(2)

Batteries are thus an important source of energy and one of the key enablers for sustainable development, green mobility, clean energy and climate neutrality. It is expected that the demand for batteries will grow rapidly in the coming years, notably for electric road transport vehicles using batteries for traction, making this market an increasingly strategic one at the global level. Significant scientific and technical progress in the field of battery technology will continue. In view of the strategic importance of batteries, and to provide legal certainty to all operators involved and to avoid discrimination, barriers to trade and distortions on the market for batteries, it is necessary to set out rules on sustainability parameters, performance, safety, collection, recycling and second life of batteries as well as on information about batteries. It is necessary to create a harmonised regulatory framework for dealing with the entire life cycle of batteries that are placed on the market in the Union.

(2)

Batteries are thus an important source of energy and one of the key enablers for sustainable development, green mobility, clean energy and climate neutrality. It is expected that the demand for batteries will grow rapidly in the coming years, notably for electric road transport vehicles and light means of transport using batteries for traction, making this market an increasingly strategic one at the global level. Significant scientific and technical progress in the field of battery technology will continue. In view of the strategic importance of batteries, and to provide legal certainty to all operators involved and to avoid discrimination, barriers to trade and distortions on the market for batteries, it is necessary to set out rules on sustainability parameters, performance, safety, collection, recycling and second life of batteries as well as on information about batteries for consumers and economic operators . It is necessary to create a harmonised regulatory framework for dealing with the entire life cycle of batteries that are placed on the market in the Union .

(2a)

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

(10)

This Regulation should apply to all types of batteries and accumulators placed on the market or put into service within the Union, whether on their own or incorporated into appliances or otherwise supplied with electrical and electronic appliances and vehicles. This Regulation should apply regardless of whether a battery is specifically designed for a product or is of general use and regardless of whether it is incorporated into a product or is supplied together with or separately from a product in which it is to be used.

(10)

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

(12)

Within the Regulation’s wide scope, it is appropriate to distinguish between different categories of batteries in accordance with their design and use, independent of the battery chemistry. The classification into portable batteries, on one hand, and industrial batteries and automotive batteries on the other hand under Directive 2006/66/EC should be further developed to better reflect new developments in the use of batteries. Batteries that are used for traction in electric vehicles and which under Directive 2006/66/EC fall in the category of industrial batteries, constitute a large and growing part of the market due to the quick growth of electric road transport vehicles. It is therefore appropriate to classify those batteries that are used for traction in road vehicles as a new category of electric vehicle batteries. Batteries used for traction in other transport vehicles including rail, waterborne and aviation transport, continue to fall under the category of industrial batteries under this Regulation. The industrial battery type encompasses a broad group of batteries, intended to be used for industrial activities, communication infrastructure, agricultural activities or generation and distribution of electric energy. In addition to this non exhaustive list of examples, any battery that is neither a portable battery nor an automotive battery nor an electric vehicle battery should be considered an industrial battery. Batteries used for energy storage in private or domestic environments. are considered industrial batteries for the purposes of this Regulation. Furthermore, in order to ensure that all batteries used in light means of transport, such as ebikes and scooters, are classified as portable batteries, it is necessary to clarify the definition of portable batteries and to introduce a weight limit for such batteries .

(12)

Within the Regulation’s wide scope, it is appropriate to distinguish between different categories of batteries in accordance with their design and use, independent of the battery chemistry. The classification into portable batteries, on one hand, and industrial batteries and automotive batteries on the other hand under Directive 2006/66/EC should be further developed to better reflect new developments and market spread in the use of batteries. Batteries that are used for traction in electric vehicles and which under Directive 2006/66/EC fall in the category of industrial batteries, constitute a large and growing part of the market due to the quick growth of electric road transport vehicles. It is therefore appropriate to classify those batteries that are used for traction in road vehicles as a new category of electric vehicle batteries. Batteries used for traction in other transport vehicles including rail, waterborne and aviation transport, continue to fall under the category of industrial batteries under this Regulation . Batteries used for traction in light means of transport, such as e-bikes and e-scooters, were not clearly classified as batteries under Directive 2006/66/EC, and constitute a significant part of the market due to their growing use in urban sustainable mobility. It is therefore appropriate to classify those batteries that are used for traction in light means of transport as a new category of batteries, namely light means of transport batteries . The industrial battery type encompasses a broad group of batteries, intended to be used for industrial activities, communication infrastructure, agricultural activities or generation and distribution of electric energy. In addition to this non exhaustive list of examples, any battery that is neither a portable battery nor an automotive battery nor a light means of transport battery nor an electric vehicle battery should be considered an industrial battery. Batteries used for energy storage in private or domestic environments are considered industrial batteries for the purposes of this Regulation.

(13)

Batteries should be designed and manufactured so as to optimise their performance, durability and safety and to minimise their environmental footprint. It is appropriate to lay down specific sustainability requirements for rechargeable industrial batteries and electric vehicle batteries with internal storage with a capacity above 2 kWh as such batteries represent the market segment which is expected to increase most in the coming years.

(13)

Batteries should be designed and manufactured so as to optimise their performance, durability and safety and to minimise their environmental footprint. It is appropriate to lay down specific sustainability requirements for industrial batteries , light means of transport batteries and electric vehicle batteries as such batteries represent the market segment which is expected to increase most in the coming years.

(15)

The use of hazardous substances in batteries should be restricted in order to protect human health and the environment and to reduce the presence of such substances in waste. Thus, in addition to the restrictions set out in Annex XVII of Regulation (EC) No 1907/2006 of the European Parliament and of the Council (29) , it is appropriate to set out restrictions for mercury and cadmium in certain types of batteries. Batteries used in vehicles which benefit from an exemption under Annex II to Directive 2000/53/EC of the European Parliament and of the Council (30) should be excluded from the prohibition to contain cadmium.

(15)

The use of hazardous substances in batteries should be restricted in order to protect human health and the environment and to reduce the presence of such substances in waste. Thus, in addition to the restrictions set out in Annex XVII of Regulation (EC) No 1907/2006 of the European Parliament and of the Council (29), it is appropriate to set out restrictions for mercury, cadmium and lead in certain types of batteries. Batteries used in vehicles which benefit from an exemption under Annex II to Directive 2000/53/EC of the European Parliament and of the Council (30) should be excluded from the prohibition to contain cadmium. The Commission should, assisted by the Agency, make a holistic and systemic assessment of hazardous substances in batteries. This assessment should in particular focus on battery chemistries that are used in large quantities on the market, evolving and emerging chemistries and the availability of suitable alternatives to lead-acid industrial and automotive batteries and to nickel-cadmium industrial batteries.

(17)

The procedure for adopting new and amending current restrictions on hazardous substances in batteries should be fully streamlined with Regulation (EC) No 1907/2006. To ensure effective decision-making, coordination and management of the related technical, scientific and administrative aspects of this Regulation, the European Chemicals Agency set up under Regulation (EC) No 1907/2006 (‘the Agency’) should carry out specified tasks with regard to the evaluation of risks from substances in the manufacture and use of batteries, as well as those that may occur after their end-of-life as well as the evaluation of the socio-economic elements and the analysis of alternatives, in accordance with relevant guidance by the Agency. Consequently, the Committees for Risk Assessment and Socio-economic Analysis of the Agency should facilitate the carrying out of certain tasks conferred on the Agency by this Regulation.

(17)

The procedure for adopting new and amending current restrictions on hazardous substances in batteries should be fully streamlined with Regulation (EC) No 1907/2006. To ensure effective decision-making, coordination and management of the related technical, scientific and administrative aspects of this Regulation, there should be good cooperation, coordination and exchange of information between the Member States, the European Chemicals Agency set up under Regulation (EC) No 1907/2006 (‘the Agency’) , the Commission and interested parties. Member States or the Agency should carry out specified tasks with regard to the evaluation of risks from substances in the manufacture and use of batteries, as well as those that may occur after their end-of-life as well as the evaluation of the socio-economic elements and the analysis of alternatives, in accordance with relevant guidance by the Agency. Consequently, the Committees for Risk Assessment and Socio-economic Analysis of the Agency should facilitate the carrying out of certain tasks conferred on the Agency by this Regulation.

(17 a)

In order to ensure that this Regulation is coherent with any future amendment of the provisions of Regulation (EC) No 1907/2006 or with other future Union legislation concerning sustainability criteria for hazardous substances and chemicals, the Commission should assess whether an amendment of Article 6, Article 71 or Annex I to this Regulation or all of those provisions is required. The power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending those provisions where appropriate.

(18)

The expected massive deployment of batteries in sectors like mobility and energy storage should reduce carbons emissions, but to maximise this potential it is necessary that their overall life cycle has a low carbon footprint. According to the Product Environmental Footprint Category Rules for High Specific Energy Rechargeable Batteries for Mobile Applications (31), climate change is the second highest related impact category for batteries after the use of minerals and metals. The technical documentation for rechargeable industrial batteries and electric vehicle batteries with internal storage and a capacity above 2 kWh placed on the Union market should therefore be accompanied by a carbon footprint declaration ,, which should be specific, if necessary, per manufacturing batch . Batteries are manufactured in batches, made in specific amounts within certain timeframes Harmonising the technical rules for calculating the carbon footprint for all rechargeable industrial batteries and electric vehicle batteries with internal storage with a capacity above 2 kWh placed on the Union market is a prerequisite for introducing a requirement for the technical documentation of the batteries to include a carbon footprint declaration and subsequently establishing carbon footprint performance classes that will allow identifying the batteries with overall lower carbon footprints. Information and clear labelling requirements on batteries’ carbon footprint is not expected in itself to lead to the behavioural change necessary to ensure that the Union’s objective to decarbonise the mobility and energy storage sectors is achieved, in line with the internationally agreed objectives on climate change (32). Therefore, maximum carbon thresholds will be introduced, further to a dedicated impact assessment to determine those values. In proposing the level of the maximum carbon footprint threshold, the Commission will, inter alia, take into account the relative distribution of the carbon footprint values in batteries on the market, the extent of progress in the reduction of carbon footprint of batteries placed on the Union market and the effective and potential contribution of this measure to the Union’s objectives on sustainable mobility and climate neutrality by 2050. In order to bring about transparency on the batteries’ carbon footprint, and shift the Union market towards lower carbon batteries, regardless of where they are produced, a gradual and cumulative increase in the carbon footprint requirements is justified. As a result of these requirements, the avoided carbon emissions in batteries’ life cycle, will contribute to the Union’s objective of reaching climate neutrality by 2050. This may also enable other policies at Union and national level, such as incentives or green public procurement criteria, fostering the production of batteries with lower environmental impacts.

