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5469/23

KR/am

TREE.1.A

Council of the

European Union

Brussels, 18 January 2023

(OR. en)

5469/23

ENV 41

ENT 10

MI 30

CODEC 41

Interinstitutional File:

2020/0353(COD)

OUTCOME OF PROCEEDINGS

From:

General Secretariat of the Council

To:

Delegations

No. prev. doc.:

5217/23

No. Cion doc.:

13944/20 + ADD 1 - COM(2020) 798 final + Annex

Subject:

Proposal for a Regulation of the European Parliament and of the Council

concerning batteries and waste batteries, repealing Directive 2006/66/EC

and amending Regulation (EU) No 2019/1020

- Letter to the Chair of the European Parliament Committee on the

Environment, Public Health and Food Safety (ENVI)

Following the Permanent Representatives Committee meeting of 18 January 2023 which endorsed

the final compromise text with a view to agreement, delegations are informed that the Presidency

sent the attached letter, together with its Annex, to the Chair of the European Parliament Committee

on the Environment, Public Health and Food Safety (ENVI).

____________________

5469/23

KR/am

ANNEX

TREE.1.A

ロり1

臓

Brussels,

January

2023

Sgg

Council

the

European

Union

Pascal

CANFIN

Chair,

European

Parliament

Committee

for

Environment,

Public

Health

and

Food

European

Parliament

WILLY

BRANDT

041099

60, rue

Wiertz

Wiertzstraat

-1047

uxelIes/rsse1

塾」旦i旦壁：

Proposalfir

Regulation

げthe

European

Parliament

andげthe

Council

concerning

batteries

and

waste

batteries,

repealing

Directive

2006/66/C

and

amending

Regulation伍のNo

2019/1020口020/0353に（)D))

Dear

CANFfN

Following

the

informal

meeting

between

the

representatives

the

three

institutions

held

December

2022,

draft

overall

compromise

text

was

agreed

today

the

Permanent

Representatives'

Committee.

therefore

now

position

conftrm

that,

should

the

European

Parliament

adopt

its

position

first

reading,

accordance

with

Article

294

paragraph

the

Treaty,

the

form

set

out

the

compromise

text

contained

the

Annex

this

letter

(subject

revision

the

legal

linguists

both

institutions),

the

Council

would,

accordance

with

Article

294,

paragraph

the

Treaty,

approve

the

European

Parliament's

position

and

the

act

shall

adopted

the

wording

which

corresponds

the

European

Parliament's

position.

behalf

the

Council

also

wish

thank

you

for

your

and

swift

cooperation

which

should

enable us

reach

agreement

this

dossier

first

reading.

Yours

sincerely,

Chairman

the

Permanent

Representatives

Committee

(Part

Virginijus

Sin

kviるius,

Commissioner

Achille

Variati,

Rapporteur

copy

to:

5469/23

KR/am

ANNEX

TREE.1.A

ANNEX

Proposal for a

REGULATION OF THE EUROPEAN PARLIAMENT AND OF THE COUNCIL

concerning batteries and waste batteries, repealing Directive 2006/66/EC and amending

Regulation (EU) No 2019/1020

(Text with EEA relevance)

THE EUROPEAN PARLIAMENT AND THE COUNCIL OF THE EUROPEAN UNION,

Having regard to the Treaty on the Functioning of the European Union, and in particular Article 114

thereof and Article 192(1) thereof in relation to Articles 45g to 62 of this Regulation,

Having regard to the proposal from the European Commission,

After transmission of the draft legislative act to the national parliaments,

Having regard to the opinion of the European Economic and Social Committee1,

Having regard to the opinion of the Committee of the Regions2,

Acting in accordance with the ordinary legislative procedure,

Whereas:

