Legal provisions of COM(2020)798 - Batteries and waste batteries - Main contents
Please note
This page contains a limited version of this dossier in the EU Monitor.
| dossier | COM(2020)798 - Batteries and waste batteries. |
|---|---|
| document | COM(2020)798  |
| date | July 12, 2023 |
Chapter I General provisions
Article 1 Subject matter and scope
1. This Regulation establishes requirements on sustainability, safety, labelling and information to allow the placing on the market or putting into service of batteries, as well as requirements for the collection, treatment and recycling of waste batteries.
2. This Regulation shall apply to all batteries, namely portable batteries, automotive batteries, electric vehicle batteries and industrial batteries, regardless of their shape, volume, weight, design, material composition, use or purpose. It shall also apply to batteries incorporated in or added to other products.
3. This Regulation shall not apply to batteries in:
(a) equipment connected with the protection of Member States' essential security interests, arms, munitions and war material, with the exclusion of products that are not intended for specifically military purposes; and
(b) equipment designed to be sent into space.
Article 2 Definitions
For the purposes of this Regulation, the following definitions shall apply:
(1) ‘battery’ means any source of electrical energy generated by direct conversion of chemical energy and consisting of one or more non-rechargeable or rechargeable battery cells or of groups of them;
(2) ‘battery cell’ means the basic functional unit in a battery constituted by electrodes, electrolyte, container, terminals and, if applicable, separators and containing the active materials the reaction of which generates electrical energy;
(3) ‘active materials’ means material which reacts chemically to produce electric energy when the battery cell discharges;
(4) ‘non-rechargeable battery’ means a battery that is not designed to be electrically recharged;
(5) ‘ rechargeable battery’ means a battery that is designed to be electrically recharged;
(6) ‘battery with internal storage’ means a battery with no attached external devices to store energy;
(7) ‘portable battery’ means any battery that: – is sealed;
– weighs below 5 kg;
– is not designed for industrial purposes; and
– is neither an electric vehicle battery nor an automotive battery;
(8) ‘portable batteries of general use’ means portable batteries with the following common formats: 4,5 Volts (3R12), D, C, AA, AAA, AAAA, A23, 9 Volts (PP3);
(9) ‘light means of transport’ means wheeled vehicles that have an electric motor of less than 750 watts, on which travellers are seated when the vehicle is moving and that can be powered by the electric motor alone or by a combination of motor and human power;
(10) ‘automotive battery’ means any battery used only for automotive starter, lighting or ignition power;
(11) ‘industrial battery’ means any battery designed for industrial uses and any other battery excluding portable batteries, electric vehicle batteries and automotive batteries;
(12) ‘electric vehicle battery’ means any battery specifically designed to provide traction to hybrid and electric vehicles for road transport;
(13) ‘stationary battery energy storage system’ means a rechargeable industrial battery with internal storage specifically designed to store and deliver electric energy into the grid, regardless of where and by whom this battery is being used;
(14) ‘placing on the market’ means making available a battery for the first time on the Union market;
(15) ‘making available on the market’ means any supply of a battery for distribution or use on the market in the course of a commercial activity, whether in return for payment or free of charge;
(16) ‘putting into service’ means the first use, for its intended purpose, in the Union, of a battery;
(17) ‘battery model’ is any manufactured battery that is produced in series;
(18) ‘carbon footprint’ means the sum of greenhouse gas (GHG) emissions and GHG removals in a product system, expressed as carbon dioxide (CO2) equivalents and based on a Product Environmental Footprint (PEF) study using the single impact category of climate change ;
(19) ‘economic operator’ means the manufacturer, the authorised representative, the importer, the distributor or the fulfilment service provider who is subject to obligations in relation to manufacturing batteries, making them available or placing them on the market or putting them into service in accordance with the present Regulation;
(20) ‘independent operator’ means a natural or legal person, other than an authorised dealer or repairer or remanufacturer, who is independent from the manufacturer and the producer and is directly or indirectly involved in the repair, maintenance or repurposing of batteries, and include waste management operators, repairers, manufacturers or distributors of repair equipment, tools or spare parts, as well as publishers of technical information, operators offering inspection and testing services, operators offering training for installers, manufacturers and repairers of equipment for alternative-fuel vehicles;
(21) ‘QR code’ means a matrix barcode that links to information about a battery model;
(22) ‘battery management system’ means an electronic device that controls or manages the electric and thermal functions of the battery, that manages and stores the data on
the parameters for determining the state of health and expected lifetime of batteries laid down in Annex VII and that communicates with the vehicle or appliance in which the battery is incorporated;
(23) ‘appliance’ means any electrical or electronic equipment, as defined by Directive 2012/19/EU, which is fully or partly powered by a battery or is capable of being so;
(24) ‘state of charge’ means the available capacity in a battery expressed as a percentage of rated capacity;
(25) ‘state of health’ means a measure of the general condition of a rechargeable battery and its ability to deliver the specified performance compared with its initial condition;
(26) ‘repurposing’ means any operation that results in parts or the complete battery being used for a different purpose or application than the one that the battery was originally designed for;
(27) ‘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;
(28) ‘technical specification’ means a document that prescribes technical requirements to be fulfilled by a product, process or service;
(29) ‘harmonised standard’ means a standard as defined in Article 2(1)(c) of Regulation (EU) No 1025/2012;
(30) ‘CE marking’ means a marking by which the manufacturer indicates that the battery is in conformity with the applicable requirements set out in Union harmonisation legislation providing for its affixing;
(31) ‘accreditation’ means accreditation as defined in Article 2(10) of Regulation (EC) No 765/2008;
(32) ‘national accreditation body’ a national accreditation body as defined in Article 2(11) of Regulation (EC) No 765/2008;
(33) ‘conformity assessment’ means the process demonstrating whether the sustainability, safety and labelling requirements of this Regulation relating to a battery have been fulfilled;
(34) ‘conformity assessment body’ means a body that performs conformity assessment activities including calibration, testing, certification and inspection;
(35) ‘notified body’ means a conformity assessment body notified in accordance with Article 22 of this Regulation;
(36) ‘supply chain due diligence’ means the obligations of the economic operator which places a rechargeable industrial battery or an electric-vehicle battery on the market, in relation to its management system, risk management, third party verifications by notified bodies and disclosure of information with a view to identifying and addressing actual and potential risks linked to the sourcing, processing and trading of the raw materials required for battery manufacturing;
(37) ‘producer’ means any manufacturer, importer or distributor who, irrespective of the selling technique used, including by means of distance contracts as defined in Article 2(7) of Directive 2011/83/EU, supplies a battery for the first time for distribution or
use, including when incorporated into appliances or vehicles, within the territory of a Member State on a professional basis;
(38) ‘producer responsibility organisation’ means a legal entity that financially or operationally organises the fulfilment of extended producer responsibility obligations on behalf of several producers;
(39) ‘waste battery’ means any battery which is waste within the meaning of Article 3(1) of Directive 2008/98/EC;
(40) ‘reuse’ means the complete or partial direct re-use of the battery for the original purpose the battery was designed for;
(41) ‘hazardous substance’ means any substance which fulfils the criteria for any of the following hazard classes or categories set out in Annex I of Regulation (EC) No 1272/2008 of the European Parliament and of the Council46:
(a) hazard classes 2.1 to 2.4, 2.6 and 2.7, 2.8 types A and B, 2.9, 2.10, 2.12, 2.13 categories 1 and 2, 2.14 categories 1 and 2, 2.15 types A to F;
(b) hazard classes 3.1 to 3.6, 3.7 adverse effects on sexual function and fertility or on development, 3.8 effects other than narcotic effects, 3.9 and 3.10;
(c) hazard class 4.1;
(d) hazard class 5.1;
(42) ‘treatment’ means any activity carried out on waste batteries after they have been handed over to a facility for sorting or preparation for recycling;
(43) ‘voluntary collection points’ means any non-profit, commercial or other economic undertaking or public body involved on their own initiative in the separate collection of waste portable batteries, by collecting the waste portable batteries it generates or which are generated by other end-users before they are picked up by waste management operators for subsequent treatment;
(44) ‘waste management operator’ means any natural or legal person dealing on a professional basis with the separate collection, sorting, or treatment of waste batteries;
(45) ‘permitted facility’ means any facility that is permitted in accordance with Directive 2008/98/EC to carry out the treatment or recycling of waste batteries;
(46) ‘recycler’ means any natural or legal person established in the Union who carries out recycling processes in a permitted facility;
(47) ‘lifetime’ of a battery means the period of time that starts when the battery is placed on the market, and ends when the battery becomes waste;
(48) ‘level of recycling’ means, for a given Member State in a given calendar year, the percentage obtained by dividing the weight of waste batteries that undergo treatment and recycling in accordance with Article 56 of this Regulation in that calendar year, by the weight of waste batteries collected in accordance with Articles 48 and 49 of this Regulation;
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)
46
(49) ‘recycling process’ means any recycling operation of waste batteries, excluding sorting or preparation for recycling, that may be carried out in a single or several permitted facilities;
(50) ‘recycling efficiency’ of a recycling process means the ratio obtained by dividing the mass of output fractions accounting for recycling by the mass of the waste batteries input fraction, expressed as a percentage;
(51) ‘Union harmonisation legislation’ means any Union legislation harmonising the conditions for the marketing of products;
(52) ‘national authority’ means an approval authority or any other authority involved in and responsible for market surveillance as set out in Chapter VI or border control in a Member State in respect of batteries;
(53) ‘authorised representative’ means any natural or legal person established in the Union who has received a written mandate from a manufacturer to act on its behalf in relation to specified tasks with regard to the manufacturer’s obligations under the requirements of this Regulation;
(54) ‘importer’ means any natural or legal person established within the Union who places a battery from a third country on the Union market;
(55) ‘distributor’ means any natural or legal person in the supply chain, other than the manufacturer or the importer, who makes a battery available on the market;
(56) ‘risk’ means the combination of the probability of occurrence of harm and the severity of that harm limited to human health or safety of persons, to property or to the environment.
The definitions of ‘waste’, ‘waste holder’, ‘waste management’, ‘collection’, ‘separate collection’, ‘prevention’, ‘preparing for re-use’, ‘recovery’ and ‘recycling’ laid down in Article 3 of Directive 2008/98/EC shall apply.
The definitions of ‘end-user’, ‘market surveillance’, ‘market surveillance authority’, ‘fulfilment service provider’, ‘corrective action’, ‘recall’ and ‘withdrawal’ laid down in Article 3 of Regulation (EU) 2019/1020 shall apply.
The definitions of ‘independent aggregator’ and ‘market participant’ laid down in Article 2 of Directive (EU) 2019/944 shall apply.
Article 3 Free movement
1. Member States shall not, for reasons relating to sustainability, safety, labelling and information requirements of batteries or management of waste 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 such batteries do not comply with this Regulation and that they are not for sale until they have been brought into conformity.
Article 4 Sustainability, safety, labelling and information requirements for batteries
1. Batteries shall only be placed on the market or put into service if they meet:
(a) the sustainability and safety requirements set out in Chapter II;
(b) the labelling and information requirements set out Chapter III.
2. For any aspects not covered by Chapters II and III, batteries shall not present a risk to human health, to safety, to property or to the environment.
Article 5 Competent authority
1. Member States shall designate one or more competent authorities responsible for carrying out obligations arising from Chapter VII and monitoring and verifying compliance of the producers and producer responsibility organisations with the requirements of that Chapter.
2. Member States shall lay down the details of the competent authority’s or authorities’ organisation and operation, including the administrative and procedural rules to ensure:
(a) the registration of producers in accordance with Article 46;
(b) the authorisation of producers and producer responsibility organisations in accordance with Article 47 and the authorisation and monitoring regarding the requirements under Article 48;
(c) the oversight of implementation of extended producer responsibility obligations in accordance with Article 47;
(d) the collection of data on batteries in accordance with Article 61;
(e) making information available in accordance with Article 62.
3. By [three months after the date of entry into force of this Regulation], 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.
Chapter II Sustainability and safety requirements
Article 6 Restrictions of hazardous substances
1. In addition to the restrictions set out in Annex XVII of Regulation (EC) No 1907/2006, batteries shall not contain hazardous substances for which Annex I contains a restriction unless they comply with the conditions of that restriction.
2. When there is an unacceptable risk to human health or the environment, arising from the use of a substance in the manufacture of batteries, or from a substance present in the batteries when they are placed on the market, or during their subsequent life cycle stages, including the waste phase, that needs to be addressed on a Union-wide basis, the Commission shall adopt a delegated act in accordance with the procedure
referred to in Article 73 to amend the restrictions in Annex I, pursuant to the procedure laid down in Article 71.
3. In adopting a delegated act referred to in paragraph 2, the Commission shall take into account the socio-economic impact of the restriction, including the availability of alternatives for the hazardous substance.
4. Restrictions adopted pursuant to paragraph 2 shall not apply to the use of a substance in scientific research and development (of batteries) as defined in Article 3(23) of Regulation (EC) No 1907/2006.
5. If a restriction adopted pursuant to paragraph 2 shall not apply to product and process oriented research and development, as defined in Article 3(22) of Regulation (EC) No 1907/2006, this exemption, as well as the maximum quantity of the substance exempted, shall be specified in Annex I.