(18)

The expected massive deployment of batteries in sectors like mobility and energy storage should reduce carbons emissions, but to maximise this potential it is necessary that their overall life cycle has a low carbon footprint. According to the Product Environmental Footprint Category Rules for High Specific Energy Rechargeable Batteries for Mobile Applications (31), greenhouse gas emissions exacerbating climate change is the second highest related impact category for batteries after mining and use of minerals and metals. The technical documentation for industrial batteries, light means of transport batteries and electric vehicle batteries placed on the Union market should therefore be accompanied by a carbon footprint declaration. Harmonising the technical rules for calculating the carbon footprint for all industrial batteries, light means of transport batteries and electric vehicle batteries placed on the Union market is a prerequisite for introducing a requirement for the technical documentation of the batteries to include a carbon footprint declaration and subsequently establishing carbon footprint performance classes that will allow identifying the batteries with overall lower carbon footprints.. Information and clear labelling requirements on batteries’ carbon footprint is not expected in itself to lead to the behavioural change necessary to ensure that the Union’s objective to decarbonise the mobility and energy storage sectors is achieved, in line with the internationally agreed objectives on climate change (32). Therefore, maximum carbon thresholds will be introduced, further to a dedicated impact assessment to determine those values. In proposing the level of the maximum carbon footprint threshold, the Commission will, inter alia, take into account the relative distribution of the carbon footprint values in batteries on the market, the extent of progress in the reduction of carbon footprint of batteries placed on the Union market and the effective and potential contribution of this measure to the Union’s objectives on sustainable mobility and climate neutrality by 2050 at the latest . In order to bring about transparency on the batteries’ carbon footprint, and shift the Union market towards lower carbon batteries, regardless of where they are produced, a gradual and cumulative increase in the carbon footprint requirements is justified. As a result of these requirements, the avoided carbon emissions in batteries’ life cycle, will contribute to the Union’s climate objectives, particularly that of reaching climate neutrality by 2050 at the latest . This may also enable other policies at Union and national level, such as incentives or green public procurement criteria, fostering the production of batteries with lower environmental impacts.

(18 a)

The maximum life cycle carbon footprint thresholds should be future-proof and evolve progressively in line with the best available manufacturing and production processes. Therefore, when adopting a delegated act determining the maximum life cycle carbon footprint threshold, the European Commission should take into account the best available manufacturing and production processes and ensure that the selected technical criteria are consistent with the objective of this Regulation of ensuring that batteries placed on the Union market guarantee a high level of protection of human health, safety, property and the environment.

(19)

Certain substances contained in batteries, such as cobalt, lead, lithium or nickel, are acquired from scarce resources which are not easily available in the Union, and some are considered critical raw materials by the Commission. This is an area where Europe needs to enhance its strategic autonomy and increase its resilience in preparation for potential disruptions in supply due to health or other crises. Enhancing circularity and resource efficiency with increased recycling and recovery of those raw materials, will contribute to reaching that goal.

(19)

Certain substances contained in batteries, such as cobalt, lead, lithium or nickel, are acquired from scarce resources which are not easily available in the Union, and some are considered critical raw materials by the Commission. In line with the Union’s Industrial Strategy, Europe needs to enhance its strategic autonomy , including facilitating investments in factories that will produce batteries on a massive scale, and increase its resilience in preparation for potential disruptions in supply due to health or other crises. Enhancing circularity and resource efficiency with increased recycling and recovery of those raw materials, will contribute to reaching that goal. Substituting scarce raw materials with alternative more widely available materials, including renewable raw materials, would also contribute to enhancing the Union’s own battery production and strategic autonomy. It is therefore crucial that the Union and Member States support relevant research and development initiatives.

(21)

In order to take into account the risk of supply of cobalt, lead, lithium and nickel and to assess their availability, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending the targets for the minimum share of recycled cobalt, lead, lithium or nickel present in active materials in batteries.

(21)

In order to take into account the risk of supply of cobalt, lead, lithium and nickel and to assess their availability, and in view of technical and scientific progress, the Commission should assess whether it is appropriate to revise the targets for the minimum share of recycled cobalt, lead, lithium or nickel present in active materials in batteries and, where appropriate, submit a legislative proposal for that purpose .

(21a)

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

(22)

In order to ensure uniform conditions for the implementation of the rules on calculating and verifying, per battery model and batch per manufacturing plant, the amount of cobalt, lead, lithium or nickel recovered from waste present in active materials in batteries and the information requirements for technical documentation, implementing powers should be conferred on the Commission.

(22)

In order to ensure uniform conditions across the Union for the declaration on recovered materials that is to be provided by means of a harmonised format and for the technical documentation, implementing powers should be conferred on the Commission to lay down the format and the technical documentation for the declaration on recovered materials .

(23)

Batteries placed on the Union market should be durable and highly performant. It is therefore necessary to set out performance and durability parameters for portable batteries of general use as well as for rechargeable industrial batteries and electric vehicle batteries. For electric vehicle batteries, the informal UNECE Working Group on Electric Vehicles and the Environment is developing in-vehicle durability requirements, so this Regulation is refraining from setting additional durability requirements . On the other hand, in the area of batteries for energy storage, existing measurement methods to test battery performance and durability are not considered sufficiently precise and representative to enable introducing minimum requirements. The introduction of minimum requirements related to performance and durability of these batteries should be accompanied by available adequate harmonised standards or common specifications.

(23)

Batteries placed on the Union market should be durable and highly performant. It is therefore necessary to set out performance and durability parameters for portable batteries as well as for industrial batteries, light means of transport batteries and electric vehicle batteries. For electric vehicle batteries, the informal UNECE Working Group on Electric Vehicles and the Environment is developing in-vehicle durability requirements, so this Regulation should be coherent with its conclusions . On the other hand, in the area of batteries for energy storage, existing measurement methods to test battery performance and durability are not considered sufficiently precise and representative to enable introducing minimum requirements. The introduction of minimum requirements related to performance and durability of these batteries should be accompanied by available adequate harmonised standards or common specifications.

(24)

In order to reduce the life cycle environmental impact batteries, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending the performance and durability parameters and establishing minimum values for those parameters for portable batteries of general use and for rechargeable industrial batteries.

(24)

In order to reduce the life cycle environmental impact batteries, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending the performance and durability parameters and establishing minimum values for those parameters for portable batteries , light means of transport batteries and for rechargeable industrial batteries.

(24a)

In order to ensure that the Union's rules on electrochemical performance and durability for electric vehicle batteries are coherent in relation to technical specifications of the informal UNECE Working Group on Electric Vehicles and the Environment and in view of technical and scientific progress, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending the performance and durability parameters and minimum values for those parameters for electric vehicle batteries.

(25)

Some non-rechargeable batteries of general use may imply an inefficient use of resources and energy. Objective requirements regarding the performance and durability of such batteries should be established in order to ensure that fewer low performing non-rechargeable portable batteries of general use are placed on the market , in particular, where, based on a life cycle assessment, the alternative use of rechargeable batteries would result in overall environmental benefits.

(25)

Some non-rechargeable batteries of general use may imply an inefficient use of resources and energy . However, non-rechargeable batteries are still used for certain devices . Objective requirements regarding the performance and durability of such batteries should be established in order to ensure that fewer low performing non-rechargeable portable batteries of general use are placed on the market . The Commission should assess, as regards specific product groups that use non- rechargeable batteries, based on a life cycle assessment, whether the alternative use of rechargeable batteries would result in overall environmental benefits and therefore whether the use of non-rechargeable portable batteries of general use should be phased out . It should also be possible to complement the requirements of this Regulation with the requirements laid down by implementing measures under Directive 2009/125/EC of the European Parliament and of the Council  (1) for particular products powered by batteries.

(26)

In order to ensure that portable batteries incorporated into appliances are subject to proper separate collection, treatment and high quality recycling once they have become waste, provisions to ensure their removability and replaceability in such appliances are necessary. Used batteries should also be replaceable so as to prolong the expected lifetime of the appliances they are part of. The general provisions of this Regulation may be complemented with requirements set up for particular products powered by batteries under implementing measures under Directive 2009/125/EC of the European Parliament and of the Council  (33). Where other Union legislation lays down more specific requirements, for safety reasons, regarding the removal of batteries from products (e.g. toys), those specific rules should apply.

