathering of electronic evidence in criminal proceedings.

| (8) | Due to the way in which network-based services are provided, judicial cooperation requests are often addressed to States which are hosts to a large number of service providers. Furthermore, the number of requests has multiplied due to the fact that network-based services are being increasingly used. Directive 2014/41/EU of the European Parliament and of the Council (6) provides for the possibility of issuing an EIO for the purpose of gathering evidence in another Member State. In addition, the Convention established by the Council in accordance with Article 34 of the Treaty on European Union, on Mutual Assistance in Criminal Matters between the Member States of the European Union (7) (the ‘Convention on Mutual Assistance in Criminal Matters’) also provides for the possibility of requesting evidence from another Member State. However, the procedures and timelines provided for in Directive 2014/41/EU establishing the EIO and in the Convention on Mutual Assistance in Criminal Matters might not be appropriate for electronic evidence, which is more volatile and could more easily and quickly be deleted. Obtaining electronic evidence using judicial cooperation channels often takes a long time, resulting in situations where subsequent leads might no longer be available. Furthermore, there is no harmonised framework for cooperation with service providers, while certain third-country providers accept direct requests for data other than content data as permitted by their applicable national law. As a consequence, Member States increasingly rely on voluntary direct cooperation channels with service providers where available, and they apply different national tools, conditions and procedures. For content data, some Member States have taken unilateral action, while others continue to rely on judicial cooperation. |
| --- | --- |

(8)

Due to the way in which network-based services are provided, judicial cooperation requests are often addressed to States which are hosts to a large number of service providers. Furthermore, the number of requests has multiplied due to the fact that network-based services are being increasingly used. Directive 2014/41/EU of the European Parliament and of the Council (6) provides for the possibility of issuing an EIO for the purpose of gathering evidence in another Member State. In addition, the Convention established by the Council in accordance with Article 34 of the Treaty on European Union, on Mutual Assistance in Criminal Matters between the Member States of the European Union (7) (the ‘Convention on Mutual Assistance in Criminal Matters’) also provides for the possibility of requesting evidence from another Member State. However, the procedures and timelines provided for in Directive 2014/41/EU establishing the EIO and in the Convention on Mutual Assistance in Criminal Matters might not be appropriate for electronic evidence, which is more volatile and could more easily and quickly be deleted. Obtaining electronic evidence using judicial cooperation channels often takes a long time, resulting in situations where subsequent leads might no longer be available. Furthermore, there is no harmonised framework for cooperation with service providers, while certain third-country providers accept direct requests for data other than content data as permitted by their applicable national law. As a consequence, Member States increasingly rely on voluntary direct cooperation channels with service providers where available, and they apply different national tools, conditions and procedures. For content data, some Member States have taken unilateral action, while others continue to rely on judicial cooperation.

| (9) | The fragmented legal framework creates challenges for law enforcement authorities and judicial authorities as well as for service providers seeking to comply with legal requests for electronic evidence, as they are increasingly faced with legal uncertainty and, potentially, conflicts of law. Therefore, there is a need to provide for specific rules as regards cross-border judicial cooperation for preserving and producing electronic evidence, which address the specific nature of electronic evidence. Such rules should include an obligation on service providers covered by the scope of this Regulation to respond directly to requests stemming from authorities in another Member State. This Regulation will therefore complement the existing Union law and clarify the rules applicable to law enforcement authorities and judicial authorities as well as to service providers in the field of electronic evidence, while ensuring full compliance with fundamental rights. |
| --- | --- |

(9)

The fragmented legal framework creates challenges for law enforcement authorities and judicial authorities as well as for service providers seeking to comply with legal requests for electronic evidence, as they are increasingly faced with legal uncertainty and, potentially, conflicts of law. Therefore, there is a need to provide for specific rules as regards cross-border judicial cooperation for preserving and producing electronic evidence, which address the specific nature of electronic evidence. Such rules should include an obligation on service providers covered by the scope of this Regulation to respond directly to requests stemming from authorities in another Member State. This Regulation will therefore complement the existing Union law and clarify the rules applicable to law enforcement authorities and judicial authorities as well as to service providers in the field of electronic evidence, while ensuring full compliance with fundamental rights.

| (10) | This Regulation respects fundamental rights and observes the principles recognised by Article 6 TEU and the Charter, by international law and by international agreements to which the Union or all the Member States are party, including the European Convention for the Protection of Human Rights and Fundamental Freedoms, and in Member States’ constitutions, in their respective fields of application. Such rights and principles include, in particular, the right to liberty and security, the respect for private and family life, the protection of personal data, the freedom to conduct a business, the right to property, the right to an effective remedy and to a fair trial, the presumption of innocence and right of defence, the principles of legality and proportionality, as well as the right not to be tried or punished twice in criminal proceedings for the same criminal offence. |
| --- | --- |

(10)

This Regulation respects fundamental rights and observes the principles recognised by Article 6 TEU and the Charter, by international law and by international agreements to which the Union or all the Member States are party, including the European Convention for the Protection of Human Rights and Fundamental Freedoms, and in Member States’ constitutions, in their respective fields of application. Such rights and principles include, in particular, the right to liberty and security, the respect for private and family life, the protection of personal data, the freedom to conduct a business, the right to property, the right to an effective remedy and to a fair trial, the presumption of innocence and right of defence, the principles of legality and proportionality, as well as the right not to be tried or punished twice in criminal proceedings for the same criminal offence.

| (11) | Nothing in this Regulation should be interpreted as prohibiting the refusal of a European Production Order by an enforcing authority where there are reasons to believe, on the basis of objective elements, that the European Production Order has been issued for the purpose of prosecuting or punishing a person on account of the person’s gender, racial or ethnic origin, religion, sexual orientation or gender identity, nationality, language or political opinions, or that the person’s position could be prejudiced for any of those reasons. |
| --- | --- |

(11)

Nothing in this Regulation should be interpreted as prohibiting the refusal of a European Production Order by an enforcing authority where there are reasons to believe, on the basis of objective elements, that the European Production Order has been issued for the purpose of prosecuting or punishing a person on account of the person’s gender, racial or ethnic origin, religion, sexual orientation or gender identity, nationality, language or political opinions, or that the person’s position could be prejudiced for any of those reasons.

| (12) | The mechanism of the European Production Order and of the European Preservation Order for electronic evidence in criminal proceedings relies on the principle of mutual trust between the Member States and on a presumption of compliance by Member States with Union law, the rule of law and, in particular, with fundamental rights, which are essential elements of the Union’s area of freedom, security and justice. Such a mechanism enables national competent authorities to send such orders directly to service providers. |
| --- | --- |

(12)

The mechanism of the European Production Order and of the European Preservation Order for electronic evidence in criminal proceedings relies on the principle of mutual trust between the Member States and on a presumption of compliance by Member States with Union law, the rule of law and, in particular, with fundamental rights, which are essential elements of the Union’s area of freedom, security and justice. Such a mechanism enables national competent authorities to send such orders directly to service providers.

| (13) | The respect for private and family life and the protection of natural persons regarding the processing of personal data are fundamental rights. In accordance with Article 7 and Article 8(1) of the Charter, everyone has the right to respect for their private and family life, home and communications and to the protection of personal data concerning them. |
| --- | --- |

(13)

The respect for private and family life and the protection of natural persons regarding the processing of personal data are fundamental rights. In accordance with Article 7 and Article 8(1) of the Charter, everyone has the right to respect for their private and family life, home and communications and to the protection of personal data concerning them.

| (14) | When implementing this Regulation, Member States should ensure that personal data are protected and processed in accordance with Regulation (EU) 2016/679 and Directive (EU) 2016/680, as well as Directive 2002/58/EC of the European Parliament and of the Council (8) including in the event of further use, transmissions and onward transfers of data obtained. |
| --- | --- |

(14)

When implementing this Regulation, Member States should ensure that personal data are protected and processed in accordance with Regulation (EU) 2016/679 and Directive (EU) 2016/680, as well as Directive 2002/58/EC of the European Parliament and of the Council (8) including in the event of further use, transmissions and onward transfers of data obtained.

| (15) | Personal data obtained under this Regulation should only be processed when necessary and in a manner that is proportionate to the purposes of prevention, investigation, detection and prosecution of crime or enforcement of criminal penalties and the exercise of the rights of defence. In particular, Member States should ensure that appropriate data protection policies and measures apply to the transmission of personal data from relevant authorities to service providers for the purposes of this Regulation, including measures to ensure the security of the data. Service providers should ensure that the same safeguards apply for the transmission of personal data to relevant authorities. Only authorised persons should have access to information containing personal data which can be obtained through authentication processes. |
| --- | --- |

(15)

Personal data obtained under this Regulation should only be processed when necessary and in a manner that is proportionate to the purposes of prevention, investigation, detection and prosecution of crime or enforcement of criminal penalties and the exercise of the rights of defence. In particular, Member States should ensure that appropriate data protection policies and measures apply to the transmission of personal data from relevant authorities to service providers for the purposes of this Regulation, including measures to ensure the security of the data. Service providers should ensure that the same safeguards apply for the transmission of personal data to relevant authorities. Only authorised persons should have access to information containing personal data which can be obtained through authentication processes.

| (16) | The procedural rights in criminal proceedings set out in Directives 2010/64/EU (9), 2012/13/EU (10), 2013/48/EU (11), (EU) 2016/343 (12), (EU) 2016/800 (13) and (EU) 2016/1919 (14) of the European Parliament and of the Council should apply, within the scope of those Directives, to criminal proceedings covered by this Regulation as regards the Member States bound by those Directives. The procedural safeguards under the Charter should also apply. |
| --- | --- |

(16)

The procedural rights in criminal proceedings set out in Directives 2010/64/EU (9), 2012/13/EU (10), 2013/48/EU (11), (EU) 2016/343 (12), (EU) 2016/800 (13) and (EU) 2016/1919 (14) of the European Parliament and of the Council should apply, within the scope of those Directives, to criminal proceedings covered by this Regulation as regards the Member States bound by those Directives. The procedural safeguards under the Charter should also apply.

| (17) | In order to guarantee full respect of fundamental rights, the probative value of evidence gathered in application of this Regulation should be assessed in trial by the competent judicial authority, in accordance with national law and in compliance with, in particular, the right to a fair trial and the right of defence. |
| --- | --- |

(17)

In order to guarantee full respect of fundamental rights, the probative value of evidence gathered in application of this Regulation should be assessed in trial by the competent judicial authority, in accordance with national law and in compliance with, in particular, the right to a fair trial and the right of defence.

| (18) | This Regulation lays down the rules under which a competent judicial authority in the Union may, in criminal proceedings, including criminal investigations, or for the execution of a custodial sentence or a detention order following criminal proceedings in accordance with this Regulation, order a service provider offering services in the Union to produce or to preserve electronic evidence through a European Production Order or a European Preservation Order. This Regulation should be applicable in all cross-border cases where the service provider has its designated establishment or legal representative in another Member State. This Regulation is without prejudice to the powers of national authorities to address service providers established or represented on their territory in order for them to comply with similar national measures. |
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(18)

This Regulation lays down the rules under which a competent judicial authority in the Union may, in criminal proceedings, including criminal investigations, or for the execution of a custodial sentence or a detention order following criminal proceedings in accordance with this Regulation, order a service provider offering services in the Union to produce or to preserve electronic evidence through a European Production Order or a European Preservation Order. This Regulation should be applicable in all cross-border cases where the service provider has its designated establishment or legal representative in another Member State. This Regulation is without prejudice to the powers of national authorities to address service providers established or represented on their territory in order for them to comply with similar national measures.

| (19) | This Regulation should regulate the gathering of data stored by a service provider at the time of receipt of a European Production Order or a European Preservation Order only. It should not lay down a general data retention obligation for service providers and it should not have the effect of resulting in any general and indiscriminate retention of data. This Regulation also should not authorise the interception of data or the obtention of data that are stored after the receipt of a European Production Order or a European Preservation Order. |
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(19)

This Regulation should regulate the gathering of data stored by a service provider at the time of receipt of a European Production Order or a European Preservation Order only. It should not lay down a general data retention obligation for service providers and it should not have the effect of resulting in any general and indiscriminate retention of data. This Regulation also should not authorise the interception of data or the obtention of data that are stored after the receipt of a European Production Order or a European Preservation Order.

| (20) | The application of this Regulation should not affect the use of encryption by service providers or their users. Data requested by means of a European Production Order or a European Preservation Order should be provided or preserved regardless of whether they are encrypted or not. However, this Regulation should not lay down any obligation for service providers to decrypt data. |
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(20)

The application of this Regulation should not affect the use of encryption by service providers or their users. Data requested by means of a European Production Order or a European Preservation Order should be provided or preserved regardless of whether they are encrypted or not. However, this Regulation should not lay down any obligation for service providers to decrypt data.

| (21) | In many cases, data are no longer stored or otherwise processed on a user’s device but made available on a cloud-based infrastructure enabling access from anywhere. To run those services, service providers do not need to be established or to have servers in a specific jurisdiction. Thus, the application of this Regulation should not depend on the actual location of the service provider’s establishment or of the data processing or storage facility. |
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(21)

In many cases, data are no longer stored or otherwise processed on a user’s device but made available on a cloud-based infrastructure enabling access from anywhere. To run those services, service providers do not need to be established or to have servers in a specific jurisdiction. Thus, the application of this Regulation should not depend on the actual location of the service provider’s establishment or of the data processing or storage facility.

| (22) | This Regulation is without prejudice to the investigative powers of authorities in civil or administrative proceedings, including where such proceedings can lead to penalties. |
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(22)

This Regulation is without prejudice to the investigative powers of authorities in civil or administrative proceedings, including where such proceedings can lead to penalties.

| (23) | As proceedings for mutual legal assistance might be considered as criminal proceedings in accordance with applicable national law in the Member States, it should be clarified that a European Production Order or a European Preservation Order should not be issued to provide mutual legal assistance to another Member State or a third country. In such cases, the mutual legal assistance request should be addressed to the Member State or third country which can provide mutual legal assistance under its national law. |
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(23)

As proceedings for mutual legal assistance might be considered as criminal proceedings in accordance with applicable national law in the Member States, it should be clarified that a European Production Order or a European Preservation Order should not be issued to provide mutual legal assistance to another Member State or a third country. In such cases, the mutual legal assistance request should be addressed to the Member State or third country which can provide mutual legal assistance under its national law.

| (24) | In the framework of criminal proceedings, the European Production Order and the European Preservation Order should only be issued for specific criminal proceedings concerning a specific criminal offence that has already taken place, after an individual evaluation of the necessity and proportionality of those orders in every single case, taking into account the rights of the suspect or the accused person. |
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(24)

In the framework of criminal proceedings, the European Production Order and the European Preservation Order should only be issued for specific criminal proceedings concerning a specific criminal offence that has already taken place, after an individual evaluation of the necessity and proportionality of those orders in every single case, taking into account the rights of the suspect or the accused person.

| (25) | This Regulation should also apply to proceedings initiated by an issuing authority to locate a convicted person that has absconded from justice, in order to execute a custodial sentence or a detention order following criminal proceedings. However, where the custodial sentence or detention order was imposed by a decision rendered in absentia it should not be possible to issue a European Production Order or a European Preservation Order, as the national law of the Member States on judicial decisions rendered in absentia varies considerably throughout the Union. |
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(25)

This Regulation should also apply to proceedings initiated by an issuing authority to locate a convicted person that has absconded from justice, in order to execute a custodial sentence or a detention order following criminal proceedings. However, where the custodial sentence or detention order was imposed by a decision rendered in absentia it should not be possible to issue a European Production Order or a European Preservation Order, as the national law of the Member States on judicial decisions rendered in absentia varies considerably throughout the Union.

| (26) | This Regulation should apply to service providers offering services in the Union, and it should only be possible to issue the orders provided for in this Regulation for data pertaining to services offered in the Union. Services offered exclusively outside the Union should not be included in the scope of this Regulation, even if the service provider is established in the Union. Therefore, this Regulation should not allow any access to data other than data related to the services offered to the user in the Union by those service providers. |
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(26)

This Regulation should apply to service providers offering services in the Union, and it should only be possible to issue the orders provided for in this Regulation for data pertaining to services offered in the Union. Services offered exclusively outside the Union should not be included in the scope of this Regulation, even if the service provider is established in the Union. Therefore, this Regulation should not allow any access to data other than data related to the services offered to the user in the Union by those service providers.

| (27) | The service providers most relevant for gathering evidence in criminal proceedings are providers of electronic communications services and specific providers of information society services that facilitate interaction between users. Thus, both groups should be covered by this Regulation. Electronic communication services are defined in Directive (EU) 2018/1972 of the European Parliament and of the Council (15) and include inter-personal communications services such as voice-over-IP, instant messaging and email services. This Regulation should also be applicable to information society service providers within the meaning of Directive (EU) 2015/1535 of the European Parliament and of the Council (16) that do not qualify as electronic communications service providers but offer their users the ability to communicate with each other or offer their users services that can be used to store or otherwise process data on their behalf. This would be in line with the terms used in the Council of Europe Convention on Cybercrime (ETS No 185), done at Budapest on 23 November 2001 (‘Budapest Convention’). Processing of data should be understood in a technical sense, meaning the creation or manipulation of data, that is to say technical operations to produce or alter data by means of computer processing power. The categories of service providers covered by this Regulation should include, for example, online marketplaces providing consumers and businesses with the ability to communicate with each other, and other hosting services, including where the service is provided via cloud computing, as well as online gaming platforms and online gambling platforms. Where an information society service provider does not provide its users with the ability to communicate with each other but only with the service provider, or does not provide the ability to store or otherwise process data, or where the storage of data is not a defining component, that is, an essential part, of the service provided to users, such as legal, architectural engineering and accounting services provided online at a distance, it should not fall within the scope of the definition of ‘service provider’ laid down in this Regulation, even if the services provided by that service provider are information society services within the meaning of Directive (EU) 2015/1535. |
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(27)

The service providers most relevant for gathering evidence in criminal proceedings are providers of electronic communications services and specific providers of information society services that facilitate interaction between users. Thus, both groups should be covered by this Regulation. Electronic communication services are defined in Directive (EU) 2018/1972 of the European Parliament and of the Council (15) and include inter-personal communications services such as voice-over-IP, instant messaging and email services. This Regulation should also be applicable to information society service providers within the meaning of Directive (EU) 2015/1535 of the European Parliament and of the Council (16) that do not qualify as electronic communications service providers but offer their users the ability to communicate with each other or offer their users services that can be used to store or otherwise process data on their behalf. This would be in line with the terms used in the Council of Europe Convention on Cybercrime (ETS No 185), done at Budapest on 23 November 2001 (‘Budapest Convention’). Processing of data should be understood in a technical sense, meaning the creation or manipulation of data, that is to say technical operations to produce or alter data by means of computer processing power. The categories of service providers covered by this Regulation should include, for example, online marketplaces providing consumers and businesses with the ability to communicate with each other, and other hosting services, including where the service is provided via cloud computing, as well as online gaming platforms and online gambling platforms. Where an information society service provider does not provide its users with the ability to communicate with each other but only with the service provider, or does not provide the ability to store or otherwise process data, or where the storage of data is not a defining component, that is, an essential part, of the service provided to users, such as legal, architectural engineering and accounting services provided online at a distance, it should not fall within the scope of the definition of ‘service provider’ laid down in this Regulation, even if the services provided by that service provider are information society services within the meaning of Directive (EU) 2015/1535.

| (28) | Providers of internet infrastructure services related to the assignment of names and numbers, such as domain name registries and registrars and privacy and proxy service providers, or regional internet registries for internet protocol (‘IP’) addresses, are of particular relevance when it comes to the identification of actors behind malicious or compromised websites. They hold data that could make the identification of an individual or entity behind a website used in a criminal activity, or the victim of a criminal activity, possible. |
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(28)

Providers of internet infrastructure services related to the assignment of names and numbers, such as domain name registries and registrars and privacy and proxy service providers, or regional internet registries for internet protocol (‘IP’) addresses, are of particular relevance when it comes to the identification of actors behind malicious or compromised websites. They hold data that could make the identification of an individual or entity behind a website used in a criminal activity, or the victim of a criminal activity, possible.

| (29) | Determining whether a service provider offers services in the Union requires an assessment as to whether the service provider enables natural or legal persons in one or more Member States to use its services. However, the mere accessibility of an online interface in the Union, such as for instance the accessibility of a website or an email address or other contact details of a service provider or an intermediary, taken in isolation, should be considered insufficient to determine that a service provider offers services in the Union within the meaning of this Regulation. |
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(29)

Determining whether a service provider offers services in the Union requires an assessment as to whether the service provider enables natural or legal persons in one or more Member States to use its services. However, the mere accessibility of an online interface in the Union, such as for instance the accessibility of a website or an email address or other contact details of a service provider or an intermediary, taken in isolation, should be considered insufficient to determine that a service provider offers services in the Union within the meaning of this Regulation.

| (30) | A substantial connection to the Union should also be relevant to determining whether a service provider offers services in the Union. Such a substantial connection to the Union should be considered to exist where the service provider has an establishment in the Union. In the absence of such an establishment, the criterion of a substantial connection should be based on specific factual criteria such as the existence of a significant number of users in one or more Member States, or the targeting of activities towards one or more Member States. The targeting of activities towards one or more Member States should be determined on the basis of all relevant circumstances, including factors such as the use of a language or a currency generally used in that Member State, or the possibility of ordering goods or services. The targeting of activities towards a Member State could also be derived from the availability of an application (‘app’) in the relevant national app store, from the provision of local advertising or advertising in the language generally used in that Member State, or from the handling of customer relations, such as by the provision of customer service in the language generally used in that Member State. A substantial connection should also be considered to exist where a service provider directs its activities towards one or more Member States as set out in Regulation (EU) No 1215/2012 of the European Parliament and of the Council (17). On the other hand, provision of a service for the purpose of mere compliance with the prohibition of discrimination laid down in Regulation (EU) 2018/302 of the European Parliament and of the Council (18) should not, without additional grounds, be considered to be directing or targeting activities towards a given territory within the Union. The same considerations should apply when determining whether a service provider offers services in a Member State. |
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(30)

A substantial connection to the Union should also be relevant to determining whether a service provider offers services in the Union. Such a substantial connection to the Union should be considered to exist where the service provider has an establishment in the Union. In the absence of such an establishment, the criterion of a substantial connection should be based on specific factual criteria such as the existence of a significant number of users in one or more Member States, or the targeting of activities towards one or more Member States. The targeting of activities towards one or more Member States should be determined on the basis of all relevant circumstances, including factors such as the use of a language or a currency generally used in that Member State, or the possibility of ordering goods or services. The targeting of activities towards a Member State could also be derived from the availability of an application (‘app’) in the relevant national app store, from the provision of local advertising or advertising in the language generally used in that Member State, or from the handling of customer relations, such as by the provision of customer service in the language generally used in that Member State. A substantial connection should also be considered to exist where a service provider directs its activities towards one or more Member States as set out in Regulation (EU) No 1215/2012 of the European Parliament and of the Council (17). On the other hand, provision of a service for the purpose of mere compliance with the prohibition of discrimination laid down in Regulation (EU) 2018/302 of the European Parliament and of the Council (18) should not, without additional grounds, be considered to be directing or targeting activities towards a given territory within the Union. The same considerations should apply when determining whether a service provider offers services in a Member State.

| (31) | This Regulation should cover the data categories of subscriber data, traffic data and content data. Such categorisation is in line with the law of many Member States and Union law, such as Directive 2002/58/EC and the case law of the Court of Justice, as well as international law, in particular the Budapest Convention. |
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(31)

This Regulation should cover the data categories of subscriber data, traffic data and content data. Such categorisation is in line with the law of many Member States and Union law, such as Directive 2002/58/EC and the case law of the Court of Justice, as well as international law, in particular the Budapest Convention.

| (32) | IP addresses as well as access numbers and related information can constitute a crucial starting point for criminal investigations in which the identity of a suspect is not known. They are typically part of a record of events, also known as a server log, that indicates the commencement and termination of a user access session to a service. It is often an individual IP address, be it static or dynamic, or other identifier that singles out the network interface used during the access session. Related information on the commencement and termination of a user access session to a service, such as the source ports and time stamp, is needed as IP addresses are often shared amongst users, for example where carrier grade network address translation (CGN) or technical equivalents are in place. However, in accordance with the Union acquis, IP addresses are to be considered personal data and have to benefit from full protection under the Union’s data protection acquis. In addition, under certain circumstances, IP addresses can be considered traffic data. Also, access numbers and related information are considered traffic data in some Member States. However, for the purpose of a specific criminal investigation, law enforcement authorities might have to request an IP address as well as access numbers and related information for the sole purpose of identifying the user before subscriber data related to that identifier can be requested from the service provider. In such cases, it is appropriate to apply the same regime as for subscriber data, as defined in this Regulation. |
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(32)

IP addresses as well as access numbers and related information can constitute a crucial starting point for criminal investigations in which the identity of a suspect is not known. They are typically part of a record of events, also known as a server log, that indicates the commencement and termination of a user access session to a service. It is often an individual IP address, be it static or dynamic, or other identifier that singles out the network interface used during the access session. Related information on the commencement and termination of a user access session to a service, such as the source ports and time stamp, is needed as IP addresses are often shared amongst users, for example where carrier grade network address translation (CGN) or technical equivalents are in place. However, in accordance with the Union acquis, IP addresses are to be considered personal data and have to benefit from full protection under the Union’s data protection acquis. In addition, under certain circumstances, IP addresses can be considered traffic data. Also, access numbers and related information are considered traffic data in some Member States. However, for the purpose of a specific criminal investigation, law enforcement authorities might have to request an IP address as well as access numbers and related information for the sole purpose of identifying the user before subscriber data related to that identifier can be requested from the service provider. In such cases, it is appropriate to apply the same regime as for subscriber data, as defined in this Regulation.

| (33) | Where IP addresses, access numbers and related information are not requested for the sole purpose of identifying the user in a specific criminal investigation, they are generally requested to obtain more privacy-intrusive information, such as the contacts and whereabouts of the user. As such, they could serve to establish a comprehensive profile of an individual concerned, but at the same time they can be processed and analysed more easily than content data, as they are presented in a structured and standardised format. It is therefore essential that, in such situations, IP addresses, access numbers and related information not requested for the sole purpose of identifying the user in a specific criminal investigation, be treated as traffic data and requested under the same regime as content data, as defined in this Regulation. |
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(33)

Where IP addresses, access numbers and related information are not requested for the sole purpose of identifying the user in a specific criminal investigation, they are generally requested to obtain more privacy-intrusive information, such as the contacts and whereabouts of the user. As such, they could serve to establish a comprehensive profile of an individual concerned, but at the same time they can be processed and analysed more easily than content data, as they are presented in a structured and standardised format. It is therefore essential that, in such situations, IP addresses, access numbers and related information not requested for the sole purpose of identifying the user in a specific criminal investigation, be treated as traffic data and requested under the same regime as content data, as defined in this Regulation.

| (34) | All data categories contain personal data and are thus covered by the safeguards under the Union data protection acquis. However, the intensity of the impact on fundamental rights varies between the categories, in particular between subscriber data and data requested for the sole purpose of identifying the user as defined in this Regulation, on the one hand, and traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, and content data on the other. While subscriber data as well as IP addresses, access numbers and related information, where requested for the sole purpose of identifying the user, could be useful to obtain first leads in an investigation about the identity of a suspect, traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, and content data are often more relevant as probative material. It is therefore essential that all those data categories are covered by this Regulation. Given the varying degree of interference with fundamental rights, appropriate safeguards and conditions should be imposed for obtaining such data. |
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(34)

All data categories contain personal data and are thus covered by the safeguards under the Union data protection acquis. However, the intensity of the impact on fundamental rights varies between the categories, in particular between subscriber data and data requested for the sole purpose of identifying the user as defined in this Regulation, on the one hand, and traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, and content data on the other. While subscriber data as well as IP addresses, access numbers and related information, where requested for the sole purpose of identifying the user, could be useful to obtain first leads in an investigation about the identity of a suspect, traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, and content data are often more relevant as probative material. It is therefore essential that all those data categories are covered by this Regulation. Given the varying degree of interference with fundamental rights, appropriate safeguards and conditions should be imposed for obtaining such data.

| (35) | Situations in which there is an imminent threat to the life, physical integrity or safety of a person should be treated as emergency cases, and entail shorter time limits for the service provider and the enforcing authority. Where the disruption or destruction of a critical infrastructure as defined in Council Directive 2008/114/EC (19) would imply such a threat, including through serious harm to the provision of basic supplies to the population or to the exercise of the core functions of the State, such a situation should also be treated as an emergency case, in accordance with Union law. |
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(35)

Situations in which there is an imminent threat to the life, physical integrity or safety of a person should be treated as emergency cases, and entail shorter time limits for the service provider and the enforcing authority. Where the disruption or destruction of a critical infrastructure as defined in Council Directive 2008/114/EC (19) would imply such a threat, including through serious harm to the provision of basic supplies to the population or to the exercise of the core functions of the State, such a situation should also be treated as an emergency case, in accordance with Union law.

| (36) | When a European Production Order or a European Preservation Order is issued, there should always be a judicial authority involved either in the process of issuing or in the process of validating the order. In view of the more sensitive nature of traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, and of content data, the issuing or validation of a European Production Order to obtain those data categories requires review by a judge. As subscriber data and data requested for the sole purpose of identifying the user as defined in this Regulation are less sensitive, a European Production Order to obtain such data can in addition be issued or validated by a competent public prosecutor. In accordance with the right to a fair trial, as protected by the Charter and the European Convention for the Protection of Human Rights and Fundamental Freedoms, public prosecutors are to exercise their responsibilities objectively, taking their decision in relation to the issuing or validation of a European Production Order or a European Preservation Order solely on the basis of the factual elements in the case file and taking into account all incriminatory and exculpatory evidence. |
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(36)

When a European Production Order or a European Preservation Order is issued, there should always be a judicial authority involved either in the process of issuing or in the process of validating the order. In view of the more sensitive nature of traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, and of content data, the issuing or validation of a European Production Order to obtain those data categories requires review by a judge. As subscriber data and data requested for the sole purpose of identifying the user as defined in this Regulation are less sensitive, a European Production Order to obtain such data can in addition be issued or validated by a competent public prosecutor. In accordance with the right to a fair trial, as protected by the Charter and the European Convention for the Protection of Human Rights and Fundamental Freedoms, public prosecutors are to exercise their responsibilities objectively, taking their decision in relation to the issuing or validation of a European Production Order or a European Preservation Order solely on the basis of the factual elements in the case file and taking into account all incriminatory and exculpatory evidence.

| (37) | In order to ensure that fundamental rights are fully protected, any validation of European Production Orders or of European Preservation Orders by judicial authorities should in principle be obtained before the order concerned is issued. Exceptions to that principle should only be made in validly established emergency cases when requesting the production of subscriber data or data requested for the sole purpose of identifying the user, as defined in this Regulation, or the preservation of data, where it is not possible to obtain prior validation by the judicial authority in time, in particular because the validating authority cannot be reached to obtain validation and the threat is so imminent that immediate action has to be taken. However, such exceptions should only be made where the authority issuing the order concerned could issue an order in a similar domestic case under national law without prior validation. |
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(37)

In order to ensure that fundamental rights are fully protected, any validation of European Production Orders or of European Preservation Orders by judicial authorities should in principle be obtained before the order concerned is issued. Exceptions to that principle should only be made in validly established emergency cases when requesting the production of subscriber data or data requested for the sole purpose of identifying the user, as defined in this Regulation, or the preservation of data, where it is not possible to obtain prior validation by the judicial authority in time, in particular because the validating authority cannot be reached to obtain validation and the threat is so imminent that immediate action has to be taken. However, such exceptions should only be made where the authority issuing the order concerned could issue an order in a similar domestic case under national law without prior validation.

| (38) | A European Production Order should only be issued if it is necessary, proportionate, adequate and applicable to the case at hand. The issuing authority should take into account the rights of the suspect or the accused person in proceedings relating to a criminal offence and should only issue a European Production Order if such order could have been issued under the same conditions in a similar domestic case. The assessment of whether to issue a European Production Order should take into account whether such order is limited to what is strictly necessary to achieve the legitimate aim of obtaining data that are relevant and necessary as evidence in an individual case. |
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(38)

A European Production Order should only be issued if it is necessary, proportionate, adequate and applicable to the case at hand. The issuing authority should take into account the rights of the suspect or the accused person in proceedings relating to a criminal offence and should only issue a European Production Order if such order could have been issued under the same conditions in a similar domestic case. The assessment of whether to issue a European Production Order should take into account whether such order is limited to what is strictly necessary to achieve the legitimate aim of obtaining data that are relevant and necessary as evidence in an individual case.

| (39) | In cases where a European Production Order is issued to obtain different data categories, the issuing authority should ensure that the conditions and procedures, such as notification to the enforcing authority, are met for each of those data categories respectively. |
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(39)

In cases where a European Production Order is issued to obtain different data categories, the issuing authority should ensure that the conditions and procedures, such as notification to the enforcing authority, are met for each of those data categories respectively.

| (40) | In view of the more sensitive nature of traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, and of content data, a distinction should be made regarding the material scope of this Regulation. It should be possible to issue a European Production Order to obtain subscriber data or to obtain data requested for the sole purpose of identifying the user, as defined in this Regulation, for any criminal offence, whereas a European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, or to obtain content data should be subject to stricter requirements to reflect the more sensitive nature of such data. This Regulation should provide for a threshold in relation to its scope, allowing for a proportionate approach, together with a number of other ex ante and ex post conditions and safeguards to ensure respect for proportionality and the rights of the persons affected. At the same time, such a threshold should not limit the effectiveness of this Regulation and its use by practitioners. Allowing the issuing of European Production Orders in criminal proceedings only for offences that carry at least a three-year maximum custodial sentence will limit the scope of this Regulation to more serious offences, without excessively affecting the possibilities of its use by practitioners. That limitation would exclude from the scope of this Regulation a significant number of offences which are considered less serious by Member States, as expressed in a lower maximum penalty. That limitation will also have the advantage of being easily applicable in practice. |
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(40)

In view of the more sensitive nature of traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, and of content data, a distinction should be made regarding the material scope of this Regulation. It should be possible to issue a European Production Order to obtain subscriber data or to obtain data requested for the sole purpose of identifying the user, as defined in this Regulation, for any criminal offence, whereas a European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, or to obtain content data should be subject to stricter requirements to reflect the more sensitive nature of such data. This Regulation should provide for a threshold in relation to its scope, allowing for a proportionate approach, together with a number of other ex ante and ex post conditions and safeguards to ensure respect for proportionality and the rights of the persons affected. At the same time, such a threshold should not limit the effectiveness of this Regulation and its use by practitioners. Allowing the issuing of European Production Orders in criminal proceedings only for offences that carry at least a three-year maximum custodial sentence will limit the scope of this Regulation to more serious offences, without excessively affecting the possibilities of its use by practitioners. That limitation would exclude from the scope of this Regulation a significant number of offences which are considered less serious by Member States, as expressed in a lower maximum penalty. That limitation will also have the advantage of being easily applicable in practice.

| (41) | There are specific offences where evidence will typically be available exclusively in electronic form, which is particularly fleeting in nature. This is the case for cyber-related offences, even those which might not be considered serious in and of themselves but which could cause extensive or considerable damage, in particular offences with low individual impact but high volume and overall damage. For most cases in which the offence has been committed by means of an information system, applying the same threshold as for other types of offences would to a large extent lead to impunity. That justifies the application of this Regulation for such offences also where they carry a maximum custodial sentence of less than three years. Additional terrorism-related offences within the meaning of Directive (EU) 2017/541 of the European Parliament and of the Council (20) as well as offences concerning sexual abuse and sexual exploitation of children within the meaning of Directive 2011/93/EU of the European Parliament and of the Council (21) should not require the minimum threshold of a three-year maximum custodial sentence. |
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(41)

There are specific offences where evidence will typically be available exclusively in electronic form, which is particularly fleeting in nature. This is the case for cyber-related offences, even those which might not be considered serious in and of themselves but which could cause extensive or considerable damage, in particular offences with low individual impact but high volume and overall damage. For most cases in which the offence has been committed by means of an information system, applying the same threshold as for other types of offences would to a large extent lead to impunity. That justifies the application of this Regulation for such offences also where they carry a maximum custodial sentence of less than three years. Additional terrorism-related offences within the meaning of Directive (EU) 2017/541 of the European Parliament and of the Council (20) as well as offences concerning sexual abuse and sexual exploitation of children within the meaning of Directive 2011/93/EU of the European Parliament and of the Council (21) should not require the minimum threshold of a three-year maximum custodial sentence.