Article 7 Carbon footprint of electric vehicle batteries and rechargeable industrial batteries
1. Electric vehicle batteries and rechargeable industrial batteries with internal storage
and a capacity above 2 kWh shall be accompanied by technical documentation that includes, for each battery model and batch per manufacturing plant, a carbon footprint declaration drawn up in accordance with the delegated act referred to in the second sub-paragraph and containing, at least, the following information:
(a) administrative information about the producer;
(b) information about the battery for which the declaration applies;
(c) information about the geographic location of the battery manufacturing facility;
(d) the total carbon footprint of the battery, calculated as kg of carbon dioxide equivalent;
(e) the carbon footprint of the battery differentiated per life cycle stage as described in point 4 of Annex II;
(f) the independent third party verification statement;
(g) a web link to get access to a public version of the study supporting the carbon footprint declaration results.
The carbon footprint declaration requirement in the first subparagraph shall apply as of 1 July 2024 to electric vehicle batteries and to rechargeable industrial batteries.
The Commission shall, no later than 1 July 2023, adopt:
(a) a delegated act in accordance with Article 73 to supplement this Regulation by establishing the methodology to calculate the total carbon footprint of the battery referred to in point (d), in accordance with the essential elements set out in Annex II;
(b) an implementing act establishing the format for the carbon footprint declaration referred to in the first subparagraph. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 74(3).
The Commission shall be empowered to adopt delegated acts in accordance with Article 73 to amend the information requirements set out in the first subparagraph.
2. Electric vehicle batteries and rechargeable industrial batteries with internal storage
and a capacity above 2 kWh shall bear a conspicuous, clearly legible and indelible label indicating the carbon footprint performance class that the individual battery corresponds to.
In addition to the information set out in paragraph 1, the technical documentation 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 act adopted by the Commission pursuant to the fourth subparagraph.
The carbon footprint performance class requirements in the first subparagraph shall apply as of 1 January 2026 for electric vehicle batteries and for rechargeable industrial batteries.
The Commission shall, no later than 31 December 2024, adopt
(a) a delegated act in accordance with Article 73 to supplement this Regulation by establishing the carbon footprint performance classes referred to in the first subparagraph. In preparing that delegated act, the Commission shall take into account the relevant essential elements set out in 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 the second subparagraph. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 74(3).
3. Electric vehicle batteries and rechargeable industrial batteries with internal storage
and a capacity above 2 kWh shall, for each battery model and batch per manufacturing plant, be accompanied by technical documentation demonstrating that the declared life cycle carbon footprint value, is below the maximum threshold established in the delegated act adopted by the Commission pursuant to the third subparagraph.
The requirement for a maximum life cycle carbon footprint threshold in the first subparagraph shall apply as of 1 July 2027 for electric vehicle batteries and for rechargeable industrial batteries.
The Commission shall, no later than 1 July 2026, adopt a delegated act in accordance with Article 73 to supplement this Regulation by determining the maximum life cycle carbon footprint threshold referred to in the first subparagraph. In preparing that delegated act, the Commission shall take into account the relevant essential elements set out in Annex II.
The introduction of a maximum life cycle carbon footprint threshold shall trigger, if necessary, a reclassification of the carbon footprint performance classes of the batteries referred to in paragraph 2.
Article 8 Recycled content in industrial batteries, electric vehicle batteries and automotive batteries
1. From 1 January 2027, industrial batteries, electric vehicle batteries and automotive
batteries with internal storage and a capacity above 2 kWh that contain cobalt, lead, lithium or nickel in active materials shall be accompanied by technical documentation containing information about the amount of cobalt, lead, lithium or
nickel recovered from waste present in active materials in each battery model and batch per manufacturing plant.
By 31 December 2025, the Commission shall adopt an implementing act laying down the methodology for the calculation and verification of the amount of cobalt, lead, lithium or nickel recovered from waste present in active materials in the batteries referred to in the first subparagraph and the format for the technical documentation. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 74(3).
2. From 1 January 2030, industrial batteries, electric vehicle batteries and automotive batteries with internal storage and a capacity above 2 kWh that contain cobalt, lead, lithium or nickel in active materials shall be accompanied by technical documentation demonstrating that those batteries contain the following minimum share of cobalt, lead, lithium or nickel recovered from waste present in active materials in each battery model and batch per manufacturing plant:
(a) 12% cobalt;
(b) 85% lead;
(c) 4% lithium;
(d) 4% nickel.
3. From 1 January 2035, industrial batteries, electric vehicle batteries and automotive batteries with internal storage and a capacity above 2 kWh that contain cobalt, lead, lithium or nickel in active materials shall be accompanied by a technical documentation demonstrating that those batteries contain the following minimum share of cobalt, lead, lithium or nickel recovered from waste present in active materials in each battery model and batch per manufacturing plant:
(a) 20% cobalt;
(b) 85 % lead;
(c) 10% lithium;
(d) 12% nickel.
4. Where justified and appropriate due to the availability of cobalt, lead, lithium or nickel recovered from waste, or the lack thereof, the Commission shall be empowered to adopt, by 31 December 2027, a delegated act in accordance with Article 73, to amend the targets laid down in paragraphs 2 and 3.
Article 9 Performance and durability requirements for portable batteries of general use
1. From 1 January 2027, portable batteries of general use shall meet the values for the electrochemical performance and durability parameters set out in Annex III as laid down in the delegated act adopted by the Commission pursuant to paragraph 2.
2. By 31 December 2025, the Commission shall adopt a delegated act in accordance with Article 73 to supplement this Regulation by establishing minimum values for the electrochemical performance and durability parameters laid down in Annex III that portable batteries of general use shall attain.
The Commission is empowered to adopt delegated acts in accordance with Article 73 to amend the electrochemical performance and durability parameters laid down 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 and take into consideration relevant international standards and labelling schemes. The Commission shall also ensure that the provisions laid down by that delegated act do not have a significant negative impact on the functionality of those batteries or the appliances into which those batteries are incorporated, the affordability and the cost for end-users and the industry’s competitiveness. No excessive administrative burden shall be imposed on manufacturers of the batteries and the appliances concerned.
3. By 31 December 2030, the Commission shall assess the feasibility of measures to
phase out the use of non-rechargeable portable batteries of general use in view of minimising their environmental impact based on the life cycle assessment methodology. To that end, the Commission shall submit a report to the European Parliament and to the Council and consider taking the appropriate measures, including the adoption of legislative proposals.
Article 10 Performance and durability requirements for rechargeable industrial batteries and electric
vehicle batteries
1. From [12 months after entry into force of the Regulation], rechargeable industrial batteries and electric vehicle batteries with internal storage and a capacity above 2 kWh shall be accompanied by a technical documentation containing values for the electrochemical performance and durability parameters laid down in Part A of Annex IV.
The technical documentation referred to in the first subparagraph shall also 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 laid down in Part B of Annex IV.
2. From 1 January 2026, rechargeable industrial batteries with internal storage and a capacity above 2 kWh shall meet the minimum values laid down in the delegated act adopted by the Commission pursuant to paragraph 3 for the electrochemical performance and durability parameters set out in Part A of Annex IV.
3. By 31 December 2024, the Commission shall adopt a delegated act in accordance with Article 73 to supplement this Regulation by establishing minimum values for the electrochemical performance and durability parameters laid down in Part A of Annex IV that rechargeable industrial batteries with internal storage and capacity above 2 kWh shall attain.
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 rechargeable industrial batteries with internal storage and a capacity above 2 kWh and ensure that the requirements laid down therein do not have a significant negative impact on the functionality of those batteries or the appliances into which those batteries are incorporated, its affordability and industry’s competitiveness. No excessive
administrative burden shall be imposed on manufacturers of the batteries and the appliances concerned.
Article 11 Removability and replaceability of portable batteries
1. Portable batteries incorporated in appliances shall be readily removable and replaceable by the end-user or by independent operators during the lifetime of the appliance, if the batteries have a shorter lifetime than the appliance, or at the latest at the end of the lifetime of the appliance.
A battery is readily replaceable where, after its removal from an appliance, it can be substituted by a similar battery, without affecting the functioning or the performance of that appliance.
2. The obligations set out in paragraph 1 shall not apply where
(a) continuity of power supply is necessary and a permanent connection between the appliance and the portable battery is required for safety, performance, medical or data integrity reasons; or
(b) the functioning of the battery is only possible when the battery is integrated into the structure of the appliance.
3. The Commission shall adopt guidance to facilitate harmonised application of the derogations set out in paragraph 2.
Article 12 Safety of stationary battery energy storage systems
1. Stationary battery energy storage systems shall be accompanied by technical documentation demonstrating that they are safe during their normal operation and use, including evidence that they have been successfully tested for the safety parameters laid down in Annex V, for which state-of-the-art testing methodologies should be used.
2. The Commission is empowered to adopt delegated acts in accordance with Article 73 to amend the safety parameters laid down in Annex V in view of technical and scientific progress.
Chapter III Labelling and information requirements
Article 13 Labelling of batteries
1. From 1 January 2027, batteries shall be marked with a label containing the information laid down in Part A of Annex VI.
2. From 1 January 2027, portable and automotive batteries shall be marked with a label containing information on their capacity and portable batteries shall be marked with a label containing information on their minimum average duration when used in specific applications.
3. From 1 July 2023, batteries shall be labelled with the symbol indicating ‘separate collection’ in accordance with the requirements laid down in Part B of Annex VI.
4.
5.
6.
The symbol shall cover at least 3 % of the area of the largest side of the battery up to a maximum size of 5 × 5 cm.
In the case of cylindrical battery cells, the symbol shall cover at least 1,5 % of the surface area of the battery and shall have a maximum size of 5 × 5 cm.
Where the size of the battery is such that the symbol would be smaller than 0,5 × 0,5 cm, the battery does not need to be marked but a symbol measuring at least 1 × 1 cm shall be printed on the packaging.
From 1 July 2023, 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 symbol indicating the heavy metal content shall be printed beneath the symbol shown in Part B of Annex VI and shall cover an area of at least one-quarter the size of that symbol.
Batteries shall be marked with a QR code in accordance with which shall provide access to the following information:
from 1 January 2027, for all batteries the paragraph 1;
Part - C of Annex VI
(a)
(b)
(c) (d)
(e) (f) (g) (h)
(i) (j)
information referred
from 1 January 2027, for portable and automotive batteries the information referred to in paragraph 2;
from 1 January 2023,
for all batteries the symbol
referred to in paragraph 3;
from 1 January 2023, for batteries containing more than 0,002 % cadmium or more than 0,004 % lead, the symbol referred to in paragraph 4;
from [12 months after the entry into force of this Regulation], for rechargeable industrial batteries and electric vehicle batteries the report referred to in Article
39(6);
from 1 July 2024, for electric vehicle batteries and for rechargeable industrial batteries with internal storage and a capacity above 2 kWh the carbon footprint
declaration referred to in Article 7(1);
from 1 January 2026, for electric vehicle batteries and for rechargeable industrial batteries with internal storage and a capacity above 2 kWh the carbon footprint performance class referred to in Article 7(2);
from 1 January 2027, for rechargeable industrial batteries, automotive batteries and electric vehicle batteries with internal storage and a capacity above 2 kWh the amount of cobalt, lead, lithium or nickel recovered from waste and present in active materials in the battery, in accordance with Article 8;
from 1 January 2023, for all batteries the declaration referred to in Article 18;
from 1 July 2023, for all batteries the information referred to in points (a) to (f)
Article 60(1).
Labels and QR code referred to in paragraphs 1 to 5 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, labels shall be affixed to the packaging and to the documents accompanying the battery.
7. The Commission shall, by 31 December 2025, adopt implementing acts to establish
harmonised specifications for the labelling requirements referred to in paragraphs 1 and 2. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
Article 14 Information on the state of health and expected lifetime of batteries
1. Rechargeable industrial batteries and electric vehicle batteries with internal storage and a capacity above 2 kWh shall include a battery management system containing data on the parameters for determining the state of health and expected lifetime of batteries as laid down in Annex VII.
2. Access to the data in the battery management system referred to in paragraph 1 shall be provided on a non-discriminatory basis to the legal or natural person who has legally purchased the battery or any third party acting on their behalf at any time for the purpose of:
(a) evaluating the residual value of the battery and capability for further use;
(b) facilitating the reuse, repurposing or remanufacturing of the battery;
(c) making the battery available to independent aggregators or market participants through energy storage.
3. The provisions of this Article shall apply in addition to those laid down in Union law on type approval of vehicles.
Chapter IV Conformity of batteries
Article 15 Presumption of conformity of batteries
1. For the purposes of compliance and verification of compliance with the requirements set out in Articles 9, 10, 12, 13 and 59(5)(a) of this Regulation, measurements and calculations shall be made using a reliable, accurate and reproducible method, which takes into account the generally recognised state-of-the-art methods, and whose results are deemed to be of low uncertainty, including methods set out in standards, the reference numbers of which have been published for that purpose in the Official Journal of the European Union.
2. Batteries which are tested following harmonised standards or parts thereof the references of which have been published in the Official Journal of the European Union shall be presumed to be in conformity with the requirements referred to in Articles 9, 10, 13 and 59(5)(a) to the extent that those requirements are covered by such harmonised standards.
3. Batteries which are in conformity with harmonised standards or parts thereof the references of which have been published in the Official Journal of the European Union shall be presumed to be in conformity with the requirements set out in Article 12 to the extent that those requirements are covered by such harmonised standards.
Article 16 Common specifications
1. The Commission shall be empowered to adopt implementing acts laying down common specifications for the requirements set out in Articles 9, 10, 12, 13, 59(5)(a) or tests referred to in Article 15(2), where:
(a) those requirements or tests are not covered by harmonised standards or parts thereof, the references of which have been published in the Official Journal of the European Union; or
(b) the Commission observes undue delays in the adoption of requested harmonised standards, or considers that relevant harmonised standards are not sufficient; or
(c) the Commission has decided in accordance with the procedure referred to in Article 11(5) of Regulation (EU) No 1025/2012 to maintain with restriction or to withdraw the references to the harmonised standards or parts thereof by which those requirements or tests are covered.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
2. Batteries which are tested following common specifications or parts thereof shall be presumed to be in conformity with the requirements set out in Articles 9, 10, 13 and 59(5)(a) to the extent that those requirements are covered by those common specifications or parts thereof, and, if applicable, to the extent that the minimum values established for those requirements are attained.