1 OJ C , , p. .

2 OJ C , , p.

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5469/23KR/am1TREE.1.AENCounciloftheEuropeanUnionBrussels,18January2023(OR.en)5469/23ENV41ENT10MI30CODEC41InterinstitutionalFile:2020/0353(COD)OUTCOMEOFPROCEEDINGSFrom:GeneralSecretariatoftheCouncilTo:DelegationsNo.prev.doc.:5217/23No.Ciondoc.:13944/20+ADD1-COM(2020)798final+AnnexSubject:ProposalforaRegulationoftheEuropeanParliamentandoftheCouncilconcerningbatteriesandwastebatteries,repealingDirective2006/66/ECandamendingRegulation(EU)No2019/1020-LettertotheChairoftheEuropeanParliamentCommitteeontheEnvironment,PublicHealthandFoodSafety(ENVI)FollowingthePermanentRepresentativesCommitteemeetingof18January2023whichendorsedthefinalcompromisetextwithaviewtoagreement,delegationsareinformedthatthePresidencysenttheattachedletter,togetherwithitsAnnex,totheChairoftheEuropeanParliamentCommitteeontheEnvironment,PublicHealthandFoodSafety(ENVI).____________________5469/23KR/am2ANNEXTREE.1.AENb2ロり1臓Brussels,18January2023SggCounciloftheEuropeanUnionMrPascalCANFINChair,EuropeanParliamentCommitteeforEnvironment,PublicHealthandFoodSaftEuropeanParliamentBtWILLYBRANDT04109960,rueWiertz/Wiertzstraat60-1047BruxelIes/rsse1塾」旦i旦壁：ProposalfiraRegulationげtheEuropeanParliamentandげtheCouncilconcerningbatteriesandwastebatteries,repealingDirective2006/66/CandamendingRegulation伍のNo2019/1020口020/0353に（)D))DearMrCANFfNFollowingtheinformalmeetingbetweentherepresentativesofthethreeinstitutionsheldon9December2022,adraftoverallcompromisetextwasagreedtodaybythePermanentRepresentatives'Committee.Iamthereforenowinapositiontoconftrmthat,shouldtheEuropeanParliamentadoptitspositionatfirstreading,inaccordancewithArticle294paragraph3oftheTreaty,intheformsetoutinthecompromisetextcontainedintheAnnextothisletter(subjecttorevisionbythelegallinguistsofbothinstitutions),theCouncilwould,inaccordancewithArticle294,paragraph4oftheTreaty,approvetheEuropeanParliament'spositionandtheactshallbeadoptedinthewordingwhichcorrespondstotheEuropeanParliament'sposition.OnbehalfoftheCouncilIalsowishtothankyouforyourcloseandswiftcooperationwhichshouldenableustoreachagreementonthisdossieratfirstreading.Yourssincerely,ChairmanofthePermanentRepresentativesCommittee(PartI)VirginijusSinkviるius,CommissionerAchilleVariati,Rapporteurcopyto:5469/23KR/am3ANNEXTREE.1.AENANNEXProposalforaREGULATIONOFTHEEUROPEANPARLIAMENTANDOFTHECOUNCILconcerningbatteriesandwastebatteries,repealingDirective2006/66/ECandamendingRegulation(EU)No2019/1020(TextwithEEArelevance)THEEUROPEANPARLIAMENTANDTHECOUNCILOFTHEEUROPEANUNION,HavingregardtotheTreatyontheFunctioningoftheEuropeanUnion,andinparticularArticle114thereofandArticle192(1)thereofinrelationtoArticles45gto62ofthisRegulation,HavingregardtotheproposalfromtheEuropeanCommission,Aftertransmissionofthedraftlegislativeacttothenationalparliaments,HavingregardtotheopinionoftheEuropeanEconomicandSocialCommittee1,HavingregardtotheopinionoftheCommitteeoftheRegions2,Actinginaccordancewiththeordinarylegislativeprocedure,Whereas:1OJC,,p..2OJC,,p.5469/23KR/am4ANNEXTREE.1.AEN(1)TheEuropeanGreenDeal3isEurope’sgrowthstrategythataimstotransformtheUnionintoafairandprosperoussociety,withamodern,resource-efficientandcompetitiveeconomywheretherearenonetemissionsofgreenhousegasesin2050andwhereeconomicgrowthisdecoupledfromresourceuse.Ashiftfromtheuseoffossilfuelsinvehiclestoelectromobilityisoneoftheprerequisitesforreachingtheclimateneutralitygoalin2050.InorderfortheUnion’sproductpoliciestocontributetoloweringcarbonemissionsonagloballevel,itneedstobeensuredthatproductsmarketedandsoldintheUnionaresourcedandmanufacturedinasustainablemanner.(2)Batteriesarethusanimportantsourceofenergyandoneofthekeyenablersforsustainabledevelopment,greenmobility,cleanenergyandclimateneutrality.Itisexpectedthatthedemandforbatterieswillgrowrapidlyinthecomingyears,notablyforelectricroadtransportvehiclesandlightmeansoftransportusingbatteriesfortraction,makingthismarketanincreasinglystrategiconeatthegloballevel.Significantscientificandtechnicalprogressinthefieldofbatterytechnologywillcontinue.Inviewofthestrategicimportanceofbatteries,andtoprovidelegalcertaintytoalloperatorsinvolvedandtoavoiddiscrimination,barrierstotradeanddistortionsonthemarketforbatteries,itisnecessarytosetoutrulesonsustainabilityparameters,performance,safety,collection,recyclingandsecondlifeofbatteriesaswellasoninformationaboutbatteriesforend-usersandeconomicoperators.ItisnecessarytocreateaharmonisedregulatoryframeworkfordealingwiththeentirelifecycleofbatteriesthatareplacedonthemarketintheUnion.3CommunicationfromtheCommissiontotheEuropeanParliament,theEuropeanCouncil,theCouncil,theEuropeanEconomicandSocialCommitteeandtheCommitteeoftheRegions,TheEuropeanGreenDeal(COM(2019)640final).5469/23KR/am5ANNEXTREE.1.AEN(2a)ItisalsonecessarytoupdateUnionlegislationonthemanagementofbatterywasteandtotakemeasurestoprotecttheenvironmentandhumanhealthbypreventingorreducingtheadverseimpactsofthegenerationandmanagementofwaste,byreducingtheimpactofresourceuseandbyimprovingresourceefficiency.Suchmeasuresarecrucialforthetransitiontoacircularandclimate-neutraleconomyandtoxic-freeenvironment,andfortheUnion’slong-termcompetitivenessandstrategicautonomy.Theycancreateimportanteconomicopportunities,increasingsynergiesbetweenthecirculareconomyandenergy,climate,transport,industryandresearchpolicies,andprotectingtheenvironmentandreducinggreenhousegasemissions.(3)Directive2006/66/ECoftheEuropeanParliamentandoftheCouncil4hasbroughtaboutanimprovementintheenvironmentalperformanceofbatteriesandestablishedsomecommonrulesandobligationsforeconomicoperators,inparticularthroughharmonisedrulesfortheheavymetalcontentandlabellingofbatteriesandrulesandtargetsforthemanagementofallwastebatteries,basedonextendedproducerresponsibility.4Directive2006/66/ECoftheEuropeanParliamentandoftheCouncilof6September2006onbatteriesandaccumulatorsandwastebatteriesandaccumulatorsandrepealingDirective91/157/EEC(OJL266,26.9.2006,p.1)5469/23KR/am6ANNEXTREE.1.AEN(4)TheCommission’sreportsontheimplementation,impactandevaluationofDirective2006/66/EC5highlightednotonlytheachievementsbutalsothelimitationsofthatDirective,inparticularagainstafundamentallychangedcontextcharacterisedbythestrategicimportanceofbatteriesandtheirincreaseduse.(5)TheCommission’sStrategicActionPlanonBatteries6setsoutmeasurestosupporteffortstobuildabatteryvaluechaininEurope,embracingrawmaterialsextraction,sustainablesourcingandprocessing,sustainablebatterymaterials,cellmanufacturingaswellasre-useandrecyclingofbatteries(6)IntheEuropeanGreenDeal,theCommissionconfirmeditscommitmenttoimplementtheStrategicActionPlanonBatteriesandstatedthatitwouldproposelegislationtoensureasafe,circularandsustainablebatteryvaluechainforallbatteries,includingtosupplythegrowingmarketofelectricvehicles.5ReportfromtheCommissiontotheEuropeanParliament,theCouncil,theEuropeanEconomicandSocialCommitteeandtheCommitteeoftheRegionsof9April2019ontheimplementationandtheimpactontheenvironmentandthefunctioningoftheinternalmarketofDirective2006/66/ECoftheEuropeanParliamentandoftheCouncilof6September2006onbatteriesandaccumulatorsandwastebatteriesandaccumulatorsandrepealingDirective91/157/EEC(COM(2019)166final)andCommissionStaffWorkingDocumentontheevaluationoftheDirective2006/66/EConbatteriesandaccumulatorsandwastebatteriesandaccumulatorsandrepealingDirective91/157/EEC(SWD(2019)1300final).6Annex2toCommunicationfromtheCommissionstotheEuropeanParliament,theCouncil,theEuropeanEconomicandSocialCommitteeandtheCommitteeoftheRegionsof17May2018,EUROPEONTHEMOVE-SustainableMobilityforEurope:safe,connectedandclean(COM(2018)293final).5469/23KR/am7ANNEXTREE.1.AEN(7)TheCouncilinitsconclusionsof4October2019on‘Morecircularity–Transitiontoasustainablesociety’called,interalia,forcoherentpoliciessupportingthedevelopmentoftechnologiesthatimprovethesustainabilityandcircularityofbatteriestoaccompanythetransitiontoelectro-mobility.Furthermore,theCouncilcalledforanurgentrevisionofDirective2006/66/EC,whichshouldincludeallrelevantbatteriesandmaterialsandwhichshouldconsider,inparticular,specificrequirementsforlithiumandcobaltaswellasamechanismallowingtheadaptationofthatDirectivetofuturechangesinbatterytechnologies.(8)ThenewCircularEconomyActionPlanadoptedon11March20207statesthattheproposalforanewregulatoryframeworkforbatterieswillconsiderrulesonrecycledcontentandmeasurestoimprovethecollectionandrecyclingratesofallbatteries,inordertoensuretherecoveryofvaluablematerialsandtoprovideguidancetoconsumersandwilladdressthepossiblephasingoutofnon-rechargeablebatterieswherealternativesexist.Furthermore,itisstatedthatsustainabilityandtransparencyrequirementswillbeconsidered,takingintoaccountthecarbonfootprintofbatterymanufacturing,theethicalsourcingofrawmaterialsandthesecurityofsupplyinordertofacilitatereuse,repurposingandrecyclingofbatteries.7CommunicationfromtheCommissiontotheEuropeanParliament,theCouncil,theEuropeanEconomicandSocialCommitteeandtheCommitteeoftheRegionsof11March2020,AnewCircularEconomyActionPlan–ForacleanerandmorecompetitiveEurope(COM(2020)98final).5469/23KR/am8ANNEXTREE.1.AEN(9)AddressingtheentirelifecycleofallbatteriesplacedontheUnionmarketrequiresthesettingupofharmonisedproductandmarketingrequirements,includingconformityassessmentprocedures,aswellasrequirementstofullyaddresstheend-of-lifestageofbatteries.Requirementsconcerningtheend-of-lifestagearenecessarytoaddresstheenvironmentalimplicationsofthebatteriesand,inparticular,tosupportthecreationofrecyclingmarketsforbatteriesandmarketsforsecondaryrawmaterialsfrombatteries▌.Inordertoreachtheenvisagedobjectivestoaddressthewholelifecycleofabatteryinonelegalinstrumentwhileavoidingbarrierstotradeandadistortionofcompetitionandsafeguardingtheintegrityoftheinternalmarket,therulessettingouttherequirementsforbatteriesshouldbeofuniformapplicationforalloperatorsacrosstheUnion,andnotgiveroomfordivergentimplementationbyMemberStates.Directive2006/66/ECshouldthereforebereplacedbyaRegulation.(10)ThisRegulationshouldapplytoallcategoriesofbatteries▌placedonthemarketorputintoservicewithintheUnion,regardlessofwhethertheywereproducedintheUnionorimported,whetherontheirownorincorporatedintoappliancesorotherwisesuppliedwithelectricalandelectronicappliances,lightmeansoftransportandvehicles.ThisRegulationshouldapplyregardlessofwhetherabatteryisspecificallydesignedforaproductorisofgeneraluseandregardlessofwhetheritisincorporatedintoaproductorissuppliedtogetherwithorseparatelyfromaproductinwhichitistobeused.5469/23KR/am9ANNEXTREE.1.AENPlacingonthemarketisconsideredtotakeplacewhenthebatterieshavebeenmadeavailableforthefirsttimeontheUnionmarket,suppliedbythemanufacturerorimporterfordistribution,consumptionoruseinthecourseofacommercialactivity,whetherinreturnforpaymentorfreeofcharge.Thus,batteriesplacedinstockintheEUbydistributors,includingretailers,wholesalersandsalesdivisionsofmanufacturers,beforethedateofapplicationofrelevantrequirementsdonotneedtomeetthoserequirements.(10a)TheRegulationshouldpreventandreduceadverseimpactsofbatteriesontheenvironmentandensureasafeandsustainablebatteryvaluechainforallbatteries,takingintoaccount,forinstance,thecarbonfootprintofbatterymanufacturing,ethicalsourcingofrawmaterialsandsecurityofsupply,andfacilitatingreuse,repurposingandrecycling.Itshouldseektoimprovetheenvironmentalperformanceofbatteriesandoftheactivitiesofalleconomicoperatorsinvolvedinthelifecycleofbatteries,e.g.producers,distributorsandend-usersand,inparticular,thoseoperatorsdirectlyinvolvedinthetreatmentandrecyclingofwastebatteries.Suchmeasuresshouldensuretransitiontoacirculareconomyandthelong-termcompetitivenessoftheUnionandshouldcontributetotheefficientfunctioningoftheinternalmarket,whiletakingintoaccountahighlevelofprotectionoftheenvironment.ThisRegulationshouldalsominimisethenegativeeffectsofthegenerationandmanagementofbatterieswasteonhumanhealthandtheenvironmentanditshouldaimatreducingtheuseofresources,andfavourthepracticalapplicationofthewastehierarchy.5469/23KR/am10ANNEXTREE.1.AENThus,topreventdivergenceshamperingthefreecirculationofbatteries,uniformobligationsandrequirementsaretobelaiddownthroughouttheinternalmarketbasedonArticle114TFEU.TotheextentthatthisRegulationcontainsspecificrulesonthemanagementofwastebatteries,itisappropriatetobasethisRegulation,inasfarasthosespecificrulesareconcerned,onArticle192(1)TFEU.(11)Productsplacedonthemarketasbatterypacks,whicharebatteriesorgroupsofcellsthatareconnectedand/orencapsulatedwithinanoutercasingsoastoformacompleteunitreadyforusebyend-usersorinapplicationsthattheend-userisnotintendedtosplituporopenandwhichconformtothedefinitionofbatteries,orbatterycellsthatconformtothedefinitionofbatteries,shouldbesubjecttorequirementsapplicabletobatteries.(11a)Batteriesthatcanbemadereadyforusebytheenduserwithcommonlyavailabletoolsonthebasisofa"DoItYourself"kit,shouldbeconsideredasbatteriesforthepurposeofthisRegulation.TheeconomicoperatorplacingsuchkitonthemarketshouldberesponsibleforthepurposesofthisRegulation.5469/23KR/am11ANNEXTREE.1.AEN(12)WithintheRegulation’swidescope,itisappropriatetodistinguishbetweendifferentcategoriesofbatteriesinaccordancewiththeirdesignanduse,independentofthebatterychemistry.Theclassificationintoportablebatteries,ononehand,andindustrialbatteriesandSLIbatteriesontheotherhandunderDirective2006/66/ECshouldbefurtherdevelopedtobetterreflectnewdevelopmentsintheuseofbatteries.BatteriesthatareusedfortractioninelectricvehiclesandwhichunderDirective2006/66/ECfallinthecategoryofindustrialbatteries,constitutealargeandgrowingpartofthemarketduetothequickgrowthofelectricroadtransportvehicles.Itisthereforeappropriatetoclassifythosebatteriesthatareusedfortractioninroadvehiclesasanewcategoryofelectricvehiclebatteries.Batteriesusedfortractioninlightmeansoftransport,suchase-bikesande-scooters,werenotclearlyclassifiedasbatteriesunderDirective2006/66/EC,andconstituteasignificantpartofthemarketduetotheirgrowinguseinurbansustainablemobility.Itisthereforeappropriatetoclassifythosebatteriesthatareusedfortractioninlightmeansoftransportasanewcategoryofbatteries,namelylightmeansoftransport(LMT)batteries.Batteriesusedfortractioninothertransportvehiclesincludingrail,waterborneandaviationtransportoroff-roadmachinery,continuetofallunderthecategoryofindustrialbatteriesunderthisRegulation.Theindustrialbatterycategoryencompassesabroadgroupofbatteries,intendedtobeusedforindustrialactivities,communicationinfrastructure,agriculturalactivities,orgenerationanddistributionofelectricenergy.Batterieswhicharegivenindustrialusesafterbeingsubjecttopreparingforrepurposeorrepurposing,eventhoughtheywereinitiallydesignedforadifferentuse,aretobeconsideredasindustrialbatteriesunderthisRegulation.Inadditiontothisnonexhaustivelistofexamples,anybatterywithaweightabove5kgthatdoesnotfallunderanyothercategoriesunderthisRegulationshouldbeconsideredasanindustrialbattery.Batteriesusedforenergystorageinprivateordomesticenvironments,areconsideredasindustrialbatteriesforthepurposesofthisRegulation.BatteriesprovidingtractiontowheeledvehiclesconsideredastoyswithinthemeaningoftheToySafetyDirective2009/48/EC,shouldnotbeconsideredasLMTBatteries,butforthepurposeofthisRegulation,theyshouldbeconsideredasportablebatteries.5469/23KR/am12ANNEXTREE.1.AEN(12a)AfterbeingplacedontheUnionmarketorputintoserviceforthefirsttime,abatterycanbesubjecttore-use,repurposing,remanufacturing,preparingforre-use,orpreparingforrepurpose.ForthepurposeofthisRegulation,consistentlywiththeUnionframeworkonproductsregulation,ausedbattery,meaningabatterythathasbeensubjecttore-use,isconsideredtohavealreadybeenplacedonthemarketwhenitwasfirstmadeavailableforuseordistribution.Onthecontrary,batteriessubjecttopreparingforre-use,preparingforrepurpose,repurposing,orremanufacturing,areconsideredtobeplacedonthemarketagainandthereforeshouldcomplywiththespecificrequirementsandobligationsforwhichthisRegulationprovides.Inaddition,alsoconsistentlywiththeUnionframeworkonproductsregulation,ausedbatterywhenimportedfromathirdcountryisthenconsideredtobeplacedonthemarketwhenitenterstheUnionforthefirsttime.Thereforeabatterysubjecttore-use,repurposing,remanufacturing,preparingforre-use,orpreparingforrepurposeimportedfromathirdcountryshouldcomplywiththespecificrequirementsandobligationsforwhichthisRegulationprovides.(12b)Remanufacturingcoversawiderangeoftechnicaloperationsthatmayoccuronbatteriesoronwastebatteries.Whenoccurringonwastebatteries,remanufacturingcanbeassimilatedtopreparingforreuseorpreparingforrepurpose.Forthisreason,itisnotnecessarytoprovideinChapterVIIaspecificregimefortheremanufacturingofwastebatteriesdifferentfromtheregimeonpreparingforreuseorpreparingforrepurposeofwastebatteries.5469/23KR/am13ANNEXTREE.1.AENWhenoccurringonusedbatteries,remanufacturinghastheobjectivetorestoretheoriginalperformanceofabattery.Inthatsenseremanufacturingcanbeseenasanextremecaseofreuseentailingthedisassemblyandevaluationofthecellsandmodulesofthebatteryandthereplacementofacertainamountofthesecellsandmodules.Inordertodifferentiateremanufacturingfrommerereuse,therestorationofthebatterycapacitytoatleast90%oftheoriginalratedbatterycapacityshouldbeconsideredasremanufacturingandprovidefortheapplicationofaspecificregime.(12c)Abatterysubjecttopreparingforre-use,preparingforrepurpose,repurposingorremanufacturingshouldbecoveredbyasalescontractthatcomplieswiththerequirementsofDirective(EU)2019/771,whentheend-userisaconsumer.Inparticular,theserequirementscoverconformityoftheproduct,liabilityoftheseller(includingtheoptionofashorterliabilityorlimitationperiod),burdenofproof,remediesforlackofconformity,repairorreplacementofthegoods,andcommercialguarantees,amongotherrequirements.(13)Batteriesshouldbedesignedandmanufacturedsoastooptimisetheirperformance,durabilityandsafetyandtominimisetheirenvironmentalfootprint.Itisappropriatetolaydownspecificsustainabilityrequirementsforrechargeableindustrialbatterieswithacapacityabove2kWh,LMTbatteriesandelectricvehiclebatteriesassuchbatteriesrepresentthemarketsegmentwhichisexpectedtoincreasemostinthecomingyears.5469/23KR/am14ANNEXTREE.1.AEN(13a)ForthesafetyofelectricvehiclebatteriesandSLIbatteries,thecontinuedvalidityoftheEUtype-approvalforvehiclesofcategoriesM,NandOinaccordancewithRegulation(EU)2018/858requiresthatanybatterywhichhasbeenrepairedorexchangedcontinuestocomplywiththeapplicablesafetyrequirements.Wheresafetyparticularshavechanged,furtherinspectionsortestsarerequiredtoverifycontinuedcompliancewiththerequirementsuponwhichtheexistingEUtype-approvalhasbeenbased.▌(14a)InlinewiththeZeroPollutionActionPlan8,adoptedbytheCommissionin2021,EUpoliciesshouldbebasedontheprinciplethatpreventiveactionshouldbetakenatsource.TheCommissionunderlinesintheChemicalsStrategyforSustainability9,thattheREACHandCLPRegulationsshouldbereinforcedasEU’scornerstonesforregulatingchemicalsintheUnionandthattheyshouldbecomplementedbycoherentapproachestoassessandmanagechemicalsinexistingsectoriallegislation10.Theuseofhazardoussubstancesinbatteriesshouldthereforeprimarilyberestrictedatsourceinordertoprotecthumanhealthandtheenvironmentandtomanagethepresenceofsuchsubstancesinwaste.ThisRegulationshouldcomplementtheREACHandCLPRegulationsandallowtheadoptionofriskmanagementmeasuresrelatedtosubstancesincludingthewastephase.8(COM(2021)400final)9(COM(2020)667final)10ChemicalsStrategyforSustainability,20205469/23KR/am15ANNEXTREE.1.AEN(15)▌Inadditiontotherestrictions,setoutinAnnexXVIIofRegulation(EC)No1907/2006oftheEuropeanParliamentandoftheCouncil11,itisappropriatetosetoutrestrictionsformercury,cadmiumandleadincertaincategoriesofbatteries.BatteriesusedinvehicleswhichbenefitfromanexemptionunderAnnexIItoDirective2000/53/ECoftheEuropeanParliamentandoftheCouncil12shouldbeexcludedfromtheprohibitiontocontaincadmium.Withaviewtofurtherrestrictionofsubstancescontainedinbatteriesorusedintheirmanufacturing,itisappropriatetocarryoutamappingofsubstancesofconcern,definedintheChemicalStrategyforSustainability13assubstanceshavingachroniceffectforhumanhealthortheenvironment(suchassubstancesintheCandidatelistinREACHandinAnnexVItotheCLPRegulation)butalsothosewhichhamperrecyclingforsafeandhighqualitysecondaryrawmaterials,inthecontextofthesubstanceevaluationplannedintheREACHEvaluationJointActionPlan14.(16)Inordertoensurethat▌substancesthatposeanunacceptablerisktohumanhealthortotheenvironmentwhenusedinbatteriesorpresentinwastebatteries,canbedulyaddressed,thepowertoadoptactsinaccordancewithArticle290oftheTreatyontheFunctioningoftheEuropeanUnionshouldbedelegatedtotheCommissioninrespectofamendingrestrictionson▌substancesinbatteries.11▌12▌13COM(2020)667final14REACHEvaluationJointActionPlan5469/23KR/am16ANNEXTREE.1.AEN(17)Theassessmentprocedureforadoptingnewandamendingcurrentrestrictionson▌substancesinbatteriesandwastebatteriesshouldbefullystreamlinedwithRegulation(EC)No1907/2006.Toensureeffectivedecision-making,coordinationandmanagementoftherelatedtechnical,scientificandadministrativeaspectsofthisRegulation,theEuropeanChemicalsAgencysetupunderRegulation(EC)No1907/2006(‘theAgency’)shouldcarryoutspecifiedtaskswithregardtotheevaluationofrisksfromsubstancesinthemanufactureanduseofbatteries,aswellasthosethatmayoccuraftertheirend-of-lifeaswellastheevaluationofthesocio-economicelementsandtheanalysisofalternatives,inaccordancewithrelevantguidancebytheAgency.Consequently,theCommitteesforRiskAssessment▌andSocio-economicAnalysisoftheAgencyshouldfacilitatethecarryingoutofcertaintasksconferredontheAgencybythisRegulation.(17a)InordertoensurethatthisRegulationiscoherentwithanyfutureamendmentoftheprovisionsofRegulation(EC)No1907/2006orofotherfutureUnionlegislationconcerningsustainabilitycriteriaforhazardoussubstancesandchemicals,theCommissionshouldassesswhetheranamendmentofArticle6,Article71,71aand71bofthisRegulationisrequired.Whereappropriate,theCommissionshouldproposeamendingthisregulationinthefutureamendmentoftheprovisionsofregulation(EC)No1907/2006orwithotherfutureUnionlegislationconcerningsustainablycriteriaforhazardoussubstancesandchemicals.(17b)InordertopromoteasustainableEuropeaneconomicmodel,theCommissionshould,whereappropriate,proposeamendmentstothisRegulationtotheprovisionsregulatingtherestrictionsonsubstancesinbatteriesandwastebatteries,includingtheintroductionofanexportbanonbatteriesnotcompliantwithsuchrestrictions.5469/23KR/am17ANNEXTREE.1.AEN(18)Theexpectedmassivedeploymentofbatteriesinsectorslikemobilityandenergystorageshouldreducecarbonemissions,buttomaximisethispotentialitisnecessarythattheiroveralllifecyclehasalowcarbonfootprint.AccordingtotheProductEnvironmentalFootprintCategoryRulesforHighSpecificEnergyRechargeableBatteriesforMobileApplications15,climatechangeisthesecondhighestrelatedimpactcategoryforbatteriesafterthemininganduseofmineralsandmetals.Thetechnicaldocumentationforrechargeableindustrialbatterieswithacapacityabove2kWh,lightmeansoftransportbatteriesandelectricvehiclebatteriesplacedontheUnionmarketshouldthereforebeaccompaniedbyacarbonfootprintdeclaration.Harmonisingthetechnicalrulesforcalculatingthecarbonfootprintforallrechargeableindustrialbatterieswithacapacityabove2kWh,lightmeansoftransportbatteriesandelectricvehiclebatteriesplacedontheUnionmarketisaprerequisiteforintroducingarequirementforthetechnicaldocumentationofthebatteriestoincludeacarbonfootprintdeclarationandsubsequentlyestablishingcarbonfootprintperformanceclassesthatwillallowidentifyingthebatterieswithoveralllowercarbonfootprints..Informationandclearlabellingrequirementsonbatteries’carbonfootprintisnotexpectedinitselftoleadtothebehaviouralchangenecessarytoensurethattheUnion’sobjectivetodecarbonisethemobilityandenergystoragesectorsisachieved,inlinewiththeinternationallyagreedobjectivesonclimatechange16.▌Therefore,maximumcarbonthresholdswillbeintroduced,furthertoadedicatedimpactassessmenttodeterminethosevalues.Inproposingthelevelofthemaximumcarbonfootprintthreshold,the15ProductEnvironmentalFootprint-CategoryRulesforHighSpecificEnergyRechargeableBatteriesforMobileApplicationshttps://ec.europa.eu/environment/eussd/smgp/pdf/PEFCR_Batteries.pdf16Parisagreement(OJL282,19.10.2016,p.4)andtheUnitedNationsFrameworkConventiononClimateChange,availableathttps://unfccc.int/resource/docs/convkp/conveng.pdf5469/23KR/am18ANNEXTREE.1.AENCommissionwill,interalia,takeintoaccounttherelativedistributionofthecarbonfootprintvaluesinbatteriesonthemarket,theextentofprogressinthereductionofcarbonfootprintofbatteriesplacedontheUnionmarketandtheeffectiveandpotentialcontributionofthismeasuretotheUnion’sobjectivesonsustainablemobilityandclimateneutralityby2050atthelatest.Inordertobringabouttransparencyonthebatteries’carbonfootprint,andshifttheUnionmarkettowardslowercarbonbatteries,regardlessofwheretheyareproduced,agradualandcumulativeincreaseinthecarbonfootprintrequirementsisjustified.Asaresultoftheserequirements,theavoidedcarbonemissionsinbatteries’lifecycle,willcontributetotheUnion’sclimateobjectives,particularlythatofreachingclimateneutralityby2050atthelatest.ThismayalsoenableotherpoliciesatUnionandnationallevel,suchasincentivesorgreenpublicprocurementcriteria,fosteringtheproductionofbatterieswithlowerenvironmentalimpacts.(18a)Themaximumlifecyclecarbonfootprintthresholdsshouldbefuture-proof.Therefore,whenadoptingadelegatedactdeterminingthemaximumlifecyclecarbonfootprintthreshold,theEuropeanCommissionshouldtakeintoaccountthebestavailablemanufacturingandproductionprocessesandensurethattheselectedtechnicalcriteriaareconsistentwiththeobjectiveofthisRegulationofensuringthatbatteriesplacedontheUnionmarketguaranteeahighlevelofprotectionofhumanhealth,safety,propertyandtheenvironment.5469/23KR/am19ANNEXTREE.1.AEN(19)Certainsubstancescontainedinbatteries,suchascobalt,lead,lithiumornickel,areacquiredfromscarceresourceswhicharenoteasilyavailableintheUnion,andsomeareconsideredcriticalrawmaterialsbytheCommission.InlinewiththeUnion’sIndustrialStrategy17,Europeneedstoenhanceitsstrategicautonomyandincreaseitsresilienceinpreparationforpotentialdisruptionsinsupplyduetohealthorothercrises.Enhancingcircularityandresourceefficiencywithincreasedrecyclingandrecoveryofthoserawmaterials,willcontributetoreachingthatgoal.(20)Theincreaseduseofrecoveredmaterialswouldsupportthedevelopmentofthecirculareconomyandallowamoreresource-efficientuseofmaterials,whilereducingUniondependencyonmaterialsfromthirdcountries.Forbatteries,thisisparticularlyrelevantforcobalt,lead,lithiumandnickel.Therefore,itisnecessarytopromotetherecoveryofsuchmaterialsfromwaste,establishingarequirementonthelevelofrecycledcontentinbatteriesusingcobalt,lead,lithiumandnickelinactivematerials.ThisRegulationsetsmandatoryrecycledcontenttargetsforcobalt,lead,lithiumandnickelandwhichshouldbemetby2030.Forcobalt,lithiumandnickelincreasedtargetsareestablishedby2035.Alltargets,shouldtakeintoaccounttheavailabilityofwaste,fromwhichsuchmaterialscanberecovered,thetechnicalfeasibilityoftheinvolvedrecoveryandmanufactureprocessesaswellasthetimeneededbytheeconomicoperatorstoadapttheirsupplyandmanufacturingprocesses.Therefore,beforesuchmandatorytargetsbecomeapplicable,therequirementrelatedtorecycledcontentshouldbelimitedtodisclosureofinformationonrecycledcontent.17COM(2021)350final5469/23KR/am20ANNEXTREE.1.AENBatterymanufacturingwasteislikelytobethemainsourceofsecondaryrawmaterialsforbatterymanufacturingduringtheproductionramp-upandwillbesubjecttothesamerecyclingprocessesaspost-consumerwastebatteries.Therefore,itshouldbeincludedintherecycledcontenttargetswiththeobjectivetoacceleratethedevelopmentofthenecessaryrecyclinginfrastructure.By-productsofbatterymanufacturingreusedinthesameproductionprocess,suchasmanufacturingscrap,donotconstitutewasteandshouldthereforenotbecountedaspartoftherecycledcontenttargets.(21)Inordertotakeintoaccounttheriskofsupplyofcobalt,lead,lithiumandnickelandtoassesstheiravailability,thepowertoadoptactsinaccordancewithArticle290oftheTreatyontheFunctioningoftheEuropeanUnionshouldbedelegatedtotheCommissioninrespectofamendingthetargetsfortheminimumshareofrecycledcobalt,lead,lithiumornickelpresentinactivematerialsinbatteries.(21a)Inordertotakeintoaccountchangesinbatterytechnologiesimpactingthetypesofmaterialsthatcanberecovered,thepowertoadoptactsinaccordancewithArticle290oftheTreatyontheFunctioningoftheEuropeanUnionshouldbedelegatedtotheCommissioninrespectofsupplementingthisRegulationtoinsertfurtherrawmaterialsandrespectivetargetsinthelistofminimumsharesofrecycledcontentpresentinactivematerialsinbatteries.5469/23KR/am21ANNEXTREE.1.AEN(22)Inordertoensureuniformconditionsfortheimplementationoftherulesoncalculatingandverifying,perbatterymodeland▌permanufacturingplant,theshareofcobalt,lead,lithiumornickelrecoveredfrombatterymanufacturingwasteandpost-consumerwastepresentinactivematerialsinbatteriesandtheinformationrequirementsfortechnicaldocumentation,delegatedpowersshouldbeconferredontheCommission.Forthepurposeofthoserules,thereutilisationofmaterialssuchasrework,regrindorscrapgeneratedinthebatterymanufacturingprocess,whichcanbereclaimedwithinthesameprocessthatgeneratedit,shouldbeexcluded.(23)BatteriesplacedontheUnionmarketshouldbedurableandhighlyperformant.Itisthereforenecessarytosetoutperformanceanddurabilityparametersforportablebatteriesofgeneraluseaswellasforrechargeableindustrialbatteries,LMTbatteriesandelectricvehiclebatteries.Forelectricvehiclebatteries,theinformalUNECEWorkingGrouponElectricVehiclesandtheEnvironmenthasdevelopedin-vehicledurabilityrequirementsthataretoapplyintheEUthroughtype-approvalofmotorvehicles,sothisRegulationisonlysetsinformationrequirementsonperformanceanddurabilityofelectricvehiclebatteries.Ontheotherhand,intheareaofbatteriesforenergystorage,existingmeasurementmethodstotestbatteryperformanceanddurabilityarenotconsideredsufficientlypreciseandrepresentativetoenableintroducingminimumrequirements.Theintroductionofminimumrequirementsrelatedtoperformanceanddurabilityofthesebatteriesshouldbeaccompaniedbyavailableadequateharmonisedstandardsorcommonspecifications.5469/23KR/am22ANNEXTREE.1.AEN(24)Inordertoreducethelifecycleenvironmentalimpactbatteries,thepowertoadoptactsinaccordancewithArticle290oftheTreatyontheFunctioningoftheEuropeanUnionshouldbedelegatedtotheCommissioninrespectofamendingtheperformanceanddurabilityparametersandestablishingminimumvaluesforthoseparametersforportablebatteriesofgeneraluseandforrechargeableindustrialbatteriesandelectricvehiclebatteries.Theactsadoptedinthiscontextshouldalsoestablishhowthoseminimumvalueswillapplytobatteriesthathavebeensubjecttoremanufacturing.(24a)InordertoensurethattheUnion'srulesonelectrochemicalperformanceanddurabilityforelectricvehiclebatteriesarecoherentinrelationtotechnicalspecificationsoftheinformalUNECEWorkingGrouponElectricVehiclesandtheEnvironmentandinviewoftechnicalandscientificprogress,thepowertoadoptactsinaccordancewithArticle290oftheTreatyontheFunctioningoftheEuropeanUnionshouldbedelegatedtotheCommissioninrespectofamendingtheperformanceanddurabilityparametersforelectricvehiclebatteries.Forminimumvaluesofthoseparametersforelectricvehiclesbatteriesincorporatedinmotorvehicles,itisappropriatetosetminimumperformancerequirementsthroughregulationontype-approvalofmotorvehiclesandengineswithrespecttotheiremissions[replacewithfinaltitleofEuro7proposal],basedonminimumperformancerequirementsadoptedinUnitedNationsGlobalTechnicalRegulationNo.22onin-vehiclebatterydurabilityforelectrifiedvehicles.1818UNGTRNo.22(In-vehicleBatteryDurabilityforElectrifiedVehicles)UNECE5469/23KR/am23ANNEXTREE.1.AEN(25)Somenon-rechargeablebatteriesofgeneralusemayimplyaninefficientuseofresourcesandenergy.Objectiverequirementsregardingtheperformanceanddurabilityofsuchbatteriesshouldbeestablishedinordertoensurethatfewerlowperformingnon-rechargeableportablebatteriesofgeneraluseareplacedonthemarket,inparticular,where,basedonalifecycleassessment,thealternativeuseofrechargeablebatterieswouldresultinoverallenvironmentalbenefits.Forbatteriesincorporatedinmobilephonesandtabletsitisappropriatetosetperformanceanddurabilityrequirementsontheirbatteriesthroughaneco-designregulationaddressingphonesandtablets[reformulateandreplacewithspecifictitle+OJreferenceifpublishedbeforethisRegulation]andtoupdateImplementingRegulation617/2013oncomputersandcomputerservers.Forotherportablebatteriesincorporatedinotherappliances,suchasgardeningtoolsorcordlesspowertools,thepossibilitytosetminimumperformanceanddurabilityrequirementsshouldbeaddressedinrelevantproductlegislation,suchasimplementingregulationsundertheEcodesignDirective,orotherapplicableinstrument.5469/23KR/am24ANNEXTREE.1.AEN(26)Inordertoensurethatportablebatteriesincorporatedintoappliancesaresubjecttoproperseparatecollection,treatmentandhighqualityrecyclingoncetheyhavebecomewaste,provisionstoensuretheirremovabilityandreplaceabilityinsuchappliancesarenecessary.Whereportablebatteriesaretoberemovedorreplacedinanappliance,thisshouldbedonewhilesecuringconsumersafety,inlinewithEUsafetystandardsandlegislation.Aportablebatteryshouldbeconsideredreadilyremovablebytheend-userwhenitcanberemovedwiththeuseofcommerciallyavailabletools,withoutrequiringtheuseofspecialisedtools,unlessprovidedfreeofcharge,proprietarytools,thermalenergyorsolventstodisassemble.Commerciallyavailabletoolsaretoolsavailableonthemarkettoallenduserswithouttheneedforthemtoprovideevidenceofanyproprietaryrightsandthatcanbeusedwithnorestriction,exceptforhealthandsafetyreasons.ThegeneralprovisionsofthisRegulationshouldapplywithoutprejudicetothesafetyandmaintenancerequirementsforprofessionalmedicalimagingandradiotherapydevicesasdefinedinofRegulation2017/745onMedicalDevicesandforIn-vitroDiagnosticmedicaldevicesasdefinedinRegulation2017/746onIn-vitroDiagnosticMedicalDevices,andmaybecomplementedwithrequirementssetupforparticularproductspoweredbybatteriesunderimplementingmeasuresunderDirective2009/125/ECoftheEuropeanParliamentandoftheCouncil19.WhereotherUnionlegislationlaysdownmorespecificrequirements,forsafetyreasons,regardingtheremovalofbatteriesfromproducts(e.g.toys),thosespecificrulesshouldapply.19▌5469/23KR/am25ANNEXTREE.1.AEN(26a)Toensurethesafetyofend-users,thisRegulationshouldallowforalimitedderogationfromtheremovabilityandreplaceabilityrequirementssetforportablebatteriesforappliancesthatarespecificallydesignedtobeused,foramajorityoftheactiveserviceoftheappliance,inanenvironmentthatisregularlysubjecttosplashingwater,waterstreamsorwaterimmersionandthatareintendedtobewashableorrinseable.Thisderogationshouldonlyapplywhenitisnotpossible,bywayofredesignoftheappliance,toensurethesafetyoftheenduserandthesafecontinueduseoftheapplianceaftertheend-userhascorrectlyfollowedtheinstructionstoremoveandreplacethebattery.Whenthederogationapplies,theproductmaybedesignedinsuchaswayastomakethebatteryremovableandreplaceableonlybyindependentoperators,andnotbyend-users.(26aa)ForrepairedelectricvehiclebatteriesandSLIbatteries,thesafetyrequirementsofRegulation(EU)2019/2144applytotype-approvedvehiclesofcategoriesM,NandOandbatteriesdesignedandconstructedforthosevehicles.Itisimportantthatthesafetyofsuchbatterieswhenrepairedcanbeassessedbasedonnon-destructivetestsadaptedtothem.Forrepairedlightmeansoftransportbatteries,theCommissionwillpreparerulesonthesafetyofmicromobilitydevices,buildingonexperienceatnationalandlocallevelsonsafetyrequirements,asannouncedinthenewEUUrbanMobilityFramework20.Forotherrepairedbatteriesintendedforconsumersorlikelytobeusedbythem,therequirementsofDirective2001/95/ECongeneralproductsafetyapplyasasafetynet.20COM(2021)8115469/23KR/am26ANNEXTREE.1.AEN(26b)Interoperabilityofchargerswithinspecificcategoriesofbatteriescouldreduceunnecessarywasteandcostsforthebenefitofconsumersandotherend-users.Itshouldbepossiblethereforetorechargebatteriesforlightmeansoftransport,andrechargeablebatteriesincorporatedintospecificcategoriesofelectricalandelectronicequipmentbymakinguseofcommonchargersthatallowinteroperabilitywithineachcategoryofbatteries.ThisRegulationshouldthereforeincludeprovisionsrequiringtheCommissiontoassesshowtointroduceharmonisedstandardsforcommonchargersforthosecategoriesofbatteries,excludingchargingdevicesforcategoriesandclassesofradioequipmentunderArticle3(4)ofDirective2014/53/EUontheharmonisationofthelawsoftheMemberStatesrelatingtothemakingavailableonthemarketofradioequipment.(26c)SLIbatteriesandelectricvehiclebatteriesincorporatedinmotorvehiclesshouldberemovableandreplaceablebyindependentprofessionals.Itisappropriatetoconsiderprovisions,includingasregardsjoining,fasteningandsealingelements,toensurethatthosebatteriescanberemoved,replacedanddisassembledthroughrelevantlegislativeproposaltoreviseDirective2000/53/EC.Forthepurposesofthedesign,manufacturingandtherepairofSLIbatteriesandelectricvehiclebatteries,manufacturersshouldprovidetherelevantvehicleon-boarddiagnosticinformationandvehiclerepairandmaintenanceinformationonanon-discriminatorybasistoanyinterestedmanufacturer,installerorrepairerofequipmentforvehiclesofcategoriesM,NandOasprovidedforinRegulation(EU)2018/858.Further,theCommissionshouldencouragethedevelopmentofstandardsfordesignandassemblytechniquesthatfacilitatethemaintenance,repairandrepurposeofbatteriesandbatterypacks.5469/23KR/am27ANNEXTREE.1.AEN(27)Reliablebatteriesarefundamentalfortheoperationandsafetyofmanyproducts,appliancesandservices.Therefore,batteriesshouldbedesignedandmanufacturedtoensuretheirsafeoperationanduse,inordernottocauseharmordamagetohumansortotheenvironmentorproperty.Thisaspectisparticularlyrelevantforstationarybatteryenergystoragesystems,whicharecurrentlynotcoveredbyotherUnionlegislation.ParameterstobeconsideredinsafetytestsshouldthereforebelaiddownforthosebatteriesandbecomplementedbyapplicableCEN,CENELECandIECstandards.(28)Inordertoprovideend-userswithtransparent,reliableandclearinformationaboutbatteriesandtheirmaincharacteristics,andwastebatteries,toenabletheend-userstomakeinformeddecisionswhenbuyinganddiscardingbatteriesandtoenablewasteoperatorstoappropriatelytreatwastebatteries,batteriesshouldbelabelled.Batteriesshouldbelabelledwithallthenecessaryinformationconcerningtheirmaincharacteristics,includingtheircapacityandcontentofcertainhazardoussubstances.Toensuretheavailabilityofinformationovertime,thatinformationshouldalsobemadeavailablebymeansofQRcodes,whichshouldrespecttheguidelinesofISOIECStandard18004.TheQRcodeprintedorengravedonallbatteriesshouldgiveaccesstoabattery'sproductpassport.LabelsandQRcodesshouldbeaccessibleforpersonswithdisabilitiesinaccordancewiththerequirementslaiddowninDirective(EU)2019/882oftheEuropeanParliamentandoftheCouncil21.21Directive(EU)2019/882oftheEuropeanParliamentandoftheCouncilontheaccessibilityrequirementsforproductsandservices(OJL151,7.6.2019,p.70).5469/23KR/am28ANNEXTREE.1.AEN(29)Informationabouttheperformanceofbatteriesisessentialtoensurethatend-users,especiallyconsumers,arewellandtimelyinformedandinparticularthattheyhaveacommonbasistocomparedifferentbatteriesbeforemakingtheirpurchase.Therefore,non-rechargeableportablebatteriesshouldbemarkedwithalabelindicating‘non-rechargeable’andcontainingtheinformationontheirminimumaveragedurationwhenusedinspecificapplications.Additionally,itisimportanttoguidetheend-usertodiscardwastebatteriesinanappropriateway.(30)Forstationarybatteryenergystoragesystems,LMTbatteriesandelectric-vehiclebatteriesusingabatterymanagementsystem(BMS),thatBMSshouldstoredatasothatthestateofhealthandexpectedlifetimeofbatteriesmaybedeterminedatanytimebytheend-useroranyotherthirdpartyactingonhisbehalf.Read-onlyaccesstosuchdatainthebatterymanagementsystemshouldbeprovidedtothepersonthathaspurchasedthebatteryoranythirdpartyactingonitsbehalfatanytimeforevaluatingtheresidualvalueofthebattery,facilitatingthepreparingforre-use,preparingforrepurpose,repurposingorremanufacturingofthebatteryandformakingthebatteryavailabletoindependentaggregators,asdefinedinDirective(EU)2019/944oftheEuropeanParliamentandoftheCouncil1,whichoperatevirtualpowerplantsinelectricitygrids.Thus,suchdatashouldbeuptodateforthesepurposes,atleastupdateddailyandmorefrequentlywherethisisrequiredbyaspecificpurpose.Technicalspecificationsthat▌originatefromtheworkofthe▌UNECEWorkingGrouponElectricVehiclesandtheEnvironmentondataaccessinelectricvehiclesshouldbeconsideredasabenchmarkforthestateofhealthandexpectedlifetimeofelectricvehiclebatteries.ThisrequirementshouldapplyinadditiontoUnionlawontype-approvalofvehicles,whichistheappropriatelegalframeworktoaddress,amongstothers,smartchargingfunctionssuchasvehicle-to-grid,vehicle-to-load,vehicle-to-vehicleandvehicle-to-powerbankandvehicle-to-buildingcharging.5469/23KR/am29ANNEXTREE.1.AEN(31)Anumberofproduct-specificrequirementsunderthisRegulation,includingonperformance,durability,repurposingandsafety,shouldbemeasuredbyusingreliable,accurateandreproduciblemethodsthattakeintoaccountthegenerallyrecognisedstate-of-the-artmeasurements,standardsandcalculationmethodologies.Inordertoensurethattherearenobarrierstotradeontheinternalmarket,standardsshouldbeharmonisedatUnionlevel.Suchmethodsandstandardsshould,totheextentpossible,takeintoaccountthereal-lifeusageofbatteries,reflecttheaveragerangeofconsumerbehaviourandberobustinordertodeterintentionalandunintentionalcircumvention.OnceareferencetosuchastandardhasbeenadoptedinaccordancewithRegulation(EU)No1025/2012oftheEuropeanParliamentandoftheCouncil22andpublishedintheOfficialJournaloftheEuropeanUnion,presumptionofconformityshallbeestablishedwiththoseproduct-specificrequirementsadoptedonthebasisofthisRegulation,providedthattheoutcomeofsuchmethodsdemonstratethattheminimumvaluesestablishedforthosesubstantiverequirementsareattained.Inordertoavoiddoublingofstandards,tomaximiseefficiencyandtoincludethehighestexpertiseandstate-oftheartknowledge,theCommissionshouldseektorequestoneormoreEuropeanstandardisationorganisationstodraftastandardwherethereisanabsenceofsuchastandard.Intheabsenceofpublishedstandardsatthetimeoftheapplicationofproduct-specificrequirements,orintheeventofanonsatisfactoryresponsebytherelevantEuropeanstandardisationorganisationthe22Regulation(EU)No1025/2012oftheEuropeanParliamentandoftheCouncilof25October2012onEuropeanstandardisation,amendingCouncilDirectives89/686/EECand93/15/EECandDirectives94/9/EC,94/25/EC,95/16/EC,97/23/EC,98/34/EC,2004/22/EC,2007/23/EC,2009/23/ECand2009/105/ECoftheEuropeanParliamentandoftheCouncilandrepealingCouncilDecision87/95/EECandDecisionNo1673/2006/ECoftheEuropeanParliamentandoftheCouncil(OJL316,14.11.2012,p.12)5469/23KR/am30ANNEXTREE.1.AENCommissionshouldadopt,inexceptional,justifiedcasesandafterconsultationwiththerelevantstakeholders,commonspecificationsthroughimplementingactsandthecompliancewithsuchspecificationsshouldalsogiverisetothepresumptionofconformity.Incaseswherethecommonspecificationsare,atalaterstage,foundtohaveshortcomings,theCommissionshouldbyimplementingactamendorrepealthecommonspecificationsinquestion.AnycommonspecificationsshouldberepealedatthemomentwhenreferencenumbersofharmonisedstandardsarebeingpublishedintheOfficialJournal,withareasonableperiodinordertoallowmanufacturerstotakeintoaccountthechanges.(31a)Anactiveinvolvementintheworkofinternationalstandardisationcommitteesisanimportantstrategicprerequisiteforplacingfuturebatterytechnologiesintothemarket.Insomecases,theEuropeaninvolvementinthesecommitteeshasbeenlesseffectiveandshouldbeimprovedtostrengthentheEU’svoiceinglobalstandardisation,alsowiththeviewtoenhancecompetitivenessofcompanies,reducedependenciesandprotectinterests,policyobjectivesandvaluesoftheUnion.Therefore,theCommissionandtheMemberStatesshouldmonitorandcoordinatetheEuropeanapproachtointernationalstandardisation.Standardstosupportthisregulationshouldtakeintoaccountexistinginternationalstandards,inparticularatIECandISOlevel.(31b)TheCommissionshouldensurethatthereisconsistencyregardingharmonisedstandardsandcommonspecificationsunderthisregulationandwhenreviewingRegulation(EU)No1025/2012.5469/23KR/am31ANNEXTREE.1.AEN(32)Toensureeffectiveaccesstoinformationformarketsurveillancepurposes,toadapttonewtechnologiesandtoensureresilienceincaseofglobalcrises,suchastheCovid-19pandemic,itshouldbepossibletogiveinformationregardingconformitywithallUnionactsapplicabletobatteriesonlineintheformofasingleEUdeclarationofconformity.(33)Regulation(EC)No765/2008oftheEuropeanParliamentandoftheCouncil23laysdownrulesontheaccreditationofconformityassessmentbodies,providesaframeworkforthemarketsurveillanceofproductsandforcontrolsonproductsfromthirdcountries,andlaysdownthegeneralprinciplesoftheCEmarking.ThatRegulationshouldbeapplicabletobatteriescoveredbythisRegulationinordertoensurethatproductsbenefitingfromthefreemovementofgoodswithintheUnionfulfilrequirementsprovidingahighlevelofprotectionofpublicinterestssuchashumanhealth,safetyandtheenvironment.23Regulation(EC)No765/2008oftheEuropeanParliamentandoftheCouncilof9July2008settingouttherequirementsforaccreditationandmarketsurveillancerelatingtothemarketingofproductsandrepealingRegulation(EEC)No339/93(OJL218,13.8.2008,p.30)5469/23KR/am32ANNEXTREE.1.AEN(34)InordertoenableeconomicoperatorstodemonstrateandthecompetentauthoritiestoverifythatbatteriesmadeavailableonthemarketcomplywiththerequirementsofthisRegulation,itisnecessarytoprovideforconformityassessmentprocedures.DecisionNo768/2008/ECoftheEuropeanParliamentandoftheCouncil24establishesmodulesforconformityassessmentprocedures,rangingfromtheleaststringenttothemoststringentdependingonthelevelofriskinvolvedandthelevelofsafetyrequired.AccordingtoArticle4ofthatDecision,whereconformityassessmentisrequired,theprocedurestobeusedforthatassessmentaretobechosenfromamongthosemodules.Robustconformityassessmentproceduresareneededtoensurethatthereisconformitywiththenoveltyandcomplexityofcarbonfootprint,recycledcontentandduediligenceobligationssetoutinthisRegulation.