(26)

In order to ensure that portable batteries incorporated into appliances are subject to proper separate collection, treatment and high quality recycling once they have become waste, provisions to ensure their removability and replaceability in such appliances are necessary . Rules should also be established for light means of transport batteries . Used batteries should also be replaceable so as to prolong the expected lifetime of the appliances they are part of. The general provisions of this Regulation may be complemented with requirements set up for particular products powered by batteries under implementing measures under Directive 2009/125/EC. Where other Union legislation lays down more specific requirements, for safety reasons, regarding the removal of batteries from products (e.g. toys), those specific rules should apply. Provisions should also be laid down to ensure that industrial batteries, automotive batteries and electric vehicle batteries can be removed and replaced, while taking into consideration their differing nature and specific safety requirements.

(26a)

Automotive batteries, electric vehicle batteries and industrial batteries should be removable and replaceable by qualified independent operators. Provisions to ensure that such batteries can be removed, replaced and disassembled should be laid down. It is important that the safety of such batteries when repaired can be assessed based on non-destructive tests adapted to them. In order to facilitate the repair of automotive batteries, electric vehicle batteries and industrial batteries, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of supplementing this Regulation to establish criteria for the removability, replaceability and disassembly of automotive batteries, electric vehicle batteries and industrial batteries. In order to be able to assess the safety of such batteries when repaired, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of defining appropriate non-destructive test methods.

(26b)

In order to further reduce waste, the interoperability of batteries, of connectors and of chargers across product types should be promoted in product-specific eco-design implementing legislation, and in the upcoming sustainable products initiative.

(26c)

Interoperability of chargers within specific categories of batteries could reduce unnecessary waste and costs for the benefit of consumers and other end-users. It should be possible therefore to recharge batteries for electric vehicles, light means of transport, and rechargeable batteries incorporated into specific categories of electrical and electronic equipment by making use of common chargers that allow interoperability within each category of batteries. This Regulation should therefore include provisions requiring the Commission to assess how best to introduce harmonised standards for common chargers applicable no later than 1 January 2026 for those categories of batteries. This assessment should be accompanied by a legislative proposal, where appropriate.

(27)

Reliable batteries are fundamental for the operation and safety of many products, appliances and services. Therefore, batteries should be designed and manufactured to ensure their safe operation and use. This aspect is particularly relevant for stationary battery energy storage systems, which are currently not covered by other Union legislation. Parameters to be considered in safety tests should therefore be laid down for those energy storage systems .

(27)

Reliable batteries are fundamental for the operation and safety of many products, appliances and services. Therefore, batteries should be designed and manufactured to ensure their safe operation and use , in order not to cause harm or damage to humans or to the environment or property . This aspect is particularly relevant for batteries within stationary battery energy storage systems, which are currently not covered by other Union legislation. Parameters to be considered in safety tests should therefore be laid down for those batteries and be complemented by applicable CEN, CENELEC and IEC standards .

(28)

In order to provide end users with transparent, reliable and clear information about batteries and their main characteristics, and waste batteries, to enable the end users to make informed decisions when buying and discarding batteries and to enable waste operators to appropriately treat waste batteries, batteries should be labelled. Batteries should be labelled with all the necessary information concerning their main characteristics, including their capacity and content of certain hazardous substances. To ensure the availability of information over time, that information should also be made available by means of QR codes.

(28)

In order to provide end users with transparent, reliable and clear information about batteries and their main characteristics, and waste batteries, to enable the end users to make informed decisions when buying and discarding batteries and to enable waste operators to appropriately treat waste batteries, batteries should be labelled. Batteries should be labelled with all the necessary information concerning their main characteristics, including their capacity , production characteristics and content of certain hazardous substances. To ensure the availability of information over time, that information should also be made available by means of QR codes which should respect the guidelines of ISO IEC Standard 18004 . The QR code printed or engraved on all batteries should give access to a battery's product passport. Labels and QR codes should be accessible for persons with disabilities in accordance with the requirements laid down in Directive (EU) 2019/882 of the European Parliament and of the Council  (1) .

(29)

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

(29)

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

(30)

Rechargeable industrial batteries and electric-vehicle batteries with internal storage with a capacity above 2 kWh should contain a battery management system that stores data so that the state of health and expected lifetime of batteries may be determined at any time by the end-user or any other third party acting on his behalf. In order to repurpose or remanufacture a battery, access to the battery management system should be provided to the person that has purchased the battery or any third party acting on its behalf at any time for evaluating the residual value of the battery, facilitating the reuse, repurposing or remanufacturing of the battery and for making the battery available to independent aggregators, as defined in Directive (EU) 201/944 of the European Parliament and of the Council (34), which operate virtual power plants in electricity grids. This requirement should apply in addition to Union law on type of approval of vehicles, including technical specifications that may originate from the work of the informal UNECE Working Group on Electric Vehicles and the Environment on data access in electric vehicles.

(30)

Batteries within stationary battery energy storage systems, light means of transport batteries and electric-vehicle batteries contain a battery management system that stores data. That battery management system should include information on the state of health , safety and expected lifetime of batteries so that those aspects may be determined at any time by the end-user or any other third party acting on his behalf. In order to facilitate the reuse, repurposing or remanufacturing of a battery, read-only data from access to the battery management system should be provided to the person that has purchased the battery or any third party acting on its behalf at any time for evaluating the residual value of the battery, facilitating the preparation for reuse , reuse, preparation for repurposing , repurposing or remanufacturing of the battery and for making the battery available to independent aggregators, as defined in Directive (EU) 2019/944 of the European Parliament and of the Council (34), which operate virtual power plants in electricity grids, including the necessary features enabling the operation of vehicle-to-grid services. With a view to facilitating their uptake and usage in the Union, electric vehicle batteries and light means of transport batteries should have available, in real-time read-only in-vehicle data related to battery state of health, battery state of charge, battery power set point and battery capacity. The battery management system for electric vehicle batteries should also have a communication function so as to make it possible to have smart charging functions such as vehicle-to-grid, vehicle-to-load, vehicle-to-vehicle and vehicle-to-powerbank and vehicle-to-building charging . This requirement should apply in addition to Union law on type of approval of vehicles, including technical specifications that may originate from the work of the informal UNECE Working Group on Electric Vehicles and the Environment on data access in electric vehicles. The technical specifications based on the UNECE Global Technical Regulations (UNECE GTR) once applicable in Union law should be considered to be a benchmark for the data on the parameters for determining the state of health and expected lifetime of batteries to be contained in the battery management system.

(31)

A number of product-specific requirements under this Regulation, including on performance, durability, repurposing and safety, should be measured by using reliable, accurate and reproducible methods that take into account the generally recognised state-of-the-art measurements and calculation methodologies. In order to ensure that there are no barriers to trade on the internal market, standards should be harmonised at Union level. Such methods and standards should, to the extent possible, take into account the real-life usage of batteries, reflect the average range of consumer behaviour and be robust in order to deter intentional and unintentional circumvention. Once a reference to such a standard has been adopted in accordance with Regulation (EU) No 1025/2012 of the European Parliament and of the Council (35) and published in the Official Journal of the European Union, presumption of conformity shall be established with those product-specific requirements adopted on the basis of this Regulation, provided that the outcome of such methods demonstrate that the minimum values established for those substantive requirements are attained. In the absence of published standards at the time of the application of product-specific requirements, the Commission should adopt common specifications through implementing acts and the compliance with such specifications should also give rise to the presumption of conformity. In cases where the common specifications are, at a later stage, found to have shortcomings, the Commission should by implementing act amend or repeal the common specifications in question.

(31)

A number of product-specific requirements under this Regulation, including on performance, durability, repurposing and safety, should be measured by using reliable, accurate and reproducible methods that take into account the generally recognised state-of-the-art measurements , standards and calculation methodologies. In order to ensure that there are no barriers to trade on the internal market, standards should be harmonised at Union level. Such methods and standards should, to the extent possible, take into account the real-life usage of batteries, reflect the average range of consumer behaviour and be robust in order to deter intentional and unintentional circumvention. Once a reference to such a standard has been adopted in accordance with Regulation (EU) No 1025/2012 of the European Parliament and of the Council (35) and published in the Official Journal of the European Union, presumption of conformity shall be established with those product-specific requirements adopted on the basis of this Regulation, provided that the outcome of such methods demonstrate that the minimum values established for those substantive requirements are attained. In order to avoid doubling of standards, to maximise efficiency and to include the highest expertise and state-of the art knowledge, the Commission should seek to request one or more European standardisation organisations to draft a standard where there is an absence of such a standard. In the absence of published standards at the time of the application of product-specific requirements, or in the event of a non satisfactory response by the relevant European standardisation organisation the Commission should adopt , in exceptional, justified cases and after consultation with the relevant stakeholders, common specifications through implementing acts and the compliance with such specifications should also give rise to the presumption of conformity. In cases where the common specifications are, at a later stage, found to have shortcomings, the Commission should by implementing act amend or repeal the common specifications in question.

(31a)

An active involvement in the work of international standardisation committees is an important strategic prerequisite for placing future technologies into the market. In some cases, participation of the Union has been underrepresented in these committees. Therefore, the Commission and Member States should actively support the work of European companies in such international standardisation committees. Before considering the adoption of standards by secondary legislation, the Commission should carefully assess the work done at international level.

(31b)

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

(32)

To ensure effective access to information for market surveillance purposes, to adapt to new technologies and to ensure resilience in case of global crises, such as the Covid-19 pandemic, it should be possible to give information regarding conformity with all Union acts applicable to batteries online in the form of a single EU declaration of conformity.

(32)

To ensure effective access to information for market surveillance purposes, to adapt to new technologies and to ensure resilience in case of global crises, such as the Covid-19 pandemic, information regarding conformity with all Union acts applicable to batteries could be provided online in the form of a single EU declaration of conformity.