3. Batteries which are in conformity with common specifications or parts thereof shall be presumed to be in conformity with the requirements set out in Article 12 to the extent that those requirements are covered by those common specifications or parts thereof.
Article 17 Conformity assessment procedures
1. Before a battery is placed on the market or put it into service, the manufacturer or its authorised representative shall ensure that an assessment of the product’s conformity with the requirements of Chapters II and III of this Regulation is carried out.
2. Conformity assessment of batteries with the requirements set out in Articles 6, 9, 10, 11, 12, 13 and 14 shall be carried out in accordance with the procedure set out in Part A of Annex VIII.
3. Conformity assessment of batteries with requirements set out in Articles 7, 8 and 39 shall be carried out in accordance with the procedure set out in Part B of Annex VIII.
4. The Commission is empowered to adopt delegated acts in accordance with Article 73 to amend Annex VIII by introducing additional verification steps in the conformity assessment modules or by replacing those modules by other modules set out in Decision No 768/2008/EC, if necessary after adapting them to the specific requirements for batteries.
5. Records and correspondence relating to the conformity assessment of batteries shall be drawn up in an official language of the Member State where the notified body
carrying out the conformity assessment procedures referred to in paragraphs 1 and 2 is established, or in a language accepted by that body.
Article 18 EU declaration of conformity
1. The EU declaration of conformity shall state that the fulfilment of the requirements set out in Chapters II and III 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 continuously updated. It shall be translated into the language or languages required by the Member State in which the battery is placed on the market or put into service.
3. Where a battery model 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.
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.
3. The CE marking shall be followed by the identification number of the notified body that has carried out the conformity assessment. That identification number shall be affixed by the notified body itself or, under its instructions, by the manufacturer or by the manufacturer’s authorised representative.
4. The CE marking and the identification number referred to in paragraph 3 shall be followed, if applicable, by any labelling indicating a special risk, use or other 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 Notification of conformity assessment bodies
Article 21 Notification
Member States shall notify the Commission and the other Member States of conformity assessment bodies authorised to carry out conformity assessment 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 25.
2. Member States may decide that the assessment and monitoring referred to in paragraph 1 shall be carried out by a national accreditation body within the meaning of and in accordance with Regulation (EC) No 765/2008.
3. Where the notifying authority delegates or otherwise entrusts the assessment, notification or monitoring referred to in paragraph 1 of this Article to a body, which is not a governmental entity, that body shall be a legal entity and shall comply mutatis mutandis with the requirements laid down in Article 23. In addition, it shall have arrangements to cover liabilities arising out of 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, organised and operated so as to safeguard the objectivity and impartiality of its activities and to avoid conflicts of interest with notified bodies and conformity assessment bodies applying for notification in accordance with Article 28.
2. A notifying authority shall be organised in such a way that each decision relating to notification of a conformity assessment body is taken by competent persons different from those who carried out the assessment of the conformity assessment bodies applying for notification in accordance with Article 28.
3. A notifying authority shall not offer or provide any activities that conformity assessment bodies perform or consultancy services on a commercial or competitive basis.
4. A notifying authority shall safeguard the confidentiality of the information it obtains. However, it shall exchange information on notified bodies with the Commission as well as with notifying authorities of other Member States and other relevant national authorities.
5. A notifying authority shall have a sufficient number of competent personnel at its
disposal 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 the monitoring of notified bodies, and of any changes thereto.
The Commission shall make that information publicly available.
Article 25 Requirements related to notified bodies
1. For the purposes of notification, a conformity assessment body shall meet the requirements laid down in paragraphs 2 to 11.
2. A conformity assessment body shall be established under the national law of a Member State and have legal personality.
3. A conformity assessment body shall be a third-party body independent from any and all business ties and from the battery model 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, installer, purchaser, owner, user or maintainer of the batteries which they assess, nor the representative of any of those parties. This shall not preclude the use of batteries that are necessary for the operations of the conformity assessment body or the use of 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, installation, use or maintenance of those batteries, or represent the parties engaged in those activities. They shall not engage in any activity that may conflict with their independence of judgement or integrity in relation to conformity assessment activities for which they are notified. This shall in particular apply to consultancy services.
A conformity assessment body shall ensure that the activities of its parent or sister companies, subsidiaries or subcontractors do not affect the confidentiality, objectivity or impartiality of its conformity assessment activities.
5. A conformity assessment body and its personnel shall carry out the conformity assessment activities with the highest degree of professional integrity and the requisite 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 its conformity assessment activities, especially as regards persons or groups of persons with an interest in the results of those activities.
6. A conformity assessment body shall be capable of carrying out all the conformity assessment activities mentioned in Annex VIII and in relation to which it has been
7.
8.
9.
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 and each battery model in relation to which it has been notified, a conformity assessment body shall have at its disposal the necessary:
(a) (b)
(c) (d)
in-house personnel with technical knowledge and sufficient and appropriate experience to perform the conformity assessment activities;
descriptions of procedures in accordance with which conformity assessment is carried out, ensuring the transparency and the ability of reproduction of those procedures;
appropriate policies and procedures to distinguish between activities that it carries out as a notified body and other activities;
procedures for the performance of conformity assessment activities 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 at all times have access to all testing equipment or facilities needed for each conformity assessment procedure and each battery model in relation to which it has been notified.
The personnel responsible for carrying out conformity assessment tasks shall have the following:
(a)
(b) (c)
sound technical and vocational training covering all the conformity assessment activities in relation to which the conformity assessment body has been notified;
satisfactory knowledge of the requirements of the assessments they carry out and adequate authority to carry out those assessments;
appropriate knowledge and understanding of the requirements set out in Chapters II and III, 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 legislation;
(d)
the ability to draw up certificates, records and reports demonstrating that conformity assessments have been carried out.
The impartiality of a conformity assessment body, its top level management and the personnel responsible for carrying out the conformity assessment activities shall be guaranteed.
The remuneration of the top level management and the personnel responsible for carrying out the conformity assessments activities shall not depend on the number of conformity assessments carried out or on the results of those assessments.
A conformity assessment body shall take out liability insurance unless liability is assumed by the state in accordance with national law in the Member state where its activities are carried out, or that 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 activities in accordance with Annex VIII, except in relation to the competent 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 activities are informed of, the relevant standardisation activities and the activities of the notified body coordination group established pursuant to Article 37 and shall apply as general guidance the administrative decisions and documents produced as a result of the work of that group.
Article 26 Presumption of conformity of notified bodies
Where a conformity assessment body demonstrates its conformity with the criteria laid down in the relevant harmonised standards or parts thereof the references of which have been published in the Official Journal of the European Union it shall be presumed to comply with the requirements set out in Article 25 in so far as the applicable harmonised standards cover those requirements.
Article 27 Subsidiaries of and subcontracting by notified bodies
1. Where a notified body subcontracts specific tasks connected with conformity assessment or has recourse to a subsidiary, it shall ensure that the subcontractor or the subsidiary meets the requirements set out in Article 25 and shall inform the notifying authority accordingly.
2. A notified body shall take full responsibility for the tasks performed by subcontractors or subsidiaries wherever those are established
3. Activities may be subcontracted or carried out by a subsidiary only with the agreement of the client. The establishment and the supervision of internal procedures, general policies, codes of conduct or other internal rules, the assignment of personnel to specific tasks and the decision on certification may not be delegated to a subcontractor or a subsidiary.
4. A notified body shall keep at the disposal of the notifying authority the relevant documents concerning the assessment of the qualifications of the subcontractor or the subsidiary and the work carried out by them 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 modules set out in Annex VIII and of the battery model for which the conformity assessment body claims to be competent, as well as by an accreditation certificate, issued by a national
accreditation body attesting that the conformity assessment body fulfils the requirements laid down in Article 25.
3. Where the conformity assessment body concerned cannot provide an accreditation
certificate as referred to in paragraph 2, it shall provide the notifying authority with all the documentary evidence necessary for the verification, recognition and regular monitoring of its compliance with the requirements laid down in Article 25, including appropriate documentation demonstrating that the conformity assessment body is independent in the meaning of paragraph 3 of that Article.
Article 29 Notification procedure
1. A notifying authority may notify only conformity assessment bodies which have satisfied the requirements laid down in Article 25.
2. The notifying authority shall send a notification to the Commission and the other Member States of each conformity assessment body referred to in paragraph 1 using the electronic notification tool developed and managed by the Commission.
3. The notification shall include full details of the conformity assessment activities, the conformity assessment module or modules and the batteries concerned and the relevant attestation of competence.
4. Where a notification is not based on an accreditation certificate as referred to in Article 28(2), the notifying authority shall provide the Commission and the other Member 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 satisfy the requirements laid down in Article 25.
5. The conformity assessment body concerned may perform the activities of a notified body only where no objections are raised by the Commission or the other Member States within two weeks of the notification where it includes an accreditation certificate referred to in Article 28(2) or within two months of the notification where it includes documentary evidence referred to in Article 28(3).
6. The notifying authority shall inform the Commission and the other Member States of any subsequent relevant changes to the notification referred to in paragraph 2.
Article 30 Identification numbers and lists of notified bodies
1. The Commission shall
assign an identification number to a notified body.
It shall assign a single such number even where the body is notified under several Union acts.
2. The Commission shall make publicly available the list of notified bodies, including
the identification numbers that have been assigned to them and the conformity assessment activities for which they have been notified.
The Commission shall ensure that the list is kept up to date.
Article 31 Changes to notifications
1. Where a notifying authority has ascertained or has been informed that a notified body 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, or where the 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 of the competence of notified bodies
1. The Commission shall investigate all cases where it doubts, or doubt is brought to its attention regarding, the competence of a notified body or the continued fulfilment by a notified body of the requirements and responsibilities to which it is subject.
2. The notifying authority shall provide the Commission, on request, with all information relating to the basis for the notification or the maintenance of the competence of the notified body concerned.
3. The Commission shall ensure that all sensitive information obtained in the course of its investigations is treated confidentially.
4. Where the Commission ascertains that a notified body does not meet or no longer meets the requirements for its notification, it shall adopt an implementing act requesting the notifying authority 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 Article74(2).
Article 33 Operational obligations of notified bodies
1. A notified body shall carry out conformity assessments in accordance with the conformity assessment procedures set out in Annex VIII.
2. A notified body shall perform its activities in a proportionate manner, avoiding unnecessary burdens for economic operators, and taking due account of the size of an undertaking, the sector in which the undertaking operates, 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.
In so doing, the notified body shall nevertheless respect the degree of rigour and the level of protection required for the compliance of the battery with this Regulation.
3. Where a notified body finds that the requirements set out in Chapters II and III , harmonised standards referred to in Article 15, common specifications referred to in Article 16 or other technical specifications have not been met by a manufacturer, it shall require that manufacturer to take appropriate corrective action in view of a
second and final certification decision, unless the deficiencies cannot be remedied, in which case the certificate cannot be issued.
4. Where, in the course of the monitoring of conformity following the issue of a certificate of conformity or the adoption of an approval decision, a notified body finds that a battery no longer complies, it shall require the manufacturer to take appropriate corrective action and shall suspend or withdraw the certificate of conformity or the approval decision, if necessary.
5. Where corrective action is not taken or do not have the required effect, the notified body shall restrict, suspend or withdraw any certificates of conformity or approval decisions, 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;
(b) any circumstances affecting the scope of, or the conditions for, its notification;
(c) (d)
any request for information which it has received from market surveillance authorities regarding its conformity assessment activities;
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 batteries with relevant information on issues relating to negative and, on request, positive conformity assessment results.
Article 36 Exchange of experience
The Commission shall provide for the organisation of exchange of experience between the Member States’ national authorities responsible for notification policy.
Article 37 Coordination of notified bodies
The Commission shall ensure that appropriate coordination and cooperation between notified bodies are put in place and properly operated in the form of a sectoral group or groups of notified bodies.
A notified body shall participate in the work of that group or those groups, directly or by means of designated representatives.
Chapter VI Obligations of economic operators other than the obligations in
Chapter VII
Article 38 Obligations of manufacturers
1. When placing a battery on the market or putting it into service, including for the manufacturers’ own purposes, manufacturers shall ensure that the battery:
(a) has been designed and manufactured in accordance with the requirements set out in Articles 6 to 12 and Article 14; and
(b) is labelled in accordance with the requirements set out in Article 13.
2. Manufacturers shall draw up the technical documentation referred to in Annex VIII for the battery and carry out the relevant conformity assessment procedure, as applicable and referred to, in paragraphs 2 and 3 of Article 17 or have it carried out before placing a battery on the market or putting it into service.
3. Where compliance of a battery with the applicable requirements has been demonstrated by the relevant conformity assessment procedure referred to in paragraphs 2 and 3 of Article 17, manufacturers shall draw up an EU declaration of conformity in accordance with Article 18 and affix the CE marking in accordance with Articles 19 and 20.
4. Manufacturers shall ensure that an EU declaration of conformity is drawn up in accordance with Article 18 in a language which can be easily understood by consumers and other end-users for each battery that they place on the market or put into service.
However, where several batteries are delivered simultaneously to a single user, the batch or consignment concerned may be accompanied by a single copy of the EU declaration of conformity.