▌(36)TheCEmarkingonabatteryindicatestheconformityofthatbatterywiththisRegulation.GeneralprinciplesgoverningtheCEmarkinganditsrelationshiptoothermarkingsaresetoutinRegulation(EC)No765/2008.ThoseprinciplesshouldapplytotheCEmarkingonbatteries.Inordertoensurethatthebatteryisstored,usedanddiscardedinamannerwhichissafefromthepointofviewofprotectinghumanhealthandtheenvironment,specificrulesgoverningtheaffixingoftheCEmarkinginthecaseofbatteriesshouldbelaiddown.24DecisionNo768/2008/ECoftheEuropeanParliamentandoftheCouncilof9July2008onacommonframeworkforthemarketingofproducts,andrepealingCouncilDecision93/465/EEC,OJL218,13.8.2008,p.825469/23KR/am33ANNEXTREE.1.AEN(37)TheconformityassessmentproceduressetoutinthisRegulationrequiretheinterventionofconformityassessmentbodies.InordertoensureauniformimplementationoftheprovisionsinthisRegulation,thosebodiesshouldbenotifiedbytheMemberStateauthoritiestotheCommission.(38)Duetothenoveltyandcomplexityofthesustainability,performance,safety,labellingandinformationrequirementsforbatteriesandinordertoensureaconsistentlevelofqualityintheperformanceofconformityassessmentofbatteries,itisnecessarytosetrequirementsfornotifyingauthoritiesinvolvedintheassessment,notificationandmonitoringofnotifiedbodies.Inparticular,itshouldbeensuredthatthenotifyingauthorityisobjectiveandimpartialwithregardtoitsactivityandhasasufficientnumberoftechnicallycompetentmembersofstafftoperformitstasks.Furthermore,notifyingauthoritiesshouldberequiredtosafeguardtheconfidentialityoftheinformationitobtainsbutshouldnonethelessbeabletoexchangeinformationonnotifiedbodieswithnationalauthorities,thenotifyingauthoritiesofotherMemberStatesandtheCommissiontoensureconsistencyintheconformityassessment.(39)Itisessentialthatallnotifiedbodiesperformtheirfunctionstothesamelevelandunderconditionsoffaircompetitionandautonomy.Therefore,requirementsforconformityassessmentbodieswishingtobenotifiedinordertoprovideconformityassessmentactivitiesshouldbeset.Thoserequirementsshouldcontinuetoapplyasaprerequisiteforthemaintenanceofthecompetenceofthenotifiedbody.Toensureitsautonomy,thenotifiedbodyandthestaffitemploysshouldberequiredtomaintainindependencefromeconomicoperatorsinthebatteryvaluechainandfromothercompanies,includingbusinessassociationsandparentcompaniesandsubsidiaries.Thenotifiedbodyshouldberequiredtodocumentitsindependenceandprovidethatdocumentationtothenotifyingauthority.Thenotifiedbodiesshouldensurerotationofthepersonnelcarryingoutdifferentconformityassessmenttasks.5469/23KR/am34ANNEXTREE.1.AEN(40)IfaconformityassessmentbodydemonstratesconformitywiththecriterialaiddowninharmonisedstandardsitshouldbepresumedtocomplywiththecorrespondingrequirementssetoutinthisRegulation.(41)Conformityassessmentbodiesfrequentlysubcontractpartsoftheiractivitieslinkedtotheassessmentofconformityorhaverecoursetoasubsidiary.Certainactivitiesanddecision-makingprocesses,bothregardingtheconformityassessmentofbatteriesandotheractivitiesinternaltothenotifiedbody,shouldhoweverexclusivelybecarriedoutbytheindividualnotifiedbodyitself,inordertoensureitsindependenceandautonomy.Furthermore,inordertosafeguardthelevelofprotectionrequiredforbatteriestobeplacedontheUnionmarket,conformityassessmentsubcontractorsandsubsidiariesshouldfulfilthesamerequirementsasnotifiedbodiesinrelationtotheperformanceofconformityassessmenttasksunderthisRegulation.(42)SincetheservicesofferedbynotifiedbodiesinaMemberStatemightrelatetobatteriesmadeavailableonthemarketthroughouttheUnion,itisappropriatetogivetheotherMemberStatesandtheCommissiontheopportunitytoraiseobjectionsconcerninganotifiedbody.TheCommission,duringtheinvestigationproceedings,couldseektheadviceofaUniontestingfacility,whendesignatedinaccordancewithRegulation(EU)2019/1020.InordertoensureuniformconditionsfortheimplementationofthisRegulation,implementingpowersshouldbeconferredontheCommissioninordertorequestthenotifyingauthoritytotakecorrectiveactionincaseanotifiedbodydoesnotmeetornolongermeetstherequirementsofthisRegulation.5469/23KR/am35ANNEXTREE.1.AEN(43)Intheinterestsoffacilitatingandacceleratingtheconformityassessmentprocedure,thecertificationandultimatelythemarketaccessandinviewofthenoveltyandcomplexityofthesustainability,safety,labellingandinformationrequirementsforbatteries,itiscrucialthatnotifiedbodieshavecontinuousaccesstoalltestingequipmentandtestingfacilitiesneededandthattheyapplytheprocedureswithoutcreatingunnecessaryburdensforeconomicoperators.Forthesamereason,andtoensureequaltreatmentofeconomicoperators,itisnecessarythatthenotifiedbodiesapplytheconformityassessmentproceduresconsistently.(44)Priortotakingafinaldecisiononwhetherthebatterycanbegrantedaconformitycertificate,theeconomicoperatorthatwishestoplaceabatteryonthemarketshouldbeallowedtocomplementoncethedocumentationonthebattery.(45)TheCommissionshouldenableappropriatecoordinationandcooperationbetweennotifiedbodies.(46)Itisappropriatetolaytheobligationslinkedtotheplacingonthemarketorputtingintoserviceofabatteryontheeconomicoperators,whichincludethemanufacturer,theauthorisedrepresentative,theimporter,thedistributor,thefulfilmentserviceproviders,oranyotherlegalpersonwhotakesonthelegalresponsibilityinrelationtothemanufactureofbatteries,makingthemavailableorplacingthemonthemarketorputtingthemintoservice,includingbatteriesthathavebeensubjectofpreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturing.5469/23KR/am36ANNEXTREE.1.AEN(46a)Itisappropriatetoensurethatrequirementsforabattery,whichisputintoservicewithoutbeingplacedonthemarketbeforehand,arethesameasforbatteriesplacedonthemarket.Thisconcernsforexamplebatteriesthatthemanufacturerusesforitsownpurposes,orbatteriesthat,becauseoftheircharacteristics,canonlybeassembledandtestedon-siteintheirfinaldestination.However,toavoidtheneedtodemonstratecompliancetwiceforthesameproduct,batteriesthatareplacedonthemarketshouldnotbesubjectagaintothesamerequirementswhentheyareputintoservice.(47)EconomicoperatorsshouldberesponsibleforthecomplianceofbatterieswiththerequirementsofthisRegulation,inrelationtotheirrespectiverolesinthesupplychain,soastoensureahighlevelofprotectionofpublicinterests,suchashumanhealth,safetyandprotectionofpropertyandtheenvironment.(48)AlleconomicoperatorsinterveninginthesupplyanddistributionchainshouldtakeappropriatemeasurestoensurethattheyonlymakeavailableonthemarketbatterieswhichareinconformitywiththisRegulation.Itisnecessarytoprovideforaclearandproportionatedistributionofobligationswhichcorrespondtotheroleofeacheconomicoperatorinthesupplyanddistributionchain.(49)Themanufacturer,havingdetailedknowledgeofthedesignandproductionprocess,isbestplacedtocarryouttheconformityassessmentprocedure.Conformityassessmentshouldthereforeremainsolelytheobligationofthemanufacturer.5469/23KR/am37ANNEXTREE.1.AEN(50)Themanufacturershouldprovidesufficientlydetailedinformationontheintendeduseofthebatterysoastoallowitscorrectandsafeplacingonthemarket,puttingintoservice,useandwastemanagement,includingpossiblerepurposing.(51)Inordertofacilitatecommunicationbetweeneconomicoperators,marketsurveillanceauthoritiesandend-users,economicoperatorsshould,aspartoftheircontactdetails,indicateapostal,emailandwebsiteaddress.(51a)Afairersinglemarketshouldensureequalconditionsforcompetitiontoalleconomicoperatorsandprotectionagainstunfaircompetition.Tothisend,strengthenedenforcementofUnionharmonisationlegislationonbatteriesisnecessary.Goodcooperationbetweeneconomicoperatorsandthemarketsurveillanceauthoritiesisakeyelement,allowingimmediateinterventionandcorrectiveactioninrelationtobatteries.ItisimportantthatthereshouldbeaneconomicoperatorestablishedintheUnionsothatmarketsurveillanceauthoritieshavesomeonetowhomrequestscanbeaddressed,includingrequestsforinformationregardingabattery’scompliancewithUnionharmonisationlegislation,andwhocancooperatewithmarketsurveillanceauthoritiesinmakingsurethatimmediatecorrectiveactionistakentoremedyinstancesofnon-compliance.Theeconomicoperatorswhoshouldperformthosetasksarethemanufacturer,ortheimporterwhenthemanufacturerisnotestablishedintheUnion,oranauthorisedrepresentativemandatedbythemanufacturerforthispurpose,orafulfilmentserviceproviderestablishedintheUnionforbatterieshandledbyitwhennoothereconomicoperatorisestablishedintheUnion.5469/23KR/am38ANNEXTREE.1.AEN(52)ItisnecessarytoensurethatbatteriesfromthirdcountriesenteringtheUnionmarketcomplywiththerequirementsofthisRegulation,andwithrelevantapplicableUnionlaw,whetherimportedasself‑standingbatteriesorcontainedinproducts,andinparticularthatappropriateconformityassessmentprocedureshavebeencarriedoutbymanufacturerswithregardtothosebatteries.ProvisionshouldthereforebemadeforimporterstomakesurethatthebatteriestheyplaceonthemarketandputintoservicecomplywiththerequirementsofthisRegulationandthattheCEmarkingonbatteriesanddocumentationdrawnupbymanufacturersareavailableforinspectionbythenationalauthorities,whetherimportedasneworusedbatteriesorbatteriesthathavebeensubjecttopreparingforreuse,preparingforrepurpose,orrepurposingorremanufacturing.(53)Whenplacingabatteryonthemarketorputtingitintoservice,everyimportershouldindicateonthebatterytheimporter’sname,registeredtradenameorregisteredtrademarkaswellasthepostaladdressande-mailaddress,whereoneexists.Exceptionsshouldbeprovidedforincaseswherethesizeofthebatterydoesnotallowitbecausethebatteryistoosmallinsizetoaffixthatinformation.Exceptionsshouldalsobeprovidedforincaseswheretheimporterwouldhavetoopenthepackagingtoputthenameandtheothercontactdetails.Inthoseexceptionalcases,theimportershouldprovidethatinformationinadocumentaccompanyingthebatteryorinanotherimmediatelyaccessibleway.Wherepackagingexists,itshouldbeusedtoindicatethisinformation.(54)Asthedistributormakesabatteryavailableonthemarketafterithasbeenplacedonthemarketorputintoservicebythemanufacturerortheimporter,thedistributorshouldactwithduecaretoensurethatitshandlingofthebatterydoesnotadverselyaffectitscompliancewiththerequirementsofthisRegulation.5469/23KR/am39ANNEXTREE.1.AEN(55)Anyimporterordistributorthateitherplacesabatteryonthemarketorputsitintoserviceundertheimporter’sordistributor’sownnameortrademarkormodifiesabatteryinsuchawaythatcompliancewiththerequirementsofthisRegulationmaybeaffectedormodifiesthepurposeofabatterythatisalreadyplaceonthemarketshouldbeconsideredtobethemanufacturerandshouldassumetheobligationsofthemanufacturer.(56)Distributors,importersandfulfilmentserviceproviders,beingclosetothemarketplace,shouldbeinvolvedinmarketsurveillancetaskscarriedoutbythenationalauthorities,andshouldbepreparedtoparticipateactively,providingthoseauthoritieswithallnecessaryinformationrelatingtothebatteryconcerned.(57)Ensuringtraceabilityofabatterythroughoutthewholesupplychainhelpstomakemarketsurveillancesimplerandmoreefficient,andprovidestransparencytoconsumers.Anefficienttraceabilitysystemfacilitatesthemarketsurveillanceauthorities'taskoftracingeconomicoperatorswhoplacedonthemarketormadeavailableonthemarketorputintoservicenon-compliantbatteries.Theeconomicoperatorsshouldthereforeberequiredtokeeptheinformationontheirtransactionsofbatteriesforacertainperiodoftime,includinginelectronicform.(58)Theextraction,processingandtradingofnaturalmineralresourcesisfundamentalinprovidingthenecessaryrawmaterialsfortheproductionofbatteries.Batterymanufacturers,regardlessoftheirpositionorleverageoversuppliersandoftheirgeographicallocation,arenotinsulatedfromtheriskofcontributingtoadverseimpactsinthemineralsupplychain.Forsomerawmaterials,overhalfofglobalproductionisforuseinbatteryapplications.Forexample,over50%oftheglobaldemandforcobaltandover60%oftheworld'slithiumisusedforbatteryproduction.About8%ofglobalnaturalgraphiteproductionand6%ofglobalnickelproductiongoesintobatterymanufacturing.5469/23KR/am40ANNEXTREE.1.AEN(59)Onlyfewcountriessupplythosematerialsand,insomecases,lowstandardsofgovernancemayexacerbateenvironmentalandsocialproblems.Bothcobaltandnickelminingandrefiningarerelatedtoalargerangeofsocialandenvironmentalissues,includingenvironmentalhazardpotentialandhumanhealth.Whilethesocialandenvironmentalimpactsfornaturalgraphitearelesssevere,itsmininghashighsharesofartisanalandsmallscaleoperations,whichmostlytakesplaceininformalsettingsandcanleadtoserioushealthandenvironmentalimpacts,includingnoregularmineclosureandnorehabilitation,whichresultsinthedestructionofecosystemsandsoils.Forlithium,theexpectedincreaseinitsuseinbatterymanufacturingislikelytoputadditionalpressureonextractionandrefiningoperations,whatwouldrecommendincludinglithiuminthescopeofthebatteryduediligenceobligations.TheexpectedmassiveincreaseindemandforbatteriesintheUnionshouldnotcontributetoanincreaseofsuchenvironmentalandsocialrisks.(60)Someoftherawmaterialsinquestion,suchascobalt,lithiumandnaturalgraphite,areconsideredascriticalrawmaterialsfortheEU25andtheirsustainablesourcingisrequiredfortheEUbatteryecosystemtoperformadequately.(61)Anumberofvoluntaryeffortsfromactorsinthebatterysupplychainarealreadyinplaceinordertoencourageadherencetosustainablesourcingpractices,includingtheInitiativeforResponsibleMiningAssurance(IRMA),theResponsibleMineralsInitiative(RMI)andtheCobaltIndustryResponsibleAssessmentFramework(CIRAF).However,voluntaryeffortstosetupduediligenceschemesmaynotensurethatalleconomicoperatorsplacingbatteriesintheUnionmarketabidebythesamesetofminimumrules.25CommunicationfromtheCommissiontotheEuropeanParliament,theCouncil,theEuropeanEconomicandSocialCommitteeandtheCommitteeoftheRegions:CriticalRawMaterialsResilience:ChartingaPathtowardsgreaterSecurityandSustainability(COM(2020)474final).5469/23KR/am41ANNEXTREE.1.AEN(62)IntheUnion,generalrequirementsonduediligenceinrelationtocertainmineralsandmetalswereintroducedbyRegulation(EU)No2017/821oftheEuropeanParliamentandoftheCouncil26.ThatRegulationdoesnot,however,addressthemineralsandmaterialsusedforbatteryproduction.(63)Therefore,inviewoftheexpectedexponentialgrowthinbatterydemandintheEU,theeconomicoperatorthatplacesabatteryontheEUmarketshouldsetupasupplychainduediligencepolicy.Therequirementsthereforeshouldbelaiddown,withtheobjectivetoaddressthesocialandenvironmentalrisksinherentintheextraction,processingandtradingofcertainrawmaterialsandsecondaryrawmaterialsforbatterymanufacturingpurposes.Itshouldencompasssuppliersinthechain,andtheirsubsidiariesorsubcontractors,thatperformsuchactivities.26Regulation(EU)2017/821oftheEuropeanParliamentandoftheCouncilof17May2017layingdownsupplychainduediligenceobligationsforUnionimportersoftin,tantalumandtungsten,theirores,andgoldoriginatingfromconflict-affectedandhigh-riskareas(OJL130,19.5.2017,p.1)5469/23KR/am42ANNEXTREE.1.AEN(64)Whenputtinginplacearisk-basedduediligencepolicy,itshouldbebasedoninternationallyrecognisedduediligencestandardsandprinciplesintheUnitedNationsGuidingPrinciplesonBusinessandHumanRights,theTenPrinciplesoftheUnitedNationsGlobalCompact27,theGuidelinesforSocialLifeCycleAssessmentofProducts28,theILOTripartiteDeclarationofPrinciplesconcerningMultinationalEnterprisesandSocialPolicy29,theOECDGuidelinesforMultinationalEnterprisesandtheOECDDueDiligenceGuidanceforResponsibleBusinessConduct(RBC)30,whichreflectacommonunderstandingamongstgovernmentsandstakeholders,andshouldbetailoredtothespecificcontextandcircumstancesofeacheconomicoperator.Inrelationtotheextraction,processingandtradingofnaturalmineralresourcesusedforbatteryproduction,theOECDDueDiligenceGuidanceforResponsibleSupplyChainsofMineralsfromConflict-AffectedandHigh-RiskAreas31(‘OECDDueDiligenceGuidance’)representsaninternationallyacknowledgedstandardaddressingspecificrisksofgrosshumanrightsviolations,andalong-standingeffortbygovernmentsandstakeholderstoestablishgoodpracticeinthisarea.27▌28▌29▌30▌31▌5469/23KR/am43ANNEXTREE.1.AEN(65)AccordingtotheUN,ILOandOECDstandardsandprinciples,duediligenceisanon-going,proactiveandreactiveprocessthroughwhichcompaniescanensurethattheyrespecthumanrights,theenvironmentanddonotcontributetoconflict.32Risk-basedduediligencereferstothestepscompaniesshouldtaketoidentify,prevent,mitigateandotherwiseaddressadverseimpactsassociatedwiththeiractivitiesorsourcingdecisions.Economicoperatorsshouldconductinformed,effectiveandmeaningfulconsultationwithaffectedcommunities.Acompanycanassessriskposedbyitsactivitiesandrelationshipsandadoptrisksmitigatingmeasures,whichmayincluderequiringadditionalinformation,negotiatingwithaviewtoredressthesituation,orsuspendingordiscontinuingengagementwithsuppliers,inlinewithrelevantstandardsprovidedundernationalandinternationallaw,recommendationsonresponsiblebusinessconductbyinternationalorganisations,government-backedtools,privatesectorvoluntaryinitiativesandacompany'sinternalpoliciesandsystems.Thisapproachalsohelpstoscaletheduediligenceexercisetothesizeofthecompany'sactivitiesorsupplychainrelationships.(65a)WhileprivatesectorduediligenceschemescansupporteconomicoperatorsinfulfillingtheirduediligenceobligationinlinewiththeOECDGuidelinesforMultinationalEnterprisesandtheUNGuidingPrinciplesonBusinessandHumanRights,economicoperatorsshouldbeindividuallyresponsibleforcompliancewiththebatteryduediligenceobligationssetoutinthisRegulation.32▌5469/23KR/am44ANNEXTREE.1.AEN(66)Mandatorybatteryduediligencepoliciesshouldbeadoptedormodifiedandaddress,atleast,themostprevalentsocialandenvironmentalriskcategories.Thisshouldcoverthecurrentandforeseeableimpacts,ononehand,onsociallife,inparticularhumanrights,humanhealthandsafetyaswellasoccupationalhealthandsafetyandlabourrights,and,ontheotherhand,ontheenvironment,inparticularonwateruse,soilprotection,airpollution,climatechangeandbiodiversity,includingcommunitylife.(67)Asregardsthesocialriskcategories,duediligencepoliciesshouldaddresstherisksin▌relationtotheprotectionofhumanrights,includinghumanhealth,communitylife,includingthatofindigenouspeoples,theprotectionofchildrenandgenderequality,inlinewithinternationalhumanrightslaw33.Theduediligencepoliciesshouldincludeinformationonhowtheeconomicoperatorhascontributedtothepreventionofhumanrightsabusesandontheinstrumentsinplacewiththeoperator’sbusinessstructuretofightcorruptionandbribery.TheduediligencepoliciesshouldalsoensurecorrectimplementationoftherulesoffundamentalconventionsoftheInternationalLabourOrganisation34aslistedinAnnexIoftheILOTripartiteDeclaration.33IncludingTheUniversalDeclarationofHumanRights,TheInternationalCovenantonEconomic,SocialandCulturalRights,TheInternationalCovenantonCivilandPoliticalRights,theConventionontheEliminationofAllFormsofDiscriminationagainstWomen,theConventionontheRightsoftheChildandtheConventionontheRightsofPersonswithDisabilities.34TheeightfundamentalConventionsare1.FreedomofAssociationandProtectionoftheRighttoOrganiseConvention,1948(No.87),2.RighttoOrganiseandCollectiveBargainingConvention,1949(No.98),3.ForcedLabourConvention,1930(No.29)▌(andits2014Protocol),4.AbolitionofForcedLabourConvention,1957(No.105),5.MinimumAgeConvention,1973(No.138),6.WorstFormsofChildLabourConvention,1999(No.182),7.EqualRemunerationConvention,1951(No.100),8.Discrimination(EmploymentandOccupation)Convention,1958(No.111)5469/23KR/am45ANNEXTREE.1.AEN(67a)Humanrightsabusesarecommoninresource-richconflict-affectedandhigh-riskareas.Therefore,suchareasdeservespecificattentionintheduediligencesystemofeconomicoperators.Regulation(EU)No2017/821includesprovisionsforanindicative,non-exhaustive,regularlyupdatedlistofconflict-affectedandhigh-riskareas2.SuchlistisalsorelevantfortheimplementationoftheduediligenceprovisionofthisRegulation.(68)Asregardstheenvironmentalriskcategories,theduediligencepoliciesshouldaddresstherisksin▌relationtoprotectionofthenaturalenvironmentandofthebiologicaldiversityinlinewiththeConventiononBiologicalDiversity35,whichincludesalsotheconsiderationoflocalcommunities,andtheprotectionandthedevelopmentofthosecommunities.Itshouldalsoaddresstherisksinrelationtoclimatechange,inlinewiththeParisAgreement,aswellasenvironmentalriskscoveredbyotherinternationalenvironmentalconventions.(69)ThebatteryduediligenceobligationsontheidentificationandmitigationofsocialandenvironmentalrisksassociatedwithrawmaterialsgoingintobatterymanufacturingshouldcontributetotheimplementationofUNEPResolution19onMineralResourceGovernance,whichrecognizestheimportantcontributionoftheminingsectortowardstheachievementofthe2030AgendaandtheSustainableDevelopmentGoals.35SuchassetoutintheConventiononbiologicaldiversity,availableathttps://www.cbd.int/convention/text/and,inparticular,DecisionCOPVIII/28"VoluntaryguidelinesonBiodiversity-Inclusiveimpactassessment,availableathttps://www.cbd.int/decision/cop/?id=11042.5469/23KR/am46ANNEXTREE.1.AEN(70)OtherEUlegislativeinstrumentsthatlaydownrequirementsregardingsupplychainduediligenceshouldapplyinsofarastherearenospecificprovisionswiththesameobjective,natureandeffectinthisRegulationwhichmaybeadaptedinthelightoffuturelegislativeamendments.Suchinstrumentsmayaddresscivilliabilityofcompaniesfordamagesarisingduetotheirfailuretocomplywithduediligencerequirements.WheresuchinstrumentsdonotornotcompletelyaddresscivilliabilityofduediligencerequirementsofthisRegulation,nationalrulesmayaddresssuchcivilliability.(71)Inordertoadapttodevelopmentsinthebatteryvaluechain,includingtochangesinthescopeandnatureoftherelevantenvironmentalandsocialrisks,aswellastotechnicalandscientificprogressinbatteriesandbatterychemistries,thepowertoadoptactsinaccordancewithArticle290oftheTreatyontheFunctioningoftheEuropeanUnionshouldbedelegatedtotheCommissioninrespectofamendingthelistofrawmaterialsandriskcategoriesandthebatteryduediligencerequirements.5469/23KR/am47ANNEXTREE.1.AEN(72)HarmonisedrulesforwastemanagementarenecessarytoensurethatproducersandothereconomicoperatorsaresubjecttothesamerulesacrosstheMemberStatesintheimplementationoftheextendedproducerresponsibilityforbatteriesandtoensureahighlevelofprotectionofhumanhealthandtheenvironmentacrosstheUnion.Extendedproducerresponsibilitycancontributetoreducingoverallresourceuse,inparticularbyreducingthegenerationofbatterywasteandtheadverseimpactslinkedtothemanagementofbatterywaste.Maximisingseparatecollectionofwastebatteriesandensuringthatallbatteriescollectedarerecycledthroughprocessesthatreachcommonminimumrecyclingefficienciesisnecessarytoattainahighlevelofmaterialrecovery.TheevaluationoftheDirective2006/66/ECfoundthatoneofitsshortcomingsislackofdetailinitsprovisions,leadingtounevenimplementationandcreatingsignificantbarrierstothefunctioningofrecyclingmarketsandsuboptimallevelsofrecycling.Consequently,moredetailedandharmonisedrulesshouldavoiddistortionofthemarketforthecollection,treatmentandrecyclingofwastebatteries,ensureevenimplementationoftherequirementsacrosstheUnion,furtherharmonisationofthequalityofwastemanagementservicesprovidedbyeconomicoperatorsandfacilitatethemarketsofsecondaryrawmaterials.(72a)InordertoensurethatobligationsarisingfromthisRegulationarecarriedoutandtomonitorandverifycomplianceofproducersandproducerresponsibilityorganisationswiththerequirementsofthisRegulation,itisnecessarythatMemberStatesdesignateoneormorecompetentauthorities.5469/23KR/am48ANNEXTREE.1.AEN(73)ThisRegulationbuildsonthewastemanagementrulesandgeneralprincipleslaiddowninDirective2008/98/ECoftheEuropeanParliamentandoftheCouncil36,whichshouldbeadaptedtoreflectthespecificnatureofbatterywaste.Forthecollectionofwastebatteriestobeorganisedinthemosteffectiveway,itisimportantthatthisisdoneincloseconnectiontotheplacewherethebatteriesaresoldinaMemberState,andclosetotheenduser.Wastebatteriesshouldbecollectedseparatelyfromotherwastestreams,suchasmetals,paperandcardboard,glass,plastics,wood,textilesandbio-waste.Also,wastebatteriesmaybecollectedbothtogetherwithwasteelectricalandelectronicequipmentandwithend-of-lifevehicles,bywayofnationalcollectionschemessetuponthebasisofDirective2012/19/EUoftheEuropeanParliamentandoftheCouncil37,andofDirective2000/53/EC.WhilethecurrentRegulationsetsupspecificrulesforbatteriesthereisaneedforacoherentandcomplementaryapproach,buildinguponandfurtherharmonisingexistingwastemanagementstructures.Consequently,andinordertoeffectivelyrealiseextendedproducerresponsibilityrelatedtothewastemanagement,obligationsshouldbelaiddownwithrespecttotheMemberStatewherebatteriesaremadeavailableonthemarketforthefirsttime.36Directive2008/98/ECoftheEuropeanParliamentandoftheCouncilof19November2008onwasteandrepealingcertainDirectives(OJL312,22.11.2008,p.3).37Directive2012/19/EUoftheEuropeanParliamentandoftheCouncilof4July2012onwasteelectricalandelectronicequipment(WEEE)(OJL197,24.7.2012,p.38).5469/23KR/am49ANNEXTREE.1.AEN(74)InordertomonitorthatproducersmeettheirobligationstoensurethewastetreatmentofbatteriesmadeavailableonthemarketforthefirsttimewithintheterritoryofaMemberState,itisnecessarythataregisterisestablishedinandmanagedbythecompetentauthorityineachMemberState.Theinformationintheregistershouldbeaccessibletothoseentitiesthatplayaroleintheverificationofthecompliancewiththeextendedproducerresponsibilityobligationsandtheirenforcement.ThatregistermaybethesameasthenationalregistersetuppursuanttoDirective2006/66/EC.Producersshouldbeobligedtoregister,inordertoprovidethenecessaryinformationtoallowthecompetentauthoritiestomonitorthattheproducerscomplywiththeirobligations.RegistrationrequirementsshouldbesimplifiedacrosstheUnion.(74a)Incaseofstaterunproducerresponsibilityorganisations,wherethereisnorepresentedproducer’smandate,therequirementsprovidedintheRegulationconcerningsuchmandatedonotapply.(75)Inviewofthepolluterpaysprinciple,itisappropriatetolaytheobligationsfortheend-of-lifemanagementofbatteriesonproducerswhichshouldincludeanymanufacturer,importerordistributorwho,irrespectiveofthesellingtechniqueused,includingbymeansofdistancecontractsasdefinedinArticle2(7)ofDirective2011/83/EUoftheEuropeanParliamentandoftheCouncil38,suppliesabatteryforthefirsttimefordistributionoruse,includingwhenincorporatedintoappliances,lightmeansoftransportorvehicles,withintheterritoryofaMemberStateonaprofessionalbasis.38Directive2011/83/EUoftheEuropeanParliamentandoftheCouncilof25October2011onconsumerrights,amendingCouncilDirective93/13/EECandDirective1999/44/ECoftheEuropeanParliamentandoftheCouncilandrepealingCouncilDirective85/577/EECandDirective97/7/ECoftheEuropeanParliamentandoftheCouncil(OJL304,22.11.2011,p.64).5469/23KR/am50ANNEXTREE.1.AEN(76)Producersshouldhaveextendedproducerresponsibilityforthemanagementoftheirbatteriesattheend-of-lifestage.Accordingly,theyshouldfinancethecostsofcollecting,treatingandrecyclingallcollectedbatteries,carryingoutcompositionalsurveysofmixedcollectedmunicipalwaste,reportingonbatteriesandwastebatteries,andofprovidinginformationtoend-usersandwasteoperatorsaboutbatteriesandappropriatere-useandmanagementofwastebatteries.ThenewrulesonextendedproducerresponsibilityunderthisRegulationneedtoensureahighlevelofenvironmentalandhealthprotectionintheEUbymaximisingseparatecollectionofwastebatteriesandensuringthatallcollectedbatteriesarerecycledthroughprocessesthatreachhighrecyclingefficienciesandmaterialrecoveryinlightoftechnicalandscientificprogress.Theobligationsrelatedtoextendedproducerresponsibilityshouldapplytoallformsofsupply,includingdistanceselling.Producersshouldbeabletoexercisethoseobligationscollectively,bymeansofproducerresponsibilityorganisationstakinguptheresponsibilityontheirbehalf.Producersorproducerresponsibilityorganisationsshouldbesubjecttoauthorisationandtheyshoulddocumentthattheyhavethefinancialmeanstocoverthecostsentailedbytheextendedproducerresponsibility.MemberStateswhenlayingdownadministrativeandproceduralrulesofauthorisationofproducersforindividualandproducerresponsibilityorganisationsforcollectivecompliancecoulddifferentiateprocessesforindividualproducersandproducerresponsibilityorganisationstolimittheadministrativeburdenonindividualproducers.InthiscontextpermitsissuedinaccordancewithDirective2008/98/ECmaybeconsideredanauthorisationforinthepurposesofthisRegulation.Wherenecessarytoavoiddistortionoftheinternalmarketandtoensureuniformconditionsforthemodulationofthefinancialcontributionspaidtoproducerresponsibilityorganisationsbyproducers,implementingpowersshouldbeconferredontheCommission.5469/23KR/am51ANNEXTREE.1.AENWastemanagementoperatorscarryingoutcollectionandtreatmentinaccordancewiththisRegulationshouldbesubjecttoaselectionprocedurebyproducersoftherelevantbatteriesorbyproducerresponsibilityorganisationsactingontheirbehalf,inaccordancewithArticles8and8aofDirective2008/98/EC.IncaseofwastemanagementoperationstakingplaceinaMemberStatedifferentthanthatwhereabatterywasmadeavailableonthemarketforthefirsttime,producersshouldcoverthecostsincurredbythewastemanagementoperatorsintheMemberStatewherethewasteoperationstakeplace.InthediscussiononpossibleproposalsforUnionlegislativeactsonend-of-lifevehiclesandwasteelectricalandelectronicequipment,theestablishmentofacross-borderextendedproducersresponsibilitymechanismsforwastebatteries,includingthoseincorporatedintovehiclesorappliances,betweentherelevantactors,shouldbeconsidered.Furthermore,theadoptionofothermeasuresshouldbeconsidered,suchasinformationmanagementandverificationtools,including,asappropriate,authorisedrepresentativesforextendedproducerresponsibility,wastemanagementoperators,producerresponsibilityorganisations,digitalproductpassportandproducerregisters,andnationalvehicleregistrationsystemswhencoveringelectricvehiclebatteries.(76a)Extendedproducerresponsibilityshouldapplytoeconomicoperatorsplacingonthemarketabatterythatresultsfrompreparingforreuse,preparingforrepurpose,repurposingorremanufacturingoperations.Therefore,theeconomicoperatorthatplacedtheoriginalbatteryonthemarketshouldnotbearadditionalcoststhatmayresultfromthewastemanagementarisingfromthesubsequentlifeofthisbattery.Theeconomicoperatorssubjecttoextendedproducerresponsibilitymayestablishacostsharingmechanismbasedontheactualattributionofthewastemanagementcosts.5469/23KR/am52ANNEXTREE.1.AEN(77)ThisRegulationisalexspecialisinrelationtoDirective2008/98/ECforthesefollowingextendedproducerresponsibilityminimumrequirements:collectionandrecyclingtargets,distributortake-back,secondlife.TheMemberstatehavetodefinetheparametersforextendedproducerresponsibilityprovidedbythisRegulation,inaccordancewiththeprovisionsofDirective2008/98/ECandconsistentlywithnationallawtransposingthatDirective.Inaddition,wherethisRegulationdoesnotprovideforfullharmonisationinchapterVII,MemberStatemayprovideforadditionalmeasuresonthesespecifictopicsinaccordancewiththeprovisionsofDirective2008/98/ECandconsistentlywithnationallawtransposingthatDirective.TheseadditionalrulesshouldbeconsistentwiththerulesintheRegulation,butmayfurtherregulatethenon-harmonisedtopicscoveredbytheRegulation.5469/23KR/am53ANNEXTREE.1.AEN(77a)ThisRegulationshouldspecifyhowthetraceabilityoftradersobligationslaiddowninArticle30(1),points(d)and(e),ofRegulation(EU)2022/2065aretobeappliedtoonlineplatformsallowingconsumerstoconcludedistancecontractswithproducersofferingbatteries,includingthoseincorporatedinappliances,lightmeansoftransportorvehicles,toconsumerslocatedintheUnioninrelationtotheregistersofbatteryproducersestablishedpursuanttothisRegulation.InthecontextofthisRegulation,anyproducerofferingbatteries,includingthoseincorporatedinappliances,lightmeansoftransportorvehicles,bymeansofdistancecommunicationdirectlytoconsumerslocatedinaMemberState,whethertheyareestablishedinaMemberStateorathirdcountry,shouldbeconsideredtoconstituteatraderwithinthemeaningofthedefinitionoftraderinRegulation(EU)2022/2065.InlinewithRegulation(EU)2022/2065,providersofonlineplatforms,fallingwithinthescopeofSection4ofChapter3ofRegulation(EU)2022/2065,allowingconsumerstoconcludedistancecontractswithproducersshouldobtainfromthoseproducersinformationontheregisterofproducerswheretheyareregisteredaswellastheirregistrationnumberandaself-certificationcommittingtocomplywiththeextendedproducerresponsibilityrulessetoutinthisRegulation.TheimplementationofthetraceabilityoftradersrulesforthesaleofbatteriesonlinearesubjecttotheenforcementruleslaiddowninChapterIVofRegulation(EU)2022/2065.5469/23KR/am54ANNEXTREE.1.AEN(78)Inordertoensurehighqualityrecyclinginthebatteriessupplychains,boosttheuptakeofqualitysecondaryrawmaterialsandprotecttheenvironment,ahighlevelofcollectionandrecyclingofwastebatteriesshouldbetherule.ThecollectionofwastebatteriesisafundamentalcrucialstepforclosingtheloopforthevaluablematerialscontainedinbatteriesthroughtheirrecyclingandtokeepthebatteriesvaluechaininsidetheUnionandboostitsstrategicautonomyinthissector,thusfacilitatingtheaccesstotherecoveredmaterialsthatcanfurtherbeusedtomanufacturenewproducts.(79)Producersofallbatteriesshouldberesponsibleforfinancingandorganisingtheseparatecollectionofwastebatteries.Theyshoulddosobyestablishingatake-backandcollectionnetworkthatcoversthewholeterritoryoftheMemberStates,thatisclosetotheenduserandthatdoesnotonlytargetareasandbatterieswherethecollectionisprofitable.Thecollectionnetworkshouldincludeanydistributor,authorisedtreatmentfacilityforwasteelectricandelectronicequipmentandend-of-lifevehicles,civicamenitysitesandotheractorsbasedontheirownaccord,suchaspublicauthoritiesandschools.Inordertoverifyandimprovetheeffectivenessofthecollectionnetworkandtheinformationcampaigns,regularcompositionalsurveysatleastatNUTS2level39shouldbecarriedoutonmixedmunicipalwasteandwasteelectricalandelectronicequipmentcollectedtodeterminetheamountofwasteportablebatteriestherein.39Regulation(EC)No1059/2003oftheEuropeanParliamentandoftheCouncilof26May2003ontheestablishmentofacommonclassificationofterritorialunitsforstatistics(NUTS)(OJL15421.6.2003,p.1).5469/23KR/am55ANNEXTREE.1.AEN(80)Batteriesmaybecollectedtogetherwithwasteelectricalandelectronicequipment,bywayofnationalcollectionschemessetuponthebasisofDirective2012/19/EUandwithend-of-lifevehiclesinaccordancewithDirective2000/53/EC.Inthiscase,asanobligatoryminimumtreatmentrequirement,batteriesshouldberemovedfromthecollectedwasteappliancesandend-of-lifevehicles.Aftertheirremoval,batteriesshouldbesubjecttotherequirementsofthisRegulation,notablytheyshouldbecountedtowardstheattainmentofthecollectiontargetforthecategoryofbatteryinquestionandbesubjecttotreatmentandrecyclingrequirementslaiddowninthisRegulation.5469/23KR/am56ANNEXTREE.1.AEN(81)Consideringtheenvironmentalimpactandthelossofmaterialsduetowastebatteriesnotbeingseparatelycollected,andconsequentlynottreatedinanenvironmentallysoundway,thecollectiontargetforportablebatteriesalreadyestablishedunderDirective2006/66/ECshouldcontinuetoapplyandshouldbegraduallyincreased.InviewofthecurrentincreaseinsalesofLMTbatteriesandtheirlongerlifespan,itisrelevanttosetspecificcollectionrateforthiscategoryofbatteriesseparatedfromthecollectionrateforportablebatteries.DuetotheexpecteddevelopmentofthemarketandincreaseoftheestimatedlifetimeofLMTbatteriesandportablebatteries,themethodologytocalculateandverifycollectiontargetsshouldevolveinordertobettercapturetheactualvolumeofwasteLMTbatteriesandwasteportablebatteriesavailableforcollection.Therefore,thepowertoadoptactsinaccordancewithArticle290oftheTreatyontheFunctioningoftheEuropeanUnionshouldbedelegatedtotheCommissioninrespecttoamendsuchmethodologyandtoamendthecollectiontargetsaccordingly.ItiscrucialthatanewavailableforcollectionmethodologymaintainsorincreasesthelevelofenvironmentalambitionwithregardtothecollectionofwasteLMTbatteriesandwasteportablebatteriescomparedtotheexistingmethodology.Basedonafirststudy40,itisestimatedthatacollectiontargetforwasteLMTbatteriesof51%by31December2028and61%by31December2031,calculatedwiththequantitiesofLMTbatteriesmadeavailableonthemarketinaMemberState,correspondtoacollectiontargetforwasteLMTbatteriesof79%by31December2028and85%by31December2031,calculatedwiththequantitiesofLMTbatteriesavailableforcollectioninaMemberState.ThecollectiontargetsforwasteportablebatteriesandwasteLMTbatteriesaretobereviewed.Suchreviewmayalsoaddressthepossibilitytointroducetwosub-categoriesofportablebattery:rechargeableandnon-rechargeable,withseparatecollectionrates.TheCommissionshouldprepareareporttounderpinthesereviews.Inordertomaximisecollectionandreducesafetyrisks,thefeasibilityandpotentialbenefitsofestablishingadepositreturnsystemforbatteries,inparticularforportablebatteriesofgeneraluseshouldbeassessed.NationalandharmonisedUnion-widedepositreturnsystemsshouldbetakenintoaccount.40JRCPublicationsRepository-"AvailableforCollection"studyonalternativecollectiontargetsforwasteportableandlightmeansoftransportbatteries(europa.eu)5469/23KR/am57ANNEXTREE.1.AEN(82)ThecollectionrateofportablebatteriesshouldcontinuetobecalculatedonthebasisofaverageannualsalesintheprecedingyearssoastohavetargetsproportionatetothelevelofbatteryconsumptioninaMemberState.Inordertobestreflectchangesinthecompositionoftheportablebatteriescategory,aswellasinthelifetimeandconsumptionpatternsofbatteries,thepowertoadoptactsinaccordancewithArticle290oftheTreatyontheFunctioningoftheEuropeanUnionshouldbedelegatedtotheCommissioninrespectofamendingthemethodologytocalculateandverifythecollectionrateforportablebatteries,aswellasforlightmeansoftransportbatteries.(82a)TheobligationontheMemberStatestoadoptmeasuresfortheachievementofwasteportablebatteriesandwasteLMTbatteriescollectiontargetsbyproducersand,whereappointed,producerresponsibilityorganisations,reflectsthegeneralprinciplethatMemberStatesaretoensuretheeffectivenessofUnionlaw,includingtheobligationonproducersandproducerresponsibilityorganisationstoachievethecollectiontargetsinquestion.(83)AllSLIbatteries,industrialbatteriesandelectricvehiclesbatteriesshouldbecollectedandforthatpurposetheproducersofsuchbatteriesshouldberequiredtoacceptandtakebackfreeofcharge,allwasteSLIbatteries,wasteindustrialbatteriesandwasteelectricvehiclesbatteriesfromend-users.DetailedreportingobligationsshouldbeestablishedforallactorsinvolvedinthecollectionofwasteSLIbatteries,wasteindustrialbatteriesandwasteelectricvehiclesbatteries.5469/23KR/am58ANNEXTREE.1.AEN(84)InviewofthewastehierarchyasestablishedbyArticle4ofDirective2008/98/ECwhichprioritisesprevention,preparingforre-useandrecyclingandinlinewithArticle11(4)ofDirective2008/98/ECandArticle5(3)(f)ofDirective1999/31/EC41,batteriescollectedshouldnotbedisposedoforbesubjecttoanenergyrecoveryoperation.(85)Anypermittedfacilitycarryingouttreatmentandrecyclingoperationsofbatteriesshouldcomplywithminimumrequirementstopreventnegativeenvironmentalandhumanhealthimpactsandtoallowahighdegreeofrecoveryofmaterialscontainedinbatteries.Directive2010/75/EUoftheEuropeanParliamentandoftheCouncil42regulatesanumberofindustrialactivitiesinvolvedinthetreatmentandrecyclingofwastebatteries,forwhichitensuresspecificpermittingrequirementsandcontrolsreflectingbestavailabletechniques.WhereindustrialactivitiesrelatingtothetreatmentandrecyclingofbatteriesarenotcoveredbyDirective2010/75/EC,operatorsshouldinanycasebeobligedtoapplybestavailabletechniques,asdefinedinArticle3(10)ofthatDirective,andthespecificrequirementslaiddowninthepresentRegulation.Therequirementsregardingthetreatmentandrecyclingofbatteriesshould,whererelevant,beadaptedbytheCommissioninthelightofscientificandtechnicalprogressandemergingnewtechnologiesinwastemanagement.Therefore,thepowertoadoptactsinaccordancewithArticle290oftheTreatyontheFunctioningoftheEuropeanUnionshouldbedelegatedtotheCommissioninrespectofamendingthoserequirements.41CouncilDirective1999/31/ECof26April1999onthelandfillofwaste(OJL182,16.7.1999,p.1).42Directive2010/75/EUoftheEuropeanParliamentandoftheCouncilof24November2010onindustrialemissions(integratedpollutionpreventionandcontrol)(OJL334,17.12.2010,p.17).5469/23KR/am59ANNEXTREE.1.AEN(86)Targetsfortheefficiencyoftherecyclingprocessesandmaterialrecoverytargetsshouldbeestablishedtoensuretheproductionofrecoveredmaterialsofqualityforthebatteryindustry,whileatthesametimeensuringclearandcommonrulesforrecyclersandavoidingdistortionsofcompetitionorotherimpedimentstothesmoothfunctioningoftheinternalmarketforsecondaryrawmaterialsfromwastebatteries.Recyclingefficiencies,asameasureofthetotalamountofmaterialsrecovered,shouldbeestablishedforlead-acidbatteries,nickel-cadmiumbatteriesandlithiumbatteriesandtargetsshouldalsobesetoutforthelevelsofrecoveredcobalt,lead,lithiumandnickelmaterialstoattainahighlevelofmaterialrecoverythroughouttheUnion.TherulesonthecalculationandreportingonrecyclingefficiencieslaiddowninCommissionRegulation(EU)No493/201243shouldcontinuetoapply.Inordertoensureuniformconditionsforthecalculationandverificationofrecyclingefficienciesandrecoveryofmaterialsintherecyclingprocessesforbatteries,implementingpowersshouldbeconferredontheCommissiontotheestablishmentofsuchrules.TheCommissionshouldalsoreviewCommissionRegulation(EU)No493/2012toproperlyreflecttechnologicaldevelopmentsandchangesoccurredinindustrialrecoveryprocesses,toextendtheirscopetocoverexistingandnewtargets,andtoprovidetoolsforthecharacterizationofintermediateproducts.TreatmentandrecyclingfacilitiesshouldbeencouragedtointroducecertifiedenvironmentalmanagementschemesinaccordancewithRegulation(EC)No1221/2009oftheEuropeanParliamentandoftheCouncil44.43CommissionRegulation(EU)No493/2012of11June2012layingdown,pursuanttoDirective2006/66/ECoftheEuropeanParliamentandoftheCouncil,detailedrulesregardingthecalculationofrecyclingefficienciesoftherecyclingprocessesofwastebatteriesandaccumulators(OJL151,12.6.2012,p.9).44Regulation(EC)No1221/2009oftheEuropeanParliamentandoftheCouncilof25November2009onthevoluntaryparticipationbyorganisationsinaCommunityeco-managementandauditscheme(EMAS),repealingRegulation(EC)No761/2001andCommissionDecisions2001/681/ECand2006/193/EC(OJL342,22.12.2009,p.1)5469/23KR/am60ANNEXTREE.1.AEN(87)Itshouldonlybepossibletocarryouttreatment▌outsidetheMemberStateconcernedoroutsidetheUnion,wheretheshipmentofwastebatteriesisincompliancewithRegulation(EC)No1013/2006oftheEuropeanParliamentandoftheCouncil45andCommissionRegulation(EC)No1418/200746andwherethetreatment▌activitiesmeettherequirementsapplicableforthistypeofwastes,accordingtotheirclassificationinCommissionDecision2000/532/EC,asamended.47ThatDecision,asamended,shouldberevisedtoreflectallbatterychemistries,namelyincludingcodesforlithium-ionwastebatteries,inordertoenablepropersortingandreportingoflithium-ionwastebatteries.ThisregulationiswithoutprejudicetothepossibleclassificationofwastebatteriesashazardouswasteunderDirective2008/98/EC.Wheresuchtreatment▌takesplaceoutsidetheUnion,inordertobecountedtowardstherecyclingefficienciesandtargets,thewastemanagementoperatorforwhoseaccountitiscarriedoutshouldbeobligedtoreportonittothecompetentauthorityoftherespectiveMemberStateandtoprovethatthetreatmentiscarriedoutinconditionsequivalenttothoseunderthisRegulationandrelevantenvironmentalandhumanhealthprotectionrequirementsinotherUnionlegislation.Inordertolaydownwhataretherequirementsforsuchtreatmenttobeconsideredequivalent,thepowertoadoptactsinaccordancewithArticle290oftheTreatyontheFunctioningoftheEuropeanUnionshouldbedelegatedtotheCommissioninrespectoflayingdowndetailedrulescontainingcriteriafortheassessmentofequivalentconditions.45Regulation(EC)No1013/2006oftheEuropeanParliamentandoftheCouncilof14June2006onshipmentsofwaste(OJL190,12.7.2006,p.1).46CommissionRegulation(EC)No1418/2007of29November2007concerningtheexportforrecoveryofcertainwastelistedinAnnexIIIorIIIAtoRegulation(EC)No1013/2006oftheEuropeanParliamentandoftheCounciltocertaincountriestowhichtheOECDDecisiononthecontroloftransboundarymovementsofwastesdoesnotapply(OJL316,4.12.2007,p.6).472000/532/EC:CommissionDecisionof3May2000replacingDecision94/3/ECestablishingalistofwastespursuanttoArticle1(a)ofCouncilDirective75/442/EEConwasteandCouncilDecision94/904/ECestablishingalistofhazardouswastepursuanttoArticle1(4)ofCouncilDirective91/689/EEConhazardouswaste,OJL226,6.9.2000,p.3.5469/23KR/am61ANNEXTREE.1.AEN(87a)IntheeventwastebatteriesareexportedfromtheUnionforpreparationforre-use,preparationforrepurposing,orrecycling,MemberStates’competentauthoritiesshouldmakeeffectiveuseofthepowersprovidedforinArticle50(4)ofRegulation(EC)No1013/2006torequiredocumentaryevidencetoascertaincompliancewiththerequirementssetoutinthisRegulation.(88)Industrialbatteriesandelectricvehiclebatteriesthatarenolongerfitfortheinitialpurposeforwhichtheyweremanufacturedmaybeusedforadifferentpurposeasstationaryenergystoragebatteries.Amarketforthesecondlifeofusedindustrialbatteriesandelectricvehiclebatteriesisemergingandinordertosupportthepracticalapplicationofthewastehierarchy,specificrulesshouldthusbedefinedtoallowresponsiblerepurposingofusedbatterieswhiletakingintoaccounttheprecautionaryprincipleandensuringsafetyofuseforend-users.Anysuchusedbatteryshouldundergoanassessmentofitsstateofhealthandavailablecapacitytoascertainitssuitabilityforuseforanyotherthanitsoriginalpurpose.Batteriesthatarefoundtobesuitableforuseotherthanfortheiroriginalpurposeshouldideallyberepurposed.Inordertoensureuniformconditionsfortheimplementationofprovisionsrelatedtotherequirementsthatwasteindustrialbatteriesorwasteelectricvehiclebatteriesshouldfulfiltoceasetobewaste,implementingpowersshouldbeconferredontheCommission.5469/23KR/am62ANNEXTREE.1.AEN(89)Producersanddistributorsshouldbeactivelyinvolvedinprovidinginformationtoend-usersthatbatteriesshouldbecollectedseparately,thatcollectionschemesareavailableandthatend-usershaveanimportantroleinensuringanenvironmentallyoptimalmanagementofwastebatteries.Thedisclosureofinformationtoallend-usersaswellasreportingonbatteriesshouldmakeuseofmoderninformationtechnologies.Theinformationshouldbeprovidedeitherbyclassicalmeans,suchasoutdoors,postersandsocialmediacampaigns,orbymoreinnovativemeans,suchaselectronicaccesstowebsitesprovidedbyQRcodesaffixedtothebattery.SuchinformationshouldbeaccessibleforpersonswithdisabilitiesinaccordancewiththerequirementslaiddowninDirective(EU)2019/882oftheEuropeanParliamentandoftheCouncil(1).