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

Information on prevention and management of waste batteries

In addition to the information referred to in Article 8a(2) of Directive 2008/98/EC, producers or, where appointed in accordance with Article 57(1), producer responsibility organisations shall make available to end-users and distributors the following information regarding the prevention and management of waste batteries with regard to the categories of batteries that they supply within the territory of a Member State:

(a) the role of end-users in contributing to waste prevention, including by information on good practices and recommendations concerning the use of batteries aimed at extending their use phase and the possibilities of re-use, preparation for re-use, preparation for repurposing, repurposing and remanufacturing;

(b) the role of end-users in contributing to the separate collection of waste batteries in accordance with their obligations under Article 64 to allow their treatment;

(c) the separate collection, take-back and collection points, preparation for re-use, preparation for repurposing and treatment available for waste batteries;

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

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

(f) the impact of substances, in particular hazardous substances, present in batteries on the environment and on human health or the safety of persons, including the impact due to inappropriate discarding of waste batteries, such as littering or discarding as unsorted municipal waste.

That information shall be made available:

(a) at regular time intervals for each battery model from the moment the battery model concerned is being made available on the market for the first time in a Member State, as a minimum at the point of sale in a visible manner and through online platforms;

(b) in a language or languages which can be easily understood by end-users, as determined by the Member State in which the battery is to be made available on the market.

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

(a) the processes for the dismantling of light means of transport, vehicles and appliances in a way that allows the removal of incorporated batteries;

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

The information referred to in points (a) and (b) of the first subparagraph shall identify the components and materials and the location of all hazardous substances in a battery, as far as it is needed by operators carrying out preparation for re-use, preparation for repurposing or treatment, in order to enable them to comply with the requirements of this Regulation.

That information shall be made available in a language or languages, which can be easily understood by the operators mentioned in the first subparagraph, as determined by the Member State on whose market the battery is to be made available.

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

Article 75

Minimum requirements for reporting to the competent authorities

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

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

(b) the amount of portable batteries of general use made available on the market for the first time in the territory of a Member State, excluding portable batteries of general use that have left the territory of that Member State in that year, before being sold to end-users;

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

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

(e) the amount of collected waste portable batteries and waste LMT batteries delivered to permitted facilities for treatment;

(f) the amount of collected waste portable batteries and waste LMT batteries exported to third countries for treatment, preparation for re-use or preparation for repurposing;

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

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

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

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

(b) the amount of collected waste SLI batteries, waste industrial batteries and waste electric vehicle batteries delivered to permitted facilities for preparation for re-use or preparation for repurposing;

(c) the amount of collected waste SLI batteries, waste industrial batteries and waste electric vehicle batteries delivered to permitted facilities for treatment;

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

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

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

(b) the amount of collected waste SLI batteries, waste industrial batteries and waste electric vehicle batteries delivered to permitted facilities for preparation for re-use or preparation for repurposing;

(c) the amount of collected waste SLI batteries, waste industrial batteries and waste electric vehicle batteries delivered to permitted facilities for treatment;

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

Waste management operators carrying out treatment and recyclers shall report to the competent authorities of the Member State where treatment of waste batteries takes place, for each calendar year and by Member State where the waste batteries were collected, the following information:

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

(b) the amount of waste batteries that began to undergo preparation for re-use, preparation for repurposing or recycling processes;

(c) data on recycling efficiency for waste batteries, recovery of materials from waste batteries and the destination and yield of the final output fractions.

Reporting on the recycling efficiency and recovery of materials shall cover all individual steps of recycling and all corresponding output fractions. Where recycling operations are carried out at more than one facility, the first recycler shall be responsible for collecting the information and reporting that information to the competent authorities.

The competent authority of the Member State where the treatment of waste batteries takes place, shall provide the information referred to in this paragraph to the competent authority of the Member State where the batteries were collected, if different.

Waste batteries sent to another Member State for treatment in that other Member State shall be included in the recycling efficiency and recovery of materials data and shall count towards the attainment of the targets set out in Annex XII by the Member State in which that waste was collected.

Article 76

Reporting to the Commission

Member States shall make publicly available in an aggregated form for each calendar year and in the format established by the Commission in the implementing act adopted pursuant to paragraph 5, the following data on portable batteries, LMT batteries, SLI batteries, industrial batteries and electric vehicle batteries, according to battery categories and their chemistries:

(a) the amount of batteries made available on the market for the first time in a Member State, including those incorporated in appliances, vehicles or industrial products, but excluding batteries that have left the territory of that Member State in that year, before being sold to end-users;

(b) the amount of waste batteries collected in accordance with Articles 59, 60 and 61, and collection rates calculated on the basis of the methodology set out in Annex XI;

(c) the amount of waste industrial batteries and the amount of waste electric vehicle batteries collected and delivered to permitted facilities for preparation for re-use or preparation for repurposing;

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

Member States shall make those data available within 18 months of the end of the reporting year for which the data are collected. They shall make those data public electronically in the format established by the Commission in accordance with paragraph 5, using easily accessible data services. The data shall be machine readable, sortable and searchable, and shall respect open standards for third party use. Member States shall notify the Commission when the data referred to in the first subparagraph are made available.

The first reporting period shall concern the first full calendar year after the entry into force of the implementing act that establishes the format for reporting to the Commission, in accordance with paragraph 5.

In addition to the obligations under Directives 2000/53/EC and 2012/19/EU, data referred to in paragraph 1, first subparagraph, points (a) to (d), of this Article shall include batteries incorporated into vehicles and appliances, and waste batteries removed from those vehicles and appliances in accordance with Article 65.

CHAPTER IX

Digital battery passport

Article 77

Battery passport

The information in the battery passport shall comprise:

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

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

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

The purposes for accessing and processing the information as referred to in point (c) of the second subparagraph, shall:

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

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

The information referred to in the second subparagraph shall be included in the battery passport to the extent applicable to the category or sub-category of battery concerned.

The Commission is empowered to adopt delegated acts in accordance with Article 89 to amend Annex XIII as regards the information to be included in the battery passport in view of technical and scientific progress.