| (42) | As a matter of principle, a European Production Order should be addressed to the service provider, acting as controller. However, in some circumstances, determining whether a service provider has the role of controller or processor can prove particularly challenging, in particular where several service providers are involved in the processing of data or where service providers process the data on behalf of a natural person. Distinguishing between the roles of controller and processor with regard to a particular set of data requires not only specialised knowledge of the legal context, but could also require interpretation of often very complex contractual frameworks providing in a specific case for allocation to various service providers of different tasks and roles with regard to a particular set of data. Where service providers process data on behalf of a natural person, it may be difficult in some cases to determine who the controller is, even where there is only one service provider involved. Where the data concerned are stored or otherwise processed by a service provider and there is no clarity as to who the controller is, despite reasonable efforts on the part of the issuing authority, it should therefore be possible to address a European Production Order directly to that service provider. Moreover, in some cases, addressing the controller could be detrimental to the investigation in the case concerned, for example because the controller is a suspect or an accused or convicted person or there are indications that the controller could be acting in the interest of the person that is the subject of the investigation. Also in those cases, it should be possible to address a European Production Order directly to the service provider processing the data on behalf of the controller. That should not affect the right of the issuing authority to order the service provider to preserve the data. |
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(42)

As a matter of principle, a European Production Order should be addressed to the service provider, acting as controller. However, in some circumstances, determining whether a service provider has the role of controller or processor can prove particularly challenging, in particular where several service providers are involved in the processing of data or where service providers process the data on behalf of a natural person. Distinguishing between the roles of controller and processor with regard to a particular set of data requires not only specialised knowledge of the legal context, but could also require interpretation of often very complex contractual frameworks providing in a specific case for allocation to various service providers of different tasks and roles with regard to a particular set of data. Where service providers process data on behalf of a natural person, it may be difficult in some cases to determine who the controller is, even where there is only one service provider involved. Where the data concerned are stored or otherwise processed by a service provider and there is no clarity as to who the controller is, despite reasonable efforts on the part of the issuing authority, it should therefore be possible to address a European Production Order directly to that service provider. Moreover, in some cases, addressing the controller could be detrimental to the investigation in the case concerned, for example because the controller is a suspect or an accused or convicted person or there are indications that the controller could be acting in the interest of the person that is the subject of the investigation. Also in those cases, it should be possible to address a European Production Order directly to the service provider processing the data on behalf of the controller. That should not affect the right of the issuing authority to order the service provider to preserve the data.

| (43) | In accordance with Regulation (EU) 2016/679, the processor that stores or otherwise processes the data on behalf of the controller should inform the controller about the production of the data unless the issuing authority has requested the service provider to refrain from informing the controller, for as long as necessary and proportionate, in order not to obstruct the relevant criminal proceedings. In that case, the issuing authority should indicate in the case file the reasons for the delay in informing the controller and a short justification should also be added in the accompanying certificate transmitted to the addressee. |
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(43)

In accordance with Regulation (EU) 2016/679, the processor that stores or otherwise processes the data on behalf of the controller should inform the controller about the production of the data unless the issuing authority has requested the service provider to refrain from informing the controller, for as long as necessary and proportionate, in order not to obstruct the relevant criminal proceedings. In that case, the issuing authority should indicate in the case file the reasons for the delay in informing the controller and a short justification should also be added in the accompanying certificate transmitted to the addressee.

| (44) | Where the data are stored or otherwise processed as part of an infrastructure provided by a service provider to a public authority, it should only be possible to issue a European Production Order or a European Preservation Order where the public authority for which the data are stored or otherwise processed is located in the issuing State. |
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(44)

Where the data are stored or otherwise processed as part of an infrastructure provided by a service provider to a public authority, it should only be possible to issue a European Production Order or a European Preservation Order where the public authority for which the data are stored or otherwise processed is located in the issuing State.

| (45) | In cases where data protected by professional privilege under the law of the issuing State are stored or otherwise processed by a service provider as part of an infrastructure provided to professionals covered by professional privilege (‘privileged professional’), in their business capacity, it should only be possible to issue a European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, or to obtain content data where the privileged professional resides in the issuing State, where addressing the privileged professional might be detrimental to the investigation, or where the privileges were waived in accordance with the applicable law. |
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(45)

In cases where data protected by professional privilege under the law of the issuing State are stored or otherwise processed by a service provider as part of an infrastructure provided to professionals covered by professional privilege (‘privileged professional’), in their business capacity, it should only be possible to issue a European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, or to obtain content data where the privileged professional resides in the issuing State, where addressing the privileged professional might be detrimental to the investigation, or where the privileges were waived in accordance with the applicable law.

| (46) | The principle of ne bis in idem is a fundamental principle of law in the Union, as recognised by the Charter and developed by the case law of the Court of Justice of the European Union. Where the issuing authority has grounds to believe that parallel criminal proceedings could be ongoing in another Member State, it should consult the authorities of that Member State in accordance with Council Framework Decision 2009/948/JHA (22). In any case, a European Production Order or a European Preservation Order is not to be issued where the issuing authority has grounds to believe that this would be contrary to the ne bis in idem principle. |
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(46)

The principle of ne bis in idem is a fundamental principle of law in the Union, as recognised by the Charter and developed by the case law of the Court of Justice of the European Union. Where the issuing authority has grounds to believe that parallel criminal proceedings could be ongoing in another Member State, it should consult the authorities of that Member State in accordance with Council Framework Decision 2009/948/JHA (22). In any case, a European Production Order or a European Preservation Order is not to be issued where the issuing authority has grounds to believe that this would be contrary to the ne bis in idem principle.

| (47) | Immunities and privileges, which may refer to categories of persons, such as diplomats, or specifically protected relationships, such as lawyer-client privilege or the right of journalists not to disclose their sources of information, are referred to in other mutual recognition instruments such as in Directive 2014/41/EU establishing the EIO. The range and impact of immunities and privileges differ according to the applicable national law that should be taken into account at the time of issuing a European Production Order or a European Preservation Order, as the issuing authority should only be able to issue the order if it could have been issued under the same conditions in a similar domestic case. There is no common definition of what constitutes an immunity or privilege in Union law. The precise definition of those terms is therefore left to national law, and the definition can include protections which apply to, for instance, medical and legal professions, including when specialised platforms are used in those professions. The precise definition of immunities and privileges can also include rules on determination and limitation of criminal liability relating to freedom of the press and freedom of expression in other media. |
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(47)

Immunities and privileges, which may refer to categories of persons, such as diplomats, or specifically protected relationships, such as lawyer-client privilege or the right of journalists not to disclose their sources of information, are referred to in other mutual recognition instruments such as in Directive 2014/41/EU establishing the EIO. The range and impact of immunities and privileges differ according to the applicable national law that should be taken into account at the time of issuing a European Production Order or a European Preservation Order, as the issuing authority should only be able to issue the order if it could have been issued under the same conditions in a similar domestic case. There is no common definition of what constitutes an immunity or privilege in Union law. The precise definition of those terms is therefore left to national law, and the definition can include protections which apply to, for instance, medical and legal professions, including when specialised platforms are used in those professions. The precise definition of immunities and privileges can also include rules on determination and limitation of criminal liability relating to freedom of the press and freedom of expression in other media.

| (48) | Where the issuing authority seeks to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, or to obtain content data, by issuing a European Production Order and has reasonable grounds to believe that the data requested are protected by immunities or privileges granted under the law of the enforcing State, or that those data are subject in that State to rules on determination and limitation of criminal liability relating to freedom of the press and freedom of expression in other media, the issuing authority should be able to seek clarification before issuing the European Production Order, including by consulting the competent authorities of the enforcing State, either directly or via Eurojust or the European Judicial Network. |
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(48)

Where the issuing authority seeks to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, or to obtain content data, by issuing a European Production Order and has reasonable grounds to believe that the data requested are protected by immunities or privileges granted under the law of the enforcing State, or that those data are subject in that State to rules on determination and limitation of criminal liability relating to freedom of the press and freedom of expression in other media, the issuing authority should be able to seek clarification before issuing the European Production Order, including by consulting the competent authorities of the enforcing State, either directly or via Eurojust or the European Judicial Network.

| (49) | It should be possible to issue a European Preservation Order for any criminal offence. The issuing authority should take into account the rights of the suspect or the accused person in proceedings relating to a criminal offence and should only issue a European Preservation Order if such order could have been issued under the same conditions in a similar domestic case and where it is necessary, proportionate, adequate and applicable to the case in hand. The assessment of whether to issue a European Preservation Order should take into account whether such order is limited to what is strictly necessary to achieve the legitimate aim of preventing the removal, deletion or alteration of data that are relevant and necessary as evidence in an individual case in situations where it could take more time to obtain the production of those data. |
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(49)

It should be possible to issue a European Preservation Order for any criminal offence. The issuing authority should take into account the rights of the suspect or the accused person in proceedings relating to a criminal offence and should only issue a European Preservation Order if such order could have been issued under the same conditions in a similar domestic case and where it is necessary, proportionate, adequate and applicable to the case in hand. The assessment of whether to issue a European Preservation Order should take into account whether such order is limited to what is strictly necessary to achieve the legitimate aim of preventing the removal, deletion or alteration of data that are relevant and necessary as evidence in an individual case in situations where it could take more time to obtain the production of those data.

| (50) | European Production Orders and European Preservation Orders should be addressed directly to the designated establishment or to the legal representative, designated or appointed by the service provider pursuant to Directive (EU) 2023/1544 of the European Parliament and of the Council (23). Exceptionally, in emergency cases as defined in this Regulation, where the designated establishment or the legal representative of a service provider does not react to the accompanying European Production Order Certificate (EPOC) or European Preservation Order Certificate (EPOC-PR) within the deadlines or has not been designated or appointed within the deadlines set out in Directive (EU) 2023/1544 it should be possible to address the EPOC or the EPOC-PR to any other establishment or legal representative of the service provider in the Union alongside or instead of pursuing enforcement of the initial order in accordance with this Regulation. Given those various possible scenarios, the general term ‘addressee’ is used in the provisions of this Regulation. |
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(50)

European Production Orders and European Preservation Orders should be addressed directly to the designated establishment or to the legal representative, designated or appointed by the service provider pursuant to Directive (EU) 2023/1544 of the European Parliament and of the Council (23). Exceptionally, in emergency cases as defined in this Regulation, where the designated establishment or the legal representative of a service provider does not react to the accompanying European Production Order Certificate (EPOC) or European Preservation Order Certificate (EPOC-PR) within the deadlines or has not been designated or appointed within the deadlines set out in Directive (EU) 2023/1544 it should be possible to address the EPOC or the EPOC-PR to any other establishment or legal representative of the service provider in the Union alongside or instead of pursuing enforcement of the initial order in accordance with this Regulation. Given those various possible scenarios, the general term ‘addressee’ is used in the provisions of this Regulation.

| (51) | In view of the more sensitive nature of a European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user, as defined in this Regulation, or to obtain content data, it is appropriate to provide for a notification mechanism applicable to European Production Orders to obtain those data categories. That notification mechanism should involve an enforcing authority and consist in the transmission of the EPOC to that authority at the same time as the EPOC is transmitted to the addressee. However, where a European Production Order is issued to obtain electronic evidence in criminal proceedings with substantial and strong links to the issuing State, no notification to the enforcing authority should be required. Such links should be assumed where, at the time of issuing the European Production Order, the issuing authority has reasonable grounds to believe that the offence has been committed, is being committed or is likely to be committed in the issuing State, and where the person whose data are requested resides in the issuing State. |
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(51)

In view of the more sensitive nature of a European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user, as defined in this Regulation, or to obtain content data, it is appropriate to provide for a notification mechanism applicable to European Production Orders to obtain those data categories. That notification mechanism should involve an enforcing authority and consist in the transmission of the EPOC to that authority at the same time as the EPOC is transmitted to the addressee. However, where a European Production Order is issued to obtain electronic evidence in criminal proceedings with substantial and strong links to the issuing State, no notification to the enforcing authority should be required. Such links should be assumed where, at the time of issuing the European Production Order, the issuing authority has reasonable grounds to believe that the offence has been committed, is being committed or is likely to be committed in the issuing State, and where the person whose data are requested resides in the issuing State.

| (52) | For the purposes of this Regulation, an offence should be considered as having been committed, being committed or being likely to be committed in the issuing State if it is so considered in accordance with the national law of the issuing State. In some cases, especially in the cybercrime field, some factual elements, such as the place of residence of the victim, are usually important indications to consider when determining where the offence has been committed. For instance, ransomware crimes can often be considered as having been committed where the victim of such a crime resides, even when the exact location from where the ransomware has been launched is uncertain. Any determination as to the place where the offence was committed should be without prejudice to the rules on jurisdiction over the relevant offences pursuant to the applicable national law. |
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(52)

For the purposes of this Regulation, an offence should be considered as having been committed, being committed or being likely to be committed in the issuing State if it is so considered in accordance with the national law of the issuing State. In some cases, especially in the cybercrime field, some factual elements, such as the place of residence of the victim, are usually important indications to consider when determining where the offence has been committed. For instance, ransomware crimes can often be considered as having been committed where the victim of such a crime resides, even when the exact location from where the ransomware has been launched is uncertain. Any determination as to the place where the offence was committed should be without prejudice to the rules on jurisdiction over the relevant offences pursuant to the applicable national law.

| (53) | It is for the issuing authority to assess, at the time of issuing the European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, or to obtain content data, and on the basis of the material before it, whether there are reasonable grounds to believe that the person whose data are requested resides in the issuing State. In that regard, various objective circumstances that could indicate that the person concerned has established the habitual centre of their interests in a particular Member State or has the intention to do so, can be of relevance. It follows from the need for uniform application of Union law and from the principle of equality that the notion of ‘residence’ in this particular context should be given uniform interpretation throughout the Union. Reasonable grounds to believe that a person resides in an issuing State could exist, in particular, where a person is registered as a resident in an issuing State, as indicated by holding an identity card or a residence permit or by being registered in an official residence register. In the absence of registration in the issuing State, residence could be indicated by the fact that a person has manifested the intention to settle in that Member State or has acquired, following a stable period of presence in that Member State, certain connections with that State which are of a similar degree as those resulting from establishing a formal residence in that Member State. In order to determine whether, in a specific situation, there are sufficient connections between the person concerned and the issuing State that give rise to reasonable grounds to believe that the person concerned resides in that State, various objective factors characterising the situation of that person could be taken into account, which include, in particular, the length, nature and conditions of the person’s presence in the issuing State or the family ties or economic connections which that person has with that Member State. A registered vehicle, a bank account, the fact that the person’s stay in the issuing State has been uninterrupted or other objective factors could be of relevance for determining that there are reasonable grounds to believe that the person concerned resides in the issuing State. A short visit, a holiday stay, including in a holiday home, or a similar stay in the issuing State without any further substantial link is not enough to establish a residence in that Member State. In cases where, at the time of issuing the European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, or to obtain content data, the issuing authority does not have reasonable grounds to believe that the person whose data are requested resides in the issuing State, the issuing authority should notify the enforcing authority. |
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(53)

It is for the issuing authority to assess, at the time of issuing the European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, or to obtain content data, and on the basis of the material before it, whether there are reasonable grounds to believe that the person whose data are requested resides in the issuing State. In that regard, various objective circumstances that could indicate that the person concerned has established the habitual centre of their interests in a particular Member State or has the intention to do so, can be of relevance. It follows from the need for uniform application of Union law and from the principle of equality that the notion of ‘residence’ in this particular context should be given uniform interpretation throughout the Union. Reasonable grounds to believe that a person resides in an issuing State could exist, in particular, where a person is registered as a resident in an issuing State, as indicated by holding an identity card or a residence permit or by being registered in an official residence register. In the absence of registration in the issuing State, residence could be indicated by the fact that a person has manifested the intention to settle in that Member State or has acquired, following a stable period of presence in that Member State, certain connections with that State which are of a similar degree as those resulting from establishing a formal residence in that Member State. In order to determine whether, in a specific situation, there are sufficient connections between the person concerned and the issuing State that give rise to reasonable grounds to believe that the person concerned resides in that State, various objective factors characterising the situation of that person could be taken into account, which include, in particular, the length, nature and conditions of the person’s presence in the issuing State or the family ties or economic connections which that person has with that Member State. A registered vehicle, a bank account, the fact that the person’s stay in the issuing State has been uninterrupted or other objective factors could be of relevance for determining that there are reasonable grounds to believe that the person concerned resides in the issuing State. A short visit, a holiday stay, including in a holiday home, or a similar stay in the issuing State without any further substantial link is not enough to establish a residence in that Member State. In cases where, at the time of issuing the European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in this Regulation, or to obtain content data, the issuing authority does not have reasonable grounds to believe that the person whose data are requested resides in the issuing State, the issuing authority should notify the enforcing authority.

| (54) | In order to provide for a swift procedure, the relevant point in time at which to determine whether there is a need to notify the enforcing authority should be the time when the European Production Order is issued. Any subsequent change of residence should not have any impact on the procedure. The person concerned should be able to invoke their rights as well as the rules on determination and limitation of criminal liability relating to freedom of the press and freedom of expression in other media, during the entire criminal proceedings, and the enforcing authority should be able to raise a ground for refusal where, in exceptional situations, there are substantial grounds to believe, on the basis of specific and objective evidence, that the execution of the order would, in the particular circumstances of the case, entail a manifest breach of a relevant fundamental right as set out in Article 6 TEU and the Charter. In addition, it should also be possible to invoke those grounds during the procedure for enforcement. |
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(54)

In order to provide for a swift procedure, the relevant point in time at which to determine whether there is a need to notify the enforcing authority should be the time when the European Production Order is issued. Any subsequent change of residence should not have any impact on the procedure. The person concerned should be able to invoke their rights as well as the rules on determination and limitation of criminal liability relating to freedom of the press and freedom of expression in other media, during the entire criminal proceedings, and the enforcing authority should be able to raise a ground for refusal where, in exceptional situations, there are substantial grounds to believe, on the basis of specific and objective evidence, that the execution of the order would, in the particular circumstances of the case, entail a manifest breach of a relevant fundamental right as set out in Article 6 TEU and the Charter. In addition, it should also be possible to invoke those grounds during the procedure for enforcement.

| (55) | A European Production Order should be transmitted through an EPOC, and a European Preservation Order should be transmitted through an EPOC-PR. Where needed, the EPOC or the EPOC-PR should be translated into an official language of the Union accepted by the addressee. Where no language has been specified by the service provider, the EPOC or the EPOC-PR should be translated into an official language of the Member State where the designated establishment or the legal representative of the service provider is located, or into another official language that the designated establishment or the legal representative of the service provider declared it will accept. Where a notification to the enforcing authority is required pursuant to this Regulation, the EPOC to be transmitted to that authority should be translated into an official language of the enforcing State or into another official language of the Union accepted by that State. In that regard, each Member State should be encouraged to state, at any time, in a written declaration submitted to the Commission if, and in which official language or languages of the Union in addition to the official language or languages of that Member State, they would accept translations of EPOCs and EPOC-PRs. The Commission should make such declarations available to all Member States and to the European Judicial Network. |
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(55)

A European Production Order should be transmitted through an EPOC, and a European Preservation Order should be transmitted through an EPOC-PR. Where needed, the EPOC or the EPOC-PR should be translated into an official language of the Union accepted by the addressee. Where no language has been specified by the service provider, the EPOC or the EPOC-PR should be translated into an official language of the Member State where the designated establishment or the legal representative of the service provider is located, or into another official language that the designated establishment or the legal representative of the service provider declared it will accept. Where a notification to the enforcing authority is required pursuant to this Regulation, the EPOC to be transmitted to that authority should be translated into an official language of the enforcing State or into another official language of the Union accepted by that State. In that regard, each Member State should be encouraged to state, at any time, in a written declaration submitted to the Commission if, and in which official language or languages of the Union in addition to the official language or languages of that Member State, they would accept translations of EPOCs and EPOC-PRs. The Commission should make such declarations available to all Member States and to the European Judicial Network.

| (56) | Where an EPOC has been issued and a notification to the enforcing authority is not required under this Regulation, the addressee should ensure, upon receipt of the EPOC, that the requested data are transmitted directly to the issuing authority or the law enforcement authorities as indicated in the EPOC at the latest within 10 days following receipt of the EPOC. Where a notification to the enforcing authority is required pursuant to this Regulation, upon receipt of the EPOC, the service provider should act expeditiously to preserve the data. Where the enforcing authority has not raised any grounds for refusal pursuant to this Regulation within 10 days following receipt of the EPOC, the addressee should ensure that the requested data are transmitted directly to the issuing authority or the law enforcement authorities as indicated in the EPOC at the end of that 10-day period. Where the enforcing authority, already before the end of the 10-day period, confirms to the issuing authority and the addressee that it will not raise any grounds for refusal, the addressee should act as soon as possible upon such confirmation and at the latest at the end of that 10-day period. The shorter time limits applicable in emergency cases as defined in this Regulation should be respected by the addressee, and, where applicable, the enforcing authority. The addressee, and, where applicable, the enforcing authority, should execute the EPOC as soon as possible and at the latest within the deadlines set out in this Regulation, taking as full account as possible of the procedural deadlines and other deadlines indicated by the issuing State. |
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(56)

Where an EPOC has been issued and a notification to the enforcing authority is not required under this Regulation, the addressee should ensure, upon receipt of the EPOC, that the requested data are transmitted directly to the issuing authority or the law enforcement authorities as indicated in the EPOC at the latest within 10 days following receipt of the EPOC. Where a notification to the enforcing authority is required pursuant to this Regulation, upon receipt of the EPOC, the service provider should act expeditiously to preserve the data. Where the enforcing authority has not raised any grounds for refusal pursuant to this Regulation within 10 days following receipt of the EPOC, the addressee should ensure that the requested data are transmitted directly to the issuing authority or the law enforcement authorities as indicated in the EPOC at the end of that 10-day period. Where the enforcing authority, already before the end of the 10-day period, confirms to the issuing authority and the addressee that it will not raise any grounds for refusal, the addressee should act as soon as possible upon such confirmation and at the latest at the end of that 10-day period. The shorter time limits applicable in emergency cases as defined in this Regulation should be respected by the addressee, and, where applicable, the enforcing authority. The addressee, and, where applicable, the enforcing authority, should execute the EPOC as soon as possible and at the latest within the deadlines set out in this Regulation, taking as full account as possible of the procedural deadlines and other deadlines indicated by the issuing State.

| (57) | Where the addressee considers, based solely on the information contained in the EPOC or in the EPOC-PR, that the execution of the EPOC or of the EPOC-PR could interfere with immunities or privileges, or with rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, under the law of the enforcing State, the addressee should inform the issuing authority and the enforcing authority. As regards EPOCs, where no notification to the enforcing authority took place pursuant to this Regulation, the issuing authority should take the information received from the addressee into account, and should decide, on its own initiative or at the request of the enforcing authority, whether to withdraw, adapt or maintain the European Production Order. Where a notification to the enforcing authority took place pursuant to this Regulation, the issuing authority should take the information received from the addressee into account and decide whether to withdraw, adapt or maintain the European Production Order. It should also be possible for the enforcing authority to raise the grounds for refusal set out in this Regulation. |
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(57)

Where the addressee considers, based solely on the information contained in the EPOC or in the EPOC-PR, that the execution of the EPOC or of the EPOC-PR could interfere with immunities or privileges, or with rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, under the law of the enforcing State, the addressee should inform the issuing authority and the enforcing authority. As regards EPOCs, where no notification to the enforcing authority took place pursuant to this Regulation, the issuing authority should take the information received from the addressee into account, and should decide, on its own initiative or at the request of the enforcing authority, whether to withdraw, adapt or maintain the European Production Order. Where a notification to the enforcing authority took place pursuant to this Regulation, the issuing authority should take the information received from the addressee into account and decide whether to withdraw, adapt or maintain the European Production Order. It should also be possible for the enforcing authority to raise the grounds for refusal set out in this Regulation.

| (58) | In order to allow the addressee to address formal problems with an EPOC or an EPOC-PR, it is necessary to set out a procedure for the communication between the addressee and the issuing authority, as well as, where a notification to the enforcing authority took place pursuant to this Regulation, between the addressee and the enforcing authority, in cases where the EPOC or EPOC-PR is incomplete or contains manifest errors or does not contain sufficient information to execute the order concerned. Moreover, should the addressee not provide the information in an exhaustive or timely manner for any other reason, for example because it considers that there is a conflict with an obligation under the law of a third country, or because it considers that the European Production Order or the European Preservation Order has not been issued in accordance with the conditions set out by this Regulation, it should inform the issuing authority, as well as, where a notification to the enforcing authority took place, the enforcing authority, and provide the justification for not executing the EPOC or the EPOC-PR in a timely manner. The communication procedure should thus allow for the correction or reconsideration of the European Production Order or of the European Preservation Order by the issuing authority at an early stage. To guarantee the availability of the data requested, the addressee should preserve those data if that addressee can identify those data. |
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(58)

In order to allow the addressee to address formal problems with an EPOC or an EPOC-PR, it is necessary to set out a procedure for the communication between the addressee and the issuing authority, as well as, where a notification to the enforcing authority took place pursuant to this Regulation, between the addressee and the enforcing authority, in cases where the EPOC or EPOC-PR is incomplete or contains manifest errors or does not contain sufficient information to execute the order concerned. Moreover, should the addressee not provide the information in an exhaustive or timely manner for any other reason, for example because it considers that there is a conflict with an obligation under the law of a third country, or because it considers that the European Production Order or the European Preservation Order has not been issued in accordance with the conditions set out by this Regulation, it should inform the issuing authority, as well as, where a notification to the enforcing authority took place, the enforcing authority, and provide the justification for not executing the EPOC or the EPOC-PR in a timely manner. The communication procedure should thus allow for the correction or reconsideration of the European Production Order or of the European Preservation Order by the issuing authority at an early stage. To guarantee the availability of the data requested, the addressee should preserve those data if that addressee can identify those data.

| (59) | The addressee should not be obliged to comply with the European Production Order or with the European Preservation Order in the event of a de facto impossibility due to circumstances not attributable to the addressee or, if different, the service provider at the time when the European Production Order or the European Preservation Order was received. A de facto impossibility should be assumed if the person whose data were requested is not a customer of the service provider or cannot be identified as such even after a request for further information to the issuing authority, or if the data have been lawfully deleted before the order concerned was received. |
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(59)

The addressee should not be obliged to comply with the European Production Order or with the European Preservation Order in the event of a de facto impossibility due to circumstances not attributable to the addressee or, if different, the service provider at the time when the European Production Order or the European Preservation Order was received. A de facto impossibility should be assumed if the person whose data were requested is not a customer of the service provider or cannot be identified as such even after a request for further information to the issuing authority, or if the data have been lawfully deleted before the order concerned was received.

| (60) | Upon receipt of an EPOC-PR, the addressee should preserve the requested data for a maximum of 60 days unless the issuing authority confirms that a subsequent request for production has been issued, in which case the preservation should be continued. The issuing authority should be able to extend the duration of the preservation by an additional 30 days where necessary to allow for the issuing of a subsequent request for production, using the form set out in this Regulation. Where the issuing authority confirms during the period of preservation that a subsequent request for production has been issued, the addressee should preserve the data as long as necessary to produce the data once the subsequent request for production is received. Such a confirmation should be sent to the addressee within the relevant deadline, in an official language of the enforcing State or in any other language accepted by the addressee, using the form set out in this Regulation. To prevent the preservation from ceasing, it should be sufficient that the subsequent request for production has been issued and the confirmation has been sent by the issuing authority; it should not be necessary to complete further required formalities for the transmission, such as the translation of documents, at that point in time. Where the preservation is no longer necessary, the issuing authority should inform the addressee without undue delay and the obligation to preserve on the basis of the European Preservation Order should cease. |
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(60)

Upon receipt of an EPOC-PR, the addressee should preserve the requested data for a maximum of 60 days unless the issuing authority confirms that a subsequent request for production has been issued, in which case the preservation should be continued. The issuing authority should be able to extend the duration of the preservation by an additional 30 days where necessary to allow for the issuing of a subsequent request for production, using the form set out in this Regulation. Where the issuing authority confirms during the period of preservation that a subsequent request for production has been issued, the addressee should preserve the data as long as necessary to produce the data once the subsequent request for production is received. Such a confirmation should be sent to the addressee within the relevant deadline, in an official language of the enforcing State or in any other language accepted by the addressee, using the form set out in this Regulation. To prevent the preservation from ceasing, it should be sufficient that the subsequent request for production has been issued and the confirmation has been sent by the issuing authority; it should not be necessary to complete further required formalities for the transmission, such as the translation of documents, at that point in time. Where the preservation is no longer necessary, the issuing authority should inform the addressee without undue delay and the obligation to preserve on the basis of the European Preservation Order should cease.

| (61) | Notwithstanding the principle of mutual trust, it should be possible for the enforcing authority to raise grounds for refusal of a European Production Order, where a notification to the enforcing authority took place pursuant to this Regulation, based on the list of grounds for refusal provided for in this Regulation. Where a notification to the enforcing authority, or enforcement, takes place in accordance with this Regulation, the enforcing State could provide under its national law that the execution of a European Production Order might require the procedural involvement of a court in the enforcing State. |
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(61)

Notwithstanding the principle of mutual trust, it should be possible for the enforcing authority to raise grounds for refusal of a European Production Order, where a notification to the enforcing authority took place pursuant to this Regulation, based on the list of grounds for refusal provided for in this Regulation. Where a notification to the enforcing authority, or enforcement, takes place in accordance with this Regulation, the enforcing State could provide under its national law that the execution of a European Production Order might require the procedural involvement of a court in the enforcing State.

| (62) | Where the enforcing authority is notified of a European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user, as defined in this Regulation, or to obtain content data, it should have the right to assess the information set out in the order and, where appropriate, refuse it where, based on a mandatory and due analysis of the information contained in that order and in observance of the applicable rules of primary Union law, in particular the Charter, it reaches the conclusion that one or more of the grounds for refusal provided for in this Regulation could be raised. The need to respect the independence of judicial authorities requires that a degree of discretion be granted to those authorities when taking decisions as to the grounds for refusal. |
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(62)

Where the enforcing authority is notified of a European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user, as defined in this Regulation, or to obtain content data, it should have the right to assess the information set out in the order and, where appropriate, refuse it where, based on a mandatory and due analysis of the information contained in that order and in observance of the applicable rules of primary Union law, in particular the Charter, it reaches the conclusion that one or more of the grounds for refusal provided for in this Regulation could be raised. The need to respect the independence of judicial authorities requires that a degree of discretion be granted to those authorities when taking decisions as to the grounds for refusal.

| (63) | It should be possible for the enforcing authority, where it is notified pursuant to this Regulation, to refuse a European Production Order where the data requested are protected by immunities or privileges granted under the law of the enforcing State which prevent the execution or enforcement of the European Production Order, or where the data requested are covered by rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, which prevent the execution or enforcement of the European Production Order. |
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(63)

It should be possible for the enforcing authority, where it is notified pursuant to this Regulation, to refuse a European Production Order where the data requested are protected by immunities or privileges granted under the law of the enforcing State which prevent the execution or enforcement of the European Production Order, or where the data requested are covered by rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, which prevent the execution or enforcement of the European Production Order.

| (64) | It should be possible for the enforcing authority to refuse an order, in exceptional situations, where there are substantial grounds to believe, on the basis of specific and objective evidence, that the execution of the European Production Order would, in the particular circumstances of the case, entail a manifest breach of a relevant fundamental right as set out in Article 6 TEU and in the Charter. In particular, when assessing that ground for refusal, where the enforcing authority has at its disposal evidence or material such as that set out in a reasoned proposal by one third of the Member States, by the European Parliament or by the European Commission, adopted pursuant to Article 7(1) TEU, indicating that there is a clear risk, if the order were executed, of a serious breach of the fundamental right to an effective remedy and to a fair trial under Article 47 of the Charter, on account of systemic or generalised deficiencies concerning the independence of the issuing State’s judiciary, the enforcing authority should determine specifically and precisely whether, having regard to the personal situation of the person concerned, as well as to the nature of the offence for which the criminal proceedings are conducted, and the factual context that forms the basis of the order, and in the light of the information provided by the issuing authority, there are substantial grounds for believing that there is a risk of a breach of a person’s right to a fair trial. |
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(64)

It should be possible for the enforcing authority to refuse an order, in exceptional situations, where there are substantial grounds to believe, on the basis of specific and objective evidence, that the execution of the European Production Order would, in the particular circumstances of the case, entail a manifest breach of a relevant fundamental right as set out in Article 6 TEU and in the Charter. In particular, when assessing that ground for refusal, where the enforcing authority has at its disposal evidence or material such as that set out in a reasoned proposal by one third of the Member States, by the European Parliament or by the European Commission, adopted pursuant to Article 7(1) TEU, indicating that there is a clear risk, if the order were executed, of a serious breach of the fundamental right to an effective remedy and to a fair trial under Article 47 of the Charter, on account of systemic or generalised deficiencies concerning the independence of the issuing State’s judiciary, the enforcing authority should determine specifically and precisely whether, having regard to the personal situation of the person concerned, as well as to the nature of the offence for which the criminal proceedings are conducted, and the factual context that forms the basis of the order, and in the light of the information provided by the issuing authority, there are substantial grounds for believing that there is a risk of a breach of a person’s right to a fair trial.

| (65) | It should be possible for the enforcing authority to refuse an order where the execution of such order would be contrary to the principle of ne bis in idem. |
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(65)

It should be possible for the enforcing authority to refuse an order where the execution of such order would be contrary to the principle of ne bis in idem.

| (66) | It should be possible for the enforcing authority, where it is notified pursuant to this Regulation, to refuse a European Production Order in the event that the conduct for which the order has been issued does not constitute an offence under the law of the enforcing State, unless it concerns an offence listed within the categories of offences set out in an annex to this Regulation, as indicated by the issuing authority in the EPOC, if it is punishable in the issuing State by a custodial sentence or a detention order for a maximum period of at least three years. |
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(66)

It should be possible for the enforcing authority, where it is notified pursuant to this Regulation, to refuse a European Production Order in the event that the conduct for which the order has been issued does not constitute an offence under the law of the enforcing State, unless it concerns an offence listed within the categories of offences set out in an annex to this Regulation, as indicated by the issuing authority in the EPOC, if it is punishable in the issuing State by a custodial sentence or a detention order for a maximum period of at least three years.

| (67) | Since informing the person whose data are requested is an essential element as regards data protection rights and defence rights, in that it enables effective review and judicial redress, in accordance with Article 6 TEU and the Charter, the issuing authority should inform the person whose data are being requested, without undue delay, about the production of data on the basis of a European Production Order. However, the issuing authority should be able, in accordance with national law, to delay or restrict informing or omit to inform the person whose data are being requested, to the extent that, and for as long as, the conditions of Directive (EU) 2016/680 are met, in which case the issuing authority should indicate in the case file the reasons for the delay, restriction or omission and add a short justification in the EPOC. The addressees and, if different, the service providers should take the necessary state-of-the-art operational and technical measures to ensure the confidentiality, secrecy and integrity of the EPOC or the EPOC-PR and of the data produced or preserved. |
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(67)

Since informing the person whose data are requested is an essential element as regards data protection rights and defence rights, in that it enables effective review and judicial redress, in accordance with Article 6 TEU and the Charter, the issuing authority should inform the person whose data are being requested, without undue delay, about the production of data on the basis of a European Production Order. However, the issuing authority should be able, in accordance with national law, to delay or restrict informing or omit to inform the person whose data are being requested, to the extent that, and for as long as, the conditions of Directive (EU) 2016/680 are met, in which case the issuing authority should indicate in the case file the reasons for the delay, restriction or omission and add a short justification in the EPOC. The addressees and, if different, the service providers should take the necessary state-of-the-art operational and technical measures to ensure the confidentiality, secrecy and integrity of the EPOC or the EPOC-PR and of the data produced or preserved.

| (68) | It should be possible for a service provider to claim reimbursement of its costs for responding to a European Production Order or to a European Preservation Order from the issuing State, if that possibility is provided for in the national law of the issuing State for domestic orders in similar situations, in accordance with the national law of that State. Member States should inform the Commission about their national rules for reimbursement, and the Commission should make them public. This Regulation provides for separate rules applicable to the reimbursement of costs related to the decentralised IT system. |
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(68)

It should be possible for a service provider to claim reimbursement of its costs for responding to a European Production Order or to a European Preservation Order from the issuing State, if that possibility is provided for in the national law of the issuing State for domestic orders in similar situations, in accordance with the national law of that State. Member States should inform the Commission about their national rules for reimbursement, and the Commission should make them public. This Regulation provides for separate rules applicable to the reimbursement of costs related to the decentralised IT system.

| (69) | Without prejudice to national laws providing for the imposition of criminal penalties, Member States should lay down the rules on pecuniary penalties applicable to infringements of this Regulation and should take all measures necessary to ensure that they are implemented. Member States should ensure that pecuniary penalties provided for in their national law are effective, proportionate and dissuasive. Member States should, without delay, notify the Commission of those rules and of those measures and should notify it, without delay, of any subsequent amendment affecting them. |
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(69)

Without prejudice to national laws providing for the imposition of criminal penalties, Member States should lay down the rules on pecuniary penalties applicable to infringements of this Regulation and should take all measures necessary to ensure that they are implemented. Member States should ensure that pecuniary penalties provided for in their national law are effective, proportionate and dissuasive. Member States should, without delay, notify the Commission of those rules and of those measures and should notify it, without delay, of any subsequent amendment affecting them.