(35)

The chosen modules do not however reflect certain specific aspects of batteries and thus, it is necessary to adapt the modules chosen for the conformity assessment procedure. In order to take account of the novelty and complexity of the sustainability, safety and labelling requirements set out in this Regulation and for the purpose of ensuring the conformity of batteries placed on the market with the legal requirements, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending the conformity assessment procedures by adding verifications steps or changing assessment module, on the basis of developments on the battery market or in the battery value chain.

(35)

The chosen modules do not however reflect certain specific aspects of batteries and thus, it is necessary to adapt the modules chosen for the conformity assessment procedure. In order to take account of the novelty and complexity of the sustainability, safety, labelling and information requirements set out in this Regulation and for the purpose of ensuring the conformity of batteries placed on the market with the legal requirements, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending the conformity assessment procedures by adding verifications steps or changing assessment module, on the basis of developments on the battery market or in the battery value chain. Robust conformity assessment procedures are needed to ensure that there is conformity with sustainable requirements and value chain due diligence obligations set out in this Regulation.

(38)

Due to the novelty and complexity of the sustainability, safety and labelling requirements for batteries and in order to ensure a consistent level of quality in the performance of conformity assessment of batteries, it is necessary to set requirements for notifying authorities involved in the assessment, notification and monitoring of notified bodies. In particular, it should be ensured that the notifying authority is objective and impartial with regard to its activity. Furthermore, notifying authorities should be required to safeguard the confidentiality of the information it obtains but should nonetheless be able to exchange information on notified bodies with national authorities, the notifying authorities of other Member States and the Commission to ensure consistency in the conformity assessment.

(38)

Due to the novelty and complexity of the sustainability, performance, safety, labelling and information requirements for batteries and in order to ensure a consistent level of quality in the performance of conformity assessment of batteries, it is necessary to set requirements for notifying authorities involved in the assessment, notification and monitoring of notified bodies. In particular, it should be ensured that the notifying authority is objective and impartial with regard to its activity and has a sufficient number of technically competent members of staff to perform its tasks . Furthermore, notifying authorities should be required to safeguard the confidentiality of the information it obtains but should nonetheless be able to exchange information on notified bodies with national authorities, the notifying authorities of other Member States and the Commission to ensure consistency in the conformity assessment.

(39)

It is essential that all notified bodies perform their functions to the same level and under conditions of fair competition and autonomy. Therefore, requirements for conformity assessment bodies wishing to be notified in order to provide conformity assessment activities should be set. Those requirements should continue to apply as a prerequisite for the maintenance of the competence of the notified body. To ensure its autonomy, the notified body and the staff it employs should be required to maintain independence from economic operators in the battery value chain and from other companies, including business associations and parent companies and subsidiaries. The notified body should be required to document its independence and provide that documentation to the notifying authority.

(39)

It is essential that all notified bodies perform their functions to the same level and under conditions of fair competition and autonomy. Therefore, requirements for conformity assessment bodies wishing to be notified in order to provide conformity assessment activities should be set. Those requirements should continue to apply as a prerequisite for the maintenance of the competence of the notified body. To ensure its autonomy, the notified body and the staff it employs should be required to maintain independence from economic operators in the battery value chain and from other companies, including business associations and parent companies and subsidiaries. The notified body should be required to document its independence and provide that documentation to the notifying authority. The rotation of teams and appropriate ‘cooling off’ periods should also be required.

(42)

Since the services offered by notified bodies in a Member State might relate to batteries made available on the market throughout the Union, it is appropriate to give the other Member States and the Commission the opportunity to raise objections concerning a notified body. In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission in order to request the notifying authority to take corrective action in case a notified body does not meet or no longer meets the requirements of this Regulation.

(42)

Since the services offered by notified bodies in a Member State might relate to batteries made available on the market throughout the Union, it is appropriate to give the other Member States, the Commission , economic operators and relevant stakeholders the opportunity to raise objections concerning a notified body . The Commission, during the investigation proceedings, should seek the advice of a Union testing facility designated in accordance with Regulation (EU) 2019/1020 . In order to ensure uniform conditions for the implementation of this Regulation, implementing powers should be conferred on the Commission in order to request the notifying authority to take corrective action in case a notified body does not meet or no longer meets the requirements of this Regulation.

(43)

In the interests of facilitating and accelerating the conformity assessment procedure, the certification and ultimately the market access and in view of the novelty and complexity of the sustainability, safety and labelling requirements for batteries, it is crucial that notified bodies have continuous access to all testing equipment and testing facilities needed and that they apply the procedures without creating unnecessary burdens for economic operators. For the same reason, and to ensure equal treatment of economic operators, it is necessary that the notified bodies apply the conformity assessment procedures consistently.

(43)

In the interests of facilitating and accelerating the conformity assessment procedure, the certification and ultimately the market access and in view of the novelty and complexity of the sustainability, safety, labelling and information requirements for batteries, it is crucial that notified bodies have continuous access to all testing equipment and testing facilities needed and that they apply the procedures without creating unnecessary burdens for economic operators. For the same reason, and to ensure equal treatment of economic operators, it is necessary that the notified bodies apply the conformity assessment procedures consistently.

(51)

In order to facilitate communication between economic operators, market surveillance authorities and consumers, economic operators should, as part of their contact details, indicate a website address in addition to the postal address .

(51)

In order to facilitate communication between economic operators, market surveillance authorities and consumers, economic operators should, as part of their contact details, indicate a  telephone number, postal, email and website address.

(52)

It is necessary to ensure that batteries from third countries entering the Union market comply with the requirements of this Regulation, whether imported as self-standing batteries or contained in products, and in particular that appropriate conformity assessment procedures have been carried out by manufacturers with regard to those batteries. Provision should therefore be made for importers to make sure that the batteries they place on the market and put into service comply with the requirements of this Regulation and that the CE marking on batteries and documentation drawn up by manufacturers are available for inspection by the national authorities.

(52)

It is necessary to ensure that batteries from third countries entering the Union market comply with the requirements of this Regulation, and with relevant applicable Union law, whether imported as self-standing batteries or contained in products, and in particular that appropriate conformity assessment procedures have been carried out by manufacturers with regard to those batteries . Special attention should be given to ensuring that the third party auditing of requirements of this Regulation relating to the production process of batteries is robust and independent. Compliance with the carbon footprint declaration, recycled content, as well as human rights and battery value chain due diligence obligations laid down in this Regulation should be therefore fully ensured . Provision should therefore be made for importers to make sure that the batteries they place on the market and put into service comply with the requirements of this Regulation and that the CE marking on batteries and documentation drawn up by manufacturers are available for inspection by the national authorities. Those authorities, in particular when carrying out controls on products entering the Union market from third countries, should ensure that there is consistent enforcement of Union law through an effective and uniform level of control, in accordance with Regulation (EU) 2019/1020.

(53)

When placing a battery on the market or putting it into service, every importer should indicate on the battery the importer’s name, registered trade name or registered trade mark as well as the postal address. Exceptions should be provided for in cases where the size of the battery does not allow it . This includes cases where the importer would have to open the packaging to put the name and address on the battery or where the battery is too small in size to affix this information..

(53)

When placing a battery on the market or putting it into service, every importer should indicate on the battery the importer’s name, registered trade name or registered trade mark as well as the postal address , e-mail address and telephone number . Exceptions should be provided for in cases where the size of the battery does not allow it because the battery is too small in size to affix that information. Exceptions should also be provided for in cases where the importer would have to open the packaging to put the name and the other contact details. In those exceptional cases, the importer should provide that information in a document accompanying the battery or in another immediately accessible way. Where packaging exists, it should be used to indicate this information.

(56)

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

(56)

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

(57)

Ensuring traceability of a battery throughout the whole supply chain helps to make market surveillance simpler and more efficient. An efficient traceability system facilitates the market surveillance authorities' task of tracing economic operators who placed on the market or made available on the market or put into service non-compliant batteries. The economic operators should therefore be required to keep the information on their transactions of batteries for a certain period of time.

(57)

Ensuring traceability of a battery throughout the whole supply chain helps to make market surveillance simpler and more efficient , and provides transparency to consumers . An efficient traceability system facilitates the market surveillance authorities' task of tracing economic operators who placed on the market or made available on the market or put into service non-compliant batteries. The economic operators should therefore be required to keep the information on their transactions of batteries for a certain period of time , including in electronic form .

(59)

Only few countries supply those materials and, in some cases, low standards of governance may exacerbate environmental and social problems. Both cobalt and nickel mining and refining are related to a large range of social and environmental issues, including environmental hazard potential and human health. While the social and environmental impacts for natural graphite are less severe, its mining has high shares of artisanal and small scale operations, which mostly takes place in informal settings and can lead to serious health and environmental impacts, including no regular mine closure and no rehabilitation, which results in the destruction of ecosystems and soils. For lithium, the expected increase in its use in battery manufacturing is likely to put additional pressure on extraction and refining operations, what would recommend including lithium in the scope of the supply chain due diligence obligations. The expected massive increase in demand for batteries in the Union should not contribute to an increase of such environmental and social risks.

(59)

Only few countries supply those materials and, in some cases, low standards of governance may exacerbate environmental and social problems. Cobalt , copper, nickel , iron and bauxite mining and refining are related to a large range of social and environmental issues, including environmental hazard potential and human health. While the social and environmental impacts for natural graphite are less severe, its mining has high shares of artisanal and small scale operations, which mostly takes place in informal settings and can lead to serious health and environmental impacts, including no regular mine closure and no rehabilitation, which results in the destruction of ecosystems and soils. For lithium, the expected increase in its use in battery manufacturing is likely to put additional pressure on extraction and refining operations, what would recommend including lithium in the scope of the battery value chain due diligence obligations. The expected massive increase in demand for batteries in the Union should not contribute to an increase of such environmental and social risks abroad .