The QR code and the unique identifier shall comply with the ISO/IEC standards 15459-1:2014, 15459-2:2015, 15459-3:2014, 15459-4:2014, 15459-5:2014 and 15459-6:2014 or their equivalent.

The Commission is empowered to adopt delegated acts in accordance with Article 89 to amend the second subparagraph of this paragraph in light of technical and scientific progress by replacing the standards referred to in that subparagraph or adding other European or international standards with which the QR code and the unique identifier shall comply.

Where the status of a battery changes to that of a waste battery, the responsibility for the fulfilment of the obligations under paragraph 4 of this Article shall be transferred either to the producer or, where appointed in accordance with Article 57(1), the producer responsibility organisation, or the waste management operator selected in accordance with Article 57(8).

The criteria for specifying the persons referred to in paragraph 2, point (c), and for determining the extent to which they can download, share, publish and re-use the information referred to in points 2 and 4 of Annex XIII shall be the following:

(a) the necessity of having such information in order to evaluate the status and residual value of the battery and its capability for further use;

(b) the necessity of having such information for the purpose of preparation for re-use, preparation for repurposing, repurposing, remanufacturing or recycling of the battery, or for choosing between those operations;

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

Article 78

Technical design and operation of the battery passport

The technical design and operation of the battery passport shall comply with the following essential requirements:

(a) the battery passport shall be fully interoperable with other digital product passports required by Union law concerning eco-design, in relation to the technical, semantic and organisational aspects of end-to-end communication and data transfer;

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

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

(d) if the data included in the battery passport are stored or otherwise processed by operators authorised to act on behalf of the economic operator responsible for the fulfilment of the obligations under Article 77(4) or (7), those operators shall not be allowed to sell, re-use or process such data, in whole or in part, beyond what is necessary for the provision of the relevant storing or processing services;

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

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

(g) data authentication, reliability and integrity shall be ensured;

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

CHAPTER X

Union market surveillance and Union safeguard procedures

Article 79

Procedure at national level for dealing with batteries presenting a risk

Where, in the course of the evaluation referred to in the first subparagraph, the market surveillance authorities find that the battery does not comply with the requirements laid down in this Regulation (‘non-compliant battery’), they shall without delay require the relevant economic operator to take all appropriate corrective action, within a reasonable period prescribed by the market surveillance authorities and commensurate with the nature of the risk, to bring the battery into compliance with those requirements, to withdraw it from the market, or to recall it.

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

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

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

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

(b) shortcomings in the harmonised standards referred to in Article 15;

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

Article 80

Union safeguard procedure

On the basis of the results of that evaluation, the Commission shall adopt an implementing act determining whether the national measure is justified or not. That implementing act shall be adopted in accordance with the examination procedure referred to in Article 90(3).

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.

Article 81

Compliant batteries which present a risk

Article 82

Joint activities

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

Article 83

Formal non-compliance

Without prejudice to Article 79, where a Member State makes one of the following findings, it shall require the relevant economic operator to put an end to the non-compliance concerned:

(a) the CE marking has been affixed in violation of Article 30 of Regulation (EC) No 765/2008 or of Article 20 of this Regulation;

(b) the CE marking has not been affixed;

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

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

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

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

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

Article 84

Non-compliance with due diligence obligations

CHAPTER XI

Green public procurement and procedure for amending restrictions on substances

Article 85

Green public procurement

Article 86

Restriction procedure for substances

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

The Agency shall make publicly available on its website the restriction dossier, including the restrictions suggested pursuant to paragraphs 2 and 3 without delay, clearly indicating its date of publication. The Agency shall invite all stakeholders concerned to submit individually or jointly, within four months of the date of publication:

(a) comments on the restriction dossier and the suggested restrictions;

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

Article 87

Opinion of the Agency’s Committees

Article 88

Submission of an opinion to the Commission

CHAPTER XII

Delegated powers and committee procedure

Article 89

Exercise of the delegation

Article 90

Committee procedure

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

CHAPTER XIII

Amendments

Article 91

Amendments to Regulation (EU) 2019/1020

Regulation (EU) 2019/1020 is amended as follows:

(1) in Article 4(5), the text ‘(EU) 2016/425³⁵ and (EU) 2016/426³⁶’ is replaced by the following: ‘(EU) 2016/425 (¹), (EU) 2016/426 (2) and (EU) 2023/1542 (^*3)

(2) in Annex I, point 21 of the list of Union harmonisation legislation is replaced by the following: ‘21. Regulation (EU) 2023/1542 of the European Parliament and of the Council of 12 July 2023 concerning batteries and waste batteries, amending Directive 2008/98/EC and Regulation (EU) 2019/1020 and repealing Directive 2006/66/EC (OJ L 191, 28.7.2023, p. 1) ;’.

Article 92

Amendment to Directive 2008/98/EC

In Article 8a(7) of Directive 2008/98/EC, the following subparagraph is added:

‘ For batteries, as defined in Article 3(1), point (1), of Regulation (EU) 2023/1542 of the European Parliament and of the Council (^*4), Member States shall take measures to ensure that extended producer responsibility schemes that have been established before 4 July 2018, comply with this Article by 18 August 2025.

CHAPTER XIV

Final provisions

Article 93

Penalties

By 18 August 2025 Member States shall lay down the rules on penalties applicable to infringements of this Regulation and shall take all measures necessary to ensure that they are implemented. The penalties provided for shall be effective, proportionate and dissuasive. Member States shall, without delay, notify the Commission of those rules and of those measures and shall notify it, without delay, of any subsequent amendment affecting them.

Article 94

Review

Taking account of technical progress and practical experience gained in Member States, the Commission shall, in its report, include an evaluation on the following aspects of this Regulation:

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

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

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

(d) the battery due diligence requirements laid down in Articles 48 to 53;

(e) the measures regarding management of waste batteries laid down in Chapter VIII, including the possibility of introducing two sub-categories of portable batteries namely rechargeable and non-rechargeable portable batteries, with separate collection targets, and of introducing a separate collection target for portable batteries of general use;

(f) the measures regarding the battery passport set out in Chapter IX;

(g) infringements and the effectiveness, proportionality and dissuasiveness of penalties as set out in Article 93;

(h) analysis of the impact of this Regulation on the competitiveness of, and on the investments in, the batteries sector, and of the administrative burden resulting from this Regulation.