| (70) | When assessing in the individual case the appropriate pecuniary penalty, the competent authorities should take into account all relevant circumstances, such as the nature, gravity and duration of the breach, whether it was committed intentionally or through negligence, whether the service provider has been held responsible for similar previous breaches and the financial strength of the service provider held liable. In exceptional circumstances, that assessment could lead the enforcing authority to decide to abstain from imposing any pecuniary penalties. In this respect, particular attention is to be given to microenterprises that fail to comply with a European Production Order or a European Preservation Order in an emergency case due to lack of human resources outside normal business hours, if the data are transmitted without undue delay. |
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(70)

When assessing in the individual case the appropriate pecuniary penalty, the competent authorities should take into account all relevant circumstances, such as the nature, gravity and duration of the breach, whether it was committed intentionally or through negligence, whether the service provider has been held responsible for similar previous breaches and the financial strength of the service provider held liable. In exceptional circumstances, that assessment could lead the enforcing authority to decide to abstain from imposing any pecuniary penalties. In this respect, particular attention is to be given to microenterprises that fail to comply with a European Production Order or a European Preservation Order in an emergency case due to lack of human resources outside normal business hours, if the data are transmitted without undue delay.

| (71) | Without prejudice to data protection obligations, service providers should not be held liable in Member States for prejudice caused to their users or third parties exclusively resulting from compliance in good faith with an EPOC or an EPOC-PR. The responsibility for ensuring the legality of the order concerned, in particular its necessity and proportionality, should lie with the issuing authority. |
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(71)

Without prejudice to data protection obligations, service providers should not be held liable in Member States for prejudice caused to their users or third parties exclusively resulting from compliance in good faith with an EPOC or an EPOC-PR. The responsibility for ensuring the legality of the order concerned, in particular its necessity and proportionality, should lie with the issuing authority.

| (72) | Where the addressee does not comply with an EPOC within the deadline or with an EPOC-PR, without providing reasons accepted by the issuing authority, and, if applicable, where the enforcing authority has not invoked any of the grounds for refusal as provided for in this Regulation, it should be possible for the issuing authority to request the enforcing authority to enforce the European Production Order or the European Preservation Order. To that end, the issuing authority should transfer the order concerned, the relevant form provided for in this Regulation, as completed by the addressee, and any relevant document to the enforcing authority. The issuing authority should translate the order concerned and any document to be transferred into one of the languages accepted by the enforcing State and should inform the addressee of the transfer. That State should enforce the order concerned in accordance with its national law. |
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(72)

Where the addressee does not comply with an EPOC within the deadline or with an EPOC-PR, without providing reasons accepted by the issuing authority, and, if applicable, where the enforcing authority has not invoked any of the grounds for refusal as provided for in this Regulation, it should be possible for the issuing authority to request the enforcing authority to enforce the European Production Order or the European Preservation Order. To that end, the issuing authority should transfer the order concerned, the relevant form provided for in this Regulation, as completed by the addressee, and any relevant document to the enforcing authority. The issuing authority should translate the order concerned and any document to be transferred into one of the languages accepted by the enforcing State and should inform the addressee of the transfer. That State should enforce the order concerned in accordance with its national law.

| (73) | The procedure for enforcement should allow the addressee to invoke grounds against the enforcement, based on a list of specific grounds provided for in this Regulation, including that the order concerned has not been issued or validated by a competent authority as provided for in this Regulation, or where the order does not concern data stored by or on behalf of the service provider at the time of receipt of the relevant certificate. The enforcing authority should be able to refuse to recognise and enforce a European Production Order or a European Preservation Order based on those same grounds, and also, in exceptional situations, on account of the manifest breach of a relevant fundamental right as set out in Article 6 TEU and the Charter. The enforcing authority should consult the issuing authority before deciding not to recognise or not to enforce the order, based on those grounds. Where the addressee does not comply with its obligations under a recognised European Production Order or European Preservation Order the enforceability of which has been confirmed by the enforcing authority, that authority should impose a pecuniary penalty. That penalty should be proportionate, in particular in view of specific circumstances such as repeated or systemic non-compliance. |
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(73)

The procedure for enforcement should allow the addressee to invoke grounds against the enforcement, based on a list of specific grounds provided for in this Regulation, including that the order concerned has not been issued or validated by a competent authority as provided for in this Regulation, or where the order does not concern data stored by or on behalf of the service provider at the time of receipt of the relevant certificate. The enforcing authority should be able to refuse to recognise and enforce a European Production Order or a European Preservation Order based on those same grounds, and also, in exceptional situations, on account of the manifest breach of a relevant fundamental right as set out in Article 6 TEU and the Charter. The enforcing authority should consult the issuing authority before deciding not to recognise or not to enforce the order, based on those grounds. Where the addressee does not comply with its obligations under a recognised European Production Order or European Preservation Order the enforceability of which has been confirmed by the enforcing authority, that authority should impose a pecuniary penalty. That penalty should be proportionate, in particular in view of specific circumstances such as repeated or systemic non-compliance.

| (74) | Compliance with a European Production Order could conflict with an obligation under the applicable law of a third country. To ensure comity in respect of the sovereign interests of third countries, to protect the individual concerned and to address conflicting obligations on service providers, this Regulation provides for a specific mechanism for judicial review where compliance with a European Production Order would prevent a service provider from complying with legal obligations deriving from the law of a third country. |
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(74)

Compliance with a European Production Order could conflict with an obligation under the applicable law of a third country. To ensure comity in respect of the sovereign interests of third countries, to protect the individual concerned and to address conflicting obligations on service providers, this Regulation provides for a specific mechanism for judicial review where compliance with a European Production Order would prevent a service provider from complying with legal obligations deriving from the law of a third country.

| (75) | Where an addressee considers that a European Production Order in a specific case would entail the violation of a legal obligation deriving from the law of a third country, it should inform the issuing authority and the enforcing authority of its reasons for not executing the order by way of a reasoned objection, using the form provided for in this Regulation. The issuing authority should review the European Production Order on the basis of the reasoned objection and any input provided by the enforcing State, taking into account the same criteria that the competent court of the issuing State would have to follow. Where the issuing authority intends to uphold the order, it should request a review by the competent court of the issuing State, as notified by the relevant Member State, which should review the order. |
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(75)

Where an addressee considers that a European Production Order in a specific case would entail the violation of a legal obligation deriving from the law of a third country, it should inform the issuing authority and the enforcing authority of its reasons for not executing the order by way of a reasoned objection, using the form provided for in this Regulation. The issuing authority should review the European Production Order on the basis of the reasoned objection and any input provided by the enforcing State, taking into account the same criteria that the competent court of the issuing State would have to follow. Where the issuing authority intends to uphold the order, it should request a review by the competent court of the issuing State, as notified by the relevant Member State, which should review the order.

| (76) | In determining the existence of a conflicting obligation in the specific circumstances of the case under examination, the competent court could rely on appropriate external expertise where needed, for example on the interpretation of the law of the third country concerned. For that purpose, the competent court could for example consult the central authority of the third country, taking into account Directive (EU) 2016/680. Information should, in particular, be requested from the competent authority of the third country by the issuing State where the conflict concerns fundamental rights or other fundamental interests of the third country related to national security and defence. |
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(76)

In determining the existence of a conflicting obligation in the specific circumstances of the case under examination, the competent court could rely on appropriate external expertise where needed, for example on the interpretation of the law of the third country concerned. For that purpose, the competent court could for example consult the central authority of the third country, taking into account Directive (EU) 2016/680. Information should, in particular, be requested from the competent authority of the third country by the issuing State where the conflict concerns fundamental rights or other fundamental interests of the third country related to national security and defence.

| (77) | Expertise on interpretation could also be provided through expert opinions where available. Information and case law on the interpretation of the law of a third country and on conflict of law procedures in Member States should be made available on a central platform such as the SIRIUS project or the European Judicial Network, with a view to making it possible to benefit from experience and expertise gathered on the same or similar questions. The availability of such information on a central platform should not prevent a renewed consultation of the third country where appropriate. |
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(77)

Expertise on interpretation could also be provided through expert opinions where available. Information and case law on the interpretation of the law of a third country and on conflict of law procedures in Member States should be made available on a central platform such as the SIRIUS project or the European Judicial Network, with a view to making it possible to benefit from experience and expertise gathered on the same or similar questions. The availability of such information on a central platform should not prevent a renewed consultation of the third country where appropriate.

| (78) | When assessing whether conflicting obligations exist, the competent court should determine whether the law of the third country is applicable and, if so, whether the law of the third country prohibits disclosure of the data concerned. Where the competent court establishes that the law of the third country prohibits disclosure of the data concerned, that court should determine whether to uphold or lift the European Production Order, by weighing a number of elements which are designed to ascertain the strength of the connection to either of the two jurisdictions involved, the respective interests in obtaining or instead preventing the disclosure of the data, and the possible consequences for the addressee or for the service provider of complying with the order. Particular importance and weight should be given to the protection of fundamental rights by the relevant law of the third country and other fundamental interests, such as national security interests of the third country, as well as the degree of connection between the criminal case and either of the two jurisdictions when conducting the assessment. Where the court decides to lift the order, it should inform the issuing authority and the addressee. If the competent court determines that the order is to be upheld, it should inform the issuing authority and the addressee, and that addressee should proceed with the execution of that order. The issuing authority should inform the enforcing authority about the outcome of the review procedure. |
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(78)

When assessing whether conflicting obligations exist, the competent court should determine whether the law of the third country is applicable and, if so, whether the law of the third country prohibits disclosure of the data concerned. Where the competent court establishes that the law of the third country prohibits disclosure of the data concerned, that court should determine whether to uphold or lift the European Production Order, by weighing a number of elements which are designed to ascertain the strength of the connection to either of the two jurisdictions involved, the respective interests in obtaining or instead preventing the disclosure of the data, and the possible consequences for the addressee or for the service provider of complying with the order. Particular importance and weight should be given to the protection of fundamental rights by the relevant law of the third country and other fundamental interests, such as national security interests of the third country, as well as the degree of connection between the criminal case and either of the two jurisdictions when conducting the assessment. Where the court decides to lift the order, it should inform the issuing authority and the addressee. If the competent court determines that the order is to be upheld, it should inform the issuing authority and the addressee, and that addressee should proceed with the execution of that order. The issuing authority should inform the enforcing authority about the outcome of the review procedure.

| (79) | The conditions set out in this Regulation for the execution of an EPOC should also be applicable in the event of conflicting obligations deriving from the law of a third country. Therefore, during the judicial review, where compliance with a European Production Order would prevent service providers from complying with a legal obligation deriving from the law of a third country, the data requested by that order should be preserved. Where, following the judicial review, the competent court decides to lift a European Production Order, it should be possible to issue a European Preservation Order to allow the issuing authority to seek production of the data through other channels, such as mutual legal assistance. |
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(79)

The conditions set out in this Regulation for the execution of an EPOC should also be applicable in the event of conflicting obligations deriving from the law of a third country. Therefore, during the judicial review, where compliance with a European Production Order would prevent service providers from complying with a legal obligation deriving from the law of a third country, the data requested by that order should be preserved. Where, following the judicial review, the competent court decides to lift a European Production Order, it should be possible to issue a European Preservation Order to allow the issuing authority to seek production of the data through other channels, such as mutual legal assistance.

| (80) | It is essential that all persons whose data are requested in criminal investigations or proceedings have access to an effective legal remedy, in line with Article 47 of the Charter. In line with that requirement and without prejudice to further legal remedies available in accordance with national law, any person whose data were requested via a European Production Order should have the right to effective remedies against that order. Where that person is a suspect or an accused person, such person should have the right to effective remedies during the criminal proceedings in which the data are being used as evidence. The right to effective remedies should be exercised before a court in the issuing State in accordance with its national law and should include the possibility of challenging the legality of the measure, including its necessity and proportionality, without prejudice to the guarantees of fundamental rights in the enforcing State, or other additional remedies in accordance with national law. This Regulation should not limit the possible grounds for challenging the legality of an order. The right to effective remedies provided for in this Regulation should be without prejudice to the right to seek remedies under Regulation (EU) 2016/679 and Directive (EU) 2016/680. Information should be provided in due time about the possibilities under national law for seeking remedies and it should be ensured that they can be exercised effectively. |
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(80)

It is essential that all persons whose data are requested in criminal investigations or proceedings have access to an effective legal remedy, in line with Article 47 of the Charter. In line with that requirement and without prejudice to further legal remedies available in accordance with national law, any person whose data were requested via a European Production Order should have the right to effective remedies against that order. Where that person is a suspect or an accused person, such person should have the right to effective remedies during the criminal proceedings in which the data are being used as evidence. The right to effective remedies should be exercised before a court in the issuing State in accordance with its national law and should include the possibility of challenging the legality of the measure, including its necessity and proportionality, without prejudice to the guarantees of fundamental rights in the enforcing State, or other additional remedies in accordance with national law. This Regulation should not limit the possible grounds for challenging the legality of an order. The right to effective remedies provided for in this Regulation should be without prejudice to the right to seek remedies under Regulation (EU) 2016/679 and Directive (EU) 2016/680. Information should be provided in due time about the possibilities under national law for seeking remedies and it should be ensured that they can be exercised effectively.

| (81) | Appropriate channels should be developed to ensure that all parties can efficiently cooperate by digital means, through a decentralised information technology (IT) system that allows for the swift, direct, interoperable, sustainable, reliable and secure cross-border electronic exchange of case-related forms, data and information. |
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(81)

Appropriate channels should be developed to ensure that all parties can efficiently cooperate by digital means, through a decentralised information technology (IT) system that allows for the swift, direct, interoperable, sustainable, reliable and secure cross-border electronic exchange of case-related forms, data and information.

| (82) | In order to allow for efficient and secure written communication between competent authorities and designated establishments or legal representatives of service providers under this Regulation, those designated establishments or legal representatives should be provided with electronic means of access to the national IT systems, part of the decentralised IT system, operated by the Member States. |
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(82)

In order to allow for efficient and secure written communication between competent authorities and designated establishments or legal representatives of service providers under this Regulation, those designated establishments or legal representatives should be provided with electronic means of access to the national IT systems, part of the decentralised IT system, operated by the Member States.

| (83) | The decentralised IT system should comprise the IT systems of Member States and the Union agencies and bodies, and interoperable access points, through which those IT systems are interconnected. The access points of the decentralised IT system should be based on the e-CODEX system, established by Regulation (EU) 2022/850 of the European Parliament and of the Council (24). |
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(83)

The decentralised IT system should comprise the IT systems of Member States and the Union agencies and bodies, and interoperable access points, through which those IT systems are interconnected. The access points of the decentralised IT system should be based on the e-CODEX system, established by Regulation (EU) 2022/850 of the European Parliament and of the Council (24).

| (84) | Service providers who make use of bespoke IT solutions for the purposes of exchanging information and data related to requests for electronic evidence should be provided with automated means of accessing the decentralised IT systems by means of a common data exchange standard. |
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(84)

Service providers who make use of bespoke IT solutions for the purposes of exchanging information and data related to requests for electronic evidence should be provided with automated means of accessing the decentralised IT systems by means of a common data exchange standard.

| (85) | As a rule, all written communication between competent authorities or between competent authorities and designated establishments or legal representatives should be carried out through the decentralised IT system. It should be possible to use alternative means only where the use of the decentralised IT system is not possible, for example because of specific forensic requirements, because the volume of data to be transferred is hampered by technical capability constraints, or because another establishment not connected to the decentralised IT system has to be addressed in an emergency case. In such cases, the transmission should be carried out by the most appropriate alternative means, taking into account the need to ensure a swift, secure and reliable exchange of information. |
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(85)

As a rule, all written communication between competent authorities or between competent authorities and designated establishments or legal representatives should be carried out through the decentralised IT system. It should be possible to use alternative means only where the use of the decentralised IT system is not possible, for example because of specific forensic requirements, because the volume of data to be transferred is hampered by technical capability constraints, or because another establishment not connected to the decentralised IT system has to be addressed in an emergency case. In such cases, the transmission should be carried out by the most appropriate alternative means, taking into account the need to ensure a swift, secure and reliable exchange of information.

| (86) | To ensure that the decentralised IT system contains a complete record of written exchanges under this Regulation, any transmission carried out by alternative means should be recorded in the decentralised IT system without undue delay. |
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(86)

To ensure that the decentralised IT system contains a complete record of written exchanges under this Regulation, any transmission carried out by alternative means should be recorded in the decentralised IT system without undue delay.

| (87) | The use of mechanisms to ensure authenticity, as provided for in Regulation (EU) No 910/2014 of the European Parliament and of the Council (25), should be considered. |
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(87)

The use of mechanisms to ensure authenticity, as provided for in Regulation (EU) No 910/2014 of the European Parliament and of the Council (25), should be considered.

| (88) | Service providers, in particular small- and medium-sized enterprises, should not be exposed to disproportionate costs in relation to the establishment and operation of the decentralised IT system. As part of the creation, maintenance and development of the reference implementation, the Commission is therefore also to make available a web-based interface allowing service providers to communicate securely with authorities without having to establish their own dedicated infrastructure in order to access the decentralised IT system. |
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(88)

Service providers, in particular small- and medium-sized enterprises, should not be exposed to disproportionate costs in relation to the establishment and operation of the decentralised IT system. As part of the creation, maintenance and development of the reference implementation, the Commission is therefore also to make available a web-based interface allowing service providers to communicate securely with authorities without having to establish their own dedicated infrastructure in order to access the decentralised IT system.

| (89) | It should be possible for Member States to use software developed by the Commission, namely the reference implementation software, instead of a national IT system. That reference implementation software is to be based on a modular setup, meaning that the software is packaged and delivered separately from the e-CODEX system components needed to connect it to the decentralised IT system. That setup should enable Member States to reuse or enhance their existing respective national judicial communication infrastructure for the purpose of cross-border use. |
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(89)

It should be possible for Member States to use software developed by the Commission, namely the reference implementation software, instead of a national IT system. That reference implementation software is to be based on a modular setup, meaning that the software is packaged and delivered separately from the e-CODEX system components needed to connect it to the decentralised IT system. That setup should enable Member States to reuse or enhance their existing respective national judicial communication infrastructure for the purpose of cross-border use.

| (90) | The Commission should be responsible for the creation, maintenance and development of the reference implementation software. The Commission should design, develop and maintain the reference implementation software in compliance with the data protection requirements and principles laid down in Regulation (EU) 2018/1725 of the European Parliament and of the Council (26), Regulation (EU) 2016/679, and Directive (EU) 2016/680, in particular the principles of data protection by design and by default as well as a high level of cybersecurity. It is important that the reference implementation software also include appropriate technical measures and make it possible to take the organisational measures necessary for ensuring an appropriate level of security and interoperability. |
| --- | --- |

(90)

The Commission should be responsible for the creation, maintenance and development of the reference implementation software. The Commission should design, develop and maintain the reference implementation software in compliance with the data protection requirements and principles laid down in Regulation (EU) 2018/1725 of the European Parliament and of the Council (26), Regulation (EU) 2016/679, and Directive (EU) 2016/680, in particular the principles of data protection by design and by default as well as a high level of cybersecurity. It is important that the reference implementation software also include appropriate technical measures and make it possible to take the organisational measures necessary for ensuring an appropriate level of security and interoperability.

| (91) | In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (27). |
| --- | --- |

(91)

In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission. Those powers should be exercised in accordance with Regulation (EU) No 182/2011 of the European Parliament and of the Council (27).

| (92) | For data exchanges carried out via the decentralised IT system or recorded in the decentralised IT system, Member States should be able to collect statistics to fulfil their monitoring and reporting obligations under this Regulation via their national portals. |
| --- | --- |

(92)

For data exchanges carried out via the decentralised IT system or recorded in the decentralised IT system, Member States should be able to collect statistics to fulfil their monitoring and reporting obligations under this Regulation via their national portals.

| (93) | In order to monitor the outputs, results and impacts of this Regulation, the Commission should publish an annual report on the preceding calendar year, based on data obtained from the Member States. For that purpose, Member States should collect and provide to the Commission comprehensive statistics on different aspects of this Regulation, by type of data requested, the addressees and whether it was an emergency case or not. |
| --- | --- |

(93)

In order to monitor the outputs, results and impacts of this Regulation, the Commission should publish an annual report on the preceding calendar year, based on data obtained from the Member States. For that purpose, Member States should collect and provide to the Commission comprehensive statistics on different aspects of this Regulation, by type of data requested, the addressees and whether it was an emergency case or not.

| (94) | The use of pre-translated and standardised forms would facilitate cooperation and the exchange of information under this Regulation, thereby allowing for quicker and more effective communication in a user-friendly manner. Such forms would reduce translation costs and contribute to a high-quality standard of communication. Response forms would similarly make a standardised exchange of information possible, in particular where service providers are unable to comply because the user account does not exist or because no data are available. The forms provided for in this Regulation would also facilitate the gathering of statistics. |
| --- | --- |

(94)

The use of pre-translated and standardised forms would facilitate cooperation and the exchange of information under this Regulation, thereby allowing for quicker and more effective communication in a user-friendly manner. Such forms would reduce translation costs and contribute to a high-quality standard of communication. Response forms would similarly make a standardised exchange of information possible, in particular where service providers are unable to comply because the user account does not exist or because no data are available. The forms provided for in this Regulation would also facilitate the gathering of statistics.

| (95) | In order to effectively address a possible need for improvements regarding the content of the EPOC and EPOC-PR forms and of the forms to be used for providing information on the impossibility of executing an EPOC or an EPOC-PR, for confirming the issuance of a request for production following a European Preservation Order and for extending the preservation of electronic evidence, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union (TFEU) should be delegated to the Commission in respect of the amendment of the forms provided for in this Regulation. It is of particular importance that the Commission 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-Making (28). 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. |
| --- | --- |

(95)

In order to effectively address a possible need for improvements regarding the content of the EPOC and EPOC-PR forms and of the forms to be used for providing information on the impossibility of executing an EPOC or an EPOC-PR, for confirming the issuance of a request for production following a European Preservation Order and for extending the preservation of electronic evidence, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union (TFEU) should be delegated to the Commission in respect of the amendment of the forms provided for in this Regulation. It is of particular importance that the Commission 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-Making (28). 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.

| (96) | This Regulation should not affect Union or other international instruments, agreements and arrangements on the gathering of evidence that falls within the scope of this Regulation. Member States’ authorities should choose the tool most adapted to the case at hand. In some cases, they might prefer to use Union and other international instruments, agreements and arrangements when requesting a set of different types of investigative measures that are not limited to the production of electronic evidence from another Member State. Member States should notify the Commission at the latest three years after the entry into force of this Regulation of the existing instruments, agreements and arrangements referred to in this Regulation which they will continue to apply. Member States should also notify the Commission within three months of the signing of any new agreement or arrangement as referred to in this Regulation. |
| --- | --- |

(96)

This Regulation should not affect Union or other international instruments, agreements and arrangements on the gathering of evidence that falls within the scope of this Regulation. Member States’ authorities should choose the tool most adapted to the case at hand. In some cases, they might prefer to use Union and other international instruments, agreements and arrangements when requesting a set of different types of investigative measures that are not limited to the production of electronic evidence from another Member State. Member States should notify the Commission at the latest three years after the entry into force of this Regulation of the existing instruments, agreements and arrangements referred to in this Regulation which they will continue to apply. Member States should also notify the Commission within three months of the signing of any new agreement or arrangement as referred to in this Regulation.

| (97) | Given technological developments, new forms of communication tools could prevail in a few years, or gaps could emerge in the application of this Regulation. It is therefore important to provide for an evaluation of its application. |
| --- | --- |

(97)

Given technological developments, new forms of communication tools could prevail in a few years, or gaps could emerge in the application of this Regulation. It is therefore important to provide for an evaluation of its application.

| (98) | The Commission should carry out an evaluation of this Regulation that should be based on the five criteria of efficiency, effectiveness, relevance, coherence and EU added value, and that evaluation should provide the basis for impact assessments of possible further measures. The evaluation report should include an assessment of the application of this Regulation and of the results that have been achieved with regard to its objectives, as well as an assessment of this Regulation’s impact on fundamental rights. The Commission should collect information regularly in order to inform the evaluation of this Regulation. |
| --- | --- |

(98)

The Commission should carry out an evaluation of this Regulation that should be based on the five criteria of efficiency, effectiveness, relevance, coherence and EU added value, and that evaluation should provide the basis for impact assessments of possible further measures. The evaluation report should include an assessment of the application of this Regulation and of the results that have been achieved with regard to its objectives, as well as an assessment of this Regulation’s impact on fundamental rights. The Commission should collect information regularly in order to inform the evaluation of this Regulation.

| (99) | Since the objective of this Regulation, namely to improve the securing and obtaining of electronic evidence across borders, cannot be sufficiently achieved by the Member States given its cross-border nature, but can rather be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 TEU. In accordance with the principle of proportionality as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective. |
| --- | --- |

(99)

Since the objective of this Regulation, namely to improve the securing and obtaining of electronic evidence across borders, cannot be sufficiently achieved by the Member States given its cross-border nature, but can rather be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 TEU. In accordance with the principle of proportionality as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective.

| (100) | In accordance with Article 3 of Protocol No 21 on the position of the United Kingdom and Ireland in respect of the area of freedom, security and justice, annexed to the TEU and to the TFEU, Ireland has notified its wish to take part in the adoption and application of this Regulation. |
| --- | --- |

(100)

In accordance with Article 3 of Protocol No 21 on the position of the United Kingdom and Ireland in respect of the area of freedom, security and justice, annexed to the TEU and to the TFEU, Ireland has notified its wish to take part in the adoption and application of this Regulation.

| (101) | In accordance with Articles 1 and 2 of Protocol No 22 on the position of Denmark annexed to the TEU and to the TFEU, Denmark is not taking part in the adoption of this Regulation and is not bound by it or subject to its application. |
| --- | --- |

(101)

In accordance with Articles 1 and 2 of Protocol No 22 on the position of Denmark annexed to the TEU and to the TFEU, Denmark is not taking part in the adoption of this Regulation and is not bound by it or subject to its application.

| (102) | The European Data Protection Supervisor was consulted in accordance with Article 42(1) of Regulation (EU) 2018/1725 and delivered an opinion on 6 November 2019 (29), |
| --- | --- |

(102)

The European Data Protection Supervisor was consulted in accordance with Article 42(1) of Regulation (EU) 2018/1725 and delivered an opinion on 6 November 2019 (29),

HAVE ADOPTED THIS REGULATION:

CHAPTER I

SUBJECT MATTER, SCOPE AND DEFINITIONS

Article 1

Subject matter

1.   This Regulation lays down the rules under which an authority of a Member State, in criminal proceedings, may issue a European Production Order or a European Preservation Order and thereby order a service provider offering services in the Union and established in another Member State, or, if not established, represented by a legal representative in another Member State, to produce or to preserve electronic evidence regardless of the location of the data.

This Regulation is without prejudice to the powers of national authorities to address service providers established or represented on their territory for the purpose of ensuring that they comply with national measures similar to those referred to in the first subparagraph.

2.   The issuing of a European Production Order or of a European Preservation Order may also be requested by a suspect or an accused person, or by a lawyer on that person’s behalf within the framework of applicable defence rights in accordance with national criminal procedural law.

3.   This Regulation shall not have the effect of modifying the obligation to respect the fundamental rights and legal principles as enshrined in the Charter and in Article 6 TEU, and any obligations applicable to law enforcement authorities or judicial authorities in this respect shall remain unaffected. This Regulation applies without prejudice to fundamental principles, in particular the freedom of expression and information, including the freedom and pluralism of the media, respect for private and family life, the protection of personal data, as well as the right to effective judicial protection.

Article 2

Scope

1.   This Regulation applies to service providers which offer services in the Union.

2.   European Production Orders and European Preservation Orders may be issued only in the framework and for the purposes of criminal proceedings, and for the execution of a custodial sentence or a detention order of at least four months, following criminal proceedings, imposed by a decision that was not rendered in absentia, in cases where the person convicted absconded from justice. Such orders may also be issued in proceedings relating to a criminal offence for which a legal person could be held liable or punished in the issuing State.

3.   European Production Orders and European Preservation Orders may be issued only for data pertaining to the services referred to in Article 3, point (3), offered in the Union.

4.   This Regulation does not apply to proceedings initiated for the purpose of providing mutual legal assistance to another Member State or a third country.

Article 3

Definitions

For the purpose of this Regulation, the following definitions apply:

| (1) | ‘European Production Order’ means a decision ordering the production of electronic evidence, issued or validated by a judicial authority of a Member State in accordance with Article 4(1), (2), (4) and (5), and addressed to a designated establishment or to a legal representative of a service provider offering services in the Union, where that designated establishment or legal representative is located in another Member State bound by this Regulation; |
| --- | --- |

(1)

‘European Production Order’ means a decision ordering the production of electronic evidence, issued or validated by a judicial authority of a Member State in accordance with Article 4(1), (2), (4) and (5), and addressed to a designated establishment or to a legal representative of a service provider offering services in the Union, where that designated establishment or legal representative is located in another Member State bound by this Regulation;

| (2) | ‘European Preservation Order’ means a decision which orders the preservation of electronic evidence for the purposes of a subsequent request for production, and which is issued or validated by a judicial authority of a Member State in accordance with Article 4(3), (4) and (5), and addressed to a designated establishment or to a legal representative of a service provider offering services in the Union, where that designated establishment or legal representative is located in another Member State bound by this Regulation; |
| --- | --- |

(2)

‘European Preservation Order’ means a decision which orders the preservation of electronic evidence for the purposes of a subsequent request for production, and which is issued or validated by a judicial authority of a Member State in accordance with Article 4(3), (4) and (5), and addressed to a designated establishment or to a legal representative of a service provider offering services in the Union, where that designated establishment or legal representative is located in another Member State bound by this Regulation;

| (3) | ‘service provider’ means any natural or legal person that provides one or more of the following categories of services, with the exception of financial services as referred to in Article 2(2), point (b), of Directive 2006/123/EC of the European Parliament and of the Council (30):






  (a) | electronic communications services as defined in Article 2, point (4), of Directive (EU) 2018/1972; |
| --- | --- | --- |

(3)

‘service provider’ means any natural or legal person that provides one or more of the following categories of services, with the exception of financial services as referred to in Article 2(2), point (b), of Directive 2006/123/EC of the European Parliament and of the Council (30):

(a)

electronic communications services as defined in Article 2, point (4), of Directive (EU) 2018/1972;

| (b) | internet domain name and IP numbering services, such as IP address assignment, domain name registry, domain name registrar and domain name-related privacy and proxy services; |
| --- | --- |

(b)

internet domain name and IP numbering services, such as IP address assignment, domain name registry, domain name registrar and domain name-related privacy and proxy services;

| (c) | other information society services as referred to in Article 1(1), point (b), of Directive (EU) 2015/1535 that:






  (i) | enable their users to communicate with each other; or |
| --- | --- | --- |

(c)

other information society services as referred to in Article 1(1), point (b), of Directive (EU) 2015/1535 that:

(i)

enable their users to communicate with each other; or

| (ii) | make it possible to store or otherwise process data on behalf of the users to whom the service is provided, provided that the storage of data is a defining component of the service provided to the user; |
| --- | --- |

(ii)

make it possible to store or otherwise process data on behalf of the users to whom the service is provided, provided that the storage of data is a defining component of the service provided to the user;

| (4) | ‘offering services in the Union’ means:






  (a) | enabling natural or legal persons in a Member State to use the services listed in point (3); and |
| --- | --- | --- |

(4)

‘offering services in the Union’ means:

(a)

enabling natural or legal persons in a Member State to use the services listed in point (3); and

| (b) | having a substantial connection, based on specific factual criteria, to the Member State referred to in point (a); such a substantial connection is to be considered to exist where the service provider has an establishment in a Member State, or, in the absence of such an establishment, where there is a significant number of users in one or more Member States, or where there is targeting of activities towards one or more Member States; |
| --- | --- |

(b)

having a substantial connection, based on specific factual criteria, to the Member State referred to in point (a); such a substantial connection is to be considered to exist where the service provider has an establishment in a Member State, or, in the absence of such an establishment, where there is a significant number of users in one or more Member States, or where there is targeting of activities towards one or more Member States;

| (5) | ‘establishment’ means an entity that actually pursues an economic activity for an indefinite period through a stable infrastructure from where the business of providing services is carried out or the business is managed; |
| --- | --- |

(5)

‘establishment’ means an entity that actually pursues an economic activity for an indefinite period through a stable infrastructure from where the business of providing services is carried out or the business is managed;

| (6) | ‘designated establishment’ means an establishment with legal personality designated in writing by a service provider established in a Member State taking part in a legal instrument referred to in Article 1(2) of Directive (EU) 2023/1544, for the purposes referred to in Article 1(1) and Article 3(1) of that Directive; |
| --- | --- |

(6)

‘designated establishment’ means an establishment with legal personality designated in writing by a service provider established in a Member State taking part in a legal instrument referred to in Article 1(2) of Directive (EU) 2023/1544, for the purposes referred to in Article 1(1) and Article 3(1) of that Directive;

| (7) | ‘legal representative’ means a natural or legal person appointed in writing by a service provider not established in a Member State taking part in a legal instrument referred to in Article 1(2) of Directive (EU) 2023/1544, for the purposes referred to in Article 1(1) and Article 3(1) of that Directive; |
| --- | --- |

(7)

‘legal representative’ means a natural or legal person appointed in writing by a service provider not established in a Member State taking part in a legal instrument referred to in Article 1(2) of Directive (EU) 2023/1544, for the purposes referred to in Article 1(1) and Article 3(1) of that Directive;

| (8) | ‘electronic evidence’ means subscriber data, traffic data or content data stored by or on behalf of a service provider, in an electronic form, at the time of the receipt of a European Production Order Certificate (EPOC) or of a European Preservation Order Certificate (EPOC-PR); |
| --- | --- |

(8)

‘electronic evidence’ means subscriber data, traffic data or content data stored by or on behalf of a service provider, in an electronic form, at the time of the receipt of a European Production Order Certificate (EPOC) or of a European Preservation Order Certificate (EPOC-PR);

| (9) | ‘subscriber data’ means any data held by a service provider relating to the subscription to its services, pertaining to:






  (a) | the identity of a subscriber or customer, such as the provided name, date of birth, postal or geographic address, billing and payment data, telephone number, or email address; |
| --- | --- | --- |

(9)

‘subscriber data’ means any data held by a service provider relating to the subscription to its services, pertaining to:

(a)

the identity of a subscriber or customer, such as the provided name, date of birth, postal or geographic address, billing and payment data, telephone number, or email address;

| (b) | the type of service and its duration, including technical data and data identifying related technical measures or interfaces used by or provided to the subscriber or customer at the moment of initial registration or activation, and data related to the validation of the use of the service, excluding passwords or other authentication means used instead of a password that are provided by a user, or created at the request of a user; |
| --- | --- |

(b)

the type of service and its duration, including technical data and data identifying related technical measures or interfaces used by or provided to the subscriber or customer at the moment of initial registration or activation, and data related to the validation of the use of the service, excluding passwords or other authentication means used instead of a password that are provided by a user, or created at the request of a user;

| (10) | ‘data requested for the sole purpose of identifying the user’ means IP addresses and, where necessary, the relevant source ports and time stamp, namely the date and time, or technical equivalents of those identifiers and related information, where requested by law enforcement authorities or by judicial authorities for the sole purpose of identifying the user in a specific criminal investigation; |
| --- | --- |

(10)

‘data requested for the sole purpose of identifying the user’ means IP addresses and, where necessary, the relevant source ports and time stamp, namely the date and time, or technical equivalents of those identifiers and related information, where requested by law enforcement authorities or by judicial authorities for the sole purpose of identifying the user in a specific criminal investigation;

| (11) | ‘traffic data’ means data related to the provision of a service offered by a service provider which serve to provide context or additional information about such service and are generated or processed by an information system of the service provider, such as the source and destination of a message or another type of interaction, the location of the device, date, time, duration, size, route, format, the protocol used and the type of compression, and other electronic communications metadata and data, other than subscriber data, relating to the commencement and termination of a user access session to a service, such as the date and time of use, the log-in to and log-off from the service; |
| --- | --- |

(11)

‘traffic data’ means data related to the provision of a service offered by a service provider which serve to provide context or additional information about such service and are generated or processed by an information system of the service provider, such as the source and destination of a message or another type of interaction, the location of the device, date, time, duration, size, route, format, the protocol used and the type of compression, and other electronic communications metadata and data, other than subscriber data, relating to the commencement and termination of a user access session to a service, such as the date and time of use, the log-in to and log-off from the service;

| (12) | ‘content data’ means any data in a digital format, such as text, voice, videos, images and sound, other than subscriber data or traffic data; |
| --- | --- |

(12)

‘content data’ means any data in a digital format, such as text, voice, videos, images and sound, other than subscriber data or traffic data;

| (13) | ‘information system’ means an information system as defined in Article 2, point (a), of Directive 2013/40/EU of the European Parliament and of the Council (31); |
| --- | --- |

(13)

‘information system’ means an information system as defined in Article 2, point (a), of Directive 2013/40/EU of the European Parliament and of the Council (31);

| (14) | ‘issuing State’ means the Member State in which the European Production Order or the European Preservation Order is issued; |
| --- | --- |

(14)

‘issuing State’ means the Member State in which the European Production Order or the European Preservation Order is issued;

| (15) | ‘issuing authority’ means the competent authority in the issuing State, which, in accordance with Article 4, can issue a European Production Order or a European Preservation Order; |
| --- | --- |

(15)

‘issuing authority’ means the competent authority in the issuing State, which, in accordance with Article 4, can issue a European Production Order or a European Preservation Order;

| (16) | ‘enforcing State’ means the Member State in which the designated establishment is established or the legal representative resides and to which a European Production Order and an EPOC or a European Preservation Order and an EPOC-PR are transmitted by the issuing authority for notification or for enforcement in accordance with this Regulation; |
| --- | --- |

(16)

‘enforcing State’ means the Member State in which the designated establishment is established or the legal representative resides and to which a European Production Order and an EPOC or a European Preservation Order and an EPOC-PR are transmitted by the issuing authority for notification or for enforcement in accordance with this Regulation;

| (17) | ‘enforcing authority’ means the authority in the enforcing State, which, in accordance with the national law of that State, is competent to receive a European Production Order and an EPOC or a European Preservation Order and an EPOC-PR transmitted by the issuing authority for notification or for enforcement in accordance with this Regulation; |
| --- | --- |

(17)

‘enforcing authority’ means the authority in the enforcing State, which, in accordance with the national law of that State, is competent to receive a European Production Order and an EPOC or a European Preservation Order and an EPOC-PR transmitted by the issuing authority for notification or for enforcement in accordance with this Regulation;

| (18) | ‘emergency case’ means a situation in which there is an imminent threat to the life, physical integrity or safety of a person, or to a critical infrastructure, as defined in Article 2, point (a), of Directive 2008/114/EC, where the disruption or destruction of such critical infrastructure would result in an imminent threat to the life, physical integrity or safety of a person, including through serious harm to the provision of basic supplies to the population or to the exercise of the core functions of the State; |
| --- | --- |

(18)

‘emergency case’ means a situation in which there is an imminent threat to the life, physical integrity or safety of a person, or to a critical infrastructure, as defined in Article 2, point (a), of Directive 2008/114/EC, where the disruption or destruction of such critical infrastructure would result in an imminent threat to the life, physical integrity or safety of a person, including through serious harm to the provision of basic supplies to the population or to the exercise of the core functions of the State;

| (19) | ‘controller’ means controller as defined in Article 4, point (7), of Regulation (EU) 2016/679; |
| --- | --- |

(19)

‘controller’ means controller as defined in Article 4, point (7), of Regulation (EU) 2016/679;

| (20) | ‘processor’ means processor as defined in Article 4, point (8), of Regulation (EU) 2016/679; |
| --- | --- |

(20)

‘processor’ means processor as defined in Article 4, point (8), of Regulation (EU) 2016/679;

| (21) | ‘decentralised IT system’ means a network of IT systems and interoperable access points, operating under the individual responsibility and management of each Member State, Union agency or body, which enables the cross-border exchange of information to take place in a secure and reliable manner. |
| --- | --- |

(21)

‘decentralised IT system’ means a network of IT systems and interoperable access points, operating under the individual responsibility and management of each Member State, Union agency or body, which enables the cross-border exchange of information to take place in a secure and reliable manner.