(60)

Some of the raw materials in question, such as cobalt, lithium and natural graphite, are considered as critical raw materials for the EU (38) and their sustainable sourcing is required for the EU battery ecosystem to perform adequately.

(60)

Some of the raw materials in question, such as bauxite, cobalt, lithium and natural graphite, are considered as critical raw materials for the EU (38) and their sustainable sourcing is required for the EU battery ecosystem to perform adequately.

(62)

In the Union, general requirements on due diligence in relation to certain minerals and metals were introduced by Regulation (EU) No 2017/821 of the European Parliament and of the Council (39). That Regulation does not, however, address the minerals and materials used for battery production.

(62)

The United Nations Guiding Principles on Business and Human Rights and the OECD Guidelines for Multinational Enterprises stipulate that economic operators should carry out due diligence as a means to meet their corporate responsibility with respect to human rights and the environment. In the Union, general requirements on due diligence in relation to certain minerals and metals were introduced by Regulation (EU) 2017/821 of the European Parliament and of the Council (39). That Regulation does not, however, address the minerals and materials used for battery production.

(63)

Therefore, in view of the expected exponential growth in battery demand in the EU , the economic operator that places a battery on the EU market should set up a supply chain due diligence policy. The requirements therefore should be laid down, with the objective to address the social and environmental risks inherent in the extraction, processing and trading of certain raw materials for battery manufacturing purposes.

(63)

The responsibility to respect human rights, social rights, human health and the environment should apply to all manufacturing operations and other related business relationships of an economic operator throughout the battery value chain. Therefore, in view of the expected exponential growth in battery demand in the EU and the fact that the extraction, processing and trading of certain raw materials, chemicals and secondary raw materials that are used in the battery manufacturing and occur in waste battery treatment, carry particular risks, certain requirements for the battery value chain due diligence process should be laid down, with the objective to address the social and environmental risks inherent in the extraction, processing and trading of certain raw materials , chemicals and secondary raw materials for battery manufacturing purposes , waste battery treatment, the manufacturing process itself as well as all related other business relationships .

(64)

When putting in place a risk-based due diligence policy , it should be based on internationally recognised due diligence principles in the Ten Principles of the United Nations Global Compact (40), the Guidelines for Social Life Cycle Assessment of Products (41), the ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy (42), and the OECD Due Diligence Guidance for Responsible Business Conduct (RBC) (43), which reflect a common understanding amongst governments and stakeholders, and should be tailored to the specific context and circumstances of each economic operator. In relation to the extraction, processing and trading of natural mineral resources used for battery production, the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (44) (‘OECD Due Diligence Guidance’) represents a long-standing effort by governments and stakeholders to establish good practice in this area.

(64)

When putting in place a risk-based due diligence process , it should be based on internationally recognised due diligence standards and principles in the United Nations Guiding Principles on Business and Human Rights, the Ten Principles of the United Nations Global Compact (40), the Guidelines for Social Life Cycle Assessment of Products (41), the ILO Tripartite Declaration of Principles concerning Multinational Enterprises and Social Policy (42), the OECD Guidelines for Multinational Enterprises and the OECD Due Diligence Guidance for Responsible Business Conduct (RBC) (43), which reflect a common understanding amongst governments and stakeholders, and should be tailored to the specific context and circumstances of each economic operator. In relation to the extraction, processing and trading of natural mineral resources from high-risk areas used for battery production, the OECD Due Diligence Guidance for Responsible Supply Chains of Minerals from Conflict-Affected and High-Risk Areas (44) (‘OECD Due Diligence Guidance’) represents an internationally acknowledged standard addressing specific risks of gross human rights violations related to the sourcing and trading of certain raw materials in the context of conflict, and a long-standing effort by governments and stakeholders to establish good practice in this area.

(65)

According to the OECD Due Diligence Guidance  (45), due diligence is an on-going, proactive and reactive process through which companies can ensure that they respect human rights and do not contribute to conflict (46). Risk-based due diligence refers to the steps companies should take to identify and address actual or potential risks in order to prevent or mitigate adverse impacts associated with their activities or sourcing decisions A company can assess risk posed by its activities and relationships and adopt risks mitigating measures in line with relevant standards provided under national and international law, recommendations on responsible business conduct by international organisations, government-backed tools, private sector voluntary initiatives and a company's internal policies and systems. This approach also helps to scale the due diligence exercise to the size of the company's activities or supply chain relationships.

(65)

According to the UN, ILO and OCED standards and principles , due diligence is an on-going, proactive and reactive process through which companies can ensure that they respect human rights , the environment and do not contribute to conflict (46). Risk-based due diligence refers to the steps companies should take to identify, prevent , cease, mitigate and account for adverse impacts associated with their activities or sourcing decisions . Economic operators should conduct informed, effective and meaningful consultation with affected communities.  A company can assess risk posed by its activities and relationships and adopt risks mitigating measures , which may include requiring additional information, negotiating with a view to redress the situation, or suspending or discontinuing engagement with suppliers, in line with relevant standards provided under national and international law, recommendations on responsible business conduct by international organisations, government-backed tools, private sector voluntary initiatives and a company's internal policies and systems. This approach also helps to scale the due diligence exercise to the size of the company's activities or supply chain relationships. Battery value chain due diligence requirements should apply to any economic operator, including online platforms, that places batteries on the European market.

(65a)

While private sector due diligence schemes can support economic operators in their due diligence, economic operators should be individually responsible for compliance with the battery value chain due diligence obligations set out in this Regulation.

(65b)

Specific technical assistance should be provided to economic operators, especially to small and medium-sized companies, by Member States so that they can comply with battery value chain due diligence requirements.

(66)

Mandatory supply chain due diligence policies should be adopted or modified and address, at least, the most prevalent social and environmental risk categories. This should cover the current and foreseeable impacts, on one hand, on social life, in particular human rights, human health and safety as well as occupational health and safety and labour rights, and, on the other hand, on the environment, in particular on water use, soil protection, air pollution and biodiversity, including community life.

(66)

Mandatory battery value chain due diligence policies should be adopted or modified and address, at least, the most prevalent social and environmental risk categories. This should cover the current and foreseeable impacts, on one hand, on social life, in particular human rights, human health and safety as well as occupational health and safety and labour rights, and, on the other hand, on the environment, in particular on water use, soil protection, air pollution , climate change and biodiversity, including community life.

(67)

As regards the social risk categories, due diligence policies should address the risks in the battery supply chain in relation to the protection of human rights, including human health, protection of children and gender equality, in line with international human rights law (47) . The due diligence policies should include information on how the economic operator has contributed to the prevention of human rights abuses and on the instruments in place with the operator’s business structure to fight corruption and bribery. The due diligence policies should also ensure correct implementation of the rules of fundamental conventions of the International Labour Organisation (48) as listed in Annex I of the ILO Tripartite Declaration.

(67)

As regards the social risk categories, battery value chain due diligence policies should address the risks in the battery value chain in relation to the protection of human rights, including human health, the rights of indigenous peoples, the protection of children and gender equality, in line with international human rights law (47). The battery value chain due diligence policies should include information on how the economic operator has contributed to the prevention of human rights abuses and on the instruments in place with the operator’s business structure to fight corruption and bribery. The battery value chain due diligence policies should also ensure correct implementation of the rules of fundamental conventions of the International Labour Organisation (48) as listed in Annex I of the ILO Tripartite Declaration.

(68)

As regards the environmental risk categories, the due diligence policies should address the risks in the battery supply chain in relation to protection of the natural environment and of the biological diversity in line with the Convention on Biological Diversity (49), which includes also the consideration of local communities, and the protection and the development of those communities.

(68)

As regards the environmental risk categories, the battery value chain due diligence policies should address the risks in the battery value chain in relation to protection of the natural environment and of the biological diversity in line with the Convention on Biological Diversity (49), which includes also the consideration of local communities, and the protection and the development of those communities. It should also address the risks in relation to climate change, in line with the Paris agreement and its goal to limit global warming to below 1,5 degrees Celsius, compared to pre-industrial levels, as well as environmental risks covered by other international environmental conventions.

(69)

The supply chain due diligence obligations on the identification and mitigation of social and environmental risks associated with raw materials going into battery manufacturing should contribute to the implementation of UNEP Resolution 19 on Mineral Resource Governance, which recognizes the important contribution of the mining sector towards the achievement of the 2030 Agenda and the Sustainable Development Goals.

(69)

The battery value chain due diligence obligations on the identification and mitigation of social and environmental risks associated with raw materials going into battery manufacturing should contribute to the implementation of UNEP Resolution 19 on Mineral Resource Governance, which recognizes the important contribution of the mining sector towards the achievement of the 2030 Agenda and the Sustainable Development Goals.

(69a)

Even when due diligence has been carried out, harm might occur. Economic operators should actively remedy such harm, by themselves or in cooperation with other actors. Such operators should be liable for any adverse impact they, or the entities they control or are able to control, caused or contributed to. Persons adversely impacted should be entitled to remedies and should be provided with access to justice.

(70)

Other EU legislative instruments that lay down requirements regarding supply chain due diligence should apply in so far as there are no specific provisions with the same objective, nature and effect in this Regulation which may be adapted in the light of future legislative amendments.