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

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

Article 95

Repeal and transitional rules

Directive 2006/66/EC is repealed with effect from 18 August 2025.

However, the following provisions shall continue to apply as set out below:

(a) Article 11 until 18 February 2027;

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

(c) Article 21(2) until 18 August 2026.

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

Article 96

Entry into force and application

The following provisions shall apply as follows:

(a) Article 11 shall apply from 18 February 2027;

(b) Article 17 and Chapter VI shall apply from 18 August 2024, except for Article 17(2) which shall apply from 12 months after the date of the first publication of the list referred to in Article 30(2);

(c) Chapter VIII shall apply from 18 August 2025.

This Regulation shall be binding in its entirety and directly applicable in all Member States.

ANNEX I

Column 1 Designation of the substance or group of substances	Column 2 Conditions of restriction
1. Mercury CAS No 7439-97-6 EC No 231-106-7 and its compounds	Batteries, whether or not incorporated into appliances, light means of transport or other vehicles, shall not contain more than 0,0005 % of mercury (expressed as mercury metal) by weight.
2. Cadmium CAS No 7440-43-9 EC No 231-152-8 and its compounds	Portable batteries, whether or not incorporated into appliances, light means of transport or other vehicles, shall not contain more than 0,002 % of cadmium (expressed as cadmium metal) by weight.
3. Lead CAS No 7439-92-1 EC No 231-100-4 and its compounds	1. From 18 August 2024, portable batteries, whether or not incorporated into appliances, shall not contain more than 0,01 % of lead (expressed as lead metal) by weight. 2. The restriction set out in point 1 shall not apply to portable zinc-air button cells until 18 August 2028.

ANNEX II

CARBON FOOTPRINT

1. Scope

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

The methodology for calculation and verification of the carbon footprint to be provided for by means of the delegated act adopted pursuant to Article 7 shall build on the essential elements included in this Annex, be in compliance with the latest version of the Commission Product Environmental Footprint (PEF) method and relevant Product Environmental Footprint Category Rules (PEFCRs) and reflect the international agreements and technical/scientific progress in the area of life cycle assessment.

The calculation of the life cycle carbon footprint shall be based on the bill of materials, the energy and the auxiliary materials used in a specific manufacturing plant to produce a specific battery model. In particular, the electronic components, for example battery management units and safety units, and the cathode materials shall be accurately identified, as they can become the main contributor for the battery carbon footprint.

2. Definitions

For the purposes of this Annex, the following definitions apply:

(a) ‘activity data’ means the information associated with processes while modelling Life Cycle Inventories (LCI), whereby the aggregated LCI results of the process chains that represent the activities of a process are each multiplied by the corresponding activity data and then combined to derive the carbon footprint associated with that process;

(b) ‘bill of materials’ means a list of the raw materials, sub-assemblies, intermediate assemblies, sub-components and parts, and the quantities of each, needed to manufacture the battery;

(c) ‘company-specific data’ means data that are directly measured or collected from one or multiple facilities (site-specific data) that are representative of the activities of the company, such data are also known as ‘primary data’;

(d) ‘functional unit’ means the qualitative and quantitative aspects of the functions, services, or both, provided by the battery;

(e) ‘life cycle’ means the consecutive and interlinked stages of a product system, from raw material acquisition or generation from natural resources to final disposal (ISO 14040:2006 or an equivalent standard);

(f) ‘life cycle inventory (LCI)’ means the combined set of exchanges of elementary, waste and product flows in an LCI dataset;

(g) ‘life cycle inventory (LCI) dataset’ means a document or file with life cycle information on a specified product or other reference, such as the site or process, covering descriptive metadata and quantitative life cycle inventory, which could include a unit process dataset, partially aggregated or an aggregated dataset;

(h) ‘reference flow’ means the measure of the outputs from processes in a given product system required to fulfil the function expressed by the functional unit (based on ISO 14040:2006 or an equivalent standard);

(i) ‘secondary data’ means data that are not directly collected or measured from a specific process within the supply-chain of the company or estimated by that company, but that are sourced from a third party LCI database or other sources; such data include industry average data, for example from published production data, government statistics, and industry associations, as well as literature studies, engineering studies and patents, and can also be based on financial data, and contain proxy data and other generic data; and also include primary data that go through a horizontal aggregation step;

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

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

3. Functional unit and reference flow

The functional unit is defined as one kWh (kilowatt-hour) of the total energy provided by the battery system over the battery’s service life, measured in kWh. The total energy is obtained from the number of cycles multiplied by the amount of delivered energy over each cycle.

The reference flow is the weight of battery needed to fulfil a specific function and shall be measured in kg of battery per kWh of the total energy delivered by the battery over its service life. All quantitative input and output data collected by the manufacturer to quantify the carbon footprint shall be calculated in relation to the reference flow.

By way of exception to the first paragraph, for back-up batteries that have as their primary function to ensure continuity of a power source, the functional unit is defined as the ability to provide one kWmin (kilowatt-minute) of backup power capability at any moment over the lifetime of the battery. Accordingly, the reference flow for back-up batteries is the weight of battery needed to fulfil the defined function and shall be measured in kg of battery per kWmin of backup power capability divided by the service life of the battery in years. All quantitative input and output data collected by manufacturers of back-up batteries to quantify the carbon footprint shall be calculated in relation to that reference flow.

In exceptional cases, such as for batteries for hybrid non -plug-in vehicles, the methodology may define a different functional unit.

4. System boundary

The following life cycle stages and the processes involved therein shall be included in the system boundary:

Life cycle stage	Processes involved
Raw material acquisition and pre-processing	Includes mining and other relevant sourcing, pre-processing and transport of active materials, up to the manufacturing of battery cells and battery components (active materials, separator, electrolyte, casings, active and passive battery components), and electric or electronic components.
Main product production	Assembly of battery cells and assembly of batteries with the battery cells and the electric or electronic components
Distribution	Transport to the point of sale
End of life and recycling	Collection, dismantling and recycling

The following processes involved in the life cycle stages shall be excluded from the system boundary:

— manufacturing of equipment for the assembly and recycling of batteries, as carbon footprint impacts have been calculated as negligible in the PEFCRs for high specific energy rechargeable batteries for mobile applications;

— the battery assembly process using the original equipment manufacturer (OEM) system components; this process corresponds for the most part to mechanical assembly and it is included inside the OEM equipment or vehicle assembly line; the consumption of energy and material for this specific process is negligible when compared to the manufacturing process of OEM components.