5. Manufacturers shall keep the technical documentation referred to in Annex VIII and the EU declaration of conformity at the disposal of the market surveillance authorities and national authorities for 10 years after the battery has been placed on the market or put into service.
6. Manufacturers shall ensure that procedures are in place for a battery that is part of a series production to remain in conformity with this Regulation. Changes in 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 shall trigger a re-examination of the conformity assessment in accordance with the relevant conformity assessment procedure referred to in paragraphs 2 and 3 of Article 17.
7. Manufacturers shall ensure that the battery is labelled in accordance with the requirements in paragraphs 1 to 8 of Article 13.
8. Manufacturers shall indicate their name, registered trade name or registered trade mark and the postal address and web address at which they can be contacted on the
packaging of the battery. The postal address shall indicate a single point at which the manufacturer can be contacted. Such information shall be in a language easily understood by end-users and market surveillance authorities and shall be clear, understandable and legible.
9. Manufacturers
shall ensure that each battery that they place on the market or put into
service is accompanied by instructions and safety information in accordance with Articles 6 to 12 and Article 14.
10. Manufacturers shall provide access to the data on the parameters in the battery management system referred to in paragraph 1 of Article 14 and paragraphs 1 and 2 of Article 59, in accordance with the requirements laid down in those Articles.
11. 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 the requirements set out in Chapters II and III 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 national authority of the Member State in which they made the battery available on the market to that effect, giving details, in particular, of the non-compliance and of any corrective action taken.
12. Manufacturers shall, further to a reasoned request from a national authority , provide it with all the information and technical documentation necessary to demonstrate the conformity of the battery with the requirements set out in Chapters II and III, in a language which can be easily understood by that authority. That information and the technical documentation shall be provided in either paper or electronic form. 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.
Article 39 Obligation for economic operators that place rechargeable industrial batteries and electric-vehicle batteries with internal storage and a capacity above 2 kWh on the market to establish
supply chain due diligence policies
1. As of [12 months after the entry into force of the Regulation] the economic operator that places rechargeable industrial batteries and electric-vehicle batteries with internal storage and a capacity above 2 kWh on the market shall comply with the supply chain due diligence obligations set out in paragraphs 2 to 5 of this Article and shall keep documentation demonstrating its respective compliance with those obligations, including the results of the third-party verification carried out by notified bodies.
2. The economic operator referred to in paragraph 1 shall
(a) adopt, and clearly communicate to suppliers and the public, a company policy for the supply chain of raw materials indicated in Annex X, point 1;
(b) incorporate in its supply chain policy standards consistent with the standards set out in the model supply chain policy in Annex II to the OECD Due Diligence Guidance;
(c) structure its respective internal management systems to support supply chain due diligence by assigning responsibility to senior management to oversee the
3.
(d)
supply chain due diligence process as well as maintain records of those systems for a minimum of five years;
establish and operate a system of controls and transparency over the supply chain, including a chain of custody or traceability system or the identification of upstream actors in the supply chain.
Such a system shall be supported by documentation that provides the following information:
(i) (ii)
(iii)
(iv)
description of the raw material, including its trade name and type;
name and address of the supplier that supplied the raw material present in the batteries to the economic operator that places on the market the batteries containing the raw material in question;
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;
quantities of the raw material present in the battery placed on the market, expressed in percentage or weight.
The requirements set out in the current point (d) participation in industry-led schemes.
may be implemented through
(e) (f)
incorporate its supply chain policy into contracts and agreements with suppliers, including their risk management measures;
establish a grievance mechanism as an early-warning risk-awareness system or provide such mechanism through collaborative arrangements with other economic operators or organisations, or by facilitating recourse to an external expert or body, such as an ombudsman.
The (a)
(b)
economic operator
referred to in paragraph 1
shall
identify and assess the adverse impacts associated to the risk categories listed in Annex X, point 2, in its supply chain on the basis of the information provided pursuant to paragraph 2 against the standards of their supply chain policy;
implement a strategy to respond to the identified risks designed so as to prevent or mitigate adverse impacts by:
(i) (ii)
(iii)
reporting findings of the supply chain management designated for that purpose;
risk
assessment
to
senior
adopting risk management measures consistent with Annex II to the OECD Due Diligence Guidance, considering their ability to influence, and where necessary take steps to exert pressure on suppliers who can most effectively prevent or mitigate the identified risk;
implementing the risk management plan, monitoring and tracking performance of risk mitigation efforts, reporting back to senior management designated for this purpose and considering suspending or discontinuing engagement with a supplier after failed attempts at mitigation, based on relevant contractual arrangements in line with the second subparagraph to paragraph 2 above;
(iv) undertaking additional fact and risk assessments for risks requiring mitigation, or after a change of circumstances.
If the economic operator referred to in paragraph 1 pursues risk mitigation efforts while continuing trade or temporarily suspending trade, it shall consult with suppliers and with the stakeholders concerned, including local and central government authorities, international or civil society organisations and affected third parties, and agree on a strategy for measurable risk mitigation in the risk management plan.
The economic operator referred to in paragraph 1 shall identify and assess the probability of adverse impacts in the risk categories listed in Annex X, point 2, in its supply chain based on available reports by third-party verification done by a notified body concerning the suppliers in that chain, and, by assessing, as appropriate, its due diligence practices. Those verification reports shall be in accordance with the first subparagraph in paragraph 4. In the absence of such third-party verification reports concerning suppliers, the economic operator referred to in paragraph 1 shall identify and assess the risks in its supply chain as part of its own risk management systems. In such cases, economic operators referred to in paragraph 1 shall carry out third party verifications of its own supply chains due diligence via a notified body in accordance with the first subparagraph in paragraph 4.
The economic operator referred to in paragraph 1 shall report the findings of the risk assessment referred to in the third subparagraph to its senior management designated for that purpose and a response strategy designed to prevent or mitigate adverse impacts shall be implemented.
4. The economic operator referred to in paragraph 1 shall have their supply chain due
diligence policies verified by a notified body (“third-party verification”).
The third-party verification by a notified body shall:
(a) include in its scope all activities, processes and systems used by economic operators to implement their supply chain due diligence requirements in accordance with paragraphs 2, 3 and 5;
(b)
(c) (d)
have as its objective the determination of conformity of the supply chain due diligence practices of economic operators placing batteries on the market with paragraphs 2, 3 and 5;
make recommendations to the economic operators that place batteries on the market on how to improve their supply chain due diligence practices;
respect the audit principles of independence, competence and accountability, as set out in the OECD Due Diligence Guidance;
5. The economic operator referred to in paragraph 1 shall make available upon request to Member States’ market surveillance authorities the reports of any third-party verification carried out in accordance with paragraph 4 or evidence of compliance with a supply chain due diligence scheme recognised by the Commission in accordance with Article 72.
6. The economic operator referred to in paragraph 1 shall make available to its immediate downstream purchasers all information gained and maintained pursuant to its supply chain due diligence policies with due regard for business confidentiality and other competitive concerns.
The economic operator referred to in paragraph 1 shall on an annual basis, publicly report as widely as possible, including on the internet, on its supply chain due diligence policies. That report shall contain the steps taken by that economic operator to comply with the requirements set out in paragraphs 2 and 3, including findings of significant adverse impacts in the risk categories listed in Annex X, point 2, and how they have been addressed, as well as a summary report of the third-party verifications carried out in accordance with point 4, including the name of the notified body, with due regard for business confidentiality and other competitive concerns.
Where the economic operator referred to in paragraph 1 can reasonably conclude that the raw materials listed in Annex X, point 1, that are present in the battery are derived only from recycled sources, it shall publicly disclose its conclusions in reasonable detail, with due regard for business confidentiality and other competitive
concerns.
7. The Commission shall develop guidance as regards the application of the due diligence requirements defined in paragraphs 2 and 3 of this Article, with regard to the social and environmental risks referred to in Annex X, point 2, and particularly in line with the international instruments referred to in Annex X, point 3.
8. The Commission is empowered to adopt delegated acts in accordance with Article 73 to:
(a) Amend the lists of raw materials and risk categories in Annex X in view of scientific and technological progress in battery manufacturing and chemistries and amendments to Regulation (EU) 2017/821;
(b) amend the obligations on the economic operator referred to in paragraph 1 set out in paragraphs 2 to 4 in view of amendments to Regulation (EU) 2017/821 and changes to the due diligence recommendations set out in Annex I to the OECD Due Diligence Guidance.
Article 40 Obligations of authorised representatives
1. Where the manufacturer of a battery is not established in a Member State, the battery may only be placed on the Union market if the manufacturer designates a sole authorised representative.
2. The designation shall constitute the authorised representative's mandate, it shall be valid only when accepted in writing by the authorised representative and shall be effective at least for all batteries of the same battery model.
3. The obligations laid down in Article 38(1) and the obligation to draw up technical documentation shall not form part of the authorised representative's mandate.
4. An authorised representative shall perform the tasks specified in the mandate received from the manufacturer. The authorised representative shall provide a copy of the mandate to the competent authority, upon request. The mandate shall allow the authorised representative to do at least the following:
(a) verify that the EU declaration of conformity and technical documentation have been drawn up and, where applicable, that an appropriate conformity assessment procedure has been carried out by the manufacturer
(b) keep the EU declaration of conformity and the updated technical documentation at the disposal of market surveillance authorities for 10 years after the battery has been placed on the market;
(c) further to a reasoned request from a national authority, provide that authority with all the information and documentation necessary to demonstrate the conformity of the battery;
(d) cooperate with the national authorities, at their request, on any action taken to eliminate the risks posed by batteries covered by the authorised representative's mandate;
(e) fulfil the manufacturer’s obligations under Chapter V
(f) terminate the mandate if the manufacturer acts contrary to its obligations under this Regulation.
Article 41 Obligations of importers
1. Importers shall only place on the market or put into service a battery which is compliant with the requirements of Chapters II and III
2. Before placing a battery on the market or putting it into service, importers shall verify that the relevant conformity assessment procedure referred to in Article 17 has been carried out by the manufacturer. They shall verify that the manufacturer has drawn up the technical documentation referred to in Annex VIII, that the battery bears the CE marking referred to in Article 19 and the QR code referred to in Article 13(5), is accompanied by the required documents and that the manufacturer has complied with the obligations set out in paragraphs 7, 8 and 9 of Article 38.
Where an importer considers or has reason to believe that a battery is not in conformity with the requirements set out in Chapters II and III, the importer shall not place it on the market or put it into service 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 to that effect.
3. Importers shall indicate on the battery their name, registered trade name or registered trade mark, and the address at which they can be contacted or, where that is not possible, on its packaging or in a document accompanying the battery. The contact details shall be in a language easily understood by consumers, other end-users and the market surveillance authorities.
4. Importers shall ensure the manufacturer has fulfilled its obligations under paragraphs 7, 9 and 10 of Article 38.
5. Importers shall ensure that, while a battery is under their responsibility, storage or transport conditions do not jeopardise its compliance with the requirements set out in Chapters II and III.
6. When deemed appropriate with regard to the risks presented by a battery, importers shall, to protect the human health and safety of consumers, carry out sample testing of marketed batteries, investigate, and, if necessary, keep a register of complaints, of non-conforming batteries and battery recalls, and shall keep distributors informed of such monitoring.
7. Importers who consider or have reason to believe that a battery, which they have placed on the market or put into service, is not in conformity with the requirements set out in Chapters II and III, 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 national authority of the Member State in which they made the battery available on the market to that effect, giving details, in particular, of the non-compliance and of any corrective action taken.
8. Importers shall keep the technical documentation referred to in Annex VIII and a copy of the EU declaration of conformity at the disposal of the national authorities and market surveillance authorities for 10 years after the battery has been placed on the market or put into service.
9. Importers shall, further to a reasoned request from a national authority provide it with all the information and technical documentation necessary to demonstrate the conformity of a battery with the requirements set out in Chapters II and III in a language that can be easily understood by that authority. That information and the technical documentation shall be provided either in paper or electronic form. 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 or put into service.
Article 42 Obligations of distributors
1. When making a battery available on the market, distributors shall act with due care in relation to the requirements of this Regulation.
2. Before making a battery available on the market, distributors shall verify that:
(a) the manufacturer, the manufacturer’s authorised representative, importer or other distributors are registered on the territory of a Member State in accordance with Article 46;
(b) the battery bears the CE
the battery bears the CE marking,
(c) battery is accompanied by the required documents in a language which can be easily understood by the consumers and other end-user in the Member State in which the battery is to be made available on the market and by instructions and safety information and
(d) the manufacturer and the importer have complied with the requirements set out in paragraphs 7, 9 and 10 of Article 38 and Article 41(3) and (4) respectively.
3. Where a distributor considers or has reason to believe that a battery is not in conformity with the requirements set out in Chapters II and III, the distributor shall not make the battery available on the market until it has been brought into conformity. Furthermore, where the battery presents a risk, the distributor shall inform the manufacturer or the importer to that effect as well as the relevant market surveillance authorities.
4. Distributors shall ensure that, while a battery is under their responsibility, storage or transport conditions do not jeopardise its compliance with the requirements set out in
Chapters II and III.
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 the requirements set out in Chapters II and III shall make sure that the corrective action necessary to bring that battery into conformity, to withdraw it or recall it, as appropriate, are taken. Furthermore, where the battery presents a risk, distributors shall immediately inform the national authority of the Member States in which they made the battery available on the market to that effect, giving details, in particular, of the non-compliance and of any corrective action taken.