(70)

Other EU legislative instruments that lay down requirements regarding due diligence should apply to both Union companies and companies established outside of the Union that intend to place batteries on the Union market, to ensure a level playing field, in so far as there are no specific provisions with the same objective, nature and effect in this Regulation which may be adapted in the light of future legislative amendments.

(71)

In order to adapt to developments in the battery value chain, including to changes in the scope and nature of the relevant environmental and social risks, as well as to technical and scientific progress in batteries and battery chemistries, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending the list of raw materials and risk categories and the supply chain due diligence requirements.

(71)

In order to adapt to developments in the battery value chain, including to changes in the scope and nature of the relevant environmental and social risks, as well as to technical and scientific progress in batteries and battery chemistries, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending the list of raw materials and risk categories and the battery value chain due diligence requirements.

(71a)

In the event that future Union legislation laying down general rules for sustainable corporate governance and due diligence is adopted, the Commission should assess whether that new Union legislation requires amendment of paragraphs 2 to 5 of Article 39 or of Annex X, or both. The power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of amending those provisions accordingly.

(72)

Harmonised rules for waste management are necessary to ensure that producers and other economic operators are subject to the same rules across the Member States in the implementation of the extended producer responsibility for batteries. Maximising separate collection of waste batteries and ensuring that all batteries collected are recycled through processes that reach common minimum recycling efficiencies is necessary to attain a high level of material recovery. The evaluation of the Directive 2006/66/EC found that one of its shortcomings is lack of detail in its provisions, leading to uneven implementation and creating significant barriers to the functioning of recycling markets and suboptimal levels of recycling. Consequently, more detailed and harmonised rules should avoid distortion of the market for the collection, treatment and recycling of waste batteries, ensure even implementation of the requirements across the Union, further harmonisation of the quality of waste management services provided by economic operators and facilitate the markets of secondary raw materials.

(72)

Harmonised rules for waste management are necessary to ensure that producers and other economic operators are subject to the same rules across the Member States in the implementation of the extended producer responsibility for batteries and to ensure a high level of protection of human health and the environment across the Union. Extended producer responsibility can contribute to reducing overall resource use, in particular by reducing the generation of battery waste and the adverse impacts linked to the management of battery waste . Maximising separate collection of waste batteries and ensuring that all batteries collected are recycled through processes that reach common minimum recycling efficiencies is necessary to attain a high level of material recovery. The evaluation of the Directive 2006/66/EC found that one of its shortcomings is lack of detail in its provisions, leading to uneven implementation and creating significant barriers to the functioning of recycling markets and suboptimal levels of recycling. Consequently, more detailed and harmonised rules should avoid distortion of the market for the collection, treatment and recycling of waste batteries, ensure even implementation of the requirements across the Union, further harmonisation of the quality of waste management services provided by economic operators and facilitate the markets of secondary raw materials.

(73)

This Regulation builds on the waste management rules and general principles laid down in Directive 2008/98/EC of the European Parliament and of the Council (50), which should be adapted to reflect the specific situation of batteries . For the collection of waste batteries to be organised in the most effective way, it is important that this is done in close connection to the place where the batteries are sold in a Member State, and close to the end user. Also, waste batteries may be collected both together with waste electrical and electronic equipment and with end-of-life vehicles, by way of national collection schemes set up on the basis of Directive 2012/19/EU of the European Parliament and of the Council (51), and of Directive 2000/53/EC. While the current Regulation sets up specific rules for batteries there is a need for a coherent and complementary approach, building upon and further harmonising existing waste management structures. Consequently, and in order to effectively realise extended producer responsibility related to the waste management, obligations should be laid down with respect to the Member State where batteries are made available on the market for the first time.

(73)

This Regulation builds on the waste management rules and general principles laid down in Directive 2008/98/EC of the European Parliament and of the Council (50), which should be adapted to reflect the specific nature of battery waste . For the collection of waste batteries to be organised in the most effective way, it is important that this is done in close connection to the place where the batteries are sold in a Member State, and close to the end user . Waste batteries should be collected separately from other waste streams, such as metals, paper and cardboard, glass, plastics, wood, textiles and bio-waste . Also, waste batteries may be collected both together with waste electrical and electronic equipment and with end-of-life vehicles, by way of national collection schemes set up on the basis of Directive 2012/19/EU of the European Parliament and of the Council (51), and of Directive 2000/53/EC. While the current Regulation sets up specific rules for batteries there is a need for a coherent and complementary approach, building upon and further harmonising existing waste management structures. Consequently, and in order to effectively realise extended producer responsibility related to the waste management, obligations should be laid down with respect to the Member State where batteries are made available on the market for the first time.

(76)

Producers should have extended producer responsibility for the management of their batteries at the end-of-life stage. Accordingly, they should finance the costs of collecting, treating and recycling all collected batteries, for reporting on batteries and waste batteries and for the provision of information to end-users and waste operators about batteries and appropriate re-use and management of waste batteries. The obligations related to extended producer responsibility should apply to all forms of supply, including distance selling. Producers should be able to exercise those obligations collectively, by means of producer responsibility organisations taking up the responsibility on their behalf. Producers or producer responsibility organisations should be subject to authorisation and they should document that they have the financial means to cover the costs entailed by the extended producer responsibility. Where necessary to avoid distortion of the internal market and to ensure uniform conditions for the modulation of the financial contributions paid to producer responsibility organisations by producers, implementing powers should be conferred on the Commission.

(76)

Producers should have extended producer responsibility for the management of their batteries at the end-of-life stage. It should consist of a set of rules defining specific operational and financial obligations for producers of products in which the producer's responsibility is extended to the post-consumer stage of a product's life cycle. Accordingly, they should finance at least the costs referred to in point (a) of paragraph 4 of Article 8a of Directive 2008/98/EC, including the costs of organising the separate collection, preparation for repurposing and remanufacturing, treatment, preparation for reuse and recycling of waste batteries, for reporting on batteries and waste batteries and for awareness campaigns to encourage end-users to discard waste batteries in an appropriate manner . The obligations related to extended producer responsibility should apply to all forms of supply, including distance and online selling. Producers should be able to exercise those obligations collectively, by means of producer responsibility organisations taking up the responsibility on their behalf. Producers or producer responsibility organisations should be subject to authorisation and they should document that they have the financial means to cover the costs entailed by the extended producer responsibility. Where necessary to avoid distortion of the internal market and to ensure uniform conditions for the modulation of the financial contributions paid to producer responsibility organisations by producers, implementing powers should be conferred on the Commission.

(76a)

Introducing producer responsibility requirements should contribute to reducing costs and boosting performance, as well as to ensuring there is a level playing field, including for small and medium-sized enterprises and e-commerce enterprises, and avoid obstacles to the smooth functioning of the internal market. They should also contribute to the incorporation of end-of-life costs into product prices and provide incentives for producers to comply with sustainability provisions when designing their products. Overall, such requirements should improve the governance and transparency of extended producer responsibility schemes and reduce the possibility of conflicts of interest emerging between extended producer responsibility organisations and waste operators that they contract. The requirements should apply to both new and existing extended producer responsibility schemes.

(77)

This Regulation should regulate the extended producer responsibility for batteries exhaustively and therefore the rules laid down on extended producer responsibility schemes in Directive 2008/98/EC should not apply to batteries .

(77)

This Regulation should regulate the extended producer responsibility for batteries exhaustively and should therefore be considered to supplement the rules laid down on extended producer responsibility schemes in Directive 2008/98/EC, which should be understood to be minimum requirements .

(78)

In order to ensure high quality recycling in the batteries supply chains, boost the uptake of quality secondary raw materials and protect the environment, a high level of collection and recycling of waste batteries should be the rule. The collection of waste batteries is a fundamental crucial step for closing the loop for the valuable materials contained in batteries through their recycling and to keep the batteries value chain inside the Union , thus facilitating the access to the recovered materials that can further be used to manufacture new products.

(78)

In order to ensure high quality recycling in the batteries value chains, boost the uptake of quality secondary raw materials, and protect the environment, a high level of collection and recycling of waste batteries should be the rule. The collection of waste batteries is a fundamental crucial step for closing the loop for the valuable materials contained in batteries through their recycling and to keep the batteries value chain inside the Union and boost its strategic autonomy in this sector, facilitating the access to the recovered materials that can further be used to manufacture new products. Appropriate measures regarding the collection, treatment, preparation for reuse, preparation for repurposing and recycling of waste batteries should be included in national waste management plans. Member States' waste management plans should therefore be updated on the basis of the provisions laid down in this Regulation.

(79)

Producers of all batteries should be responsible for financing and organising the separate collection of waste batteries. They should do so by establishing a collection network that covers the whole territory of the Member States, that is close to the end user and that does not only target areas and batteries where the collection is profitable. The collection network should include any distributor, authorised treatment facility for waste electric and electronic equipment and end-of-life vehicles, civic amenity sites and other actors based on their own accord, such as public authorities and schools. In order to verify and improve the effectiveness of the collection network and the information campaigns, regular compositional surveys at least at NUTS 2 level (53) should be carried out on mixed municipal waste and waste electrical and electronic equipment collected to determine the amount of waste portable batteries therein.

(79)

Producers of all batteries should be responsible for financing or financing and organising the separate collection of waste batteries. They should do so by establishing a  take-back and collection network that covers the whole territory of the Member States, that is close to the end user and that does not only target areas and batteries where the collection is profitable. The collection network should include any distributor, authorised treatment facility for waste electric and electronic equipment and end-of-life vehicles, civic amenity sites and other actors based on their own accord, such as public authorities and schools. In order to verify and improve the effectiveness of the collection network and the information campaigns, regular compositional surveys at least at NUTS 2 level (53) should be carried out on mixed municipal waste and waste electrical and electronic equipment collected to determine the amount of waste portable batteries therein.