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

5. Use of company-specific and secondary datasets

Due to the high number of battery components and the complexity of manufacturing processes, the economic operator shall limit, where justified, the use of company specific data to process and component analysis of the battery-specific parts.

In particular, all activity data related to the battery’s anode, cathode, electrolyte, separator and cell-casing shall refer to a specific battery model produced in a specific production plant. Accordingly, no default activity data shall be used. The battery-specific activity data shall be used in combination with the relevant PEF-compliant secondary datasets.

As the carbon footprint declaration is specific to a battery model produced in a defined production site, sampling of data collected from different plants producing the same battery model shall not be allowed.

Where there is a change in the bill of materials or energy mix used to produce a battery model, the carbon footprint for that battery model shall be recalculated.

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

— raw material acquisition and pre-processing,

— production,

— distribution,

— own electricity production,

— end of life.

6. Carbon footprint impact assessment

The carbon footprint of the battery shall be calculated using the ‘climate change’ life cycle impact assessment method recommended in the 2019 Joint Research Centre report entitled ‘Suggestions for updating the Product Environmental Footprint (PEF) method’.

The results shall be provided as characterised results without normalisation and weighting. The list of characterization factors to be used is available at the European Platform on Life Cycle Assessment (LCA).

7. Offsets

Offsets are calculated relative to a baseline that represents a hypothetical scenario for what emissions would have been in the absence of the mitigation project that generates the offsets.

Offsets shall not be included in the carbon footprint declaration, but may be reported separately as additional environmental information and used for communication purposes.

8. Carbon footprint performance classes

Depending on the distribution of the values in the carbon footprint declarations of batteries placed on the market, a meaningful number of classes of performance shall be identified, with category A being the best class with the lowest carbon footprint life cycle impact, to enable market differentiation of the battery categories referred to in Article 7(1).

The setting of the threshold for each class of performance, as well as the width of that class, shall be based on the distribution of performances of the battery categories referred to in Article 7(1) placed on the market in the previous three years, the expected technological improvements, and other technical factors.

9. Maximum carbon thresholds

Based on the information collected through the carbon footprint declarations and the relative distribution of the carbon footprint performance classes of battery models placed on the market, and taking into account the scientific and technical progress in the field, the Commission shall set maximum life cycle carbon footprint thresholds for the battery categories referred to in Article 7(1), after having carried out a dedicated impact assessment to determine the values for the thresholds.

In setting maximum life cycle carbon footprint thresholds referred to in the first subparagraph, the Commission shall take into account the relative distribution of the carbon footprint values for batteries on the market, the extent of progress in reducing the carbon footprint of batteries placed on the market and the actual and potential contribution of those life cycle carbon footprint thresholds to the Union’s objectives on sustainable mobility and climate neutrality by 2050.

ANNEX III

ELECTROCHEMICAL PERFORMANCE AND DURABILITY PARAMETERS FOR PORTABLE BATTERIES OF GENERAL USE

Part A

Parameters for non-rechargeable batteries

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

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

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

Part B

Parameters for rechargeable batteries

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

2.Charge (capacity) (⁷) retention: the capacity that a battery can deliver after storage, under specific conditions, such as temperature and relative humidity, for a specific time, without a subsequent recharge and expressed as a percentage of the rated capacity.

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

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

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

ANNEX IV

ELECTROCHEMICAL PERFORMANCE AND DURABILITY REQUIREMENTS FOR LMT BATTERIES, INDUSTRIAL BATTERIES WITH A CAPACITY GREATER THAN 2 KWH AND ELECTRIC VEHICLE BATTERIES

For the purposes of this Annex the following definitions apply:

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

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

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

(4) ‘Power fade’ means the decrease over time and upon usage in the amount of power that a battery can deliver at the rated voltage.

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

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

Part A

Parameters related to electrochemical performance and durability

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

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

3.Internal resistance (in Ω) and internal resistance increase (in %).

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

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

Part B

Elements to explain the measurements for parameters listed in Part A

1.Applied discharge rate and charge rate.

2.Ratio between nominal battery power (W) and battery energy (Wh).

3.Depth of discharge in the cycle-life test.

4.Power capability at 80 % and 20 % state of charge.

5.Any calculations performed with the measured parameters, if applicable.

ANNEX V

SAFETY PARAMETERS

1. Thermal shock and cycling

This test shall be designed to evaluate changes in the integrity of the battery arising from expansion and contraction of cell components upon exposure to extreme and sudden changes in temperature, and potential consequences of such changes. During a thermal shock, the battery shall be exposed to two temperature limits and held at each temperature limit for a specified period.

2. External short circuit protection

This test shall evaluate the safety performance of a battery when applying an external short circuit. The test can evaluate the activation of the overcurrent protection device or the ability of cells to withstand the current without reaching a hazardous situation (e.g. thermal runaway, explosion, fire). The main risk factors are heat generation at cell level and electrical arcing, which can damage circuitry or lead to reduced isolation resistance.

3. Overcharge protection

This test shall evaluate the safety performance of a battery in overcharge situations. The main safety risks during overcharge are the decomposition of the electrolyte, cathode and anode breakdown, exothermic decomposition of the solid electrolyte interphase (SEI) layer, separator degradation, and lithium plating, which can lead to self-heating of the battery and thermal runaway. The factors affecting the outcome of the test shall, as a minimum, include, the charging rate and the finally reached state of charge. The protection can be ensured either by voltage control (interruption after reaching the limit charging voltage) or current control (interruption after exceeding maximum charging current).

4. Over-discharge protection

This test shall evaluate the safety performance of a battery in over-discharge situations. Safety risks during over-discharge include polarity reversal leading to oxidation of the anode current collector (Copper) and to plating on the cathode side. Even minor over-discharge can cause dendrite formation and ultimately short-circuiting.