(90)Toenabletheverificationofcompliancewithandtheeffectivenessoftheobligationsregardingthecollectionandtreatmentofbatteries,itisnecessarythattherespectiveoperatorsreportbacktothecompetentauthorities.Producersofbatteriesandotherwastemanagementoperatorscollectingbatteriesshouldreportforeachcalendaryear,whereapplicable,thedataonbatteriessoldandwastebatteriescollected.Regardingtreatmentandrecycling,reportingobligationsshouldbeincumbentuponthewastemanagementoperatorsandrecyclersrespectively.5469/23KR/am63ANNEXTREE.1.AEN(91)Foreachcalendaryear,MemberStatesshouldprovidetheCommissionwithinformationontheamountofbatteriessuppliedwithintheirterritoryandtheamountofwastebatteriescollected,bycategoryandchemistry.Withregardtoportablebatteries,dataonbatteriesandwastebatteriesfromlightmeansoftransportshouldbereportedseparatelyinviewoftheneedtogatherdatatoallowforadaptingthecollectiontarget,consideringthemarketshareofsuchbatteriesandtheirspecificpurposeandcharacteristics.Suchinformationshouldbeprovidedelectronicallyandbeaccompaniedbyaqualitycheckreport.InordertoensureuniformconditionsforthereportingofthatdataandinformationtotheCommission,aswellasfortheverificationmethods,implementingpowersshouldbeconferredontheCommission.(92)Foreachcalendaryear,MemberStatesshouldreporttotheCommissionthe▌recyclingefficienciesandthelevelsofrecoveredmaterialsachievedtakingintoaccountalltheindividualstepsoftherecyclingprocessandtheoutputfractions.5469/23KR/am64ANNEXTREE.1.AEN(93)Inordertoenhancetransparencyalongsupplyandvaluechainsforallstakeholders,itisnecessarytoprovideforabatterypassportthatmaximisestheexchangeofinformation,enablingtrackingandtracingofbatteries,providesinformationaboutthecarbonintensityoftheirmanufacturingprocessesaswellastheoriginofthematerialsusedandwhetherrenewablematerialsuchasgraphiteproducedfromligninisused,theircomposition,includingrawmaterialsandhazardouschemicals,repair,repurposinganddismantlingoperationsandpossibilities,andthetreatment,recyclingandrecoveryprocessestowhichthebatterycouldbesubjecttoattheendoftheirlife.Thebatterypassportshouldprovidethepublicwithinformationaboutbatteriesplacedonthemarketandtheirsustainabilityrequirements.Itshouldprovideremanufacturers,second-lifeoperatorsandrecyclerswithup-to-dateinformationfortheirhandlingofbatteriesandspecificactorswithtailoredinformationsuchasonthestateofhealthofbatteries.ItmaysupportmarketsurveillanceauthoritiesincarryingouttheirtasksunderthisRegulation,butdoesnotreplaceormodifytheresponsibilitiesofthemarketsurveillanceauthorities,whoshould,inlinewithRegulation(EU)2019/1020,carryoutchecksoftheinformationcontainedinbatterypassports.5469/23KR/am65ANNEXTREE.1.AEN(93a)Certaininformationinthebatterypassportshouldnotbepublicastheyconcernsensitivecommercialinformationthatisonlyneededbyalimitednumberofpersonswithalegitimateinterest.Thisappliestodismantlinginformation,includingsafety,anddetailedcompositionwhichisessentialforrepairers,remanufacturers,second-lifeoperatorsandrecyclers.Italsoappliestoinformationconcerningindividualbatteries,whichisessentialtothosewhohavepurchasedthebatteryorpartiesactingontheirbehalfforthepurposeofmakingthebatteryavailabletoindependentenergyaggregatorsorenergymarketparticipants,evaluatingtheresidualvalueorremaininglifetimeforfurtheruse,andfacilitatingthepreparingforre-use,preparingforrepurpose,orrepurposingorremanufacturingofthebattery.Resultsoftestreportsshouldonlybeaccessibletonotifiedbodies,marketsurveillanceauthoritiesandtheCommission.(94)Thebatterypassportshouldalloweconomicoperatorstogatherandreuseinamoreefficientwaytheinformationanddataonindividualbatteriesplacedonthemarketandtomakebetterinformedchoicesintheirplanningactivities.Onceitisplacedonthemarketitmayincertaincasesbemorepracticalforanotherlegalpersontoupdateinformationinthepassport,suchasavehiclemanufacturer.Theeconomicoperatorthatplacesthebatteryonthemarketshouldthereforebeallowedtoauthoriseinwrittenformanotheroperatortoactonitsbehalf.Theresponsibilityofcompliancewiththeprovisionsforthebatterypassportshouldliewiththeeconomicoperatorthatplacesthebatteryonthemarket.Inordertoensureuniformconditionsfortheimplementationofthebatterypassport,implementingpowersshouldbeconferredontheCommission.5469/23KR/am66ANNEXTREE.1.AEN(94a)Toensurethatthebatterypassportisflexible,agileandmarket-drivenandevolvinginlinewithbusinessmodels,marketsandinnovation,itshouldbebasedonadecentraliseddatasystem,setupandmaintainedbyeconomicoperators.Toensuretheeffectiveroll-outofthebatterypassport,technicaldesign,datarequirementsandoperationofthebatterypassportshouldadheretoasetofessentialtechnicalrequirements.Suchrequirementsshouldbedevelopedhand-in-handwiththosefordigitalproductpassportsrequiredbyotherUnionlegislationconcerningeco-designforsustainableproducts.Technicalspecifications,forwhichtheEuropeanCommission’sConnectingEuropeFacilityprinciplesfortheeDeliveryNetworkshouldbeconsidered,shouldbeestablishedtoensuretheeffectiveimplementationofthoseessentialrequirements,eitherintheformofharmonisedstandardreferencedintheOfficialJournalor,asafall-backoption,commonspecificationadoptedbytheCommission.Thetechnicaldesignshouldensurethatthebatterypassportcarriesdatainasecureway,respectingprivacyrules.(95)Regulation(EU)2019/1020laysdownthegeneralrulesonmarketsurveillanceandcontrolofproductsplacedontheUnionmarketorenteringtheUnionmarketfromthirdcountries.Inordertoensurethatbatteriesbenefitingfromthefreemovementofgoodsfulfilrequirementsprovidingahighlevelofprotectionofpublicinterestssuchashumanhealth,safety,protectionofpropertyandoftheenvironment,andtoensurefullenforceabilityoftheobligationsinparticularinmattersrelatingtotheduediligencepoliciesunderthisRegulation,thatRegulationshouldalsoapplytobatteriesandeconomicoperatorsconcernedbythisRegulation.Therefore,AnnexIofRegulation(EU)2019/1020shouldbeamendedaccordingly.5469/23KR/am67ANNEXTREE.1.AEN(95a)Regulation(EU)2019/1020requiresmarketsurveillanceauthoritiestoperformappropriatechecksonthecharacteristicsofproductsonanadequatescale.ItempowerstheCommissiontodeterminetheuniformconditionsofchecks,criteriafordeterminationofthefrequencyofchecksandamountofsamplestobecheckedinrelationtocertainproductsorcategoriesofproducts.ThisprovisionalsoappliestobatteriescoveredbythisRegulationwhentheconditionsspecifiedinRegulation(EU)2019/1020aremet.(95b)Regulation(EU)2019/1020introducednewinstrumentstoimprovecomplianceandmarketsurveillance,whicharealsorelevanttobatteries.ItprovidesfortheCommissiontodesignateapublictestingfacilityofMemberStateasUniontestingfacilityforspecificcategoriesofproductsorforspecificrisksrelatedtoacategoryofproducts.TheCommissionshouldincludebatteriesascoveredbythisRegulationinitsnextcallforexpressionofinterestforthedesignationoftheUniontestingfacilitiespursuanttoCommissionimplementingregulation(EU)2022/1267of20July2022specifyingtheproceduresforthedesignationofUniontestingfacilitiesforthepurposesofmarketsurveillanceandverificationofproductcomplianceinaccordancewithRegulation(EU)2019/1020oftheEuropeanParliamentandoftheCouncil[OJL192,21.7.2022,p.21.].Regulation(EU)2019/1020furtherprovidesthatmarketsurveillanceauthoritiesmightcarryoutjointactivitieswithorganisationsrepresentingeconomicoperatorsorendusers,withaviewtopromotingcompliance,identifyingnon-compliance,raisingawarenessandprovidingguidanceinrelationtotherequirementsofthisRegulation.Inthatcontext,MemberStatesormarketsurveillanceauthoritiesmightexploresettingupbatterycompetencecentrestothisend.Themembersoftheadministratecooperation(ADCO)groupformarketsurveillanceofbatteriesshouldtoinformeachotherofsuchactivitiesandpromotebestpractices.5469/23KR/am68ANNEXTREE.1.AEN(96)Batteriesshouldbeplacedonthemarketonlyiftheydonotpresentarisktohumanhealth,safety,propertyortheenvironmentwhenproperlystoredandusedfortheirintendedpurpose,orunderconditionsofusewhichcanbereasonablyforeseen,thatiswhensuchusecouldresultfromlawfulandreadilypredictablehumanbehaviour.(97)Aprocedureshouldexistunderwhichinterestedpartiesareinformedofmeasuresintendedtobetakenwithregardtobatteriespresentingarisktohumanhealth,safety,propertyortheenvironment.ItshouldalsoallowmarketsurveillanceauthoritiesintheMemberStates,incooperationwiththerelevanteconomicoperators,toactatanearlystageinrespectofsuchbatteries.InordertoensureuniformconditionsfortheimplementationofthisRegulation,implementingpowerstoadoptactsshouldbeconferredontheCommissioninordertodeterminewhethernationalmeasuresinrespectofnon-compliantbatteriesarejustifiedornot.(98)ThemarketsurveillanceauthoritiesshouldhavetherighttorequireeconomicoperatorstotakecorrectiveactionsonthebasisoffindingsthateitherthebatteryisnotcompliantwiththerequirementsofthisRegulationortheeconomicoperatorinfringestherulesontheplacingormakingavailableonthemarketofabattery,oronsustainability,safety,labellingandinformationoronsupplychainduediligence.5469/23KR/am69ANNEXTREE.1.AEN(99)Publicprocurementconstitutesanimportantsectorwithregardtoreducingtheimpactsontheenvironmentofhumanactivitiesandtostimulatemarkettransformationtowardsmoresustainableproducts.Contractingauthorities,asdefinedinDirective2014/24/EU48oftheEuropeanParliamentandoftheCouncilandDirective2014/25/EUoftheEuropeanParliamentandoftheCouncil49,andcontractingentitiesasdefinedinDirective2014/25/EUshouldtakeaccountoftheenvironmentalimpactswhenprocuringbatteriesorproductscontainingbatteriesandensureeffectivecompliancewithsocialandenvironmentalrequirementsbytheeconomicoperators,inordertopromoteandstimulatethemarketforcleanandenergy-efficientmobilityandenergy-storageandthuscontributingtotheenvironment,climateandenergypolicyobjectivesoftheUnion.(100)Inordertoestablishtheequivalenceofduediligenceschemesthathavebeendevelopedbygovernments,industryassociationsandgroupingsofinterestedorganisation,implementingpowersshouldbeconferredontheCommission.Inordertoensurethatthelistofrawmaterialsandtheassociatedsocialandenvironmentalrisksarekeptup-to-date,aswelltheconsistencywiththeConflictMineralsRegulationandtheOECDDueDiligenceintermsofobligationsforeconomicoperators,implementingpowersshouldbeconferredontheCommission.48Directive2014/24/EUoftheEuropeanParliamentandoftheCouncilof26February2014onpublicprocurementandrepealingDirective2004/18/EC(OJL94,28.3.2014,p.65)49Directive2014/25/EUoftheEuropeanParliamentandoftheCouncilof26February2014onprocurementbyentitiesoperatinginthewater,energy,transportandpostalservicessectorsandrepealingDirective2004/17/EC(OJL94,28.3.2014,p.243)5469/23KR/am70ANNEXTREE.1.AEN(101)InordertoensureuniformconditionsfortheimplementationoftheCommission’srecognitionofsupplychainduediligenceschemes,implementingpowersshouldbeconferredontheCommission.(102)WhenadoptingdelegatedactsunderthisRegulation,itisofparticularimportancethattheCommissioncarryoutappropriateconsultationsduringitspreparatorywork,includingatexpertlevel,andthatthoseconsultationsbeconductedinaccordancewiththeprincipleslaiddownintheInterinstitutionalAgreementof13April2016onBetterLaw-Making50.Inparticular,toensureequalparticipationinthepreparationofdelegatedacts,theEuropeanParliamentandtheCouncilreceivealldocumentsatthesametimeasMemberStates’experts,andtheirexpertssystematicallyhaveaccesstomeetingsofCommissionexpertgroupsdealingwiththepreparationofdelegatedacts.(103)TheimplementingpowersthatareconferredontheCommissionbythisRegulationandthatdonotrelatetothedeterminationwhethermeasurestakenbyMemberStatesinrespectofnon-compliantbatteriesarejustifiedornotshouldbeexercisedinaccordancewithRegulation(EU)No182/2011oftheEuropeanParliamentandoftheCouncil51.(104)TheadvisoryprocedureshouldbeusedfortheadoptionofanimplementingactinsituationswheretheCommissionascertainsthatanotifiedbodydoesnotmeetornolongermeetstherequirementsforitsnotification,inordertorequestthenotifyingauthoritytotakethenecessarycorrectiveaction,includingwithdrawalofthenotificationifnecessary.50OJL123,12.5.2016,p.151Regulation(EU)No182/2011oftheEuropeanParliamentandoftheCouncilof16February2011layingdowntherulesandgeneralprinciplesconcerningmechanismsforcontrolbyMemberStatesoftheCommission’sexerciseofimplementingpowers(OJL55,28.2.2011,p.13)5469/23KR/am71ANNEXTREE.1.AEN(105)TheCommissionshouldadoptimmediatelyapplicableimplementingactsdeterminingwhetheranationalmeasuretakeninrespectofacompliantbatterythatpresentsariskisjustifiedornotwhere,indulyjustifiedcasesrelatingtotheprotectionofhumanhealth,safety,propertyortheenvironment,imperativegroundsofurgencysorequire.(106)MemberStatesshouldlaydownrulesonpenaltiesapplicabletoinfringementsofthisRegulationandensurethatthoserulesareenforced.Thepenaltiesprovidedforshouldbeeffective,proportionateanddissuasive.Whenimposingpenalties,dueregardshouldbegiventothenature,gravity,scope,intentionalnatureandrepetitionofinfringementandthelevelofcooperationofthenaturalorlegalpersonheldresponsiblewiththecompetentauthority.TheimpositionofpenaltiesshouldcomplywithUnionandnationallaw,includingwithapplicableproceduralsafeguardsandwiththeprinciplesoftheCharterofFundamentalRightsoftheEuropeanUnion.(107)Inviewoftheneedtoensureahighlevelofenvironmentalprotectionandtheneedtotakeintoaccountnewdevelopmentsbasedonscientificfacts,theCommissionshouldsubmittotheEuropeanParliamentandtotheCouncilareportontheimplementationofthisRegulationanditsimpactontheenvironmentandthefunctioningoftheinternalmarket.TheCommissionshouldinitsreportincludeanevaluationofthesustainability,safety,labellingandinformationcriteriaprovisions,thewastebatteriesmanagementmeasuresandthesupplychainduediligencerequirements.Whereappropriate,thereportshouldbeaccompaniedbyaproposaltoamendrelevantprovisionsofthisRegulation.5469/23KR/am72ANNEXTREE.1.AEN(108)ItisnecessarytoprovideforsufficienttimeforeconomicoperatorstocomplywiththeirobligationsunderthisRegulation,andforMemberStatestosetuptheadministrativeinfrastructurenecessaryforitsapplication.TheapplicationofthisRegulationshouldthereforealsobedeferredtoadatewherethosepreparationscanreasonablybefinalised.(109)InordertoallowMemberStatestoadapttheregisterofproducerssetupunderDirective2006/66/ECandtotakethenecessaryadministrativemeasuresregardingtheorganisationoftheauthorisationproceduresbythecompetentauthorities,whilekeepingcontinuityforeconomicoperators,Directive2006/66/ECshouldberepealedasof24monthsafterentryintoforceoftheRegulation.ObligationsunderthatDirectiverelatedtomonitoringandreportingthecollectionrateofportablebatteriesshouldremaininforceuntil31December2023,andtherelatedobligationsforthetransmissionofdatatotheCommissionshouldremaininforceuntil30June2025,andobligationsunderthatDirectiverelatedtomonitoringandreportingtherecyclingefficienciesofrecyclingprocessesshouldremaininforceuntil31December2025,andtherelatedobligationsforthetransmissionofdatatotheCommissionshouldremaininforceuntil30June2027,inordertoensurecontinuityuntilnewcalculationrulesandreportingformatsareadoptedbytheCommissionunderthisRegulation.5469/23KR/am73ANNEXTREE.1.AEN(109a)ItisimportantthatintheimplementationofthisRegulation,environmental,socialandeconomicimpactsareconsidered.Moreover,inordertoensurethatthereisalevelplayingfield,itisimportantthatintheimplementationofthisregulationallrelevantavailabletechnologiesareequallytakenintoconsideration,providedthatthosetechnologiesallowforfullcompliancebybatterieswithanyrelevantrequirementsetoutinthisRegulation.Furthermore,noexcessiveadministrativeburdenshouldbeimposedoneconomicoperators,inparticularonSMEs.(110)SincetheobjectiveofthisRegulation,namelytoguaranteethefunctioningoftheinternalmarketandtoensurethatbatteriesplacedonthemarketaswellastheoperationslinkedtowastebatteriesfulfiltherequirementsprovidingforahighlevelofprotectionofhumanhealth,safety,propertyandtheenvironment,cannotbesufficientlyachievedbytheMemberStatesbutcanrather,byreasonoftheneedforharmonisation,bebetterachievedatUnionlevel,theUnionmayadoptmeasures,inaccordancewiththeprincipleofsubsidiarityassetoutinArticle5oftheTreatyonEuropeanUnion.Inaccordancewiththeprincipleofproportionality,assetoutinthatArticle,thisRegulationdoesnotgobeyondwhatisnecessaryinordertoachievethatobjective,5469/23KR/am74ANNEXTREE.1.AENHAVEADOPTEDTHISREGULATION:ChapterIGeneralprovisionsArticle1Subjectmatterandscope1.ThisRegulationestablishesrequirementsonsustainability,safety,labellingandinformationtoallowtheplacingonthemarketorputtingintoserviceofbatteries,aswellasminimumrequirementsfortheextendedproducerresponsibility,collectionandtreatmentofwastebatteriesandreporting.1a.ThisRegulationlaysdownthebatteryduediligenceobligationsofeconomicoperatorsplacingbatteriesonthemarketorputtingthemintoserviceandrequirementsforgreenpublicprocurementwhenprocuringbatteriesorproductsinwhichbatteriesareincorporated.5469/23KR/am75ANNEXTREE.1.AEN2.ThisRegulationshallapplytoallcategoriesofbatteries,namelyportablebatteries,SLIbatteries,lightmeansoftransportbatteries,electricvehiclebatteriesandindustrialbatteries,regardlessoftheirshape,volume,weight,design,materialcomposition,type,chemistry,useorpurpose.Itshallalsoapplytobatteriesdesignedtobeorincorporatedintooraddedtoproducts.ForthepurposeofchapterII,whenbatteriesplacedonthemarketcanbeconsideredtofallundermorethanonecategory,thestrictestrequirementsprovidedthereofshallapply.2a.Incaseswherebatterycellsorbatterymodulesaremadeavailableforenduse,withoutanyfurtherincorporationorassemblyintolargerbatterypacksorbatteries,theyshallbeconsideredtohavebeenplacedonthemarketasbatteriesforthepurposesofthisregulation,andtherequirementsforthemostsimilarbatterycategoryshallbeapplicable.Incaseswhereitcanbeconsideredthatsuchbatterycellsorbatterymodulesfallundermorethanonebatterycategory,thestrictestrequirementsshallapply.5469/23KR/am76ANNEXTREE.1.AEN3.ThisRegulationshallnotapplytobatteriesdesignedtobeorincorporatedinto:(a)equipmentconnectedwiththeprotectionofMemberStates'essentialsecurityinterests,arms,munitionsandwarmaterial,withtheexclusionofproductsthatarenotintendedforspecificallymilitarypurposes;and(b)equipmentdesignedtobesentintospace.3a.ChaptersIIIandVIIIofthisRegulationshallnotapplytoequipmentspecificallydesignedforthesafetyofnuclearinstallations,asdefinedinArticle3ofCouncilDirective2009/71/Euratom52.Article1aObjectivesTheobjectivesofthisRegulationaretocontributetotheefficientfunctioningoftheinternalmarket,alsowhilepreventingandreducingtheadverseimpactsofbatteriesontheenvironment,andtoprotecttheenvironmentandhumanhealthbypreventingorreducingtheadverseimpactsofthegenerationandmanagementofwastebatteries.52CouncilDirective2009/71/Euratomof25June2009establishingaCommunityframeworkforthenuclearsafetyofnuclearinstallations(OJL172,2.7.2009,p.18).5469/23KR/am77ANNEXTREE.1.AENArticle2DefinitionsForthepurposesofthisRegulation,thefollowingdefinitionsshallapply:(1)'battery’meansanydevicedeliveringelectricalenergygeneratedbydirectconversionofchemicalenergy,havinginternalorexternalstorage,andconsistingofoneormorenon-rechargeableorrechargeablebatterycells,modulesorofpacksofthem,includingabatterythathasbeensubjecttopreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturing;(1a)‘batterypack’meansanysetofbatterycellsormodulesthatareconnectedtogetherorencapsulatedwithinanoutercasing,soastoformacompleteunitthattheend-userisnotintendedtosplituporopen;(1b)‘batterymodule’meansasetofbatterycellsthatareconnectedtogetherorencapsulatedwithinanoutercasingtoprotectthecellsagainstexternalimpact,andwhichismeanttobeusedeitherstand-aloneorincombinationwithothermodules.(2)‘batterycell’meansthebasicfunctionalunitinabatteryconstitutedbyelectrodes,electrolyte,container,terminalsand,ifapplicable,separators,andcontainingtheactivematerialsthereactionofwhichgenerateselectricalenergy;(3)‘activematerials’meansmaterialwhichreactschemicallytoproduceelectricenergywhenthebatterycelldischargesortostoreelectricenergywhenthebatteryisbeingcharged;5469/23KR/am78ANNEXTREE.1.AEN(4)‘non-rechargeablebattery’meansabatterythatisnotdesignedtobeelectricallyrecharged;(5)‘rechargeablebattery’meansabatterythatisdesignedtobeelectricallyrecharged;(6)‘batterywithexternalstorage’meansabatterydesignedtohavetheenergystoredexclusivelyinoneormoreattachedexternaldevices▌;(7)‘portablebattery’meansanybatterythat:-issealed;-weighsbeloworequalto5kg;-isnotdesignedspecificallyforindustrialusesand-isneitheranelectricvehiclebattery,noralightsmeansoftransportbattery,noranSLIbattery;(8)‘portablebatteriesofgeneraluse’meansrechargeableandnon-rechargeableportablebatteriesspecificallyproducedtobeinteroperableandwiththefollowingcommonformats:4,5Volts(3R12),buttoncell,D,C,AA,AAA,AAAA,A23,9Volts(PP3);(9)‘lightmeansoftransportbattery’or‘LMTbattery’meansanybatterythatissealedandweightsbeloworequalto25kg,designedtoprovideelectricpowerforthetractiontowheeledvehiclesthatcanbepoweredbytheelectricmotoraloneorbyacombinationofmotorandhumanpowerincludingtype-approvedvehicleofcategoryLinthemeaningofRegulation(EU)No168/2013,andthatisnotanelectricvehiclebattery;5469/23KR/am79ANNEXTREE.1.AEN(10)‘SLIbattery’meansanybatterydesignedtosupplyelectricpowerforstarter,lighting,orignitionandmayalsobeusedforauxiliaryorbackuppurposesinvehicles,othermeansoftransportormachinery;(11)‘industrialbattery’meansanybattery:-designedspecificallyforindustrialuses,or-intendedforindustrialusesafterbeingsubjecttopreparingforrepurposeorrepurposing,or-anyotherbatterywithaweightabove5kgthatisnotaLMTbattery,anelectricvehiclebatteryoraSLIbattery(12)‘electricvehiclebattery’or'EVbattery'meansanybatteryspecificallydesignedtoprovideelectricpowerforthetractiontohybridorelectricvehiclesofLcategoryasprovidedforinRegulation(EU)No168/2013,andwithaweightabove25kg,ordesignedtoprovideelectricpowerforthetractiontohybridorelectricvehiclesofM,NorOcategoriesasprovidedforinRegulation(EU)2018/858;(13)‘stationarybatteryenergystoragesystem’meansa▌industrialbatterywithinternalstoragespecificallydesignedtostoreanddeliverelectricenergyfromandintothegridorstoreanddeliverelectricenergytoend-user,regardlessofwhereandbywhomthisbatteryisbeingused;5469/23KR/am80ANNEXTREE.1.AEN(14)‘placingonthemarket’meansthefirstmakingavailableofabattery▌ontheUnionmarket;(15)‘makingavailableonthemarket’meansanysupplyofabatteryfordistributionoruseontheUnionmarketinthecourseofacommercialactivity,whetherinreturnforpaymentorfreeofcharge;(16)‘puttingintoservice’meansthefirstuse,foritsintendedpurpose,intheUnion,ofabattery,withouthavingbeenplacedonthemarketpreviously;(17)‘batterymodel’meansaversionofabatteryofwhichallunitssharethesametechnicalcharacteristicsrelevantforsustainabilityandsafetyrequirementsandlabelling,markingandinformationrequirementspursuanttothisRegulationandthesamemodelidentifier;(17a)‘batterypresentingarisk’meansabatteryhavingthepotentialtoaffectadverselyhealthorsafetyofpersons,propertyortheenvironmenttoadegreewhichgoesbeyondthatconsideredreasonableandacceptableinrelationtoitsintendedpurposeorunderthenormalorreasonablyforeseeableconditionsofuseofthebatteryconcerned,includingthedurationofuseand,whereapplicable,itsputtingintoservice,installationandmaintenancerequirements;5469/23KR/am81ANNEXTREE.1.AEN(18)‘carbonfootprint’meansthesumofgreenhousegas(GHG)emissionsandGHGremovalsinaproductsystem,expressedascarbondioxide(CO2)equivalentsandbasedonaProductEnvironmentalFootprint(PEF)studyusingthesingleimpactcategoryofclimatechange;(19)‘economicoperator’meansthemanufacturer,theauthorisedrepresentative,theimporter,thedistributororthefulfilmentserviceprovideroranyothernaturalorlegalpersonwhoissubjecttoobligationsinrelationtomanufacturingbatteries,preparingbatteriesforreuse,preparingbatteriesforrepurpose,repurposing,orremanufacturing,ofbatteries,makingthemavailableorplacingthemonthemarket,includingon-lineplacingonthemarket,orputtingthemintoserviceinaccordancewiththisRegulation;(20)‘independentoperator’meansanaturalorlegalperson▌whoisindependentfromthemanufacturerandtheproducerandisdirectlyorindirectlyinvolvedintherepair,maintenanceorrepurposingofbatteries,andincludewastemanagementoperators,repairers,manufacturersordistributorsofrepairequipment,toolsorspareparts,aswellaspublishersoftechnicalinformation,operatorsofferinginspectionandtestingservices,operatorsofferingtrainingforinstallers,manufacturersandrepairersofequipmentforalternative-fuelvehicles;(21)‘QRcode’meansamachine-readablematrixcodethatlinkstoinformationasrequiredbythisRegulation;5469/23KR/am82ANNEXTREE.1.AEN(22)‘batterymanagementsystem’meansanelectronicdevicethatcontrolsormanagestheelectricandthermalfunctionsofthebatteryinordertoensurethebattery’ssafety,performanceandservicelife,thatmanagesandstoresthedataontheparametersfordeterminingthestateofhealthandexpectedlifetimeofbatterieslaiddowninAnnexVIIandthatcommunicateswiththevehicle,lightmeanoftransportorapplianceinwhichthebatteryisincorporated,orwithapublicorprivatecharginginfrastructure;(23)‘appliance’meansanyelectricalorelectronicequipment,asdefinedbyDirective2012/19/EU,whichisfullyorpartlypoweredbyabatteryoriscapableofbeingso;(24)‘stateofcharge’meanstheavailableenergyinabatteryexpressedasapercentageofratedcapacityasdeclaredbythemanufacturer;(25)‘stateofhealth’meansameasureofthegeneralconditionofarechargeablebatteryanditsabilitytodeliverthespecifiedperformancecomparedwithitsinitialcondition;(25a)‘preparingforrepurpose’meansanyoperation,bywhichpartsoforacompletewastebatteryispreparedsothatitcanbeusedforadifferentpurposeorapplicationthantheonethatitwasoriginallydesignedfor;(26)‘repurposing’meansanyoperationthatresultsinpartsorthecompletebatterythatisnotawastebattery,beingusedforadifferentpurposeorapplicationthantheonethatthebatterywasoriginallydesignedfor;5469/23KR/am83ANNEXTREE.1.AEN(26a)‘remanufacturing’meansanytechnicaloperationonausedbatterythatincludesthedisassemblyandevaluationofallitsbatterymodulesandcellsandtheuseofacertainamountofbatterycellsandmodules,new,usedorrecoveredfromwaste,orotherbatterycomponents,torestorethebatterycapacitytoatleast90%oftheoriginalratedbatterycapacity,andwherethestateofhealthofallindividualbatterycellsishomogeneous,notdifferingmorethan3%fromoneanother,andresultsinthebatterybeingusedforthesamepurposeorapplicationthantheoneforwhichthebatterywasoriginallydesigned;(27)‘manufacturer’meansanynaturalorlegalpersonwhomanufacturesabatteryorhasabatterydesignedormanufactured,andmarketsthatbatteryunderitsownnameortrademarkorputsitintoserviceforitsownpurposes;(28)‘technicalspecification’meansadocumentthatprescribestechnicalrequirementstobefulfilledbyaproduct,processorservice;(29)‘harmonisedstandard’meansastandardasdefinedinArticle2(1)(c)ofRegulation(EU)No1025/2012;(30)‘CEmarking’meansamarkingbywhichthemanufacturerindicatesthatthebatteryisinconformitywiththeapplicablerequirementssetoutinUnionharmonisationlegislationprovidingforitsaffixing;(31)‘accreditation’meansaccreditationasdefinedinArticle2(10)ofRegulation(EC)No765/2008;5469/23KR/am84ANNEXTREE.1.AEN(32)‘nationalaccreditationbody’meansanationalaccreditationbodyasdefinedinArticle2(11)ofRegulation(EC)No765/2008;(33)‘conformityassessment’meanstheprocessdemonstratingwhetherthesustainability,safety,labelling,informationorduediligencerequirementsofthisRegulation▌havebeenfulfilled;(34)‘conformityassessmentbody’meansabodythatperformsconformityassessmentactivitiesincludingcalibration,testing,certificationandinspection;(35)‘notifiedbody’meansaconformityassessmentbodynotifiedinaccordancewithChapterVofthisRegulation;(36)'batteryduediligence'meanstheobligationsoftheeconomicoperator▌,inrelationtoitsmanagementsystem,riskmanagement,thirdpartyverificationsandsurveillancebynotifiedbodiesanddisclosureofinformationwithaviewtoidentifying,preventingandaddressingactualandpotentialsocialandenvironmentalriskslinkedtothesourcing,processingandtradingoftherawmaterialsandsecondaryrawmaterialsrequiredforbatterymanufacturingincludingsuppliersinthechainandtheirsubsidiariesorsubcontractorsthatperformsuchactivities;5469/23KR/am85ANNEXTREE.1.AEN(36aa)‘subsidiary’meansalegalpersonthroughwhichtheactivityofa‘controlledundertaking’asdefinedinArticle2(1),point(f),ofDirective2004/109/ECoftheEuropeanParliamentandoftheCouncil53isexercised;(36ab)‘parentcompany’meansacompanywhichcontrolsoneormoresubsidiarieswithinthemeaningofpoint(36aa);(36b)'conflict-affectedandhigh-riskareas'meansareasinastateofarmedconflictorfragilepost-conflictaswellasareaswitnessingweakornon-existentgovernanceandsecurity,suchasfailedstates,andwidespreadandsystematicviolationsofinternationallaw,includinghumanrightsabuses;(37)‘producer’meansanymanufacturer,importerordistributororothernaturalorlegalpersonwho,irrespectiveofthesellingtechniqueused,includingbymeansofdistancecontractsasdefinedinArticle2(7)ofDirective2011/83/EU,alternatively:(i)isestablishedinaMemberStateandmanufacturesbatteriesunderitsownnameortrademark,orhasbatteriesdesignedormanufacturedandsuppliesthemforthefirsttimeunderitsownnameortrademark,includingthoseincorporatedinappliances,lightmeansoftransportorvehicles,withintheterritoryofthatMemberState;53Directive2004/109/ECoftheEuropeanParliamentandoftheCouncilof15December2004ontheharmonisationoftransparencyrequirementsinrelationtoinformationaboutissuerswhosesecuritiesareadmittedtotradingonaregulatedmarketandamendingDirective2001/34/EC(OJL390,31.12.2004,p.38).5469/23KR/am86ANNEXTREE.1.AEN(ii)isestablishedinaMemberStateandresellswithintheterritoryofthatMemberState,underitsownnameortrademark,batteries,includingthoseincorporatedinappliances,lightmeansoftransportorvehicles,manufacturedbyothers.Aresellerisnotregardedasthe‘producer’ifthebrandofthemanufacturerappearsonthebatteries,asprovidedforinpoint(i);(iii)isestablishedinaMemberStateandsuppliesforthefirsttimeinthisMemberStateonaprofessionalbasis,batteries,includingthoseincorporatedinappliances,lightmeansoftransportorvehicles,fromathirdcountryorfromanotherMemberState;(iv)sellsbatteries,includingthoseincorporatedinappliances,lightmeansoftransportorvehicles,bymeansofdistancecommunicationdirectlytoend-users,thatareeitherprivatehouseholdsorotherthanprivatehouseholds,inaMemberState,andisestablishedinanotherMemberStateorinathirdcountry.(37a)'authorisedrepresentativefortheEPR'meansalegalornaturalpersonestablishedinMemberStatewheretheproducerplacesbatteriesonthemarketandisdifferentfromtheMemberStatewheretheproducerisestablished,andisappointedbytheproducerinaccordancewiththirdsubparagraphofArticle8a(5)ofDirective2008/98/EUforfulfillingtheobligationsofthatproducerunderChapterVIIofthisRegulation;5469/23KR/am87ANNEXTREE.1.AEN(38)‘producerresponsibilityorganisation’meansalegalentitythatfinanciallyorfinanciallyandoperationallyorganisesthefulfilmentofextendedproducerresponsibilityobligationsonbehalfofseveralproducers;(39)‘wastebattery’meansanybatterywhichiswastewithinthemeaningofArticle3(1)ofDirective2008/98/EC;(39a)Batterymanufacturingwastemeansthematerialsorobjectsrejectedduringthebatterymanufacturingprocess,whichcannotbere-usedasanintegralpartinthesameprocessandneedtoberecycled.▌5469/23KR/am88ANNEXTREE.1.AEN(41)‘hazardoussubstance’meansasubstanceclassifiedashazardousasaconsequenceoffulfillingthecriterialaiddowninParts2to5oftheAnnexIofRegulation(EC)No1272/2008oftheEuropeanParliamentandoftheCouncil54▌▌▌▌▌(42)‘treatment’meansanyactivitycarriedoutonwastebatteriesaftertheyhavebeenhandedovertoafacilityforsorting,preparingforre-use,preparingforrepurpose,preparationforrecycling,orrecycling;(42a)‘preparationforrecycling’meanstreatmentofwastebatteriespriortoanyrecyclingprocess,whichshall,interalia,includestorage,handling,dismantlingofbatterypacksorseparationoffractionsthatarenotpartofthebatteryitself;54Regulation(EC)No1272/2008oftheEuropeanParliamentandoftheCouncilof16December2008onclassification,labellingandpackagingofsubstancesandmixtures,amendingandrepealingDirectives67/548/EECand1999/45/EC,andamendingRegulation(EC)No1907/2006(OJL353,31.12.2008,p.1)5469/23KR/am89ANNEXTREE.1.AEN(43)‘voluntarycollectionpoints’meansanynon-profit,commercialorothereconomicundertakingorpublicbodyinvolvedontheirowninitiativeintheseparatecollectionofwasteportablebatteries,bycollectingthewasteportablebatteriesitgeneratesorwhicharegeneratedbyotherend-usersbeforetheyarehandedovertoproducers,toproducerresponsibilityorganisationsortowastemanagementoperatorsforsubsequenttreatment;(44)‘wastemanagementoperator’meansanynaturalorlegalpersondealingonaprofessionalbasiswiththeseparatecollection▌ortreatmentofwastebatteries;(45)‘permittedfacility’meansanyfacilitythatispermittedinaccordancewithDirective2008/98/ECtocarryoutthetreatment▌ofwastebatteries;(46)‘recycler’meansanynaturalorlegalperson▌whocarriesoutrecycling▌inapermittedfacility;(47)‘lifetime’ofabatterymeanstheperiodoftimethatstartswhenthebatteryismanufactured,andendswhenthebatterybecomeswaste;▌▌5469/23KR/am90ANNEXTREE.1.AEN(50)‘recyclingefficiency’ofarecyclingprocessmeanstheratioobtainedbydividingthemassofoutputfractionsaccountingforrecyclingbythemassofthewastebatteriesinputfraction,expressedasapercentage;(51)‘Unionharmonisationlegislation’meansanyUnionlegislationharmonisingtheconditionsforthemarketingofproducts;(52)‘nationalauthority’meansanapprovalauthorityoranyotherauthorityinvolvedinandresponsibleformarketsurveillance▌inaMemberStateinrespectofbatteries;(53)‘authorisedrepresentative’meansanynaturalorlegalpersonestablishedintheUnionwhohasreceivedawrittenmandatefromamanufacturertoactonitsbehalfinrelationtospecifiedtaskswithregardtothemanufacturer’sobligationsundertherequirementsofChapterIVandVIofthisRegulation;(54)‘importer’meansanynaturalorlegalpersonestablishedwithintheUnionwhoplacesabatteryonthemarketfromathirdcountry;(55)‘distributor’meansanynaturalorlegalpersoninthesupplychain,otherthanthemanufacturerortheimporter,whomakesabatteryavailableonthemarket;(55a)‘uniqueidentifier’meansauniquestringofcharactersfortheidentificationofbatteriesthatalsoenablesaweblinktothebatterypassport;▌5469/23KR/am91ANNEXTREE.1.AENThedefinitionsof‘waste’,‘wasteholder’,‘wastemanagement’,‘prevention’,‘collection’,‘separatecollection’,‘extendedproducerresponsibilityscheme’,‘reuse’,‘preparingforre-use’,‘materialrecovery’and‘recycling’laiddowninArticle3ofDirective2008/98/ECshallapply.Thedefinitionsof▌,‘marketsurveillance’,‘marketsurveillanceauthority’,‘fulfilmentserviceprovider’,‘correctiveaction’,‘end-user’,‘recall’and‘withdrawal’,aswellasof‘risk’inrelationtorequirementsofChaptersI,IV,VI,VII,IXandAnnexV,AnnexVIIIandAnnexXIII,laiddowninArticle3ofRegulation(EU)2019/1020shallapply.Thedefinitionsof‘independentaggregator’,‘marketparticipant’and‘energystorage’laiddowninArticle2ofDirective(EU)2019/944shallapply.Thedefinitionof‘onlineplatform’laiddowninArticle3ofRegulation(EU)2022/2065shallapply.5469/23KR/am92ANNEXTREE.1.AENArticle3Freemovement1.MemberStatesshallnot,forreasonsrelatingtosustainability,safety,labellingandinformationrequirementsof▌batteriescoveredbythisRegulation,prohibit,restrictorimpedethemakingavailableonthemarketortheputtingintoserviceofbatteriesthatcomplywiththisRegulation.2.Attradefairs,exhibitions,demonstrationsorsimilarevents,MemberStatesshallnotpreventtheshowingofbatteries,whichdonotcomplywiththisRegulation,providedthatavisiblesignclearlyindicatesthatsuchbatteriesdonotcomplywiththisRegulationandthattheycannotbemadeavailableonthemarketorputintoserviceuntiltheyhavebeenbroughtintoconformity.Duringdemonstrations,therelevanteconomicoperatorshalltakeadequatemeasurestoensurethesafetyofpersons.5469/23KR/am93ANNEXTREE.1.AENArticle4Sustainability,safety,labellingandinformationrequirementsforbatteries1.Batteriesshallonlybeplacedonthemarketorputintoserviceiftheymeet:(a)thesustainabilityandsafetyrequirementssetoutinArticles6to10and12;and(b)thelabellingandinformationrequirementssetoutinChapterIII.2.ForanyaspectsnotcoveredbyChaptersIIandIII,batteriesreferredtoinparagraphs1shallnotpresentarisktohumanhealth,tosafetyofpersons,topropertyortotheenvironment.▌5469/23KR/am94ANNEXTREE.1.AENChapterIISustainabilityandsafetyrequirementsArticle6Restrictionsof▌substances1.InadditiontotherestrictionssetoutinAnnexXVIIofRegulation(EC)No1907/2006andinAnnexIIofDirective2000/53/EC,batteriesshallnotcontain▌substancesforwhichAnnexIcontainsarestrictionunlesstheycomplywiththeconditionsofthatrestriction.2.Incaseofanunacceptablerisktohumanhealthortheenvironment,arisingfromtheuseofasubstanceinthemanufactureofbatteries,orfromthepresenceofasubstance▌inthebatterieswhentheyareplacedonthemarket,orduringtheirsubsequentlifecyclestages,includingduringrepurposingorduringthetreatmentofwastebatteries,thatisnotadequatelycontrolledandneedstobeaddressedonaUnion-widebasis,theCommissionshalladoptadelegatedactinaccordancewiththeprocedurereferredtoinArticle73toamendtherestrictionsinAnnexI,pursuanttotheprocedurelaiddowninArticle71.▌5469/23KR/am95ANNEXTREE.1.AEN4.Restrictionsadoptedpursuanttoparagraph2shallnotapplytotheuseofasubstanceinscientificresearchanddevelopment(ofbatteries)asdefinedinArticle3(23)ofRegulation(EC)No1907/2006.5.Ifarestrictionadoptedpursuanttoparagraph2shallnotapplytoproductandprocessorientedresearchanddevelopment,asdefinedinArticle3(22)ofRegulation(EC)No1907/2006,thisexemption,aswellasthemaximumquantityofthesubstanceexempted,shallbespecifiedinAnnexI.5a.By31December2027,theCommission,assistedbytheEuropeanChemicalsAgency,shallprepareareportonsubstancesofconcern,meaningsubstanceshavingadverseeffectonhumanhealthortheenvironmentorhamperingrecyclingforsafeandhighqualitysecondaryrawmaterials,containedinbatteriesorusedintheirmanufacturing.TheCommissionshallsubmitthereporttotheEuropeanParliamentandtotheCouncildetailingitsfindingsandwillconsidertheappropriatefollow-upmeasuresincludingtheadoptionofthedelegatedactsreferredtointhesecondparagraph.5469/23KR/am96ANNEXTREE.1.AENArticle7Carbonfootprintofelectricvehiclebatteries,lightmeansoftransportandrechargeableindustrialbatteries1.Forrechargeableindustrialbatterieswith▌acapacityabove2kWh,lightmeansoftransportbatteriesandelectricvehiclebatteriesacarbonfootprintdeclarationshallbedrawnup,foreachbatterymodelpermanufacturingplant,inaccordancewiththedelegatedactreferredtointhesecondsubparagraphandcontaining,atleast,thefollowinginformation:(a)administrativeinformationaboutthemanufacturer;(b)informationaboutthebatterymodelforwhichthedeclarationapplies;(c)informationaboutthegeographiclocationofthebatterymanufacturingfacility;(d)thecarbonfootprintofthebattery,calculatedaskgofcarbondioxideequivalentperonekWhofthetotalenergyprovidedbythebatteryoveritsexpectedservicelife;(e)thecarbonfootprintofthebatterydifferentiatedperlifecyclestageasdescribedinpoint4ofAnnexII;5469/23KR/am97ANNEXTREE.1.AEN(f)identificationnumberoftheEUdeclarationofconformityofthebattery;(g)aweblinktogetaccesstoapublicversionofthestudysupportingthecarbonfootprintvaluesreferredtoinpoints(d)and(e).Thecarbonfootprintdeclaration▌shallapplyasof:(a)18monthsafterentryintoforceoftheRegulationor12monthsaftertheentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forelectricvehiclebatteries;(b)30monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceeitherofthedelegatedactortheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forrechargeableindustrialbatteriesexceptthosewithexclusivelyexternalstorage.(c)60monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forLMTbatteries;(d)84monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forrechargeableindustrialbatterieswithexternalstorage;5469/23KR/am98ANNEXTREE.1.AENUntilitbecomesaccessibleviatheQRcodereferredtoinArticle13(5),thecarbonfootprintdeclarationshallaccompanythebattery.TheCommissionshall,nolaterthan6monthsafterentryintoforceoftheRegulationforelectricvehiclebatteriesand18monthsafterentryintoforceoftheRegulationforrechargeableindustrialbatteries,exceptthosewithexternalstorage,42monthsafterentryintoforceoftheRegulationforLMTbatteriesand66monthsforindustrialbatterieswithexternalstorage,adopt:(a)adelegatedactinaccordancewithArticle73tosupplementthisRegulationbyestablishingthemethodologyforcalculationandverificationofthecarbonfootprintofthebatteryreferredtoinpoint(d),inaccordancewiththeessentialelementssetoutinAnnexII;(b)animplementingactestablishingtheformatforthecarbonfootprintdeclarationreferredtointhefirstsubparagraph.ThatimplementingactshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).▌5469/23KR/am99ANNEXTREE.1.AEN2.▌Rechargeableindustrialbatterieswith▌acapacityabove2kWh,LMTbatteriesandelectricvehiclebatteriesshallbearaconspicuous,clearlylegibleandindeliblelabelindicatingthecarbonfootprintofthebatteryreferredtoinpoint(d)ofparagraph1andthecarbonfootprintperformanceclassthattherelevantbatterymodelpermanufacturingplantcorrespondsto.Forbatteriesreferredtoinfirstsubparagraph,thetechnicaldocumentationreferredtoinAnnexVIIIshalldemonstratethatthecarbonfootprintdeclaredandtherelatedclassificationintoacarbonfootprintperformanceclasshavebeencalculatedinaccordancewiththemethodologysetoutinthedelegatedactsadoptedbytheCommissionpursuanttothepoint(a)ofthirdsubparagraphofparagraph1andpoint(a)ofthirdsubparagraph.Thecarbonfootprintperformanceclassrequirementsinthefirstsubparagraphshallapplyasof:(a)36monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forelectricvehiclebatteries;(b)48monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forrechargeableindustrialbatteriesexceptthosewithexclusivelyexternalstorage;5469/23KR/am100ANNEXTREE.1.AEN(c)78monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forLMTbatteries;(d)102monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forrechargeableindustrialbatterieswithexternalstorage.TheCommissionshall,nolaterthan18monthsafterentryintoforceoftheRegulationforelectricvehiclebatteriesand36monthsafterentryintoforceoftheRegulationforrechargeableindustrialbatteriesexceptthosewithexclusivelyexternalstorage,60monthsafterentryintoforceoftheRegulationforLMTbatteriesand84monthsafterentryintoforceoftheregulationforrechargeableindustrialbatterieswithexternalstorage,adopt:(a)adelegatedactinaccordancewithArticle73tosupplementthisRegulationbyestablishingthecarbonfootprintperformanceclassesreferredtointhefirstsubparagraph.Inpreparingthatdelegatedact,theCommissionshalltakeintoaccounttheconditionssetoutinpoint8ofAnnexII;(b)animplementingactestablishingtheformatsforthelabellingreferredtointhefirstsubparagraphandtheformatforthedeclarationonthecarbonfootprintperformanceclassreferredtointhesecondsubparagraph.ThatimplementingactshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).5469/23KR/am101ANNEXTREE.1.AENTheCommissionshall,inaccordancewiththeconditionssetoutinpoint8ofAnnexII,reviewthenumberofperformanceclassesandthethresholdsbetweenthemeverythreeyearsand,whereappropriate,adoptdelegatedactsinaccordancewithArticle73toamendtheminaviewofkeepingthemrepresentativeofthemarketrealityanditsexpecteddevelopment.3.Forrechargeableindustrialbatterieswith▌acapacityabove2kWh,LMTbatteriesandelectricvehiclebatteries,thetechnicaldocumentationreferredtoinAnnexVIIIshalldemonstratethatthedeclaredlifecyclecarbonfootprintvaluefortherelevantbatterymodelpermanufacturingplant,isbelowthemaximumthresholdestablishedinthedelegatedactadoptedbytheCommissionpursuanttothethirdsubparagraph.Thisrequirementforamaximumlifecyclecarbonfootprintthresholdinthefirstsubparagraphshallapplyasof:(a)54monthsafterentryintoforceoftheRegulationor18monthsafterentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forelectricvehiclebatteries;5469/23KR/am102ANNEXTREE.1.AEN(b)66monthsafterentryintoforceoftheRegulationor18monthsafterentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forrechargeableindustrialbatteriesexceptthosewithexclusivelyexternalstorage.