6. Distributors shall, further to a reasoned request from a national authority provide it with all the information and the technical documentation necessary to demonstrate the conformity of a battery with the requirements set out in Chapters II and III in a language that can be easily understood by that authority. That information and the technical documentation shall be provided in paper or electronic form. 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 the requirements set out in Chapters II and III.
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 that importer or distributor shall be subject to the obligations of the manufacturer under Article 40, where
(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 requirements of this Regulation may be affected;
(c) the purpose of a battery already placed on the market or put into service is modified by that importer or distributor.
Article 45 Identification of economic operators
Upon a request of a market surveillance authority or a national authority, for a period of 10 years after the placing on the market of a battery, economic operators shall provide information on the following:
(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.
Chapter VII End-of-life management of batteries
Article 46 Register of producers
1. Member States shall establish a register of producers which shall serve to monitor compliance of producers with the requirements of this Chapter. The register shall be managed by the competent authority.
2. Producers shall be obliged to register. They shall to that end submit an application to the competent authority of the Member State where they make a battery available on the market for the first time. Where a producer has appointed a producer responsibility organisation in accordance with Article 47(2), the obligations under this article shall be met by that organisation mutatis mutandis unless otherwise specified.
In its application for registration, the information to the competent authority:
producer shall provide
following
(a)
(b)
(c)
(d)
(e)
(f)
name and address of the producer including postal code and place, street and number, country, telephone and fax numbers, if any, internet address and email address;
national identification code of the producer, including its trade register number or equivalent official registration number including European or national tax number;
in the case of an authorisation in accordance with
Article 47 - (2), the producer responsibility organisation shall, in addition to the information required under points (a) and (b), provide
(i) the name and contact details, including postal code and place, street andnumber, country, telephone and fax numbers, internet address and e-mail address of the producers represented;
(ii) the represented producer’s mandate;
(iii) where the authorised representative represents more than one producer, separate indications of the name and the contact details of each one of the represented producers.
the type 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, electric vehicle batteries, or automotive batteries;
the brand under which the producer intends to supply the batteries in the
Member State;
information on how the producer meets its responsibilities set out in Article 47 and the requirements under Article 48 and Article 49 respectively:
(i) for portable batteries, the requirements of this point (f) shall be met by
providing:
– a declaration demonstrating the measures put in place by the
producer to attain the producer responsibility obligations set out in
Article 47, the measures put in place to meet the separate collection obligations set out in Article 48(1)with regard to the amount of batteries the producer supplies and the system to ensure that the data reported to the competent authorities is reliable;
– where applicable, the name and contact details, including postal
code and place, street and number, country, telephone and fax numbers, internet address and e-mail address and the national identification code of the producer responsibility organisation entrusted by the producer to fulfil its extended producer responsibility obligations in accordance with Article 47(2), including the trade register number or an equivalent official registration number of the producer responsibility organisation including the European or national tax number of the producer responsibility organisation, and the represented producer’s mandate;
(ii) for automotive, industrial and electric vehicle batteries, the requirements of this point (f) shall be met by providing:
– a declaration providing information on the measures put in place by
the producer to attain the producer responsibility obligations set out in Article 47, the measures put in place to meet the collection obligations set out in Article 49(1) with regard to the amount of batteries the producer supplies and the system to ensure that the data reported to the competent authorities is reliable;
– where applicable, the national identification code of the producer
responsibility organisation entrusted by the producer to fulfil its extended producer responsibility obligations in accordance with paragraphs 2 and 4 of Article 47, including the trade register number or an equivalent official registration number of the producer responsibility organisation including the European or national tax number of the producer responsibility organisation, and the represented producer’s mandate;
– where the producer responsibility organisation represents more
than one producer, it shall indicate separately how each one of the represented producers meets the responsibilities set out in Article
47.
(g) a declaration by the producer or the producer responsibility organisation appointed in accordance with Article 47(2) stating that the information provided is true.
3. The competent authority:
(a) shall receive applications for the registration of producers referred to in paragraph 2 via an electronic data-processing system the details of which shall be made available on the competent authorities’ website;
(b) shall grant registrations and provide a registration number within a maximum period of six weeks from the moment that all the information laid down in paragraph 2 is provided;
4.
(c)
(d)
The
may lay down modalities with respect to the requirements and process of registration without adding substantive requirements to the ones laid down in paragraph 2;
may charge cost-based and proportionate fees to producers for the processing of applications referred to in paragraph 2.
producer,
or,
where applicable,
the
producer responsibility organisation
appointed in accordance with Article 47(2) 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 in accordance with paragraph 1(d).
1.
2.
3.
Article 47 Extended Producer Responsibility
Producers of batteries shall have extended producer responsibility for batteries that they make available on the market for the first time within the territory of a Member State, to ensure the attainment of the waste management obligations set out in this Chapter. This responsibility shall include the obligation to:
(a)
(b) (c)
(d)
organise the separate collection of waste batteries in accordance with Article 48 and Article 49 and the subsequent transport, preparation for repurposing and remanufacturing, treatment and recycling of waste batteries, including the necessary safety measures, in accordance with Article 56;
report on obligations relating to batteries made available on the market for the first time within the territory of a Member State in accordance with Article 61;
promote the separate collection of batteries, including by covering the costs of carrying out surveys to identify batteries discarded inappropriately by end-users in accordance with Article 48(1);
provide information including accordance with Article 60;
end-of-life information
about batteries
in
finance
(e) Producers
the activities referred to in points (a) to (d).
may entrust a accordance with paragraph obligations on their behalf.
producer responsibility organisation authorised in 6 to carry out the extended producer responsibility
Producers and, where appointed in accordance with responsibility organisations acting on their behalf shall:
paragraph
2,
producer
(a) (b)
have the necessary organisational and financial means to fulfil the extended producer responsibility obligations referred to in paragraph 1;
put in place an adequate self-control mechanism, supported independent audits, to regularly appraise:
by regular
(i) their financial management, including compliance with the requirements
laid down in paragraph 1(e) and point (a) of this paragraph;
(ii) the quality of data collected and reported in accordance with paragraph 1(b) of this Article and with the requirements of Regulation (EC) No 1013/2006.
4. In the case of a collective exercise of extended producer responsibility, producer
responsibility organisations shall ensure that the financial contributions paid to them by producers:
(a)
(b)
(c)
are modulated as a minimum by battery type and battery chemistry and, as appropriate, taking into account the rechargeability and the level of recycled content in the manufacture of batteries;
are adjusted to take account of any revenues by the producer responsibility organisations from reuse and from sales of secondary raw materials from the batteries and waste batteries;
ensure equal treatment of producers regardless of their origin or size, without placing a disproportionate regulatory burden on producers, including small and medium sized enterprises, of small quantities of batteries.
5. Where, in accordance with Articles 48(2), 49(3), 53(1), 56(1), and paragraphs 1, 2 and 3 of Article 61, activities to carry out obligations referred to in points (a) to (d) of paragraph 1 are carried out by a third party other than a producer or a producer responsibility organisation, the costs to be covered by producers shall not exceed the costs that are necessary to provide those activities in a cost-efficient way. Such costs shall be established in a transparent way between the producers and the third parties concerned and adjusted to take account of any revenues from reuse and from sales of secondary raw materials from the batteries and waste batteries.
6. Producer responsibility organisations shall apply for an authorisation from the competent authority. The authorisation shall be granted only where it is demonstrated that the measures put in place by the producer responsibility organisation are sufficient to meet the obligations set out in this Article with regard to the amount of batteries made available on the market for the first time within the territory of a Member State by the producers on whose behalf it acts. The competent authority shall in regular intervals, verify whether the conditions for the authorisation laid down in paragraphs 1, 3, 4 and 5 continue to be met. The competent authorities shall fix the details of the authorisation procedure and the modalities for verifying compliance, including the information to be provided by producers to that end.
Producer responsibility organisations shall notify the competent authority without undue delay of any changes to the information contained in the application for an authorisation, of any changes that concern the terms of the authorisation and of the permanent cessation of operations.
Where, in the territory of a Member State, multiple producer responsibility organisations are authorised to fulfil extended producer responsibility obligations on behalf of producers, they shall carry out their extended producer responsibility obligations in a coordinated manner so as to ensure a coverage across the whole territory of the Member State of the activities under paragraph 1(a). Member States shall entrust the competent authority or appoint an independent third party to oversee that producer responsibility organisations fulfil their obligation to coordinate in accordance with the previous sentence.
7. In order to demonstrate compliance with paragraph 3(a), producers or, where appointed in accordance with paragraph 2, producer responsibility organisations acting on their behalf, shall provide a guarantee which may take the form of a recycling insurance or a blocked bank account, or participation by the producer in a producer responsibility organisation.
8. 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.
9. Producer responsibility organisations shall publish the following information on their websites by the end of each year, subject to commercial and industrial confidentiality:
(a) ownership of the producer responsibility organisation;
(b) (c)
(d)
list of producers that have entrusted the producer responsibility organisation to carry out their extended producer responsibility obligations on their behalf;
the rate of separate collection of waste batteries, the level of recycling and recycling efficiencies achieved based on the amount of batteries made available on the market for the first time in the Member State by their member producers;
the financial contributions paid by their member producers per battery or per weight of batteries, indicating also fee modulation categories applied in accordance with paragraph 4(a).
10. The competent authorities shall verify compliance of producers, including those that supply batteries by means of distance contracts and, where appointed in accordance with paragraph 2, producer responsibility organisations acting on their behalf, with the obligations set out in this Article.
11. Member States shall establish a mechanism to ensure a regular dialogue between relevant stakeholders involved in the fulfilment of extended producer responsibility obligations for batteries, including producers and distributors, private or public waste operators, local authorities, civil society organisations and, where applicable, social economy actors, re-use and repair networks and preparing for re-use operators.
12. 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 4(a). That implementing act cannot concern the a precise determination of the level of the contributions. That implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
13. Articles 8 and 8a of Directive 2008/98/EC shall not apply to batteries.
Article 48 Collection of waste portable batteries
1. Producers or, where appointed in accordance with Article 47(2), producer
responsibility organisations acting on their behalf, shall ensure the collection of all waste portable batteries, regardless of their nature, brand or origin in the territory of a Member State where they make batteries available on the market for the first time. For that purpose they shall:
(a) establish waste portable battery collection points;
(b) offer the collection of waste portable batteries, free of charge, to the entities referred to in paragraph 2(a) and provide for the collection of waste portable batteries from all entities that have made use of that offer (“connected collection points”);
2.
3.
4.
5.
(c)
(d)
(e)
provide for the necessary practical arrangements for collection and transport, including the provision free of charge of suitable collection and transport containers meeting the requirements of Directive 2008/98/EC to the connected collection points;
ensure the collection free of charge of the waste portable batteries collected by 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 those collection points;
ensure that the waste portable batteries collected from the connected collection points are subsequently subject to treatment and recycling in a permitted facility by a waste management operator in accordance with Article 56.
Producers or, where appointed in accordance with Article 47(2), producer responsibility organisations acting on their behalf, shall ensure that the network of connected collection points :
(a)
consists of collection points provided by them in cooperation with:
(ii)
distributors in accordance with Article 50;
waste electrical and electronic equipment and end-of-life vehicle treatment and recycling facilities in accordance with Article 52;
(iii) public authorities or third parties carrying out waste management on their behalf in accordance with Article 53;
(iv) voluntary collection points in accordance with Article 54;.
(b) covers the whole territory of the Member State taking into account population size, expected volume of waste portable batteries, accessibility and vicinity to end-users, not being limited to areas where the collection and subsequent management of waste portable batteries is profitable.
End users, when discarding waste portable batteries at collection points referred to in paragraph 2, shall not be charged or be obliged to buy a new battery.
Producers or, where appointed in accordance with Article 47(2), producer responsibility organisations acting on their behalf, shall attain, and maintain durably, at least the following collection targets of waste portable batteries, calculated as percentages of the portable batteries, excluding batteries from light means of transport, made available on the market for the first time in a Member State by the respective producer or collectively by the producers covered by a producer responsibility organisation:
(a) 45 % by 31 December 2023 ;
(b) 65 % by 31 December 2025;
(c) 70 % by 31 December 2030.
Producers or, where appointed in accordance with Article 47(2), producer responsibility organisations acting on their behalf, shall calculate the collection rate referred to in this paragraph in accordance with Annex XI.
Collection points set up in accordance with paragraphs 1 and paragraph 2(a) shall not be subject to the registration or permit requirements of Directive 2008/98/EC.
6. Producers or, where appointed in accordance with Article 47(2), producer responsibility organisations shall request an authorisation from the competent authority that shall verify compliance of the arrangements put in place to ensure compliance with the requirements of this Article. In case the authorisation is requested by a producer responsibility organisation, the request for authorisation shall clearly identify the active member producers that it is representing.
7. The producer responsibility organisation shall ensure the confidentiality of the data in its possession as regards proprietary information or information directly attributable to individual producers. The competent authority may in its authorisation, establish conditions to be met to that end.
8. The authorisation under paragraph 6 may be granted only where it is demonstrated, by providing documentary evidence, that the requirements of paragraphs 1, 2 and 3 of this Article are met and that all the arrangements are in place to allow attaining and maintaining durably at least the collection target referred to in paragraph 4. Where the authorisation is requested by a producer responsibility organization, it shall be obtained as part of the authorisation referred to in Article 47(6).
9. The competent authority shall establish the details of the procedure to grant the authorisation under paragraph 6 to ensure compliance with the requirements set out in paragraphs 1 to 4 and Article 56. This shall include the requirement of an independent experts’ report for an ex-ante verification of the arrangements for collection under this article being made in a way to ensure compliance with the requirements under this Article. It shall also include timeframes for verification of the respective steps and the decision to be taken by the competent authority, which shall not exceed six weeks from the submission of a complete application dossier.