5. Over-temperature protection

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

6. Thermal propagation protection

This test shall evaluate the safety performance of a battery in thermal propagation situations. A thermal runaway in one cell can cause a cascading reaction throughout the entire battery which can be composed of numerous cells. It can lead to severe consequences including a significant gas release. The test shall take into account the tests that are under development for transport applications by ISO and the UN Global Technical Regulation.

7. Mechanical damage by external forces

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

8. Internal short circuit

This test shall evaluate the safety performance of a battery in internal short-circuit situations. The occurrence of internal short circuits, one of the main concerns for battery manufacturers, potentially leads to venting, thermal runaway, and sparking which can ignite the electrolyte vapours escaping from the cell. The generation of such internal short circuits can be triggered by manufacturing imperfections, the presence of impurities in the cells or dendritic growth of lithium, and is the cause of most in-field safety incidents. Multiple internal short circuit scenarios are possible (e.g. electrical contact of cathode/anode, aluminium current collector/copper current collector, aluminium current collector/anode) each with a different contact resistance.

9. Thermal abuse

During this test, the battery shall be exposed to elevated temperatures (in IEC 62619 the temperature is 85 °C) which can trigger exothermal decomposition reactions and lead to a thermal runaway in the cell.

10. Fire test

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

11. Emission of gases

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

ANNEX VI

LABELLING, MARKING AND INFORMATION REQUIREMENTS

Part A: General information on batteries

Information on the label of a battery shall comprise the following information regarding the battery:

Part B: Symbol for separate collection of batteries

Part C: QR code

The QR code shall be in high contrast to the background colour and of a size that is easily readable by a commonly available QR reader, such as those integrated in hand-held communication devices.

ANNEX VII

PARAMETERS FOR DETERMINING THE STATE OF HEALTH AND EXPECTED LIFETIME OF BATTERIES

Part A

Parameters for determining the state of health of electric vehicle batteries, stationary battery energy storage systems and LMT batteries:

For electric vehicle batteries:

state of certified energy (SOCE).

For stationary battery energy storage systems and LMT batteries:

Part B

Parameters for determining the expected lifetime of stationary battery energy storage systems and LMT batteries:

ANNEX VIII

CONFORMITY ASSESSMENT PROCEDURES

Part A

Internal production control is the conformity assessment procedure whereby the manufacturer fulfils the obligations set out in points 2, 3 and 4, and ensures and declares on its sole responsibility that the batteries concerned meet the requirements laid down in Articles 6, 9, 10, 12, 13 and 14 that apply to them.

The manufacturer shall draw up the technical documentation. The documentation shall make it possible to assess the battery’s conformity with the relevant requirements referred to in point 1 and shall include an adequate analysis and assessment of the risks.

The technical documentation shall specify the applicable requirements and cover, as far as relevant for the assessment, the design, manufacture and operation of the battery. The technical documentation shall, where applicable, contain at least the following elements:

(a) a general description of the battery and its intended use;

(b) the conceptual design and manufacturing drawings and schemes of components, sub-assemblies and circuits;

(c) the descriptions and explanations necessary for the understanding of the drawings and schemes referred to in point (b) and the operation of the battery;

(d) a specimen of the label required in accordance with Article 13;

(e) a list of the harmonised standards referred to in Article 15, applied in full or in part, including an indication of which parts have been applied, a list of the common specifications referred to in Article 16, applied in full or in part, including an indication of which parts have been applied, and a list of other relevant technical specifications used for measurement or calculation purposes;

(f) where the harmonised standards and the common specifications referred to in point (e) have not been applied or are not available, a description of the solutions adopted to meet the applicable requirements laid down in Articles 6, 9, 10, 12, 13 and 14 or to verify the compliance of batteries with those requirements;

(g) the results of design calculations made and the examinations carried out, and the technical or documentary evidence used; and

(h) the test reports.

The manufacturer shall take all measures necessary so that the manufacturing process and the monitoring thereof ensure the batteries comply with the technical documentation referred to in point 2 and with the applicable requirements referred to in point 1.

The manufacturer shall affix the CE marking to each individual battery that meets the applicable requirements referred to in point 1, or, where that is not possible or not warranted due to the nature of the battery, to the packaging and the documents accompanying the battery.

The manufacturer shall draw up an EU declaration of conformity for each battery model in accordance with Article 18 and keep it together with the technical documentation at the disposal of the national authorities for 10 years after the last battery belonging to the respective battery model has been placed on the market. The EU declaration of conformity shall identify the battery model for which it has been drawn up.

A copy of the EU declaration of conformity shall be made available to the national authorities upon request.

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

Part B

Quality assurance of the production process is the conformity assessment procedure whereby the manufacturer fulfils the obligations set out in points 2, 4 and 7, and ensures and declares on its sole responsibility, without prejudice to the obligations of other economic operators in accordance with this Regulation, that the batteries concerned meet the applicable requirements laid down in Articles 7 and 8, or, at the choice of the manufacturer, all applicable requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14.

The manufacturer shall draw up the technical documentation. The technical documentation shall make it possible to assess the battery’s conformity with the relevant requirements referred to in point 1, and shall include an adequate analysis and assessment of the risks.

The technical documentation shall specify the applicable requirements and cover, as far as relevant for the assessment, the design, manufacture and operation of the battery. The technical documentation shall, where applicable, contain at least the following elements:

(a) a general description of the battery and its intended use;

(b) the conceptual design and manufacturing drawings and schemes of components, sub-assemblies and circuits;

(c) the descriptions and explanations necessary for the understanding of the drawings and schemes referred to in point (b) and the operation of the battery;

(d) a specimen of the label required in accordance with Article 13;

(e) a list of the harmonised standards referred to in Article 15, the common specifications referred to in Article 16, or of both, applied, and, in the event of partly applied harmonised standards, common specifications, or both, an indication of which parts have been applied;

(f) a list of other relevant technical specifications used for measurement or calculation purposes and descriptions of the solutions adopted to meet the applicable requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14 or to verify the compliance of batteries with those requirements, where harmonised standards, common specifications, or both, have not been applied or are not available;

(g) the results of design calculations made and the examinations carried out, and the technical or documentary evidence used;

(h) a study supporting the carbon footprint values referred to in Article 7(1) and the carbon footprint class referred to in Article 7(2), containing the calculations made in accordance with the methodology set out in the delegated act adopted pursuant to Article 7(1), fourth subparagraph, point (a), and the evidence and information determining the input data for those calculations;

(i) a study supporting the recycled content share referred to in Article 8, containing the calculations made in accordance with the methodology set out in the delegated act adopted pursuant to Article 8(1), second subparagraph, and the evidence and information determining the input data for those calculations; and

(j) the test reports.