(c)96monthsafterentryintoforceoftheRegulationor18monthsafterentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forLMTbatteries;(d)120monthsafterentryintoforceoftheRegulationor18monthsafterentryintoforceeitherofthedelegatedactoroftheimplementingactrespectivelyreferredtoinpoints(a)and(b)ofthethirdsubparagraph,whicheveristhelatest,forrechargeableindustrialbatterieswithexternalstorage.TheCommissionshall,nolaterthan36monthsafterentryintoforceoftheRegulationforelectricvehiclebatteriesand54monthsafterentryintoforceoftheRegulationforrechargeableindustrialbatteries,exceptthosewithexternalstorage,78monthsafterentryintoforceoftheRegulationforLMTbatteriesand102monthsafterentryintoforceoftheRegulationforindustrialbatterieswithexternalstorage,adoptadelegatedactinaccordancewithArticle73tosupplementthisRegulationbydeterminingthemaximumlifecyclecarbonfootprintthresholdreferredtointhefirstsubparagraph.Inpreparingthatdelegatedact,theCommissionshalltakeintoaccounttherelevantconditionssetoutinpoint9ofAnnexII.5469/23KR/am103ANNEXTREE.1.AENTheintroductionofamaximumlifecyclecarbonfootprintthresholdshalltrigger,ifnecessary,areclassificationofthecarbonfootprintperformanceclassesofthebatteriesreferredtoinparagraph2.3a.By31December2030,theCommissionshallassessthefeasibilityofextendingtherequirementsinthisarticletoportablebatteries,andtherequirementreferredtoinparagraph3torechargeableindustrialbatterieswithnominalenergybelow2kWh.Tothatend,theCommissionshallsubmitareporttotheEuropeanParliamentandtheCouncilandconsidertakingtheappropriatemeasures,includingtheadoptionoflegislativeproposals.3b.Therequirementslaiddowninparagraphs1,2and3shallnotapplytoabatterythathasbeensubjecttopreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturing,ifthebatteryhadalreadybeenplacedonthemarketorputintoservicebeforeundergoingsuchoperations.5469/23KR/am104ANNEXTREE.1.AENArticle8Recycledcontentinindustrialbatteries,electricvehiclebatteriesandSLIbatteries1.Fromeither60monthsafterentryintoforceoftheRegulationor24monthsaftertheentryintoforceofthedelegatedactreferredtointhethirdsubparagraph,whicheverislater,industrialbatteries,withacapacityabove2kWh,exceptthosewithexclusivelyexternalstorage,electricvehiclebatteriesandSLIbatteriesthatcontaincobalt,lead,lithiumornickelinactivematerials,shallbeaccompaniedby▌documentationcontaininginformationabouttheshareof,respectively,cobalt,lithiumornickelrecoveredfrombatterymanufacturingwasteorpost-consumerwastepresentinactivematerials,andshareofleadrecoveredfromwastepresentinthebattery,foreachbatterymodelperyearandpermanufacturingplant.Thefirstsubparagraphshallapplytolightmeansoftransportbatteriesthatcontaincobalt,lead,lithiumornickelinactivematerialsfrom120monthsafterentryintoforceoftheRegulation.By36monthsafterentryintoforceoftheRegulation,theCommissionshalladoptadelegatedactinaccordancewithArticle73tosupplementthisRegulationbyestablishingthemethodologyforthecalculationandverificationoftheshareofcobalt,▌lithiumornickelrecoveredfromwastepresentinactivematerials,andshareofleadrecoveredfrombatterymanufacturingwasteorpost-consumerwastepresentinbattery,inthebatteriesreferredtointhefirstandsecondsubparagraphs,andtheformatforthedocumentation.5469/23KR/am105ANNEXTREE.1.AEN2.From96monthsafterentryintoforceoftheRegulation,forindustrialbatterieswithacapacityabove2kWh,exceptthosewithexclusivelyexternalstorage,electricvehicleandSLIbatteriesthatcontaincobalt,lead,lithiumornickelinactivematerials,thetechnicaldocumentationreferredtoinAnnexVIIIshalldemonstratethatthosebatteriescontainthefollowingminimumshareof,respectively,cobalt,lithiumornickelrecoveredfrombatterymanufacturingwasteorpost-consumerwastepresentinactivematerials,andshareofleadrecoveredfromwastepresentinthebattery,foreachbatterymodelperyearandpermanufacturingplant:(a)16%cobalt;(b)85%lead;(c)6%lithium;(d)6%nickel.3.From156monthsafterentryintoforceoftheRegulation,forindustrialbatteries,withacapacityabove2kWh,exceptthosewithexclusivelyexternalstorage,electricvehiclebatteries,lightmeansoftransportbatteriesandSLIbatteriesthatcontaincobalt,lead,lithiumornickelinactivematerials,thetechnicaldocumentationreferredtoinAnnexVIIIshalldemonstratethatthosebatteriescontainthefollowingminimumshareof,respectively,cobalt,lithiumornickelrecoveredfrombatterymanufacturingwasteorpost-consumerwastepresentinactivematerials,andshareofleadrecoveredfromwastepresentinthebattery,foreachbatterymodelperyearandpermanufacturingplant:(a)26%cobalt;(b)85%lead;(c)12%lithium;(d)15%nickel.5469/23KR/am106ANNEXTREE.1.AEN3a.Therequirementslaiddowninparagraphs1,2and3shallnotapplytoabatterythathasbeensubjecttopreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturing,ifthebatteryhadalreadybeenplacedonthemarketorputintoservicebeforeundergoingsuchoperations.4.Aftertheentryintoforceofthedelegatedactunderparagraph1,andnolaterthan31December2028,theCommissionshallassesswhether,duetotheexistingandforecastedavailabilityfor2030and2035ofcobalt,lead,lithiumornickelrecoveredfromwaste,orlackthereof,andinviewoftechnicalandscientificprogress,itisappropriatetorevisethetargetslaiddowninparagraphs2and3.Wherejustifiedandappropriateonthebasisoftheassessmentmadeunderthepreviousparagraph,orbyotherconsiderablechangesinbatterytechnologiesimpactingthetypeofmaterialsrecovered,theCommissionshallbeempoweredtoadopt,by72monthsafterentryintoforceoftheRegulation,adelegatedactinaccordancewithArticle73,toamendthetargetslaiddowninparagraphs2and3.4a.Wherejustifiedandappropriateduetomarketdevelopmentsonbatterychemistryimpactingthetypeofmaterialsthatcanberecovered,theCommissionshallbeempoweredtoadoptdelegatedactsinaccordancewithArticle73,toamendthisRegulationbyinsertingothermaterialsthancobalt,lead,lithiumandnickel,withspecificminimumsharesofrecycledcontentperspecificmaterialinparagraph2and3.5469/23KR/am107ANNEXTREE.1.AENArticle9Performanceanddurabilityrequirementsforportablebatteriesofgeneraluse1.Fromeither60monthsafterentryintoforceoftheRegulationor24monthsaftertheentryintoforceofthedelegatedactreferredtoinparagraph2,whicheverislater,portablebatteriesofgeneraluse,excludingbuttoncells,shallmeettheminimumvaluesfortheelectrochemicalperformanceanddurabilityparameterssetoutinAnnexIIIaslaiddowninthedelegatedactadoptedbytheCommissionpursuanttoparagraph2.2.By48monthsafterentryintoforceoftheRegulation,theCommissionshalladoptadelegatedactinaccordancewithArticle73tosupplementthisRegulationbyestablishingminimumvaluesfortheelectrochemicalperformanceanddurabilityparameterslaiddowninAnnexIIIthatportablebatteriesofgeneraluse,excludingbuttoncells,shallattain.TheCommissionisempoweredtoadoptdelegatedactsinaccordancewithArticle73toamendtheminimumvaluesoraddelectrochemicalperformanceanddurabilityparameterslaiddowninAnnexIIIinviewoftechnicalandscientificprogress.Inpreparingthedelegatedactreferredtointhefirstsubparagraph,theCommissionshallconsidertheneedtoreducethelifecycleenvironmentalimpactofportablebatteriesofgeneraluse,includingtheincreaseoftheresourceefficiencyofportablebatteriesandtakeintoconsiderationrelevantinternationalstandardsandlabellingschemes.5469/23KR/am108ANNEXTREE.1.AENTheCommissionshallalsoensurethattheprovisionslaiddownbythatdelegatedactdonothaveasignificantnegativeimpactonthesafetyandfunctionalityofthosebatteriesortheappliances,lightmeansoftransportorvehiclesintowhichthosebatteriesareincorporated,theaffordabilityandthecostforend-usersandtheindustry’scompetitiveness.▌3.By31December2030,theCommissionshallassessthefeasibilityofmeasurestophaseouttheuseofnon-rechargeableportablebatteriesofgeneraluseinviewofminimisingtheirenvironmentalimpactbasedonthelifecycleassessmentmethodologyandviablealternativesforend-users.Tothatend,theCommissionshallsubmitareporttotheEuropeanParliamentandtotheCouncilandconsidertakingtheappropriatemeasures,includingtheadoptionoflegislativeproposalsforeitherthephaseoutorthesettingofeco-designrequirements.Article10PerformanceanddurabilityrequirementsforLMTbatteries,rechargeableindustrialbatteriesandelectricvehiclebatteries1.From12monthsafterentryintoforceoftheRegulation,LMTbatteries,rechargeableindustrialbatterieswith▌acapacityabove2kWh,andelectricvehiclebatteriesshallbeaccompaniedbyadocumentcontainingvaluesfortheelectrochemicalperformanceanddurabilityparameterslaiddowninPartAofAnnexIV.5469/23KR/am109ANNEXTREE.1.AENForbatteriesreferredtoinfirstsubparagraphthetechnicaldocumentationreferredtoinAnnexVIIIshall▌containanexplanationofthetechnicalspecifications,standardsandconditionsusedtomeasure,calculateorestimatethevaluesfortheelectrochemicalperformanceanddurabilityparameters.Thatexplanationshallinclude,atleast,theelementslaiddowninPartBofAnnexIV.2.Fromeither48monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceofthedelegatedactreferredtoinparagraph3,whicheverislater,rechargeableindustrialbatterieswith▌acapacityabove2kWh,exceptthosewithexclusivelyexternalstorage,shallmeettheminimumvalueslaiddowninthedelegatedactadoptedbytheCommissionpursuanttoparagraph3fortheelectrochemicalperformanceanddurabilityparameterssetoutinPartAofAnnexIV.2a.Fromeither60monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceofthedelegatedactreferredtoinparagraph3a,whicheverislater,LMTbatteriesshallmeettheminimumvalueslaiddowninthedelegatedactadoptedbytheCommissionpursuanttoparagraph3afortheelectrochemicalperformanceanddurabilityparameterssetoutinPartAofAnnexIV.5469/23KR/am110ANNEXTREE.1.AEN2b.Therequirementslaiddowninparagraphs1and2shallnotapplytoabatterythathasbeensubjecttopreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturing,wheretheeconomicoperatorplacingthatbatteryonthemarketorputtingitintoservicedemonstratesthatthebattery,beforeundergoingsuchoperation,hasbeenplacedonthemarketorputintoservicebeforethedatesonwhichthoseobligationsbecomeapplicableinaccordancewiththoseparagraphs.3.By30monthsafterentryintoforceoftheRegulation,theCommissionshalladoptadelegatedactinaccordancewithArticle73tosupplementthisRegulationbyestablishingminimumvaluesfortheelectrochemicalperformanceanddurabilityparameterslaiddowninPartAofAnnexIVthatrechargeableindustrialbatterieswithacapacityabove2kWh,exceptthosewithexclusivelyexternalstorage,shallattain.By42monthsafterentryintoforceoftheRegulation,theCommissionshalladoptadelegatedactinaccordancewithArticle73tosupplementthisRegulationbyestablishingminimumvaluesfortheelectrochemicalperformanceanddurabilityparameterslaiddowninPartAofAnnexIVthatLMTbatteriesshallattain.5469/23KR/am111ANNEXTREE.1.AENInpreparingthedelegatedactsreferredtointhefirstandsecondsubparagraphs,theCommissionshallconsidertheneedtoreducethelifecycleenvironmentalimpactofrechargeableindustrialbatterieswith▌acapacityabove2kWh,exceptofthosewithexclusivelyexternalstorage,andofLMTbatteries,andensurethattherequirementslaiddownthereindonothaveasignificantnegativeimpactonthefunctionalityofthosebatteriesortheapplianceslightmeansoftransportorvehiclesintowhichthosebatteriesareincorporated,itsaffordabilityandindustry’scompetitiveness.▌3a.TheCommissionshallbeempoweredtoadoptdelegatedactsinaccordancewithArticle73toamendtheelectrochemicalperformanceanddurabilityparameterslaiddowninAnnexIVinviewofmarketdevelopmentandtechnicalandscientificprogress,includinginparticularrelatedtotechnicalspecificationsoftheinformalUNECEWorkingGrouponElectricVehiclesandtheEnvironment.Article11RemovabilityandreplaceabilityofportablebatteriesandLMTbatteries1.From42monthsafterentryintoforceoftheRegulation,anynaturalorlegalpersonthatplacesonthemarketproductsincorporatingportablebatteriesshallensurethatthosebatteriesarereadilyremovableandreplaceablebytheend-useratanytimeduringthelifetimeoftheproduct.Thefirstsentenceshallonlyapplytobatteriesasawhole,andnottoindividualcellsorotherpartsincludedinthebatteries.5469/23KR/am112ANNEXTREE.1.AENAportablebatteryshallbeconsideredreadilyremovablebytheend-userwhereitcanberemovedfromaproductwiththeuseofcommerciallyavailabletools,withoutrequiringtheuseofspecializedtools,unlessprovidedfreeofchargewiththeproduct,proprietarytools,thermalenergy,orsolventstodisassemble.Anynaturalorlegalpersonthatplacesonthemarketproductsincorporatingportablebatteriesshallensurethatthoseproductsareaccompaniedwithinstructionsandsafetyinformationontheuse,removalandreplacementofthebatteries.Theseinstructionsandsafetyinformationshallbemadeavailablepermanentlyonlineonapubliclyavailablewebsiteinaneasilyunderstandablewayforendusers.Thisparagraphshallbewithoutprejudicetoanyspecificprovisionsensuringahigherlevelofprotectionoftheenvironmentandhumanhealthrelatingtotheremovabilityandreplaceabilityofportablebatteriesbyend-userslaiddowninanyUnionlegislativeactonelectricandelectronicequipmentasdefinedinArticle3(a)ofDirective2012/19/EU55.55Directive2012/19/EUoftheEuropeanParliamentandoftheCouncilof4July2012onwasteelectricalandelectronicequipment(WEEE)(recast)TextwithEEArelevance,OJL197,24.7.2012,p.38–71.5469/23KR/am113ANNEXTREE.1.AEN2.Bywayofanexceptiontoparagraph1,thefollowingproductsincorporatingportablebatteriesmaybedesignedinsuchawayastomakethebatteryremovableandreplaceableonlybyindependentprofessionals:(a)appliancesspecificallydesignedtooperateprimarilyinanenvironmentthatisregularlysubjecttosplashingwater,waterstreamsorwaterimmersionandthatareintendedtobewashableorrinseable,(b)professionalmedicalimagingandradiotherapydevices,asdefinedinArticle2(1)ofRegulationoftheEuropeanParliamentandoftheCouncil(EU)2017/74556,andin-vitrodiagnosticmedicaldevices,asdefinedinArticle2(2)ofRegulation[oftheEuropeanParliamentandoftheCouncil](EU)2017/74657.Thederogationsetoutinpointa)ofthisparagraphisonlyapplicablewherethisisrequiredtoensurethesafetyoftheuserandtheappliance.56Regulation(EU)2017/746oftheEuropeanParliamentandoftheCouncilof5April2017oninvitrodiagnosticmedicaldevicesandrepealingDirective98/79/ECandCommissionDecision2010/227/EU(TextwithEEArelevance.),OJL117,5.5.2017,p.176–332.57Regulation(EU)2017/746oftheEuropeanParliamentandoftheCouncilof5April2017oninvitrodiagnosticmedicaldevicesandrepealingDirective98/79/ECandCommissionDecision2010/227/EU(TextwithEEArelevance.),OJL117,5.5.2017,p.176–332.5469/23KR/am114ANNEXTREE.1.AEN3.Theobligationssetoutinparagraph1shallnotapplywherecontinuityofpowersupplyisnecessaryandapermanentconnectionbetweentheproductandtherespectiveportablebatteryisrequiredtoensurethesafetyoftheuserandtheapplianceor,forproductsthatcollectandsupplydataastheirmainfunction,fordataintegrityreasons.▌▌4.TheCommissionisempoweredtoadoptdelegatedactsinaccordancewithArticle73toamendparagraph2byaddingfurtherproductstobeexemptedfromtheremovabilityandreplaceabilityrequirementslaiddowninparagraph1.Thedelegatedactshallbeadoptedonlyonaccountoftechnicalandmarketdevelopments,andprovidedthattherearescientificallygroundedconcernsoverthesafetyofendusersremovingorreplacingtheportablebattery,orincaseswheretheremovalorthereplacementofthebatterybyend-usersriskstobeinviolationofanyproductsafetyrequirementsprovidedforbyapplicableUnionlegislation.5.From42monthsafterentryintoforceoftheRegulation,anynaturalorlegalpersonthatplacesonthemarketproductsincorporatingLMTbatteriesshallensurethatthosebatteries,aswellasindividualbatterycellsincludedinthebatterypack,arereadilyremovableandreplaceablebyanindependentprofessionalatanytimeduringthelifetimeoftheproduct.5469/23KR/am115ANNEXTREE.1.AENAportableorLMTbatteryisreadilyreplaceablewhere,afteritsremovalfromanapplianceoralightmeanoftransport,itcanbesubstitutedbyasimilarbattery,withoutaffectingthefunctioningortheperformanceorsafetyofthatapplianceorlightmeanoftransport.AnynaturalorlegalpersonthatplacesonthemarketproductsincorporatingportableorLMTbatteriesshallensurethatbatteriesshallbeavailableassparepartsoftheequipmenttheypowerforaminimumof5yearsafterplacingthelastunitofthemodelonthemarket,withareasonableandnon-discriminatorypriceforindependentprofessionalsandendusers.6.Softwareshallnotbeusedtoaffectthereplacementofaportablebatteryorlightmeansoftransportbatteryoroftheirkeycomponentswithanothercompatiblebatteryorkeycomponents.7.TheCommissionshallpublishguidelinestofacilitateharmonisedapplicationoftheprovisionssetoutinthisArticle.Article12Safetyofstationarybatteryenergystoragesystem1.Stationarybatteryenergystoragesystemsplacedonthemarketorputintoserviceshallbesafeduringtheirnormaloperationanduse▌.5469/23KR/am116ANNEXTREE.1.AEN1a.By12monthsafterentryintoforceoftheRegulation,thetechnicaldocumentationreferredtoinAnnexVIIIshall:(a)demonstratethatthebatteriesreferredtoinparagraph1arecompliantwiththerequirementsinaccordancewithparagraph1andincludeevidencethattheyhavebeensuccessfullytestedforthesafetyparameterslaiddowninAnnexV,forwhichstate-of-the-arttestingmethodologiesshallbeused.Thesafetyparametersonlyapplyinsofarwhenthecorrespondinghazardexistsforthebatteryinquestionwhenitisusedundertheconditionsforeseenbythemanufacturer.(b)includeanassessmentofpossibleadditionalsafetyhazards,notaddressedinAnnexV,ofthebatteryenergystoragesystem.(c)includeevidencethattheadditionalhazardshavebeensuccessfullymitigatedandtestedforwhichstate-of-the-arttestingmethodologiesshallbeused;(d)includemitigationinstructionsincasetheidentifiedhazardsmayoccur,forexampleafireorexplosion.Thetechnicaldocumentationshallbereviewedifabatteryispreparedforre-use,preparedforrepurpose,remanufacturedorrepurposed;2.TheCommissionshallbeempoweredtoadoptdelegatedactsinaccordancewithArticle73toamendthesafetyparameterslaiddowninAnnexVinviewoftechnicalandscientificprogress.5469/23KR/am117ANNEXTREE.1.AENChapterIIILabelling,markingandinformationrequirementsArticle13Labellingandmarkingofbatteries1.From36monthsaftertheentryintoforceofthisRegulationor18monthsaftertheentryintoforceoftheimplementingactreferredtoinparagraph7,whicheverislater,batteriesshallbemarkedwithalabelcontainingthegeneralinformationaboutlaiddowninPartAofAnnexVI.2.Fromeither36monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceoftheimplementingactreferredtoinparagraph7,whicheverislater,rechargeableportablebatteries,LMTbatteriesandSLIbatteriesshallbemarkedwithalabelcontaininginformationontheircapacity.5469/23KR/am118ANNEXTREE.1.AEN2a.Fromeither36monthsafterentryintoforceoftheRegulationor18monthsaftertheentryintoforceoftheimplementingactreferredtoinparagraph7,whicheverislater,non-rechargeableportablebatteriesshallbemarkedwithalabelcontaininginformationontheirminimumaveragedurationwhenusedinspecificapplicationsandwithalabelindicating‘non-rechargeable’.3.From24monthsafterentryintoforceoftheRegulation,allbatteriesshallbemarkedwiththesymbolindicating‘separatecollection’inaccordancewiththerequirementslaiddowninPartBofAnnexVI.Thesymbolshallcoveratleast3%oftheareaofthelargestsideofthebatteryuptoamaximumsizeof5×5cm.Inthecaseofcylindricalbatterycells,thesymbolshallcoveratleast1,5%ofthesurfaceareaofthebatteryandshallhaveamaximumsizeof5×5cm.Wherethesizeofthebatteryissuchthatthesymbolwouldbesmallerthan0,47×0,47cm,thebatterydoesnotneedtobemarkedbutasymbolmeasuringatleast1×1cmshallbeprintedonthepackaging.5469/23KR/am119ANNEXTREE.1.AEN4.Allbatteriescontainingmorethan0,002%cadmiumormorethan0,004%lead,shallbemarkedwiththechemicalsymbolforthemetalconcerned:CdorPb.ThesymbolindicatingtheheavymetalcontentshallbeprintedbeneaththesymbolshowninPartBofAnnexVIandshallcoveranareaofatleastone-quarterthesizeofthatsymbol.5.From42monthsafterentryintoforceoftheRegulation,allbatteriesshallbemarkedwithaQRcodeinaccordancewithPartCofAnnexVI.TheQRcodeshallprovideaccesstothefollowing▌:(a)forLMTbatteries,industrialbatterieswithacapacityabove2kWhandelectricvehiclesbatteries,thebatterypassportinaccordancewithArticle65.(b)forotherbatteriesbylinkingtotheapplicableinformationreferredtoinparagraphs1to4ofthisarticle,thedeclarationofconformityreferredtoinArticle18,thereportreferredtoinArticle45e(3)andtheinformationregardingthepreventionandmanagementofwastebatterieslaiddowninArticle60(1)points(a)to(f).▌▌▌▌▌5469/23KR/am120ANNEXTREE.1.AEN(h)forSLIbatteries,▌theamountofcobalt,lead,lithiumornickelrecoveredfromwasteandpresentinactivematerialsinthebattery,inaccordancewithArticle8;▌▌Thisinformationshallbecomplete,up-to-dateandaccurate.6.LabelsandQRcodereferredtoinparagraphs1to5shallbeprintedorengravedvisibly,clearlylegiblyandindeliblyonthebattery.Wherethisisnotpossibleornotwarrantedonaccountofthenatureandsizeofthebattery,labelsandQRcodeshallbeaffixedtothepackagingandtothedocumentsaccompanyingthebattery.6a.TheCommissionisempoweredtoadoptdelegatedactsinaccordancewithArticle73toamendtheRegulationtoprovideforalternativetypesofsmartlabelsinsteadoforinadditiontotheQR-code,inviewoftechnicalandscientificprogress.6b.Batteriesthathavebeensubjecttopreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturingshallbemarkedwithnewlabelsormarkingsinaccordancewiththisArticle,andcontaininginformationontheirchangeofstatusinaccordancewithArticle65(3)(b),whichshallbeaccessiblethroughQRcode.5469/23KR/am121ANNEXTREE.1.AEN7.TheCommissionshall,by24monthsafterentryintoforceoftheRegulation,adoptimplementingactstoestablishharmonisedspecificationsforthelabellingrequirementsreferredtoinparagraphs1,2and2a.ThoseimplementingactsshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).Article14Informationonthestateofhealthandexpectedlifetimeofbatteriesusingabatterymanagementsystem1.Asfrom12monthsafterthedateofentryintoforce,stationarybatteryenergystoragesystems,LMTbatteriesandelectricvehiclebatteriesthatuseabatterymanagementsystemshallcontainintheirbatterymanagementsystemup-to-datedataontheparametersfordeterminingthestateofhealthandexpectedlifetimeofbatteriesaslaiddowninAnnexVII.2.Read-onlyaccesstothevaluesdataoftheparametersreferredtoinAnnexVIIthroughthebatterymanagementsystemreferredtoinparagraph1shallbeprovided,respectingintellectualpropertyrightsofbatterymanufacturer,onanon-discriminatorybasistothelegalornaturalpersonwhohaslegallypurchasedthebattery,includingindependentoperatorsorwastemanagementoperators,oranythirdpartyactingontheirbehalfatanytimeforthepurposeof:5469/23KR/am122ANNEXTREE.1.AEN(-a)makingthebatteryavailabletoindependentaggregatorsormarketparticipantsthroughenergystorage;(a)evaluatingtheresidualvalueorremaininglifetimeofthebatteryandcapabilityforfurtheruse,basedontheestimationofthestateofhealth;(b)facilitatingthepreparingforre-use,preparingforrepurpose,orrepurposingorremanufacturingofthebattery.▌2a.Thebatterymanagementsystemshallalsoincludeasoftwareresetfunction,incaseeconomicoperatorscarryingoutpreparingforreuse,preparingforrepurpose,repurposingorremanufacturingneedtouploadadifferentbatterymanagementsystemsoftware.Ifsuchsoftwareresetfunctionisused,theoriginalbatterymanufacturershallnotbeheldliableforanybreachtothesafetyorfunctionalityofthebatterythatcouldbeattributedtoaBMSsoftwareuploadedafterthatbatterywasplacedonthemarket.2b.TheCommissionisempoweredtoadoptadelegatedactinaccordancewithArticle73toamendtheparametersfordeterminingthestateofhealthandexpectedlifetimeofbatterieslaiddowninAnnexVIIinviewofmarketdevelopmentsandtechnicalandscientificprogressandtoensuresynergieswithparameterssetinUnitedNations(UN)GlobalTechnicalRegulation(GTR22)onIn-vehicleBatteryDurabilityforElectrifiedVehicles,withdueregardtotheintellectualpropertyrightsofbatterymanufacturer.3.TheprovisionsofthisArticleshallapplyinadditiontothoselaiddowninUnionlawontypeapprovalofvehicles.5469/23KR/am123ANNEXTREE.1.AENChapterIVConformityofbatteriesArticle15Presumptionofconformityofbatteries1.ForthepurposesofcomplianceandverificationofcomplianceofbatterieswiththerequirementssetoutinArticles9,10,12,13and14and65aofthisRegulation,test,measurementsandcalculationsshallbemadeusing▌reliable,accurateandreproduciblemethods,whichtakeintoaccountthegenerallyrecognisedstate-of-the-artmethods,andwhoseresultsaredeemedtobeoflowuncertainty,includingmethodssetoutinstandards,thereferencenumbersofwhichhavebeenpublishedforthatpurposeintheOfficialJournaloftheEuropeanUnion.1a.Harmonisedstandardsshallaimtosimulatereal-lifeusageasfaraspossiblewhilemaintainingstandardtests.2.BatterieswhichareinconformitywithharmonisedstandardsorpartsthereofthereferencesofwhichhavebeenpublishedintheOfficialJournaloftheEuropeanUnionshallbepresumedtobeinconformitywiththerequirementssetoutinArticles9,10,12,13,14and65atotheextentthatthoserequirementsarecoveredbysuchharmonisedstandardsorpartsthereof,and,ifapplicable,totheextentthattheminimumvaluesestablishedforthoserequirementsareattained.▌5469/23KR/am124ANNEXTREE.1.AENArticle16Commonspecifications1.TheCommissionmayadoptinexceptionalcases,implementingactslayingdowncommonspecificationsfortherequirementssetoutinArticles9,10,12,13,14,65aortestsreferredtoinArticle15(1),where:(a)thoserequirementsortestsarenotcoveredbyharmonisedstandardsorpartsthereof,thereferencesofwhichhavebeenpublishedintheOfficialJournaloftheEuropeanUnion;and(b)theCommissionhasrequestedoneormoreEuropeanstandardisationorganisationtodraftaharmonisedstandardforthoserequirementsortests;and(c)atleastoneofthefollowingconditionshasalsobeenfulfilled:-therequesthasnotbeenacceptedbyanyoftheEuropeanstandardisationorganisations;or-theCommissionobservesunduedelaysintheadoptionofrequestedharmonisedstandards▌;or-aEuropeanstandardisationorganisationhasdeliveredastandardthatdoesnotentirelycorrespondwiththerequestoftheCommission.▌5469/23KR/am125ANNEXTREE.1.AENThoseimplementingactsshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).Intheearlypreparationofthedraftimplementingactestablishingthecommonspecification,theCommissionshallgathertheviewsofrelevantbodiesorexpertgroupsestablishedunderrelevantsectorialUnionlaw,andshalldulyconsultallrelevantstakeholders.Basedonthatconsultation,theCommissionshallpreparethedraftimplementingact.2.BatterieswhichareinconformitywithcommonspecificationsorpartsthereofshallbepresumedtobeinconformitywiththerequirementssetoutinArticles9,10,12,13,14and65atotheextentthatthoserequirementsarecoveredbythosecommonspecificationsorpartsthereof,and,ifapplicable,totheextentthattheminimumvaluesestablishedforthoserequirementsareattained.3.WhereaharmonisedstandardisadoptedbyanEuropeanstandardisationorganisationandproposedtotheCommissionforthepublicationofitsreferenceintheOfficialJournaloftheEuropeanUnion,theCommissionshallassesstheharmonisedstandardinaccordancewithRegulation1025/2012.WhenreferenceofaharmonisedstandardispublishedintheOfficialJournaloftheEuropeanUniontheCommissionshallrepealimplementingactsreferredtoinparagraph1,orpartsthereofwhichcoverthesamerequirementsortestsreferredtoinparagraph1.5469/23KR/am126ANNEXTREE.1.AENArticle17Conformityassessmentprocedures▌2.ConformityassessmentofbatterieswiththerequirementssetoutinArticles6,9,10,and12to14shallbecarriedoutinaccordancewithoneofthefollowingprocedures:Forbatteriesmanufacturedinseries:(a)‘ModuleA-Internalproductioncontrol’,setoutinPartAofAnnexVIIIor(b)‘ModuleD1-Qualityassuranceoftheproductionprocess’,setoutinPartBofAnnexVIII.Forbatteriesnotmanufacturedinseries:(a)‘ModuleA-Internalproductioncontrol’,setoutinPartAofAnnexVIIIor(b)‘ModuleG-Conformitybasedonunitverification’,setoutinPartCofAnnexVIII.5469/23KR/am127ANNEXTREE.1.AEN3.ConformityassessmentofbatterieswithrequirementssetoutinArticles7and8shallbecarriedoutinaccordancewithoneofthefollowingprocedures:(a)‘ModuleD1-Qualityassuranceoftheproductionprocess’setoutinPartBofAnnexVIIIforbatteriesmanufacturedinseries;or(b)‘ModuleG–Conformitybasedonunitverification’setoutinPartCofAnnexVIIIforbatteriesnotmanufacturedinseries.▌4a.Anadditionalconformityassessmentofbatteriesthathavebeensubjecttopreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturing,shallbecarriedoutinaccordancewiththe‘ModuleA-Internalproductioncontrol’,setoutinPartAofAnnexVIII,consideringtherequirementssetoutinArticles6,9,10and12to14.5.RecordsandcorrespondencerelatingtotheconformityassessmentproceduresofbatteriesshallbedrawnupintheofficiallanguageorlanguagesoftheMemberStatewherethenotifiedbodycarryingouttheconformityassessmentprocedures▌isestablished,orinalanguageorlanguagesacceptedbythatbody.5469/23KR/am128ANNEXTREE.1.AENArticle18EUdeclarationofconformity1.TheEUdeclarationofconformityshallstatethatthefulfilmentoftherequirementssetoutinArticles6to10and12to14hasbeendemonstrated.2.TheEUdeclarationofconformityshallhavethemodelstructuresetoutinAnnexIX,shallcontaintheelementsspecifiedintherelevantmodulessetoutinAnnexVIIIandshallbeupdated,ifnecessary.ItshallbetranslatedintothelanguageorlanguagesrequiredbytheMemberStateinwhichthebatteryisplacedormadeavailableonthemarketorputintoservice.Itshallbedrawnupinelectronicformatandwhererequested,itshallbeprovidedinpaperformat.3.Whereabattery▌issubjecttomorethanoneUnionactrequiringanEUdeclarationofconformity,asingleEUdeclarationofconformityshallbedrawnupinrespectofallsuchUnionacts.ThatdeclarationshallstatetheUnionactsconcernedandtheirpublicationreferences.3a.BydrawinguptheEUdeclarationofconformity,themanufacturershallassumeresponsibilityforthecomplianceofthebatterywiththerequirementslaiddowninthisRegulation.3b.Withoutprejudicetoparagraph3,asingleEUdeclarationofconformitymaybemadeupofoneormoreindividualEUdeclarationsofconformityalreadydrawnupincompliancewithadifferentUnionact,inordertoreducetheadministrativeburdenoneconomicoperators.5469/23KR/am129ANNEXTREE.1.AENArticle19GeneralprinciplesoftheCEmarkingTheCEmarkingshallbesubjecttothegeneralprinciplessetoutinArticle30ofRegulation(EC)No765/2008.Article20RulesandconditionsforaffixingtheCEmarking1.TheCEmarkingshallbeaffixedvisibly,legiblyandindeliblytothebattery.Wherethatisnotpossibleornotwarrantedduetothenatureofthebattery,itshallbeaffixedtothepackagingandtothedocumentsaccompanyingthebattery.2.TheCEmarkingshallbeaffixedbeforethebatteryisplacedonthemarketorputintoservice.3.TheCEmarkingshallbefollowedbytheidentificationnumberofthenotifiedbodywhererequiredunderAnnexVIII.Thatidentificationnumbershallbeaffixedbythenotifiedbodyitselfor,underitsinstructions,bythemanufacturerorbyitsauthorisedrepresentative.5469/23KR/am130ANNEXTREE.1.AEN4.TheCEmarkingandtheidentificationnumberreferredtoinparagraph3maybefollowed,ifapplicable,byanypictogramorothermarkindicatingaspecialrisk,useoranydangerlinkedtotheuse,storage,treatmentortransportofthebattery.5.MemberStatesshallbuilduponexistingmechanismstoensurecorrectapplicationoftheregimegoverningtheCEmarkingandshalltakeappropriateactionintheeventofimproperuseofthatmarking.ChapterVNotificationofconformityassessmentbodiesArticle21Notification1.MemberStatesshallnotifytheCommissionandtheotherMemberStatesofconformityassessmentbodiesauthorisedtocarryoutconformityassessmentinaccordancewiththisRegulation.5469/23KR/am131ANNEXTREE.1.AENArticle22Notifyingauthorities1.MemberStatesshalldesignateanotifyingauthoritythatshallberesponsibleforsettingupandcarryingoutthenecessaryproceduresfortheassessmentandnotificationofconformityassessmentbodiesandthemonitoringofnotifiedbodies,includingcompliancewithArticle27.2.MemberStatesmaydecidethattheassessmentandmonitoringreferredtoinparagraph1shallbecarriedoutbyanationalaccreditationbodywithinthemeaningofandinaccordancewithRegulation(EC)No765/2008.3.Wherethenotifyingauthoritydelegatesorotherwiseentruststheassessment,notificationormonitoringreferredtoinparagraph1ofthisArticletoabody,whichisnotagovernmentalentity,thatbodyshallbealegalentityandshallcomplymutatismutandiswiththerequirementslaiddowninArticle23.Inaddition,itshallhavearrangementstocoverliabilitiesarisingoutofitsactivities.4.Thenotifyingauthorityshalltakefullresponsibilityforthetasksperformedbythebodyreferredtoinparagraph3.5469/23KR/am132ANNEXTREE.1.AENArticle23Requirementsrelatingtonotifyingauthorities1.Anotifyingauthorityshallbeestablishedinsuchawaythatnoconflictofinterestwith▌conformityassessmentbodiesoccurs.1a.Anotifyingauthorityshallbeorganisedandoperatedsoastosafeguardtheobjectivityandimpartialityofitsactivities.2.AnotifyingauthorityshallbeorganisedinsuchawaythateachdecisionrelatingtonotificationofaconformityassessmentbodyistakenbycompetentpersonsdifferentfromthosewhocarriedouttheassessmentoftheconformityassessmentbodiesapplyingfornotificationinaccordancewithArticle28.3.Anotifyingauthorityshallnotofferorprovideanyactivitiesthatconformityassessmentbodiesperformorconsultancyservicesonacommercialorcompetitivebasis.4.Anotifyingauthorityshallsafeguardtheconfidentialityoftheinformationitobtains.However,itshallexchangeinformationonnotifiedbodieswiththeCommissionaswellaswithnotifyingauthoritiesofotherMemberStatesandotherrelevantnationalauthorities.5.Anotifyingauthorityshallhaveasufficientnumberofcompetentpersonnelandsufficientfundingatitsdisposalfortheproperperformanceofitstasks.5469/23KR/am133ANNEXTREE.1.AENArticle24InformationobligationonnotifyingauthoritiesMemberStatesshallinformtheCommissionoftheirproceduresfortheassessmentandnotificationofconformityassessmentbodiesandthemonitoringofnotifiedbodies,andofanychangesthereto.TheCommissionshallmakethatinformationpubliclyavailable.Article25Requirementsrelatingtonotifiedbodies1.Forthepurposesofnotification,aconformityassessmentbodyshallmeettherequirementslaiddowninparagraphs2to11.2.AconformityassessmentbodyshallbeestablishedunderthenationallawofaMemberStateandhavelegalpersonality.5469/23KR/am134ANNEXTREE.1.AEN3.Aconformityassessmentbodyshallbeathird-partybodyindependentfromanyandallbusinesstiesandfromthebatteriesitassesses,inparticularfrombatterymanufacturers,thebatterymanufacturers’tradepartners,shareholdinginvestorsonthebatterymanufacturers’plantsandfromothernotifiedbodiesandthenotifiedbodies’businessassociations,parentcompaniesorsubsidiaries.4.Aconformityassessmentbody,itstoplevelmanagementandthepersonnelresponsibleforcarryingouttheconformityassessmenttasksshallnotbethedesigner,manufacturer,supplier,importer,distributor,installer,purchaser,owner,userormaintainerofthebatterieswhichtheyassess,northerepresentativeofanyofthoseparties.Thisshallnotprecludetheuseofassessedbatteriesthatarenecessaryfortheoperationsoftheconformityassessmentbodyortheuseofsuchbatteriesforpersonalpurposes.Aconformityassessmentbody,itstoplevelmanagementandthepersonnelresponsibleforcarryingouttheconformityassessmenttasksshallnotbedirectlyinvolvedinthedesign,manufacture,marketing,installation,useormaintenanceofthosebatteries,orrepresentthepartiesengagedinthoseactivities.Theyshallnotengageinanyactivitythatmayconflictwiththeirindependenceofjudgementorintegrityinrelationtoconformityassessmentactivitiesforwhichtheyarenotified.Thisshallinparticularapplytoconsultancyservices.Aconformityassessmentbodyshallensurethattheactivitiesofitsparentorsistercompanies,subsidiariesorsubcontractorsdonotaffecttheconfidentiality,objectivityorimpartialityofitsconformityassessmentactivities.5469/23KR/am135ANNEXTREE.1.AEN5.Aconformityassessmentbodyanditspersonnelshallcarryouttheconformityassessmentactivitieswiththehighestdegreeofprofessionalintegrityandtherequisitetechnicalcompetenceinthespecificfieldandshallbefreefromallpressuresandinducements,particularlyfinancial,whichmightinfluencetheirjudgementortheresultsofitsconformityassessmentactivities,especiallyasregardspersonsorgroupsofpersonswithaninterestintheresultsofthoseactivities.6.AconformityassessmentbodyshallbecapableofcarryingoutalltheconformityassessmenttasksassignedtoitinAnnexVIII,periodicalauditsinaccordancewithArticle45a(1a)andthird-partyverificationinaccordancewithArticle45dinrelationtowhichithasbeennotified,whetherthosetasksarecarriedoutbytheconformityassessmentbodyitselforonitsbehalfandunderitsresponsibility.Atalltimes,andforeachconformityassessmentproceduresetoutinAnnexVIII,periodicalauditsinaccordancewithArticle45a(1a)andthird-partyverificationinaccordancewithArticle45d,andforthebatteriesinrelationtowhichithasbeennotified,aconformityassessmentbodyshallhaveatitsdisposalthenecessary:(a)▌personnelwithtechnicalknowledgeandsufficientandappropriateexperiencetoperformtheconformityassessmenttasks;(b)descriptionsofproceduresinaccordancewithwhichconformityassessmentiscarriedout,ensuringthetransparencyandtheabilityofreproductionofthoseprocedures;5469/23KR/am136ANNEXTREE.1.AEN(c)appropriatepoliciesandprocedurestodistinguishbetweenactivitiesthatitcarriesoutasanotifiedbodyandothertasks;(d)proceduresfortheperformanceofconformityassessmenttaskswhichtakedueaccountofthesizeofanundertaking,thesectorinwhichitoperates,itsstructure,thedegreeofcomplexityofthebatterytechnologyinquestionandthemassorserialnatureoftheproductionprocess.Aconformityassessmentbodyshallhavethemeansnecessarytoperformthetechnicalandadministrativetasksconnectedwiththeconformityassessmentactivitiesinanappropriatemannerandshallhaveaccesstoallnecessaryinformation,testingequipmentorfacilities.Thisshallincludeestablishmentandthesupervisionofinternalprocedures,generalpolicies,codesofconductorotherinternalrules,theassignmentofpersonneltospecifictasksandtheconformityassessmentdecisions,withoutdelegatingthemtoasubcontractororasubsidiary.7.Thepersonnelresponsibleforcarryingoutconformityassessmenttasksshallhavethefollowing:(a)soundtechnicalandvocationaltrainingcoveringalltheconformityassessmentactivitiesinrelationtowhichtheconformityassessmentbodyhasbeennotified;(b)satisfactoryknowledgeoftherequirementsoftheassessmentstheycarryoutandadequateauthoritytocarryoutthoseassessments;5469/23KR/am137ANNEXTREE.1.AEN(c)appropriateknowledgeandunderstandingoftherequirementsandobligationssetoutinArticles6to10and12to14andinArticles45ato45e,oftheapplicableharmonisedstandardsreferredtoinArticle15andcommonspecificationsreferredtoinArticle16andoftherelevantprovisionsofUnionharmonisationlegislationandofnationallegislation;(d)theabilitytodrawupcertificates,recordsandreportsdemonstratingthatconformityassessmentshavebeencarriedout.8.Theimpartialityofaconformityassessmentbody,itstoplevelmanagementandthepersonnelresponsibleforcarryingouttheconformityassessmenttasksshallbeguaranteed.Theremunerationofthetoplevelmanagementandthepersonnelresponsibleforcarryingouttheconformityassessmentstasksshallnotdependonthenumberofconformityassessmentscarriedoutorontheresultsofthoseassessments.9.AconformityassessmentbodyshalltakeoutliabilityinsuranceunlessliabilityisassumedbythestateinaccordancewithnationallawinthenotifyingMemberState,ortheMemberStateitselfisdirectlyresponsiblefortheconformityassessment.5469/23KR/am138ANNEXTREE.1.AEN10.ThepersonnelofaconformityassessmentbodyshallobserveprofessionalsecrecywithregardtoallinformationobtainedincarryingouttheconformityassessmenttasksinaccordancewithAnnexVIII,periodicalauditsinaccordancewithArticle45a(1a),orthird-partyverificationinaccordancewithArticle45d,exceptinrelationtothenotifyingauthorityandnationalauthoritiesoftheMemberStateinwhichitsactivitiesarecarriedout.Proprietaryrightsshallbeprotected.11.Aconformityassessmentbodyshallparticipatein,orensurethatitspersonnelresponsibleforcarryingouttheconformityassessmenttasksisinformedof,therelevantstandardisationactivitiesandtheactivitiesofthenotifiedbodycoordinationgroupestablishedpursuanttoArticle37andshallapplyasgeneralguidancetheadministrativedecisionsanddocumentsproducedasaresultoftheworkofthatgroup.Article26PresumptionofconformityofnotifiedbodiesWhereaconformityassessmentbodydemonstratesitsconformitywiththecriterialaiddownintherelevantharmonisedstandardsorpartsthereofthereferencesofwhichhavebeenpublishedintheOfficialJournaloftheEuropeanUnionitshallbepresumedtocomplywiththerequirementssetoutinArticle25insofarastheapplicableharmonisedstandardscoverthoserequirements.5469/23KR/am139ANNEXTREE.1.AENArticle27Subsidiariesofandsubcontractingbynotifiedbodies1.Whereanotifiedbodysubcontractsspecifictasksconnectedwithconformityassessmentorhasrecoursetoasubsidiary,itshallensurethatthesubcontractororthesubsidiarymeetstherequirementssetoutinArticle25andshallinformthenotifyingauthorityaccordingly.2.Anotifiedbodyshalltakefullresponsibilityforthetasksperformedbysubcontractorsorsubsidiarieswhereverthoseareestablished3.Activitiesmaybesubcontractedorcarriedoutbyasubsidiaryonlywiththeagreementoftheclient.▌4.AnotifiedbodyshallkeepatthedisposalofthenotifyingauthoritytherelevantdocumentsconcerningtheassessmentofthequalificationsofthesubcontractororthesubsidiaryandtheworkcarriedoutbythemunderAnnexVIIIandunderArticles45a(1a)and45d.5469/23KR/am140ANNEXTREE.1.AENArticle28Applicationfornotification1.AconformityassessmentbodyshallsubmitanapplicationfornotificationtothenotifyingauthorityoftheMemberStateinwhichitisestablished.2.Theapplicationfornotificationshallbeaccompaniedbyadescriptionoftheconformityassessmentactivities,oftheconformityassessmentmoduleormodulessetoutinAnnexVIIIortheproceduressetoutinArticles45a(1a)and45d,andofthebatteriesforwhichtheconformityassessmentbodyclaimstobecompetent,aswellasbyanaccreditationcertificate,whereapplicable,issuedbyanationalaccreditationbodyattestingthattheconformityassessmentbodyfulfilstherequirementslaiddowninArticle25.3.Wheretheconformityassessmentbodyconcernedcannotprovideanaccreditationcertificateasreferredtoinparagraph2,itshallprovidethenotifyingauthoritywithallthedocumentaryevidencenecessaryfortheverification,recognitionandregularmonitoringofitscompliancewiththerequirementslaiddowninArticle25,includingappropriatedocumentationdemonstratingthattheconformityassessmentbodyisindependentinthemeaningofparagraph3ofthatArticle.5469/23KR/am141ANNEXTREE.1.AENArticle29Notificationprocedure1.AnotifyingauthoritymaynotifyonlyconformityassessmentbodieswhichhavesatisfiedtherequirementslaiddowninArticle25.2.ThenotifyingauthorityshallsendanotificationtotheCommissionandtheotherMemberStatesofeachconformityassessmentbodyreferredtoinparagraph1usingtheelectronicnotificationtooldevelopedandmanagedbytheCommission.3.Thenotificationshallincludefulldetailsoftheconformityassessmentactivities,theconformityassessmentmoduleormodulesortheproceduressetoutinArticles45a(1a)and45d,andthebatteriesconcernedandtherelevantattestationofcompetence.4.WhereanotificationisnotbasedonanaccreditationcertificateasreferredtoinArticle28(2),thenotifyingauthorityshallprovidetheCommissionandtheotherMemberStateswithdocumentaryevidencewhichatteststotheconformityassessmentbody'scompetenceandthearrangementsinplacetoensurethatthatbodywillbemonitoredregularlyandwillcontinuetosatisfytherequirementslaiddowninArticle25.5469/23KR/am142ANNEXTREE.1.AEN5.TheconformityassessmentbodyconcernedmayperformtheactivitiesofanotifiedbodyonlywherenoobjectionsareraisedbytheCommissionortheotherMemberStateswithintwoweeksofthenotificationwhereitincludesanaccreditationcertificatereferredtoinArticle28(2)orwithintwomonthsofthenotificationwhereitincludesdocumentaryevidencereferredtoinparagraph4.OnlysuchconformityassessmentbodyshallbeconsideredasnotifiedbodyforthepurposesofthisRegulation.6.ThenotifyingauthorityshallinformtheCommissionandtheotherMemberStatesofanysubsequentrelevantchangestothenotificationreferredtoinparagraph2.Article30Identificationnumbersandlistsofnotifiedbodies1.TheCommissionshallassignanidentificationnumbertoanotifiedbody.ItshallassignasinglesuchnumberevenwherethebodyisnotifiedunderseveralUnionacts.2.TheCommissionshallmakepubliclyavailablethelistofnotifiedbodiesunderthisRegulation,includingtheidentificationnumbersthathavebeenassignedtothemandtheconformityassessmentactivitiesforwhichtheyhavebeennotified.TheCommissionshallensurethatthelistiskeptuptodate.5469/23KR/am143ANNEXTREE.1.AENArticle31Changestonotifications1.WhereanotifyingauthorityhasascertainedorhasbeeninformedthatanotifiedbodynolongermeetstherequirementslaiddowninArticle25orthatitisfailingtofulfilitsobligationsthenotifyingauthorityshallrestrict,suspendorwithdrawthenotification,asappropriate,dependingontheseriousnessofthefailuretomeetthoserequirementsorfulfilthoseobligations.ItshallimmediatelyinformtheCommissionandtheotherMemberStatesaccordingly.2.Intheeventofrestriction,suspensionorwithdrawalofnotification,orwherethenotifiedbodyhasceaseditsactivity,thenotifyingauthorityshalltakeappropriatestepstoensurethatthefilesofthatbodyareeitherprocessedbyanothernotifiedbodyorkeptavailablefortheresponsiblenotifyingandmarketsurveillanceauthoritiesattheirrequest.Article32Challengeofthecompetenceofnotifiedbodies1.TheCommissionshallinvestigateallcaseswhereitdoubts,ordoubtisbroughttoitsattention,inparticularbyeconomicoperatorsandotherrelevantstakeholders,regardingthecompetenceofanotifiedbodyorthecontinuedfulfilmentbyanotifiedbodyoftherequirementsandresponsibilitiestowhichitissubject.5469/23KR/am144ANNEXTREE.1.AEN2.ThenotifyingauthorityshallprovidetheCommission,onrequest,withallinformationrelatingtothebasisforthenotificationorthemaintenanceofthecompetenceofthenotifiedbodyconcerned.3.TheCommissionshallensurethatallsensitiveinformationobtainedinthecourseofitsinvestigationsistreatedconfidentially.4.WheretheCommissionascertainsthatanotifiedbodydoesnotmeetornolongermeetstherequirementsforitsnotification,itshalladoptanimplementingactrequiringthenotifyingMemberStatetotakethenecessarycorrectiveaction,includingwithdrawalofthenotificationifnecessary.ThatimplementingactshallbeadoptedinaccordancewiththeadvisoryprocedurereferredtoinArticle74(2).Article33Operationalobligationsofnotifiedbodies1.AnotifiedbodyshallcarryoutconformityassessmentsinaccordancewiththeconformityassessmentproceduressetoutinAnnexVIII,Article45a(1a)orinArticle45d,asdeterminedbyitsscopeofnotification.5469/23KR/am145ANNEXTREE.1.AEN2.Anotifiedbodyshallcarryoutconformityassessmentsinaproportionatemanner,avoidingunnecessaryburdensforeconomicoperators,andtakingdueaccountofthesizeofanundertaking,thesectorinwhichtheundertakingoperates,thestructureoftheundertaking,thedegreeofcomplexityofthebatterytobeassessedandthemassorserialnatureoftheproductionprocess.Insodoing,thenotifiedbodyshallneverthelessrespectthedegreeofrigourandthelevelofprotectionrequiredforthecomplianceofthebatterywiththisRegulation.3.WhereanotifiedbodyfindsthattheapplicablerequirementssetoutinArticles6to10,12to14,45band45c,incorrespondingharmonisedstandardsreferredtoinArticle15,commonspecificationsreferredtoinArticle16orothertechnicalspecificationshavenotbeenmet▌,itshallrequirethemanufacturerorotherrelevanteconomicoperator,totakeappropriatecorrectiveactioninviewofasecondandfinalconformityassessment,unlessthedeficienciescannotberemedied,inwhichcaseitshallnotissuethecertificateofconformityorapprovaldecision.4.Where,inthecourseofthemonitoringofconformityfollowingtheissueof▌anapprovaldecision,anotifiedbodyfindsthatthereisnolongercompliance,itshallrequirethemanufacturerortheeconomicoperatorreferredtoinArticle45aasapplicable,totakeappropriatecorrectiveactionandshallsuspendorwithdraw▌theapprovaldecision,ifnecessary.5469/23KR/am146ANNEXTREE.1.AEN5.Wherecorrectiveactionreferredtoinparagraph4isnottakenordonothavetherequiredeffect,thenotifiedbodyshallrestrict,suspendorwithdrawtheapprovaldecision,asappropriate.Article34AppealagainstdecisionsofnotifiedbodiesMemberStatesshallensurethatanappealprocedureagainstthedecisionsofnotifiedbodiesisavailable.Article35Informationobligationonnotifiedbodies1.Anotifiedbodyshallinformthenotifyingauthorityofthefollowing:(a)anyrefusal,restriction,suspensionorwithdrawalofacertificateofconformityorapprovaldecision;(b)anycircumstancesaffectingthescopeof,ortheconditionsfor,itsnotification;(c)anyrequestforinformationwhichithasreceivedfrommarketsurveillanceauthoritiesregardingitsconformityassessmentactivities;(d)onrequest,anyconformityassessmentactivitiesperformedwithinthescopeofitsnotificationandanyotheractivityperformed,includingcross-borderactivitiesandsubcontracting.5469/23KR/am147ANNEXTREE.1.AEN2.AnotifiedbodyshallprovideotherbodiesnotifiedunderthisRegulationcarryingoutsimilarconformityassessmentactivitiescoveringthesamebatterieswithrelevantinformationonissuesrelatingto:(a)negativeand,onrequest,positiveconformityassessment;(b)anysuspension,orwithdrawalorotherrestrictionofanapprovaldecision.Article36ExchangeofexperienceandgoodpracticeTheCommissionshallprovidefortheorganisationofexchangeofexperienceandgoodpracticebetweentheMemberStates’▌authoritiesresponsiblefornotificationpolicy.Article37CoordinationofnotifiedbodiesTheCommissionshallensurethatappropriatecoordinationandcooperationbetweenbodiesnotifiedunderthisRegulationareputinplaceandproperlyoperatedintheformofasectoralgroup▌ofnotifiedbodies.5469/23KR/am148ANNEXTREE.1.AEN▌Notifiedbodiesshallparticipateintheworkofthatgroup▌,directlyorbymeansofdesignatedrepresentatives.ChapterVIObligationsofeconomicoperatorsotherthantheobligationsinChaptersVI.AandVIIArticle38Obligationsofmanufacturers1.Whenplacingabatteryonthemarketorputtingitintoservice,includingforthemanufacturers’ownpurposes,manufacturersshallensurethatthebattery:(a)hasbeendesignedandmanufacturedinaccordancewiththeapplicablerequirementssetoutinArticles6to10,Article12andArticle14,andisaccompaniedbyclear,understandableandreadableinstructionsandsafetyinformation,providedunderthosearticlesinalanguageorlanguages,whichcanbeeasilyunderstoodbyend-users,asdeterminedbytheMemberStateinwhichthebatteryistobeplacedonthemarketorputintoservice;and(b)islabelledinaccordancewiththeapplicablerequirementssetoutinArticle13.5469/23KR/am149ANNEXTREE.1.AEN2.Beforeplacingabatteryonthemarketorputtingitintoservice,manufacturersshalldrawupthetechnicaldocumentationreferredtoinAnnexVIII▌andcarryouttherelevantconformityassessmentprocedure,▌referredto,in▌Article17,orhaveitcarriedout▌.3.Wherecomplianceofabatterywiththeapplicablerequirementshasbeendemonstratedbytherelevantconformityassessmentprocedurereferredtoin▌Article17,manufacturersshalldrawupanEUdeclarationofconformityinaccordancewithArticle18andaffixtheCEmarkinginaccordancewithArticles19and20.