10. The competent authority shall review regularly, and at least every three years, whether the conditions for the authorisation under paragraph 6 still are met. The authorisation may be revoked when the collection target set out in paragraph 4 is not met or the producer or producer responsibility organisation is in material breach of its obligations according to paragraphs 1 to 3.
11. The producer or, where appointed in accordance with Article 47(2), the producer responsibility organisation acting on its behalf, shall immediately notify the competent authority of any changes to the conditions covered by the application for authorisation referred to in paragraph 7, of any changes that concern the terms of the authorisation under paragraph 8, and of the permanent cessation of operations.
12. Every five years the Member States shall carry out a compositional survey at least at NUTS 2 level of collected mixed municipal waste and waste electric and electronic equipment streams to determine the share of waste portable batteries therein. The first survey shall be carried out by 31 December 2023. On the basis of the information obtained, the competent authorities may require, when granting or reviewing an authorisation under paragraphs 6 and 10 that the producers of portable batteries or producer responsibility organisations take corrective action to increase their network of connected collection points and carry out information campaigns in accordance with Article 60(1) in proportion to the share of waste portable batteries in mixed municipal waste and waste electric and electronic equipment streams detected in the survey.
Article 49 Collection of waste automotive batteries, industrial batteries and electric vehicle batteries
1. Producers of automotive batteries, industrial batteries and electric vehicle batteries
or, where appointed in accordance with Article 47(2), 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, all waste automotive batteries, industrial batteries and electric vehicle batteries of the respective type that they have made available on the market for the first time in the territory of that Member State. For that purpose they shall accept to take back waste automotive batteries, industrial batteries and electric vehicle batteries from end-users, or from collection points provided in cooperation with:
(a) (b)
distributors of automotive, industrial and electric vehicle batteries in accordance with Article 50(1);
waste electrical and electronic equipment and end-of-life vehicle treatment and recycling facilities referred to in Article 52 for the waste automotive, industrial and electric vehicle batteries arising from their operations;
(c) public authorities or third parties carrying out waste management on their behalf in accordance with Article 53.
Where waste industrial batteries require prior dismantling at the premises of private, non-commercial users, the obligation of the producer to take back those batteries shall include covering the costs of dismantling and collecting waste batteries at the premises of those users.
2. The take back arrangements put in place in accordance with paragraph 1 shall cover the whole territory of a Member State taking into account population size and density, expected volume of waste automotive, industrial and electric vehicle batteries, accessibility and vicinity to end-users, not being limited to areas where the collection and subsequent management of waste automotive, industrial and electric vehicle batteries is most profitable.
3. Producers of automotive batteries, industrial batteries and electric vehicle batteries or, where appointed in accordance with Article 47(2), producer responsibility organisations, shall:
(a) provide the collection points referred to in paragraph 1 with suitable collection infrastructure for the separate collection of waste automotive batteries, industrial batteries and electric vehicle 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 to collect and temporarily store such batteries at the collection point shall be adequate to provide for the volume and hazardous nature of waste automotive batteries, industrial batteries and electric vehicle batteries that are likely to be collected through those collection points;
(b) collect waste automotive batteries, industrial batteries and electric vehicle batteries from the collection points referred to in paragraph 1 with a frequency that is proportionate to the storage capacity of the separate collection infrastructure and the volume and hazardous nature of waste batteries that are usually collected through those collection points;
(c) provide for the delivery of waste automotive batteries, industrial batteries and electric vehicle batteries collected from end-users and from the collection points referred to in paragraph 1 to facilities for treatment and recycling in accordance with Article 56.
4. The entities referred to in points (a), (b) and (c) of paragraph 3 may hand over
collected waste automotive batteries, industrial batteries and electric vehicle batteries to authorised waste management operators for treatment and recycling in accordance with Article 56. In such cases, the obligation of producers pursuant to paragraph 3(c) shall be deemed to be met.
Article 50 Obligations of distributors
1. Distributors shall take back waste batteries from the end-user at no charge and without an obligation to buy a new battery, regardless of their chemical composition or origin. Take back for portable batteries shall be provided at or in the immediate vicinity of their retail outlet. Take back for waste automotive batteries, industrial batteries and electric vehicle batteries shall be provided at or in the vicinity of their retail outlet. This obligation is limited to the types of waste batteries which the distributor has, or had, as new batteries in its offer and, for portable batteries, to the quantity that non professional end-users normally discard.
2. The take back obligation laid down in paragraph 1 does not apply to waste products containing batteries. It shall apply in addition to the separate collection obligation for waste appliances and end-of-life vehicles laid down in Directives 2000/53/EC and 2012/19/EU.
3. Distributors shall hand over waste batteries that they have taken back to the producers or producer responsibility organisations who are responsible for the collection of those batteries in accordance with Articles 48 and 49 respectively , or to an waste management operator with a view to their treatment and recycling in accordance with Article 56.
4. The obligations under this article shall apply mutatis mutandis to operators supplying batteries by means of distance contracts to end users. Those operators 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 automotive, industrial and electric vehicle batteries, accessibility and vicinity to end users allowing end users to return batteries.
Article 51 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 48 and 49.
3. Waste portable batteries incorporated in appliances that are readily removable by the end user without the use of professional tools shall be removed and discarded by end users in accordance with paragraph 1.
4. Waste batteries incorporated in vehicles or appliances and that are not readily
removable by the end-user, shall be discarded by the end user in accordance with the Directives 2000/53/EC and 2012/19/EU, where applicable.
Article 52 Obligations of treatment facilities
Operators of waste treatment facilities subject to Directives 2000/53/EC and 2012/19/EU shall hand over waste batteries resulting from the treatment of end-of-life vehicles and waste electrical and electronic equipment to the producers of the relevant batteries or, where appointed in accordance with Article 47(2) of this Regulation, producer responsibility organisations acting on their behalf or to waste management operators with a view to their treatment and recycling in accordance with the requirements of Article 56 of this Regulation. The operators of waste treatment facilities shall keep records of those transactions.
Article 53 Participation of public waste management authorities
1. Waste batteries originating from private, non-commercial users may be discarded in separate collection points set up by public waste management authorities.
2. Public waste management authorities shall hand over collected waste batteries to the producers or, where appointed in accordance with Article 47(2), to producer responsibility organisations acting on their behalf, or to waste management operators with a view to treatment and recycling of those waste batteries in accordance with the requirements of Article 56 or carry out their treatment and recycling themselves in accordance with the requirements of Article 56.
Article 54 Participation of voluntary collection points
Voluntary waste portable battery collection points shall hand over 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 with a view to their treatment and recycling in accordance with the requirements of Article 56.
Article 55 Collection rates for waste portable batteries
1. Member States shall achieve the following minimum collection targets for waste portable batteries, excluding waste batteries from light means of transport:
(a) 45 % by 31 December 2023;
(b) 65 % by 31 December 2025;
(c) 70 % by 31 December 2030.
2. Member States shall calculate the collection rates set out in paragraph 1 in accordance with the methodology set out in Annex XI.
3. The Commission shall, by 31 December 2030, review the target laid down in paragraph 1(c) and, as part of that review consider the setting of a collection target for batteries powering light means of transport, in the light of the evolution of the market share, as a separate target or as part of a review of the target laid down in
paragraph 1(c) and in Article 48(4). This review may also consider introducing a calculation methodology for the calculation of the separate collection rate with a view to reflecting the quantity of waste batteries available for collection. To that end, the Commission shall submit a report to the European Parliament and the Council on the outcome of the review accompanied, if appropriate, by a legislative proposal.
4. The Commission is empowered to adopt delegated acts in accordance with Article 73
to amend the methodology to calculate the collection rate for portable batteries laid down in Annex XI.
Article 56 Treatment and recycling
1. Collected waste batteries shall not be landfilled or incinerated.
2. Without prejudice to Directive 2010/75/EU, permitted facilities shall ensure that all treatment and recycling processes for waste batteries comply, as a minimum, with Part A of Annex XII and with best available techniques as defined in Article 3(10) of Directive 2010/75/EU.
3. In addition to Article 51(3), where batteries are collected while still incorporated in a waste appliance, they shall be removed from the collected waste appliance in accordance with the requirements laid down in Directive 2012/19/EU.
4. The Commission is empowered to adopt delegated acts in accordance with Article 73 to amend the treatment and recycling requirements for waste batteries laid down in Part A of Annex XII in light of technical and scientific progress and emerging new technologies in waste management.
Article 57 Recycling efficiencies and material recovery targets
1. All waste batteries collected shall enter a recycling process.
2. Recyclers shall ensure that each recycling process shall achieve the minimum recycling efficiencies and the levels of recovered materials laid down, respectively, in Parts B and C of Annex XII.
3. The recycling efficiencies and the recovery of materials laid down in Parts B and C of Annex XII shall be calculated in accordance with the rules laid down in an implementing act adopted pursuant to paragraph 4.
4. The Commission shall, by 31 December 2023, adopt an implementing act to establish detailed rules regarding the calculation and verification of recycling efficiencies and recovery of materials. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
5. The Commission shall be empowered to adopt delegated acts, in accordance with Article 73, to amend the minimum levels of recovered materials for waste batteries laid down in Annex XII, Parts B and C, in light of technical and scientific progress and emerging new technologies in waste management.
Article 58 Shipments of waste batteries
1. Treatment and recycling may be undertaken outside the Member State concerned or outside the Union, provided that the shipment of waste batteries is in compliance with Regulation (EC) No 1013/2006 and Regulation (EC) No 1418/2007.
2. Waste batteries exported out of the Union in accordance with paragraph 1 shall only count towards the fulfilment of obligations, efficiencies and targets set out in Article 56 and Article 57 if the recycler or other waste holder exporting the waste batteries for treatment and recycling can prove that the treatment took place in conditions that are equivalent to the requirements of this Regulation.
3. The Commission is empowered to adopt a delegated act, in accordance with Article 73, laying down detailed rules supplementing those in paragraph 2 of this Article, by laying down the criteria for the assessment of equivalent conditions.
Article 59 Requirements related to the repurposing and remanufacturing of industrial batteries and
electric-vehicle batteries
1. Independent operators shall be given access to the battery management system of rechargeable industrial batteries and electric vehicle batteries with internal storage with a capacity above 2 kWh, on equal terms and conditions, for the purpose of assessing and determining the state of health and remaining lifetime of batteries, according to the parameters laid down in Annex VII.
2. Independent operators carrying out repurposing or remanufacturing operations shall be given adequate access on equal terms and conditions, to the information relevant for the handling and testing of rechargeable industrial batteries and electric vehicle batteries, or of appliances and vehicles in which such batteries are incorporated as well as of components of such batteries, appliances or vehicles, including safety aspects.
3. Operators carrying out repurposing or remanufacturing operations of batteries shall ensure that the examination, performance testing, packing and shipment of batteries and their components is carried out following adequate quality control and safety instructions.
4. Operators carrying out repurposing or remanufacturing operations of batteries shall ensure that the repurposed or remanufactured battery complies with this Regulation, relevant product, environmental and human health protection requirements in other legislation and technical requirements for its specific purpose of use when placed on the market.
A battery that has been repurposed or remanufactured shall not be subject to the obligations laid down in Article 7(1), (2) and (3), Article 8(1), (2) and (3), Article 10(1) and (2) and Article 39(1) where the economic operator placing a repurposed or remanufactured battery on the market can demonstrate that the battery, before its repurposing or remanufacturing, was placed on the market before the dates on which those obligations become applicable in accordance with those Articles.
5. In order to document that a waste battery, subject to a repurposing or remanufacturing operation, is no longer waste, the battery holder shall demonstrate the following upon request by a competent authority:
(a)
(b)
(c)
evidence of state of health evaluation or 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 a repurposing or remanufacturing operation;
further use of the battery that is subject to repurposing or remanufacturing, is documented by means of an invoice or a contract for the sale or transfer of ownership of the battery;
evidence of appropriate protection against damage during transportation, loading and unloading, including through sufficient packaging and appropriate stacking of the load.
6. Information referred to in paragraph 4 and point (a) of paragraph 5 shall be made available to end users and third parties acting on their behalf, on equal terms and conditions, as part of the technical documentation accompanying the repurposed or remanufactured battery when placed on the market or put into service.
7. The provision of information in accordance with paragraphs 1, 2, 5 and 6 shall be without prejudice to preserving the confidentiality of commercially sensitive information in conformity with the relevant Union and national law.
8. The Commission is empowered to adopt implementing acts establishing detailed technical requirements that batteries have to fulfil to cease to be waste and requirements for the data and the methodology for estimating the state of health of batteries. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
Article 60 End-of-life information
1. Producers or, where appointed in accordance with Article 47(2), producer
responsibility organisations acting on their behalf shall make available to end users and distributors the following information regarding the prevention and management of waste batteries with respect to the types of batteries that the producers supply within the territory of a Member State:
(a)
(b)
(c) (d) (e) (f)
the contribution of end users to waste prevention, including by information on good practices concerning the use of batteries aiming at extending their use phase and the possibilities of preparation for reuse;
the role of end users in contributing to the separate collection of waste batteries in accordance with their obligations under Article 51 so as to allow their treatment and recycling;
the separate collection, preparation for re-use and recycling systems available for waste batteries;
the necessary safety instructions to handle waste batteries, including in relation to the risks associated with, and the handling of, batteries containing lithium;
the meaning of the labels and symbols printed packaging;
batteries or on their
the impact of substances contained in batteries on the environment and on human health, including impact due to inappropriate discarding of waste batteries such as littering or discarding as unsorted municipal waste.
on
This information shall
be made available
(a)
(b)
in regular time intervals for each model from the moment the battery model concerned is being made available on the market for the first time in a Member State as a minimum at the point of sale in a visible manner and through online marketplaces;
in a language, which can be easily understood by consumers and other end-users, as determined by the Member State concerned.