CHAPTER II

EUROPEAN PRODUCTION ORDER, EUROPEAN PRESERVATION ORDER AND CERTIFICATES

EUROPEAN PRODUCTION ORDER, EUROPEAN PRESERVATION ORDER AND CERTIFICATES

Article 4

Issuing authority

1.   A European Production Order to obtain subscriber data or to obtain data requested for the sole purpose of identifying the user, as defined in Article 3, point (10), may be issued only by:

| (a) | a judge, a court, an investigating judge or a public prosecutor competent in the case concerned; or |
| --- | --- |

(a)

a judge, a court, an investigating judge or a public prosecutor competent in the case concerned; or

| (b) | any other competent authority as defined by the issuing State which, in the case concerned, is acting in its capacity as an investigating authority in criminal proceedings with competence to order the gathering of evidence in accordance with national law; in such a case, the European Production Order shall be validated, after examination of its conformity with the conditions for issuing a European Production Order under this Regulation, by a judge, a court, an investigating judge or a public prosecutor in the issuing State. |
| --- | --- |

(b)

any other competent authority as defined by the issuing State which, in the case concerned, is acting in its capacity as an investigating authority in criminal proceedings with competence to order the gathering of evidence in accordance with national law; in such a case, the European Production Order shall be validated, after examination of its conformity with the conditions for issuing a European Production Order under this Regulation, by a judge, a court, an investigating judge or a public prosecutor in the issuing State.

2.   A European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in Article 3, point (10), or to obtain content data may be issued only by:

| (a) | a judge, a court or an investigating judge competent in the case concerned; or |
| --- | --- |

(a)

a judge, a court or an investigating judge competent in the case concerned; or

| (b) | any other competent authority as defined by the issuing State which, in the case concerned, is acting in its capacity as an investigating authority in criminal proceedings with competence to order the gathering of evidence in accordance with national law; in such a case, the European Production Order shall be validated, after examination of its conformity with the conditions for issuing a European Production Order under this Regulation, by a judge, a court or an investigating judge in the issuing State. |
| --- | --- |

(b)

any other competent authority as defined by the issuing State which, in the case concerned, is acting in its capacity as an investigating authority in criminal proceedings with competence to order the gathering of evidence in accordance with national law; in such a case, the European Production Order shall be validated, after examination of its conformity with the conditions for issuing a European Production Order under this Regulation, by a judge, a court or an investigating judge in the issuing State.

3.   A European Preservation Order for data of any category may be issued only by:

| (a) | a judge, a court, an investigating judge or a public prosecutor competent in the case concerned; or |
| --- | --- |

(a)

a judge, a court, an investigating judge or a public prosecutor competent in the case concerned; or

| (b) | any other competent authority as defined by the issuing State which, in the case concerned, is acting in its capacity as an investigating authority in criminal proceedings with competence to order the gathering of evidence in accordance with national law; in such a case, the European Preservation Order shall be validated, after examination of its conformity with the conditions for issuing a European Preservation Order under this Regulation, by a judge, a court, an investigating judge or a public prosecutor in the issuing State. |
| --- | --- |

(b)

any other competent authority as defined by the issuing State which, in the case concerned, is acting in its capacity as an investigating authority in criminal proceedings with competence to order the gathering of evidence in accordance with national law; in such a case, the European Preservation Order shall be validated, after examination of its conformity with the conditions for issuing a European Preservation Order under this Regulation, by a judge, a court, an investigating judge or a public prosecutor in the issuing State.

4.   Where a European Production Order or a European Preservation Order has been validated by a judicial authority pursuant to paragraph 1, point (b), paragraph 2, point (b), or paragraph 3, point (b), that authority may also be regarded as an issuing authority for the purposes of transmission of the EPOC and the EPOC-PR.

5.   In a validly established emergency case, as defined in Article 3, point (18), the competent authorities referred to in paragraph 1, point (b), and in paragraph 3, point (b), of this Article may exceptionally issue a European Production Order for subscriber data or for data requested for the sole purpose of identifying the user as defined in Article 3, point (10), or a European Preservation Order, without prior validation of the order concerned, where validation cannot be obtained in time and where those authorities could issue an order in a similar domestic case without prior validation. The issuing authority shall seek ex post validation of the order concerned without undue delay, at the latest within 48 hours. Where such ex post validation of the order concerned is not granted, the issuing authority shall withdraw the order immediately and shall delete or otherwise restrict the use of any data that were obtained.

6.   Each Member State may designate one or more central authorities to be responsible for the administrative transmission of EPOCs and EPOC-PRs, of European Production Orders and European Preservation Orders and of notifications, and for the receipt of data and notifications as well as for the transmission of other official correspondence relating to such certificates or orders.

Article 5

Conditions for issuing a European Production Order

1.   An issuing authority may only issue a European Production Order where the conditions set out in this Article are fulfilled.

2.   A European Production Order shall be necessary for and proportionate to the purpose of the proceedings referred to in Article 2(3), taking into account the rights of the suspect or the accused person, and may only be issued if a similar order could have been issued under the same conditions in a similar domestic case.

3.   A European Production Order to obtain subscriber data or to obtain data requested for the sole purpose of identifying the user as defined in Article 3, point (10), may be issued for all criminal offences and for the execution of a custodial sentence or a detention order of at least four months, following criminal proceedings, imposed by a decision that was not rendered in absentia, in cases where the person convicted absconded from justice.

4.   A European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in Article 3, point (10), of this Regulation or to obtain content data shall only be issued:

| (a) | for criminal offences punishable in the issuing State by a custodial sentence of a maximum of at least three years; or |
| --- | --- |

(a)

for criminal offences punishable in the issuing State by a custodial sentence of a maximum of at least three years; or

| (b) | for the following offences, if they are wholly or partly committed by means of an information system:






  (i) | offences as defined in Articles 3 to 8 of Directive (EU) 2019/713 of the European Parliament and of the Council (32); |
| --- | --- | --- |

(b)

for the following offences, if they are wholly or partly committed by means of an information system:

(i)

offences as defined in Articles 3 to 8 of Directive (EU) 2019/713 of the European Parliament and of the Council (32);

| (ii) | offences as defined in Articles 3 to 7 of Directive 2011/93/EU; |
| --- | --- |

(ii)

offences as defined in Articles 3 to 7 of Directive 2011/93/EU;

| (iii) | offences as defined in Articles 3 to 8 of Directive 2013/40/EU; |
| --- | --- |

(iii)

offences as defined in Articles 3 to 8 of Directive 2013/40/EU;

| (c) | for criminal offences as defined in Articles 3 to 12 and 14 of Directive (EU) 2017/541; |
| --- | --- |

(c)

for criminal offences as defined in Articles 3 to 12 and 14 of Directive (EU) 2017/541;

| (d) | for the execution of a custodial sentence or a detention order of at least four months, following criminal proceedings, imposed by a decision that was not rendered in absentia, in cases where the person convicted absconded from justice, for criminal offences referred to in points (a), (b) and (c) of this paragraph. |
| --- | --- |

(d)

for the execution of a custodial sentence or a detention order of at least four months, following criminal proceedings, imposed by a decision that was not rendered in absentia, in cases where the person convicted absconded from justice, for criminal offences referred to in points (a), (b) and (c) of this paragraph.

5.   A European Production Order shall include the following information:

| (a) | the issuing authority and, where applicable, the validating authority; |
| --- | --- |

(a)

the issuing authority and, where applicable, the validating authority;

| (b) | the addressee of the European Production Order as referred to in Article 7; |
| --- | --- |

(b)

the addressee of the European Production Order as referred to in Article 7;

| (c) | the user, except where the sole purpose of the order is to identify the user, or any other unique identifier such as user name, login ID or account name to determine the data that are being requested; |
| --- | --- |

(c)

the user, except where the sole purpose of the order is to identify the user, or any other unique identifier such as user name, login ID or account name to determine the data that are being requested;

| (d) | the requested data category as defined in Article 3, points (9) to (12); |
| --- | --- |

(d)

the requested data category as defined in Article 3, points (9) to (12);

| (e) | if applicable, the time range of the data for which production is requested; |
| --- | --- |

(e)

if applicable, the time range of the data for which production is requested;

| (f) | the applicable provisions of the criminal law of the issuing State; |
| --- | --- |

(f)

the applicable provisions of the criminal law of the issuing State;

| (g) | in emergency cases as defined in Article 3, point (18), the duly justified reasons for the emergency; |
| --- | --- |

(g)

in emergency cases as defined in Article 3, point (18), the duly justified reasons for the emergency;

| (h) | in cases where the European Production Order is directly addressed to the service provider that stores or otherwise processes the data on behalf of the controller, a confirmation that the conditions set out in paragraph 6 of this Article are met; |
| --- | --- |

(h)

in cases where the European Production Order is directly addressed to the service provider that stores or otherwise processes the data on behalf of the controller, a confirmation that the conditions set out in paragraph 6 of this Article are met;

| (i) | the grounds for determining that the European Production Order fulfils the conditions of necessity and proportionality under paragraph 2 of this Article; |
| --- | --- |

(i)

the grounds for determining that the European Production Order fulfils the conditions of necessity and proportionality under paragraph 2 of this Article;

| (j) | a summary description of the case. |
| --- | --- |

(j)

a summary description of the case.

6.   A European Production Order shall be addressed to the service provider acting as controller in accordance with Regulation (EU) 2016/679.

By way of exception, the European Production Order may be directly addressed to the service provider that stores or otherwise processes the data on behalf of the controller, where:

| (a) | the controller cannot be identified despite reasonable efforts on the part of the issuing authority; or |
| --- | --- |

(a)

the controller cannot be identified despite reasonable efforts on the part of the issuing authority; or

| (b) | addressing the controller might be detrimental to the investigation. |
| --- | --- |

(b)

addressing the controller might be detrimental to the investigation.

7.   In accordance with Regulation (EU) 2016/679, the processor that stores or otherwise processes the data on behalf of the controller shall inform the controller about the production of the data unless the issuing authority has requested the service provider to refrain from informing the controller, for as long as necessary and proportionate, in order not to obstruct the relevant criminal proceedings. In that case, the issuing authority shall indicate in the case file the reasons for the delay in informing the controller. A short justification shall also be added in the EPOC.

8.   Where the data are stored or otherwise processed as part of an infrastructure provided by a service provider to a public authority, a European Production Order may only be issued where the public authority for which the data are stored or otherwise processed is located in the issuing State.

9.   In cases where data protected by professional privilege under the law of the issuing State are stored or otherwise processed by a service provider as part of an infrastructure provided to professionals covered by professional privilege (‘privileged professional’), in their business capacity, a European Production Order to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in Article 3, point (10), or to obtain content data may only be issued:

| (a) | where the privileged professional resides in the issuing State; |
| --- | --- |

(a)

where the privileged professional resides in the issuing State;

| (b) | where addressing the privileged professional might be detrimental to the investigation; or |
| --- | --- |

(b)

where addressing the privileged professional might be detrimental to the investigation; or

| (c) | where the privileges were waived in accordance with the applicable law. |
| --- | --- |

(c)

where the privileges were waived in accordance with the applicable law.

10.   If the issuing authority has reasons to believe that the traffic data, except for data requested for the sole purpose of identifying the user as defined in Article 3, point (10), or the content data requested by the European Production Order are protected by immunities or privileges granted under the law of the enforcing State, or that those data are subject in that State to rules on determination and limitation of criminal liability relating to freedom of the press or freedom of expression in other media, the issuing authority may seek clarification before issuing the European Production Order, including by consulting the competent authorities of the enforcing State, either directly or via Eurojust or the European Judicial Network.

The issuing authority shall not issue a European Production Order if it finds that the requested traffic data, except for data requested for the sole purpose of identifying the user as defined in Article 3, point (10), or the content data are protected by immunities or privileges granted under the law of the enforcing State, or that those data are subject in that State to rules on determination and limitation of criminal liability relating to freedom of the press and freedom of expression in other media.

Article 6

Conditions for issuing a European Preservation Order

1.   An issuing authority may only issue a European Preservation Order where the conditions set out in this Article are fulfilled. Article 5(8) shall apply mutatis mutandis.

2.   A European Preservation Order shall be necessary for and proportionate to the purpose of preventing the removal, deletion or alteration of data with a view to issuing a subsequent request for production of those data via mutual legal assistance, a European Investigation Order (EIO) or a European Production Order, taking into account the rights of the suspect or the accused person.

3.   A European Preservation Order may be issued for all criminal offences, if it could have been issued under the same conditions in a similar domestic case, and for the execution of a custodial sentence or a detention order of at least four months, following criminal proceedings, imposed by a decision that was not rendered in absentia, in cases where the person convicted absconded from justice.

4.   A European Preservation Order shall include the following information:

| (a) | the issuing authority and, where applicable, the validating authority; |
| --- | --- |

(a)

the issuing authority and, where applicable, the validating authority;

| (b) | the addressee of the European Preservation Order as referred to in Article 7; |
| --- | --- |

(b)

the addressee of the European Preservation Order as referred to in Article 7;

| (c) | the user, except where the sole purpose of the order is to identify the user, or any other unique identifier such as user name, login ID or account name to determine the data for which preservation is requested; |
| --- | --- |

(c)

the user, except where the sole purpose of the order is to identify the user, or any other unique identifier such as user name, login ID or account name to determine the data for which preservation is requested;

| (d) | the requested data category as defined in Article 3, points (9) to (12); |
| --- | --- |

(d)

the requested data category as defined in Article 3, points (9) to (12);

| (e) | if applicable, the time range of the data for which preservation is requested; |
| --- | --- |

(e)

if applicable, the time range of the data for which preservation is requested;

| (f) | the applicable provisions of the criminal law of the issuing State; |
| --- | --- |

(f)

the applicable provisions of the criminal law of the issuing State;

| (g) | the grounds for determining that the European Preservation Order fulfils the conditions of necessity and proportionality under paragraph 2 of this Article. |
| --- | --- |

(g)

the grounds for determining that the European Preservation Order fulfils the conditions of necessity and proportionality under paragraph 2 of this Article.

Article 7

Addressees of European Production Orders and European Preservation Orders

1.   European Production Orders and European Preservation Orders shall be addressed directly to a designated establishment or to a legal representative of the service provider concerned.

2.   Exceptionally, in emergency cases as defined in Article 3, point (18), where the designated establishment or the legal representative of a service provider does not react to an EPOC or an EPOC-PR within the deadlines, that EPOC or EPOC-PR may be addressed to any other establishment or legal representative of the service provider in the Union.

Article 8

Notification to the enforcing authority

1.   Where a European Production Order is issued to obtain traffic data, except for data requested for the sole purpose of identifying the user as defined in Article 3, point (10), or to obtain content data, the issuing authority shall notify the enforcing authority by transmitting the EPOC to that authority at the same time as it transmits the EPOC to the addressee in accordance with Article 9(1) and (2).

2.   Paragraph 1 shall not apply if, at the time of issuing the order, the issuing authority has reasonable grounds to believe that:

| (a) | the offence has been committed, is being committed or is likely to be committed in the issuing State; and |
| --- | --- |

(a)

the offence has been committed, is being committed or is likely to be committed in the issuing State; and

| (b) | the person whose data are requested resides in the issuing State. |
| --- | --- |

(b)

the person whose data are requested resides in the issuing State.

3.   When transmitting the EPOC as referred to in paragraph 1 of this Article to the enforcing authority, the issuing authority shall, where appropriate, include any additional information that could be needed for the evaluation of the possibility of raising a ground for refusal in accordance with Article 12.

4.   The notification to the enforcing authority referred to in paragraph 1 of this Article shall have a suspensive effect on the obligations of the addressee as set out in Article 10(2), except in emergency cases as defined in Article 3, point (18).

Article 9

European Production Order Certificate (EPOC) and European Preservation Order Certificate (EPOC-PR)

1.   A European Production Order or a European Preservation Order shall be transmitted to the addressee as defined in Article 7, through an EPOC or through an EPOC-PR.

The issuing authority or, where applicable, the validating authority shall complete the EPOC set out in Annex I or the EPOC-PR set out in Annex II, shall sign it and shall certify that its content is accurate and correct.

2.   An EPOC shall contain the information listed in Article 5(5), points (a) to (h), including sufficient information to allow the addressee to identify and contact the issuing authority and the enforcing authority, if necessary.

Where a notification to the enforcing authority is required pursuant to Article 8, the EPOC transmitted to that authority shall contain the information listed in Article 5(5), points (a) to (j).

3.   An EPOC-PR shall contain the information listed in Article 6(4), points (a) to (f), including sufficient information to allow the addressee to identify and contact the issuing authority.

4.   Where needed, the EPOC or the EPOC-PR shall be translated into an official language of the Union accepted by the addressee as provided for in Article 4 of Directive (EU) 2023/1544. Where no language has been specified by the service provider, the EPOC or the EPOC-PR shall be translated into an official language of the Member State where the designated establishment or the legal representative of the service provider is located.

Where a notification to the enforcing authority is required pursuant to Article 8, the EPOC to be transmitted to that authority shall be translated into an official language of the enforcing State or into another official language of the Union accepted by that State.

Article 10

Execution of an EPOC

1.   Upon receipt of an EPOC, the addressee shall act expeditiously to preserve the data requested.

2.   Where a notification to the enforcing authority is required pursuant to Article 8 and that authority has not raised any ground for refusal in accordance with Article 12 within 10 days following receipt of the EPOC, the addressee shall ensure that the requested data are transmitted directly to the issuing authority or the law enforcement authorities, as indicated in the EPOC, at the end of that 10-day period. Where the enforcing authority already before the end of that 10-day period confirms to the issuing authority and the addressee that it will not raise any ground for refusal, the addressee shall act as soon as possible upon such confirmation and at the latest at the end of that 10-day period.

3.   Where a notification to the enforcing authority is not required pursuant to Article 8, upon receipt of an EPOC, the addressee shall ensure that the requested data are transmitted directly to the issuing authority or the law enforcement authorities, as indicated in the EPOC, at the latest within 10 days following receipt of the EPOC.

4.   In emergency cases, the addressee shall transmit the requested data without undue delay, at the latest within eight hours following receipt of the EPOC. Where a notification to the enforcing authority is required pursuant to Article 8, the enforcing authority may, if it decides to raise a ground for refusal in accordance with Article 12(1), without delay and at the latest within 96 hours following receipt of the notification, notify the issuing authority and the addressee that it objects to the use of the data or that the data may only be used under conditions which it shall specify. Where a ground for refusal is raised by the enforcing authority, if the data have already been transmitted by the addressee to the issuing authority, the issuing authority shall delete or otherwise restrict the use of the data or, in the event that the enforcing authority has specified conditions, the issuing authority shall comply with those conditions when using the data.

5.   Where the addressee considers, based solely on the information contained in the EPOC, that the execution of the EPOC could interfere with immunities or privileges, or with rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, under the law of the enforcing State, the addressee shall inform the issuing authority and the enforcing authority using the form set out in Annex III.

Where no notification to the enforcing authority took place pursuant to Article 8, the issuing authority shall take the information referred to in the first subparagraph of this paragraph into account, and shall decide, on its own initiative or at the request of the enforcing authority, whether to withdraw, adapt or maintain the European Production Order.

Where a notification to the enforcing authority took place pursuant to Article 8, the issuing authority shall take the information referred to in the first subparagraph of this paragraph into account, and shall decide whether to withdraw, adapt or maintain the European Production Order. The enforcing authority may decide to raise the grounds for refusal set out in Article 12.

6.   Where the addressee cannot comply with its obligation to produce the requested data because the EPOC is incomplete, contains manifest errors or does not contain sufficient information to execute the EPOC, the addressee shall, without undue delay, inform the issuing authority and, where a notification to the enforcing authority took place pursuant to Article 8, the enforcing authority referred to in the EPOC, and seek clarification, using the form set out in Annex III. At the same time, the addressee shall inform the issuing authority of whether identification of the data requested and preservation of those data as set out in paragraph 9 of this Article was possible.

The issuing authority shall react expeditiously and at the latest within five days following receipt of the form. The addressee shall ensure that it can receive the necessary clarification or any correction provided by the issuing authority, in order for the addressee to fulfil its obligations set out in paragraphs 1 to 4. The obligations set out in paragraphs 1 to 4 shall not apply until such clarification or correction is provided by the issuing authority or the enforcing authority.

7.   Where the addressee cannot comply with its obligation to produce the requested data because of a de facto impossibility due to circumstances not attributable to the addressee, the addressee shall, without undue delay, inform the issuing authority and, where a notification to the enforcing authority took place pursuant to Article 8, the enforcing authority referred to in the EPOC, explaining the reasons for such a de facto impossibility, using the form set out in Annex III. Where the issuing authority concludes that there is such a de facto impossibility, it shall inform the addressee, and, where a notification to the enforcing authority took place pursuant to Article 8, the enforcing authority, that the EPOC no longer needs to be executed.

8.   In all cases where the addressee does not provide the requested data, does not provide the requested data exhaustively or does not provide the requested data within the specified deadline, for reasons other than those referred to in paragraphs 5, 6 and 7 of this Article, the addressee shall, without undue delay and at the latest within the deadlines set out in paragraphs 2, 3 and 4 of this Article, inform the issuing authority and, where a notification to the enforcing authority took place pursuant to Article 8, the enforcing authority referred to in the EPOC, of those reasons using the form set out in Annex III. The issuing authority shall review the European Production Order in light of the information provided by the addressee and, if necessary, set a new deadline for the addressee to produce the data.

9.   The data shall be preserved, to the extent possible, until they are produced, irrespective of whether the production is ultimately requested on the basis of a clarified European Production Order and its EPOC or through other channels, such as mutual legal assistance, or until the European Production Order is withdrawn.

Where the production of data and their preservation are no longer necessary, the issuing authority and, where applicable pursuant to Article 16(8), the enforcing authority shall inform the addressee without undue delay.

Article 11

Execution of an EPOC-PR

1.   Upon receipt of an EPOC-PR, the addressee shall, without undue delay, preserve the data requested. The obligation to preserve the data shall cease after 60 days, unless the issuing authority confirms, using the form set out in Annex V, that a subsequent request for production has been issued. During that 60-day period, the issuing authority may, using the form set out in Annex VI, extend the duration of the obligation to preserve the data by an additional 30-day period, where necessary to allow for the issuing of a subsequent request for production.

2.   Where, during the period of preservation set out in paragraph 1, the issuing authority confirms that a subsequent request for production has been issued, the addressee shall preserve the data as long as necessary to produce the data once the subsequent request for production is received.

3.   Where the preservation is no longer necessary, the issuing authority shall inform the addressee without undue delay and the obligation to preserve on the basis of the relevant European Preservation Order shall cease.

4.   Where the addressee considers, based solely on the information contained in the EPOC-PR, that the execution of the EPOC-PR could interfere with immunities or privileges, or with rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, under the law of the enforcing State, the addressee shall inform the issuing authority and the enforcing authority using the form set out in Annex III.

The issuing authority shall take the information referred to in the first subparagraph into account, and shall decide, on its own initiative or at the request of the enforcing authority, whether to withdraw, adapt or maintain the European Preservation Order.

5.   Where the addressee cannot comply with its obligation to preserve the requested data because the EPOC-PR is incomplete, contains manifest errors or does not contain sufficient information to execute the EPOC-PR, the addressee shall, without undue delay, inform the issuing authority referred to in the EPOC-PR and seek clarification, using the form set out in Annex III.

The issuing authority shall react expeditiously and at the latest within five days of the receipt of the form. The addressee shall ensure that it can receive the necessary clarification or any correction provided by the issuing authority in order for the addressee to fulfil its obligations set out in paragraphs 1, 2 and 3. In the absence of a reaction from the issuing authority within the five-day period, the service provider shall be exempt from the obligations set out in paragraphs 1 and 2.

6.   Where the addressee cannot comply with its obligation to preserve the requested data because of a de facto impossibility due to circumstances not attributable to the addressee, the addressee shall, without undue delay, inform the issuing authority referred to in the EPOC-PR explaining the reasons for such de facto impossibility, using the form set out in Annex III. Where the issuing authority concludes that such impossibility does exist, it shall inform the addressee that the EPOC-PR no longer needs to be executed.

7.   In all cases where the addressee does not preserve the requested data, for reasons other than those referred to in paragraphs 4, 5 and 6, the addressee shall, without undue delay, inform the issuing authority of those reasons, using the form set out in Annex III. The issuing authority shall review the European Preservation Order in light of the justification provided by the addressee.

Article 12

Grounds for refusal of European Production Orders

1.   Where the issuing authority has notified the enforcing authority pursuant to Article 8, and without prejudice to Article 1(3), the enforcing authority shall, as soon as possible but at the latest within 10 days following receipt of the notification, or, in emergency cases, at the latest within 96 hours following such receipt, assess the information set out in the order and, where appropriate, raise one or more of the following grounds for refusal:

| (a) | the data requested are protected by immunities or privileges granted under the law of the enforcing State which prevent the execution or enforcement of the order, or the data requested are covered by rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, which prevent the execution or enforcement of the order; |
| --- | --- |

(a)

the data requested are protected by immunities or privileges granted under the law of the enforcing State which prevent the execution or enforcement of the order, or the data requested are covered by rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, which prevent the execution or enforcement of the order;

| (b) | in exceptional situations, there are substantial grounds to believe, on the basis of specific and objective evidence, that the execution of the order would, in the particular circumstances of the case, entail a manifest breach of a relevant fundamental right as set out in Article 6 TEU and in the Charter; |
| --- | --- |

(b)

in exceptional situations, there are substantial grounds to believe, on the basis of specific and objective evidence, that the execution of the order would, in the particular circumstances of the case, entail a manifest breach of a relevant fundamental right as set out in Article 6 TEU and in the Charter;

| (c) | the execution of the order would be contrary to the principle of ne bis in idem; |
| --- | --- |

(c)

the execution of the order would be contrary to the principle of ne bis in idem;

| (d) | the conduct for which the order has been issued does not constitute an offence under the law of the enforcing State, unless it concerns an offence listed within the categories of offences set out in Annex IV, as indicated by the issuing authority in the EPOC, if it is punishable in the issuing State by a custodial sentence or a detention order for a maximum period of at least three years. |
| --- | --- |

(d)

the conduct for which the order has been issued does not constitute an offence under the law of the enforcing State, unless it concerns an offence listed within the categories of offences set out in Annex IV, as indicated by the issuing authority in the EPOC, if it is punishable in the issuing State by a custodial sentence or a detention order for a maximum period of at least three years.

2.   Where the enforcing authority raises a ground for refusal pursuant to paragraph 1, it shall inform the addressee and the issuing authority. The addressee shall stop the execution of the European Production Order and not transfer the data, and the issuing authority shall withdraw the order.

3.   Before deciding to raise a ground for refusal, the enforcing authority notified pursuant to Article 8 shall contact the issuing authority by any appropriate means, in order to discuss the appropriate measures to take. On that basis, the issuing authority may decide to adapt or to withdraw the European Production Order. Where, following such discussions, no solution is reached, the enforcing authority notified pursuant to Article 8 may decide to raise grounds for refusal of the European Production Order and inform the issuing authority and the addressee accordingly.

4.   Where the enforcing authority decides to raise grounds for refusal pursuant to paragraph 1, it may indicate whether it objects to the transfer of all data requested in the European Production Order or whether the data may only be partly transferred or used under conditions specified by the enforcing authority.

5.   Where the power to waive the immunity or privilege as set out in paragraph 1, point (a), of this Article, lies with an authority of the enforcing State, the issuing authority may request the enforcing authority notified pursuant to Article 8 to contact that authority of the enforcing State to request it to exercise that power without delay. Where the power to waive the immunity or privilege lies with an authority of another Member State or a third country or with an international organisation, the issuing authority may request the authority concerned to exercise that power.

Article 13

User information and confidentiality

1.   The issuing authority shall, without undue delay, inform the person whose data are being requested about the production of data on the basis of a European Production Order.

2.   The issuing authority may, in accordance with the national law of the issuing State, delay or restrict informing, or omit to inform, the person whose data are being requested, to the extent that, and for as long as, the conditions in Article 13(3) of Directive (EU) 2016/680 are met, in which case the issuing authority shall indicate in the case file the reasons for the delay, restriction or omission. A short justification shall also be added in the EPOC.

3.   When informing the person whose data are being requested as referred to in paragraph 1 of this Article, the issuing authority shall include information about available remedies pursuant to Article 18.

4.   The addressees and, if different, the service providers shall take the necessary state-of-the-art operational and technical measures to ensure the confidentiality, secrecy and integrity of the EPOC or the EPOC-PR and of the data produced or preserved.

Article 14

Reimbursement of costs

1.   The service provider may claim reimbursement of its costs from the issuing State, if that possibility is provided for in the national law of the issuing State for domestic orders in similar situations, in accordance with the national law of that State. Member States shall inform the Commission about their national rules for reimbursement, and the Commission shall make them public.

2.   This Article shall not apply to the reimbursement of costs of the decentralised IT system as referred to in Article 25.

CHAPTER III

PENALTIES AND ENFORCEMENT

PENALTIES AND ENFORCEMENT

Article 15

Penalties

1.   Without prejudice to national laws providing for the imposition of criminal penalties, Member States shall lay down rules on pecuniary penalties applicable to infringements of Articles 10 and 11 and Article 13(4), in accordance with Article 16(10), and shall take all measures necessary to ensure that they are implemented. The pecuniary penalties provided for shall be effective, proportionate and dissuasive. Member States shall ensure that pecuniary penalties of up to 2 % of the total worldwide annual turnover of the service provider’s preceding financial year can be imposed. Member States shall, without delay, notify the Commission of those rules and of those measures, and shall notify it, without delay, of any subsequent amendment affecting them.

2.   Without prejudice to data protection obligations, service providers shall not be held liable in Member States for prejudice caused to their users or third parties that exclusively results from compliance in good faith with an EPOC or an EPOC-PR.

Article 16

Procedure for enforcement

1.   Where the addressee does not comply with an EPOC within the deadline or with an EPOC-PR, without providing reasons accepted by the issuing authority, and, if applicable, where the enforcing authority has not invoked any of the grounds for refusal as provided for in Article 12, the issuing authority may request the enforcing authority to enforce the European Production Order or the European Preservation Order.

For the purpose of enforcement as referred to in the first subparagraph, the issuing authority shall transfer the order concerned, the form set out in Annex III as completed by the addressee, and any relevant document in accordance with Article 19. The issuing authority shall translate the order concerned and any document to be transferred into one of the languages accepted by the enforcing State and shall inform the addressee of the transfer.

2.   Upon receipt, the enforcing authority shall without further formalities recognise and take the necessary measures for enforcement of:

| (a) | a European Production Order, unless the enforcing authority considers that one of the grounds provided for in paragraph 4 applies; or |
| --- | --- |

(a)

a European Production Order, unless the enforcing authority considers that one of the grounds provided for in paragraph 4 applies; or

| (b) | a European Preservation Order, unless the enforcing authority considers that one of the grounds provided for in paragraph 5 applies. |
| --- | --- |

(b)

a European Preservation Order, unless the enforcing authority considers that one of the grounds provided for in paragraph 5 applies.

The enforcing authority shall take the decision on the recognition of the order concerned without undue delay and no later than five working days after the receipt of that order.

3.   The enforcing authority shall formally require the addressee to comply with their relevant obligations, and shall inform the addressee of the following:

| (a) | the possibility of objecting to the execution of the order concerned by invoking one or more of the grounds listed in paragraph 4, points (a) to (f), or in paragraph 5, points (a) to (e); |
| --- | --- |

(a)

the possibility of objecting to the execution of the order concerned by invoking one or more of the grounds listed in paragraph 4, points (a) to (f), or in paragraph 5, points (a) to (e);

| (b) | the applicable penalties in the event of non-compliance; and |
| --- | --- |

(b)

the applicable penalties in the event of non-compliance; and

| (c) | the deadline for compliance or objection. |
| --- | --- |

(c)

the deadline for compliance or objection.

4.   Enforcement of the European Production Order may only be denied on the basis of one or more of the following grounds:

| (a) | the European Production Order has not been issued or validated by an issuing authority as provided for in Article 4; |
| --- | --- |

(a)

the European Production Order has not been issued or validated by an issuing authority as provided for in Article 4;

| (b) | the European Production Order has not been issued for an offence provided for in Article 5(4); |
| --- | --- |

(b)

the European Production Order has not been issued for an offence provided for in Article 5(4);

| (c) | the addressee could not comply with the EPOC because of a de facto impossibility due to circumstances not attributable to the addressee, or because the EPOC contains manifest errors; |
| --- | --- |

(c)

the addressee could not comply with the EPOC because of a de facto impossibility due to circumstances not attributable to the addressee, or because the EPOC contains manifest errors;

| (d) | the European Production Order does not concern data stored by or on behalf of the service provider at the time of receipt of the EPOC; |
| --- | --- |

(d)

the European Production Order does not concern data stored by or on behalf of the service provider at the time of receipt of the EPOC;

| (e) | the service is not covered by this Regulation; |
| --- | --- |

(e)

the service is not covered by this Regulation;

| (f) | the data requested are protected by immunities or privileges granted under the law of the enforcing State, or the data requested are covered by rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, which prevent execution or enforcement of the European Production Order; |
| --- | --- |

(f)

the data requested are protected by immunities or privileges granted under the law of the enforcing State, or the data requested are covered by rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, which prevent execution or enforcement of the European Production Order;

| (g) | in exceptional situations, based on the sole information contained in the EPOC, it is apparent that there are substantial grounds to believe, on the basis of specific and objective evidence, that the execution of the European Production Order would, in the particular circumstances of the case, entail a manifest breach of a relevant fundamental right as set out in Article 6 TEU and the Charter. |
| --- | --- |

(g)

in exceptional situations, based on the sole information contained in the EPOC, it is apparent that there are substantial grounds to believe, on the basis of specific and objective evidence, that the execution of the European Production Order would, in the particular circumstances of the case, entail a manifest breach of a relevant fundamental right as set out in Article 6 TEU and the Charter.