▌5.ManufacturersshallkeepthetechnicaldocumentationreferredtoinAnnexVIIIandtheEUdeclarationofconformityatthedisposalof▌nationalauthoritiesfor10yearsafterthebatteryhasbeenplacedonthemarketorputintoservice.6.ManufacturersshallensurethatproceduresareinplaceforabatterythatispartofaseriesproductiontoremaininconformitywiththisRegulation.Indoingso,manufacturershalladequatelytakeintoaccountchangesintheproductionprocessorinbatterydesignorcharacteristicsandchangesintheharmonisedstandardsreferredtoinarticle15,commonspecificationsreferredtoinArticle16orothertechnicalspecificationsbyreferencetowhichtheconformityofthebatteryisdeclaredorbyapplicationofwhichitsconformityisverified▌.5469/23KR/am150ANNEXTREE.1.AEN7.Manufacturersshallensurethatbatterieswhichtheyplaceonthemarketbearamodelidentificationandbatchorserialnumber,orproductnumberoranotherelementallowingtheiridentification.Wherethesizeornatureofthebatterydoesnotallowit,therequiredinformationshallbeprovidedonthepackagingorinadocumentaccompanyingthebattery.8.Manufacturersshallindicateonthebatterytheirname,registeredtradenameorregisteredtrademark,thepostaladdress,indicatingasinglecontactpoint,andwebaddressande-mailaddress,whereoneexist.Wherethatisnotpossible,therequiredinformationshallbeprovidedonthepackagingorinadocumentaccompanyingthebattery.Thecontactdetailsshallbeinalanguageorlanguages,whichcanbeeasilyunderstoodbyend-usersandmarketsurveillanceauthorities,asdeterminedbytheMemberStateinwhichthebatteryistobeplacedonthemarketorputintoservice,andshallbeclear,understandableandlegible.▌10.ManufacturersshallprovideaccesstothevaluesoftheparametersreferredtoinAnnexVIIinthebatterymanagementsystemreferredtoinparagraph1ofArticle14▌,inaccordancewiththerequirementslaiddowninthatArticle.5469/23KR/am151ANNEXTREE.1.AEN11.ManufacturerswhoconsiderorhavereasontobelievethatabatterywhichtheyhaveplacedonthemarketorputintoserviceisnotinconformitywithoneormoreoftheapplicablerequirementssetoutinArticles6to10or12to14shallimmediatelytakethecorrectiveactionnecessarytobringthatbatteryintoconformity,towithdrawitorrecallit,asappropriate.Furthermore,wherethebatterypresentsarisk,manufacturersshallimmediatelyinformthemarketsurveillanceauthorityoftheMemberStateinwhichtheymadethebatteryavailableonthemarkettothateffect,givingdetails,inparticular,ofthenon-complianceandofanycorrectiveactiontaken.12.Manufacturersshall,furthertoareasonedrequestfromanationalauthority,providethatauthoritywithalltheinformationand▌documentationnecessarytodemonstratetheconformityofthebatterywiththerequirementssetoutinArticles6to10and12to14,inalanguageorlanguages,whichcanbeeasilyunderstoodbythatauthority.Thatinformationand▌documentationshallbeprovidedinelectronicformatand,onrequest,inpaperformat.Manufacturersshallcooperatewiththenationalauthority,atitsrequest,onanyactiontakentoeliminatetherisksposedbyabatterywhichtheyhaveplacedonthemarketorputintoservice.12a.Economicoperatorsthatcarryoutpreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturing,andplaceonthemarketorputintoserviceabatterythathasundergoneanyoftheseoperations,shallbeconsideredasmanufacturerforthepurposeofthisRegulation.5469/23KR/am152ANNEXTREE.1.AENArticle38aObligationsofsuppliersofbatterycellsandbatterymodulesThesupplierofbatterycellsandbatterymodulesshallprovidetheinformationanddocumentationnecessarytocomplywiththerequirementsofthisregulationwhensupplyingbatterycellsormodulestothemanufacturer.Theinformationshallbeprovidedfreeofcharge.▌Article40Obligationsofauthorisedrepresentatives1.Amanufacturermay,byawrittenmandate,designateanauthorisedrepresentative.▌▌Theauthorisedrepresentative’smandate▌shallbevalidonlywhenacceptedinwritingbytheauthorisedrepresentative▌.3.TheobligationslaiddowninArticle38(1)andArticles45ato45eandtheobligationtodrawuptechnicaldocumentationshallnotformpartoftheauthorisedrepresentative'smandate.4.Anauthorisedrepresentativeshallperformthetasksspecifiedinthemandatereceivedfromthemanufacturer.Theauthorisedrepresentativeshallhavetheappropriatemeanstoperformthetasksspecifiedinthemandate.Theauthorisedrepresentativeshallprovideacopyofthemandatetothemarketsurveillanceauthority,uponrequest,inaUnionlanguagedeterminedbythenationalauthority.Themandateshallallowtheauthorisedrepresentativetodoatleastthefollowing:▌5469/23KR/am153ANNEXTREE.1.AEN(b)keeptheEUdeclarationofconformity,thetechnicaldocumentationandtheverificationreportandapprovaldecisionreferredtoinparagraph4aofArticle45dandtheauditreportsreferredtoinparagraph1aofArticle45aatthedisposalofnationalauthoritiesfor10yearsafterthebatteryhasbeenplacedonthemarketorputintoservice;(c)furthertoareasonedrequestfromanationalauthority,providethatauthoritywithalltheinformationanddocumentationnecessarytodemonstratetheconformityofthebattery.Thatinformationandthedocumentationshallbeprovidedinelectronicformatand,onrequest,inpaperformat;(d)cooperatewiththenationalauthorities,attheirrequest,onanyactiontakentoeliminatetherisksposedbybatteriescoveredbytheauthorisedrepresentative'smandate;▌▌4a.Wherethebatterypresentsarisk,authorisedrepresentativesshallimmediatelyinformthemarketsurveillanceauthoritiesthereof.5469/23KR/am154ANNEXTREE.1.AENArticle41Obligationsofimporters1.Importersshallonlyplaceonthemarket▌abatterywhichiscompliantwiththeapplicablerequirementsofArticles6to10and12to14.2.Beforeplacingabatteryonthemarket▌,importersshallverifythat:(a)theEUdeclarationofconformityandtechnicaldocumentationreferredtoinAnnexVIIIhavebeendrawnupandthattherelevantconformityassessmentprocedurereferredtoinArticle17,hasbeencarriedoutbythemanufacturer;(b)thebatterybearstheCEmarkingreferredtoinArticle19,andismarkedinaccordancewithArticle13,(c)thebatteryisaccompaniedbytherequireddocumentsandbyinstructionsandsafetyinformationinalanguageorlanguages,whichcanbeeasilyunderstoodbyend-users,asdeterminedbytheMemberStateinwhichthebatteryistobemadeavailableonthemarket;and5469/23KR/am155ANNEXTREE.1.AEN(d)themanufacturerhascompliedwiththerequirementssetoutinArticle38(7a)and(8).WhereanimporterconsidersorhasreasontobelievethatabatteryisnotinconformitywiththeapplicablerequirementssetoutinArticles6to10and12to14,theimportershallnotplacethebatteryonthemarket▌untilithasbeenbroughtintoconformity.Furthermore,wherethebatterypresentsarisk,theimportershallinformthemanufacturerandthemarketsurveillanceauthorityoftheMemberStatesinwhichitmadethebatteryavailableonthemarkettothateffectgivingdetailsofthenon-complianceandofanycorrectiveactiontaken.3.Importersshallindicateonthebatterytheirname,registeredtradenameorregisteredtrademark,▌thepostaladdress,indicatingasinglecontactpoint,andwebaddressande-mailaddress,whereoneexists.Wherethatisnotpossible,therequiredinformationshallbeprovidedonthepackagingorinadocumentaccompanyingthebattery.Thecontactdetailsshallbeinalanguageorlanguages,whichcanbeeasilyunderstoodbyend-users,asdeterminedbytheMemberStateinwhichthebatteryistobemadeavailableonthemarket,andshallbeclear,understandableandlegible.▌5.Importersshallensurethat,whileabatteryisundertheirresponsibility,storageortransportconditionsdonotjeopardiseitscompliancewiththeapplicablerequirementssetoutinArticles6to10and12to14.5469/23KR/am156ANNEXTREE.1.AEN6.Whendeemedappropriatewithregardtotheriskspresentedbyabattery,importersshall,toprotectthehumanhealthandsafetyofconsumers,carryoutsampletestingofmarketedbatteries,investigate,and,ifnecessary,keeparegisterofcomplaints,ofnon-conformingbatteriesandbatteryrecalls,andshallkeepdistributorsinformedofsuchmonitoring.7.Importerswhoconsiderorhavereasontobelievethatabattery,whichtheyhaveplacedonthemarket▌,isnotinconformitywiththeapplicablerequirementssetoutinArticles6to10and12to14,shallimmediatelytakethecorrectiveactionnecessarytobringthatbatteryintoconformity,towithdrawitorrecallit,asappropriate.Furthermore,wherethebatterypresentsarisk,importersshallimmediatelyinformthemarketsurveillanceauthorityoftheMemberStateinwhichtheymadethebatteryavailableonthemarkettothateffect,givingdetails,inparticular,ofthenon-complianceandofanycorrectiveactiontaken.8.Importersshall,for10yearsafterthebatteryhasbeenplacedonthemarket,keepacopyoftheEUdeclarationofconformityatthedisposalofthenationalauthoritiesandensurethatthetechnicaldocumentationreferredtoinAnnexVIIIismadeavailabletothoseauthorities,uponrequest.9.Importersshall,furthertoareasonedrequestfromanationalauthority,providethatauthoritywithalltheinformationand▌documentationnecessarytodemonstratetheconformityofabatterywiththeapplicablerequirementssetoutinArticles6to10and12to14,inalanguageorlanguages,whichcanbeeasilyunderstoodbythatauthority.Thatinformationandthe▌documentationshallbeprovidedinelectronicformatand,onrequest,inpaperformat.Importersshallcooperatewiththenationalauthority,atitsrequest,onanyactiontakentoeliminatetherisksposedbybatteries,whichtheyhaveplacedonthemarket▌.5469/23KR/am157ANNEXTREE.1.AENArticle42Obligationsofdistributors1.Whenmakingabatteryavailableonthemarket,distributorsshallactwithduecareinrelationtotherequirementsofthisRegulation.2.Beforemakingabatteryavailableonthemarket,distributorsshallverifythat:(a)theproducerisregisteredintheregisterofproducersreferredtoinArticle46;(b)thebatterybearstheCEmarkingreferredtoinArticle19andismarkedinaccordancewithArticle13;(c)thebatteryisaccompaniedbytherequireddocumentsandbyinstructionsandsafetyinformationinlanguageorlanguages,whichcanbeeasilyunderstoodbyend-users,asdeterminedbytheMemberStateinwhichthebatteryistobemadeavailableonthemarketorputintoservice;and(d)themanufacturerandtheimporterhavecompliedwiththerequirementssetoutinArticle38(7a)and(8)andArticle41(3)▌respectively.3.WhereadistributorconsidersorhasreasontobelievethatabatteryisnotinconformitywithanyoftheapplicablerequirementssetoutinArticles6to10or12to14,thedistributorshallnotmakethebatteryavailableonthemarketuntilithasbeenbroughtintoconformity.Furthermore,wherethebatterypresentsarisk,thedistributorshallinformthemanufacturerortheimportertothateffectaswellasthe▌marketsurveillanceauthorities.5469/23KR/am158ANNEXTREE.1.AEN4.Distributorsshallensurethat,whileabatteryisundertheirresponsibility,storageortransportconditionsdonotjeopardiseitscompliancewiththeapplicablerequirementssetoutinArticles6to10and12to14.5.Distributorswhoconsiderorhavereasontobelievethatabattery,whichtheyhavemadeavailableonthemarket,isnotinconformitywithanyoftheapplicablerequirementssetoutinArticles6to10or12to14,shallmakesurethatthecorrectiveactionnecessarytobringthatbatteryintoconformity,towithdrawitorrecallit,asappropriate,aretaken.Furthermore,wherethebatterypresentsarisk,distributorsshallimmediatelyinformthemarketsurveillanceauthoritiesoftheMemberStatesinwhichtheymadethebatteryavailableonthemarkettothateffect,givingdetails,inparticular,ofthenon-complianceandofanycorrectiveactiontaken.6.Distributorsshall,furthertoareasonedrequestfromanationalauthorityprovidethatauthoritywithalltheinformationandthe▌documentationnecessarytodemonstratetheconformityofabatterywiththeapplicablerequirementssetoutinArticles6to10and12to14inalanguageorlanguages,whichcanbeeasilyunderstoodbythatauthority.Thatinformationandthe▌documentationshallbeprovidedinelectronicformatand,onrequest,inpaperformat.Distributorsshallcooperatewiththenationalauthority,atitsrequest,onanyactiontakentoeliminatetherisksposedbybatteriesthattheyhavemadeavailableonthemarket.5469/23KR/am159ANNEXTREE.1.AENArticle43ObligationsoffulfilmentserviceprovidersFulfilmentserviceprovidersshallensurethat,forbatteriesthattheyhandle,theconditionsduringwarehousing,packaging,addressingordispatching,donotjeopardisethebatteries’compliancewiththerequirementssetoutinArticles6to10and12to14.WithoutprejudicetotheobligationsoftherelevanteconomicoperatorssetoutinChapterVI,fulfilmentserviceprovidersshallinadditiontotherequirementreferredtointhefirstsubparagraphperformthetaskssetoutinArticle40(4),point(d),andArticle40(4a).Article44CaseinwhichobligationsofmanufacturersapplytoimportersanddistributorsAnimporterordistributorshallbeconsideredamanufacturerforthepurposesofthisRegulationandthatimporterordistributorshallbesubjecttotheobligationsofthemanufacturerunderArticle38,whereanyofthefollowingapplies:(a)abatteryisplacedonthemarketorputintoserviceunderthatimporter’sordistributor’sownnameortrademark;or(b)abatteryalreadyplacedonthemarketorputintoserviceismodifiedbythatimporterordistributorinsuchawaythatcompliancewiththerelevantrequirementsofthisRegulationmaybeaffected;or5469/23KR/am160ANNEXTREE.1.AEN(c)thepurposeofabatteryalreadyplacedonthemarketorputintoserviceismodifiedbythatimporterordistributor.Article44aObligationsofeconomicoperatorsplacingonthemarketbatteriesthathavebeensubjecttopreparingforre-use,preparingforrepurpose,repurposingorremanufacturing1.Economicoperatorsplacingonthemarketorputtingintoservicebatteriesthathavebeensubjecttopreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturingshallensurethattheexamination,performancetesting,packingandshipmentofthosebatteries,andoftheircomponentsthataresubjecttoanyofthoseoperations,iscarriedoutfollowingadequatequalitycontrolandsafetyinstructions.2.Economicoperatorsplacingonthemarketorputtingintoservicebatteriesthathavebeensubjecttopreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturingshallensurethatthebattery,complieswiththerequirementsofthisRegulation,anyrelevantproduct,environmental,humanhealthprotectionandtransportsafetyrequirementsinotherUnionlegislation,takingintoaccountthat,asaresultofthoseoperations,thatbatterymayfallunderadifferentbatterycategory.Forremanufacturingoperations,sucheconomicoperatorsshallprovide,uponrequest,marketsurveillanceauthoritieswiththedocumentationnecessarytodemonstratethattheremanufacturedbatteryconformswiththedefinitioninArticle2(26(a)).5469/23KR/am161ANNEXTREE.1.AENArticle45Identificationofeconomicoperators1.Economicoperatorsshall,uponarequestofa▌nationalauthority,provideinformationonthefollowingtothemarketsurveillanceauthorities:(a)theidentityofanyeconomicoperatorthathassuppliedthemwithabattery;(b)theidentityofanyeconomicoperatortowhichtheyhavesuppliedabattery,aswellasthequantityandexactmodels.2.Economicoperatorsshallbeabletoprovidetheinformationreferredtoinparagraph1for10yearsaftertheyhavebeensuppliedwiththebatteryandfor10yearsaftertheyhavesuppliedthebattery.5469/23KR/am162ANNEXTREE.1.AENChapterVI.AObligationsofeconomicoperatorsonduediligencepoliciesArticle45a▌Duediligencepolicies1.From24monthsafter▌entryintoforceoftheRegulation,theeconomicoperatorthatplacesbatteriesonthemarket,shallcomplywiththeduediligenceobligationssetoutinparagraphs1aand1bandArticles45b,45cand45e(1)andshall,tothatend,setupandimplementduediligencepolicies.ThisChaptershallnotapplytoeconomicoperatorswhenplacingonthemarketorputtingintoservicebatteriesthathavebeensubjecttopreparingforre-use,preparingforrepurposeorrepurposing,orremanufacturing,ifsuchbatterieshadalreadybeenplacedonthemarketorputintoservicebeforeundergoingsuchoperations.ThisChaptershallnotapplytoeconomicoperatorsthathadanetturnoveroflessthanEUR40millioninthefinancialyearprecedingthelastfinancialyear,andthatarenotpartofagroup,consistingofparentandsubsidiaryundertakings,which,onaconsolidatedbasis,exceedsthelimitofEUR40million.5469/23KR/am163ANNEXTREE.1.AENTheprovisionsofthisChaptershallapplywithoutprejudicetothoselaiddowninUnionlawonduediligenceobligationsinrelationtomineralsandmetalsoriginatingfromconflict-affectedandhigh-riskareas.1a.Theeconomicoperatorreferredtoinparagraph1shallhaveitsduediligencepoliciesverifiedbyanotifiedbody(‘third-partyverification’)inaccordancewithArticle45dandperiodicallyauditedbythenotifiedbodytomakesurethattheduediligencepoliciesaremaintainedandappliedinaccordancewiththerequirementssetoutinArticles45b,45cand45e(1).Thenotifiedbodyshallprovidetheauditedeconomicoperatorwithanauditreport.1b.Theeconomicoperatorreferredtoinparagraph1shallkeepdocumentationdemonstratingitsrespectivecompliancewiththeobligationssetoutinArticles45b,45cand45e(1),includingtheverificationreportandapprovaldecisionreferredtoinArticle45dandtheauditreportsreferredtoinparagraph1a,fortenyearsafterthelastbatterymanufacturedundertherelevantbatteryduediligencepolicieshasbeenplacedonthemarket.1c.Withoutprejudicetotheindividualresponsibilityofeconomicoperatorsfortheirduediligenceprocesses,therequirementssetoutinArticle45ato45cand45emaybeimplementedincollaborationwithotheractors,includingthroughduediligenceschemes,recognisedunderthisRegulation.5469/23KR/am164ANNEXTREE.1.AEN2.By18monthsafterentryintoforceoftheRegulation,theCommissionshallpublishguidelinesasregardstheapplicationoftheduediligencerequirementsdefinedinArticles45band45c,withregardtothe▌risksreferredtoinAnnexX,point2,andparticularlyinlinewiththeinternationalinstrumentsreferredtoinAnnexX,point3.3.MemberStatesmay,inordertoprovideinformationandsupporttoeconomicoperatorsinfulfillingtheduediligenceobligationsresultingfromthisRegulation,setupandoperateindividuallyorjointlydedicatedwebsites,platformsorportals.TheCommissionmaycomplementMemberStates’supportmeasuresbuildingonexistingUnionactiontosupportduediligenceintheUnionandinthirdcountriesandmaydevisenewmeasurestohelpcompaniesfulfiltheirobligations.3a.TheCommissionshallregularlymakeanassessmentontheneedtoupdatethelistofrawmaterialsandriskcategoriessetoutinAnnexX.TheCommissionisempoweredtoadoptdelegatedactsinaccordancewithArticle73to:(a)amendthelistsofrawmaterialsinAnnexX,point1,andriskcategoriesinAnnexX,point2,inviewofscientificandtechnologicalprogressinbatterymanufacturingandchemistriesandamendmentstoRegulation(EU)2017/821;(aa)amendthelistofinternationalinstrumentsinAnnexXinaccordancewithdevelopmentswithintherelevantinternationalforaconcerningstandardsrelatedtoduediligencepolicies,protectionoftheenvironmentandofsocialrights;5469/23KR/am165ANNEXTREE.1.AEN(b)amendtheobligationsontheeconomicoperatorreferredtoinparagraph1setoutinparagraphs2to4inviewofamendmentstoRegulation(EU)2017/821andamendthelistofinternationallyrecognisedduediligenceinstrumentssetoutinAnnexX,point3a;Article45bEconomicoperator'smanagementsystem▌TheeconomicoperatorreferredtoinArticle45ashall:(a)adopt,andclearlycommunicatetosuppliersandthepublic,acompanyduediligencepolicyforbatteries,concerningrawmaterialsindicatedinAnnexX,point1andassociatedsocialandenvironmentalriskcategoriesindicatedinAnnexX,point2;(b)incorporateinitsduediligencepolicystandardsconsistentwiththestandardssetoutininternationallyrecognisedduediligenceGuidancestandardslistedinAnnexX,point3a;(c)structureitsrespectiveinternalmanagementsystemstosupport▌duediligencepolicybyassigningresponsibilitytothetopmanagementleveloftheeconomicoperatortooverseetheduediligencepolicyaswellasmaintainrecordsofthosesystemsforaminimumoftenyears;5469/23KR/am166ANNEXTREE.1.AEN(d)establishandoperateasystemofcontrolsandtransparencyoverthevaluechain,includingachainofcustodyortraceabilitysystem,identifyingupstreamactorsinthesupplychain.Suchasystemshallbesupportedbydocumentationthatprovidesatleastthefollowinginformation:(i)descriptionoftherawmaterial,includingitstradenameandtype;(ii)nameandaddressofthesupplierthatsuppliedtherawmaterialpresentinthebatteriestotheeconomicoperatorthatplacesonthemarketthebatteriescontainingtherawmaterialinquestion;(iii)countryoforiginoftherawmaterialandthemarkettransactionsfromtherawmaterial’sextractiontotheimmediatesuppliertotheeconomicoperatorthatplacesthebatteryonthemarket;(iv)quantitiesoftherawmaterialpresentinthebatteryplacedonthemarket,expressedinpercentageorweight;(v)third-partyverificationreportsdonebyanotifiedbodyandconcerningtheupstreamsuppliersasreferredtoinArticle45c(3b);5469/23KR/am167ANNEXTREE.1.AEN(vi)ifthereportsreferredtoinpoint(v)arenotavailable:wheretherawmaterialoriginatesfromaconflict-affectedandhigh-riskareas,additionalinformationinaccordancewiththespecificrecommendationsforupstreameconomicoperators,assetoutintheOECDDueDiligenceGuidance,whererelevant,suchasthemineoforigin,locationswhererawmaterialsareconsolidated,tradedandprocessed,andtaxes,feesandroyaltiespaid.Thirdpartyverificationreportsreferredtoinpoint(v)shallbemadeavailabletothedownstreamoperatorsofthesupplychain.(e)incorporateitsduediligencepolicyintocontractsandagreementswithsuppliers,includingtheirriskmanagementmeasures;(f)establishagrievancemechanism,includinganearly-warningrisk-awarenesssystemandaremediationmechanism,orprovideforsuchmechanismsthroughcollaborativeagreementswithothereconomicoperatorsororganisations,orbyfacilitatingrecoursetoanexternalexpertorbody,suchasanombudsman;suchmechanismsshallbebasedontheUNGuidingPrinciplesonBusinessandHumanRights.5469/23KR/am168ANNEXTREE.1.AENArticle45cRiskmanagementplan3.TheeconomicoperatorreferredtoinArticle45ashall:(a)identifyandassessrisksofadverseimpactsinitssupplychain,associatedtotheriskcategorieslistedinAnnexX,point2aspartofitsmanagementplan,includingonthebasisoftheinformationprovidedpursuanttoArticle45bandanyotherrelevantinformationthatiseitherpubliclyavailableorprovidedbystakeholders,againstthestandardsofitsduediligencepolicy;(b)designandimplementastrategytorespondtotheidentifiedrisks▌soastoprevent,mitigateandotherwiseaddressadverseimpactsby:(i)reportingfindingsofthe▌riskassessmenttothetopmanagementleveloftheeconomicoperatorassignedinaccordancewithpoint(c)ofArticle45b;(ii)adoptingriskmanagementmeasuresconsistentwiththeinternationallyrecognisedduediligencestandardslistedinAnnexX,point3a,consideringtheirabilitytoinfluence,andwherenecessarytakestepstoexertpressureonsuppliersandtheirsubsidiariesandsubcontractorswhocanmosteffectivelypreventormitigatetheidentifiedrisk;5469/23KR/am169ANNEXTREE.1.AEN(iii)designingandimplementingtheriskmanagementplan,monitoringandtrackingperformanceofriskmitigationefforts,reportingbacktothetopmanagementleveloftheeconomicoperatorassignedinaccordancewithpoint(c)ofArticle45b,andconsideringsuspendingordiscontinuingengagementwithasupplieroritssubsidiaryorsubcontractorafterfailedattemptsatmitigation,basedonrelevantcontractsandarrangementsreferredtoinpoint(e)ofArticle45b;(iv)undertakingadditionalfactandriskassessmentsforrisksrequiringmitigation,orafterachangeofcircumstances.IftheeconomicoperatorreferredtoinArticle45apursuesriskmitigationeffortswhilecontinuingtradeortemporarilysuspendingtrade,itshallconsultwithsuppliersandwiththestakeholdersconcerned,includinglocalandnationalgovernmentauthorities,internationalorcivilsocietyorganisationsandaffectedthirdpartiessuchaslocalcommunities,beforeestablishingastrategyformeasurableriskmitigationintheriskmanagementplanreferredtoinpoint(c)(iii)ofparagraph3.5469/23KR/am170ANNEXTREE.1.AENTheeconomicoperatorreferredtoinArticle45ashallidentifyandassesstheprobabilityofadverseimpactsintheriskcategorieslistedinAnnexX,point2,initssupplychain.Theeconomicoperatorshallidentifyandassesstherisksinitssupplychainaspartofitsownriskmanagementsystems.Insuchcases,theeconomicoperatorshallcarryoutthirdpartyverificationsoftheirownduediligencechainsviaanotifiedbodyinaccordancewithArticle45d.Theeconomicoperatormaymakeuseofavailablereportsbythird-partyverificationdonebyanotifiedbodyconcerningduediligencepoliciesimplementedinaccordancewiththerelevantrequirementsofthisChapter,includingthoseinArticle45b(d)(vi),bysuppliersinthatchain,and,byassessing,asappropriate,itsduediligencepractices.ThoseverificationreportsshallbeinaccordancewithArticle45d.TheeconomicoperatorreferredtoinArticle45ashallreportthefindingsoftheriskassessmentreferredtoinparagraph3btoitstopmanagementlevelassignedinaccordancewithpoint(c)ofArticle45b,andastrategy,referredtoinpoint(c)ofparagraph3,shallbeimplemented.5469/23KR/am171ANNEXTREE.1.AENArticle45dThird-partyverificationofbatteryduediligencepolicies4.▌Thethird-partyverificationbyanotifiedbodyshall:(a)includeinitsscopeallactivities,processesandsystemsusedbyeconomicoperatorstoimplementtheir▌duediligencerequirementsinaccordancewithArticles45b,45cand45e(1);(b)haveasitsobjectivethedeterminationofconformityofthe▌duediligencepracticesofeconomicoperatorsplacingbatteriesonthemarketwithArticles45b,45cand45e(1);(ba)whererelevant,carryoutchecksonundertakingsandgatherinformationfromstakeholders;(c)identifyareasforthepotentialimprovementfortheeconomicoperatorsthatplacebatteriesonthemarketonhowtoimprovetheir▌duediligencepractices;(d)respecttheauditprinciplesofindependence,competenceandaccountability,assetoutintheOECDDueDiligenceGuidance.4a.Thenotifiedbodyshallissueaverificationreportthatrecordstheactivitiesundertakeninaccordancewithparagraph4andtheiroutcomes.WheretheduediligencepoliciesoftheeconomicoperatorreferredtoinArticle45acomplywiththeobligationssetoutinArticles45b,45cand45e(1),thenotifiedbodyshallissueanapprovaldecision.5469/23KR/am172ANNEXTREE.1.AENArticle45eDisclosureofinformationonduediligencepolicies5.TheeconomicoperatorreferredtoinArticle45ashallmakeavailableuponrequesttoMemberStates’marketsurveillanceauthoritiesornationalauthoritiestheverificationreportandapprovaldecisionissuedinaccordancewithArticle45d,theauditreportsreferredtoinparagraph1aofArticle45aandavailableevidenceofcompliancewitha▌duediligenceschemerecognisedbytheCommissioninaccordancewithArticle45f.6.TheeconomicoperatorreferredtoinArticle45ashallmakeavailabletoitsimmediatedownstreampurchasersallrelevantinformationgainedandmaintainedpursuanttoits▌duediligencepolicieswithdueregardforbusinessconfidentialityandothercompetitiveconcerns.TheeconomicoperatorreferredtoinArticle45ashallonanannualbasisreviewandmakepubliclyavailable,includingontheinternet,reportonits▌duediligencepolicies.Thatreportshallcontain,inamannerthatiseasilycomprehensibleforend-usersandclearlyidentifiesthebatteriesconcerned,thedataandinformationonstepstakenbythateconomicoperatortocomplywiththerequirementssetoutinArticles45band45c,includingfindingsofsignificantadverseimpactsintheriskcategorieslistedinAnnexX,point2,andhowtheyhavebeenaddressed,aswellasasummaryreportofthethird-partyverificationscarriedoutinaccordancewithArticle45d,includingthenameofthenotifiedbody,withdueregardforbusinessconfidentialityandothercompetitiveconcerns.Itshallalsoelaborate,whererelevant,onaccesstoinformation,publicparticipationindecision-makingandaccesstojusticeinenvironmentalmattersinrelationthesourcing,processingandtradingoftherawmaterials.5469/23KR/am173ANNEXTREE.1.AENWheretheeconomicoperatorreferredtoinArticle45acandemonstratethattherawmaterialslistedinAnnexX,point1,thatarepresentinthebatteryarederived▌fromrecycledsources,itshallpubliclydiscloseitsconclusionsinreasonabledetail,withdueregardforbusinessconfidentialityandothercompetitiveconcerns.Article45fRecognitionofduediligenceschemes1.Governments,industryassociationsandgroupingsofinterestedorganisationsthathavedevelopedandoverseeduediligenceschemes("schemeowners")mayapplytotheCommissiontohavetheir▌duediligenceschemesrecognisedbytheCommission.TheCommissionshallbeempoweredtoadoptimplementingactsestablishingtheinformationrequirementsthattheapplicationtotheCommissionshallcontain.ThoseimplementingactsshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).2.Where,onthebasisoftheevidenceandinformationprovidedpursuanttotheparagraph1,theCommissiondeterminesthatthe▌duediligenceschemereferredtoinparagraph1,enablesthateconomicoperatorstofulfiltherequirementssetoutinArticles45ato45cand45eofthisRegulation,itshalladoptanimplementingactgrantingthatschemearecognitionofequivalencewiththerequirementssetoutinthisRegulation.TheOECDCentreforResponsibleBusinessConductshallbeconsultedpriortotheadoptionofsuchimplementingacts.ThoseimplementingactsshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).5469/23KR/am174ANNEXTREE.1.AENWhenmakingadeterminationontherecognitionofaduediligencescheme,theCommissionshalltakeintoaccountthediverseindustrypracticescoveredbythatschemeandshallhaveregardtotherisk-basedapproachandmethodusedbythatschemetoidentifyrisks.3.TheCommissionisempoweredtoadoptdelegatedactsinaccordancewithArticle73settingoutthecriteriaandthemethodologyaccordingtowhichtheCommissionshalldetermine,inaccordancewithparagraph2,whether▌duediligenceschemesensurethateconomicoperatorsfulfiltherequirementssetoutinArticles45ato45cand45eofthisRegulation.TheCommissionshallalso,asappropriate,periodicallyverifythatrecognised▌duediligenceschemescontinuetofulfilthecriteriathatledtoarecognitionofequivalencedecisionadoptedpursuanttoparagraph2.4.Theownerofa▌duediligenceschemeforwhichtherecognitionofequivalencewasgrantedinaccordancewithparagraph2shallinformtheCommissionwithoutdelayofanychangesorupdatesmadetothatscheme.TheCommissionshallassesswhethersuchchangesorupdatesaffectthebasisfortherecognitionofequivalenceofthatschemeandtakeappropriateaction.5.Ifthereisevidenceofrepeatedorsignificantcaseswhereeconomicoperatorsimplementingaschemerecognisedinaccordancewithparagraph2havefailedtofulfiltherequirementssetoutinArticle45ato45cand45eofthisRegulation,theCommissionshallexamine,inconsultationwiththeowneroftherecognisedscheme,whetherthosecasesindicatedeficienciesinthescheme.5469/23KR/am175ANNEXTREE.1.AEN6.WheretheCommissionidentifiesafailuretocomplywiththerequirementssetoutinArticles45ato45cand45eofthisRegulationordeficienciesinarecognised▌duediligencescheme,itmaygranttheschemeowneranappropriateperiodoftimetotakeremedialaction.7.Wheretheschemeownerfailsorrefusestotakethenecessaryremedialaction,andwheretheCommissionhasdeterminedthatthefailureordeficienciesreferredtoinparagraph6compromisetheabilityoftheeconomicoperatorreferredtoinArticle45a(1)implementingaschemetocomplywiththerequirementssetoutinArticles45ato45cand45eofthisRegulationorwhererepeatedorsignificantcasesofnon-compliancebyeconomicoperatorsimplementingaschemeareduetodeficienciesinthescheme,theCommissionshalladoptanimplementingactwithdrawingtherecognitionofequivalenceofthescheme.ThoseimplementingactsshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).8.TheCommissionshallestablishandkeepup-to-datearegisterofrecognised▌duediligenceschemes.Thatregistershallbemadepubliclyavailableontheinternet.5469/23KR/am176ANNEXTREE.1.AENChapterVII▌ManagementofwastebatteriesArticle45gCompetentauthority1.MemberStatesshalldesignateoneormorecompetentauthoritiesresponsibleforcarryingoutobligationsarisingfromthisChapterandmonitoringandverifyingcomplianceoftheproducersandproducerresponsibilityorganisationswiththoserequirements.1a.EachMemberStatemayalsodesignateonecontactpoint,amongthecompetentauthoritiesreferredtointhefirstsubparagraph,forthepurposeofcommunicatingwiththeCommissionpursuanttoparagraph3.2.MemberStatesshalllaydownthedetailsofthecompetentauthority’sorauthorities’organisationandoperation,includingtheadministrativeandproceduralrulestoensure:(a)theregistrationofproducersinaccordancewithArticle46;(b)theauthorisationofproducersandproducerresponsibilityorganisationsinaccordancewithArticle47b;5469/23KR/am177ANNEXTREE.1.AEN(c)theoversightofimplementationofextendedproducerresponsibilityobligationsinaccordancewithArticle47a;(d)thecollectionofdataonbatteriesandwastebatteriesinaccordancewithArticle61;(e)makinginformationavailableinaccordancewithArticle62.3.By[threemonthsafterthedateofentryintoforceofthisRegulation],MemberStatesshallnotifytheCommissionofthenamesandaddressesofthecompetentauthoritiesdesignatedpursuanttoparagraph1.MemberStatesshallinformtheCommissionwithoutunduedelayofanychangestothenamesoraddressesofthosecompetentauthorities.Article46Registerofproducers▌1.MemberStatesshallestablisharegisterofproducerswhichshallservetomonitorcomplianceofproducerswiththerequirementsofthisChapter.▌2.Producersshallbeobligedtoregisterintheregisterreferredtoinparagraph1.TheyshalltothatendsubmitanapplicationforregistrationineachMemberStatewheretheymakeabatteryavailableonthemarketforthefirsttime.WhereaproducerhasappointedaproducerresponsibilityorganisationinaccordancewithArticle47a(1),theobligationsunderthisarticleshallbemetbythatorganisationmutatismutandisunlessotherwisespecifiedbytheMemberState.5469/23KR/am178ANNEXTREE.1.AENTheobligationsunderthisArticlemay,onproducer’sbehalf,bemetbyanauthorisedrepresentativefortheEPR.Producersshallnotmakeavailablebatteries,includingthoseincorporatedinappliances,lightmeansoftransportorvehicles,onthemarketofaMemberState,iftheyor,incaseofauthorisation,theirauthorisedrepresentativesfortheEPR,arenotregisteredinsuchMemberState.2b.Theapplicationforregistration▌shallincludethefollowinginformation▌:(a)nameandbrandnames(ifavailable)underwhichtheproduceroperateintheMemberStateandaddressoftheproducerincludingpostalcodeandplace,streetandnumber,country,telephone▌,ifany,webaddressande-mailaddress,indicatingasinglecontactpoint;(b)nationalidentificationcodeoftheproducer,includingitstraderegisternumberorequivalentofficialregistrationnumberandtheEuropeanornationaltaxidentificationnumber;▌5469/23KR/am179ANNEXTREE.1.AEN(d)thecategory,orcategories,ofbatteriesthattheproducerintendstomakeavailableonthemarketforthefirsttimewithintheterritoryofaMemberState,namelyportablebatteries,industrialbatteries,LMTbatteries,electricvehiclebatteries,orSLIbatteries,andtheirtype;▌(f)informationonhowtheproducermeetsitsresponsibilitiessetoutinArticle47andtherequirementsunderArticles48,48aand49respectively:(i)forportablebatteriesorLMTbatteries,therequirementsofthispoint(d)shallbemetbyproviding:-informationinwrittenformonthemeasuresputinplacebytheproducertoattaintheproducerresponsibilityobligationssetoutinArticle47,themeasuresputinplacetomeettheseparatecollectionobligationssetoutinArticles48(1)or48a(1)withregardtotheamountofbatteriestheproducermakesavailableonthemarketintheMemberStateandthesystemtoensurethatthedatareportedtothecompetentauthoritiesisreliable;5469/23KR/am180ANNEXTREE.1.AEN-whereapplicable,thenameandcontactdetails,includingpostalcodeandplace,streetandnumber,country,telephone,webaddressande-mailaddressandthenationalidentificationcodeoftheproducerresponsibilityorganisationentrustedbytheproducertofulfilitsextendedproducerresponsibilityobligationsinaccordancewithparagraphs2and4ofArticle47a(2),includingthetraderegisternumberoranequivalentofficialregistrationnumberandtheEuropeanornationaltaxidentificationnumberoftheproducerresponsibilityorganisation,andtherepresentedproducer’smandate;(ii)forSLIbatteries,industrialbatteriesandelectricvehiclebatteries,therequirementsofthispoint(f)shallbemetbyproviding:-informationinwrittenformonthemeasuresputinplacebytheproducertoattaintheproducerresponsibilityobligationssetoutinArticle47,themeasuresputinplacetomeetthecollectionobligationssetoutinArticle49(1)withregardtotheamountofbatteriestheproducermakesavailableonthemarketintheMemberStateandthesystemtoensurethatthedatareportedtothecompetentauthoritiesisreliable;5469/23KR/am181ANNEXTREE.1.AEN-whereapplicable,thenameandcontactdetails,includingpostalcodeandplace,streetandnumber,country,telephone,webaddressande-mailaddressandthenationalidentificationcodeoftheproducerresponsibilityorganisationentrustedbytheproducertofulfilitsextendedproducerresponsibilityobligationsinaccordancewithparagraphs2and4ofArticle47,includingthetraderegisternumberoranequivalentofficialregistrationnumberandtheEuropeanornationaltaxidentificationnumberoftheproducerresponsibilityorganisation,andtherepresentedproducer’smandate.▌(g)astatementbytheproduceror,whereapplicable,producer’sauthorisedrepresentativeortheproducerresponsibilityorganisationappointedinaccordancewithArticle47a(1),statingthattheinformationprovidedistrue.2d.Withoutprejudicetoparagraph2b,theinformationlaiddowninpoint(d)ofthatparagraphshallbeprovidedeitherintheapplicationfortheregistrationunderparagraph2borintheapplicationforauthorisationunderArticle47b.Inthelattercase,theapplicationforregistrationshallincludeatleastinformationoneitherindividualorcollectivefulfilmentoftheextendedproducerresponsibility.2e.MemberStatesmayrequestadditionalinformationordocuments,asnecessary,toefficientlyusetheregisterreferredtoparagraph1.5469/23KR/am182ANNEXTREE.1.AEN2f.InthecasethatobligationsunderthisArticleare,onproducer’sbehalf,metbyanauthorisedrepresentativefortheEPRthatrepresentsmorethanoneproducer,inadditiontotheinformationrequiredunderparagraph2,itshallprovideseparateindicationsofthenameandthecontactdetailsofeachoneoftherepresentedproducers.2g.MemberStatemaydecidethattheregistrationprocedurepursuanttoArticle46andtheauthorizationprocedurepursuanttoArticle47bconstituteasingleprocedure,providedthattheapplicationmeetstherequirementssetoutinArticle46(2b)to(2f).3.Thecompetentauthority:(a)shallreceiveapplicationsfortheregistrationofproducersreferredtoinparagraph2bviaanelectronicdata-processingsystemthedetailsofwhichshallbemadeavailableonthecompetentauthorities’website;(b)shallgrantregistrationsandprovidearegistrationnumberwithinamaximumperiodoftwelveweeksfromthemomentthatalltheinformationlaiddowninparagraphs2,2band2cisprovided;(c)maylaydownmodalitieswithrespecttotherequirementsandprocessofregistrationwithoutaddingsubstantiverequirementstotheoneslaiddowninparagraphs2,2band2c;(d)maychargecost-basedandproportionatefeestoproducersfortheprocessingofapplicationsreferredtoinparagraph2.5469/23KR/am183ANNEXTREE.1.AEN3a.Competentauthoritymayrefuseorwithdrawtheproducer’sregistrationwheretheinformationoutlinedinparagraph2bandrelateddocumentaryevidenceisnotprovidedorisnotsufficientorincasetheproducernolongermeetstherequirementssetinparagraph2b.4.Theproducer,or,whereapplicable,producer’sauthorisedrepresentativeortheproducerresponsibilityorganisationappointed▌onbehalfoftheproducersitrepresentsshallwithoutunduedelaynotifythecompetentauthorityofanychangestotheinformationcontainedintheregistrationandofanypermanentcessationasregardsthemakingavailableonthemarketwithintheterritoryoftheMemberStateofthebatteriesreferredtointheregistrationinaccordancewithparagraph2b(d).Aproducershallbeexcludedfromtheregisterifithasceasedtoexist.4a.Wheretheinformationintheregisterofproducersisnotpubliclyaccessible,MemberStatesshallensurethatprovidersofonlineplatformsallowingconsumerstoconcludedistancecontractswithproducersaregrantedaccess,freeofcharge,totheinformationintheregister.5469/23KR/am184ANNEXTREE.1.AENArticle47ExtendedProducerResponsibility1.ProducersofbatteriesshallhaveextendedproducerresponsibilityforbatteriesthattheymakeavailableonthemarketforthefirsttimewithintheterritoryofaMemberStatethatshallbeincompliancewiththerequirementsofArticle8andArticle8aofDirective2008/98/ECandofthisChapter.2.AneconomicoperatormakingavailableonthemarketforthefirsttimewithintheterritoryofaMemberStateabatterythatresultsfrompreparingforreuse,preparingforrepurpose,repurposingorremanufacturingoperationsshallbeconsideredastheproducerofsuchbatteryforthepurposeofthisRegulationandshallhaveanextendedproducerresponsibility.3.AproducerreferredtoinArticle2,point(37)(iv)shallappointanauthorisedrepresentativefortheEPRineachMemberStateitsellsbatteries.Suchappointmentshallbebywrittenmandate.5469/23KR/am185ANNEXTREE.1.AEN4.ThefinancialcontributionspaidbytheproducershallcoverthefollowingcostsfortheproductsthattheproducermakesavailableonthemarketintheMemberStateconcerned:(a)costsofseparatecollectionofwastebatteriesandtheirsubsequenttransportandtreatment,takingintoaccountanyrevenuesfrompreparingforre-useorpreparingforrepurposeorfromthevalueofsecondaryrawmaterialfromrecycledwastebatteries;▌(b)▌costsofcarryingoutcompositionalsurveyofcollectedmixedmunicipalwasteinaccordancewithArticles48(12)and48a(6);(c)costsofprovidinginformationonpreventionandmanagementofwastebatteriesinaccordancewithArticle60;▌(d)costsofdatagatheringandreportingtothecompetentauthoritiesinaccordancewithArticle61.5469/23KR/am186ANNEXTREE.1.AEN5.Incaseofmakingavailablebatteriesthathavebeensubjecttopreparingforre-use,preparingforrepurpose,repurposingorremanufacturing,boththeproducersoftheoriginalbatteriesandtheproducersofbatteriesthatareplacedonthemarketasaresultoftheabovementionedoperations,mayestablishandadjustacostsharingmechanismbasedontheactualattributionofthecostsbetweenthedifferentproducers,tosharethecostsreferredtoinparagraph4(a),(c)and(d).Whereabattery,inaccordancewithparagraph2,issubjecttomorethanoneextendedproducerresponsibility,thefirstproducermakingthatbatteryavailableonthemarketshallnotbearadditionalcostsasaresultofsuchmechanism.TheCommissionshallfacilitatetheexchangeofinformationandsharingofbestpracticesamongMemberStatesonsuchcostsharingmechanisms.Article47aProducerResponsibilityOrganisation1.ProducersmayentrustaproducerresponsibilityorganisationauthorisedinaccordancewithArticle47btocarryouttheextendedproducerresponsibilityobligationsontheirbehalf.MemberStatesmayadoptmeasurestomaketheentrustmentofaproducerresponsibilityorganisationmandatory.Suchmeasuresshallbejustifiedonthebasisofthespecificcharacteristicsofacertaincategoryofbatteriesplacedonthemarketandrelatedwastemanagementcharacteristics.▌5469/23KR/am187ANNEXTREE.1.AEN2.Inthecaseofacollectivefulfilmentofextendedproducerresponsibilityobligations,producerresponsibilityorganisationsshallensurethatthefinancialcontributionspaidtothembyproducers:(a)aremodulatedinaccordancewiththerequirementslaiddowninpoint(b)ofparagraph4ofArticle8aDirective2008/98/ECand,asaminimumbybatterycategoryandbatterychemistryand,▌takingintoaccountasappropriatetherechargeability,thelevelofrecycledcontentinthemanufactureofbatteriesandthefactthatthebatteriesweresubjecttopreparingforreuse,preparingforrepurpose,repurposingorremanufacturing,andtheircarbonfootprint;(b)areadjustedtotakeaccountofanyrevenuesbytheproducerresponsibilityorganisationsfrompreparingforreuseorpreparingforrepurposingorfromthevalueofsecondaryrawmaterialsfromrecycledwastebatteries;(c)ensureequaltreatmentofproducersregardlessoftheiroriginorsize,withoutplacing▌disproportionate▌burdenonproducers,includingsmallandmediumsizedenterprises,ofsmallquantitiesofbatteries.▌5469/23KR/am188ANNEXTREE.1.AEN3.▌▌Where,intheterritoryofaMemberState,multipleproducerresponsibilityorganisationsareauthorisedtofulfilextendedproducerresponsibilityobligationsonbehalfofproducers,theyshall▌ensureacoverageacrossthewholeterritoryoftheMemberStateoftheactivitiesinaccordancewithArticles48(1),48a(1)and49(1).MemberStatesshallentrustthecompetentauthorityorappointanindependentthirdpartytooverseethatproducerresponsibilityorganisationsfulfiltheirobligationincoordinatedmanner.▌4.Producerresponsibilityorganisationsshallensuretheconfidentialityofthedatainitspossessionasregardsproprietaryinformationorinformationdirectlyattributabletoindividualproducersortheirauthorisedrepresentatives.5.Inadditiontotheinformationreferredtoinpoint(e)ofparagraph3ofArticle8aofDirective2008/98/EC,producerresponsibilityorganisationsshallpublish▌ontheirwebsitesatleasteachyear,subjecttocommercialandindustrialconfidentiality,theinformationontherateofseparatecollectionofwastebatteries,recyclingefficienciesandlevelsofrecoveredmaterialsachievedbytheproducerswhichentrustedtheproducerresponsibilityorganisation.▌▌▌▌5469/23KR/am189ANNEXTREE.1.AEN6.Inadditiontoinformationreferredtoinparagraph5,producerresponsibilityorganisationsshallmakepubliclyavailableinformationontheselectionprocedureforwastemanagementoperatorsreferredtoinArticle47a(8).▌7.Wherenecessarytoavoiddistortionoftheinternalmarket,theCommissionisempoweredtoadoptanimplementingactlayingdowncriteriafortheapplicationofparagraph2(a).ThatimplementingactcannotconcerntheprecisedeterminationofthelevelofthecontributionsandshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).▌8.WastemanagementoperatorsreferredtoinArticle48(2a),48a(5),Article49(4),Article50(3),Article52(1),Article53(2)andArticle54shallbesubjecttoanon-discriminatoryselectionprocedure,basedontransparentawardcriteria,byproducerresponsibilityorganisations,withoutplacingdisproportionateburdenonsmallandmediumsizedenterprises.5469/23KR/am190ANNEXTREE.1.AENArticle47bAuthorisationonfulfilmentofextendedproducerresponsibility1.Aproducer,inthecaseofindividualfulfilmentofextendedproducerresponsibilityobligations,andproducerresponsibilityorganisationsappointedinthecaseofcollectivefulfilmentofextendedproducerresponsibilityobligations,shallapplyforanauthorisationfromthecompetentauthority.2.Theauthorisationshallbegrantedonlywhereitisdemonstratedthat:(a)requirementslaiddowninpoints(a)to(d)ofparagraph3ofArticle8aoftheDirective2008/98/ECarecompliedwithandthemeasuresputinplacebytheproducerorproducerresponsibilityorganisationaresufficienttomeettheobligationssetoutinthisChapterwithregardtotheamountofbatteriesmadeavailableonthemarketforthefirsttimewithintheterritoryofaMemberStatebythethatproducerorthatproducersonwhosebehalftheproducerresponsibilityorganisationacts;and.