2. Producers shall make available to distributors and operators referred to in Articles 50, 52 and 53 and other waste management operators carrying out repair, remanufacturing, preparing for re-use, treatment and recycling activities 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 model is supplied within the territory of a Member State producers shall make available electronically, upon request, to waste management operators carrying out repair, remanufacturing, preparing for re-use, treatment and recycling activities, as far as it is needed by those operators to carry out those activities, the following battery model specific information regarding the proper and environmentally sound treatment of waste batteries:
(a) the processes to ensure the dismantling of vehicles and appliances in a way that allows the removal of incorporated batteries;
(b) the safety and protective measures, including on occupational safety, applicable to the storage, transport, treatment and recycling processes for waste batteries.
That information 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 repair, remanufacturing, preparing for re-use, treatment and recycling activities in order to enable them to comply with the requirements of this Regulation.
That information shall be made available in a language, which can be easily understood by the operators mentioned in the first subparagraph, as determined by the Member State concerned.
4. Distributors that supply batteries to end-users shall provide in their retail premises, in a visible manner, and through their online marketplaces the information listed in paragraph 1 and 2, and information on how the end users may return waste batteries free of charge to the respective collection points established at retail outlets or on behalf of a marketplace. That obligation shall be limited to the types of batteries which the distributor or retailer has, or had, as new batteries in its offer.
5. The costs covered by the producer under Article 47(1)(e) shall be shown separately to the end-user at the point of sale of a new battery. The costs mentioned shall not exceed the best estimate of the actual costs incurred.
6. Where information is provided publicly to end users under this Article, the confidentiality of commercially sensitive information in conformity with the relevant Union and national law shall be preserved.
Article 61 Reporting to the competent authorities
1. Producers of portable batteries or, where appointed in accordance with Article 47(2),
producer responsibility organisations acting on their behalf shall report to the competent authority for each calendar year the following information according to the battery chemistry, specifying the amounts of batteries powering light means of transport:
(a) the amount of portable batteries made available on the market for the first time in the territory of a Member State, excluding any portable batteries that have left the territory of that Member State in that year before being sold to end users;
(b) the amount of waste portable batteries collected in accordance with Article 48, calculated on the basis of the methodology set out in Annex XI;
(c) (d)
the collection target reached by the producer or producer responsibility organisation acting on behalf of their members;
the amount of collected waste portable batteries delivered for treatment and recycling to permitted facilities.
Where waste management operators other than producers or, where appointed in accordance with Article 47(2), producer responsibility organisations acting on their behalf, collect waste portable batteries from distributors or other collection points for waste portable batteries, they shall report to the competent authority for each calendar year the amount of waste portable batteries collected according to their chemistry and specifying the amounts of batteries powering light means of transport.
The operators referred to in the first and second subparagraph shall report this data within 4 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 adoption of the implementing act that establishes the format for reporting to the Commission, in accordance with Article 62(6).
The competent authorities shall establish the format and procedures in accordance to which data shall be reported to them.
2. Producers of automotive batteries, industrial batteries and electric vehicle batteries or
where appointed in accordance with Article 47(2) producer responsibility organisations acting on their behalf, shall report to the competent authority for each calendar year the following information, according to chemistries and types of batteries:
(a)
(b)
the amount of automotive 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;
the amount of waste automotive batteries, industrial batteries and electric vehicle batteries collected and delivered for treatment and recycling to permitted facilities.
3. Where waste management operators collect waste batteries from distributors or other
waste automotive, industrial and electric vehicle batteries collection points or end-
users, they shall report to the competent authority for each calendar year the following information according to their chemistries and types of batteries:
(a) (b)
the amount of waste automotive, industrial and electric vehicle batteries collected;
the amount of waste automotive, industrial and electric vehicle batteries delivered for treatment and recycling to permitted facilities.
The operators mentioned in this paragraph shall report that data within four months of the end of the reporting year for which the data are collected. The first reporting period shall concern the first full calendar year after the adoption of the implementing act that establishes the format for reporting to the Commission in accordance with Article 62(5).
The competent authorities shall establish electronic systems through which data shall be reported to them and specify the formats to be used. Electronic systems for the reporting of information set up by the competent authorities shall be compatible and interoperable with the requirements of the information exchange system established pursuant to Article 64.
4. The data referred to in points (a) and (b) of paragraph 1 shall include batteries incorporated into vehicles and appliances, and waste batteries removed from those in accordance with Article 52.
5. Waste management operators carrying out treatment and recyclers shall report to the competent authorities for each calendar year the following information:
(a) the amount of waste batteries received for treatment and recycling;
(b) the amount of waste batteries entering recycling processes;
(c)
information on recycling efficiencies and levels of recovered materials for waste batteries.
Reporting on the recycling efficiency and levels of recovered materials shall cover all individual steps of recycling and all corresponding output fractions. Where a recycling process is carried out at more than one facility, the first recycler is responsible for collecting the information and reporting this information to the competent authorities.
Recyclers shall report this data within four months of the end of the reporting year for which the data are collected. The first reporting period shall concern the first full calendar year after the adoption of the implementing act that establishes the format for reporting to the Commission, in accordance with Article 62(6).
6. Where waste holders other than those referred to in paragraph 4 export batteries for
treatment and recycling they shall report the data on the amount of separately collected waste batteries exported for treatment and recycling and the data referred to in paragraph 4(b) and (c) to the competent authorities within four months of the end of the reporting year for which the data are collected.
Article 62 Reporting to the Commission
1. Member States shall make publicly available in an aggregated format for each
calendar year the following data on portable batteries, automotive batteries, industrial batteries and electric vehicle batteries according to battery types and their chemistries
and, regarding portable batteries, identifying separately batteries powering light means of transport:
(a) the amount of batteries made available on the market for the first time in a Member State, excluding batteries that have left the territory of that Member State in that year before being sold to end users;
(b) the amount of waste batteries collected in accordance with Article 48 and 49, calculated on the basis of the methodology set out in Annex XI;
(c) the values of the achieved recycling efficiencies as referred to in Annex XII, Part B, and the values of the achieved material recovery referred to in Part C of Annex XII.
Member States shall make this data available within 18 months of the end of the reporting year for which the data are collected. They shall make that information public electronically in the format established by the Commission in accordance with paragraph 6, using easily accessible data services that are interoperable with the System established pursuant to Article 64. The data shall be machine readable, sortable and searchable, respecting open standards for third party use. Member States shall notify the Commission when the data referred to in the first sub-paragraph is made available.
The first reporting period shall concern the first full calendar year after the adoption of the implementing act that establishes the format for reporting, in accordance with paragraph 6.
In addition to the obligations under Directives 2000/53/EC and 2012/19/EU, data referred to in points (a) and (b) of paragraph 1 shall include batteries incorporated into vehicles and appliances, and waste batteries removed from those in accordance with Article 52.
2. Reporting on the recycling efficiency and levels of recovered materials referred to in paragraph 1 shall cover all individual steps of recycling and all corresponding output fractions.
3. The data made available by Member States in accordance with this Article shall be accompanied by a quality check report. That information shall be presented in the format established by the Commission in accordance with paragraph 6.
4. The Commission shall collect and review the information made available in 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 that data. The assessment may include specific recommendations for improvement. The report shall be drawn up after the first reporting of the data by Member States and every four years thereafter.
5. The Commission shall, by 31 December 2023, adopt implementing acts laying down the format for the data and information to be reported to the Commission, as well as verification methods and operational conditions, for the purpose of paragraphs 1 and 4. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
Article 63 Application of Chapter VII
Chapter VII shall apply from 1 July 2023.
Chapter VIII Electronic exchange of information
Article 64 Electronic exchange system
1. By 1 January 2026, the Commission shall set up the electronic exchange system for battery information (“the system”).
2. The system shall contain the information and data on rechargeable industrial batteries and electric vehicle batteries with internal storage and a capacity above 2 kWh as laid down in Annex XIII. That information and data shall be sortable and searchable, respecting open standards for third party use.
3. The economic operators that place a rechargeable industrial battery or an electric vehicle battery with internal storage on the market shall make the information referred to in paragraph 2 available electronically in a machine readable format using interoperable and easily accessible data services in the format established in accordance with paragraph 5.
4. The Commission shall, after a review in accordance with Article 62(5), publish through the System the information referred to in Article 62(1) as well as the assessment referred to in Article 62(5).
5. The Commission shall, by 31 December 2024, adopt implementing acts to establish:
(a) the architecture of the system;
(b) the format in which the data and information referred to in paragraph 2 shall be made available;
(c) the rules for accessing, sharing, managing, exploring, publishing and reusing of the information and data in the system.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
Article 65 Battery passport
1. By 1 January 2026, each industrial battery and electric vehicle battery placed on the market or put into service and whose capacity is higher than 2 kWh shall have an electronic record (“battery passport”).
2. The battery passport shall be unique for each individual battery referred to in paragraph 1 and shall be identified through a unique identifier that the economic operator placing the battery on the market shall attribute to it and which shall be printed or engraved on it.
3. The battery passport shall be linked to the information about the basic characteristics of each battery type and model stored in the data sources of the System established pursuant to Article 64. The economic operator that places an industrial battery or an
electric vehicle battery on the market shall ensure that the data included in the battery passport is accurate, complete and up-to-date.
4. The battery passport shall be accessible online, through electronic systems interoperable with the System established pursuant to Article 64.
5. The battery passport shall allow access to information about the values for performance and durability parameters referred to in Article 10(1), when the battery is placed on the market and when it is subject to changes in its status.
6. When the change in the status is due to repairing or repurposing activities, the responsibility for the battery record in the battery passport shall be transferred to the economic operator that is considered to place the industrial battery or the electric vehicle battery on the market or that puts it into service.
7. The Commission is empowered to adopt implementing acts to establish the rules for accessing, sharing, managing, exploring, publishing and reusing of the information and data accessible through the battery passport.
Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
Chapter IX
Union market surveillance, control of batteries entering the Union
market and Union safeguard procedures
Article 66 Procedure at national level for dealing with batteries presenting a risk
1. 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, they shall without delay require the relevant economic operator to take all appropriate corrective action to bring the battery into compliance with those requirements, to withdraw it from the market, or to recall it within a reasonable period which is commensurate with the nature of the risk referred to in the first subparagraph.
The market surveillance authorities shall inform the relevant notified body accordingly.
2. Where the market surveillance authorities consider that non-compliance is not restricted to their national territory, they 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 concerned batteries that the economic operator has made available on the market throughout the Union.
4. Where the relevant economic operator does not take adequate corrective action within the period referred to in the second subparagraph of paragraph 1, the market surveillance authorities shall take all appropriate provisional measures to prohibit or restrict the batteries being made available on their national market, to withdraw the battery from that market or to recall it.
The market surveillance authorities shall inform the Commission and the other Member States, without delay, of those measures.
5. The information referred to in the second subparagraph of paragraph 4 shall include 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 either of the following:
(a) failure of the battery to meet the requirements set out in Chapter II or III of this Regulation
(b) shortcomings in the harmonised standards referred to in Article 15;
(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 the second subparagraph of paragraph 4, no objection has been raised by either a Member State or the Commission in respect of a provisional measure taken by a Member State, that measure shall be deemed justified.
8. Member States shall ensure that appropriate restrictive measures, such as withdrawal of the battery from the market, are taken in respect of the battery concerned without delay.
Article 67 Union safeguard procedure
1. Where, on completion of the procedure set out in Article 66(3) and (4), objections are raised against a measure taken by a Member State, or where the Commission considers a national measure to be contrary to Union legislation, 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. On the basis of the results of that evaluation, the Commission shall decide by means of an implementing act whether the national measure is justified or not.
That implementing act shall be adopted in accordance with the examination procedure referred to in Article 74(3).
2. The Commission shall address its decision to all Member States and shall without delay communicate it to them and the relevant economic operator or operators.
If the national measure is considered justified, all Member States shall take the necessary measures to ensure that the non-compliant battery is withdrawn from their market, and 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.
Article 68 Compliant batteries which present a risk
1. Where, having carried out an evaluation under Article 67(1), a Member State finds that although a battery is in compliance with the requirements set out in Chapters II and III, it presents a risk to the human health or safety of persons, to the protection of property or to the environment, it shall require the relevant economic operator to take all appropriate measures to ensure that the battery concerned, when placed on the market, no longer presents that risk, to withdraw the battery from the market or to recall it, within a reasonable period which is commensurate with the nature of that risk.
2. The economic operator shall ensure that corrective action is taken in respect of all the concerned batteries that the economic operator has made available on the market throughout the Union.
3. The Member State shall immediately inform the Commission and the other Member States. That information shall include all available details, in particular the data necessary for the identification of the batteries concerned, the origin and the supply chain of the battery, 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 in the form of a decision determining whether the national measure is justified or not and, where necessary, ordering appropriate measures.
5. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 74(3).
6. On duly justified imperative grounds of urgency relating to the protection of human health and safety of persons, and to the protection of property or to the environment, the Commission shall adopt an immediately applicable implementing act in accordance with the procedure referred to in Article 74(3).
7. The Commission shall address its decision to all Member States and shall immediately communicate it to them and the relevant economic operator or operators.
1.
2. 3.