5.   The enforcement of the European Preservation Order may only be denied on the basis of one or more of the following grounds:

| (a) | the European Preservation Order has not been issued or validated by an issuing authority as provided for in Article 4; |
| --- | --- |

(a)

the European Preservation Order has not been issued or validated by an issuing authority as provided for in Article 4;

| (b) | the addressee could not comply with the EPOC-PR because of a de facto impossibility due to circumstances not attributable to the addressee, or because the EPOC-PR contains manifest errors; |
| --- | --- |

(b)

the addressee could not comply with the EPOC-PR because of a de facto impossibility due to circumstances not attributable to the addressee, or because the EPOC-PR contains manifest errors;

| (c) | the European Preservation Order does not concern data stored by or on behalf of the service provider at the time of receipt of the EPOC-PR; |
| --- | --- |

(c)

the European Preservation Order does not concern data stored by or on behalf of the service provider at the time of receipt of the EPOC-PR;

| (d) | the service is not covered by the scope of this Regulation; |
| --- | --- |

(d)

the service is not covered by the scope of this Regulation;

| (e) | the data requested are protected by immunities or privileges granted under the law of the enforcing State, or the data requested are covered by rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, which prevent execution or enforcement of the European Preservation Order; |
| --- | --- |

(e)

the data requested are protected by immunities or privileges granted under the law of the enforcing State, or the data requested are covered by rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, which prevent execution or enforcement of the European Preservation Order;

| (f) | in exceptional situations, based on the sole information contained in the EPOC-PR, it is apparent that there are substantial grounds to believe, on the basis of specific and objective evidence, that the execution of the European Preservation Order would, in the particular circumstances of the case, entail a manifest breach of a relevant fundamental right as set out in Article 6 TEU and the Charter. |
| --- | --- |

(f)

in exceptional situations, based on the sole information contained in the EPOC-PR, it is apparent that there are substantial grounds to believe, on the basis of specific and objective evidence, that the execution of the European Preservation Order would, in the particular circumstances of the case, entail a manifest breach of a relevant fundamental right as set out in Article 6 TEU and the Charter.

6.   In the event of an objection by the addressee as referred to in paragraph 3, point (a), the enforcing authority shall decide whether or not to enforce the European Production Order or the European Preservation Order on the basis of any information provided by the addressee and, if necessary, supplementary information obtained from the issuing authority in accordance with paragraph 7.

7.   Before deciding not to recognise or not to enforce the European Production Order or the European Preservation Order in accordance with paragraph 2 or 6, respectively, the enforcing authority shall consult the issuing authority by any appropriate means. Where appropriate, it shall request further information from the issuing authority. The issuing authority shall reply to any such request within five working days.

8.   The enforcing authority shall notify all of its decisions immediately to the issuing authority and to the addressee.

9.   If the enforcing authority obtains the data requested by a European Production Order from the addressee, it shall transmit those data to the issuing authority without undue delay.

10.   Where the addressee does not comply with its obligations under a recognised European Production Order or European Preservation Order the enforceability of which has been confirmed by the enforcing authority, that authority shall impose a pecuniary penalty in accordance with Article 15. An effective judicial remedy shall be available against a decision to impose a pecuniary penalty.

CHAPTER IV

CONFLICTS OF LAW AND REMEDIES

CONFLICTS OF LAW AND REMEDIES

Article 17

Review procedure in the event of conflicting obligations

1.   Where an addressee considers that compliance with a European Production Order would conflict with an obligation under the applicable law of a third country, it shall inform the issuing authority and the enforcing authority of its reasons for not executing the European Production Order, in accordance with the procedure set out in Article 10(8) and (9) using the form set out in Annex III (‘the reasoned objection’).

2.   The reasoned objection shall include all relevant details on the law of the third country, its applicability to the case at hand and the nature of the conflicting obligation. The reasoned objection shall not be based on:

| (a) | the fact that similar provisions concerning the conditions, formalities and procedures for issuing an order for production do not exist in the applicable law of the third country; or |
| --- | --- |

(a)

the fact that similar provisions concerning the conditions, formalities and procedures for issuing an order for production do not exist in the applicable law of the third country; or

| (b) | the sole fact that the data are stored in a third country. |
| --- | --- |

(b)

the sole fact that the data are stored in a third country.

The reasoned objection shall be filed no later than 10 days after the date on which the addressee received the EPOC.

3.   The issuing authority shall review the European Production Order on the basis of the reasoned objection and any input provided by the enforcing State. Where the issuing authority intends to uphold the European Production Order, it shall request a review by the competent court of the issuing State. The execution of the European Production Order shall be suspended pending completion of the review procedure.

4.   The competent court shall first assess whether a conflict of obligations exists, based on an examination of whether:

| (a) | the law of the third country is applicable based on the specific circumstances of the case in question; and |
| --- | --- |

(a)

the law of the third country is applicable based on the specific circumstances of the case in question; and

| (b) | the law of the third country, if applicable as referred to in point (a), prohibits disclosure of the data concerned when applied to the specific circumstances of the case in question. |
| --- | --- |

(b)

the law of the third country, if applicable as referred to in point (a), prohibits disclosure of the data concerned when applied to the specific circumstances of the case in question.

5.   Where the competent court finds that no relevant conflict of obligations within the meaning of paragraphs 1 and 4 exists, it shall uphold the European Production Order.

6.   Where the competent court establishes, based on the examination pursuant to paragraph 4, point (b), that the law of the third country prohibits disclosure of the data concerned, the competent court shall determine whether to uphold or lift the European Production Order. That assessment shall in particular be based on the following factors, while giving particular weight to the factors referred to in points (a) and (b):

| (a) | the interest protected by the relevant law of the third country, including fundamental rights as well as other fundamental interests preventing disclosure of the data, in particular national security interests of the third country; |
| --- | --- |

(a)

the interest protected by the relevant law of the third country, including fundamental rights as well as other fundamental interests preventing disclosure of the data, in particular national security interests of the third country;

| (b) | the degree of connection between the criminal case for which the European Production Order was issued and either of the two jurisdictions, as indicated inter alia by:






  (i) | the location, nationality and place of residence of the person whose data are being requested or of the victim or victims of the criminal offence in question; |
| --- | --- | --- |

(b)

the degree of connection between the criminal case for which the European Production Order was issued and either of the two jurisdictions, as indicated inter alia by:

(i)

the location, nationality and place of residence of the person whose data are being requested or of the victim or victims of the criminal offence in question;

| (ii) | the place where the criminal offence in question was committed; |
| --- | --- |

(ii)

the place where the criminal offence in question was committed;

| (c) | the degree of connection between the service provider and the third country in question; in this context, the data storage location alone shall not suffice for the purpose of establishing a substantial degree of connection; |
| --- | --- |

(c)

the degree of connection between the service provider and the third country in question; in this context, the data storage location alone shall not suffice for the purpose of establishing a substantial degree of connection;

| (d) | the interests of the investigating State in obtaining the evidence concerned, based on the seriousness of the offence and the importance of obtaining evidence in an expeditious manner; |
| --- | --- |

(d)

the interests of the investigating State in obtaining the evidence concerned, based on the seriousness of the offence and the importance of obtaining evidence in an expeditious manner;

| (e) | the possible consequences for the addressee or for the service provider of complying with the European Production Order, including the potential penalties. |
| --- | --- |

(e)

the possible consequences for the addressee or for the service provider of complying with the European Production Order, including the potential penalties.

7.   The competent court may request information from the competent authority of the third country, taking into account Directive (EU) 2016/680, in particular Chapter V thereof, and to the extent that such request does not obstruct the relevant criminal proceedings. Information shall, in particular, be requested from the competent authority of the third country by the issuing State where the conflict of obligations concerns fundamental rights or other fundamental interests of the third country related to national security and defence.

8.   If the competent court decides to lift the European Production Order, it shall inform the issuing authority and the addressee. If the competent court determines that the European Production Order is to be upheld, it shall inform the issuing authority and the addressee, and that addressee shall proceed with the execution of the European Production Order.

9.   For the purposes of the procedures under this Article, the time limits shall be calculated in accordance with the national law of the issuing authority.

10.   The issuing authority shall inform the enforcing authority about the outcome of the review procedure.

Article 18

Effective remedies

1.   Without prejudice to further legal remedies available in accordance with national law, any person whose data were requested via a European Production Order shall have the right to effective remedies against that order. Where that person is a suspect or an accused person, such person shall have the right to effective remedies during the criminal proceedings in which the data were being used. The right to effective remedies referred to in this paragraph shall be without prejudice to the right to seek remedies under Regulation (EU) 2016/679 and Directive (EU) 2016/680.

2.   The right to effective remedies shall be exercised before a court in the issuing State in accordance with its national law and shall include the possibility of challenging the legality of the measure, including its necessity and proportionality, without prejudice to the guarantees of fundamental rights in the enforcing State.

3.   For the purposes of Article 13(1), information shall be provided in due time about the possibilities under national law for seeking remedies and it shall be ensured that they can be exercised effectively.

4.   The same time limits or other conditions for seeking remedies in similar domestic cases shall apply for the purposes of this Regulation and in a way that guarantees that the persons concerned can exercise their right to those remedies effectively.

5.   Without prejudice to national procedural rules, the issuing State and any other Member State to which electronic evidence has been transmitted under this Regulation shall ensure that the rights of defence and fairness of the proceedings are respected when assessing evidence obtained through the European Production Order.

CHAPTER V

DECENTRALISED IT SYSTEM

DECENTRALISED IT SYSTEM

Article 19

Secure digital communication and data exchange between competent authorities and service providers and between competent authorities

1.   Written communication between competent authorities and designated establishments or legal representatives under this Regulation, including the exchange of forms provided for in this Regulation and the data requested under a European Production Order or a European Preservation Order, shall be carried out through a secure and reliable decentralised IT system (‘the decentralised IT system’).

2.   Each Member State shall ensure that the designated establishments or legal representatives of service providers located in that Member State are provided with access to the decentralised IT system via their respective national IT system.

3.   Service providers shall ensure that their designated establishments or legal representatives can use the decentralised IT system via the respective national IT system in order to receive EPOCs and EPOC-PRs, send the requested data to the issuing authority and communicate in any other way with the issuing authority and the enforcing authority, as provided for in this Regulation.

4.   Written communication between competent authorities under this Regulation, including the exchange of forms provided for in this Regulation, and of the requested data under the procedure for enforcement as provided for in Article 16, as well as written communication with competent Union agencies or bodies, shall be carried out through the decentralised IT system.

5.   Where communication through the decentralised IT system in accordance with paragraph 1 or 4 is not possible due to, for instance, the disruption of the decentralised IT system, the nature of the transmitted material, technical limitations, such as data size, legal constraints relating to the admissibility as evidence of the requested data or to forensic requirements applicable to the requested data, or exceptional circumstances, the transmission shall be carried out by the most appropriate alternative means, taking into account the need to ensure an exchange of information which is swift, secure and reliable, and allows the recipient to establish authenticity.

6.   Where a transmission is carried out by alternative means as provided for in paragraph 5, the originator of the transmission shall record the transmission, including, as appropriate, the date and time of transmission, the sender and recipient, the file name and its size, in the decentralised IT system, without undue delay.

Article 20

Legal effects of electronic documents

Documents transmitted as part of electronic communication shall not be denied legal effect or be considered inadmissible in the context of cross-border judicial procedures under this Regulation solely on the ground that they are in electronic form.

Article 21

Electronic signatures and seals

1.   The general legal framework for the use of trust services set out in Regulation (EU) No 910/2014 shall apply to electronic communication under this Regulation.

2.   Where a document transmitted as part of the electronic communication under Article 19(1) or (4) of this Regulation requires a seal or a signature in accordance with this Regulation, the document shall feature a qualified electronic seal or qualified electronic signature as defined in Regulation (EU) No 910/2014.

Article 22

Reference implementation software

1.   The Commission shall be responsible for the creation, maintenance and development of reference implementation software which Member States may choose to apply as their back-end system instead of a national IT system. The creation, maintenance and development of the reference implementation software shall be financed from the general budget of the Union.

2.   The Commission shall provide, maintain and support the reference implementation software free of charge.

Article 23

Costs of the decentralised IT system

1.   Each Member State shall bear the costs of the installation, operation and maintenance of the access points of the decentralised IT system for which that Member State is responsible.

2.   Each Member State shall bear the costs of establishing and adjusting its relevant national IT systems to make them interoperable with the access points, and shall bear the costs of administering, operating and maintaining those systems.

3.   Union agencies and bodies shall bear the costs of the installation, operation and maintenance of the components comprising the decentralised IT system under their responsibility.

4.   Union agencies and bodies shall bear the costs of establishing and adjusting their case-management systems to make them interoperable with the access points, and shall bear the costs of administering, operating and maintaining those systems.

5.   Service providers shall bear all costs necessary in order for them to successfully integrate or otherwise interact with the decentralised IT system.

Article 24

Transition period

Before the obligation to carry out written communication through the decentralised IT system referred to in Article 19 becomes applicable (‘transition period’), the written communication between competent authorities and designated establishments or legal representatives under this Regulation shall take place by the most appropriate alternative means, taking into account the need to ensure a swift, secure and reliable exchange of information. Where service providers, Member States or Union agencies or bodies have established dedicated platforms or other secure channels for the handling of requests for data by law enforcement authorities and judicial authorities, issuing authorities may also choose to transmit an EPOC or an EPOC-PR via those channels to designated establishments or legal representatives during the transition period.

Article 25

Implementing acts

1.   The Commission shall adopt implementing acts necessary for the establishment and use of the decentralised IT system for the purposes of this Regulation, setting out the following:

| (a) | the technical specifications defining the methods of communication by electronic means for the purposes of the decentralised IT system; |
| --- | --- |

(a)

the technical specifications defining the methods of communication by electronic means for the purposes of the decentralised IT system;

| (b) | the technical specifications for communication protocols; |
| --- | --- |

(b)

the technical specifications for communication protocols;

| (c) | the information security objectives and relevant technical measures ensuring minimum information security standards and a high level of cybersecurity for the processing and communication of information within the decentralised IT system; |
| --- | --- |

(c)

the information security objectives and relevant technical measures ensuring minimum information security standards and a high level of cybersecurity for the processing and communication of information within the decentralised IT system;

| (d) | the minimum availability objectives and possible related technical requirements for the services provided by the decentralised IT system. |
| --- | --- |

(d)

the minimum availability objectives and possible related technical requirements for the services provided by the decentralised IT system.

2.   The implementing acts referred to in paragraph 1 of this Article shall be adopted in accordance with the examination procedure referred to in Article 26.

3.   The implementing acts referred to in paragraph 1 shall be adopted by 18 August 2025.

Article 26

Committee procedure

1.   The Commission shall be assisted by a committee. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.

2.   Where reference is made to this paragraph, Article 5 of Regulation (EU) No 182/2011 shall apply.

CHAPTER VI

FINAL PROVISIONS

FINAL PROVISIONS

Article 27

Languages

Each Member State may decide, at any time, that it will accept translations of EPOCs and EPOC-PRs in one or more official languages of the Union in addition to their official language or languages, and shall indicate such a decision in a written declaration submitted to the Commission. The Commission shall make the declarations available to all Member States and to the European Judicial Network.

Article 28

Monitoring and reporting

1.   By 18 August 2026, the Commission shall establish a detailed programme for monitoring the outputs, results and impacts of this Regulation. The monitoring programme shall set out the means by which and the intervals at which the data will be collected. It shall specify the action to be taken by the Commission and by the Member States in collecting and analysing the data.

2.   In any event, from 18 August 2026, Member States shall collect from the relevant authorities comprehensive statistics and keep a record of such statistics. The data collected for the preceding calendar year shall be sent to the Commission each year by 31 March, and shall include:

| (a) | the number of EPOCs and EPOC-PRs issued, by the type of data requested, the addressees and the situation (emergency case or not); |
| --- | --- |

(a)

the number of EPOCs and EPOC-PRs issued, by the type of data requested, the addressees and the situation (emergency case or not);

| (b) | the number of EPOCs issued under emergency case derogations; |
| --- | --- |

(b)

the number of EPOCs issued under emergency case derogations;

| (c) | the number of fulfilled and non-fulfilled EPOCs and EPOC-PRs, by the type of data requested, the addressees and the situation (emergency case or not); |
| --- | --- |

(c)

the number of fulfilled and non-fulfilled EPOCs and EPOC-PRs, by the type of data requested, the addressees and the situation (emergency case or not);

| (d) | the number of notifications to enforcing authorities pursuant to Article 8, and the number of EPOCs that were refused, by the type of data requested, the addressees, the situation (emergency case or not) and the ground for refusal raised; |
| --- | --- |

(d)

the number of notifications to enforcing authorities pursuant to Article 8, and the number of EPOCs that were refused, by the type of data requested, the addressees, the situation (emergency case or not) and the ground for refusal raised;

| (e) | for fulfilled EPOCs, the average period between the moment the EPOC was issued and the moment the data requested were obtained, by the type of data requested, the addressees and the situation (emergency case or not); |
| --- | --- |

(e)

for fulfilled EPOCs, the average period between the moment the EPOC was issued and the moment the data requested were obtained, by the type of data requested, the addressees and the situation (emergency case or not);

| (f) | for fulfilled EPOC-PRs, the average period between the moment the EPOC-PR was issued and the moment the subsequent request for production was issued, by the type of data requested and the addressees; |
| --- | --- |

(f)

for fulfilled EPOC-PRs, the average period between the moment the EPOC-PR was issued and the moment the subsequent request for production was issued, by the type of data requested and the addressees;

| (g) | the number of European Production Orders or European Preservation Orders transmitted to and received by an enforcing State for enforcement, by the type of data requested, the addressees and the situation (emergency case or not) and the number of such orders fulfilled; |
| --- | --- |

(g)

the number of European Production Orders or European Preservation Orders transmitted to and received by an enforcing State for enforcement, by the type of data requested, the addressees and the situation (emergency case or not) and the number of such orders fulfilled;

| (h) | the number of legal remedies used against European Production Orders in the issuing State and in the enforcing State, by the type of data requested; |
| --- | --- |

(h)

the number of legal remedies used against European Production Orders in the issuing State and in the enforcing State, by the type of data requested;

| (i) | the number of cases where ex post validation in accordance with Article 4(5) was not granted; |
| --- | --- |

(i)

the number of cases where ex post validation in accordance with Article 4(5) was not granted;

| (j) | an overview of the costs claimed by service providers in relation to the execution of EPOCs or EPOC-PRs and the costs reimbursed by the issuing authorities. |
| --- | --- |

(j)

an overview of the costs claimed by service providers in relation to the execution of EPOCs or EPOC-PRs and the costs reimbursed by the issuing authorities.

3.   From 18 August 2026, for the data exchanges carried out via the decentralised IT system pursuant to Article 19(1), the statistics referred to in paragraph 2 of this Article may be programmatically collected by national portals. The reference implementation software referred to in Article 22 shall be technically equipped to provide for such functionality.

4.   Service providers may collect, keep a record of and publish statistics in accordance with existing data protection principles. If any such statistics are collected for the preceding calendar year, they may be sent to the Commission by 31 March and may, as far as possible, include:

| (a) | the number of EPOCs and EPOC-PRs received, by the type of data requested, the issuing State and situation (emergency case or not); |
| --- | --- |

(a)

the number of EPOCs and EPOC-PRs received, by the type of data requested, the issuing State and situation (emergency case or not);

| (b) | the number of fulfilled and non-fulfilled EPOCs and EPOC-PRs, by the type of data requested, the issuing State and the situation (emergency case or not); |
| --- | --- |

(b)

the number of fulfilled and non-fulfilled EPOCs and EPOC-PRs, by the type of data requested, the issuing State and the situation (emergency case or not);

| (c) | for fulfilled EPOCs, the average period needed to provide the requested data from the moment the EPOC was received to the moment the data were provided, by the type of data requested, the issuing State and the situation (emergency case or not); |
| --- | --- |

(c)

for fulfilled EPOCs, the average period needed to provide the requested data from the moment the EPOC was received to the moment the data were provided, by the type of data requested, the issuing State and the situation (emergency case or not);

| (d) | for fulfilled EPOC-PRs, the average period between the moment the EPOC-PR was issued and the moment the subsequent request for production was issued, by the type of data requested and the issuing State. |
| --- | --- |

(d)

for fulfilled EPOC-PRs, the average period between the moment the EPOC-PR was issued and the moment the subsequent request for production was issued, by the type of data requested and the issuing State.

5.   From 18 August 2027, the Commission shall, by 30 June each year, publish a report containing the data referred to in paragraphs 2 and 3 in a compiled form, subdivided into Member States and type of service provider.

Article 29

Amendments to the certificates and the forms

The Commission shall adopt delegated acts in accordance with Article 30 to amend Annexes I, II, III, V and VI in order to effectively address a possible need for improvements regarding the content of the EPOC and EPOC-PR forms and of the forms to be used for providing information on the impossibility of executing an EPOC or an EPOC-PR, for confirming the issuance of a request for production following a European Preservation Order and for extending the preservation of electronic evidence.

Article 30

Exercise of the delegation

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

2.   The power to adopt delegated acts referred to in Article 29 shall be conferred on the Commission for an indeterminate period of time from 18 August 2026.

3.   The delegation of power referred to in Article 29 may be revoked at any time by the European Parliament or by the Council. A decision to revoke shall put an end to the delegation of the power specified in that decision. It shall take effect the day following the publication of the decision in the Official Journal of the European Union or at a later date specified therein. It shall not affect the validity of any delegated acts already in force.

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

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

6.   A delegated act adopted pursuant to Article 29 shall enter into force only if no objection has been expressed either by the European Parliament or the Council within a period of two 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 the Council.

Article 31

Notifications to the Commission

1.   By 18 August 2025 each Member State shall notify the Commission of:

| (a) | the authority or authorities which, in accordance with its national law, are competent in accordance with Article 4 to issue, validate or transmit European Production Orders and European Preservation Orders or the notifications thereof; |
| --- | --- |

(a)

the authority or authorities which, in accordance with its national law, are competent in accordance with Article 4 to issue, validate or transmit European Production Orders and European Preservation Orders or the notifications thereof;

| (b) | the authority or authorities which are competent to receive notifications pursuant to Article 8, and to enforce European Production Orders and European Preservation Orders on behalf of another Member State, in accordance with Article 16; |
| --- | --- |

(b)

the authority or authorities which are competent to receive notifications pursuant to Article 8, and to enforce European Production Orders and European Preservation Orders on behalf of another Member State, in accordance with Article 16;

| (c) | the authority or authorities which are competent to deal with reasoned objections by addressees in accordance with Article 17; |
| --- | --- |

(c)

the authority or authorities which are competent to deal with reasoned objections by addressees in accordance with Article 17;

| (d) | the languages accepted for the notification and the transmission of an EPOC, an EPOC-PR, a European Production Order or a European Preservation Order in the case of enforcement, in accordance with Article 27. |
| --- | --- |

(d)

the languages accepted for the notification and the transmission of an EPOC, an EPOC-PR, a European Production Order or a European Preservation Order in the case of enforcement, in accordance with Article 27.

2.   The Commission shall make the information received under this Article publicly available, either on a dedicated website or on the website of the European Judicial Network in criminal matters referred to in Article 9 of Council Decision 2008/976/JHA (33).

Article 32

Relationship to other instruments, agreements and arrangements

1.   This Regulation does not affect Union or other international instruments, agreements and arrangements on the gathering of evidence that falls within the scope of this Regulation.

2.   Member States shall notify the Commission by 18 August 2026 of any existing instruments, agreements and arrangements as referred to in paragraph 1 which they will continue to apply. Member States shall also notify the Commission within three months of the signing of any new agreement or arrangement as referred to in paragraph 1.

Article 33

Evaluation

By 18 August 2029, the Commission shall carry out an evaluation of this Regulation. The Commission shall transmit an evaluation report to the European Parliament, the Council, the European Data Protection Supervisor and the European Union Agency for Fundamental Rights. That evaluation report shall include an assessment of the application of this Regulation and of the results that have been achieved with regard to its objectives, as well as an assessment of this Regulation’s impact on fundamental rights. The evaluation shall be conducted in accordance with the Commission’s better regulation guidelines. Member States shall provide the Commission with the information necessary for the preparation of the evaluation report.

Article 34

Entry into force and application

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

2.   It shall apply from 18 August 2026.

However, the obligation for competent authorities and service providers to use the decentralised IT system established in Article 19 for written communication under this Regulation shall apply from one year after the adoption of the implementing acts referred to in Article 25.

This Regulation shall be binding in its entirety and directly applicable in the Member States in accordance with the Treaties.

Done at Strasbourg, 12 July 2023.

For the European Parliament

The President

R. METSOLA

For the Council

The President

P. NAVARRO RÍOS

---

(1)  OJ C 367, 10.10.2018, p. 88.

1

(2)  Position of the European Parliament of 13 June 2023 (not yet published in the Official Journal) and decision of the Council of 27 June 2023.

2

(3)  OJ C 346, 27.9.2018, p. 29.

3

(4)  Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (OJ L 119, 4.5.2016, p. 1).

4

(5)  Directive (EU) 2016/680 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data by competent authorities for the purposes of the prevention, investigation, detection or prosecution of criminal offences or the execution of criminal penalties, and on the free movement of such data, and repealing Council Framework Decision 2008/977/JHA (OJ L 119, 4.5.2016, p. 89).

5

(6)  Directive 2014/41/EU of the European Parliament and of the Council of 3 April 2014 regarding the European Investigation Order in criminal matters (OJ L 130, 1.5.2014, p. 1).

6

(7)  Convention established by the Council in accordance with Article 34 of the Treaty on European Union, on Mutual Assistance in Criminal Matters between the Member States of the European Union (OJ C 197, 12.7.2000, p. 3).

7

(8)  Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications) (OJ L 201, 31.7.2002, p. 37).

8

(9)  Directive 2010/64/EU of the European Parliament and of the Council of 20 October 2010 on the right to interpretation and translation in criminal proceedings (OJ L 280, 26.10.2010, p. 1).

9

(10)  Directive 2012/13/EU of the European Parliament and of the Council of 22 May 2012 on the right to information in criminal proceedings (OJ L 142, 1.6.2012, p. 1).

10

(11)  Directive 2013/48/EU of the European Parliament and of the Council of 22 October 2013 on the right of access to a lawyer in criminal proceedings and in European arrest warrant proceedings, and on the right to have a third party informed upon deprivation of liberty and to communicate with third persons and with consular authorities while deprived of liberty (OJ L 294, 6.11.2013, p. 1).

11

(12)  Directive (EU) 2016/343 of the European Parliament and of the Council of 9 March 2016 on the strengthening of certain aspects of the presumption of innocence and of the right to be present at the trial in criminal proceedings (OJ L 65, 11.3.2016, p. 1).

12

(13)  Directive (EU) 2016/800 of the European Parliament and of the Council of 11 May 2016 on procedural safeguards for children who are suspects or accused persons in criminal proceedings (OJ L 132, 21.5.2016, p. 1).

13

(14)  Directive (EU) 2016/1919 of the European Parliament and of the Council of 26 October 2016 on legal aid for suspects and accused persons in criminal proceedings and for requested persons in European arrest warrant proceedings (OJ L 297, 4.11.2016, p. 1).

14

(15)  Directive (EU) 2018/1972 of the European Parliament and of the Council of 11 December 2018 establishing the European Electronic Communications Code (OJ L 321, 17.12.2018, p. 36).

15

(16)  Directive (EU) 2015/1535 of the European Parliament and of the Council of 9 September 2015 laying down a procedure for the provision of information in the field of technical regulations and of rules on Information Society services (OJ L 241, 17.9.2015, p. 1).

16

(17)  Regulation (EU) No 1215/2012 of the European Parliament and of the Council of 12 December 2012 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (OJ L 351, 20.12.2012, p. 1).

17

(18)  Regulation (EU) 2018/302 of the European Parliament and of the Council of 28 February 2018 on addressing unjustified geo-blocking and other forms of discrimination based on customers’ nationality, place of residence or place of establishment within the internal market and amending Regulations (EC) No 2006/2004 and (EU) 2017/2394 and Directive 2009/22/EC (OJ L 60 I, 2.3.2018, p. 1).

18

(19)  Council Directive 2008/114/EC of 8 December 2008 on the identification and designation of European critical infrastructures and the assessment of the need to improve their protection (OJ L 345, 23.12.2008, p. 75).

19

(20)  Directive (EU) 2017/541 of the European Parliament and of the Council of 15 March 2017 on combating terrorism and replacing Council Framework Decision 2002/475/JHA and amending Council Decision 2005/671/JHA (OJ L 88, 31.3.2017, p. 6).

20

(21)  Directive 2011/93/EU of the European Parliament and of the Council of 13 December 2011 on combating the sexual abuse and sexual exploitation of children and child pornography, and replacing Council Framework Decision 2004/68/JHA (OJ L 335, 17.12.2011, p. 1).

21

(22)  Council Framework Decision 2009/948/JHA of 30 November 2009 on prevention and settlement of conflicts of exercise of jurisdiction in criminal proceedings (OJ L 328, 15.12.2009, p. 42).

22

(23)  Directive (EU) 2023/1544 of the European Parliament and of the Council of 12 July 2023 laying down harmonised rules on the designation of designated establishments and the appointment of legal representatives for the purpose of gathering electronic evidence in criminal proceedings (see page 181 of this Official Journal).

23

(24)  Regulation (EU) 2022/850 of the European Parliament and of the Council of 30 May 2022 on a computerised system for the cross-border electronic exchange of data in the area of judicial cooperation in civil and criminal matters (e-CODEX system), and amending Regulation (EU) 2018/1726 (OJ L 150, 1.6.2022, p. 1).

24

(25)  Regulation (EU) No 910/2014 of the European Parliament and of the Council of 23 July 2014 on electronic identification and trust services for electronic transactions in the internal market and repealing Directive 1999/93/EC (OJ L 257, 28.8.2014, p. 73).

25

(26)  Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39).

26

(27)  Regulation (EU) No 182/2011 of the European Parliament and of the Council of 16 February 2011 laying down the rules and general principles concerning mechanisms for control by the Member States of the Commission’s exercise of implementing powers (OJ L 55, 28.2.2011, p. 13).

27

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

28

(29)  OJ C 32, 31.1.2020, p. 11.

29

(30)  Directive 2006/123/EC of the European Parliament and of the Council of 12 December 2006 on services in the internal market (OJ L 376, 27.12.2006, p. 36).

30

(31)  Directive 2013/40/EU of the European Parliament and of the Council of 12 August 2013 on attacks against information systems and replacing Council Framework Decision 2005/222/JHA (OJ L 218, 14.8.2013, p. 8).

31

(32)  Directive (EU) 2019/713 of the European Parliament and of the Council of 17 April 2019 on combating fraud and counterfeiting of non-cash means of payment and replacing Council Framework Decision 2001/413/JHA (OJ L 123, 10.5.2019, p. 18).

32

(33)  Council Decision 2008/976/JHA of 16 December 2008 on the European Judicial Network (OJ L 348, 24.12.2008, p. 130).

33

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ANNEX I

EUROPEAN PRODUCTION ORDER CERTIFICATE (EPOC) FOR THE PRODUCTION OF ELECTRONIC EVIDENCE

| Under Regulation (EU) 2023/1543 of the European Parliament and of the Council (1) the addressee of this European Production Order Certificate (EPOC) must execute this EPOC and must transmit the requested data in accordance with the deadline(s) specified in Section C of this EPOC to the competent authority indicated under point (a) of Section L of this EPOC.
  In all cases, the addressee must, upon receipt of the EPOC, act expeditiously to preserve the data requested, unless the information in the EPOC does not allow it to identify those data. The data must continue to be preserved until the data are produced or until the issuing authority or, where applicable, the enforcing authority, indicates that it is no longer necessary to preserve and produce the data.
  The addressee must take the necessary measures to ensure the confidentiality, secrecy and integrity of the EPOC and of the data produced or preserved. |
| --- |

Under Regulation (EU) 2023/1543 of the European Parliament and of the Council (1) the addressee of this European Production Order Certificate (EPOC) must execute this EPOC and must transmit the requested data in accordance with the deadline(s) specified in Section C of this EPOC to the competent authority indicated under point (a) of Section L of this EPOC.

In all cases, the addressee must, upon receipt of the EPOC, act expeditiously to preserve the data requested, unless the information in the EPOC does not allow it to identify those data. The data must continue to be preserved until the data are produced or until the issuing authority or, where applicable, the enforcing authority, indicates that it is no longer necessary to preserve and produce the data.

The addressee must take the necessary measures to ensure the confidentiality, secrecy and integrity of the EPOC and of the data produced or preserved.

| SECTION A: Issuing/validating authority
  Issuing State:...
  Issuing authority:...
  Validating authority (where applicable):...
  NB: details of issuing and validating authority to be provided at the end (Sections I and J)...
  File number of the issuing authority:...
  File number of the validating authority:... |
| --- |

SECTION A: Issuing/validating authority

Issuing State:...

Issuing authority:...

Validating authority (where applicable):...

NB: details of issuing and validating authority to be provided at the end (Sections I and J)...

File number of the issuing authority:...

File number of the validating authority:...

| SECTION B: Addressee
  Addressee:... | Designated establishment |
| --- | --- |

SECTION B: Addressee

Addressee:...

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Designated establishment

| | Legal representative |
| --- | --- |

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Legal representative

| | This order is issued in an emergency case to the specified addressee because the designated establishment or the legal representative of a service provider did not react to the EPOC within the deadlines set out in Article 10 of Regulation (EU) 2023/1543 or has not been designated or appointed within the deadlines set out in Directive (EU) 2023/1544 of the European Parliament and of the Council (2) |
| --- | --- |

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This order is issued in an emergency case to the specified addressee because the designated establishment or the legal representative of a service provider did not react to the EPOC within the deadlines set out in Article 10 of Regulation (EU) 2023/1543 or has not been designated or appointed within the deadlines set out in Directive (EU) 2023/1544 of the European Parliament and of the Council (2)

Address:...

Tel. No/Fax No/email (if known):...

Contact person (if known):...

File number of the addressee (if known):...

Service provider concerned (if different from addressee):...

Any other relevant information:...

| SECTION C: Deadlines (tick the appropriate box and complete, if necessary)
  Upon receipt of the EPOC, the data requested must be produced: | as soon as possible and at the latest within 10 days (no notification to the enforcing authority) |
| --- | --- |

SECTION C: Deadlines (tick the appropriate box and complete, if necessary)

Upon receipt of the EPOC, the data requested must be produced:

Image 5

as soon as possible and at the latest within 10 days (no notification to the enforcing authority)

| | in the case of notification to the enforcing authority: at the end of the 10 days, where the enforcing authority has not raised a ground for refusal within that time period, or upon confirmation by the enforcing authority before the end of the 10 days that it will not raise a ground for refusal, as soon as possible and at the latest at the end of the 10 days |
| --- | --- |

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in the case of notification to the enforcing authority: at the end of the 10 days, where the enforcing authority has not raised a ground for refusal within that time period, or upon confirmation by the enforcing authority before the end of the 10 days that it will not raise a ground for refusal, as soon as possible and at the latest at the end of the 10 days

| | without undue delay and at the latest within eight hours in an emergency case involving: | an imminent threat to the life, physical integrity or safety of a person |
| --- | --- | --- |

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without undue delay and at the latest within eight hours in an emergency case involving:

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an imminent threat to the life, physical integrity or safety of a person

| | an imminent threat to a critical infrastructure as defined in Article 2, point (a), of Council Directive 2008/114/EC (3), where the disruption or destruction of such critical infrastructure would result in an imminent threat to the life, physical integrity or safety of a person, including through serious harm to the provision of basic supplies to the population or to the exercise of the core functions of the State. |
| --- | --- |

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an imminent threat to a critical infrastructure as defined in Article 2, point (a), of Council Directive 2008/114/EC (3), where the disruption or destruction of such critical infrastructure would result in an imminent threat to the life, physical integrity or safety of a person, including through serious harm to the provision of basic supplies to the population or to the exercise of the core functions of the State.

Please indicate whether there are any procedural or other deadlines which should be taken into account for the execution of this EPOC:...

Please provide additional information where relevant:...

| SECTION D: Relation to a previous production/preservation request (tick and complete if applicable and available)




The requested data were totally/partially preserved in accordance with an earlier request for preservation
  issued by ... (indicate the authority and the file number)
  on ... (indicate the date of issuance of the request)
  and transmitted on ... (indicate the date of transmission of the request)
  to ... (indicate the service provider/ legal representative/ designated establishment/competent authority to which the request was transmitted and, if available, the file number given by the addressee).