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

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

1.The manufacturer shall lodge an application for assessment of its quality system with the notified body of its choice, for the batteries concerned.

The application shall include:

(a) the name and address of the manufacturer and, if the application is lodged by the manufacturer’s authorised representative, its name and address as well;

(b) a written declaration that the same application has not been lodged with any other notified body;

(c) all relevant information for the battery category envisaged;

(d) the documentation concerning the quality system referred to in point 5.2;

(e) the technical documentation referred to in point 2.

2.The quality system shall ensure that the batteries comply with the applicable requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14.

All the elements, requirements and provisions adopted by the manufacturer shall be documented in a systematic and orderly manner in the form of written policies, procedures and instructions. The quality system documentation shall make it possible to have a consistent interpretation of the quality programmes, plans, manuals and records.

The quality system documentation shall, in particular, contain an adequate description of:

(a) the quality objectives and the organisational structure, responsibilities and powers of the management with regard to product quality;

(b) the procedures for documenting and monitoring the parameters and data necessary for calculating and updating the recycled content share referred to in Article 8 and, where applicable, the carbon footprint values and class referred to in Article 7;

(c) the corresponding manufacturing, quality control and quality assurance techniques, processes and systematic actions that will be used;

(d) the examinations, calculations, measurements and tests that will be carried out before, during and after manufacture, and the frequency with which they will be carried out;

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

(f) the means of monitoring the achievement of the required product quality and the effective operation of the quality system.

3.The notified body shall assess the quality system to determine whether it meets the requirements referred to in point 5.2.

It shall presume conformity with those requirements in respect of the elements of the quality system that comply with the corresponding specifications of the relevant harmonised standard.

In addition to experience in quality management systems, the auditing team shall have at least one member with experience of evaluation in the relevant product field and product technology concerned, and knowledge of the applicable requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14.

The audit shall include an assessment visit to the manufacturer’s premises.

The auditing team shall review the technical documentation referred to in point 2 in order to verify the manufacturer’s ability to identify the applicable requirements laid down in Articles 6 to 10 and Articles 12, 13 and 14 and to carry out the necessary examinations, calculations, measurements and tests with a view to ensuring that the battery complies with those requirements. The auditing team shall check the reliability of data used for the calculation of the recycled content share referred to in Article 8 and, where applicable, the carbon footprint values and class referred to in Article 7 as well as the proper implementation of the relevant calculation methodology.

After having assessed the quality system, the notified body shall notify its decision to the manufacturer. The notification shall contain the conclusions of the audit and the reasons for that decision.

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

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

The notified body shall evaluate any proposed changes and decide whether the modified quality system will continue to meet the requirements referred to in point 5.2 or whether reassessment is necessary.

The notified body shall notify the manufacturer of its decision. The notification shall contain the conclusions of the examination and the reasoned assessment decision.

6.Surveillance under the responsibility of the notified body

(a) the quality system documentation referred to in point 5.2; (b) the technical documentation referred to in point 2; (c) the quality records, such as inspection reports and calculation, measurement and test data, calibration data and qualification reports on the personnel concerned.

7.CE marking and EU declaration of conformity

A copy of the EU declaration of conformity shall be made available to the national authorities upon request.

8.Availability of quality system documentation

The manufacturer shall, for a period of 10 years after the battery has been placed on the market, keep at the disposal of the national authorities:

(a) the quality system documentation referred to in point 5.2;

(b) the change referred to in point 5.5, as approved;

(c) the decisions and reports of the notified body referred to in points 5.5, 6.3 and 6.4.

9.Information obligations of the notified body

Each notified body shall inform its notifying authority of quality system approvals issued or withdrawn, and shall, periodically or upon request, make available to its notifying authority the list of quality system approvals refused, suspended or otherwise restricted.

Each notified body shall inform the other notified bodies of quality system approvals which it has refused, withdrawn, suspended or otherwise restricted, and, upon request, of quality system approvals which it has issued.

10.Manufacturer’s authorised representative

The manufacturer’s obligations set out in points 3, 5.1, 5.5, 7 and 8 may be fulfilled by the manufacturer’s authorised representative, on the manufacturer’s behalf and under the manufacturer’s responsibility, provided that they are specified in the mandate.

Part C

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

1.The manufacturer shall draw up the technical documentation and make it available to the notified body referred to in point 4. The technical documentation shall make it possible to assess the battery’s conformity with the relevant requirements referred to in point 1 and shall include an adequate analysis and assessment of the risks.

The technical documentation shall specify the applicable requirements and cover, as far as relevant for the assessment, the design, manufacture and operation of the battery.

The technical documentation shall, where applicable, contain at least the following elements:

(a) a general description of the battery and its intended use;

(b) the conceptual design and manufacturing drawings and schemes of components, sub-assemblies and circuits;

(c) the descriptions and explanations necessary for the understanding of the drawings and schemes referred to in point (b) and the operation of the battery;

(d) a specimen of the label required in accordance with Article 13;

(e) a list of the harmonised standards referred to in Article 15, the common specifications referred to in Article 16, or of both, applied, and, in the event of partly applied harmonised standards, common specifications, or both, an indication of which parts have been applied;

(f) a list of other relevant technical specifications used for measurement or calculation purposes and descriptions of the solutions adopted to meet the applicable requirements referred to in point 1 or to verify the conformity of batteries with those requirements, where harmonised standards, common specifications, or both, have not been applied or are not available;

(g) the results of design calculations made and the examinations carried out, and the technical or documentary evidence used;

(h) a study supporting the carbon footprint values and class referred to in Article 7, containing the calculations made in accordance with the methodology set out in the delegated act adopted pursuant to Article 7(1), fourth subparagraph, point (a), and the evidence and information determining the input data for those calculations;

(i) a study supporting the recycled content share referred to in Article 8, containing the calculations made in accordance with the methodology set out in the delegated act adopted pursuant to Article 8(1), second subparagraph, and the evidence and information determining the input data for those calculations; and

(j) the test reports.