(b)whereitisdemonstrated,byprovidingdocumentaryevidence,thattherequirementsofparagraphs1,2and3ofArticle48orrequirementsofparagraphs1,2and4ofArticle48aaremetandthatallthearrangementsareinplacetoallowattainingandmaintainingdurablyatleastthecollectiontargetreferredtoinArticle48(4)andArticle48a(3),respectively.5469/23KR/am191ANNEXTREE.1.AEN3.MemberStateshall,initsmeasureslayingdownadministrativeandproceduralrulesreferredtoinArticle45g(2)(b),includethedetailsoftheauthorisationprocedure,whichcanbedifferentforeitherindividualorcollectivefulfilmentoftheextendedproducerresponsibility,andthemodalitiesforverifyingcompliance,includingtheinformationtobeprovidedbyproducersorproducersresponsibilityorganisationstothatend.Theauthorisationprocedureshallincluderequirementontheverificationofthearrangementsputinplacetoensurecompliancewiththerequirementslaiddowninparagraphs1and2ofArticle48andparagraphs1,2and4ofArticle48a,andtimeframesforthisverification,whichshallnotexceedtwelveweeksfromthesubmissionofacompleteapplicationdossier.Thisverificationmaybedonebyanindependentexpertthatshallissueaverificationreportontheresultofverification.4.Theproducerortheproducerresponsibilityorganisationsshallnotifythecompetentauthoritywithoutunduedelayofanychangestotheinformationcontainedintheauthorisation,ofanychangesthatconcernthetermsoftheauthorisationorofthepermanentcessationofoperations.5469/23KR/am192ANNEXTREE.1.AEN5.Theself-controlmechanismprovidedinpoint(d)ofparagraph3ofArticle8aofDirective2008/98/ECshallbecarriedoutregularly,andatleasteverythreeyears,anduponrequestbythecompetentauthority,inordertoverifythattheprovisionsinpoint(d)ofparagraph3ofArticle8aofDirective2008/98/ECarecompliedwithandtheconditionsforauthorisationreferredtoinparagraph2ofthisArticlecontinuetobemet.Theproducerortheproducerresponsibilityorganisationshall,uponrequest,presenttheself-controlreportand,wherenecessary,thedraftcorrectiveactionplantothecompetentauthority.Withoutprejudicetothecompetenciesunderparagraph6ofthisArticle,thecompetentauthoritymaymakeobservationsontheself-controlreportandonthedraftcorrectiveactionplan,and,ifany,shallcommunicatethemtotheproducerortheproducerresponsibilityorganisation.Theproducerortheproducerresponsibilityorganisationshalldrawupandimplementthecorrectiveactionplaninaccordancewiththoseobservations.6.ThecompetentauthoritymayonitsowndiscretiondecidetorevoketherelevantauthorisationifcollectiontargetssetoutinArticle48(4)orArticle48a(3)arenotmetortheproducerorproducerresponsibilityorganisationnolongerfulfilstherequirementswithregardtotheorganisationofthecollectionandtreatmentofwastebatteriesorfailsinrelationtoreportingtothecompetentauthorityornotificationofanychangesthatconcernthetermsoftheauthorisation,orhasceasedoperations.5469/23KR/am193ANNEXTREE.1.AEN7.Aproducer,inthecaseofindividualfulfilmentofextendedproducerresponsibilityobligations,andproducerresponsibilityorganisationsappointedinthecaseofcollectivefulfilmentofextendedproducerresponsibility,shallprovideaguaranteeintendedtocoverthecostsrelatedtowastemanagementoperationsduebytheproducer,ortheproducerresponsibilityorganisation,incaseofnon-compliancewiththeextendedproducerresponsibilityobligations,includingincaseofpermanentcessationofitsoperationsorinsolvency.Memberstatemayspecifyadditionalrequirementsonthisguarantee.IncaseofStaterunproducerresponsibilityorganisation,suchguaranteemaynotbeprovidedbytheorganisationitselfandmayhavetheformofapublicfund,financedbyproducers’fees,forwhichtheMemberStaterunningtheorganisationisjointlyandseverallyliable.Article48Collectionofwasteportablebatteries1.Producersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations▌,shallensuretheseparatecollectionofallwasteportablebatteries,regardlessoftheirnature,chemicalcomposition,condition,brandororigin,intheterritoryofaMemberStatewheretheymakebatteriesavailableonthemarketforthefirsttime.Forthatpurposetheyshall:(a)establishwasteportablebatterytake-backandcollectionsystems,whichincludecollectionpoints;5469/23KR/am194ANNEXTREE.1.AEN(b)offerthecollectionofwasteportablebatteries,freeofcharge,totheentitiesreferredtoinparagraph2(a)andprovideforthecollectionofwasteportablebatteriesfromallentitiesthathavemadeuseofthatoffer(“connectedcollectionpoints”);(c)provideforthenecessarypracticalarrangementsforcollectionandtransport,includingtheprovision,freeofcharge,ofsuitablecollectionandtransportcontainersmeetingtherequirementsofDirective2008/68/EC58totheconnectedcollectionpoints;(d)ensurethecollection,freeofcharge,ofthewasteportablebatteriescollectedbytheconnectedcollectionpoints,withafrequencythatisproportionatetotheareacoveredandthevolumeandhazardousnatureofthewasteportablebatteriesusuallycollectedthroughthosecollectionpoints;(da)ensurethecollection,freeofcharge,ofthewasteportablebatteriesremovedfromwasteelectricalandelectronicequipment,withafrequencythatisproportionatetothevolumeandhazardousnatureofthewasteportablebatteries;(e)ensurethatthewasteportablebatteriescollectedfromtheconnectedcollectionpointsandremovedfromwasteelectricalandelectronicequipmentaresubsequentlysubjecttotreatment▌inapermittedfacilitybyawastemanagementoperatorinaccordancewithArticle56.58Directive2008/68/ECoftheEuropeanParliamentandoftheCouncilof24September2008ontheinlandtransportofdangerousgoods(OJL260,30.9.2008,p.13)5469/23KR/am195ANNEXTREE.1.AEN2.Producersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations▌,shallensurethatthetake-backandcollectionsystemforwasteportablebatteries:(a)consistsofcollectionpointsprovidedbythemincooperationwithoneormoreofthefollowing:(i)distributorsinaccordancewithArticle50;(ii)▌end-of-lifevehicletreatment▌facilitiesinaccordancewithArticle52;(iii)publicauthoritiesorthirdpartiescarryingoutwastemanagementontheirbehalfinaccordancewithArticle53;(iv)voluntarycollectionpointsinaccordancewithArticle54;(v)wasteelectricalandelectronicequipmenttreatmentfacilitiesinaccordancewithDirective2012/19/EC.(b)coversthewholeterritoryoftheMemberStatetakingintoaccountpopulationsize,expectedvolumeofwasteportablebatteries,accessibilityandvicinitytoend-users,notbeinglimitedtoareaswherethecollectionandsubsequentmanagementofwasteportablebatteriesisprofitable.5469/23KR/am196ANNEXTREE.1.AEN3.Endusersshallbeabletodiscardwasteportablebatteriesatcollectionpointsreferredtoinparagraph2andshallnotbechargedorbeobligedtobuyanewbatteryortohaveboughtthebatteryfromtheproducerswhosetupthecollectionpoints.4.Producersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations▌,shallattain,andmaintaindurably,atleastthefollowingcollectiontargetsofwasteportablebatteries▌,madeavailableonthemarketforthefirsttimeinaMemberStatebytherespectiveproducerorcollectivelybytheproducerscoveredbyaproducerresponsibilityorganisation:(a)45%by31December2023;(b)63%by31December2027;(c)73%by31December2030.Producersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations▌,shallcalculatethecollectionratereferredtointhisparagraphinaccordancewithAnnexXI.5.Collectionpointssetupinaccordancewithparagraphs1andpoints(i),(iii)and(iv)ofparagraph2(a)shallnotbesubjecttotheregistrationorpermitrequirementsofDirective2008/98/EC.6.MemberStatemayadoptmeasurestorequirethatthecollectionpointsmentionedinparagraph2maycollectwasteportablebatteriesonlyiftheyhaveconcludedacontractwiththeproducersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations.5469/23KR/am197ANNEXTREE.1.AEN▌▌▌▌▌7.EveryfiveyearstheMemberStatesshallcarryoutacompositionalsurvey▌ofcollectedmixedmunicipalwasteandwasteelectricandelectronicequipmentstreamstodeterminetheshareofwasteportablebatteriestherein.Thefirstsurveyshallbecarriedoutby1Januaryoftheyear24monthsafterthedateofentryintoforceofthisRegulation.Onthebasisoftheinformationobtained,thecompetentauthoritiesmayrequire,▌thattheproducersofportablebatteriesorproducerresponsibilityorganisationstakecorrectiveactiontoincreasetheirnetworkofconnectedcollectionpointsandcarryoutinformationcampaignsinaccordancewithArticle60(1)▌.8.Duetotheexpecteddevelopmentofthemarketandincreaseoftheestimatedlifetimeofrechargeableportablebatteries,inordertobettercapturetheactualvolumeofportablebatterieswasteavailableforcollection,theCommissionshallbeempoweredtoadopt,by48monthsafterentryintoforceoftheRegulationdelegatedactsinaccordancewithArticle73toamendthemethodologytocalculatethecollectionrateofportablebatterieslaiddowninAnnexXIandamendthetargetlaiddowninparagraph4toadapttheratetothenewmethodologywhilemaintainingequivalentambitionandtimelines.5469/23KR/am198ANNEXTREE.1.AENArticle48aCollectionofwasteLMTbatteries1.Producersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations,shallensurethecollectionofallLMTbatteries,regardlessoftheirnature,chemicalcomposition,condition,brandororigin,intheterritoryofaMemberStatewheretheymakebatteriesavailableonthemarketforthefirsttime.Forthatpurposetheyshall:(a)establishwasteLMTbatterytakebackandcollectionsystems,whichincludecollectionpoints;(b)offerthecollectionofwasteLMTbatteries,freeofcharge,totheentitiesreferredtoinparagraph2(a)andprovideforthecollectionofwasteLMTbatteriesfromallentitiesthathavemadeuseofthatoffer("connectedcollectionpoints");(c)provideforthenecessarypracticalarrangementsforcollectionandtransport,includingtheprovision,freeofcharge,ofsuitablecollectionandtransportcontainersmeetingtherequirementsofDirective2008/68/EC59totheconnectedcollectionpoints;59Directive2008/68/ECoftheEuropeanParliamentandoftheCouncilof24September2008ontheinlandtransportofdangerousgoods(OJL260,30.9.2008,p.13)5469/23KR/am199ANNEXTREE.1.AEN(d)ensurethecollection,freeofcharge,ofthewasteLMTbatteriescollectedbytheconnectedcollectionpoints,withafrequencythatisproportionatetotheareacoveredandthevolumeandhazardousnatureofthewasteLMTbatteriesusuallycollectedthroughthosecollectionpoints;(e)ensurethatthewasteLMTbatteriescollectedfromtheconnectedcollectionpointsandremovedfromwasteelectricalandelectronicequipmentaresubsequentlysubjecttotreatmentinapermittedfacilitybyawastemanagementoperatorinaccordancewithArticle56.2.Producersor,whereappointedinaccordancewithArticle47(247a(1),producerresponsibilityorganisationsactingontheirbehalf,shallensurethatthenetworkofconnectedtakebackandcollectionpointssystemforwasteLMTbattery:(a)consistsofcollectionpointsprovidedbythemincooperationwithoneormoreofthefollowing:(i)distributorsinaccordancewithArticle50;(ii)end-of-lifevehicletreatmentfacilitiesinaccordancewithArticle52;(iii)publicauthorities,orthirdpartiescarryingoutwastemanagementontheirbehalf,inaccordancewithArticle53;5469/23KR/am200ANNEXTREE.1.AEN(iv)voluntarycollectionpointsinaccordancewithArticle54;(v)wasteelectricalandelectronicequipmenttreatmentandrecyclingfacilitiesinaccordancewithDirective2012/19/EC.(b)coversthewholeterritoryoftheMemberStatetakingintoaccountpopulationsize,expectedvolumeofwasteLMTbatteries,accessibilityandvicinitytoend-users,notbeinglimitedtoareaswherethecollectionandsubsequentmanagementofwasteLMTbatteriesisprofitable.3.End-users,whendiscardingwasteLMTbatteriesatcollectionpointsreferredtoinparagraph2,shallnotbechargedorbeobligedtobuyanewbatteryortohaveboughtthebatteryfromtheproducerswhosetupthecollectionpoints.Producersor,whereappointedinaccordancewithArticle47a(2),producerresponsibilityorganisations,shallattain,andmaintaindurably,atleastthefollowingcollectiontargetsofwasteLMTbatteries:51%by31December202861%by31December2031ProducersorproducerresponsibilityorganisationsshallcalculatethecollectionratereferredtointhisparagraphinaccordancewithAnnexXI.5469/23KR/am201ANNEXTREE.1.AEN4.ProducersofLMTbatteriesorproducerresponsibilityorganisations,shall:(a)providethecollectionpointsreferredtoinparagraph1withsuitablecollectioninfrastructurefortheseparatecollectionofwasteLMTbatteriesmeetingtheapplicablesafetyrequirementsandcoverthenecessarycostsincurredbythosecollectionpointsinrelationtothetakebackactivities.ThecontainersforcollectionandtemporarystorageofsuchwastebatteriesatthecollectionpointsshallbeadequatetoprovideforthevolumeandhazardousnatureofwasteLMTbatteriesthatarelikelytobecollectedthroughthosecollectionpoints;(b)collectwasteLMTbatteriesfromthecollectionpointsreferredtoinparagraph1withafrequencythatisproportionatetothestoragecapacityoftheseparatecollectioninfrastructureandthevolumeandhazardousnatureofwastebatteriesthatareusuallycollectedthroughthosecollectionpoints;(c)provideforthedeliveryofwasteLMTbatteriescollectedfromend-usersandfromthecollectionpointsreferredtoinparagraph1tofacilitiesfortreatmentinaccordancewithArticle56.5.Collectionpointssetupinaccordancewithparagraphs1andpoints(i),(iii)and(iv)ofparagraph2(a)shallnotbesubjecttotheregistrationorpermitrequirementsofDirective2008/98/EC.5469/23KR/am202ANNEXTREE.1.AEN6.MemberStatemayadoptmeasurestorequirethatthecollectionpointsmentionedinparagraph2maycollectwasteLMTbatteriesonlyiftheyhaveconcludedacontractwiththeproducersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations.7.InthecompositionalsurveycarriedoutinaccordancewithArticle48(7)MemberStatesshalldeterminetheshareofwasteLMTbatteriesinthecollectedmixedmunicipalwaste.Onthebasisoftheinformationobtained,thecompetentauthoritiesmayrequirethattheproducersofLMTbatteriesorproducerresponsibilityorganisationstakecorrectiveactiontoincreasetheirnetworkofconnectedcollectionpointsandcarryoutinformationcampaignsinaccordancewithArticle60(1).8.DuetotheexpecteddevelopmentofthemarketandincreaseoftheestimatedlifetimeofLMTbatteries,inordertobettercapturetheactualvolumeofwasteLMTbatteriesavailableforcollection,theCommissionshallbeempoweredtoadopt,by48monthsafterentryintoforceoftheRegulation,delegatedactsinaccordancewithArticle73toamendthemethodologytocalculatethecollectionrateofwasteLMTbatterieslaiddowninAnnexXIandamendthetargetlaiddowninparagraph3,accordingly.5469/23KR/am203ANNEXTREE.1.AENArticle49CollectionofwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteries1.ProducersofSLIbatteries,industrialbatteriesandelectricvehiclebatteriesor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations,shalltakeback,freeofchargeandwithoutanobligationontheend-usertobuyanewbattery,nortohaveboughtthebatteryfromthem,andcollectallwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriesregardlessoftheirnature,chemicalcomposition,condition,brand,ororiginoftherespectivecategorythattheyhavemadeavailableonthemarketforthefirsttimeintheterritoryofthatMemberState.ForthatpurposetheyshallaccepttotakebackwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriesfromend-users,orfromtakebackandcollectionsystemswhichincludecollectionpointsprovidedincooperationwith:(a)distributorsofSLIbatteries,industrialbatteriesandelectricvehiclebatteriesinaccordancewithArticle50(1);(aa)operatorscarryingoutre-use,remanufacturingorrepurposingofSLIbatteries,industrialbatteriesandelectricvehiclebatteries;(b)wasteelectricalandelectronicequipmentandend-of-lifevehicletreatment▌facilitiesreferredtoinArticle52forthewasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriesarisingfromtheiroperations;5469/23KR/am204ANNEXTREE.1.AEN(c)publicauthoritiesorthirdpartiescarryingoutwastemanagementontheirbehalfinaccordancewithArticle53.MemberStatemayadoptmeasurestorequirethattheentitiesreferredtoinpoints(a),(b)and(c)ofthefirstsubparagraphmaycollectwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriesonlyiftheyhaveacontractwiththeproducersortheirproducerresponsibilityorganisations.Wherewasteindustrialbatteriesrequirepriordismantlingatthepremisesofprivate,non-commercialusers,theobligationoftheproducertotakebackthosewastebatteriesshallnotresultinanycostsrelatedtothedismantlingandcollectionofthosewastebatteriesbeingbornebythoseusers.2.Thetakebackarrangementsputinplaceinaccordancewithparagraph1shallcoverthewholeterritoryofaMemberStatetakingintoaccountpopulationsizeanddensity,expectedvolumeofwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteries,accessibilityandvicinitytoend-users,notbeinglimitedtoareaswherethecollectionandsubsequentmanagementofwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriesismostprofitable.5469/23KR/am205ANNEXTREE.1.AEN3.ProducersofSLIbatteries,industrialbatteriesandelectricvehiclebatteriesor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations,shall:(a)providethetakebackandcollectionsystemsreferredtoinparagraph1withsuitablecollectioninfrastructurefortheseparatecollectionofwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriesmeetingtheapplicablesafetyrequirementsandcoverthenecessarycostsincurredbythosetakebackandcollectionsystemsinrelationtothetakebackactivities.ThecontainersforcollectionandtemporarystorageofsuchwastebatteriesatthetakebackandcollectionsystemsshallbeadequatetoprovideforthevolumeandhazardousnatureofwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriesthatarelikelytobecollectedthroughthosecollectionpoints;(b)collectwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriesfromthetakebackandcollectionsystemsreferredtoinparagraph1withafrequencythatisproportionatetothestoragecapacityoftheseparatecollectioninfrastructureandthevolumeandhazardousnatureofwastebatteriesthatareusuallycollectedthroughthosetakebackandcollectionsystems;(c)provideforthedeliveryofwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriescollectedfromend-usersandfromthetakebackandcollectionsystemsreferredtoinparagraph1tofacilitiesfortreatment▌inaccordancewithArticle56andArticle59.5469/23KR/am206ANNEXTREE.1.AEN4.Theentitiesreferredtoinpoints(a),(b)and(c)ofparagraph1mayhandovercollectedwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriestoauthorisedwastemanagementoperatorsreferredtoinArticle47a(8)fortreatmentinaccordancewithArticle56.Insuchcases,theobligationofproducerspursuanttoparagraph3(c)shallbedeemedtobemet.Article50Obligationsofdistributors1.Distributorsshalltakebackwastebatteriesfromtheend-userfreeofchargeandwithoutanobligationontheend-usertobuyortohaveboughtanewbattery,regardlessoftheirchemicalcomposition,brandororigin.Takebackforwasteportablebatteriesshallbeprovidedatorintheimmediatevicinityoftheirretailoutlet.TakebackforwasteLMTbatteries,SLIbatteries,industrialbatteriesandelectricvehiclebatteriesshallbeprovidedatorinthevicinityoftheirretailoutlet.Thisobligationislimitedtothecategoriesofwastebatterieswhichthedistributorhas,orhad,asnewbatteriesinitsofferand,forwasteportablebatteries,tothequantitythatnon-professionalend-usersnormallydiscard.2.Thetakebackobligationlaiddowninparagraph1doesnotapplytowasteproductscontainingbatteries.▌5469/23KR/am207ANNEXTREE.1.AEN3.DistributorsshallhandoverwastebatteriesthattheyhavetakenbacktotheproducersorproducerresponsibilityorganisationswhoareresponsibletoensurethecollectionofthosebatteriesinaccordancewithArticles48,48aand49respectively,ortoanwastemanagementoperatorreferredtoinArticle47a(8)withaviewtotheirtreatment▌inaccordancewiththerequirementsofArticle56.4.Theobligationsunderthisarticleshallapplymutatismutandistodistributors▌supplyingbatteriesbymeansofdistancecontractstoend-users.ThosedistributorsshallprovideforasufficientnumberofcollectionpointscoveringthewholeterritoryofaMemberStateandtakingintoaccountpopulationsizeanddensity,expectedvolumeof,respectively,wasteportablebatteries,LMTbatteries,SLIbatteries,industrialbatteriesandelectricvehiclebatteries,accessibilityandvicinitytoend-usersallowingend-userstoreturnbatteries.4a.Inthecaseofsaleswithdelivery,distributorsshalloffertotakebackwasteportablebatteries,LMTbatteries,industrialbatteries,SLIbatteriesandelectricvehiclebatteriesfreeofchargeatthepointofdeliverytotheend-useroratalocalcollectionpoint.Theend-usershallbeinformedofthearrangementsfortakingbackofawastebatterywhenorderingabattery.5469/23KR/am208ANNEXTREE.1.AEN4b.ForthepurposeofcompliancewithArticle30,paragraph1,points(d)and(e),ofRegulation(EU)2022/2065,providersofonlineplatforms,fallingwithinthescopeofSection4ofChapter3ofRegulation(EU)2022/2065,allowingconsumerstoconcludedistancecontractswithproducersshallobtainthefollowinginformationfromproducersofferingbatteries,includingthoseincorporatedinappliances,lightmeansoftransportorvehicles,toconsumerslocatedintheUnion:(a)informationontheregisterofproducersreferredtoinArticle46ofthisRegulationanditsregistrationnumber(s)inthatregister;(b)aself-certificationbytheproducercommittingtoonlyofferbatteries,includingthoseincorporatedinappliances,lightmeansoftransportorvehicles,withregardtowhichtheextendedproducerresponsibilityrequirementsreferredtoinArticle47(1),(2),(3)and(4),Article47a(1)andArticle47b(1),(2)and(7),ofthisRegulationarecompliedwith.Article50aDepositreturnsystemsforbatteriesBy31December2027,theCommissionshallassessthefeasibilityandpotentialbenefitsofestablishmentofdepositreturnsystemsforbatteries,inparticularforportablebatteriesofgeneraluse.Tothatend,theCommissionshallsubmitareporttotheEuropeanParliamentandtotheCouncilandconsidertakingappropriatemeasures,includingtheadoptionoflegislativeproposals.5469/23KR/am209ANNEXTREE.1.AENArticle51Obligationsofend-users1.End-usersshalldiscardwastebatteriesseparatelyfromotherwastestreams,includingfrommixedmunicipalwaste.2.End-usersshalldiscardwastebatteriesindesignatedseparatecollectionpointssetupbyorinaccordancewiththespecificarrangementsconcludedwiththeproduceroraproducerresponsibilityorganisation,inaccordancewithArticles48,48aand49.▌▌Producersorproducerresponsibilityorganisationsshallsetupawarenesscampaignsorofferincentivestoencourageend-userstodiscardwastebatteriesinamannercompliantwiththeinformationtoend-usersonpreventionandmanagementofwastebatteriesinArticle60(1).5469/23KR/am210ANNEXTREE.1.AENArticle52Obligationsoftreatmentfacilities1.OperatorsofwastetreatmentfacilitiessubjecttoDirectives2000/53/ECor2012/19/EUshallhandoverwastebatteriesresultingfromthetreatmentofend-of-lifevehiclesorwasteelectricalandelectronicequipmenttotheproducersoftherelevantcategoryofbatteriesor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations,ortowastemanagementoperatorsreferredtoinArticle47a(8)withaviewtotheirtreatment▌inaccordancewiththerequirementsofArticle56.2.Theoperatorsofwastetreatmentfacilitiesreferredtoinparagraph1shallkeeprecordsofthosetransactions.Article53Participationofpublicwastemanagementauthorities1.Wastebatteriesoriginatingfromprivate,non-commercialend-usersmaybediscardedinseparatecollectionpointssetupbypublicwastemanagementauthorities.5469/23KR/am211ANNEXTREE.1.AEN2.Publicwastemanagementauthoritiesshallhandovercollectedwastebatteriestotheproducersor,whereappointedinaccordancewithArticle47a(1),toproducerresponsibilityorganisations▌,ortowastemanagementoperatorsreferredtoinArticle47a(8)withaviewtotheirtreatmentofthosewastebatteriesinaccordancewiththerequirementsofArticle56,orcarryouttheirtreatment▌themselvesinaccordancewiththerequirementsofArticle56.Article54Participationofvoluntarycollectionpoints1.Voluntarycollectionpointsforwasteportablebatteriesshallhandovercollectedwasteportablebatteriesto-theproducersofportablebatteriesorthirdpartiesactingontheirbehalf,includingproducerresponsibilityorganisations,ortowastemanagementoperatorsreferredtoinArticle47a(8)withaviewtotheirtreatment▌inaccordancewiththerequirementsofArticle56.2.VoluntarycollectionpointsforwasteLMTbatteriesshallhandovercollectedwasteLMTbatteriesto-theproducersofLMTbatteriesorthirdpartiesactingontheirbehalf,includingproducerresponsibilityorganisations,ortowastemanagementoperatorsreferredtoinArticle47a(8)withaviewtotheirtreatmentinaccordancewiththerequirementsofArticle56.5469/23KR/am212ANNEXTREE.1.AENArticle54aRestrictionsregardinghandoverofwasteportablebatteriesandwasteLMTbatteries1.MemberStatesmayrestrictthepossibilityofdistributors,operatorsofwastetreatmentfacilitiesreferredtoinArticle52,publicwastemanagementauthoritiesreferredtoinArticle53andvoluntarycollectionpointsreferredtoinArticle54tohandovercollectedwasteportablebatteriesandwasteLMTbatterieseithertoproducersorproducerresponsibilityorganisations,ortoawastemanagementoperatortocarryouttreatmentinaccordancewithArticle56.MemberStatesshallensurethatsuchrestrictionsdonothaveanadverseimpactonthecollectionandrecyclingsystems.2.MemberStatesmayalsoadoptmeasuresallowingthepossibilityforpublicwastemanagementauthoritiesreferredtoinArticle53(1)tocarryouttheirtreatmentinaccordancewithArticle56themselves.5469/23KR/am213ANNEXTREE.1.AENArticle55ObligationsforMemberStatesregardingcollectionratesforwasteportableandwasteLMTbatteries1.MemberStatesshalladoptthenecessarymeasuresfortheachievementbyproducersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations,ofthecollectiontargetslaiddowninArticle48(4),firstsubparagraph,points(a)to(c),withrespecttowasteportablebatteries,andlaiddowninArticle48a(3),firstindent,withrespecttowasteLMTbatteries,calculatedinaccordancewithAnnexXI.▌▌▌5469/23KR/am214ANNEXTREE.1.AEN2.Inparticular,MemberStatesshallregularly,atleastonceayear,monitorproducers’or,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations’collectionratestoverifythattheyhavetakenadequatemeasurestoachievethecollectiontargetslaiddowninArticle48(4),firstsubparagraph,points(a)to(c)withrespecttowasteportablebatteries,andlaiddowninArticle48a(3),firstindentwithrespecttowasteLMTbatteries,calculatedinaccordancewithAnnexXI.ThemonitoringshallbebasedinparticularontheinformationreportedtothecompetentauthoritiesinaccordancewithArticle61,includingtheverificationofthatinformation,theverificationofcompliancewiththecalculationmethodologysetoutinAnnexXIandtheresultsofthecompositionalsurveyreferredtoinparagraph2andanyotherinformationavailabletotheMemberState.3.Where,onthebasisofthemonitoringreferredtoinparagraph2,aMemberStatefindsthataproduceror,whereappointedinaccordancewithArticle47a(1),aproducerresponsibilityorganisation,hasnottakenmeasuresconsistentwiththeachievementofthecollectiontargetslaiddowninArticle48(4),firstsubparagraph,points(a)to(c),withrespecttowasteportablebatteries,andlaiddowninArticle48a(3),firstindent,withrespecttowasteLMTbatteries,itshallrequirethatproducerorproducerresponsibilityorganisationtotakeappropriatecorrectiveactionsensuringthatitcanachievethetargetssetoutinArticle48(4),firstsubparagraph,points(a)to(c),orinArticle48a(3),firstindent,asapplicable.5469/23KR/am215ANNEXTREE.1.AEN4.Withoutprejudicetotheself-controlmechanismunderArt47b(5),theproducerorproducerresponsibilityorganisationshallpresentadraftcorrectiveactionplantothecompetentauthoritywithinthreemonthsoftherequestbythecompetentauthorityreferredtoinparagraph3,whichmaymakeobservationsonthedraftplan,and,ifany,shallcommunicatethemtotheproducerortheproducerresponsibilityorganisationwithinonemonthafterreceptionofthedraftcorrectiveplan.Whenthecompetentauthoritymakesitsobservationknown,theproducerortheproducerresponsibilityorganisationsshalldrawupthecorrectiveactionplan,inaccordancewithsuchobservationwithinonemonthofthereceptionoftheobservationsbythecompetentauthorityandshallimplementitaccordingly.Thecontentofthecorrectiveactionplanandthecompliancewithitbytheproducerortheproducerresponsibilityorganisationshallbetakenintoaccountwhenevaluatingwhethertheconditionsfortheauthorisationcontinuetobemet.5.Everyfiveyears,MemberStatesshallcarryoutacompositionalsurveyofcollectedmixedmunicipalwasteandwasteelectricandelectronicequipmentstreamstodeterminetheshareofwasteportablebatteriesandwasteLMTbatteriestherein.Thefirstsurveyshallbecarriedoutby1January...[oftheyearafter24monthsafterthedateofentryintoforceofthisRegulation]fortheprecedingcalendaryear.Onthebasisoftheinformationobtained,thecompetentauthoritiesmayrequire,thattheproducersofportablebatteries,producersofLMTbatteriesorproducerresponsibilityorganisationstakecorrectiveactiontoincreasetheirnetworkofconnectedcollectionpointsandcarryoutinformationcampaignsinaccordancewithArticle60(1).5469/23KR/am216ANNEXTREE.1.AENArticle56Treatment▌1.Collectedwastebatteriesshallnotbedisposedoforbethesubjectofanenergyrecoveryoperation.2.WithoutprejudicetoDirective2010/75/EU,permittedfacilitiesshallensurethatalltreatmentoperationsforwastebatteriescomply,asaminimum,withPartAofAnnexXIIandwithbestavailabletechniquesasdefinedinArticle3(10)ofDirective2010/75/EU.3.▌Wherebatteriesarecollectedwhilestillincorporatedintoanend-of-lifevehicle,inawastelightmeanoftransport,inawasteappliance,awastelightmeanoftransportoranend-of-lifevehicle,theyshallberemovedfromthecollectedwasteappliance,wastelightmeansoftransportorend-of-lifevehicleinaccordancewith,whereapplicable,therequirementslaiddowninDirective2000/53/ECor2012/19/EU.4.TheCommissionisempoweredtoadoptdelegatedactsinaccordancewithArticle73toamendthetreatment▌requirementsforwastebatterieslaiddowninPartAofAnnexXIIinlightoftechnicalandscientificprogressandemergingnewtechnologiesinwastemanagement.4a.MemberStatesmaysetupincentiveschemesforeconomicoperatorsthatachievehigheryieldsthantherespectivethresholdssetoutinPartsBandCofAnnexXII.5469/23KR/am217ANNEXTREE.1.AENArticle57Recyclingefficienciesandmaterialrecoverytargets1.Permittedfacilitiesshallensurethatallwastebatteriesmadeavailabletothatfacilitywillbeacceptedandundergopreparationforreuse,preparationforrepurposingorrecycling.2.Recyclersshallensurethat▌recycling▌shallachievetheminimumrecyclingefficienciesandthelevelsofrecoveredmaterialslaiddown,respectively,inPartsBandCofAnnexXII.3.TherecyclingefficienciesandtherecoveryofmaterialslaiddowninPartsBandCofAnnexXIIshallbecalculatedinaccordancewiththeruleslaiddowninanimplementingactadoptedpursuanttoparagraph4.4.TheCommissionshall,by18monthsafterentryintoforceoftheRegulation,adoptadelegatedactinaccordancewithArticle73tosupplementthisRegulationbyestablishingthemethodologyforcalculationandverificationofrecyclingefficienciesandrecoveryofmaterial,inaccordancewiththeessentialelementssetoutinAnnexXII,andtheformatforthedocumentation.5469/23KR/am218ANNEXTREE.1.AEN5.By36monthsafterentryintoforceoftheRegulationandatleasteveryfiveyearsthereafter,theCommissionshallassesswhether,duetothedevelopmentsinthemarket,inparticularbatterytechnologiesimpactingthetypeofmaterialsrecoveredandexistingandforecastedavailabilityofcobalt,copper,lead,lithiumornickelorthelackthereof,andinviewoftechnicalandscientificprogress,itisappropriatetorevisetherecyclingefficienciesandtherecoveryofmaterialslaiddownin▌PartsBandCofAnnexXII.Wherejustifiedandappropriateonthebasisofthatassessment,theCommissionshallbeempoweredtoadoptadelegatedactinaccordancewithArticle73toamendtherecyclingefficienciesandtherecoveryofmaterialslaiddowninPartsBandCofAnnexXII.5a.Whereappropriateduetomarketdevelopmentsimpactingthetypeofmaterialsthatcanberecoveredandinlightoftechnicalandscientificprogress,includingemergingnewtechnologiesinwastemanagement,theCommissionshallbeempoweredtoadoptdelegatedactsinaccordancewithArticle73,toamendAnnexXII,PartCofthisRegulationbyaddingfurthermaterialswithspecificlevelsofrecoveredmaterialperspecificmaterial,andAnnexXII,PartBofthisRegulationbyaddingfurtherbatterychemistrieswithspecificlevelsofminimumrecyclingefficiency.5469/23KR/am219ANNEXTREE.1.AENArticle58Shipmentsofwastebatteries1.Treatment▌maybeundertakenoutsidetheMemberStateconcernedoroutsidetheUnion,providedthattheshipmentofwastebatteries,orfractionsthereof,isincompliancewithRegulation(EC)No1013/2006andRegulation(EC)No1418/2007.Inordertodistinguishbetweenusedbatteriesandwastebatteries,shipmentsofusedbatteriessuspectedtobewastemaybeinspectedbyMemberStatesforcompliancewiththeminimumrequirementsinAnnexXIVandmonitoredaccordingly.WhenithasbeenestablishedbythecompetentauthoritiesinMemberStatesthatanintendedshipmentofusedbatteriesconsistsofwastebatteries,thecostsofappropriateanalysesandinspections,includingstoragecosts,ofusedbatteriessuspectedtobewastemaybechargedtotheproducers,tothirdpartiesactingontheirbehalfortootherpersonsarrangingtheshipmentofusedbatteriessuspectedtobewaste.TheCommissionisempoweredtoadoptdelegatedacts,inaccordancewithArticle73ofthisRegulation,supplementingtheminimumrequirementsinAnnexXIV,inparticularonthestateofhealth,todistinguishbetweentheshipmentofusedbatteriesandwastebatteries.5469/23KR/am220ANNEXTREE.1.AEN2.Wastebatteries,orfractionsthereof,exportedoutoftheUnioninaccordancewithparagraph1shallonlycounttowardsthefulfilmentofobligations,efficienciesandtargetssetoutinArticle56andArticle57iftheexporterofthewastebatteries,orfractionsthereof,fortreatmentprovidesdocumentaryevidenceapprovedbythecompetentauthorityofdestinationthatthetreatmenttookplaceinconditionsthatareequivalenttotherequirementsofthisRegulationandtohumanhealthandenvironmentalprotectionrequirementslaiddowninotherUnionlegislation.3.TheCommissionisempoweredtoadoptadelegatedact,inaccordancewithArticle73,layingdowndetailedrulessupplementingthoseinparagraph2ofthisArticle,bylayingdownthecriteriafortheassessmentofequivalentconditions.Article59Preparingforre-use,preparingforrepurposeofwasteLMTbatteries,wasteindustrialbatteriesandwasteelectricvehiclebatteries▌▌▌▌5469/23KR/am221ANNEXTREE.1.AEN4.InordertodocumentthatawasteLMTbattery,industrialbatteryandelectricvehiclebatterysubjecttopreparingforre-use,orpreparingforrepurpose,isnolongerwaste,thebatteryholdershalldemonstratethefollowinguponrequestbyacompetentauthority:(a)evidenceofstateofhealthevaluationortestingcarriedoutinaMemberStateintheformofacopyoftherecordconfirmingthecapabilityofthebatterytodelivertheperformancerelevantforitsusefollowingapreparingforre-use,orpreparingforrepurpose;(b)furtheruseofthebatterythathasbeensubjecttopreparingforre-use,orpreparingforrepurpose,isdocumentedbymeansofaninvoiceoracontractforthesaleortransferofownershipofthebattery;(c)evidenceofappropriateprotectionagainstdamageduringtransportation,loadingandunloading,includingthroughsufficientpackagingandappropriatestackingoftheload.5.Informationreferredtoin▌point(a)ofparagraph4shallbemadeavailabletoend-usersandthirdpartiesactingontheirbehalf,onequaltermsandconditions,aspartofthe▌documentationaccompanyingthebatteryreferredtoinparagraph5whenplacedonthemarketorputintoservice.5469/23KR/am222ANNEXTREE.1.AEN6.Theprovisionofinformationinaccordancewithparagraphs1,2,4and5shallbewithoutprejudicetopreservingtheconfidentialityofcommerciallysensitiveinformationinconformitywiththerelevantUnionandnationallaw.7.TheCommissionisempoweredtoadoptimplementingactsestablishingdetailedtechnicalandverificationrequirementsthatwasteLMTbatteries,wasteindustrialbatteriesorwasteelectricvehiclebatterieshavetofulfiltoceasetobewaste.ThisimplementingactshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).Article60▌Informationonpreventionandmanagementofwastebatteries1.Inadditiontotheinformationreferredtoinparagraph2ofArticle8aofDirective2008/98/EC,Producersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations▌shallmakeavailabletoend-usersanddistributorsthefollowinginformationregardingthepreventionandmanagementofwastebatterieswithrespecttothecategoriesofbatteriesthattheproducerssupplywithintheterritoryofaMemberState:(a)theroleofend-usersincontributingtowasteprevention,includingbyinformationongoodpracticesandrecommendationsconcerningtheuseofbatteriesaimingatextendingtheirusephaseandthepossibilitiesofre-use,preparingforre-use,preparingforrepurpose,repurposingandremanufacturing;5469/23KR/am223ANNEXTREE.1.AEN(b)theroleofend-usersincontributingtotheseparatecollectionofwastebatteriesinaccordancewiththeirobligationsunderArticle51soastoallowtheirtreatment;(c)theseparatecollection,take-backandcollectionpoints,preparingforre-use,preparingforrepurposing,andrecyclingoperationsavailableforwastebatteries;(d)thenecessarysafetyinstructionstohandlewastebatteries,includinginrelationtotherisksassociatedwith,andthehandlingof,batteriescontaininglithium;(e)themeaningofthelabelsandsymbolsmarkedonbatteriesinaccordancewithArticle13orprintedontheirpackagingorinthedocumentsaccompanyingbatteries;(f)theimpactofsubstances,inparticularhazardoussubstances,containedinbatteriesontheenvironmentandonhumanhealthorsafetyofpersons,includingimpactduetoinappropriatediscardingofwastebatteriessuchaslitteringordiscardingasunsortedmunicipalwaste.Thisinformationshallbemadeavailable(a)inregulartimeintervalsforeachmodelfromthemomentthebatterymodelconcernedisbeingmadeavailableonthemarketforthefirsttimeinaMemberStateasaminimumatthepointofsaleinavisiblemannerandthroughonlinemarketplaces;5469/23KR/am224ANNEXTREE.1.AEN(b)inalanguageorlanguages,whichcanbeeasilyunderstoodby▌end-users,asdeterminedbytheMemberStateinwhichthebatteryistobemadeavailableonthemarket.2.ProducersshallmakeavailabletodistributorsandoperatorsreferredtoinArticles50,52and53andotherwastemanagementoperatorscarryingoutpreparingforre-use,preparingforrepurpose,andtreatment,informationregardingthesafetyandprotectivemeasures,includingonoccupationalsafety,applicabletothestorageandcollectionofwastebatteries.3.Fromthemomentthatabattery▌issuppliedwithintheterritoryofaMemberStateproducersshallmakeavailableelectronically,freeofchargeanduponrequest,towastemanagementoperatorscarryingoutpreparingforre-use,preparingforrepurposing,andtreatment,asfarasitisneededbythoseoperatorstocarryoutthoseactivities,thefollowingbatterymodelspecificinformationregardingtheproperandenvironmentallysoundtreatmentofwastebatteries:(a)theprocessestoensurethedismantlingoflightmeansoftransport,vehiclesandappliancesinawaythatallowstheremovalofincorporatedbatteries;(b)thesafetyandprotectivemeasures,includingonoccupationalsafetyandfireprotection,applicabletothestorage,transport,andtreatmentprocessesforwastebatteries.5469/23KR/am225ANNEXTREE.1.AENThatinformationshallidentifythecomponentsandmaterials,andthelocationofallhazardoussubstancesinabattery,asfarasitisneededbyoperatorscarryingoutpreparingforre-use,preparingforrepurposing,andtreatmentactivitiesinordertoenablethemtocomplywiththerequirementsofthisRegulation.Thatinformationshallbemadeavailableinalanguageorlanguages,whichcanbeeasilyunderstoodbytheoperatorsmentionedinthefirstsubparagraph,asdeterminedbytheMemberStateonwhosemarketthebatteryistobemadeavailable.4.Distributorsthatsupplybatteriestoend-usersshallpermanentlyprovideintheirretailpremisesinaneasilyaccessibleandclearlyvisiblemannerfortheend-usersofthebattery,theinformationlistedinparagraph1and2,andinformationonhowtheendusersmayreturnwastebatteriesfreeofchargetotherespectivecollectionpointsestablishedatretailoutletsoronbehalfofamarketplace.Thatobligationshallbelimitedtothetypesofbatterieswhichthedistributororretailerhas,orhad,asnewbatteriesinitsoffer.Distributorsshallprovidetheinformationlistedinparagraphs1and2alsowhentheyselltheirproductsthroughonlineplatformsallowingconsumerstoconcludedistancecontractswithtraders.5.ThecostscoveredbytheproducerunderArticle47(1)(e)shallbeshownseparatelytotheend-useratthepointofsaleofanewbattery.▌5469/23KR/am226ANNEXTREE.1.AEN▌Whereinformationisprovidedpubliclytoend-usersunderthisArticle,theconfidentialityofcommerciallysensitiveinformationinconformitywiththerelevantUnionandnationallawshallbepreserved.Article61Minimumrequirementsforreportingtothecompetentauthorities1.ProducersofportablebatteriesandproducersofLMTbatteriesor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisations▌shallreporttothecompetentauthority,atleast,foreachcalendaryearthefollowinginformationaccordingtochemistriesandcategoriesofwastebatteries:(a)theamountofportablebatteriesorLMTbatteriesmadeavailableonthemarketforthefirsttimeintheterritoryofaMemberState,excluding▌batteriesthathavelefttheterritoryofthatMemberStateinthatyear,beforebeingsoldtoend-users;(aa)theamountofportablebatteriesofgeneralusemadeavailableonthemarketforthefirsttimeintheterritoryofaMemberState,excludinganyportablebatteriesofgeneralusethathavelefttheterritoryofthatMemberStateinthatyearbeforebeingsoldtoendusers;(b)theamountofwasteportablebatteriesorwasteLMTbatteriescollectedinaccordancewithArticles48and48a,respectively;5469/23KR/am227ANNEXTREE.1.AEN(c)thecollectionratereachedbytheproducerorproducerresponsibilityorganisationactingonbehalfoftheirmembersforwasteportablebatteriesorwasteLMTbatteries;(d)theamountofcollectedwasteportablebatteriesorwasteLMTbatteriesdeliveredtopermittedfacilitiesfortreatment.(da)theamountofcollectedwasteportablebatteriesexportedtothirdcountriesfortreatment,preparationforreuse,preparationforrepurposingorrecycling.(db)theamountofwasteportableandLMTbatteriescollectedanddeliveredtopreparingforre-useorpreparingforrepurposing;Wherewastemanagementoperatorsotherthanproducersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisationsactingontheirbehalf,collectwasteportablebatteriesorwasteLMTbatteriesfromdistributorsorothercollectionpointsforwasteportablebatteries,theyshallreporttothecompetentauthorityforeachcalendaryeartheamountofwasteportablebatteriesorwasteLMTbatteriescollectedaccordingtotheirchemistry▌▌5469/23KR/am228ANNEXTREE.1.AEN2.ProducersofSLIbatteries,industrialbatteriesandelectricvehiclebatteriesorwhereappointedinaccordancewithArticle47a(1)producerresponsibilityorganisationsactingontheirbehalf,shallreporttothecompetentauthorityforeachcalendaryearthefollowinginformation,accordingtochemistriesandcategoriesofwastebatteries:(a)theamountofSLIbatteries,industrialbatteriesandelectricvehiclebatteriesmadeavailableonthemarketforthefirsttimeinaMemberState,excludingbatteriesthathavelefttheterritoryofthatMemberStateinthatyear,beforebeingsoldtoendusers;(aa)theamountofwasteindustrialbatteriesorwasteelectricvehiclebatteriescollectedanddeliveredtopreparingforre-useorpreparingforrepurposing;(b)theamountofwasteSLIbatteries,wasteindustrialbatteriesorwasteelectricvehiclebatteriescollectedanddelivered▌topermittedfacilitiesfortreatment.(ba)theamountofcollectedwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriesexportedtothirdcountriesfortreatment,preparationforreuse,preparationforrepurposingorrecycling.5469/23KR/am229ANNEXTREE.1.AEN3.WherewastemanagementoperatorscollectwastebatteriesfromdistributorsorotherwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriescollectionpointsorfromend-users,theyshallreporttothecompetentauthorityforeachcalendaryearthefollowinginformationaccordingto▌chemistriesandcategoriesofwastebatteries:(a)theamountofwasteSLIbatteries,wasteindustrialbatteriesandwasteelectricvehiclebatteriescollected;(aa)theamountofwasteindustrialbatteriesorwasteelectricvehiclebatteriescollectedanddeliveredtopreparingforre-useorpreparingforrepurposing;(b)theamountofwasteSLIbatteries,wasteindustrialbatteriesandwasteelectricvehiclebatteriesdeliveredtopermittedfacilitiesfortreatmentoperationandforrecycling.