The requested data are related to an earlier request for production
  issued by ... (indicate the authority and the file number)
  on ... (indicate the date of issuance of the request)
  and transmitted on ... (indicate the date of transmission of the request)
  to ... (indicate the service provider/ legal representative/ designated establishment/competent authority to which it was transmitted and, if available, the file number given by the addressee).
  Any other relevant information:... |
| --- |

SECTION D: Relation to a previous production/preservation request (tick and complete if applicable and available)

Image 10

The requested data were totally/partially preserved in accordance with an earlier request for preservation

issued by ... (indicate the authority and the file number)

on ... (indicate the date of issuance of the request)

and transmitted on ... (indicate the date of transmission of the request)

to ... (indicate the service provider/ legal representative/ designated establishment/competent authority to which the request was transmitted and, if available, the file number given by the addressee).

Image 11

The requested data are related to an earlier request for production

issued by ... (indicate the authority and the file number)

on ... (indicate the date of issuance of the request)

and transmitted on ... (indicate the date of transmission of the request)

to ... (indicate the service provider/ legal representative/ designated establishment/competent authority to which it was transmitted and, if available, the file number given by the addressee).

Any other relevant information:...

| SECTION E: Information to support identification of the requested data (complete to the extent this information is known and necessary to identify the data)
  IP address(es) and timestamps (incl. date and time zone):...
  Tel No:...
  Email address(es):...
  IMEI number(s):...
  MAC address(es):...
  The user(s) or other unique identifier(s) such as user name(s), login ID(s) or account name(s):...
  Name(s) of the relevant service(s):...
  Other:...
  If applicable, the time range of the data for which production is requested:
  ......




Additional information if needed:... |
| --- |

SECTION E: Information to support identification of the requested data (complete to the extent this information is known and necessary to identify the data)

IP address(es) and timestamps (incl. date and time zone):...

Tel No:...

Email address(es):...

IMEI number(s):...

MAC address(es):...

The user(s) or other unique identifier(s) such as user name(s), login ID(s) or account name(s):...

Name(s) of the relevant service(s):...

Other:...

If applicable, the time range of the data for which production is requested:

......

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Additional information if needed:...

| SECTION F: Electronic evidence to be produced
  This EPOC concerns (tick the relevant box(es)):






  (a) | | subscriber data: |
| --- | --- | --- |

SECTION F: Electronic evidence to be produced

This EPOC concerns (tick the relevant box(es)):

(a)

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subscriber data:

| | name, date of birth, postal or geographic address, contact information (email address, phone number) and other relevant information pertaining to the identity of the user/subscription holder |
| --- | --- |

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name, date of birth, postal or geographic address, contact information (email address, phone number) and other relevant information pertaining to the identity of the user/subscription holder

| | date and time of initial registration, type of registration, copy of a contract, means of verification of identity at the moment of registration, copies of documents provided by the subscriber |
| --- | --- |

Image 15

date and time of initial registration, type of registration, copy of a contract, means of verification of identity at the moment of registration, copies of documents provided by the subscriber

| | type of service and its duration, including identifier(s) used by or provided to the subscriber at the moment of initial registration or activation (e.g. phone number, SIM-card number, MAC address) and associated device(s) |
| --- | --- |

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type of service and its duration, including identifier(s) used by or provided to the subscriber at the moment of initial registration or activation (e.g. phone number, SIM-card number, MAC address) and associated device(s)

| | profile information (e.g. user name, screen name, profile photo) |
| --- | --- |

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profile information (e.g. user name, screen name, profile photo)

| | data on the validation of the use of service, such as an alternative email address provided by the user/subscription holder |
| --- | --- |

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data on the validation of the use of service, such as an alternative email address provided by the user/subscription holder

| | debit or credit card information (provided by the user for billing purposes), including other means of payment |
| --- | --- |

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debit or credit card information (provided by the user for billing purposes), including other means of payment

| | PUK-codes |
| --- | --- |

Image 20

PUK-codes

| | other:... |
| --- | --- |

Image 21

other:...

| (b) | data requested for the sole purpose of identifying the user as defined in Article 3, point (10), of Regulation (EU) 2023/1543: | IP connection records such as IP addresses / logs / access numbers together with other technical identifiers, such as source ports and time stamps or equivalent, the user ID and the interface used in the context of the use of the service, please specify, if necessary:... |
| --- | --- | --- |

(b)

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data requested for the sole purpose of identifying the user as defined in Article 3, point (10), of Regulation (EU) 2023/1543:

Image 23

IP connection records such as IP addresses / logs / access numbers together with other technical identifiers, such as source ports and time stamps or equivalent, the user ID and the interface used in the context of the use of the service, please specify, if necessary:...

| | time range of the data for which production is requested (if different from Section E):... |
| --- | --- |

Image 24

time range of the data for which production is requested (if different from Section E):...

| | other:... |
| --- | --- |

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other:...

| (c) | traffic data:






  (i) | for (mobile) telephony: | outgoing (A) and incoming (B) identifiers (phone number, IMSI, IMEI) |
| --- | --- | --- | --- |

(c)

Image 26

traffic data:

(i)

for (mobile) telephony:

Image 27

outgoing (A) and incoming (B) identifiers (phone number, IMSI, IMEI)

| | time and duration of connection(s) |
| --- | --- |

Image 28

time and duration of connection(s)

| | call attempt(s) |
| --- | --- |

Image 29

call attempt(s)

| | base station ID, including geographical information (X/Y coordinates), at the time of initiation and termination of the connection |
| --- | --- |

Image 30

base station ID, including geographical information (X/Y coordinates), at the time of initiation and termination of the connection

| | bearer / teleservice used (e.g. UMTS, GPRS) |
| --- | --- |

Image 31

bearer / teleservice used (e.g. UMTS, GPRS)

| | other:... |
| --- | --- |

Image 32

other:...

| (ii) | for internet: | routing information (source IP address, destination IP address(es), port number(s), browser, email header information, message-ID) |
| --- | --- | --- |

(ii)

for internet:

Image 33

routing information (source IP address, destination IP address(es), port number(s), browser, email header information, message-ID)

| | base station ID, including geographical information (X/Y coordinates), at the time of initiation and termination of the connection(s) |
| --- | --- |

Image 34

base station ID, including geographical information (X/Y coordinates), at the time of initiation and termination of the connection(s)

| | volume of data |
| --- | --- |

Image 35

volume of data

| | date and time of connection(s) |
| --- | --- |

Image 36

date and time of connection(s)

| | duration of connection or access session(s) |
| --- | --- |

Image 37

duration of connection or access session(s)

| | other:... |
| --- | --- |

Image 38

other:...

| (iii) | for hosting: | logfiles |
| --- | --- | --- |

(iii)

for hosting:

Image 39

logfiles

| | tickets |
| --- | --- |

Image 40

tickets

| | other:... |
| --- | --- |

Image 41

other:...

| (iv) | other: | purchase history |
| --- | --- | --- |

(iv)

other:

Image 42

purchase history

| | prepaid balance charging history |
| --- | --- |

Image 43

prepaid balance charging history

| | other:... |
| --- | --- |

Image 44

other:...

| (d) | | content data: |
| --- | --- | --- |

(d)

Image 45

content data:

| | (web)mailbox dump |
| --- | --- |

Image 46

(web)mailbox dump

| | online storage dump (user-generated data) |
| --- | --- |

Image 47

online storage dump (user-generated data)

| | pagedump |
| --- | --- |

Image 48

pagedump

| | message log/backup |
| --- | --- |

Image 49

message log/backup

| | voicemail dump |
| --- | --- |

Image 50

voicemail dump

| | server contents |
| --- | --- |

Image 51

server contents

| | device backup |
| --- | --- |

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device backup

| | contact list |
| --- | --- |

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contact list

| | other:... |
| --- | --- |

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other:...

| | Additional information in case necessary to (further) specify or limit the range of the requested data:... |
| --- | --- |

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Additional information in case necessary to (further) specify or limit the range of the requested data:...

| SECTION G: Information on the underlying conditions






  (a) | This EPOC concerns (tick the relevant box(es)): | criminal proceedings in respect of a criminal offence(s); |
| --- | --- | --- |

SECTION G: Information on the underlying conditions

(a)

This EPOC concerns (tick the relevant box(es)):

Image 56

criminal proceedings in respect of a criminal offence(s);

| | execution of a custodial sentence or a detention order of at least four months following criminal proceedings, imposed by a decision that was not rendered in absentia, in cases where the person convicted absconded from justice. |
| --- | --- |

Image 57

execution of a custodial sentence or a detention order of at least four months following criminal proceedings, imposed by a decision that was not rendered in absentia, in cases where the person convicted absconded from justice.

| (b) | Nature and legal classification of the offence(s) in relation to which the EPOC is issued and the applicable statutory provision (4):
  ...... |
| --- | --- |

(b)

Nature and legal classification of the offence(s) in relation to which the EPOC is issued and the applicable statutory provision (4):

......

| (c) | This EPOC is issued for traffic data which are not requested for the sole purpose of identifying the user, or for content data, or both, and concerns (tick the relevant box(es), if applicable): | criminal offence(s) punishable in the issuing State by a custodial sentence of a maximum of at least three years; |
| --- | --- | --- |

(c)

This EPOC is issued for traffic data which are not requested for the sole purpose of identifying the user, or for content data, or both, and concerns (tick the relevant box(es), if applicable):

Image 58

criminal offence(s) punishable in the issuing State by a custodial sentence of a maximum of at least three years;

| | one or more of the following offences, if wholly or partly committed by means of an information system: | offence(s) as defined in Articles 3 to 8 of Directive (EU) 2019/713 of the European Parliament and of the Council (5); |
| --- | --- | --- |

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one or more of the following offences, if wholly or partly committed by means of an information system:

Image 60

offence(s) as defined in Articles 3 to 8 of Directive (EU) 2019/713 of the European Parliament and of the Council (5);

| | offence(s) as defined in Articles 3 to 7 of Directive 2011/93/EU of the European Parliament and of the Council (6); |
| --- | --- |

Image 61

offence(s) as defined in Articles 3 to 7 of Directive 2011/93/EU of the European Parliament and of the Council (6);

| | offence(s) as defined in Articles 3 to 8 of Directive 2013/40/EU of the European Parliament and of the Council (7); |
| --- | --- |

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offence(s) as defined in Articles 3 to 8 of Directive 2013/40/EU of the European Parliament and of the Council (7);

| | criminal offences as defined in Articles 3 to 12 and 14 of Directive (EU) 2017/541 of the European Parliament and of the Council (8). |
| --- | --- |

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criminal offences as defined in Articles 3 to 12 and 14 of Directive (EU) 2017/541 of the European Parliament and of the Council (8).

| (d) | Controller/processor:
  European Production Orders shall be addressed to service providers acting as controllers. By way of exception, the European Production Order may be addressed directly to the service provider that processes the data on behalf of the controller.
  Tick where appropriate: | This EPOC is addressed to the service provider acting as controller. |
| --- | --- | --- |

(d)

Controller/processor:

European Production Orders shall be addressed to service providers acting as controllers. By way of exception, the European Production Order may be addressed directly to the service provider that processes the data on behalf of the controller.

Tick where appropriate:

Image 64

This EPOC is addressed to the service provider acting as controller.

| | This EPOC is addressed to the service provider who is or, in the case of situations where the controller cannot be identified, is possibly processing the data on behalf of the controller, because: | the controller cannot be identified despite reasonable efforts on the part of the issuing authority |
| --- | --- | --- |

Image 65

This EPOC is addressed to the service provider who is or, in the case of situations where the controller cannot be identified, is possibly processing the data on behalf of the controller, because:

Image 66

the controller cannot be identified despite reasonable efforts on the part of the issuing authority

| | addressing the controller might be detrimental to the investigation |
| --- | --- |

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addressing the controller might be detrimental to the investigation

If this EPOC is addressed to the service provider processing data on behalf of the controller:

| | the processor shall inform the controller about the data production |
| --- | --- |

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the processor shall inform the controller about the data production

| | the processor shall not inform the controller about the data production until further notice, as it would be detrimental to the investigation. Please provide a short justification (9):... |
| --- | --- |

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the processor shall not inform the controller about the data production until further notice, as it would be detrimental to the investigation. Please provide a short justification (9):...

| (e) | Any other relevant information:... |
| --- | --- |

(e)

Any other relevant information:...

| SECTION H: Information to the user
  The addressee shall in any event refrain from informing the person whose data are being requested. It is the responsibility of the issuing authority to inform that person, without undue delay, about the data production.
  Please note that (tick where appropriate): | the issuing authority will delay informing the person whose data are being requested, for as long as one or several of the following conditions are met: | it is necessary to avoid obstructing official or legal inquiries, investigations or procedures; |
| --- | --- | --- |

SECTION H: Information to the user

The addressee shall in any event refrain from informing the person whose data are being requested. It is the responsibility of the issuing authority to inform that person, without undue delay, about the data production.

Please note that (tick where appropriate):

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the issuing authority will delay informing the person whose data are being requested, for as long as one or several of the following conditions are met:

Image 71

it is necessary to avoid obstructing official or legal inquiries, investigations or procedures;

| | it is necessary to avoid prejudicing the prevention, detection, investigation or prosecution of criminal offences or the execution of criminal penalties; |
| --- | --- |

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it is necessary to avoid prejudicing the prevention, detection, investigation or prosecution of criminal offences or the execution of criminal penalties;

| | it is necessary to protect public security; |
| --- | --- |

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it is necessary to protect public security;

| | it is necessary to protect national security; |
| --- | --- |

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it is necessary to protect national security;

| | it is necessary to protect the rights and freedoms of others. |
| --- | --- |

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it is necessary to protect the rights and freedoms of others.

| SECTION I: Details of the issuing authority
  The type of issuing authority (tick the relevant box/boxes): | judge, court, or investigating judge |
| --- | --- |

SECTION I: Details of the issuing authority

The type of issuing authority (tick the relevant box/boxes):

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judge, court, or investigating judge

| | public prosecutor |
| --- | --- |

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public prosecutor

| | other competent authority as defined by the issuing State |
| --- | --- |

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other competent authority as defined by the issuing State

If validation is necessary, please fill in also Section J.

Please note that (tick if applicable):

| | This EPOC was issued for subscriber data, or for data requested for the sole purpose of identifying the user, in a validly established emergency case without prior validation, because the validation could not have been obtained in time, or both. The issuing authority confirms that it could issue an order in a similar domestic case without validation, and that ex post validation will be sought without undue delay, at the latest within 48 hours (please note that the addressee will not be informed). |
| --- | --- |

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Details of the issuing authority, or its representative, or both, certifying the contents of the EPOC as accurate and correct:

Name of authority:...

Name of its representative:...

Post held (title/grade):...

File number:...

Address:...

Tel. No: (country code) (area/city code)...

Fax No: (country code) (area/city code)...

Email:...

Language(s) spoken:...

If different from above, authority/contact point (e.g. central authority) which can be contacted for any question related to the execution of the EPOC:

Name of the authority/name:...

Address:...

Tel. No: (country code) (area/city code)...

Fax No: (country code) (area/city code)...

Email:...

Signature of the issuing authority or its representative certifying the content of the EPOC as accurate and correct:

Date:...

Signature (10):...

| SECTION J: Details of the validating authority (complete if applicable)
  The type of validating authority | judge, court or investigating judge |
| --- | --- |

SECTION J: Details of the validating authority (complete if applicable)

The type of validating authority

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judge, court or investigating judge

| | public prosecutor |
| --- | --- |

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public prosecutor

Details of the validating authority, or its representative, or both, certifying the contents of the EPOC as accurate and correct:

Name of the authority:...

Name of its representative:...

Post held (title/grade):...

File number:...

Address:...

Tel. No: (country code) (area/city code)...

Fax No: (country code) (area/city code)...

Email:...

Language(s) spoken:...

Date:...

Signature (11):...

| SECTION K: Notification and details of the notified enforcing authority (if applicable)




This EPOC is notified to the following enforcing authority: ...
  Please provide contact details of the notified enforcing authority (if available):
  Name of the enforcing authority:...
  Address:...
  Tel. No: (country code) (area/city code)...
  Fax No: (country code) (area/city code)...
  Email:... |
| --- |

SECTION K: Notification and details of the notified enforcing authority (if applicable)

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This EPOC is notified to the following enforcing authority: ...

Please provide contact details of the notified enforcing authority (if available):

Name of the enforcing authority:...

Address:...

Tel. No: (country code) (area/city code)...

Fax No: (country code) (area/city code)...

Email:...

| SECTION L: Transfer of data






  (a) | Authority to whom the data have to be transferred | issuing authority, |
| --- | --- | --- |

SECTION L: Transfer of data

(a)

Authority to whom the data have to be transferred

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issuing authority,

| | validating authority |
| --- | --- |

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validating authority

| | other competent authority (e.g. central authority)
  Name and contact details:... |
| --- | --- |

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other competent authority (e.g. central authority)

Name and contact details:...

| (b) | Preferred format in which or means by which the data have to be transferred (if applicable):... |
| --- | --- |

(b)

Preferred format in which or means by which the data have to be transferred (if applicable):...

| SECTION M: Further information to be included (not to be sent to the addressee ‒ to be provided to the enforcing authority in the event that notification to the enforcing authority is required)
  The grounds for determining that the European Preservation Order fulfils the conditions of necessity and proportionality:
  ......
  A summary description of the case:
  ......
  Is the offence for which the European Production Order is being issued punishable in the issuing State by a custodial sentence or a detention order for a maximum period of at least three years and included in the list of offences set out below (tick the relevant box/boxes)? | participation in a criminal organisation; |
| --- | --- |

SECTION M: Further information to be included (not to be sent to the addressee ‒ to be provided to the enforcing authority in the event that notification to the enforcing authority is required)

The grounds for determining that the European Preservation Order fulfils the conditions of necessity and proportionality:

......

A summary description of the case:

......

Is the offence for which the European Production Order is being issued punishable in the issuing State by a custodial sentence or a detention order for a maximum period of at least three years and included in the list of offences set out below (tick the relevant box/boxes)?

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participation in a criminal organisation;

| | terrorism; |
| --- | --- |

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terrorism;

| | trafficking in human beings; |
| --- | --- |

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trafficking in human beings;

| | sexual exploitation of children and child pornography; |
| --- | --- |

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sexual exploitation of children and child pornography;

| | illicit trafficking in narcotic drugs and psychotropic substances; |
| --- | --- |

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illicit trafficking in narcotic drugs and psychotropic substances;

| | illicit trafficking in weapons, munitions and explosives; |
| --- | --- |

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illicit trafficking in weapons, munitions and explosives;

| | corruption; |
| --- | --- |

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corruption;

| | fraud, including fraud and other criminal offences affecting the Union's financial interests as defined in Directive (EU) 2017/1371 of the European Parliament and of the Council (12); |
| --- | --- |

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fraud, including fraud and other criminal offences affecting the Union's financial interests as defined in Directive (EU) 2017/1371 of the European Parliament and of the Council (12);

| | laundering of the proceeds of crime; |
| --- | --- |

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laundering of the proceeds of crime;

| | counterfeiting currency, including the euro; |
| --- | --- |

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counterfeiting currency, including the euro;

| | computer-related crime; |
| --- | --- |

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computer-related crime;

| | environmental crime, including illicit trafficking in endangered animal species and in endangered plant species and varieties; |
| --- | --- |

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environmental crime, including illicit trafficking in endangered animal species and in endangered plant species and varieties;

| | facilitation of unauthorised entry and residence; |
| --- | --- |

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facilitation of unauthorised entry and residence;

| | murder or grievous bodily injury; |
| --- | --- |

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murder or grievous bodily injury;

| | illicit trade in human organs and tissue; |
| --- | --- |

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illicit trade in human organs and tissue;

| | kidnapping, illegal restraint or hostage-taking; |
| --- | --- |

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kidnapping, illegal restraint or hostage-taking;

| | racism and xenophobia; |
| --- | --- |

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racism and xenophobia;

| | organised or armed robbery; |
| --- | --- |

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organised or armed robbery;

| | illicit trafficking in cultural goods, including antiques and works of art; |
| --- | --- |

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illicit trafficking in cultural goods, including antiques and works of art;

| | swindling; |
| --- | --- |

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swindling;

| | racketeering and extortion; |
| --- | --- |

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racketeering and extortion;

| | counterfeiting and piracy of products; |
| --- | --- |

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counterfeiting and piracy of products;

| | forgery of administrative documents and trafficking therein; |
| --- | --- |

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forgery of administrative documents and trafficking therein;

| | forgery of means of payment; |
| --- | --- |

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forgery of means of payment;

| | illicit trafficking in hormonal substances and other growth promoters; |
| --- | --- |

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illicit trafficking in hormonal substances and other growth promoters;

| | illicit trafficking in nuclear or radioactive materials; |
| --- | --- |

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illicit trafficking in nuclear or radioactive materials;

| | trafficking in stolen vehicles; |
| --- | --- |

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trafficking in stolen vehicles;

| | rape; |
| --- | --- |

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rape;

| | arson; |
| --- | --- |

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arson;

| | crimes within the jurisdiction of the International Criminal Court; |
| --- | --- |

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crimes within the jurisdiction of the International Criminal Court;

| | unlawful seizure of aircraft or ships; |
| --- | --- |

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unlawful seizure of aircraft or ships;

| | sabotage. |
| --- | --- |

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sabotage.

Where appropriate, please add any additional information that the enforcing authority may need to evaluate the possibility of raising grounds for refusal:

......

---

(1)  Regulation (EU) 2023/1543 of the European Parliament and of the Council of 12 July 2023 on European Production Orders and European Preservation Orders for electronic evidence in criminal proceedings and for the execution of custodial sentences following criminal proceedings (OJ L 191, 28.7.2023, p. 118).

(2)  Directive (EU) 2023/1544 of the European Parliament and of the Council of 12 July 2023 laying down harmonised rules on the designation of designated establishments and the appointment of legal representatives for the purpose of gathering electronic evidence in criminal proceedings (OJ L 191, 28.7.2023, p. 181).

(3)  Council Directive 2008/114/EC of 8 December 2008 on the identification and designation of European critical infrastructures and the assessment of the need to improve their protection (OJ L 345, 23.12.2008, p. 75).

(4)  For execution of a custodial sentence or detention order for traffic data, which is not required for the sole purpose of identifying the user, or content data please indicate in (b) and (c) the offence for which the sentence was imposed.

(5)  Directive (EU) 2019/713 of the European Parliament and of the Council of 17 April 2019 on combating fraud and counterfeiting of non-cash means of payment and replacing Council Framework Decision 2001/413/JHA (OJ L 123, 10.5.2019, p. 18).

(6)  Directive 2011/93/EU of the European Parliament and of the Council of 13 December 2011 on combating the sexual abuse and sexual exploitation of children and child pornography, and replacing Council Framework Decision 2004/68/JHA (OJ L 335, 17.12.2011, p. 1).

(7)  Directive 2013/40/EU of the European Parliament and of the Council of 12 August 2013 on attacks against information systems and replacing Council Framework Decision 2005/222/JHA (OJ L 218, 14.8.2013, p. 8).

(8)  Directive (EU) 2017/541 of the European Parliament and of the Council of 15 March 2017 on combating terrorism and replacing Council Framework Decision 2002/475/JHA and amending Council Decision 2005/671/JHA (OJ L 88, 31.3.2017, p. 6).

(9)  The issuing authority must indicate the reasons for the delay in the case file, only a short justification must be added in the EPOC.

(10)  If the decentralised IT system is not used, please also add an official stamp, electronic seal or equivalent authentication.

(11)  If the decentralised IT system is not used, please also add an official stamp, electronic seal or equivalent authentication.

(12)  Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union's financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).

---

ANNEX II

EUROPEAN PRESERVATION ORDER CERTIFICATE (EPOC-PR) FOR THE PRESERVATION OF ELECTRONIC EVIDENCE

| Under Regulation (EU) 2023/1543 of the European Parliament and of the Council (1) the addressee of this European Preservation Order Certificate (EPOC-PR) must, without undue delay after receiving the EPOC-PR, preserve the data requested. The preservation must cease after 60 days, unless extended by the issuing authority by an additional 30 days, or the issuing authority confirms that a subsequent request for production has been issued. If the issuing authority confirms within those time periods that a subsequent request for production has been issued, the addressee must preserve the data for as long as necessary to produce the data once the subsequent request for production is received.
  The addressee must take necessary measures to ensure the confidentiality, secrecy and integrity of the EPOC-PR and of the data preserved. |
| --- |

Under Regulation (EU) 2023/1543 of the European Parliament and of the Council (1) the addressee of this European Preservation Order Certificate (EPOC-PR) must, without undue delay after receiving the EPOC-PR, preserve the data requested. The preservation must cease after 60 days, unless extended by the issuing authority by an additional 30 days, or the issuing authority confirms that a subsequent request for production has been issued. If the issuing authority confirms within those time periods that a subsequent request for production has been issued, the addressee must preserve the data for as long as necessary to produce the data once the subsequent request for production is received.

The addressee must take necessary measures to ensure the confidentiality, secrecy and integrity of the EPOC-PR and of the data preserved.

| SECTION A: Issuing/validating authority:
  Issuing State:...
  Issuing authority:...
  Validating authority (where applicable):...
  NB: details of issuing and validating authority to be provided at the end (Sections F and G)
  File number of the issuing authority:...
  File number of the validating authority:... |
| --- |

SECTION A: Issuing/validating authority:

Issuing State:...

Issuing authority:...

Validating authority (where applicable):...

NB: details of issuing and validating authority to be provided at the end (Sections F and G)

File number of the issuing authority:...

File number of the validating authority:...

| SECTION B: Addressee
  Addressee:... | Designated establishment |
| --- | --- |

SECTION B: Addressee

Addressee:...

Image 118

| | Legal representative |
| --- | --- |

Image 119

| | This order is issued in an emergency case to the specified addressee because the designated establishment or the legal representative of a service provider did not react to the EPOC-PR within the deadlines or has not been designated or appointed within the deadlines set out in Directive (EU) 2023/1544 of the European Parliament and of the Council (2) |
| --- | --- |

Image 120

Address:...

Tel. No/Fax No/email (if known):...

Contact person (if known):...

File number of the addressee (if known):...

Service provider concerned (if different from addressee):...

Any other relevant information:...

| SECTION C: Information to support identification of the data requested to be preserved (complete to the extent this information is known and necessary to identify the data) | IP address(es) and timestamps (incl. date and time zone):... |
| --- | --- |

SECTION C: Information to support identification of the data requested to be preserved (complete to the extent this information is known and necessary to identify the data)

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| | Tel. No:... |
| --- | --- |

Image 122

| | Email address(es):... |
| --- | --- |

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| | IMEI number(s):... |
| --- | --- |

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| | MAC address(es):... |
| --- | --- |

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| | The user(s) of the service or other unique identifier(s) such as user name(s), login ID(s) or account name(s)... |
| --- | --- |

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| | Name(s) of the relevant service(s):... |
| --- | --- |

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| | Other:...
  If applicable, the time range of the data for which preservation is requested:... |
| --- | --- |

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If applicable, the time range of the data for which preservation is requested:...

| | Additional information if needed:... |
| --- | --- |

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| SECTION D: Electronic evidence to be preserved
  This EPOC-PR concerns (tick the relevant box(es)):






  (a) | | subscriber data: |
| --- | --- | --- |

SECTION D: Electronic evidence to be preserved

This EPOC-PR concerns (tick the relevant box(es)):

(a)

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subscriber data:

| | name, date of birth, postal or geographic address, contact information (email address, phone number) and other relevant information pertaining to the identity of the user/subscription holder |
| --- | --- |

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name, date of birth, postal or geographic address, contact information (email address, phone number) and other relevant information pertaining to the identity of the user/subscription holder

| | date and time of initial registration, type of registration, copy of a contract, means of verification of identity at the moment of registration, copies of documents provided by the subscriber |
| --- | --- |

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date and time of initial registration, type of registration, copy of a contract, means of verification of identity at the moment of registration, copies of documents provided by the subscriber

| | type of service and its duration, including identifier(s) used by or provided to the subscriber at the moment of initial registration or activation (e.g. phone number, SIM-card number, MAC-address) and associated device(s) |
| --- | --- |

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type of service and its duration, including identifier(s) used by or provided to the subscriber at the moment of initial registration or activation (e.g. phone number, SIM-card number, MAC-address) and associated device(s)

| | profile information (e.g. user name, screen name, profile photo) |
| --- | --- |

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profile information (e.g. user name, screen name, profile photo)

| | data on the validation of the use of service, such as an alternative email address provided by the user/subscription holder |
| --- | --- |

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data on the validation of the use of service, such as an alternative email address provided by the user/subscription holder

| | debit or credit card information (provided by the user for billing purposes), including other means of payment |
| --- | --- |

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debit or credit card information (provided by the user for billing purposes), including other means of payment

| | PUK-codes |
| --- | --- |

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PUK-codes

| | other:... |
| --- | --- |

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other:...

| (b) | | data requested for the sole purpose of identifying the user as defined in Article 3, point (10) of Regulation (EU) 2023/1543: |
| --- | --- | --- |

(b)

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data requested for the sole purpose of identifying the user as defined in Article 3, point (10) of Regulation (EU) 2023/1543:

| | IP connection records such as IP addresses / logs / access numbers together with other identifiers, such as source ports and time stamps or equivalent, the user ID and the interface used in the context of the use of the service strictly necessary for identification purposes; please specify, if necessary:... |
| --- | --- |

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IP connection records such as IP addresses / logs / access numbers together with other identifiers, such as source ports and time stamps or equivalent, the user ID and the interface used in the context of the use of the service strictly necessary for identification purposes; please specify, if necessary:...

| | time range of the data for which preservation is requested (if different from Section C):... |
| --- | --- |

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time range of the data for which preservation is requested (if different from Section C):...

| | other:... |
| --- | --- |

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other:...

| (c) | | traffic data:






  (i) | for (mobile) telephony: | outgoing (A) and incoming (B) identifiers (phone number, IMSI, IMEI) |
| --- | --- | --- | --- | --- |

(c)

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traffic data:

(i)

for (mobile) telephony:

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outgoing (A) and incoming (B) identifiers (phone number, IMSI, IMEI)

| | time and duration of connection(s) |
| --- | --- |

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time and duration of connection(s)

| | call attempt(s) |
| --- | --- |

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call attempt(s)

| | base station ID, including geographical information (X/Y coordinates), at the time of initiation and termination of the connection |
| --- | --- |

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base station ID, including geographical information (X/Y coordinates), at the time of initiation and termination of the connection

| | bearer / teleservice used (e.g. UMTS, GPRS) |
| --- | --- |

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bearer / teleservice used (e.g. UMTS, GPRS)

| | other:... |
| --- | --- |

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other:...

| (ii) | for internet: | routing information (source IP address, destination IP address(es), port number(s), browser, email header information, message-ID) |
| --- | --- | --- |

(ii)

for internet:

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routing information (source IP address, destination IP address(es), port number(s), browser, email header information, message-ID)

| | base station ID, including geographical information (X/Y coordinates), at the time of initiation and termination of the connection(s) |
| --- | --- |

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base station ID, including geographical information (X/Y coordinates), at the time of initiation and termination of the connection(s)

| | volume of data |
| --- | --- |

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volume of data

| | date and time of connection(s) |
| --- | --- |

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date and time of connection(s)

| | duration of connection or access session(s) |
| --- | --- |

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duration of connection or access session(s)

| | other:... |
| --- | --- |

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other:...

| (iii) | for hosting: | logfiles |
| --- | --- | --- |

(iii)

for hosting:

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logfiles

| | tickets |
| --- | --- |

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tickets

| | other:... |
| --- | --- |

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other:...

| (iv) | other: | purchase history |
| --- | --- | --- |

(iv)

other:

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purchase history

| | prepaid balance charging history |
| --- | --- |

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prepaid balance charging history

| | other:... |
| --- | --- |

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other:...

| (d) | | content data: |
| --- | --- | --- |

(d)

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content data:

| | (web)mailbox dump |
| --- | --- |

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(web)mailbox dump

| | online storage dump (user-generated data) |
| --- | --- |

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online storage dump (user-generated data)

| | pagedump |
| --- | --- |

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pagedump

| | message log/backup |
| --- | --- |

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message log/backup

| | voicemail dump |
| --- | --- |

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voicemail dump

| | server contents |
| --- | --- |

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server contents

| | device backup |
| --- | --- |

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device backup

| | contact list |
| --- | --- |

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contact list

| | other:... |
| --- | --- |

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other:...

| | Additional information in case necessary to (further) specify or limit the range of the requested data:... |
| --- | --- |

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Additional information in case necessary to (further) specify or limit the range of the requested data:...

| SECTION E: Information on the underlying conditions






  (a) | This EPOC-PR concerns (tick the relevant box(es)): | criminal proceedings in respect of a criminal offence; |
| --- | --- | --- |

SECTION E: Information on the underlying conditions

(a)

This EPOC-PR concerns (tick the relevant box(es)):

Image 173

criminal proceedings in respect of a criminal offence;

| | execution of a custodial sentence or a detention order of at least four months following criminal proceedings, imposed by a decision that was not rendered in absentia, in cases where the person convicted absconded from justice. |
| --- | --- |

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execution of a custodial sentence or a detention order of at least four months following criminal proceedings, imposed by a decision that was not rendered in absentia, in cases where the person convicted absconded from justice.

| (b) | Nature and legal classification of the offence(s) for which the EPOC-PR is issued and the applicable statutory provision (3)... |
| --- | --- |

(b)

Nature and legal classification of the offence(s) for which the EPOC-PR is issued and the applicable statutory provision (3)...

| SECTION F: Details of the issuing authority
  The type of issuing authority (tick the relevant box/boxes): | judge, court, or investigating judge |
| --- | --- |

SECTION F: Details of the issuing authority

The type of issuing authority (tick the relevant box/boxes):

Image 175

judge, court, or investigating judge

| | public prosecutor |
| --- | --- |

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public prosecutor

| | other competent authority as defined by the law of the issuing State
  If validation is necessary, please fill in also Section G.
  Please note that (tick if applicable): |
| --- | --- |

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other competent authority as defined by the law of the issuing State

If validation is necessary, please fill in also Section G.

Please note that (tick if applicable):

| | This EPOC-PR was issued for subscriber data, or data requested for the sole purpose of identifying the user in a validly established emergency case without prior validation, because the validation could not have been obtained in time, or both. The issuing authority confirms that it could issue an order in a similar domestic case without validation, and that ex post validation will be sought without undue delay, at the latest within 48 hours (please note that the addressee will not be informed). |
| --- | --- |

Image 178

This EPOC-PR was issued for subscriber data, or data requested for the sole purpose of identifying the user in a validly established emergency case without prior validation, because the validation could not have been obtained in time, or both. The issuing authority confirms that it could issue an order in a similar domestic case without validation, and that ex post validation will be sought without undue delay, at the latest within 48 hours (please note that the addressee will not be informed).

This emergency case refers to an imminent threat to the life, physical integrity or safety of a person or an imminent threat to a critical infrastructure as defined in Article 2, point (a), of Council Directive 2008/114/EC (4), where the disruption or destruction of such critical infrastructure would result in an imminent threat to the life, physical integrity or safety of a person, including through serious harm to the provision of basic supplies to the population or to the exercise of the core functions of the State.

Details of the issuing authority and/or its representative certifying the content of the EPOC-PR as accurate and correct:

Name of authority:...

Name of its representative:...

Post held (title/grade):...

File number:...

Address:...

Tel. No: (country code) (area/city code)...

Fax No: (country code) (area/city code)...

Email:...

Language(s) spoken:...

If different from above, authority/contact point (e.g. central authority) which can be contacted for any question related to the execution of the EPOC-PR:

Name of authority/name:...

Address:...

Tel. No: (country code) (area/city code)...

Fax No: (country code) (area/city code)...

Email:...

Signature of the issuing authority or its representative certifying the content of the EPOC-PR as accurate and correct:

Date:...

Signature (5):...

| SECTION G: Details of the validating authority (complete if applicable)
  The type of validating authority: | judge, court or investigating judge |
| --- | --- |

SECTION G: Details of the validating authority (complete if applicable)

The type of validating authority:

Image 179

judge, court or investigating judge

| | public prosecutor |
| --- | --- |

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public prosecutor

Details of the validating authority or its representative, or both, certifying the contents of the EPOC-PR as accurate and correct:

Name of the authority:...

Name of its representative:...

Post held (title/grade):...

File number:...

Address:...

Tel. No: (country code) (area/city code)...

Fax No: (country code) (area/city code)...

Email:...

Language(s) spoken:...

Date:...

Signature (6):...

---

(1)  Regulation (EU) 2023/1543 of the European Parliament and of the Council of 12 July 2023 on European Production Orders and European Preservation Orders for electronic evidence in criminal proceedings and for the execution of custodial sentences following criminal proceedings (OJ L 191, 28.7.2023, p. 118).

(2)  Directive (EU) 2023/1544 of the European Parliament and of the Council of 12 July 2023 laying down harmonised rules on the designation of designated establishments and the appointment of legal representatives for the purpose of gathering electronic evidence in criminal proceedings (OJ L 191, 28.7.2023, p. 181).

(3)  For execution of a custodial sentence or detention order, please indicate the offence for which the sentence was imposed.

(4)  Council Directive 2008/114/EC of 8 December 2008 on the identification and designation of European critical infrastructures (OJ L 345, 23.12.2008, p. 75).

(5)  If the decentralised IT system is not used, please also add an official stamp, electronic seal or equivalent authentication.