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

3.Manufacturing

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

4.Verification

The notified body shall issue a certificate of conformity in respect of the examinations, calculations, measurements and tests carried out and shall affix its identification number to the approved battery, or have it affixed under its responsibility.

5.CE marking and EU declaration of conformity

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

The manufacturer shall draw up an EU declaration of conformity in accordance with Article 18 for each battery and keep it at the disposal of the national authorities for 10 years after the battery has been placed on the market. The EU declaration of conformity shall identify the battery for which it has been drawn up.

A copy of the EU declaration of conformity shall be made available to the national authorities upon request.

6.Manufacturer’s authorised representative

The manufacturer’s obligations set out in points 2.2, 4.2 and 5 may be fulfilled by the manufacturer’s authorised representative, on the manufacturer’s behalf and under the manufacturer’s responsibility, provided that they are specified in the mandate.

ANNEX IX

EU DECLARATION OF CONFORMITY No* …

* (identification number of the declaration)

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

2.Name and address of the manufacturer and, where applicable, its authorised representative:

3.This declaration of conformity is issued under the sole responsibility of the manufacturer.

4.Object of the declaration (description of the battery and identification allowing traceability, and which may, where appropriate, include an image of the battery):

5.The object of the declaration described in point 4 is in conformity with the relevant Union harmonisation legislation: … (reference to the other Union acts applied).

6.References to the relevant harmonised standards or the common specifications used or references to the other technical specifications in relation to which conformity is declared:

7.The notified body … (name, address, number) … performed … (description of intervention) … and issued the certificate(s): … (details, including its date, and, where appropriate, information on the duration of and conditions for its validity).

8.Additional information

Signed for and on behalf of:

(place and date of issue):

(name, function) (signature)

ANNEX X

LIST OF RAW MATERIALS AND RISK CATEGORIES

1.Raw materials:

(a) cobalt;

(b) natural graphite;

(c) lithium;

(d) nickel;

(e) chemical compounds based on the raw materials listed in points (a) to (d), which are necessary for the manufacturing of the active materials of batteries.

2.Social and environmental risk categories:

(a) environment, climate and human health, considering direct, induced, indirect and cumulative effects, including: (i) air, including air pollution such as greenhouse gas emissions, (ii) water, including seabed and marine environment, and including water pollution, water use, water quantities (flooding or droughts) and access to water, (iii) soil, including soil pollution, soil erosion, land use and land degradation, (iv) biodiversity, including damage to habitats, wildlife, flora and ecosystems, including ecosystem services, (v) hazardous substances, (vi) noise and vibration, (vii) plant safety, (viii) energy use, (ix) waste and residues;

(b) human rights, labour rights and industrial relations, including: (i) occupational health and safety, (ii) child labour, (iii) forced labour, (iv) discrimination, (v) trade union freedoms;

(c) community life, including that of indigenous peoples.

3.The international instruments covering the risks referred to in point 2 include:

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

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

(c) the Convention on Biological Diversity, in particular Decision COP VIII/28 – Voluntary guidelines on Biodiversity-Inclusive impact assessment;

(d) the UN Paris Agreement;

(e) the eight fundamental ILO Conventions as defined under the ILO Declaration on Fundamental Principles and Rights at Work;

(f) any other international environmental conventions that are binding upon the Union or its Member States;

(g) the ILO Declaration on Fundamental Principles and Rights at Work;

(h) the International Bill of Human Rights, including the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights.

4.The internationally recognized due diligence instruments applicable to the due diligence requirements laid down in Chapter VII of this Regulation:

(a) the International Bill of Human Rights, including the International Covenant on Civil and Political Rights and the International Covenant on Economic, Social and Cultural Rights;

(b) the UN Guiding Principles on Business and Human Rights;

(c) the OECD Guidelines for Multinational Enterprises;

(d) the ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy;

(e) the OECD Due Diligence Guidance for Responsible Business Conduct;

(f) the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas.

ANNEX XI

CALCULATION OF COLLECTION RATES FOR WASTE PORTABLE BATTERIES AND WASTE LMT BATTERIES

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

Year	Data collection	Calculation	Reporting requirement
Year 1	Sales in year 1 (S1)
Year 2	Sales in year 2 (S2)
Year 3	Sales in year 3 (S3)
Year 4	Sales in year 4 (S4)	Collection in year 4 (C4)	Collection rate (CR4) = 3*C4/(S1+S2+S3)	CR4
Year 5	Sales in year 5 (S5)	Collection in year 5 (C5)	Collection rate (CR5) = 3*C5/(S2+S3+S4)	CR5
Etc.	Etc.	Etc.	Etc.

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

3.For each battery, only the first time it is made available on the market in a Member State shall be counted.

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

ANNEX XII

STORAGE AND TREATMENT, INCLUDING RECYCLING, REQUIREMENTS

Part A: Storage and treatment requirements

1.Treatment shall, as a minimum, include removal of all fluids and acids.

2.Treatment and any storage, including temporary storage, at treatment facilities, including recycling facilities, shall take place in sites with impermeable surfaces and suitable weatherproof covering or in suitable containers.

3.Waste batteries in treatment facilities, including recycling facilities, shall be stored in such a way that they are not mixed with waste from conductive or combustible materials.

4.Special precautions and safety measures shall be in place for the treatment of waste lithium-based batteries during handling, sorting and storage. Such measures shall include protection from exposure to:

(a) excessive heat, such as high temperatures, fire or direct sunlight;

(b) water, such as precipitation and flooding;

(c) any crushing or physical damage.

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

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

6.Cadmium shall be separated during treatment into an identifiable stream, which is given a safe destination and cannot cause adverse effects on human health or the environment.