(81)

Considering the environmental impact and the loss of materials due to waste batteries not being separately collected, and consequently not treated in an environmentally sound way, the collection target for portable batteries already established under Directive 2006/66/EC should continue to apply and should be gradually increased. This Regulation entails that portable batteries also include batteries powering light means of transport. Since the current increase in sales of this type of batteries makes it difficult to calculate the amount of them that are placed in the market and collected at the end of their life, these portable batteries should be excluded from the current collection rate for portable batteries . This exclusion is to be reviewed along with the collection target for waste portable batteries, which may also address changes in the methodology to calculate the collection rate for portable batteries. The Commission shall prepare a report to underpin these reviews .

(81)

Considering the environmental impact and the loss of materials due to waste batteries not being separately collected, and consequently not treated in an environmentally sound way, the collection target for portable batteries already established under Directive 2006/66/EC should continue to apply and should be gradually increased. In order to maximise collection and reduce safety risks, the feasibility and potential benefits of establishing a Union-wide deposit return system for batteries, in particular for portable batteries of general use should be assessed. National deposit return systems should not prevent the adoption of harmonised Union-wide systems.

(82a)

In order to update the methodology on calculating and verifying the collection target for waste light means of transport batteries with a view to reflecting the quantity available for collection, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission. It is crucial that the new methodology maintains or increases the level of environmental ambition with regard to the collection of waste batteries compared to the existing methodology.

(82b)

The Commission should also consider introducing a calculation methodology for the calculation of the separate collection target with a view to reflecting the quantity of waste portable batteries available for collection. It is crucial that the new methodology maintains or increases the level of environmental ambition with regard to the collection of waste batteries compared to the existing methodology.

(84)

In view of the waste hierarchy as established by Article 4 of Directive 2008/98/EC which prioritises prevention, preparing for reuse and recycling and in line with Article 11(4) of Directive 2008/98/EC and Article 5(3)(f) of Directive 1999/31/EC (54), batteries collected should not be incinerated or disposed of in landfill .

(84)

In view of the waste hierarchy as established by Article 4 of Directive 2008/98/EC which prioritises prevention, preparing for reuse and recycling and in line with Article 11(4) of Directive 2008/98/EC and Article 5(3)(f) of Directive 1999/31/EC (54), batteries collected should not be subject to waste-to-energy or to disposal operations .

(87)

It should only be possible to carry out treatment and recycling outside the Member State concerned or outside the Union, where the shipment of waste batteries is in compliance with Regulation (EC) No 1013/2006 of the European Parliament and of the Council (58) and Commission Regulation (EC) No 1418/2007 (59) and where the treatment and recycling activities meet the requirements applicable for this type of wastes, according to their classification in Commission Decision 2000/532/EC, as amended (60). That Decision, as amended, should be revised to reflect all battery chemistries. Where such treatment or recycling takes places outside the Union, in order to be counted towards the recycling efficiencies and targets, the operator for whose account it is carried out should be obliged to report on it to the competent authority of the respective Member State and to prove that the treatment is carried out in conditions equivalent to those under this Regulation. In order to lay down what are the requirements for such treatment to be considered equivalent, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of laying down detailed rules containing criteria for the assessment of equivalent conditions.

(87)

It should only be possible to carry out treatment , preparation for reuse, preparation for repurposing and recycling outside the Member State concerned or outside the Union, where the shipment of waste batteries is in compliance with Regulation (EC) No 1013/2006 of the European Parliament and of the Council (58) and Commission Regulation (EC) No 1418/2007 (59) and where the treatment and recycling activities meet the requirements applicable for this type of wastes, according to their classification in Commission Decision 2000/532/EC, as amended (60). That Decision, as amended, should be revised to reflect all battery chemistries , including the addition of codes for lithium-ion waste batteries, in order to facilitate proper sorting and reporting of lithium-ion waste batteries . Where such treatment or recycling takes places outside the Union, in order to be counted towards the recycling efficiencies and targets, the operator for whose account it is carried out should be obliged to report on it to the competent authority of the respective Member State and to prove with documentary evidence approved by the competent authority of the destination country that the treatment is carried out in conditions equivalent to those under this Regulation and relevant environmental and human health protection requirements in other Union legislation . In order to lay down what are the requirements for such treatment to be considered equivalent, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of laying down detailed rules containing criteria for the assessment of equivalent conditions.

(87a)

In the event waste batteries are exported from the Union for preparation for re-use, preparation for repurposing, or recycling, Member States' competent authorities should make effective use of the powers provided for in Article 50(4) of Regulation (EC) No 1013/2006 to require documentary evidence to ascertain compliance with the requirements set out in this Regulation. It should be possible for Member States' competent authorities to cooperate with other relevant actors, such as the competent authorities in the country of destination, independent third party verification bodies or producer responsibility organisations established under extended producer responsibility schemes, which may carry out physical and other checks of facilities in third countries.

(88)

Industrial and electric vehicle batteries that are no longer fit for the initial purpose for which they were manufactured may be used for a different purpose as stationary energy storage batteries. A market for the second life of used industrial and electric vehicle batteries is emerging and in order to support the practical application of the waste hierarchy, specific rules should thus be defined to allow responsible repurposing of used batteries while taking into account the precautionary principle and ensuring safety of use for end users. Any such used battery should undergo an assessment of its state of health and available capacity to ascertain its suitability for use for any other than its original purpose. In order to ensure uniform conditions for the implementation of provisions related to the estimation of the state of health of batteries, implementing powers should be conferred on the Commission.

(88)

Batteries that are no longer fit for the initial purpose for which they were manufactured may be used for a different purpose as stationary energy storage batteries. A market for the second life of used batteries is emerging and in order to support the practical application of the waste hierarchy, specific rules should thus be defined to allow responsible repurposing of used batteries while taking into account the precautionary principle and ensuring safety of use for end users. Any such used battery should undergo an assessment of its state of health and available capacity to ascertain its suitability for use for any other than its original purpose. Batteries that are found to be suitable for use other than for their original purpose should ideally be repurposed. In order to ensure uniform conditions for the implementation of provisions related to the estimation of the state of health of batteries, implementing powers should be conferred on the Commission.

(89)

Producers and distributors should be actively involved in providing information to end users that batteries should be collected separately, that collection schemes are available and that end users have an important role in ensuring an environmentally optimal management of waste batteries. The disclosure of information to all end users as well as reporting on batteries should make use of modern information technologies. The information should be provided either by classical means, such as outdoors, posters and social media campaigns, or by more innovative means, such as electronic access to websites provided by QR codes affixed to the battery.

(89)

Producers and distributors , including online marketplaces, should be actively involved in providing information to end users that batteries should be collected separately, that collection schemes are available and that end users have an important role in ensuring an environmentally optimal management of waste batteries , in particular by explaining how safer and cleaner waste streams could contribute to the reduction of waste exports to third countries and to closed materials loops within the Union . The disclosure of information to all end users as well as reporting on batteries should make use of modern information technologies. The information should be provided either by classical means, such as outdoors, posters and social media campaigns, and/ or by more innovative means, such as electronic access to websites provided by QR codes affixed to the battery in an accessible and understandable way .

(90)

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

(90)

To enable the verification of compliance with and the effectiveness of the obligations regarding the collection and treatment of batteries, it is necessary that the respective operators report back to the competent authorities. Producers of batteries and other waste management operators collecting batteries should report for each calendar year, where applicable, the data on batteries sold and waste batteries collected. Regarding treatment and recycling, reporting obligations should be incumbent upon the waste management operators and recyclers respectively. Waste management operators carrying out treatment in accordance with this Regulation should be subject to a selection procedure by producers of the relevant batteries or by producer responsibility organisations acting on their behalf, in accordance with Articles 8 and 8a of Directive 2008/98/EC.

(95)

Regulation (EU) 2019/1020 of the European Parliament and of the Council (62) lays down rules on market surveillance and control of products entering the Union market. In order to ensure that products benefiting from the free movement of goods fulfil requirements providing a high level of protection of public interests such as human health, safety, protection of property and of the environment, that Regulation should apply to batteries covered by this Regulation. Therefore, Regulation (EU) 2019/1020 should be amended accordingly.

(95)

Regulation (EU) 2019/1020 of the European Parliament and of the Council (62) lays down rules on market surveillance and control of products entering the Union market. In order to ensure that products benefiting from the free movement of goods fulfil requirements providing a high level of protection of public interests such as human health, safety, protection of property and of the environment, that Regulation should apply to batteries covered by this Regulation , including batteries produced outside the Union and that enter the Union market . Therefore, Regulation (EU) 2019/1020 should be amended accordingly.

(97)

A procedure should exist under which interested parties are informed of measures intended to be taken with regard to batteries presenting a risk to human health, safety, property or the environment. It should also allow market surveillance authorities in the Member States, in cooperation with the relevant economic operators, to act at an early stage in respect of such batteries. In order to ensure uniform conditions for the implementation of this Regulation, implementing powers to adopt acts should be conferred on the Commission in order to determine whether national measures in respect of non-compliant batteries are justified or not.

(97)

A procedure should exist under which interested parties are informed of measures intended to be taken with regard to batteries presenting a risk to human health, safety, property or the environment. It should also allow market surveillance authorities in the Member States, in cooperation with the relevant economic operators, to act at an early stage in respect of such batteries. In order to ensure uniform conditions for the implementation of this Regulation, implementing powers to adopt acts should be conferred on the Commission in order to swiftly determine whether national measures in respect of non-compliant batteries are justified or not.