(6)  If the decentralised IT system is not used, please also add an official stamp, electronic seal or equivalent authentication.

---

ANNEX III

INFORMATION ON THE IMPOSSIBILITY OF EXECUTING AN EPOC / EPOC-PR

| Under Regulation (EU) 2023/1543 of the European Parliament and of the Council (1), in cases where the addressee cannot comply with its obligation to preserve the requested data under an EPOC-PR or to produce it under an EPOC, cannot respect the specified deadline or does not provide the data exhaustively, this form should be completed by the addressee and sent back to the issuing authority as well as, where a notification took place and in other cases where applicable, to the enforcing authority referred to in the EPOC, without undue delay.
  Where possible, the addressee shall preserve the data requested even where additional information is needed to identify them precisely, unless the information in the EPOC/EPOC-PR is insufficient for that purpose. If clarifications by the issuing authority are needed, the addressee shall seek them, without undue delay, using this form. |
| --- |

Under Regulation (EU) 2023/1543 of the European Parliament and of the Council (1), in cases where the addressee cannot comply with its obligation to preserve the requested data under an EPOC-PR or to produce it under an EPOC, cannot respect the specified deadline or does not provide the data exhaustively, this form should be completed by the addressee and sent back to the issuing authority as well as, where a notification took place and in other cases where applicable, to the enforcing authority referred to in the EPOC, without undue delay.

Where possible, the addressee shall preserve the data requested even where additional information is needed to identify them precisely, unless the information in the EPOC/EPOC-PR is insufficient for that purpose. If clarifications by the issuing authority are needed, the addressee shall seek them, without undue delay, using this form.

| SECTION A: Certificate concerned
  The following information concerns: | a European Production Order Certificate (EPOC) |
| --- | --- |

SECTION A: Certificate concerned

The following information concerns:

Image 181

a European Production Order Certificate (EPOC)

| | a European Preservation Order Certificate (EPOC-PR) |
| --- | --- |

Image 182

a European Preservation Order Certificate (EPOC-PR)

| SECTION B: Relevant authority(ies)
  Issuing authority:...
  File number of the issuing authority:...
  If applicable, validating authority:...
  If applicable, file number of the validating authority:...
  Date of issue of the EPOC/EPOC-PR:...
  Date of receipt of the EPOC/EPOC-PR:...
  If applicable, enforcing authority:...
  If available, file number of the enforcing authority:... |
| --- |

SECTION B: Relevant authority(ies)

Issuing authority:...

File number of the issuing authority:...

If applicable, validating authority:...

If applicable, file number of the validating authority:...

Date of issue of the EPOC/EPOC-PR:...

Date of receipt of the EPOC/EPOC-PR:...

If applicable, enforcing authority:...

If available, file number of the enforcing authority:...

| SECTION C: Addressee of the EPOC/EPOC-PR
  Addressee of the EPOC/EPOC-PR:...
  File number of the addressee:... |
| --- |

SECTION C: Addressee of the EPOC/EPOC-PR

Addressee of the EPOC/EPOC-PR:...

File number of the addressee:...

| SECTION D: Reasons for non-execution






  (a) | The EPOC/EPOC-PR cannot be executed or cannot be executed within the specified deadline for the following reason(s): | it is incomplete |
| --- | --- | --- |

SECTION D: Reasons for non-execution

(a)

The EPOC/EPOC-PR cannot be executed or cannot be executed within the specified deadline for the following reason(s):

Image 183

it is incomplete

| | it contains manifest errors |
| --- | --- |

Image 184

it contains manifest errors

| | it does not contain sufficient information |
| --- | --- |

Image 185

it does not contain sufficient information

| | it does not concern data stored by or on behalf of the service provider at the time of receipt of the EPOC/EPOC-PR |
| --- | --- |

Image 186

it does not concern data stored by or on behalf of the service provider at the time of receipt of the EPOC/EPOC-PR

| | other reasons of de facto impossibility due to circumstances not attributable to the addressee or the service provider at the time the EPOC/EPOC-PR was received |
| --- | --- |

Image 187

other reasons of de facto impossibility due to circumstances not attributable to the addressee or the service provider at the time the EPOC/EPOC-PR was received

| | the European Production Order/European Preservation Order has not been issued or validated by an issuing authority as specified in Article 4 of Regulation (EU) 2023/1543. |
| --- | --- |

Image 188

the European Production Order/European Preservation Order has not been issued or validated by an issuing authority as specified in Article 4 of Regulation (EU) 2023/1543.

| | the European Production Order to obtain traffic data which are not requested for the sole purpose of identifying the user as defined in Article 3, point (10), of Regulation (EU) 2023/1543, or to obtain content data, has been issued for an offence not covered by Article 5(4) of Regulation (EU) 2023/1543. |
| --- | --- |

Image 189

the European Production Order to obtain traffic data which are not requested for the sole purpose of identifying the user as defined in Article 3, point (10), of Regulation (EU) 2023/1543, or to obtain content data, has been issued for an offence not covered by Article 5(4) of Regulation (EU) 2023/1543.

| | the service is not covered by Regulation (EU) 2023/1543. |
| --- | --- |

Image 190

the service is not covered by Regulation (EU) 2023/1543.

| | the data requested are protected by immunities or privileges granted under the law of the enforcing State, or the data requested are covered by rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, which prevent execution of the European Production Order / European Preservation Order. |
| --- | --- |

Image 191

the data requested are protected by immunities or privileges granted under the law of the enforcing State, or the data requested are covered by rules on the determination or limitation of criminal liability that relate to freedom of the press or freedom of expression in other media, which prevent execution of the European Production Order / European Preservation Order.

| | compliance with the European Production Order would conflict with the applicable law of a third country. Please complete also Section E. |
| --- | --- |

Image 192

compliance with the European Production Order would conflict with the applicable law of a third country. Please complete also Section E.

| (b) | Please explain further the reasons for non-execution referred to in point (a), and, where necessary, indicate and explain any other reasons not listed under point (a):
  ...... |
| --- | --- |

(b)

Please explain further the reasons for non-execution referred to in point (a), and, where necessary, indicate and explain any other reasons not listed under point (a):

......

| SECTION E: Conflicting obligations arising from the law of a third country
  In the event of conflicting obligations arising from the law of a third country, please include the following information:






  — | title of the law(s) of the third country:
  ...... |
| --- | --- |

SECTION E: Conflicting obligations arising from the law of a third country

In the event of conflicting obligations arising from the law of a third country, please include the following information:

—

title of the law(s) of the third country:

......

| — | applicable statutory provision(s) and text of the relevant provision(s):
  ...... |
| --- | --- |

—

applicable statutory provision(s) and text of the relevant provision(s):

......

| — | nature of the conflicting obligation, including the interest protected by the law of the third country: | fundamental rights of individuals (please specify):
  ...... |
| --- | --- | --- |

—

nature of the conflicting obligation, including the interest protected by the law of the third country:

Image 193

fundamental rights of individuals (please specify):

......

| | fundamental interests of the third country related to national security and defence (please specify):
  ...... |
| --- | --- |

Image 194

fundamental interests of the third country related to national security and defence (please specify):

......

| | other interests (please specify):
  ...... |
| --- | --- |

Image 195

other interests (please specify):

......

| — | explain why the law is applicable in this case:
  ...... |
| --- | --- |

—

explain why the law is applicable in this case:

......

| — | explain why you consider there is a conflict in this case:
  ...... |
| --- | --- |

—

explain why you consider there is a conflict in this case:

......

| — | explain the link between the service provider and the third country in question:
  ...... |
| --- | --- |

—

explain the link between the service provider and the third country in question:

......

| — | possible consequences for the addressee of complying with the European Production Order, including the penalties that may be incurred:
  ...... |
| --- | --- |

—

possible consequences for the addressee of complying with the European Production Order, including the penalties that may be incurred:

......

Please add any relevant additional information:...

| SECTION F: Request for additional information/clarification (complete, if applicable)
  Further information is required from the issuing authority for the EPOC/ EPOC-PR to be executed:
  ...... |
| --- |

SECTION F: Request for additional information/clarification (complete, if applicable)

Further information is required from the issuing authority for the EPOC/ EPOC-PR to be executed:

......

| SECTION G: Preservation of data
  The requested data (tick the relevant box and complete): | are being preserved until the data are produced or until the issuing authority, or where applicable, the enforcing authority, informs that it is no longer necessary to preserve and produce data or until the necessary information is provided by the issuing authority that makes it possible to narrow down the data to be preserved/produced |
| --- | --- |

SECTION G: Preservation of data

The requested data (tick the relevant box and complete):

Image 196

are being preserved until the data are produced or until the issuing authority, or where applicable, the enforcing authority, informs that it is no longer necessary to preserve and produce data or until the necessary information is provided by the issuing authority that makes it possible to narrow down the data to be preserved/produced

| | are not being preserved (this should only be the case exceptionally, e.g. if the service provider does not have the data upon receipt of the request or cannot identify the requested data sufficiently) |
| --- | --- |

Image 197

are not being preserved (this should only be the case exceptionally, e.g. if the service provider does not have the data upon receipt of the request or cannot identify the requested data sufficiently)

| SECTION H: Contact details of the designated establishment/ legal representative of the service provider
  Name of the designated establishment / legal representative of the service provider: ...
  Name of the contact person:...
  Post held:...
  Address:...
  Tel. No: (country code) (area/city code)...
  Fax No: (country code) (area/city code)...
  Email:...
  Name of the authorised person:...
  Date...
  Signature (2):... |
| --- |

SECTION H: Contact details of the designated establishment/ legal representative of the service provider

Name of the designated establishment / legal representative of the service provider: ...

Name of the contact person:...

Post held:...

Address:...

Tel. No: (country code) (area/city code)...

Fax No: (country code) (area/city code)...

Email:...

Name of the authorised person:...

Date...

Signature (2):...

---

(1)  Regulation (EU) 2023/1543 of the European Parliament and of the Council of 12 July 2023 on European Production Orders and European Preservation Orders for electronic evidence in criminal proceedings and for the execution of custodial sentences following criminal proceedings (OJ L 191, 28.7.2023, p. 118).

(2)  If the decentralised IT system is not used, please also add an official stamp, electronic seal or equivalent authentication.

---

ANNEX IV

CATEGORIES OF OFFENCES REFERRED TO IN ARTICLE 12(1), POINT (D)

| (1) | participation in a criminal organisation; |
| --- | --- |

(1)

participation in a criminal organisation;

| (2) | terrorism; |
| --- | --- |

(2)

terrorism;

| (3) | trafficking in human beings; |
| --- | --- |

(3)

trafficking in human beings;

| (4) | sexual exploitation of children and child pornography; |
| --- | --- |

(4)

sexual exploitation of children and child pornography;

| (5) | illicit trafficking in narcotic drugs and psychotropic substances; |
| --- | --- |

(5)

illicit trafficking in narcotic drugs and psychotropic substances;

| (6) | illicit trafficking in weapons, munitions and explosives; |
| --- | --- |

(6)

illicit trafficking in weapons, munitions and explosives;

| (7) | corruption; |
| --- | --- |

(7)

corruption;

| (8) | fraud, including fraud and other criminal offences affecting the Union's financial interests as defined in Directive (EU) 2017/1371 of the European Parliament and of the Council (1); |
| --- | --- |

(8)

fraud, including fraud and other criminal offences affecting the Union's financial interests as defined in Directive (EU) 2017/1371 of the European Parliament and of the Council (1);

| (9) | laundering of the proceeds of crime; |
| --- | --- |

(9)

laundering of the proceeds of crime;

| (10) | counterfeiting currency, including the euro; |
| --- | --- |

(10)

counterfeiting currency, including the euro;

| (11) | computer-related crime; |
| --- | --- |

(11)

computer-related crime;

| (12) | environmental crime, including illicit trafficking in endangered animal species and in endangered plant species and varieties; |
| --- | --- |

(12)

environmental crime, including illicit trafficking in endangered animal species and in endangered plant species and varieties;

| (13) | facilitation of unauthorised entry and residence; |
| --- | --- |

(13)

facilitation of unauthorised entry and residence;

| (14) | murder or grievous bodily injury; |
| --- | --- |

(14)

murder or grievous bodily injury;

| (15) | illicit trade in human organs and tissue; |
| --- | --- |

(15)

illicit trade in human organs and tissue;

| (16) | kidnapping, illegal restraint or hostage-taking; |
| --- | --- |

(16)

kidnapping, illegal restraint or hostage-taking;

| (17) | racism and xenophobia; |
| --- | --- |

(17)

racism and xenophobia;

| (18) | organised or armed robbery; |
| --- | --- |

(18)

organised or armed robbery;

| (19) | illicit trafficking in cultural goods, including antiques and works of art; |
| --- | --- |

(19)

illicit trafficking in cultural goods, including antiques and works of art;

| (20) | swindling; |
| --- | --- |

(20)

swindling;

| (21) | racketeering and extortion; |
| --- | --- |

(21)

racketeering and extortion;

| (22) | counterfeiting and piracy of products; |
| --- | --- |

(22)

counterfeiting and piracy of products;

| (23) | forgery of administrative documents and trafficking therein; |
| --- | --- |

(23)

forgery of administrative documents and trafficking therein;

| (24) | forgery of means of payment; |
| --- | --- |

(24)

forgery of means of payment;

| (25) | illicit trafficking in hormonal substances and other growth promoters; |
| --- | --- |

(25)

illicit trafficking in hormonal substances and other growth promoters;

| (26) | illicit trafficking in nuclear or radioactive materials; |
| --- | --- |

(26)

illicit trafficking in nuclear or radioactive materials;

| (27) | trafficking in stolen vehicles; |
| --- | --- |

(27)

trafficking in stolen vehicles;

| (28) | rape; |
| --- | --- |

(28)

rape;

| (29) | arson; |
| --- | --- |

(29)

arson;

| (30) | crimes within the jurisdiction of the International Criminal Court; |
| --- | --- |

(30)

crimes within the jurisdiction of the International Criminal Court;

| (31) | unlawful seizure of aircraft or ships; |
| --- | --- |

(31)

unlawful seizure of aircraft or ships;

| (32) | sabotage. |
| --- | --- |

(32)

sabotage.

---

(1)  Directive (EU) 2017/1371 of the European Parliament and of the Council of 5 July 2017 on the fight against fraud to the Union’s financial interests by means of criminal law (OJ L 198, 28.7.2017, p. 29).

---

ANNEX V

CONFIRMATION OF ISSUANCE OF A REQUEST FOR PRODUCTION FOLLOWING A EUROPEAN PRESERVATION ORDER

| Under Regulation (EU) 2023/1543 of the European Parliament and of the Council (1), upon receipt of the European Preservation Order Certificate (EPOC-PR) the addressee must, without undue delay, preserve the data requested. The preservation must cease after 60 days, unless extended by the issuing authority by an additional 30 days, or the issuing authority confirms that the subsequent request for production has been issued, using the form set out in this Annex.
  Following that confirmation, the addressee must preserve the data for as long as necessary to produce the data once the subsequent request for production is received. |
| --- |

Under Regulation (EU) 2023/1543 of the European Parliament and of the Council (1), upon receipt of the European Preservation Order Certificate (EPOC-PR) the addressee must, without undue delay, preserve the data requested. The preservation must cease after 60 days, unless extended by the issuing authority by an additional 30 days, or the issuing authority confirms that the subsequent request for production has been issued, using the form set out in this Annex.

Following that confirmation, the addressee must preserve the data for as long as necessary to produce the data once the subsequent request for production is received.

| SECTION A: Issuing authority of the EPOC-PR
  Issuing State:...
  Issuing authority:...
  If different from the contact point indicated in the EPOC-PR, authority/contact point (e.g. central authority) which can be contacted for any question related to the execution of the EPOC-PR:
  Name and contact details:... |
| --- |

SECTION A: Issuing authority of the EPOC-PR

Issuing State:...

Issuing authority:...

If different from the contact point indicated in the EPOC-PR, authority/contact point (e.g. central authority) which can be contacted for any question related to the execution of the EPOC-PR:

Name and contact details:...

| SECTION B: Addressee of the EPOC-PR
  Addressee:...
  Address:...
  Phone/fax/email (if known):...
  Contact person (if known):...
  File number of the addressee (if known):...
  Service provider concerned (if different from addressee):...
  Any other relevant information:... |
| --- |

SECTION B: Addressee of the EPOC-PR

Addressee:...

Address:...

Phone/fax/email (if known):...

Contact person (if known):...

File number of the addressee (if known):...

Service provider concerned (if different from addressee):...

Any other relevant information:...

| SECTION C: Information about the EPOC-PR
  The data are preserved in accordance with the EPOC-PR issued on... (indicate the date of issuance of request) and transmitted on... (indicate the date of transmission of request) with the file number...(indicate file number). | It was extended by 30 days by the issuing authority ..., file number ... on ... (tick the box and indicate, if applicable). |
| --- | --- |

SECTION C: Information about the EPOC-PR

The data are preserved in accordance with the EPOC-PR issued on... (indicate the date of issuance of request) and transmitted on... (indicate the date of transmission of request) with the file number...(indicate file number).

Image 198

It was extended by 30 days by the issuing authority ..., file number ... on ... (tick the box and indicate, if applicable).

| SECTION D: Confirmation
  This confirms that the following request for production has been issued (tick the appropriate box and complete, if necessary): | European Production Order Certificate issued by... (indicate the authority) on...(indicate the date of issuance of request) and transmitted on... (indicate the date of transmission of request) with the file number... (indicate file number) and transmitted to...(indicate the service provider/ designated establishment/ legal representative/ competent authority to which it was transmitted and, if available, the file number given by the addressee). |
| --- | --- |

SECTION D: Confirmation

This confirms that the following request for production has been issued (tick the appropriate box and complete, if necessary):

Image 199

European Production Order Certificate issued by... (indicate the authority) on...(indicate the date of issuance of request) and transmitted on... (indicate the date of transmission of request) with the file number... (indicate file number) and transmitted to...(indicate the service provider/ designated establishment/ legal representative/ competent authority to which it was transmitted and, if available, the file number given by the addressee).

| | European Investigation Order issued by... (indicate the authority) on... (indicate the date of issuance of request) and transmitted on... (indicate the date of transmission of request) with the file number... (indicate file number) and transmitted to... (indicate the State and competent authority to which it was transmitted and, if available, the file number given by the requested authorities). |
| --- | --- |

Image 200

European Investigation Order issued by... (indicate the authority) on... (indicate the date of issuance of request) and transmitted on... (indicate the date of transmission of request) with the file number... (indicate file number) and transmitted to... (indicate the State and competent authority to which it was transmitted and, if available, the file number given by the requested authorities).

| | Mutual Legal Assistance request issued by... (indicate the authority) on...(indicate the date of issuance of request) and transmitted on... (indicate the date of transmission of request) with the file number... (indicate file number) and transmitted to...(indicate the State and competent authority to which it was transmitted and, if available, the file number given by the requested authorities). |
| --- | --- |

Image 201

Mutual Legal Assistance request issued by... (indicate the authority) on...(indicate the date of issuance of request) and transmitted on... (indicate the date of transmission of request) with the file number... (indicate file number) and transmitted to...(indicate the State and competent authority to which it was transmitted and, if available, the file number given by the requested authorities).

Signature of the issuing authority and/or its representative

Name:...

Date:...

Signature (2):...

---

(1)  Regulation (EU) 2023/1543 of the European Parliament and of the Council of 12 July 2023 on European Production Orders and European Preservation Orders for electronic evidence in criminal proceedings and for the execution of custodial sentences following criminal proceedings (OJ L 191, 28.7.2023, p. 118).

(2)  If the decentralised IT system is not used, please also add an official stamp, electronic seal or equivalent authentication.

---

ANNEX VI

EXTENSION OF THE PRESERVATION OF ELECTRONIC EVIDENCE

| Under Regulation (EU) 2023/1543 of the European Parliament and of the Council (1), upon receipt of the European Preservation Order Certificate (EPOC-PR) the addressee must, without undue delay, preserve the data requested. The preservation must cease after 60 days, unless the issuing authority confirms that the subsequent request for production has been issued. Within the 60 days, the issuing authority may extend the duration of the preservation by an additional 30 days where necessary, to allow for the issuing of the subsequent request for production, using the form set out in this Annex. |
| --- |

Under Regulation (EU) 2023/1543 of the European Parliament and of the Council (1), upon receipt of the European Preservation Order Certificate (EPOC-PR) the addressee must, without undue delay, preserve the data requested. The preservation must cease after 60 days, unless the issuing authority confirms that the subsequent request for production has been issued. Within the 60 days, the issuing authority may extend the duration of the preservation by an additional 30 days where necessary, to allow for the issuing of the subsequent request for production, using the form set out in this Annex.

| SECTION A: Issuing authority of the EPOC-PR
  Issuing State: ......
  Issuing authority: ......
  File number of the issuing authority: ......
  If different from the contact point indicated in the EPOC-PR, authority/contact point (e.g. central authority) which can be contacted for any question related to the execution of the EPOC-PR:
  Name and contact details: ...... |
| --- |

SECTION A: Issuing authority of the EPOC-PR

Issuing State: ......

Issuing authority: ......

File number of the issuing authority: ......

If different from the contact point indicated in the EPOC-PR, authority/contact point (e.g. central authority) which can be contacted for any question related to the execution of the EPOC-PR:

Name and contact details: ......

| SECTION B: Addressee of the EPOC-PR
  Addressee: ......
  Address: ......
  Phone/fax/email (if known): ......
  Contact person (if known): ......
  File number of the addressee (if known): ......
  Service provider concerned (if different from addressee): ......
  Any other relevant information: ...... |
| --- |

SECTION B: Addressee of the EPOC-PR

Addressee: ......

Address: ......

Phone/fax/email (if known): ......

Contact person (if known): ......

File number of the addressee (if known): ......

Service provider concerned (if different from addressee): ......

Any other relevant information: ......

| SECTION C: Information on prior EPOC-PR
  The data are preserved in accordance with the EPOC-PR issued on ...... (indicate the date of issuance of request) and transmitted on ...... (indicate the date of transmission of request) with the file number ......(indicate file number) and transmitted to ...... |
| --- |

SECTION C: Information on prior EPOC-PR

The data are preserved in accordance with the EPOC-PR issued on ...... (indicate the date of issuance of request) and transmitted on ...... (indicate the date of transmission of request) with the file number ......(indicate file number) and transmitted to ......

| SECTION D: Extension of the prior preservation order
  The obligation to preserve data under the EPOC-PR as specified in Section C is hereby extended by an additional 30 days.
  Signature of the issuing authority and/or its representative
  Name: ......
  Date: ......
  Signature (2): ...... |
| --- |

SECTION D: Extension of the prior preservation order

The obligation to preserve data under the EPOC-PR as specified in Section C is hereby extended by an additional 30 days.

Signature of the issuing authority and/or its representative

Name: ......

Date: ......

Signature (2): ......

---

(1)  Regulation (EU) 2023/1543 of the European Parliament and of the Council of 12 July 2023 on European Production Orders and European Preservation Orders for electronic evidence in criminal proceedings and for the execution of custodial sentences following criminal proceedings (OJ L 191, 28.7.2023, p. 118).

(2)  If the decentralised IT system is not used, please also add an official stamp, electronic seal or equivalent authentication.

---

DIRECTIVES

| 28.7.2023 | EN | Official Journal of the European Union | L 191/181 |
| --- | --- | --- | --- |

28.7.2023

EN

Official Journal of the European Union

L 191/181

---

DIRECTIVE (EU) 2023/1544 OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

of 12 July 2023

laying down harmonised rules on the designation of designated establishments and the appointment of legal representatives for the purpose of gathering electronic evidence in criminal proceedings

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 Articles 53 and 62 thereof,

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 Committee (1),

Acting in accordance with the ordinary legislative procedure (2),

Whereas:

| (1) | Network-based services can be provided from anywhere and do not require physical infrastructure, premises or staff in the country where the relevant service is offered, or in the internal market itself. As a consequence, it can be difficult to apply and enforce obligations laid down in national and Union law which apply to the service providers concerned, in particular the obligation to comply with an order or a decision by a judicial authority. This is the case in particular in criminal law, where Member States’ authorities face difficulties with serving, ensuring compliance with and enforcing their decisions, in particular where relevant services are provided from a location outside their territory. Against that background, Member States have taken a variety of disparate measures to more effectively apply and enforce their legislation. This includes measures for addressing service providers to obtain electronic evidence that is of relevance to criminal proceedings. To that end, some Member States have adopted, or are considering adopting, legislation imposing mandatory legal representation within their own territory, for a number of service providers offering services in that territory. Such requirements create obstacles to the free provision of services within the internal market. |
| --- | --- |

(1)

Network-based services can be provided from anywhere and do not require physical infrastructure, premises or staff in the country where the relevant service is offered, or in the internal market itself. As a consequence, it can be difficult to apply and enforce obligations laid down in national and Union law which apply to the service providers concerned, in particular the obligation to comply with an order or a decision by a judicial authority. This is the case in particular in criminal law, where Member States’ authorities face difficulties with serving, ensuring compliance with and enforcing their decisions, in particular where relevant services are provided from a location outside their territory. Against that background, Member States have taken a variety of disparate measures to more effectively apply and enforce their legislation. This includes measures for addressing service providers to obtain electronic evidence that is of relevance to criminal proceedings. To that end, some Member States have adopted, or are considering adopting, legislation imposing mandatory legal representation within their own territory, for a number of service providers offering services in that territory. Such requirements create obstacles to the free provision of services within the internal market.

| (2) | There is a risk that, in the absence of a Union-wide approach, Member States will try to overcome existing shortcomings related to gathering electronic evidence in criminal proceedings by imposing disparate national obligations. Such disparate national obligations would create further obstacles to the free provision of services within the internal market. |
| --- | --- |

(2)

There is a risk that, in the absence of a Union-wide approach, Member States will try to overcome existing shortcomings related to gathering electronic evidence in criminal proceedings by imposing disparate national obligations. Such disparate national obligations would create further obstacles to the free provision of services within the internal market.

| (3) | The absence of a Union-wide approach results in legal uncertainty affecting both service providers and national authorities. Disparate and possibly conflicting obligations apply to service providers established or offering services in different Member States, which results in such service providers being subject to different penalties in the event of violations. Such divergences in the framework for criminal proceedings will likely further expand because of the growing importance of communication and information society services in our daily lives and our societies. Such divergences not only represent an obstacle to the proper functioning of the internal market, but also entail problems for the establishment and correct functioning of the Union’s area of freedom, security and justice. |
| --- | --- |

(3)

The absence of a Union-wide approach results in legal uncertainty affecting both service providers and national authorities. Disparate and possibly conflicting obligations apply to service providers established or offering services in different Member States, which results in such service providers being subject to different penalties in the event of violations. Such divergences in the framework for criminal proceedings will likely further expand because of the growing importance of communication and information society services in our daily lives and our societies. Such divergences not only represent an obstacle to the proper functioning of the internal market, but also entail problems for the establishment and correct functioning of the Union’s area of freedom, security and justice.

| (4) | To avoid divergences in the legal framework and to ensure that undertakings active in the internal market are subject to the same or similar obligations, the Union has adopted a number of legal acts in related fields such as data protection, namely Regulation (EU) 2016/679 of the European Parliament and of the Council (3) and Directive 2002/58/EC of the European Parliament and of the Council (4). To increase the level of protection for the data subjects, Regulation (EU) 2016/679 provides for the designation of a legal representative in the Union by controllers or processors that are not established in the Union but offer goods or services to data subjects in the Union or monitor the behaviour of data subjects if their behaviour takes place within the Union, unless the processing of data is occasional, does not include processing, on a large scale, of special categories of personal data or the processing of personal data relating to criminal convictions and offences, and is unlikely to result in a risk to the rights and freedoms of natural persons, taking into account the nature, context, scope and purposes of the processing or if the controller or processor is a public authority or body. |
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(4)

To avoid divergences in the legal framework and to ensure that undertakings active in the internal market are subject to the same or similar obligations, the Union has adopted a number of legal acts in related fields such as data protection, namely Regulation (EU) 2016/679 of the European Parliament and of the Council (3) and Directive 2002/58/EC of the European Parliament and of the Council (4). To increase the level of protection for the data subjects, Regulation (EU) 2016/679 provides for the designation of a legal representative in the Union by controllers or processors that are not established in the Union but offer goods or services to data subjects in the Union or monitor the behaviour of data subjects if their behaviour takes place within the Union, unless the processing of data is occasional, does not include processing, on a large scale, of special categories of personal data or the processing of personal data relating to criminal convictions and offences, and is unlikely to result in a risk to the rights and freedoms of natural persons, taking into account the nature, context, scope and purposes of the processing or if the controller or processor is a public authority or body.

| (5) | By setting out harmonised rules on the designation of designated establishments and the appointment of legal representatives of certain service providers in the Union for receipt of, compliance with and enforcement of decisions and orders issued by competent authorities of the Member States, for the purposes of gathering electronic evidence in criminal proceedings, the existing obstacles to the free provision of services should be removed, and the imposition of divergent national approaches in that regard, in the future, should be prevented. A level playing field for service providers should therefore be established. Depending on whether service providers are or are not established in the Union, Member States should ensure that service providers designate a designated establishment or appoint a legal representative. Those harmonised rules on the designation of designated establishments and the appointment of legal representatives should not affect the obligations on service providers under other Union legislation. Moreover, more effective criminal law enforcement in the Union’s area of freedom, security and justice should be facilitated. |
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(5)

By setting out harmonised rules on the designation of designated establishments and the appointment of legal representatives of certain service providers in the Union for receipt of, compliance with and enforcement of decisions and orders issued by competent authorities of the Member States, for the purposes of gathering electronic evidence in criminal proceedings, the existing obstacles to the free provision of services should be removed, and the imposition of divergent national approaches in that regard, in the future, should be prevented. A level playing field for service providers should therefore be established. Depending on whether service providers are or are not established in the Union, Member States should ensure that service providers designate a designated establishment or appoint a legal representative. Those harmonised rules on the designation of designated establishments and the appointment of legal representatives should not affect the obligations on service providers under other Union legislation. Moreover, more effective criminal law enforcement in the Union’s area of freedom, security and justice should be facilitated.

| (6) | The designated establishments and legal representatives provided for in this Directive should serve as addressees for decisions and orders for the purpose of gathering electronic evidence on the basis of Regulation (EU) 2023/1543 of the European Parliament and of the Council (5), of Directive 2014/41/EU of the European Parliament and of the Council (6) and of the Convention established by the Council in accordance with Article 34 of the Treaty on the European Union, on Mutual Assistance in Criminal Matters between Member States of the European Union (7), including where those decisions and orders are transmitted in the form of a certificate.
  Recourse to the designated establishment or the legal representative should be in accordance with the procedures set out in the instruments and legislation applicable to the judicial proceedings, including where the instruments permit the direct serving of orders in cross-border situations on the designated establishment or legal representative of the service provider, or are based on cooperation between competent judicial authorities. The competent authorities of the Member State where the designated establishment is established or the legal representative resides should act in accordance with the role set out for them in the respective instrument where involvement is provided for. Member States should also be able to address decisions and orders for the purpose of gathering electronic evidence on the basis of national law to a natural or legal person acting as legal representative or designated establishment of a service provider on their territory. |
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(6)

The designated establishments and legal representatives provided for in this Directive should serve as addressees for decisions and orders for the purpose of gathering electronic evidence on the basis of Regulation (EU) 2023/1543 of the European Parliament and of the Council (5), of Directive 2014/41/EU of the European Parliament and of the Council (6) and of the Convention established by the Council in accordance with Article 34 of the Treaty on the European Union, on Mutual Assistance in Criminal Matters between Member States of the European Union (7), including where those decisions and orders are transmitted in the form of a certificate.

Recourse to the designated establishment or the legal representative should be in accordance with the procedures set out in the instruments and legislation applicable to the judicial proceedings, including where the instruments permit the direct serving of orders in cross-border situations on the designated establishment or legal representative of the service provider, or are based on cooperation between competent judicial authorities. The competent authorities of the Member State where the designated establishment is established or the legal representative resides should act in accordance with the role set out for them in the respective instrument where involvement is provided for. Member States should also be able to address decisions and orders for the purpose of gathering electronic evidence on the basis of national law to a natural or legal person acting as legal representative or designated establishment of a service provider on their territory.

| (7) | Member States should ensure that service providers that offer services in the Union on 18 February 2026 have the obligation to designate at least one designated establishment or to appoint at least one legal representative by 18 August 2026 and that service providers that start offering services in the Union after that date designate at least one designated establishment or appoint at least one legal representative within six months of the date when they start offering services in the Union. Without prejudice to data protection safeguards, such designated establishment or legal representative could be shared between several service providers, in particular by service providers that are small or medium-sized enterprises. |
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(7)

Member States should ensure that service providers that offer services in the Union on 18 February 2026 have the obligation to designate at least one designated establishment or to appoint at least one legal representative by 18 August 2026 and that service providers that start offering services in the Union after that date designate at least one designated establishment or appoint at least one legal representative within six months of the date when they start offering services in the Union. Without prejudice to data protection safeguards, such designated establishment or legal representative could be shared between several service providers, in particular by service providers that are small or medium-sized enterprises.

| (8) | The obligation to designate a designated establishment or to appoint a legal representative should apply to service providers that offer services in the Union, meaning in one or more Member States. Situations in which a service provider is established on the territory of a Member State and offers services exclusively on the territory of that Member State should not be covered by this Directive. |
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(8)

The obligation to designate a designated establishment or to appoint a legal representative should apply to service providers that offer services in the Union, meaning in one or more Member States. Situations in which a service provider is established on the territory of a Member State and offers services exclusively on the territory of that Member State should not be covered by this Directive.

| (9) | For the purpose of gathering electronic evidence in criminal proceedings, Member States should be able to continue addressing service providers established on their territory for purely domestic situations in accordance with Union law and their respective national law. Notwithstanding the possibilities currently provided for in domestic law to address service providers on their own territory, Member States should not circumvent the principles underlying this Directive or Regulation (EU) 2023/1543. |
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(9)

For the purpose of gathering electronic evidence in criminal proceedings, Member States should be able to continue addressing service providers established on their territory for purely domestic situations in accordance with Union law and their respective national law. Notwithstanding the possibilities currently provided for in domestic law to address service providers on their own territory, Member States should not circumvent the principles underlying this Directive or Regulation (EU) 2023/1543.

| (10) | Determining whether a service provider offers services in the Union requires an assessment as to whether the service provider enables natural or legal persons in one or more Member States to use its services. However, the mere accessibility of an online interface in the Union, such as for instance the accessibility of a website or an e-mail address or other contact details of a service provider or an intermediary, taken in isolation, should be considered insufficient to determine that a service provider offers services in the Union within the meaning of this Directive. |
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(10)

Determining whether a service provider offers services in the Union requires an assessment as to whether the service provider enables natural or legal persons in one or more Member States to use its services. However, the mere accessibility of an online interface in the Union, such as for instance the accessibility of a website or an e-mail address or other contact details of a service provider or an intermediary, taken in isolation, should be considered insufficient to determine that a service provider offers services in the Union within the meaning of this Directive.

| (11) | Determining whether a service provider offers services in the Union requires, in addition to assessing whether the service provider enables natural or legal persons in one or more Member States to use its services, establishing whether there is a substantial connection to the Union. Such a substantial connection to the Union should be considered to exist where the service provider has an establishment in the Union. In the absence of such an establishment, the criterion of a substantial connection should be based on specific factual criteria such as the existence of a significant number of users in one or more Member States, or the targeting of activities towards one or more Member States. The targeting of activities towards one or more Member States should be determined on the basis of all relevant circumstances, including factors such as the use of a language or a currency generally used in that Member State, or the possibility of ordering goods or services.
  The targeting of activities towards a Member State could also be derived from the availability of an application (‘app’) in the relevant national app store, from the provision of local advertising or advertising in the language generally used in that Member State, or from the handling of customer relations, such as by the provision of customer service in the language generally used in that Member State. A substantial connection should also be considered to exist where a service provider directs its activities towards one or more Member States as set out in Regulation (EU) No 1215/2012 of the European Parliament and of the Council (8). On the other hand, provision of a service for the purpose of mere compliance with the prohibition of discrimination laid down in Regulation (EU) 2018/302 of the European Parliament and of the Council (9) should not, without additional grounds, be considered as directing or targeting activities towards a given territory within the Union. The same considerations should apply when determining whether a service provider offers services in the territory of a Member State. |
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(11)

Determining whether a service provider offers services in the Union requires, in addition to assessing whether the service provider enables natural or legal persons in one or more Member States to use its services, establishing whether there is a substantial connection to the Union. Such a substantial connection to the Union should be considered to exist where the service provider has an establishment in the Union. In the absence of such an establishment, the criterion of a substantial connection should be based on specific factual criteria such as the existence of a significant number of users in one or more Member States, or the targeting of activities towards one or more Member States. The targeting of activities towards one or more Member States should be determined on the basis of all relevant circumstances, including factors such as the use of a language or a currency generally used in that Member State, or the possibility of ordering goods or services.