Part B: Targets for recycling efficiency

1.No later than 31 December 2025, recycling shall achieve at least the following targets for recycling efficiency:

(a) recycling of 75 % by average weight of lead-acid batteries;

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

(c) recycling of 80 % by average weight of nickel-cadmium batteries;

(d) recycling of 50 % by average weight of other waste batteries.

2.No later than 31 December 2030, recycling shall achieve at least the following targets for recycling efficiency:

(a) recycling of 80 % by average weight of lead-acid batteries;

(b) recycling of 70 % by average weight of lithium-based batteries.

Part C: Targets for recovery of materials

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

(a) 90 % for cobalt;

(b) 90 % for copper;

(c) 90 % for lead;

(d) 50 % for lithium;

(e) 90 % for nickel.

2.No later than 31 December 2031, all recycling shall achieve at least the following targets for recovery of materials:

(a) 95 % for cobalt;

(b) 95 % for copper;

(c) 95 % for lead;

(d) 80 % for lithium;

(e) 95 % for nickel.

ANNEX XIII

INFORMATION TO BE INCLUDED IN THE BATTERY PASSPORT

1. PUBLICLY ACCESSIBLE INFORMATION RELATING TO THE BATTERY MODEL

A battery passport shall include the following information relating to the battery model, which shall be accessible to the public:

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

(b) the material composition of the battery, including its chemistry, hazardous substances present in the battery, other than mercury, cadmium or lead, and critical raw materials present in the battery;

(c) the carbon footprint information referred to in Article 7(1) and (2);

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

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

(f) the share of renewable content;

(g) rated capacity (in Ah);

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

(i) original power capability (in Watts) and limits, with temperature range when relevant;

(j) expected battery lifetime expressed in cycles, and reference test used;

(k) capacity threshold for exhaustion (only for electric vehicle batteries);

(l) temperature range the battery can withstand when not in use (reference test);

(m) period for which the commercial warranty for the calendar life applies;

(n) initial round trip energy efficiency and at 50 % of cycle-life;

(o) internal battery cell and pack resistance;

(p) c-rate of relevant cycle-life test.

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

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

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

2. INFORMATION RELATING TO THE BATTERY MODEL ACCESSIBLE ONLY TO PERSONS WITH A LEGITIMATE INTEREST AND THE COMMISSION

A battery passport shall include the following information relating to the battery model, which shall be accessible only to persons with a legitimate interest and the Commission:

(a) detailed composition, including materials used in the cathode, anode and electrolyte;

(b) part numbers for components and contact details of sources for replacement spares;

(c) dismantling information, including at least: — exploded diagrams of the battery system/pack showing the location of battery cells, — disassembly sequences, — type and number of fastening techniques to be unlocked, — tools required for disassembly, — warnings if risk of damaging parts exist, — amount of cells used and layout;

(d) safety measures.

3. INFORMATION ACCESSIBLE ONLY TO NOTIFIED BODIES, MARKET SURVEILLANCE AUTHORITIES AND THE COMMISSION

A battery passport shall include the following information relating to the battery model, which shall be accessible only to notified bodies, market surveillance authorities and the Commission:

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

4. INFORMATION AND DATA RELATING TO AN INDIVIDUAL BATTERY ACCESSIBLE ONLY TO PERSONS WITH A LEGITIMATE INTEREST

A battery passport shall include the following specific information and data relating to an individual battery, which shall be accessible only to persons with a legitimate interest:

(a) the values for performance and durability parameters referred to in Article 10(1), when the battery is placed on the market and when it is subject to changes in its status;

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

(c) information on the status of the battery, defined as ‘original’, ‘repurposed’, ‘re-used’, ‘remanufactured’ or ‘waste’;

(d) information and data resulting from its use, including the number of charging and discharging cycles and negative events, such as accidents, as well as periodically recorded information on the operating environmental conditions, including temperature, and on the state of charge.

ANNEX XIV

MINIMUM REQUIREMENTS FOR SHIPMENTS OF USED BATTERIES

1.In order to distinguish between used and waste batteries, where the holder, meaning the natural or legal person in possession of the used batteries or the waste batteries, claims that it intends to ship or is shipping used batteries and not waste batteries, that holder shall be required to have available the following to substantiate that claim:

(a) a copy of the invoice and contract relating to the sale or transfer of ownership of the batteries which states that the batteries are destined for direct re-use and that they are fully functional;

(b) evidence of evaluation or testing in the form of a copy of the records, such as the certificate of testing, proof of functionality for every battery or fraction thereof in the consignment, and the protocol containing all information on the record in accordance with point 3;

(c) a declaration made by the holder that none of the material or equipment within the consignment is waste as defined by Article 3, point (1), of Directive 2008/98/EC; and

(d) appropriate protection against damage during transportation, loading and unloading, in particular through sufficient packaging and appropriate stacking of the load.

2.Point 1(a) and (b) and point 3 shall not apply where it is demonstrated by documentary proof that the shipment is taking place in the framework of a business-to-business transfer agreement and that:

(a) the used battery is sent back to the producer or a third party acting on its behalf for repair under warranty with the intention of re-use; or

(b) if the used battery is for professional use, it is sent to the producer or a third party acting on its behalf or a third-party facility in countries to which OECD Council Decision C(2001)107/Final on the Control of Transboundary Movements of Wastes Destined for Recovery Operations applies, for refurbishment or repair under a valid contract with the intention of re-use; or

(c) if the used battery is for professional use and is defective, it is sent to the producer or a third party acting on its behalf for root cause analysis under a valid contract, in cases where such an analysis can only be conducted by the producer or third parties acting on its behalf.

3.In order to demonstrate that the batteries being shipped constitute used batteries, rather than waste batteries, its holder shall carry out the following steps for testing and record-keeping:

(a) the battery shall be tested for its state of health and the presence of hazardous substances shall be evaluated;

(b) the results of the evaluation and testing referred to in point (a) shall be recorded.

(a) the record shall be fixed securely but not permanently on either the used battery itself, if the used battery has not been packed, or on the packaging, so it can be read without removing the packaging;

(b) the record shall contain the following information: — name of the battery or fraction thereof, — identification number of the battery or fraction thereof, where applicable, — year of production, if available, — name and address of the company responsible for testing the state of health, — types of tests performed for step 1, — result of the tests performed for step 1, including the date of the tests.