Article 69 Other non-compliance
Without prejudice to Article 66, where a Member State finds that a battery falling outside the scope of Article 68 is non-compliant with this Regulation or an economic operator has infringed an obligation set out in this Regulation, shall require the relevant economic operator to put an end to the non-compliance concerned. Such non compliances shall include the following:
(a)
(b) (c)
Regulation (EC)
the CE marking has been affixed in violation of Article 30 of No 765/2008 or of Article 20 of this Regulation;
the CE marking has not been affixed;
the identification number of the notified body involved in the production control phase has been affixed in violation of Article 20 or has not been
affixed;
(d) the EU declaration of conformity has not been drawn up or has not been drawn up correctly;
(e)
(f) (g)
(h) (i) (j)
(k)
the EU declaration of conformity is not accessible via the QR code on the battery;
the technical documentation is not available, is not complete or contains errors;
the information referred to in paragraphs 7, 9 and 10 of Article 38 or Article 41(3) and (4) is absent, false or incomplete or, in the case of the instructions for use, not translated into a language accepted by the Member States where the battery is placed on the market or made available;
any other administrative requirement provided for in Article 38 or Article 40 is not fulfilled;
the requirements for safe operation and use of stationary battery energy storage systems set out in Article 12 are not respected;
the sustainability and safety requirements set out in Articles 6 to 12 in Chapter II and the labelling and information requirements set out in Articles 13 and 14 in Chapter III are not fulfilled;
the requirements related to the supply chain due diligence policy in are not fulfilled.
Article 39
Where the operator does not put an end to the non-compliance referred to in point (k) of paragraph 1, a notice of remedial action shall be issued.Where the non-compliance referred to in paragraph 1 persists, the Member State concerned shall take all appropriate measures to restrict or prohibit the battery being made available on the market or ensure that it is recalled or withdrawn from the market. In case of the non-compliance referred to in point (k) of paragraph 1, this paragraph shall apply as a last resort if the non-compliance is serious and persists after the issuing of a notice of remedial action as referred to in paragraph 2.
Chapter X Green public procurement, procedure for amending restrictions on hazardous substances and Commission recognition of supply
chain due diligence schemes
Article 70 Green public procurement
1. Contracting authorities, as defined in Article 2(1) of Directive 2014/24/EU or Article 3(1) of Directive 2014/25/EU, or contracting entities, as defined in Article 4(1) of Directive 2014/25/EU shall, when procuring batteries or products containing batteries in situations covered by those Directives, take account of the environmental impacts of batteries over their life cycle with a view to ensure that such impacts of the batteries procured are kept to a minimum.
2. The obligation set out in paragraph 1 shall apply to any contracts entered into by contracting authorities or contracting entities for the purchase of batteries or products containing batteries and shall mean that these contracting authorities and contracting entities are obliged to include technical specifications and award criteria based on Articles 7 to 10 to ensure that a product is chosen among products with significantly lower environmental impacts over their lifecycle.
3. The Commission shall, by 31 December 2026, adopt delegated acts in accordance with Article 73 supplementing this Regulation by establishing minimum mandatory green public procurement criteria or targets based on the requirements set out in Articles 7 to 10.
Article 71 Procedure for amending restrictions on hazardous 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 the waste phase, 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 European Chemicals Agency (the ’Agency’) to prepare a dossier that conforms to the requirements of point (3) of Part II of Annex XV to Regulation (EC) No 1907/2006 (‘restriction dossier’). The restriction dossier shall include a socio-economic assessment, including an analysis of alternatives.
2. The Agency shall publish without delay the intention of the Commission to initiate such restriction process life cycle for a substance, and shall inform stakeholders concerned.
3. Within 12 months of the receipt of the request from the Commission in paragraph 1 and if the restriction dossier prepared by the Agency pursuant to that paragraph demonstrates that action is necessary on a Union-wide basis, the Agency shall suggest restrictions in order to initiate the restriction process described in paragraphs 4 to 14.
4. The Agency shall make publicly available on its website the restriction dossier, including the restrictions suggested pursuant to paragraph 3, without delay, clearly indicating the date of publication. The Agency shall invite all interested parties to
submit individually or jointly, within four months of the date of publication, comments on the restriction dossier.
5. Within 12 months of the date of publication referred to in paragraph 4, the Committee for Risk Assessment , set up pursuant to Article 76(1)(c) of Regulation (EC) No 1907/2006, shall adopt an opinion as to whether the suggested restrictions are appropriate in reducing the risk to human health and/or the environment, based on its consideration of 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, and the views of interested parties referred to in paragraph 4.
6. Within 15 months of the date of publication referred to in paragraph 4, the Committee for Socio-economic Analysis, set up pursuant to Article 76(1)(d) of Regulation (EC) No 1907/2006, shall adopt an opinion on the suggested restrictions, based on its consideration of the relevant parts of the dossier and the socio-economic impact. Prior to that, it shall prepare a draft opinion on the suggested restrictions and on the related socio-economic impact, taking account of the analyses or information according to paragraph 4, if there are any.
7. The Agency shall publish the draft opinion of the Committee for Socio-economic Analysis on its website without delay and invite interested parties to provide their comments on the draft opinion no later than 60 days from the publication of that draft opinion.
8. The Committee for Socio-economic Analysis shall without delay adopt its opinion, taking into account where appropriate further comments received by the deadline set in paragraph 7. This opinion shall take account of the comments of interested parties submitted under paragraphs 4 and 7.
9. Where the opinion of the Committee for Risk Assessment diverges significantly from the restrictions suggested, the Agency shall postpone the deadline for the opinion of the Committee for Socio-economic Analysis by a maximum of 90 days.
10. The Agency shall submit to the Commission without delay the opinions of the Committees for Risk Assessment and Socio-economic Analysis on the restrictions suggested pursuant to the request made by the Commission under paragraph 1. Where the opinions of the Committees for Risk Assessment and Socio-economic Analysis diverge significantly from the restrictions suggested pursuant to paragraph 3, 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 paragraphs 5 and 6 the Agency shall inform the Commission accordingly, stating the reasons.
11. The Agency shall publish the opinions of the two Committees on its website without delay.
12. The Agency shall provide the Commission on request with all documents and evidence submitted to or considered by it.
13. If the Commission concludes that the conditions laid down in Article 6(2) are fulfilled, it shall adopt a delegated act pursuant to Article 6(2). This delegated act shall be adopted without undue delay following the receipt of the opinion of the Committee for Socio-economic Analysis referred to in paragraph 8 or after the deadline set out under paragraphs 6 and 9, as applicable, if that Committee does not adopt an opinion.
14. Where the Committees for Risk Assessment and Socio-economic Analysis provide
an opinion pursuant to paragraphs 5 and 6, they shall make use of rapporteurs as specified in Article 87 of Regulation (EC) No 1907/2006. The rapporteurs or co-rapporteurs concerned, or their employer, shall be remunerated by the Agency in accordance with a scale of fees to be included in the financial arrangements related to restrictions established by the Management Board, set up pursuant to Article 76(1)(a) of Regulation (EC) No 1907/2006. Where the persons concerned fail to fulfil their duties, the Executive Director of the Agency has the right to terminate or suspend the contract or withhold remuneration.
Article 72 Supply chain due diligence schemes
1. Governments, industry associations and groupings of interested organisations that have developed and oversee due diligence schemes (“scheme owners”) may apply to the Commission to have their supply chain due diligence schemes recognised by the Commission. The Commission is empowered to adopt implementing acts establishing the information requirements that the application to the Commission shall contain. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
2. Where, on the basis of the evidence and information provided pursuant to the first sub-paragraph 1, the Commission determines that the supply chain due diligence scheme referred to in paragraph 1, enables that economic operators to comply with the requirements set out in Article 39 of this Regulation, it shall adopt an implementing act granting that scheme a recognition of equivalence with the requirements set out in this Regulation. The OECD Secretariat shall, as appropriate, be consulted prior to the adoption of such implementing acts. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
When making a determination on the recognition of a due diligence scheme, the Commission shall take into account the diverse industry practices covered by that scheme and shall have regard to the risk-based approach and method used by that scheme to identify risks.
3. The Commission is empowered to adopt implementing acts setting out the criteria and the methodology according to which the Commission shall determine, in accordance with paragraph 2, whether supply chain due diligence schemes ensure that economic operators fulfil the requirements set out in Article 39 of this Regulation. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).The Commission shall also, as appropriate, periodically verify that recognised supply chain due diligence schemes continue to fulfil the criteria that led to a recognition of equivalence decision adopted pursuant to paragraph 2.
4. The owner of a supply chain 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.
5. If there is evidence of repeated or significant cases where economic operators implementing a scheme recognised in accordance with paragraph 2 have failed to fulfil the requirements set out in Article 39 of this Regulation, the Commission shall
examine, in consultation with the owner of the recognised scheme, whether those cases indicate deficiencies in the scheme.
6. Where the Commission identifies a failure to comply with the requirements set out in Article 39 of this Regulation or deficiencies in a recognised supply chain due diligence scheme, it may grant the scheme owner an appropriate period of time 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 compromise the ability of the economic operator referred to in Article 39(1) implementing a scheme to comply with the requirements set out in Article 39 of this Regulation or where repeated or significant cases of non-compliance by economic operators implementing a scheme are due to deficiencies in the scheme, the Commission shall adopt an implementing act withdrawing the recognition of equivalence of the scheme. Those implementing acts shall be adopted in accordance with the examination procedure referred to in Article 74(3).
8. The Commission shall establish and keep up-to-date a register of recognised supply chain due diligence schemes. That register shall be made publicly available on the internet.
Chapter XI Delegated powers and committee procedure
Article 73 Exercise of the delegation
1. The power to adopt delegated acts is conferred on the Commission subject to the conditions laid down in this Article.
2. The power to adopt delegated acts referred to in Articles 6(2), 7(1), (2) and (3), 9(2), 10(3), 12(2), 17(4), 27(3), 39(8), 55(4), 56(4), 57(6), 58(3) and 70(2) shall be conferred on the Commission for a period of five years from [date of entry into force of this Regulation]. The Commission shall draw up a report in respect of the delegation of power no later than 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 Articles 6(2), 7(1), (2) and (3), 9(2), 10(3), 12(2), 17(4), 27(3), 39(8), 55(4), 56(4), 57(6), 58(3) and 70(2) 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 Articles 6(2), 7(1), (2) and (3), 9(2), 10(3),
12(2), 17(4), 27(3), 39(8), 55(4), 56(4), 57(6), 58(3) and 70(2) 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 74 Committee procedure
1. The Commission shall be assisted by a committee established by Article 39 of Directive 2008/98/EC. That committee shall be a committee within the meaning of Regulation (EU) No 182/2011.
2. Where reference is made to this paragraph, Article 4 of Regulation (EU) No 182/2011 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 the third subparagraph of Article 5(4) of Regulation (EU) No 182/2011 shall apply.
4. Where reference is made to this paragraph, Article 8 of Regulation (EU) No 182/2011, in conjunction with Article 5 thereof, shall apply.
Chapter XII Amendments
Article 75 Amendments to Regulation (EU) 2109/1020
Regulation (EU) 2019/1020 is amended as follows:
(1) in Article 4(5), the text “(EU) 2016/425(35) and (EU) 2016/426(36)” is replaced by
the following:
“(EU) 2016/425 (*), (EU) 2016/426 (**) and [(EU) 2020/…(***)]
* Regulation (EU) 2016/425 of the European Parliament and of the Council of 9 March 2016 on personal protective equipment and repealing Council Directive 89/686/EEC (OJ L 81, 31.3.2016, p. 51).
** Regulation (EU) 2016/426 of the European Parliament and of the Council of 9 March 2016 on appliances burning gaseous fuels and repealing Directive 2009/142/EC (OJ L 81, 31.3.2016, p. 99).
*** [Regulation of the European Parliament and of the Council on batteries and waste batteries, amending Regulation (EU) No 2019/1020 and repealing Directive 2006/66/EC (For the Publications Office to fill in the OJ publication details)]”;
(2) in Annex I, the following point 71 is added to the list of Union harmonisation
legislation:
’71. Regulation of the European Parliament and of the Council on batteries and waste batteries, amending Regulation (EU) No 2019/1020 and repealing Directive 2006/66/EC (the Publications Office to fill in the OJ publication details);
Chapter XIII Final provisions
Article 76 Penalties
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 77 Review
1. By 31 December 2030, the Commission shall draw up a report on the application of this Regulation and its impact on the environment and the functioning of the internal market.
2. Taking account of technical progress and practical experience gained in Member States, the Commission shall in its report include an evaluation on the following aspects of this Regulation:
(a) sustainability and safety requirements set out in Chapter II;
(b) labelling and information requirements set out in Chapter III;
(c) supply chain due diligence requirements set out in Articles 39 and 72;
(d) measures regarding end-of-life management of batteries set out in Chapter VII.
Where appropriate, the report shall be accompanied by a legislative proposal for amendment of the relevant provisions of this Regulation.
Article 78 Repeal and transitional rules
Directive 2006/66/EC is repealed with effect from 1 July 2023; however, its:
(a) Article 10(3), Article 12(4) and Article 12(5) shall continue to apply until 31 December 2023, except as regards the transmission of data to the Commission which shall continue to apply until 31 December 2025;
(b) Article 21(2) shall continue to apply until 31 December 2026. References to the repealed Directive shall be construed as references to this Regulation.
Article 79 Entry into force and application
This Regulation shall enter into force on the twentieth day following that of its publication in the Official Journal of the European Union.
It shall apply from 1 January 2022.
This Regulation shall be binding in its entirety and directly applicable in all Member States.