(98)

The market surveillance authorities should have the right to require economic operators to take corrective actions on the basis of findings that either the battery is not compliant with the requirements of this Regulation or the economic operator infringes the rules on the placing or making available on the market of a battery, or on sustainability, safety and labelling or on supply chain due diligence.

(98)

The market surveillance authorities should have the right to require economic operators to take corrective actions on the basis of findings that either the battery is not compliant with the requirements of this Regulation or the economic operator infringes the rules on the placing or making available on the market of a battery, or on sustainability, safety, labelling and information or on supply chain due diligence.

(98a)

To ensure the effectiveness and consistency of testing across the Union in the framework for market surveillance established by Regulation (EU) 2019/1020 with regard to batteries, as well as to provide independent technical and scientific advice in the course of evaluations carried out regarding batteries presenting a risk, the Commission should designate a Union testing facility. Furthermore, compliance with the Union legislative framework on batteries established by this Regulation should be promoted also at national level.

(98b)

The free movement of goods in the Union is often hindered by barriers set at national level that impede the full realisation of the internal market and reduce the opportunities for companies to do business and develop, in particular SMEs, which represent the backbone of the Union economy. Member States should therefore make full use of the possibility of entering into agreements with one another to allow arbitration procedures for the purpose of swiftly settling disputes arising in relation to the access to the internal market for batteries.

(99)

Public procurement constitutes an important sector with regard to reducing the impacts on the environment of human activities and to stimulate market transformation towards more sustainable products. Contracting authorities, as defined in Directive 2014/24/EU (63) of the European Parliament and of the Council and Directive 2014/25/EU of the European Parliament and of the Council (64), and contracting entities as defined in Directive 2014/25/EU should take account of the environmental impacts when procuring batteries or products containing batteries, in order to promote and stimulate the market for clean and energy-efficient mobility and energy-storage and thus contribute to the environment, climate and energy policy objectives of the Union.

(99)

Public procurement constitutes an important sector with regard to reducing the impacts on the environment of human activities and to stimulate market transformation towards more sustainable products. Contracting authorities, as defined in Directive 2014/24/EU (63) of the European Parliament and of the Council and Directive 2014/25/EU (64) of the European Parliament and of the Council, and contracting entities as defined in Directive 2014/25/EU should take account of the environmental impacts when procuring batteries or products containing batteries and ensure effective compliance with social and environmental requirements by the economic operators , in order to promote and stimulate the market for clean and energy-efficient mobility and energy-storage, and thus contributing to the environment, climate and energy policy objectives of the Union. Furthermore, improving access for SMEs to public procurement in the batteries market and encouraging more local and Union stakeholders to join would also significantly contribute to reaching those objectives.

(105)

The Commission should adopt immediately applicable implementing acts determining whether a national measure taken in respect of a compliant battery that presents a risk is justified or not where, in duly justified cases relating to the protection of human health, safety, property or the environment, imperative grounds of urgency so require.

(105)

The Commission should adopt , without delay, immediately applicable implementing acts determining whether a national measure taken in respect of a compliant battery that presents a risk is justified or not where, in duly justified cases relating to the protection of human health, safety, property or the environment, imperative grounds of urgency so require.

(106)

Member States should lay down rules on penalties applicable to infringements of this Regulation and ensure that those rules are enforced. The penalties provided for should be effective, proportionate and dissuasive.

(106)

Member States should lay down rules on penalties applicable to infringements of this Regulation and ensure that those rules are enforced. The penalties provided for should be effective, proportionate and dissuasive. In order to ensure harmonised enforcement across the Union, the power to adopt acts in accordance with Article 290 of the Treaty on the Functioning of the European Union should be delegated to the Commission in respect of developing harmonised criteria or guidance for penalties and for compensation of damages caused to individuals.

(109a)

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

(110)

Since the objective of this Regulation, namely to guarantee the functioning of the internal market while ensuring that batteries placed on the market fulfil the requirements providing for a high level of protection of human health, safety, property and the environment, cannot be sufficiently achieved by the Member States but can rather, by reason of the need for harmonisation, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective,

(110)

Since the objective of this Regulation, namely to guarantee the functioning of the internal market and to ensure that batteries placed on the market as well as the operations linked to waste batteries fulfil the requirements providing for a high level of protection of human health, safety, property and the environment, cannot be sufficiently achieved by the Member States but can rather, by reason of the need for harmonisation, be better achieved at Union level, the Union may adopt measures, in accordance with the principle of subsidiarity as set out in Article 5 of the Treaty on European Union. In accordance with the principle of proportionality, as set out in that Article, this Regulation does not go beyond what is necessary in order to achieve that objective,

(ba)

Equipment specifically designed for the safety of nuclear installations, as defined in Article 3 of Council Directive 2009/71/Euratom  (1a) .

(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;

(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 , such as battery packs and battery modules ;

(6)

—

is not designed for industrial purposes ; and

—

is not designed exclusively for industrial uses ; and

—

is neither an electric vehicle battery nor an automotive battery;

—

is neither a light means of transport battery nor 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);

(8)

‘portable batteries of general use’ means portable batteries with the following common formats: 4,5 Volts (3R12), button cell, D, C, AA, AAA, AAAA, A23, 9 Volts (PP3);

(9)

‘light means of transport’ 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 ;

(9)

‘light means of transport battery ’ means any battery in vehicles that can be powered by the electric motor alone or by a combination of motor and human power, including type-approved vehicles belonging to the vehicle categories laid down in Regulation(EU) No 168/2013 of the European Parliament and of the Council  (1a) , and with a weight below 25 kg

(10)

‘automotive battery’ means any battery used only for automotive starter, lighting or ignition power;

(10)

‘automotive battery’ means any battery used primarily for automotive and non-road mobile machinery starter, lighting or ignition power or other support functions ;

(11)

‘industrial battery’ means any battery designed for industrial uses and any other battery excluding portable batteries, electric vehicle batteries and automotive batteries;

(11)

‘industrial battery’ means any battery designed exclusively for industrial uses and any other battery , including batteries within stationary energy storage systems, excluding portable batteries, light means of transport 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 ;

(12)

‘electric vehicle battery’ means any battery specifically designed to provide energy for the traction of a vehicle of L category as provided for in Regulation (EU) No 168/2013, and with a weight above 25 kg, or to a vehicle of categories M, N or O as provided for in Regulation (EU) 2018/858 of the European Parliament and of the Council  (1a) ;

(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;

(13)

‘ battery within a stationary energy storage system’ means a rechargeable industrial battery specifically designed to store and deliver electric energy when connected to an electricity grid, regardless of where and by whom this battery is being used

(21)

‘QR code’ means a matrix barcode that links to information about a battery model ;

(21)

‘QR code’ means a  machine-readable matrix code that links to information as required by this Regulation ;

(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;

(22)

‘battery management system’ means an electronic device that controls or manages the electric and thermal functions of the battery in order to influence the battery’s safety, performance and service life , 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;

(26a)

(26b)

(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;

(38)

‘producer responsibility organisation’ means a legal entity that financially or financially and operationally organises the fulfilment of extended producer responsibility obligations on behalf of several producers;;

(39)

‘waste battery’ means any battery which is waste within the meaning of Article 3(1) of Directive 2008/98/EC;

(39)

‘waste battery’ means any battery or battery cell covered by the definition of 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;

(40)

‘reuse’ means the complete or partial direct re-use of the battery that is not waste for the same 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 Council (67):

(41)

‘hazardous substance’ means any substance which fulfils the criteria for any of the hazard classes or categories set out in Annex I of Regulation (EC) No 1272/2008 of the European Parliament and of the Council (67):

(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;

(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;

(36)

‘ battery value chain due diligence’ means the obligations of the economic operator which places a battery on the market , with regard to social and environmental risk categories , in relation to its management system, risk management, third party verifications by notified bodies and disclosure of information with a view to identifying , preventing and addressing actual and potential risks linked to the sourcing, processing and trading of the raw materials , chemicals and secondary raw materials required for battery manufacturing and waste battery treatment, linked to its manufacturing operations and linked to related other business relationships ;

(36 a)

(36b)

(ba)

the due diligence requirements set out in Article 39.

(ca)

information about the raw materials used, including the share of renewable content;

(d)

the total carbon footprint of the battery, calculated as kg of carbon dioxide equivalent;

(d)

the total carbon footprint of the battery, calculated as kg of carbon dioxide equivalent and the carbon footprint of the battery, calculated as kg of carbon dioxide equivalent per one kWh of the total energy provided over the expected service life by the battery system ;

(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;

(a)

a delegated act in accordance with Article 73 to supplement this Regulation by establishing the methodology for calculation and verification of the carbon footprint of the battery referred to in point (d), in accordance with the essential elements set out in Annex II;

(a)

a delegated act in accordance with Article 73 to supplement this Regulation by 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.

(b)

an implementing act laying down the format and the technical documentation for the declaration on recovered materials . That implementing act shall be adopted in accordance with the examination procedure referred to in Article 74(3).

(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

(a)

continuity of power supply is necessary and a permanent connection between the appliance and the portable battery is required for safety and it can be proved by the manufacturer that there is no alternative available on the market;

(aa)

continuity of power supply is necessary and a permanent connection between the appliance and the portable battery is required for medical or data integrity reasons and it can be proved by the manufacturer that there is no alternative available on the market;

(b)

the functioning of the battery is only possible when the battery is integrated into the structure of the appliance.

(b)

the functioning of the battery is only possible when the battery is integrated into the structure of the appliance and it can be proved by the manufacturer that there is no alternative available on the market .