The targeting of activities towards a Member State could also be derived from the availability of an application (‘app’) in the relevant national app store, from the provision of local advertising or advertising in the language generally used in that Member State, or from the handling of customer relations, such as by the provision of customer service in the language generally used in that Member State. A substantial connection should also be considered to exist where a service provider directs its activities towards one or more Member States as set out in Regulation (EU) No 1215/2012 of the European Parliament and of the Council (8). On the other hand, provision of a service for the purpose of mere compliance with the prohibition of discrimination laid down in Regulation (EU) 2018/302 of the European Parliament and of the Council (9) should not, without additional grounds, be considered as directing or targeting activities towards a given territory within the Union. The same considerations should apply when determining whether a service provider offers services in the territory of a Member State.

| (12) | Different instruments falling within the scope of Title V, Chapter 4, of the Treaty on the Functioning of the European Union apply to the cooperation between Member States when gathering evidence in criminal proceedings. As a consequence of the variable geometry that exists in the Union’s area of freedom, security and justice, there is a need to ensure that this Directive does not facilitate the creation of further disparities or obstacles to the provision of services in the internal market by allowing service providers offering services on the territory of Member States to designate designated establishments or appoint legal representatives within Member States that do not take part in the relevant legal instruments. Therefore, at least one designated establishment or legal representative should be designated or appointed in a Member State that participates in the relevant Union legal instruments to avoid the risk of weakening the effectiveness of the designation or appointment provided for in this Directive and to make use of the synergies of having a designated establishment or a legal representative for the receipt of, compliance with and enforcement of decisions and orders falling within the scope of this Directive, including under Regulation (EU) 2023/1543, Directive 2014/41/EU and the Convention established by the Council in accordance with Article 34 of the Treaty on the European Union, on Mutual Assistance in Criminal Matters between Member States of the Union. In addition, designating a designated establishment or appointing a legal representative, which could also be utilised to ensure compliance with national legal obligations, would make it possible to benefit from the synergies of having a clear point of access to address service providers for the purpose of gathering evidence in criminal proceedings. |
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(12)

Different instruments falling within the scope of Title V, Chapter 4, of the Treaty on the Functioning of the European Union apply to the cooperation between Member States when gathering evidence in criminal proceedings. As a consequence of the variable geometry that exists in the Union’s area of freedom, security and justice, there is a need to ensure that this Directive does not facilitate the creation of further disparities or obstacles to the provision of services in the internal market by allowing service providers offering services on the territory of Member States to designate designated establishments or appoint legal representatives within Member States that do not take part in the relevant legal instruments. Therefore, at least one designated establishment or legal representative should be designated or appointed in a Member State that participates in the relevant Union legal instruments to avoid the risk of weakening the effectiveness of the designation or appointment provided for in this Directive and to make use of the synergies of having a designated establishment or a legal representative for the receipt of, compliance with and enforcement of decisions and orders falling within the scope of this Directive, including under Regulation (EU) 2023/1543, Directive 2014/41/EU and the Convention established by the Council in accordance with Article 34 of the Treaty on the European Union, on Mutual Assistance in Criminal Matters between Member States of the Union. In addition, designating a designated establishment or appointing a legal representative, which could also be utilised to ensure compliance with national legal obligations, would make it possible to benefit from the synergies of having a clear point of access to address service providers for the purpose of gathering evidence in criminal proceedings.

| (13) | Service providers should be free to choose in which Member State they designate their designated establishment or, where applicable, appoint their legal representative, and Member States should not be able to restrict that freedom of choice, for example by imposing an obligation to designate the designated establishment or to appoint the legal representative on their territory. However, this Directive should also provide for certain restrictions with regard to that freedom of choice of service providers, in particular concerning the fact that the designated establishment should be established, or where applicable, the legal representative should reside, in a Member State where the service provider provides services or is established, as well as provide for an obligation to designate a designated establishment or to appoint a legal representative in one of the Member States participating in a legal instrument referred to in this Directive. The sole appointment of a legal representative should not be considered to constitute establishment of the service provider. |
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(13)

Service providers should be free to choose in which Member State they designate their designated establishment or, where applicable, appoint their legal representative, and Member States should not be able to restrict that freedom of choice, for example by imposing an obligation to designate the designated establishment or to appoint the legal representative on their territory. However, this Directive should also provide for certain restrictions with regard to that freedom of choice of service providers, in particular concerning the fact that the designated establishment should be established, or where applicable, the legal representative should reside, in a Member State where the service provider provides services or is established, as well as provide for an obligation to designate a designated establishment or to appoint a legal representative in one of the Member States participating in a legal instrument referred to in this Directive. The sole appointment of a legal representative should not be considered to constitute establishment of the service provider.

| (14) | The service providers most relevant for gathering evidence in criminal proceedings are providers of electronic communications services and specific providers of information society services that facilitate interaction between users. Thus, both groups should be covered by this Directive. Electronic communication services are defined in Directive (EU) 2018/1972 of the European Parliament and of the Council (10) and include inter-personal communications services such as voice-over-IP, instant messaging and e-mail services. This Directive should also be applicable to information society service providers within the meaning of Directive (EU) 2015/1535 of the European Parliament and of the Council (11) that do not qualify as electronic communications service providers, but offer their users the ability to communicate with each other or offer their users services that can be used to store or otherwise process data on their behalf. This would be in line with the terms used in the Council of Europe Convention on Cybercrime (ETS No 185), done at Budapest on 23 November 2001, also referred to as the Budapest Convention. Processing of data should be understood in a technical sense, meaning the creation or manipulation of data, that is to say technical operations to produce or alter data by means of computer processing power.
  The categories of service providers covered by this Directive should include, for example, online marketplaces providing consumers and businesses with the ability to communicate with each other and other hosting services, including where the service is provided via cloud computing, as well as online gaming platforms and online gambling platforms. Where an information society service provider does not provide its users with the ability to communicate with each other, but only with the service provider, or does not provide the ability to store or otherwise process data, or where the storage of data is not a defining component, that is, an essential part, of the service provided to users, such as legal, architectural engineering and accounting services provided online at a distance, it should not fall within the scope of the definition of ‘service provider’ laid down in this Directive, even if the services provided by that service provider are information society services within the meaning of Directive (EU) 2015/1535. |
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(14)

The service providers most relevant for gathering evidence in criminal proceedings are providers of electronic communications services and specific providers of information society services that facilitate interaction between users. Thus, both groups should be covered by this Directive. Electronic communication services are defined in Directive (EU) 2018/1972 of the European Parliament and of the Council (10) and include inter-personal communications services such as voice-over-IP, instant messaging and e-mail services. This Directive should also be applicable to information society service providers within the meaning of Directive (EU) 2015/1535 of the European Parliament and of the Council (11) that do not qualify as electronic communications service providers, but offer their users the ability to communicate with each other or offer their users services that can be used to store or otherwise process data on their behalf. This would be in line with the terms used in the Council of Europe Convention on Cybercrime (ETS No 185), done at Budapest on 23 November 2001, also referred to as the Budapest Convention. Processing of data should be understood in a technical sense, meaning the creation or manipulation of data, that is to say technical operations to produce or alter data by means of computer processing power.

The categories of service providers covered by this Directive should include, for example, online marketplaces providing consumers and businesses with the ability to communicate with each other and other hosting services, including where the service is provided via cloud computing, as well as online gaming platforms and online gambling platforms. Where an information society service provider does not provide its users with the ability to communicate with each other, but only with the service provider, or does not provide the ability to store or otherwise process data, or where the storage of data is not a defining component, that is, an essential part, of the service provided to users, such as legal, architectural engineering and accounting services provided online at a distance, it should not fall within the scope of the definition of ‘service provider’ laid down in this Directive, even if the services provided by that service provider are information society services within the meaning of Directive (EU) 2015/1535.

| (15) | Providers of internet infrastructure services related to the assignment of names and numbers, such as domain name registries and registrars and privacy and proxy service providers or regional internet registries for internet protocol (‘IP’) addresses, are of particular relevance when it comes to the identification of actors behind malicious or compromised websites. They hold data that could make the identification of an individual or entity behind a website used in a criminal activity, or the victim of a criminal activity, possible. |
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(15)

Providers of internet infrastructure services related to the assignment of names and numbers, such as domain name registries and registrars and privacy and proxy service providers or regional internet registries for internet protocol (‘IP’) addresses, are of particular relevance when it comes to the identification of actors behind malicious or compromised websites. They hold data that could make the identification of an individual or entity behind a website used in a criminal activity, or the victim of a criminal activity, possible.

| (16) | Member States should ensure that service providers established or offering services on their territory provide their designated establishments and legal representatives with the necessary powers and resources to comply with decisions and orders falling within the scope of this Directive, received from any Member State. Member States should also verify that the designated establishments or legal representatives residing on their territory have received from the service providers the necessary powers and resources to comply with decisions and orders falling within the scope of this Directive, received from any Member State, and that they cooperate with the competent authorities when receiving such decisions and orders, in accordance with the applicable legal framework. The absence of such measures or shortcomings in those measures should not serve as grounds to justify non-compliance with decisions or orders falling within the scope of this Directive.
  In addition, service providers should not be able to justify their non-compliance with obligations deriving from the applicable legal framework upon the receipt of decisions or orders falling within the scope of this Directive on the grounds of the lack of, or of ineffective, internal procedures, as they are responsible for providing the necessary resources and powers to guarantee compliance with such decisions and orders. Designated establishments or legal representatives should also not be able to justify such non-compliance by claiming, for example, that they are not empowered to deliver data. To that end, Member States should ensure that both the designated establishment or the legal representative and the service provider can be held jointly and severally liable for non-compliance with obligations deriving from the applicable legal framework upon the receipt of decisions and orders falling within the scope of this Directive, so that each of them can be subject to penalties for non-compliance by any of them. In particular, it should not be possible for the service provider or the designated establishment, or the legal representative where applicable, to use the lack of appropriate internal procedures between the service provider and the designated establishment or the legal representative as a justification for non-compliance with those obligations. Joint and several liability should not apply for actions or omissions of either the service provider or the designated establishment, or the legal representative where applicable, which constitute a criminal offence in the Member State applying the penalties. |
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(16)

Member States should ensure that service providers established or offering services on their territory provide their designated establishments and legal representatives with the necessary powers and resources to comply with decisions and orders falling within the scope of this Directive, received from any Member State. Member States should also verify that the designated establishments or legal representatives residing on their territory have received from the service providers the necessary powers and resources to comply with decisions and orders falling within the scope of this Directive, received from any Member State, and that they cooperate with the competent authorities when receiving such decisions and orders, in accordance with the applicable legal framework. The absence of such measures or shortcomings in those measures should not serve as grounds to justify non-compliance with decisions or orders falling within the scope of this Directive.

In addition, service providers should not be able to justify their non-compliance with obligations deriving from the applicable legal framework upon the receipt of decisions or orders falling within the scope of this Directive on the grounds of the lack of, or of ineffective, internal procedures, as they are responsible for providing the necessary resources and powers to guarantee compliance with such decisions and orders. Designated establishments or legal representatives should also not be able to justify such non-compliance by claiming, for example, that they are not empowered to deliver data. To that end, Member States should ensure that both the designated establishment or the legal representative and the service provider can be held jointly and severally liable for non-compliance with obligations deriving from the applicable legal framework upon the receipt of decisions and orders falling within the scope of this Directive, so that each of them can be subject to penalties for non-compliance by any of them. In particular, it should not be possible for the service provider or the designated establishment, or the legal representative where applicable, to use the lack of appropriate internal procedures between the service provider and the designated establishment or the legal representative as a justification for non-compliance with those obligations. Joint and several liability should not apply for actions or omissions of either the service provider or the designated establishment, or the legal representative where applicable, which constitute a criminal offence in the Member State applying the penalties.

| (17) | Member States should ensure that each service provider established or offering services on their territory notifies in writing the central authority, as designated pursuant to this Directive, of the Member State where its designated establishment is established or its legal representative resides, of the contact details for that designated establishment or legal representative, and of any changes thereto. The notification should also provide information about the languages in which the designated establishment or the legal representative can be addressed, which should include one or more of the official languages as laid down in the national law of the Member State where the designated establishment is established or the legal representative resides, but can also include other official languages of the Union, such as the language of the Member State where their headquarters are located. Where a service provider designates several designated establishments or appoints several legal representatives in accordance with this Directive, Member States should ensure that such service provider indicates, for each designated establishment or legal representative, the precise territorial scope of its designation or appointment. The territory of all the Member States taking part in the instruments within the scope of this Directive should be covered. Member States should ensure that their respective competent authorities address all their decisions and orders pursuant to this Directive to the indicated designated establishment or legal representative of the service provider. Member States should ensure that the information notified to them in accordance with this Directive is publicly available on a dedicated web page of the European Judicial Network in criminal matters to facilitate coordination between Member States and the recourse to the designated establishment or legal representative by authorities from another Member State. Member States should ensure that such information is regularly updated. It should also be possible to further disseminate the information to facilitate access to that information by competent authorities, such as via dedicated intranet sites or forums and platforms. |
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(17)

Member States should ensure that each service provider established or offering services on their territory notifies in writing the central authority, as designated pursuant to this Directive, of the Member State where its designated establishment is established or its legal representative resides, of the contact details for that designated establishment or legal representative, and of any changes thereto. The notification should also provide information about the languages in which the designated establishment or the legal representative can be addressed, which should include one or more of the official languages as laid down in the national law of the Member State where the designated establishment is established or the legal representative resides, but can also include other official languages of the Union, such as the language of the Member State where their headquarters are located. Where a service provider designates several designated establishments or appoints several legal representatives in accordance with this Directive, Member States should ensure that such service provider indicates, for each designated establishment or legal representative, the precise territorial scope of its designation or appointment. The territory of all the Member States taking part in the instruments within the scope of this Directive should be covered. Member States should ensure that their respective competent authorities address all their decisions and orders pursuant to this Directive to the indicated designated establishment or legal representative of the service provider. Member States should ensure that the information notified to them in accordance with this Directive is publicly available on a dedicated web page of the European Judicial Network in criminal matters to facilitate coordination between Member States and the recourse to the designated establishment or legal representative by authorities from another Member State. Member States should ensure that such information is regularly updated. It should also be possible to further disseminate the information to facilitate access to that information by competent authorities, such as via dedicated intranet sites or forums and platforms.

| (18) | Member States should lay down the rules on penalties applicable to infringements of national provisions adopted pursuant to this Directive and should take all measures necessary to ensure that they are implemented. The penalties provided for should be effective, proportionate and dissuasive. Member States should, by the date set out in this Directive, notify the Commission of those rules and of those measures and should notify it, without delay, of any subsequent amendment affecting them. Member States should also inform the Commission on an annual basis about non-compliant service providers, relevant enforcement action taken against them and the penalties imposed. Under no circumstances should the penalties result in a ban, be it permanent or temporary, of the provision of services. Member States should coordinate their enforcement actions where a service provider offers services in several Member States. Central authorities should coordinate to ensure a coherent and proportionate approach. The Commission should facilitate such coordination if necessary, and should, in any event, be informed of cases of infringement. This Directive does not govern the contractual arrangements for transfer or shifting of financial consequences between service providers, designated establishments and legal representatives of penalties imposed upon them. |
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(18)

Member States should lay down the rules on penalties applicable to infringements of national provisions adopted pursuant to this Directive and should take all measures necessary to ensure that they are implemented. The penalties provided for should be effective, proportionate and dissuasive. Member States should, by the date set out in this Directive, notify the Commission of those rules and of those measures and should notify it, without delay, of any subsequent amendment affecting them. Member States should also inform the Commission on an annual basis about non-compliant service providers, relevant enforcement action taken against them and the penalties imposed. Under no circumstances should the penalties result in a ban, be it permanent or temporary, of the provision of services. Member States should coordinate their enforcement actions where a service provider offers services in several Member States. Central authorities should coordinate to ensure a coherent and proportionate approach. The Commission should facilitate such coordination if necessary, and should, in any event, be informed of cases of infringement. This Directive does not govern the contractual arrangements for transfer or shifting of financial consequences between service providers, designated establishments and legal representatives of penalties imposed upon them.

| (19) | When determining the appropriate penalties applicable to infringements by service providers, the competent authorities should take into account all relevant circumstances, such as the financial capacity of the service provider, the nature, gravity and duration of the infringement, whether it was committed intentionally or through negligence and whether the service provider was held responsible for similar previous infringements. Particular attention should, in this respect, be given to microenterprises. |
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(19)

When determining the appropriate penalties applicable to infringements by service providers, the competent authorities should take into account all relevant circumstances, such as the financial capacity of the service provider, the nature, gravity and duration of the infringement, whether it was committed intentionally or through negligence and whether the service provider was held responsible for similar previous infringements. Particular attention should, in this respect, be given to microenterprises.

| (20) | This Directive is without prejudice to the powers of national authorities in civil or administrative proceedings, including where such proceedings can lead to penalties. |
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(20)

This Directive is without prejudice to the powers of national authorities in civil or administrative proceedings, including where such proceedings can lead to penalties.

| (21) | In order to ensure that this Directive is applied in a consistent manner, additional mechanisms for the coordination between Member States should be put in place. For that purpose, Member States should designate one or more central authorities that can provide central authorities in other Member States with information and assistance in the application of this Directive, in particular where enforcement actions under this Directive are considered. That coordination mechanism should ensure that relevant Member States are informed of the intention of a Member State to undertake an enforcement action. In addition, Member States should ensure that central authorities are able to provide each other with any relevant information and with assistance in those circumstances, and cooperate with each other where relevant. Cooperation amongst central authorities in the case of an enforcement action could entail the coordination of an enforcement action between competent authorities in different Member States. Such cooperation should aim to avoid positive or negative conflicts of competence. For the coordination of an enforcement action, central authorities should also involve the Commission where relevant. The obligation of those authorities to cooperate should not prejudice the right of an individual Member State to impose penalties on service providers that fail to comply with their obligations under this Directive. The designation and publication of information about central authorities would facilitate the notification by service providers of the designation and contact details of their designated establishment or legal representative to the Member State where their designated establishment is established or legal representative resides. To that end, Member States should inform the Commission of their designated central authority or authorities, and the Commission should forward a list of designated central authorities to the Member States and make it publicly available. |
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(21)

In order to ensure that this Directive is applied in a consistent manner, additional mechanisms for the coordination between Member States should be put in place. For that purpose, Member States should designate one or more central authorities that can provide central authorities in other Member States with information and assistance in the application of this Directive, in particular where enforcement actions under this Directive are considered. That coordination mechanism should ensure that relevant Member States are informed of the intention of a Member State to undertake an enforcement action. In addition, Member States should ensure that central authorities are able to provide each other with any relevant information and with assistance in those circumstances, and cooperate with each other where relevant. Cooperation amongst central authorities in the case of an enforcement action could entail the coordination of an enforcement action between competent authorities in different Member States. Such cooperation should aim to avoid positive or negative conflicts of competence. For the coordination of an enforcement action, central authorities should also involve the Commission where relevant. The obligation of those authorities to cooperate should not prejudice the right of an individual Member State to impose penalties on service providers that fail to comply with their obligations under this Directive. The designation and publication of information about central authorities would facilitate the notification by service providers of the designation and contact details of their designated establishment or legal representative to the Member State where their designated establishment is established or legal representative resides. To that end, Member States should inform the Commission of their designated central authority or authorities, and the Commission should forward a list of designated central authorities to the Member States and make it publicly available.

| (22) | Since the objective of this Directive, namely to remove obstacles to the free provision of services in the framework of gathering electronic evidence in criminal proceedings, cannot be sufficiently achieved by the Member States, but can rather, by reason of the borderless nature of such services, 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 Directive does not go beyond what is necessary in order to achieve that objective. |
| --- | --- |

(22)

Since the objective of this Directive, namely to remove obstacles to the free provision of services in the framework of gathering electronic evidence in criminal proceedings, cannot be sufficiently achieved by the Member States, but can rather, by reason of the borderless nature of such services, 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 Directive does not go beyond what is necessary in order to achieve that objective.

| (23) | The European Data Protection Supervisor was consulted in accordance with Article 42(1) of Regulation (EU) 2018/1725 of the European Parliament and of the Council (12) and delivered an opinion on 6 November 2019 (13). |
| --- | --- |

(23)

The European Data Protection Supervisor was consulted in accordance with Article 42(1) of Regulation (EU) 2018/1725 of the European Parliament and of the Council (12) and delivered an opinion on 6 November 2019 (13).

| (24) | The Commission should carry out an evaluation of this Directive that should be based on the five criteria of efficiency, effectiveness, relevance, coherence and EU added value, and that evaluation should provide the basis for impact assessments of possible further measures. The evaluation should be completed by 18 August 2029, to allow for the gathering of sufficient data on its practical implementation. Information should be collected regularly in order to inform the evaluation of this Directive, |
| --- | --- |

(24)

The Commission should carry out an evaluation of this Directive that should be based on the five criteria of efficiency, effectiveness, relevance, coherence and EU added value, and that evaluation should provide the basis for impact assessments of possible further measures. The evaluation should be completed by 18 August 2029, to allow for the gathering of sufficient data on its practical implementation. Information should be collected regularly in order to inform the evaluation of this Directive,

HAVE ADOPTED THIS DIRECTIVE:

Article 1

Subject matter and scope

1.   This Directive lays down the rules on the designation of designated establishments and the appointment of legal representatives of certain service providers that offer services in the Union, for the receipt of, compliance with and enforcement of decisions and orders issued by competent authorities of the Member States, for the purposes of gathering electronic evidence in criminal proceedings.

2.   This Directive applies to decisions and orders for the purpose of gathering electronic evidence on the basis of Regulation (EU) 2023/1543, Directive 2014/41/EU and of the Convention established by the Council in accordance with Article 34 of the Treaty on European Union, on Mutual Assistance in Criminal Matters between Member States of the Union. This Directive equally applies to decisions and orders for the purpose of gathering electronic evidence on the basis of national law addressed by a Member State to a natural or legal person acting as legal representative or designated establishment of a service provider on the territory of that Member State.

3.   This Directive is without prejudice to the powers of national authorities in accordance with Union and national law to address service providers established on their territory directly, for the purposes of gathering electronic evidence in criminal proceedings.

4.   Member States shall not impose on service providers obligations additional to those deriving from this Directive, in particular with regard to the designation of designated establishments or the appointment of legal representatives, for the purposes set out in paragraph 1.

5.   This Directive applies to service providers as defined in Article 2, point (1), that offer their services in the Union. It does not apply to service providers established on the territory of a single Member State that offer services exclusively on the territory of that Member State.

Article 2

Definitions

For the purpose of this Directive, the following definitions apply:

| (1) | ‘service provider’ means any natural or legal person that provides one or more of the following categories of services, with the exception of financial services referred to in Article 2(2), point (b), of Directive 2006/123/EC of the European Parliament and of the Council (14):






  (a) | electronic communications services as defined in Article 2, point (4), of Directive (EU) 2018/1972; |
| --- | --- | --- |

(1)

‘service provider’ means any natural or legal person that provides one or more of the following categories of services, with the exception of financial services referred to in Article 2(2), point (b), of Directive 2006/123/EC of the European Parliament and of the Council (14):

(a)

electronic communications services as defined in Article 2, point (4), of Directive (EU) 2018/1972;

| (b) | internet domain name and IP numbering services, such as IP address assignment, domain name registry, domain name registrar and domain name-related privacy and proxy services; |
| --- | --- |

(b)

internet domain name and IP numbering services, such as IP address assignment, domain name registry, domain name registrar and domain name-related privacy and proxy services;

| (c) | other information society services as referred to in Article 1(1), point (b), of Directive (EU) 2015/1535 that:






  (i) | enable their users to communicate with each other; or |
| --- | --- | --- |

(c)

other information society services as referred to in Article 1(1), point (b), of Directive (EU) 2015/1535 that:

(i)

enable their users to communicate with each other; or

| (ii) | make it possible to store or otherwise process data on behalf of the users to whom the service is provided, provided that the storage of data is a defining component of the service provided to the user; |
| --- | --- |

(ii)

make it possible to store or otherwise process data on behalf of the users to whom the service is provided, provided that the storage of data is a defining component of the service provided to the user;

| (2) | ‘offering services on the territory of a Member State’ means:






  (a) | enabling natural or legal persons in a Member State to use the services listed in point (1); and |
| --- | --- | --- |

(2)

‘offering services on the territory of a Member State’ means:

(a)

enabling natural or legal persons in a Member State to use the services listed in point (1); and

| (b) | having a substantial connection, based on specific factual criteria, to the Member State referred to in point (a); such a substantial connection is to be considered to exist where the service provider has an establishment in that Member State, or, in the absence of such an establishment, where there is a significant number of users in that Member State, or where there is targeting of activities towards that Member State; |
| --- | --- |

(b)

having a substantial connection, based on specific factual criteria, to the Member State referred to in point (a); such a substantial connection is to be considered to exist where the service provider has an establishment in that Member State, or, in the absence of such an establishment, where there is a significant number of users in that Member State, or where there is targeting of activities towards that Member State;

| (3) | ‘offering services in the Union’ means:






  (a) | enabling natural or legal persons in a Member State to use the services listed in point (1); and |
| --- | --- | --- |

(3)

‘offering services in the Union’ means:

(a)

enabling natural or legal persons in a Member State to use the services listed in point (1); and

| (b) | having a substantial connection, based on specific factual criteria, to the Member State referred to in point (a); such a substantial connection is to be considered to exist where the service provider has an establishment in a Member State, or, in the absence of such an establishment, where there is a significant number of users in one or more Member States, or where there is targeting of activities towards one or more Member States; |
| --- | --- |

(b)

having a substantial connection, based on specific factual criteria, to the Member State referred to in point (a); such a substantial connection is to be considered to exist where the service provider has an establishment in a Member State, or, in the absence of such an establishment, where there is a significant number of users in one or more Member States, or where there is targeting of activities towards one or more Member States;

| (4) | ‘establishment’ means an entity that actually pursues an economic activity for an indefinite period through a stable infrastructure from where the business of providing services is carried out or the business is managed; |
| --- | --- |

(4)

‘establishment’ means an entity that actually pursues an economic activity for an indefinite period through a stable infrastructure from where the business of providing services is carried out or the business is managed;

| (5) | ‘designated establishment’ means an establishment with legal personality designated in writing by a service provider established in a Member State taking part in a legal instrument referred to in Article 1(2), for the purposes referred to in Article 1(1) and Article 3(1); |
| --- | --- |

(5)

‘designated establishment’ means an establishment with legal personality designated in writing by a service provider established in a Member State taking part in a legal instrument referred to in Article 1(2), for the purposes referred to in Article 1(1) and Article 3(1);

| (6) | ‘legal representative’ means a natural or legal person appointed in writing by a service provider not established in a Member State taking part in a legal instrument referred to in Article 1(2), for the purposes referred to in Article 1(1) and Article 3(1). |
| --- | --- |

(6)

‘legal representative’ means a natural or legal person appointed in writing by a service provider not established in a Member State taking part in a legal instrument referred to in Article 1(2), for the purposes referred to in Article 1(1) and Article 3(1).

Article 3

Designated establishments and legal representatives

1.   Member States shall ensure that service providers offering services in the Union designate or appoint at least one addressee for the receipt of, compliance with and enforcement of decisions and orders falling within the scope laid down in Article 1(2) (‘decisions and orders falling within the scope laid down in Article 1(2)’) issued by competent authorities of Member States for the purpose of gathering evidence in criminal proceedings, as follows:

| (a) | for service providers established in the Union with legal personality, the Member States where the service providers are established shall ensure that such service providers designate the designated establishment or designated establishments responsible for the activities described in the introductory part of this paragraph; |
| --- | --- |

(a)

for service providers established in the Union with legal personality, the Member States where the service providers are established shall ensure that such service providers designate the designated establishment or designated establishments responsible for the activities described in the introductory part of this paragraph;

| (b) | for service providers that are not established in the Union, with legal personality, Member States shall ensure that such service providers offering services on their territory appoint the legal representative or legal representatives responsible for the activities described in the introductory part of this paragraph in Member States taking part in the instruments referred to in Article 1(2); |
| --- | --- |

(b)

for service providers that are not established in the Union, with legal personality, Member States shall ensure that such service providers offering services on their territory appoint the legal representative or legal representatives responsible for the activities described in the introductory part of this paragraph in Member States taking part in the instruments referred to in Article 1(2);

| (c) | for service providers established in Member States not taking part in the instruments referred to in Article 1(2), Member States shall ensure that such service providers offering services on their territory appoint the legal representative or legal representatives responsible for the activities described in the introductory part of this paragraph in Member States taking part in such instruments. |
| --- | --- |

(c)

for service providers established in Member States not taking part in the instruments referred to in Article 1(2), Member States shall ensure that such service providers offering services on their territory appoint the legal representative or legal representatives responsible for the activities described in the introductory part of this paragraph in Member States taking part in such instruments.

2.   Member States shall ensure that the addressees referred to in paragraph 1:

| (a) | are established or reside in a Member State where the service providers offer their services; and |
| --- | --- |

(a)

are established or reside in a Member State where the service providers offer their services; and

| (b) | can be subject to enforcement procedures. |
| --- | --- |

(b)

can be subject to enforcement procedures.

3.   Member States shall ensure that decisions and orders falling within the scope laid down in Article 1(2) are addressed to the designated establishment or legal representative designated or appointed for that purpose in accordance with paragraph 1 of this Article.

4.   Member States shall ensure that service providers established or offering services on their territory provide their designated establishments and legal representatives with the necessary powers and resources to comply with decisions and orders falling within the scope laid down in Article 1(2) received from a Member State. Member States shall also verify that the designated establishments established or legal representatives residing on their territory have received from the service providers the necessary powers and resources to comply with those decisions and orders received from a Member State and that they cooperate with the competent authorities when receiving those decisions and orders, in accordance with the applicable legal framework.

5.   Member States shall ensure that both the designated establishment or the legal representative and the service provider can be held jointly and severally liable for non-compliance with obligations deriving from the applicable legal framework upon the receipt of decisions and orders falling within the scope laid down in Article 1(2), so that each of them may be subject to penalties for non-compliance by any of them. In particular, Member States shall ensure that it is not possible for the service provider or the designated establishment, or the legal representative where applicable, to use the lack of appropriate internal procedures between the service provider and the designated establishment or the legal representative as a justification for non-compliance with those obligations. Joint and several liability shall not apply for actions or omissions of either the service provider or the designated establishment, or the legal representative where applicable, which constitute a criminal offence in the Member State applying the penalties.

6.   Member States shall ensure that service providers that offer services in the Union on 18 February 2026 have the obligation to designate designated establishments or to appoint legal representatives by 18 August 2026 and that service providers that start offering services in the Union after 18 February 2026 have the obligation to designate designated establishments or to appoint legal representatives within six months of the date when they start offering services in the Union.

Article 4

Notifications and languages

1.   Member States shall ensure that each service provider established or offering services in their territory notifies in writing the central authority, as designated pursuant to Article 6, of the Member State where its designated establishment is established or where its legal representative resides, of the contact details for that establishment or legal representative, and of any changes thereto.

2.   The notification referred to in paragraph 1 shall specify the official language or languages of the Union, as referred to in Council Regulation No 1 (15), in which the legal representative or designated establishment can be addressed. Those languages shall include one or more of the official languages as laid down in the national law of the Member State where the designated establishment is established or where the legal representative resides.

3.   Where a service provider designates several designated establishments or appoints several legal representatives in accordance with Article 3(1), Member States shall ensure that such service providers specify, in the notification referred to in paragraph 1 of this Article, the precise territorial scope of the designation or appointment of those designated establishments or legal representatives. The notification shall specify the official language or languages of the Union or Member States in which each of the designated establishments or legal representatives can be addressed.

4.   Member States shall ensure that the information notified to them in accordance with this Article is made publicly available on a dedicated web page of the European Judicial Network in criminal matters. Member States shall ensure that that information is regularly updated. That information may be further disseminated to facilitate access by competent authorities.

Article 5

Penalties

Member States shall lay down the rules on penalties applicable to infringements of national provisions adopted pursuant to Articles 3 and 4 and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive. Member States shall, by 18 February 2026, notify the Commission of those rules and of those measures and shall notify it, without delay, of any subsequent amendment affecting them. Member States shall also inform the Commission on an annual basis about non-compliant service providers, relevant enforcement action taken against them and the penalties imposed.

Article 6

Central authorities

1.   In accordance with their legal systems, Member States shall designate one or more central authorities to ensure that this Directive is applied in a consistent and proportionate manner.

2.   Member States shall inform the Commission of the central authority, or central authorities, they designate pursuant to paragraph 1. The Commission shall forward a list of designated central authorities to the Member States and make it publicly available.

3.   Member States shall ensure that their central authorities coordinate and cooperate with each other and, where relevant, with the Commission, and that the central authorities provide any appropriate information and assistance to each other in order to apply this Directive in a consistent and proportionate manner. Such coordination, cooperation and provision of information and assistance shall cover, in particular, enforcement actions.

Article 7

Transposition

1.   Member States shall bring into force the laws, regulations and administrative provisions necessary to comply with this Directive by 18 February 2026. They shall immediately communicate the text of those measures to the Commission.

2.   When Member States adopt those measures, they shall contain a reference to this Directive or be accompanied by such a reference on the occasion of their official publication. Member States shall determine how such reference is to be made.

3.   Member States shall communicate to the Commission the text of the measures of national law which they adopt in the field covered by this Directive.

Article 8

Evaluation

By 18 August 2029, the Commission shall carry out an evaluation of this Directive. The Commission shall transmit the evaluation report to the European Parliament and the Council. The evaluation shall be conducted in accordance with the Commission’s better regulation guidelines. Member States shall provide the Commission with the information necessary for the preparation of that report.

Article 9

Entry into force

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

Article 10

Addressees

This Directive is addressed to the Member States in accordance with the Treaties.

Done at Strasbourg, 12 July 2023.

For the European Parliament

The President

R. METSOLA

For the Council

The President

P. NAVARRO RÍOS

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(1)  OJ C 367, 10.10.2018, p. 88.

1

(2)  Position of the European Parliament of 13 June 2023 (not yet published in the Official Journal) and decision of the Council of 27 June 2023.

2

(3)  Regulation (EU) 2016/679 of the European Parliament and of the Council of 27 April 2016 on the protection of natural persons with regard to the processing of personal data and on the free movement of such data, and repealing Directive 95/46/EC (General Data Protection Regulation) (OJ L 119, 4.5.2016, p. 1).

3

(4)  Directive 2002/58/EC of the European Parliament and of the Council of 12 July 2002 concerning the processing of personal data and the protection of privacy in the electronic communications sector (Directive on privacy and electronic communications) (OJ L 201, 31.7.2002, p. 37).

4

(5)  Regulation (EU) 2023/1543 of the European Parliament and of the Council of 12 July 2023 on European Production Orders and European Preservation orders for electronic evidence in criminal proceedings and for the execution of custodial sentences following criminal proceedings (see page 118 of this Official Journal).

5

(6)  Directive 2014/41/EU of the European Parliament and of the Council of 3 April 2014 regarding the European Investigation Order in criminal matters (OJ L 130, 1.5.2014, p. 1).

6

(7)  Convention established by the Council in accordance with Article 34 of the Treaty on the European Union, on Mutual Assistance in Criminal Matters between the Member States of the European Union (OJ C 197, 12.7.2000, p. 3) and its Protocol (OJ C 326, 21.11.2001, p. 2).

7

(8)  Regulation (EU) No 1215/2012 of the European Parliament and of the Council of 12 December 2012 on jurisdiction and the recognition and enforcement of judgments in civil and commercial matters (OJ L 351, 20.12.2012, p. 1).

8

(9)  Regulation (EU) 2018/302 of the European Parliament and of the Council of 28 February 2018 on addressing unjustified geo-blocking and other forms of discrimination based on customers’ nationality, place of residence or place of establishment within the internal market and amending Regulations (EC) No 2006/2004 and (EU) 2017/2394 and Directive 2009/22/EC (OJ L 60 I, 2.3.2018, p. 1).

9

(10)  Directive (EU) 2018/1972 of the European Parliament and of the Council of 11 December 2018 establishing the European Electronic Communications Code (OJ L 321, 17.12.2018, p. 36).

10

(11)  Directive (EU) 2015/1535 of the European Parliament and of the Council of 9 September 2015 laying down a procedure for the provision of information in the field of technical regulations and of rules on Information Society services (OJ L 241, 17.9.2015, p. 1).

11

(12)  Regulation (EU) 2018/1725 of the European Parliament and of the Council of 23 October 2018 on the protection of natural persons with regard to the processing of personal data by the Union institutions, bodies, offices and agencies and on the free movement of such data, and repealing Regulation (EC) No 45/2001 and Decision No 1247/2002/EC (OJ L 295, 21.11.2018, p. 39).

12

(13)  OJ C 32, 31.1.2020, p. 11.

13

(14)  Directive 2006/123/EC of the European Parliament and of the Council of 12 December 2006 on services in the internal market (OJ L 376, 27.12.2006, p. 36).

14

(15)  Council Regulation No 1 determining the languages to be used by the European Economic Community (OJ 17, 6.10.1958, p. 385).

15

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