(ba)theamountofcollectedwasteSLIbatteries,industrialbatteriesandelectricvehiclebatteriesexportedtothirdcountriesfortreatment,preparationforreuse,preparationforrepurposingorrecycling▌▌4.Thedatareferredtoinpoints(a)and(b)ofparagraph1shallincludebatteriesincorporatedintovehiclesandappliances,andwastebatteriesremovedfromthoseinaccordancewithArticle52.5469/23KR/am230ANNEXTREE.1.AEN5.Wastemanagementoperatorscarryingouttreatmentandrecyclersshallreporttothecompetentauthoritiesforeachcalendaryearthefollowinginformation:(a)theamountofwastebatteriesreceivedfortreatment,byMemberStatewherewastewascollected;(b)theamountofwastebatteriesenteringpreparationforreuse,preparationforrepurposingorrecyclingprocesses,byMemberStatewherewastewascollected;(c)informationonrecyclingefficienciesandlevelsofrecoveredmaterialsforwastebatteriesandondestinationandoutcomeofthefinaloutputfractions,byMemberStatewherewastewascollected.Reportingontherecyclingefficiencyandlevelsofrecoveredmaterialsshallcoverallindividualstepsofrecyclingandallcorrespondingoutputfractions.Where▌recyclingoperationsarecarriedoutatmorethanonefacility,thefirstrecyclerisresponsibleforcollectingtheinformationandreportingthisinformationtothecompetentauthorities.Recyclersshallreport▌thedataontherecyclingefficiencyandlevelsofrecoveredmaterialstothecompetentauthoritiesoftheMemberStatewhereitislocated.ThecompetentauthorityoftheMemberState,wheretreatmentofwastebatteriesiscarriedout,shallprovidethedatareferredtoinparagraph5tothecompetentauthorityofMemberState,wherethebatterieswerecollected,ifdifferent.5469/23KR/am231ANNEXTREE.1.AENWastebatteriessenttoanotherMemberStateforthepurposesoftreatmentinthatotherMemberStateshallbecountedtowardsthewastedataandtheattainmentofthetargetslaiddowninAnnexXIIbytheMemberStateinwhichthatwastewascollected.6.Wherewasteholdersotherthanthosereferredtoinparagraph5exportbatteriesfortreatment▌theyshallreportthedataontheamountofseparatelycollectedwastebatteriesexportedfortreatment▌andthedatareferredtoinparagraph45(b)and(c)tothecompetentauthorities▌oftheMemberStateswheretheyarelocated.7.Producersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisationsactingontheirbehalf,wastemanagementoperatorsandwasteholdersreferredtointhisArticleshallreportwithinsixmonthsoftheendofthereportingyearforwhichthedataarecollected.ThefirstreportingperiodshallconcernthefirstfullcalendaryearaftertheentryintoforceoftheimplementingactthatestablishestheformatforreportingtotheCommission,inaccordancewithArticle62(5).8.Thecompetentauthoritiesshallestablishelectronicsystemsthroughwhichdatashallbereportedtothemandspecifytheformatstobeused.9.MemberStatemayallowcompetentauthoritiestorequestanyadditionalinformationnecessarytoensurethereliabilityofthedatareported.5469/23KR/am232ANNEXTREE.1.AENArticle62ReportingtotheCommission1.MemberStatesshallmakepubliclyavailableinanaggregatedformatforeachcalendaryearthefollowingdataonportablebatteries,LMTbatteries,SLIbatteries,industrialbatteriesandelectricvehiclebatteries,accordingtobatterycategoriesandtheirchemistries▌:(a)theamountofbatteriesmadeavailableonthemarketforthefirsttimeinaMemberState,excludingbatteriesthathavelefttheterritoryofthatMemberStateinthatyear,includingthoseincorporatedinvehiclesorindustrialproducts,beforebeingsoldtoend-users;(b)theamountofwastebatteriescollectedandcollectionratesinaccordancewithArticles48,48aand49,calculatedonthebasisofthemethodologysetoutinAnnexXI;(ba)theamountofwasteindustrialbatteriesorwasteelectricvehiclebatteriescollectedanddeliveredtopreparingforre-useorpreparingforrepurposingcollected;5469/23KR/am233ANNEXTREE.1.AEN(c)thevaluesoftheachievedrecyclingefficienciesasreferredtoinAnnexXII,PartB,andthevaluesoftheachievedmaterialrecoveryreferredtoinPartCofAnnexXII,regardingthebatteriescollectedinthatMemberState.MemberStatesshallmakethisdataavailablewithin18monthsaftertheendofthereportingyearforwhichthedataarecollected.TheyshallmakethatinformationpublicelectronicallyintheformatestablishedbytheCommissioninaccordancewithparagraph5,usingeasilyaccessibledataservices▌.Thedatashallbemachinereadable,sortableandsearchable,respectingopenstandardsforthirdpartyuse.MemberStatesshallnotifytheCommissionwhenthedatareferredtointhefirstsub-paragraphismadeavailable.ThefirstreportingperiodshallconcernthefirstfullcalendaryearaftertheentryintoforceoftheimplementingactthatestablishestheformatforreportingtotheCommission,inaccordancewithparagraph5.InadditiontotheobligationsunderDirectives2000/53/ECand2012/19/EU,datareferredtoinpoints(a),(b)and(c)ofparagraph1shallincludebatteriesincorporatedintovehiclesandappliances,andwastebatteriesremovedfromthoseinaccordancewithArticle52.2.Reportingontherecyclingefficiencyandlevelsofrecoveredmaterialsreferredtoinparagraph1shallcoverallindividualstepsofrecyclingandallcorrespondingoutputfractions.5469/23KR/am234ANNEXTREE.1.AEN3.ThedatamadeavailablebyMemberStatesinaccordancewiththisArticleshallbeaccompaniedbyaqualitycheckreport.ThatinformationshallbepresentedintheformatestablishedbytheCommissioninaccordancewithparagraph6.4.TheCommissionshallcollectandreviewtheinformationmadeavailableinaccordancewiththisArticle.TheCommissionshallpublishareportassessingtheorganisationofthedatacollection,thesourcesofdataandthemethodologyusedinMemberStatesaswellasthecompleteness,reliability,timelinessandconsistencyofthatdata.Theassessmentmayincludespecificrecommendationsforimprovement.Thereportshallbedrawnupwithin6monthsofthefirstreportingofthedatabyMemberStatesandeveryfouryearsthereafter.5.TheCommissionshall,by24monthsafterentryintoforceoftheRegulation,adoptimplementingactslayingdowntheformatforthedataandinformationtobereportedtotheCommission,aswellasassessmentmethodsandoperationalconditions,forthepurposeofparagraphs1and4.ThoseimplementingactsshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).5469/23KR/am235ANNEXTREE.1.AEN▌ChapterVIIIDigitalbatterypassport▌Article65Batterypassport1.From42monthsafterentryintoforceoftheRegulationeachLMTbattery,▌eachindustrialbatterywithacapacityabove2kWhandeachelectricvehiclebatteryplacedonthemarketorputintoservice▌shallhaveanelectronicrecord("batterypassport").2.Thebatterypassportshallcontaininformationrelatingtothebatterymodelandinformationspecifictotheindividualbatteryincludingasaresultoftheuseofthatbattery,assetoutinAnnexXIII.5469/23KR/am236ANNEXTREE.1.AENTheinformationinthebatterypassportshallcomprise:(a)informationaccessibletothegeneralpublicinaccordancewithpoint1ofAnnexXIII,(b)informationaccessibleonlytonotifiedbodies,marketsurveillanceauthoritiesandtheCommissioninaccordancewithpoints2and3ofAnnexXIII,and(c)informationaccessibleonlytoanynaturalorlegalpersonwithalegitimateinterestinaccessingandprocessingthatinformationinaccordancewithpoints2and4ofAnnexXIII.Theinformationaccessibletothepersonsreferredtoinpoint(c)shall:(i)concerndismantlingofthebattery,includingsafetymeasurestobetakenduringthatdismantling,andthedetailedcompositionoftheindividualbatteryandbeessentialtoallowrepairers,remanufacturers,second-lifeoperatorsandrecyclerstoconducttheirrespectiveeconomicactivitiesinaccordancewiththisRegulation;or(ii)inthecaseofindividualbatteries,beessentialtothepurchaserofthebatteryorpartiesactingonthepurchaser’sbehalf,forthepurposeofmakingtheindividualbatteryavailabletoindependentenergyaggregatorsorenergymarketparticipants.5469/23KR/am237ANNEXTREE.1.AENSuchinformationshallbeincludedtotheextentapplicabletothecategoryorsubcategoryofbatteryconcerned.TheCommissionshallbeempoweredtoadoptdelegatedactsinaccordancewithArticle73toamendAnnexXIIItochangetheinformationtobeincludedinthebatterypassportinviewoftechnicalandscientificprogress.3.ThebatterypassportshallbeaccessiblethroughtheQRcodereferredtoinArticle13(5)and(6),linkingtoauniqueidentifierthattheeconomicoperatorplacingthebatteryonthemarketshallattributetoit.TheQRcodeandtheuniqueidentifiershallcomplywithstandard(‘ISO/IEC’)15459:2015orequivalent.TheCommissionisempoweredtoadoptdelegatedactsinaccordancewithArticle73toamendthesecondsubparagraphinlightoftechnicalandscientificprogressbyreplacingthestandardreferredtooraddingotherEuropeanorinternationalstandardswithwhichtheQRcodeandtheuniqueidentifiershallcomply.4.Theeconomicoperatorplacingthebatteryonthemarketshallensurethattheinformationinthebatterypassportisaccurate,completeanduptodate.Itmayauthoriseanoperatortoactontheirbehalf.5469/23KR/am238ANNEXTREE.1.AEN5.Allinformationincludedintheproductpassportshallbebasedonopenstandards,developedwithaninter-operableformatandshallbetransferablethroughanopeninteroperabledataexchangenetworkwithoutvenderlock-inandshallbemachine-readable,structured,andsearchable,inaccordancewiththeessentialrequirementssetoutinArticle65a.6.TheaccesstoinformationincludedinthebatterypassportshallberegulatedinaccordancewiththeessentialrequirementssetoutinArticle65a.6a.Forabatterythathasbeensubjecttopreparationforre-use,preparationforrepurposing,repurposing,orremanufacturing,theresponsibilityforthefulfilmentoftheobligationswithrespecttothebatterypassportunderparagraph4firstsubparagraphshallbetransferredtotheeconomicoperatorthathasplacedthatbatteryonthemarketorhasputitintoservice.Thebatteryshallhaveanewbatterypassportlinkedtothebatterypassportorpassportsoftheoriginalbatteryorbatteries.Whenthereisachangeinthestatusofabatterytoawastebattery,theresponsibilityforthefulfilmentoftheobligationswithrespecttothebatterypassportunderparagraph4firstsubparagraphshallbetransferredeithertotheproduceror,whereappointedinaccordancewithArticle47a(2),producerresponsibilityorganisationsactingontheirbehalf,orwastemanagementoperatorreferredtoinArticle54a.6b.Abatterypassportshallceasetoexistafterthebatteryhasbeenrecycled.5469/23KR/am239ANNEXTREE.1.AEN7.By[36monthsafterentryintoforceoftheRegulation],theCommissionshalladoptimplementingactsspecifyingthepersonsreferredtoinparagraph2,point(c),towhatinformationtheyshallhaveaccess,andtowhatextenttheycandownload,share,publishandreusethatinformation.Thecriteriaforspecifyingthepersonsreferredtoinparagraph2(c)andfordeterminingtheextenttowhichtheycandownload,share,publishandreusetheinformationreferredtoinpoints2and4ofAnnexXIIIshallbethefollowing:-thenecessityofhavingsuchinformationinordertoevaluatethestatusandresidualvalueofthebatteryanditscapabilityforfurtheruse;-thenecessityofhavingsuchinformationforthepurposeofpreparationforre-use,preparationforrepurposing,repurposing,remanufacturingorrecyclingofthebattery,orforchoosingbetweenthoseactivities;-theneedtoensurethattheaccessingandtheprocessingof,commerciallysensitiveinformationislimitedtotheminimumnecessaryinaccordancewithapplicableUnionlaw.ThoseimplementingactsshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).5469/23KR/am240ANNEXTREE.1.AENArticle65aTechnicaldesignandoperationofthebatterypassportThetechnicaldesignandoperationofthebatterypassportshallcomplywiththefollowingessentialrequirements:(a)batterypassportsshallbefullyinteroperablewithotherdigitalproductpassportsrequiredbyUnionlegislationconcerningeco-designinrelationtothetechnical,semanticandorganisationalaspectsofend-to-endcommunicationanddatatransfer;(b)consumers,economicoperatorsandotherrelevantactorsshallhaveaccesstothebatterypassportfreeofchargeandbasedontheirrespectiveaccessrightssetoutinAnnexXIIIandtheimplementingactadoptedpursuanttoArticle65(7)(c)thedataincludedinthebatterypassportshallbestoredbytheeconomicoperatorresponsibleforthefulfilmentoftheobligationswithrespecttothebatterypassportunderArticle65,paragraphs4or6a,orbyoperatorsauthorisedtoactontheirbehalf;5469/23KR/am241ANNEXTREE.1.AEN(d)ifthedataincludedinthebatterypassportisstoredorotherwiseprocessedbyoperatorsauthorisedtoactontheirbehalf,thoseoperatorsshallnotbeallowedtosell,re-useorprocesssuchdata,inwholeorinpart,beyondwhatisnecessaryfortheprovisionoftherelevantstoringorprocessingservices;(e)theproductpassportshallremainavailableaftertheeconomicoperatorresponsibleforthefulfilmentoftheobligationswithrespecttothebatterypassportunderArticle65,paragraphs4or6a,ceasestoexistorceasesitsactivityintheUnion;(f)therightstoaccessandtointroduce,modifyorupdateinformationinproductpassportshallberestrictedbasedontheaccessrightsspecifiedinAnnexXIIIandtheimplementingactadoptedpursuanttoArticle65(9).ChapterIXUnionmarketsurveillance▌andUnionsafeguardproceduresArticle66Procedureatnationallevelfordealingwithbatteriespresentingarisk1.WithoutprejudicetoArticle19oftheRegulation(EU)2019/1020,wherethemarketsurveillanceauthoritiesofoneMemberStatehavesufficientreasontobelievethatabatterycoveredbythisRegulationpresentsarisktohumanhealthorsafetyofpersons,topropertyortotheenvironment,theyshallcarryoutanevaluationinrelationtothebatteryconcernedcoveringallrelevantrequirementslaiddowninthisRegulation.5469/23KR/am242ANNEXTREE.1.AENWhere,inthecourseoftheevaluationreferredtointhefirstsubparagraph,themarketsurveillanceauthoritiesfindthatthebatterydoesnotcomplywiththerequirementslaiddowninthisRegulation,theyshallwithoutdelayrequiretherelevanteconomicoperatortotakeallappropriatecorrectiveaction,withinareasonableperiodprescribedbythemarketsurveillanceauthoritiesandcommensuratewiththenatureoftherisk,tobringthebatteryintocompliancewiththoserequirements,towithdrawitfromthemarket,ortorecallit▌Themarketsurveillanceauthoritiesshallinformtherelevantnotifiedbodyaccordingly.2.▌Themarketsurveillanceauthorities▌shallinformtheCommissionandtheotherMemberStatesoftheresultsoftheevaluationandoftheactionswhichtheyhaverequiredtheeconomicoperatortotake.3.TheeconomicoperatorshallensurethatallappropriatecorrectiveactionistakeninrespectofalltheconcernedbatteriesthattheeconomicoperatorhasmadeavailableonthemarketthroughouttheUnion.4.Wheretherelevanteconomicoperatordoesnottakeadequatecorrectiveactionwithintheperiodreferredtointhesecondsubparagraphofparagraph1,themarketsurveillanceauthoritiesshalltakeallappropriateprovisionalmeasurestoprohibitorrestrictthebatteriesbeingmadeavailableontheirnationalmarket,towithdrawthebatteryfromthatmarketortorecallit.5469/23KR/am243ANNEXTREE.1.AENThemarketsurveillanceauthoritiesshallinformtheCommissionandtheotherMemberStates,withoutdelay,ofthosemeasures.5.Theinformationreferredtointhesecondsubparagraphofparagraph4shallincludeallavailabledetails,inparticularthedatanecessaryfortheidentificationofthenon-compliantbattery,theoriginofthatbattery,thenatureofthenon-complianceallegedandtheriskinvolved,thenatureanddurationofthenationalmeasurestakenandtheargumentsputforwardbytherelevanteconomicoperator.Inparticular,themarketsurveillanceauthoritiesshallindicatewhetherthenon-complianceisduetoeitherofthefollowing:(a)failureofthebatterytomeetanyoftheapplicablerequirementssetoutinArticles6to10or12to14ofthisRegulation;(b)shortcomingsintheharmonisedstandardsreferredtoinArticle15;(c)shortcomingsinthecommonspecificationsreferredtoinArticle16.6.MemberStatesotherthantheMemberStateinitiatingtheprocedureunderthisArticleshallwithoutdelayinformtheCommissionandtheotherMemberStatesofanymeasuresadoptedandofanyadditionalinformationattheirdisposalrelatingtothenon-complianceofthebatteryconcerned,and,intheeventofdisagreementwiththeadoptednationalmeasure,oftheirobjections.5469/23KR/am244ANNEXTREE.1.AEN7.Where,withinthreemonthsofreceiptoftheinformationreferredtointhesecondsubparagraphofparagraph4,noobjectionhasbeenraisedbyeitheraMemberStateortheCommissioninrespectofaprovisionalmeasuretakenbymarketsurveillanceauthorities,thatmeasureshallbedeemedjustified.8.MemberStatesshallensurethatappropriaterestrictivemeasures,suchaswithdrawalofthebatteryfromthemarket,aretakeninrespectofthebatteryconcernedwithoutdelay.Article67Unionsafeguardprocedure1.Where,oncompletionoftheproceduresetoutinArticle66(3)and(4),objectionsareraisedagainstameasuretakenbymarketsurveillanceauthorities,orwheretheCommissionconsidersanationalmeasuretobecontrarytoUnionlegislation,theCommissionshallwithoutdelayenterintoconsultationwiththeMemberStatesandtherelevanteconomicoperatororoperatorsandshallevaluatethenationalmeasure.TheCommissionshallendeavourtoconcludethatevaluationwithinonemonth.Onthebasisoftheresultsofthatevaluation,theCommissionshalladoptanimplementingactintheformofadecisiondeterminingwhetherthenationalmeasureisjustifiedornot.ThatimplementingactshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).5469/23KR/am245ANNEXTREE.1.AEN2.TheCommissionshalladdressitsdecisiontoallMemberStatesandshallwithoutdelaycommunicateittothemandtherelevanteconomicoperatororoperators.Ifthenationalmeasureisconsideredjustified,allMemberStatesshalltakethenecessarymeasurestoensurethatthenon-compliantbatteryiswithdrawnfromtheirmarket,andshallinformtheCommissionaccordingly.Ifthenationalmeasureisconsideredunjustified,theMemberStateconcernedshallwithdrawthatmeasure.3.Wherethenationalmeasureisconsideredjustifiedandthenon-complianceofthebatteryisattributedtoshortcomingsintheharmonisedstandardsreferredtoinArticle15ofthisRegulation,theCommissionshallapplytheprocedureprovidedforinArticle11ofRegulation(EU)No1025/2012.3a.Wherethenationalmeasureisconsideredjustifiedandthenon-complianceofthebatteryisattributedtoshortcomingsinthecommonspecificationsreferredtoinArticle16,theCommissionshall,withoutdelay,adoptimplementingactsamendingorrepealingthecommonspecificationsconcerned.ThoseimplementingactsshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).5469/23KR/am246ANNEXTREE.1.AENArticle68Compliantbatterieswhichpresentarisk1.Where,havingcarriedoutanevaluationunderArticle66(1),aMemberStatefindsthatalthoughabatteryisincompliancewiththeapplicablerequirementssetoutinArticles6to10and12to14,itpresentsarisktothehumanhealthorsafetyofpersons,totheprotectionofpropertyortotheenvironment,itshallwithoutdelayrequiretherelevanteconomicoperatortotakeallappropriatemeasures,withinareasonableperiodprescribedbythemarketsurveillanceauthoritiesandcommensuratewiththenatureoftherisk,toensurethatthebatteryconcerned,whenmadeavailableonthemarket,nolongerpresentsthatrisk,towithdrawthebatteryfromthemarketortorecallit▌.2.TheeconomicoperatorshallensurethatcorrectiveactionistakeninrespectofalltheconcernedbatteriesthattheeconomicoperatorhasmadeavailableonthemarketthroughouttheUnion.3.TheMemberStateshallimmediatelyinformtheCommissionandtheotherMemberStates.Thatinformationshallincludeallavailabledetails,inparticularthedatanecessaryfortheidentificationofthebatteriesconcerned,theoriginandthesupplychainofthebattery,thenatureoftheriskinvolvedandthenatureanddurationofthenationalmeasurestaken.5469/23KR/am247ANNEXTREE.1.AEN4.TheCommissionshallwithoutdelayenterintoconsultationwiththeMemberStatesandtherelevanteconomicoperatororoperatorsandshallevaluatethenationalmeasurestaken.Onthebasisoftheresultsofthatevaluation,theCommissionshalladoptanimplementingactintheformofadecisiondeterminingwhetherthenationalmeasureisjustifiedornotand,wherenecessary,proposingappropriatemeasures.5.ThatimplementingactshallbeadoptedinaccordancewiththeexaminationprocedurereferredtoinArticle74(3).6.Ondulyjustifiedimperativegroundsofurgencyrelatingtotheprotectionofhumanhealthandsafetyofpersons,andtotheprotectionofpropertyortotheenvironment,theCommissionshalladoptanimmediatelyapplicableimplementingactinaccordancewiththeprocedurereferredtoinArticle74(4).7.TheCommissionshalladdressitsdecisiontoallMemberStatesandshallimmediatelycommunicateittothemandtherelevanteconomicoperatororoperators.5469/23KR/am248ANNEXTREE.1.AENArticle68bJointactivities1.Marketsurveillanceauthoritiesmaycarryoutjointactivitieswithorganisationsrepresentingeconomicoperatorsorendusers,whichmayincludethesettingupbyMemberStatesormarketsurveillanceauthoritiesofbatterycompetencecentres,withaviewtopromotingcompliance,identifyingnon-compliance,raisingawarenessandprovidingguidanceinrelationtotherequirementsofthisRegulationinaccordancewithArticle9ofRegulationEU2019/1020.Article69Formalnon-compliance1.WithoutprejudicetoArticle66,whereaMemberStatemakesoneofthefollowingfindings,itshallrequiretherelevanteconomicoperatortoputanendtothenon-complianceconcerned▌:(a)theCEmarkinghasbeenaffixedinviolationofArticle30ofRegulation(EC)No765/2008orofArticle20ofthisRegulation;(b)theCEmarkinghasnotbeenaffixed;5469/23KR/am249ANNEXTREE.1.AEN(c)theidentificationnumberofthenotifiedbody,whererequiredunderAnnexVIII,hasbeenaffixedinviolationofArticle20orhasnotbeenaffixed;(d)theEUdeclarationofconformityhasnotbeendrawnuporhasnotbeendrawnupcorrectly;▌(f)thetechnicaldocumentationiseithernotavailable,ornotcomplete▌;(g)theinformationreferredtoin▌Article38(8)orArticle41(3)▌isabsent,falseorincomplete▌;(h)anyotheradministrativerequirementprovidedforinArticle38orArticle41isnotfulfilled;▌▌▌2.Wherethenon-compliancereferredtoinparagraph1persists,theMemberStateconcernedshalltakeallappropriatemeasurestorestrictorprohibitthebatterybeingmadeavailableonthemarketorensurethatitisrecalledorwithdrawnfromthemarket.▌5469/23KR/am250ANNEXTREE.1.AENArticle69aNon-compliancewithduediligenceobligations1.WhereaMemberStatefindsthataneconomicoperatorhasinfringedanobligationonduediligencesetoutinArticles45ato45cofthisRegulation,itshallrequiretherelevanteconomicoperatortoputanendtothenon-complianceconcerned.2.Wherethenon-compliancereferredtoinparagraph1persistsandwherethereisnoothereffectivemeansavailabletoputanendtothenon-compliance,theMemberStateconcernedshalltakeallappropriatemeasurestorestrictorprohibitthebatteriesmadeavailableonthemarketbytheeconomicoperatorreferredtoinparagraph1frombeingmadeavailableonthemarketand,ifthenon-complianceisserious,ensurethattheyarerecalledorwithdrawnfromthemarket.5469/23KR/am251ANNEXTREE.1.AENChapterXGreenpublicprocurement,procedureforamendingrestrictionson▌substances▌Article70Greenpublicprocurement1.Contractingauthorities,asdefinedinArticle2(1)ofDirective2014/24/EUorArticle3(1)ofDirective2014/25/EU,orcontractingentities,asdefinedinArticle4(1)ofDirective2014/25/EUshall,whenprocuringbatteriesorproductscontainingbatteriesinsituationscoveredbythoseDirectives,takeaccountoftheenvironmentalimpactsofbatteriesovertheirlifecyclewithaviewtoensurethatsuchimpactsofthebatteriesprocuredarekepttoaminimum.2.From12monthsafterentryintoforceofdelegatedactsreferredtoinparagraph3,theobligationsetoutinparagraph1shallapplytoanyprocedureforprocurementbycontractingauthoritiesorcontractingentitiesforthepurchaseofbatteries,orproductscontainingbatteries,andshallmeanthatthesecontractingauthoritiesandcontractingentitiesareobligedtoincludetechnicalspecificationsandawardcriteriabasedonArticles7to10toensurethatbatteriesorproductsarechosen▌withsignificantlylowerenvironmentalimpactsovertheirlifecycle.5469/23KR/am252ANNEXTREE.1.AEN3.TheCommissionshall,12monthsaftertheadoptionofthelatestofthedelegatedactsreferredtoinArticle7(2)subparagraph4(a),Article8(1),Article9(2)andArticle10(3),adoptdelegatedactsinaccordancewithArticle73supplementingthisRegulationbyestablishingcriteriafortheawardofprocurementproceduresforbatteriesbasedonthesustainabilityrequirementssetoutinArticles7to10.Article71Initiationofrestrictionproceduresubstances1.IftheCommissionconsidersthattheuseofasubstanceinthemanufactureofbatteries,orthepresenceofasubstanceinthebatterieswhentheyareplacedonthemarket,orduringtheirsubsequentlifecyclestages,includingduringrepurposingorduringthetreatmentofwastebatteries,posesarisktohumanhealthortheenvironmentthatisnotadequatelycontrolledandneedstobeaddressedonaUnion-widebasis,itshallrequestthe▌Agency▌topreparearestrictiondossier,intheformatoutlinedinAnnexXVtoRegulation(EC)No1907/2006.Thedossiershallincludeasocio-economicassessment,includingananalysisofalternatives.▌2.Within12monthsofthereceiptoftherequestfromtheCommissioninparagraph1andifthe▌dossierpreparedbytheAgencypursuanttothatparagraphdemonstratesthatactionisnecessaryonaUnion-widebasis,beyondanymeasuresalreadyinplace,theAgencyshallsuggestrestrictionsinordertoinitiatethe▌processdescribedinparagraph3to8ofthisArticle,Article71aandArticle71b.5469/23KR/am253ANNEXTREE.1.AEN3a.IfaMemberStateconsidersthattheuseofasubstanceinthemanufactureofbatteries,orthepresenceofasubstanceinthebatterieswhentheyareplacedonthemarket,orduringtheirsubsequentlifecyclestages,includingduringrepurposingorduringthetreatmentofwastebatteries,posesarisktohumanhealthortheenvironmentthatisnotadequatelycontrolledandneedstobeaddressedonaUnion-widebasis,itshallnotifytheAgencythatitproposestopreparearestrictiondossier.TheMemberStateshallpreparearestrictiondossier.Therestrictiondossiershallincludeasocio-economicassessment,includingananalysisofalternatives.IftherestrictiondossierdemonstratesthatactiononaUnion-widebasisisnecessary,beyondanymeasuresalreadyinplace,theMemberStateshallsubmitittotheAgencyintheformatoutlinedinAnnexXVtoRegulation(EC)No1907/2006,inordertoinitiatetheprocess.3b.WhenpreparingadossierforarestrictionproposalwhichconformstotherequirementsofAnnexXVtoRegulation(EC)No1907/2006,theAgencyreferredtoinArticle75ofRegulation(EC)No1907/2006orMemberStatesshalltakeintoaccountanyavailableinformationandrefertoanyrelevantriskassessmentsubmittedforthepurposesofotherUnionlegislationcoveringthelifecycleofthesubstanceusedinthebattery,includingthewastephase.TothisendotherbodiesestablishedunderUnionlawandcarryingoutasimilartaskshallprovideinformationtotheAgencyorMemberStateconcernedonrequest.TheCommissionshallgiveaccesstotheAgency,asappropriate,totheinformationdefinedinpartAofAnnexXIII,reportedtotheEuropeanElectronicExchangeSystem.AccesstoinformationheldbytheAgencyinperformingthetasksdefinedinArticles6and71willbesubjecttotheprovisioninArticle118ofRegulation(EC)No1907/2006.5469/23KR/am254ANNEXTREE.1.AEN4.TheAgencyorMemberStatesshallrefertoanydossier,chemicalsafetyreportorriskassessmentsubmittedtotheAgencyorMemberStateundertheRegulation(EC)No1907/2006.TheAgencyorMemberStatesshallalsorefertoanyrelevantriskassessmentsubmittedforthepurposesofotherUnionRegulationsorDirectives.Tothisendotherbodies,suchasagencies,establishedunderUnionlawandcarryingoutasimilartaskshallprovideinformationtotheAgencyorMemberStateconcernedonrequest.5.TheAgencyshallmaintainalistofsubstancesforwhicharestrictiondossierunderthisRegulationisplannedorunderwaybyeithertheAgencyoraMemberState.6.TheCommitteeforRiskAssessment,setuppursuanttoArticle76(1)(c)ofRegulation(EC)No1907/2006,andtheCommitteeforSocio-economicAnalysis,setuppursuanttoArticle76(1)(d)ofRegulation(EC)No1907/2006,shallcheckwhetherthedossiersubmittedconformstotherequirementsofAnnexXVtoRegulation(EC)No1907/2006.Within30daysofreceipt,therespectiveCommitteeshallinformtheAgencyortheMemberStatesuggestingrestrictions,astowhetherthedossierconforms.Ifthedossierdoesnotconform,thereasonsshallbegiventotheAgencyortheMemberStateinwritingwithin45daysofreceipt.TheAgencyortheMemberStateshallbringthedossierintoconformitywithin60daysofthedateofreceiptofthereasonsfromtheCommittees,otherwisetheprocedureunderthisprovisionshallbeterminated.5469/23KR/am255ANNEXTREE.1.AEN7.TheAgencyshallpublishwithoutdelaytheintentionoftheCommissionoraMemberStatetoinitiatetherestrictionprocess▌forasubstance,underthisArticle,andshallinformstakeholdersconcerned.8.TheAgencyshallmakepubliclyavailableonitswebsitethe▌dossier,includingtherestrictionssuggestedpursuanttoparagraph2and3ofthisArticlewithoutdelay,clearlyindicatingthedateofpublication.TheAgencyshallinviteallinterestedpartiestosubmitindividuallyorjointly,withinfourmonthsofthedateofpublication:(a)commentsondossiersandthesuggestedrestrictions;(b)asocio-economicanalysisincludingananalysisofalternatives.,orinformationwhichcancontributetoone,ofthesuggestedrestrictions,examiningtheadvantagesanddrawbacksoftheproposedrestrictions.ItshallconformtotherequirementsinAnnexXVIofRegulation(EC)No1907/2006.9.ThisdelegatedactshallbeadoptedwithinninemonthsfollowingthereceiptoftheopinionoftheCommitteeforSocio-economicAnalysisoftheEuropeanChemicalAgency(the"Agency")referredtoinArticle71a.IftheCommitteeforSocio-economicAnalysisdoesnotadoptanopinionbythedeadlinesetinparagraph2or5,asapplicable,ofArticle71a,theCommissionshalltakeintoaccountthesocio-economicimpactoftherestriction,includingtheavailabilityofalternativesforthesubstanceandshalladoptadelegatedactbythedeadlinesetinparagraph2ofArticle71a.10.WherethedraftamendmentofAnnexIdivergesfromtheoriginalproposaloftherestrictiondossier,preparedpursuanttotheprocedurelaiddowninArticle71,71aand71b,orifitdoesnottaketheopinionsfromtheAgencyintoaccount,theCommissionshallannexadetailedexplanationofthereasonsforthedifferences.5469/23KR/am256ANNEXTREE.1.AENArticle71aOpinionoftheAgency'sCommittees1.Within12monthsofthedateofpublicationreferredtoinArticle71(8),theCommitteeforRiskAssessment▌shalladoptanopinionastowhetherthesuggestedrestrictionsareappropriateinreducingtherisktohumanhealthortheenvironment,basedonitsconsiderationoftherelevantpartsofthe▌dossier.Thisopinionshalltakeaccountofthe▌dossierpreparedbytheAgencyattherequestoftheCommissionorbytheMemberState,andtheviewsofinterestedpartiesreferredtoinArticle71(8)(a).2.Within15monthsofthedateofpublicationreferredtoinArticle71(8),theCommitteeforSocio-economicAnalysis▌shalladoptanopiniononthesuggestedrestrictions,basedonitsconsiderationoftherelevantpartsofthedossierandthesocio-economicimpact.Priortothat,itshallprepareadraftopiniononthesuggestedrestrictionsandontherelatedsocio-economicimpact,takingaccountoftheanalysesorinformationaccordingtoArticle71(8)(b),ifthereareany.3.TheAgencyshallpublishthedraftopinionoftheCommitteeforSocio-economicAnalysisonitswebsitewithoutdelayandinviteinterestedpartiestoprovidetheircommentsonthedraftopinionnolaterthan60daysfromthepublicationofthatdraftopinion.5469/23KR/am257ANNEXTREE.1.AEN4.TheCommitteeforSocio-economicAnalysisshallwithoutdelayadoptitsopinion,takingintoaccountwhereappropriatefurthercommentsreceivedbythedeadlinesetinparagraph3.ThisopinionshalltakeaccountofthecommentsofinterestedpartiessubmittedunderArticle71(8)(b)andparagraph3ofthisArticle.5.WheretheopinionoftheCommitteeforRiskAssessmentdivergessignificantlyfromtherestrictionssuggested,theAgencyshallpostponethedeadlinefortheopinionoftheCommitteeforSocio-economicAnalysisbyamaximumof90days.6.WheretheCommitteesforRiskAssessmentandSocio-economicAnalysisprovideanopinionpursuanttoparagraphs1and2,theyshallmakeuseofrapporteursunderArticle87ofRegulation(EC)No1907/2006andinlinewiththeconditionsprovidedtherein.Article71bSubmissionofanopiniontotheCommission1.TheAgencyshallsubmittotheCommissionwithoutdelaytheopinionsoftheCommitteesforRiskAssessmentandSocio-economicAnalysison▌restrictionssuggestedpursuanttoArticle71.WheretheopinionsoftheCommitteesforRiskAssessmentandSocio-economicAnalysisdivergesignificantlyfromthe▌suggestedtherestrictions,theAgencyshallsubmitanexplanatorynotetotheCommissionprovidingadetailedexplanationofthereasonsforsuchdifferences.IfoneorbothoftheCommitteesdonotadoptanopinionbythedeadlinesetinparagraphs1and2ofArticle71atheAgencyshallinformtheCommissionaccordingly,statingthereasons.5469/23KR/am258ANNEXTREE.1.AEN2.TheAgencyshallpublishtheopinionsofthetwoCommitteesonitswebsitewithoutdelay.3.TheAgencyshallprovidetheCommissionorMemberStateonrequestwithalldocumentsandevidencesubmittedtoorconsideredbyit.▌▌▌ChapterXIDelegatedpowersandcommitteeprocedureArticle73Exerciseofthedelegation1.ThepowertoadoptdelegatedactsisconferredontheCommissionsubjecttotheconditionslaiddowninthisArticle.5469/23KR/am259ANNEXTREE.1.AEN2.ThepowertoadoptdelegatedactsreferredtoinArticles6(2),7(1),(2)and(3),8(1),8(4),9(2),10(3),10(3a),11(4),12(2),13(6a),14(2c),45a(3a),45f(3),48(8),48a(8),56(4),57(4),(5)and(5b),58(3),65(2)and(3),and70(3)shallbeconferredontheCommissionforaperiodoffiveyearsfrom[dateofentryintoforceofthisRegulation].TheCommissionshalldrawupareportinrespectofthedelegationofpowernolaterthanninemonthsbeforetheendofthefive-yearperiod.Thedelegationofpowershallbetacitlyextendedforperiodsofanidenticalduration,unlesstheEuropeanParliamentortheCouncilopposessuchextensionnolaterthanthreemonthsbeforetheendofeachperiod.3.ThedelegationofpowerreferredtoinArticles6(2),7(1),(2)and(3),8(1),8(4),9(2),10(3),10(3a),11(4),12(2),13(6a),14(2c),45a(3a),45f(3),48(8),48a(8),56(4),57(4),(5)and(5b),58(3),65(2)and(3),and70(3)mayberevokedatanytimebytheEuropeanParliamentorbytheCouncil.Adecisiontorevokeshallputanendtothedelegationofthepowerspecifiedinthatdecision.ItshalltakeeffectthedayfollowingthepublicationofthedecisionintheOfficialJournaloftheEuropeanUnionoratalaterdatespecifiedtherein.Itshallnotaffectthevalidityofanydelegatedactsalreadyinforce.4.Beforeadoptingadelegatedact,theCommissionshallconsultexpertsdesignatedbyeachMemberStateinaccordancewiththeprincipleslaiddownintheInterinstitutionalAgreementof13April2016onBetterLaw-Making.5469/23KR/am260ANNEXTREE.1.AEN5.Assoonasitadoptsadelegatedact,theCommissionshallnotifyitsimultaneouslytotheEuropeanParliamentandtotheCouncil.6.AdelegatedactadoptedpursuanttoArticles6(2),7(1),(2)and(3),8(1),8(4),9(2),10(3),10(3a),11(4),12(2),13(6a),14(2c),45a(3a),45f(3),48(8),48a(8),56(4),57(4),(5)and(5b),58(3),65(2)and(3),and70(3)shallenterintoforceonlyifnoobjectionhasbeenexpressedeitherbytheEuropeanParliamentortheCouncilwithinaperiodofthreemonthsofnotificationofthatacttotheEuropeanParliamentandtheCouncilorif,beforetheexpiryofthatperiod,theEuropeanParliamentandtheCouncilhavebothinformedtheCommissionthattheywillnotobject.ThatperiodshallbeextendedbytwomonthsattheinitiativeoftheEuropeanParliamentoroftheCouncil.Article74Committeeprocedure1.TheCommissionshallbeassistedbyacommitteeestablishedbyArticle39ofDirective2008/98/EC.ThatcommitteeshallbeacommitteewithinthemeaningofRegulation(EU)No182/2011.2.Wherereferenceismadetothisparagraph,Article4ofRegulation(EU)No182/2011shallapply.5469/23KR/am261ANNEXTREE.1.AEN3.Wherereferenceismadetothisparagraph,Article5ofRegulation(EU)No182/2011shallapply.Wherethecommitteedeliversnoopinion,theCommissionshallnotadoptthedraftimplementingactandthethirdsubparagraphofArticle5(4)ofRegulation(EU)No182/2011shallapply.4.Wherereferenceismadetothisparagraph,Article8ofRegulation(EU)No182/2011,inconjunctionwithArticle5thereof,shallapply.5469/23KR/am262ANNEXTREE.1.AENChapterXIIAmendmentsArticle75AmendmentstoRegulation(EU)2019/1020Regulation(EU)2019/1020isamendedasfollows:(1)inArticle4(5),thetext“(EU)2016/425(35)and(EU)2016/426(36)”isreplacedbythefollowing:“(EU)2016/425(),(EU)2016/426()and[(EU)[…][yearofadoptionofthisRegulation]/…()]_____________________Regulation(EU)2016/425oftheEuropeanParliamentandoftheCouncilof9March2016onpersonalprotectiveequipmentandrepealingCouncilDirective89/686/EEC(OJL81,31.3.2016,p.51).5469/23KR/am263ANNEXTREE.1.AENRegulation(EU)2016/426oftheEuropeanParliamentandoftheCouncilof9March2016onappliancesburninggaseousfuelsandrepealingDirective2009/142/EC(OJL81,31.3.2016,p.99).[RegulationoftheEuropeanParliamentandoftheCouncilonbatteriesandwastebatteries,amendingRegulation(EU)No2019/1020andrepealingDirective2006/66/EC(ForthePublicationsOfficetofillintheOJpublicationdetails)];“(2)inAnnexI,▌point21ofthelistofUnionharmonisationlegislationisreplacedbythefollowing:–"71.RegulationoftheEuropeanParliamentandoftheCouncilonbatteriesandwastebatteries,amendingRegulation(EU)No2019/1020andrepealingDirective2006/66/EC(thePublicationsOfficetofillintheOJpublicationdetails);"Article75aAmendmentstoDirective2008/98/ECDirective2008/98/ECisamendedasfollows:(1)inArticle8a(7),thefollowingsubparagraphisadded:"Forbatteries,asdefinedinArticle2point(1)of[insertreferenceandnumberingofthisRegulation(=theBatteriesregulation)],MemberStatesshalltakemeasurestoensurethatextendedproducerresponsibilityschemesthathavebeenestablishedbefore4July2018,complywiththisArticleby…24monthsafterentryintoforceofthisRegulation(=theBatteriesregulation)."5469/23KR/am264ANNEXTREE.1.AENChapterXIIIFinalprovisionsArticle76PenaltiesBy24monthsafterentryintoforceoftheRegulationMemberStatesshalllaydowntherulesonpenaltiesapplicabletoinfringementsofthisRegulationandshalltakeallmeasuresnecessarytoensurethattheyareimplemented.Thepenaltiesprovidedforshallbeeffective,proportionateanddissuasive.MemberStatesshall,withoutdelay,notifytheCommissionofthoserulesandofthosemeasuresandshallnotifyit,withoutdelay,ofanysubsequentamendmentaffectingthem.5469/23KR/am265ANNEXTREE.1.AENArticle77Review1.By30Juneofthecalendaryearinwhichthedatefallsthatis96monthsafterentryintoforceoftheRegulation,theCommissionshalldrawupareportontheapplicationofthisRegulationanditsimpactontheenvironment,humanhealthandthefunctioningoftheinternalmarketandsubmitandpresentittotheEuropeanParliamentandtotheCouncil.2.TakingaccountoftechnicalprogressandpracticalexperiencegainedinMemberStates,theCommissionshallinitsreportincludeanevaluationonthefollowingaspectsofthisRegulation:(-a)thelistofcommonformatsfallingunderthedefinitionofportablebatteriesofgeneraluse;(a)sustainabilityandsafetyrequirementssetoutinChapterII,includingthepossibleneedtointroduceanexportbanofbatterieswhicharenon-compliantwiththerestrictionssetoutinAnnexI;(b)labellingandinformationrequirementssetoutinChapterIII;(c)batteryduediligencerequirementssetoutinArticles45ato45f;5469/23KR/am266ANNEXTREE.1.AEN(d)measuresregarding▌managementofwastebatteriessetoutinChapterVII,includingthepossibilitytointroducetwosub-categoriesofportablebatteries:rechargeableandnon-rechargeable,withseparatecollectiontargets,andtointroduceaseparatecollectiontargetforportablebatteriesofgeneraluse.(da)measuresregardingelectronicexchangeofinformationandbatterypassportsetoutinChapterVIII.(db)infringementsandtheeffectiveness,proportionalityanddissuasivenessofpenaltiesassetoutinArticle76;(dc)analysisoftheimpactoftheRegulationonthecompetitivenessofandontheinvestmentsinthebatteriessector,andoftheadministrativeburden.Ifappropriate,thereportreferredtoinparagraph1shallbeaccompaniedbyalegislativeproposalforamendmentoftherelevantprovisionsofthisRegulation.3.TakingintoaccounttherevisionofRegulation(EC)No1907/2006,theCommissionshallinitsreportincludeaspecificevaluationontheneedforalegislativeproposaltoamendArticles6,71,71aand71b.5469/23KR/am267ANNEXTREE.1.AEN4.TheCommissionshallassesswhetheranyamendmenttoChapterVIaisnecessaryinthelightoftheadoption,ifany,ofUnionlegislativeactslayingdownrulesonsustainablecorporategovernanceandduediligence,includingobligationsforcompaniesregardinghumanrightsadverseimpactsandenvironmentaladverseimpactswithrespecttotheirownoperations,theoperationsoftheirsubsidiariesandbranches,andtheirvaluechainoperations.TheCommissionshallpublishareportcontainingtheresultsofsuchassessmentby12monthsafterentryintoforceofanyofthelegislativeactsreferredtointhefirstsubparagraph,orby[thedateofthegeneralreviewclauseinthebatteriesregulation],whicheveristheearliest.Whereappropriate,theCommissionshallaccompanyitsreportwithalegislativeproposalamendingChapterVIa.5.By31December2030,theCommissionshallsubmitareporttotheEuropeanParliamentandtheCouncilassessingthefeasibilityandthetechnicalconsequencesofextendingthescopeofthedefinitionofLMTbatteryinArticle2(9),inparticularbyincludingbatteriespoweringnon-wheeledvehicles.Thereportshallbeaccompanied,whereappropriate,byalegislativeproposal.5469/23KR/am268ANNEXTREE.1.AEN6.By1January2025,theCommissionshallassesshowbesttointroduceharmonisedstandardsforacommonchargerfor,respectively,rechargeablebatteriesdesignedforlightmeansoftransport,aswellasforrechargeablebatteriesincorporatedintospecificcategoriesofelectricalandelectronicequipmentcoveredbyDirective2012/19/EU.ChargingdevicesforcategoriesandclassesofradioequipmentunderArticle3(4)ofDirective2014/53/EUontheharmonisationofthelawsoftheMemberStatesrelatingtothemakingavailableonthemarketofradioequipmentshallbeexcludedfromthescopeofthisassessment.Article78RepealandtransitionalrulesDirective2006/66/ECisrepealedwitheffectfrom…[24monthsaftertheentryintoforceofthisRegulation];however,its:(a)Article10(3)▌shallcontinuetoapplyuntil31December2023,exceptasregardsthetransmissionofdatatotheCommissionwhichshallcontinuetoapplyuntil30June2025;(b)Article12(4)andArticle12(5)shallcontinuetoapplyuntil31December2025,exceptasregardsthetransmissionofdatatotheCommissionwhichshallcontinuetoapplyuntil30June2027;(c)Article21(2)shallcontinuetoapplyuntil36monthsafterentryintoforceofthisregulation.ReferencestotherepealedDirectiveshallbeconstruedasreferencestothisRegulation.5469/23KR/am269ANNEXTREE.1.AENArticle79Entryintoforceandapplication1.ThisRegulationshallenterintoforceonthetwentiethdayfollowingthatofitspublicationintheOfficialJournaloftheEuropeanUnion.2.Itshallapplyfrom6monthsaftertheentryintoforceofthisRegulation.Article17andChapterVIshallapplyfrom12monthsafterentryintoforceoftheRegulation,exceptforArticle17(3)whichshallapplyfrom12monthsafterthedateofthefirstpublicationreferredtoinArticle30(2).3.ChapterVIIshallapplyfrom24monthsafterentryintoforceoftheRegulation.ThisRegulationshallbebindinginitsentiretyanddirectlyapplicableinallMemberStates.DoneatBrussels,FortheEuropeanParliamentFortheCouncilThePresidentThePresident5469/23KR/am270ANNEXTREE.1.AENAnnexIRestrictionsonhazardoussubstancesDesignationofthesubstanceorgroupofsubstancesConditionsofrestriction1.MercuryCASNo.7439-97-6ECNo.231-106-7anditscompounds1.Batteries,whetherornotincorporatedintoappliances,lightmeansoftransportorvehicles,shallnotcontainmorethan0,0005%ofmercury(expressedasmercurymetal)byweight▌.▌2.CadmiumCASNo.7440-43-9ECNo.231-152-8anditscompounds1.Portablebatteries,whetherornotincorporatedintoappliances,lightmeansoftransportorvehicles,shallnotcontainmorethan0,002%ofcadmium(expressedascadmiummetal)byweight▌.▌▌▌5469/23KR/am271ANNEXTREE.1.AEN2a.LeadCASNo.7439-92-1ECNo.231-100-4anditscompounds1.From12monthsafterentryintoforceoftheRegulation,portablebatteries,whetherornotincorporatedintoappliances,shallnotcontainmorethan0,01%oflead(expressedasleadmetal)byweight.2.Therestrictionsetoutinpoint1shallnotapplytoportablezinc-airbuttoncellsuntil60monthsafterentryintoforceoftheRegulation.5469/23KR/am272ANNEXTREE.1.AENAnnexIICarbonfootprint1.DefinitionsForthepurposesofthisAnnex,thefollowingdefinitionsshallapply:(a)‘Activitydata’meanstheinformationassociatedwithprocesseswhilemodellingLifeCycleInventories(LCI).TheaggregatedLCIresultsoftheprocesschainsthatrepresenttheactivitiesofaprocessareeachmultipliedbythecorrespondingactivitydataandthencombinedtoderivethecarbonfootprintassociatedwiththatprocess;(b)‘Billofmaterials’meanslistoftherawmaterials,sub-assemblies,intermediateassemblies,sub-components,partsandthequantitiesofeachneededtomanufacturetheproductinscopeofthestudy;(c)‘Company-specificdata’referstodirectlymeasuredorcollecteddatafromoneormultiplefacilities(site-specificdata)thatarerepresentativefortheactivitiesofthecompany.Itissynonymousto“primarydata”;(d)‘Functionalunit’meansthequalitativeandquantitativeaspectsofthefunction(s)and/orservice(s)providedbytheproductbeingevaluated;5469/23KR/am273ANNEXTREE.1.AEN(e)‘Lifecycle’meanstheconsecutiveandinterlinkedstagesofaproductsystem,fromrawmaterialacquisitionorgenerationfromnaturalresourcestofinaldisposal(ISO14040:2006orequivalent);(f)‘Lifecycleinventory(LCI)’meansthecombinedsetofexchangesofelementary,wasteandproductflowsinaLCIdataset;(g)‘Lifecycleinventory(LCI)dataset’meansadocumentorfilewithlifecycleinformationofaspecifiedproductorotherreference(e.g.,site,process),coveringdescriptivemetadataandquantitativelifecycleinventory.ALCIdatasetcouldbeaunitprocessdataset,partiallyaggregatedoranaggregateddataset;(h)‘Referenceflow’meansthemeasureoftheoutputsfromprocessesinagivenproductsystemrequiredtofulfilthefunctionexpressedbythefunctionalunit(basedonISO14040:2006orequivalent);5469/23KR/am274ANNEXTREE.1.AEN(i)‘Secondarydata’meansdatanotfromaspecificprocesswithinthesupply-chainofthecompanyperformingacarbonfootprintstudy.Thisreferstodatathatisnotdirectlycollected,measured,orestimatedbythecompany,butsourcedfromathirdpartyLCIdatabaseorothersources.Secondarydataincludesindustryaveragedata(e.g.,frompublishedproductiondata,governmentstatistics,andindustryassociations),literaturestudies,engineeringstudiesandpatents,andmayalsobebasedonfinancialdata,andcontainproxydata,andothergenericdata.Primarydatathatgothroughahorizontalaggregationstepareconsideredassecondarydata;(j)‘Systemboundary’meanstheaspectsincludedorexcludedfromthelifecyclestudy.Additionally,theharmonisedrulesforthecalculationofthecarbonfootprintofbatteriesshallincludeanyfurtherdefinitionnecessaryfortheirinterpretation.2.ScopeThisAnnexprovidesessentialelementsonhowtocalculatethecarbonfootprint.5469/23KR/am275ANNEXTREE.1.AENTheharmonisedcalculationrulesreferredtoinArticle7shallbuildontheessentialelementsincludedinthisAnnex,beincompliancewiththelatestversionoftheCommissionProductEnvironmentalFootprint1(PEF)methodandrelevantProductEnvironmentalFootprintCategoryRules(PEFCRs)2andreflecttheinternationalagreementsandtechnical/scientificprogressintheareaoflifecycleassessment3.Thecalculationofthelifecyclecarbonfootprintshallbebasedonthebillofmaterial,theenergy,andauxiliarymaterialsusedinaspecificplanttoproduceaspecificbatterymodel.Inparticular,theelectroniccomponents(e.g.batterymanagementunits,safetyunits)andthecathodematerialshavetobeaccuratelyidentified,astheymaybecomethemaincontributorforthebatterycarbonfootprint.▌3.FunctionalunitandreferenceflowThefunctionalunitisfurtherdefinedasonekWh(kilowatt-hour)ofthetotalenergyprovidedovertheservicelifebythebatterysystem,measuredinkWh.Thetotalenergyisobtainedfromthenumberofcyclesmultipliedbytheamountofdeliveredenergyovereachcycle.1https://eur-lex.europa.eu/legal-content/EN/TXT/PDF/?uri=CELEX:32013H0179&from=EN2https://ec.europa.eu/environment/eussd/smgp/pdf/PEFCR_guidance_v6.3.pdf3Seehttps://ec.europa.eu/environment/eussd/smgp/dev_methods.htm5469/23KR/am276ANNEXTREE.1.AENThereferenceflowistheamountofproductneededtofulfilthedefinedfunctionandshallbemeasuredinkgofbatteryperkWhofthetotalenergydeliveredbythebatteryoveritsservicelife.Allquantitativeinputandoutputdatacollectedbythemanufacturertoquantifythecarbonfootprintshallbecalculatedinrelationtothisreferenceflow.Asanexception,forback-upbatteriesthathaveasprimaryfunctionensuringcontinuityofapowersource,thefunctionalunitisdefinedastheabilityofprovidingonekWmin(kilowatt-minute)ofbackuppowercapabilityatanymomentoverthelifetimeofthebattery,measuredinkWmin.ThereferenceflowistheamountofproductneededtofulfilthedefinedfunctionandshallbemeasuredinkgofbatteryperkWminofbackuppowercapabilitydividedbytheservicelifeofthebatteryinyears.Allquantitativeinputandoutputdatacollectedbythemanufacturertoquantifythecarbonfootprintshallbecalculatedinrelationtothisreferenceflow.Inexceptionalcases,suchasforbatteriesforhybridnonplug-invehicles,themethodologymayspecifyadifferentfunctionalunit.4.SystemboundaryThefollowinglifecyclestagesandprocessesshallbeincludedinthesystemboundary:LifecyclestageShortdescriptionoftheprocessesincludedRawmaterialacquisitionandpre-processingIncludesminingandotherrelevantsourcing,pre-processingandtransportofactivematerials,uptothemanufacturingofbatterycellsandbatteriescomponents(activematerials,separator,electrolyte,casings,activeandpassivebatterycomponents),andelectric/electronicscomponents.5469/23KR/am277ANNEXTREE.1.AENMainproductproductionAssemblyofbatterycellsandassemblyofbatterieswiththebatterycellsandtheelectric/electroniccomponentsDistributionTransporttothepointofsaleEndoflifeandrecyclingCollection,dismantlingandrecyclingThefollowingprocessesshallbeexcluded:-Manufacturingofequipmentforbatteriesassemblyandrecycling,asimpactshavebeencalculatedasnegligibleinthePEFCRsforhighspecificenergyrechargeablebatteriesformobileapplications;-Batteryassemblyprocesswiththeoriginalequipmentmanufacturer(OEM)systemcomponents.Itmainlycorrespondstomechanicalassembly,anditisincludedinsidetheOEMequipmentorvehicleassemblyline.ThespecificenergyormaterialconsumptionforthisprocessarenegligiblewhencomparedtothemanufacturingprocessofOEMcomponents.Theusephaseshouldbeexcludedfromthelifecyclecarbonfootprintcalculations,asnotbeingunderthedirectinfluenceofmanufacturersunlessitisdemonstratedthatchoicesmadebybatterymanufacturersatthedesignstagecanmakeanon-negligiblecontributiontothisimpact.5469/23KR/am278ANNEXTREE.1.AEN5.UseofcompanyspecificandsecondarydatasetsDuetothehighnumberofbatterycomponentsandthecomplexityoftheprocesses,theeconomicoperatorshalllimit,wherejustified,theuseofcompanyspecificdatatoprocessandcomponentanalysistothebattery-specificparts.Inparticular,allactivitydatarelatedtothebattery’sanode,cathode,electrolyte,separatorandcell-casingshallrefertoaspecificbatterymodelproducedinaspecificproductionplant(i.e.,nodefaultactivitydatashallbeused).Thebattery-specificactivitydatashallbeusedincombinationwiththerelevantProductEnvironmentalFootprintcompliantsecondarydatasets.Asthecarbonfootprintdeclarationshallbespecifictoamodelbatteryproducedinadefinedproductionsite,samplingofdatacollectedfromdifferentplantsproducingthesamebatterymodelshouldnotbeallowed.Achangeinthebillofmaterialsorenergymixusedtoproduceabatterymodelrequiresanewcalculationofthecarbonfootprintforthatbatterymodel.TheharmonisedrulestobeelaboratedviaadelegatedactreferredtoinArticle7(1)shallincludedetailedmodellingofthefollowinglifecyclestages:-Rawmaterialacquisitionandpre-processingstage5469/23KR/am279ANNEXTREE.1.AEN-Productionstage-Distribution-Ownelectricityproduction-Endoflifestage6.CarbonfootprintimpactassessmentThecarbonfootprintofthebatteryshallbecalculatedusingthe“climatechange”lifecycleimpactassessmentmethodrecommendedinthe2019JointResearchCentre(JRC)reportavailableathttps://eplca.jrc.ec.europa.eu/permalink/PEF_method.pdf.Theresultsshallbeprovidedascharacterisedresults(withoutnormalisationandweighting).Thelistofcharacterizationfactorstobeusedisavailableat▌https://eplca.jrc.ec.europa.eu/EnvironmentalFootprint.html.7.OffsetsOffsetsarecalculatedrelativetoabaselinethatrepresentsahypotheticalscenarioforwhatemissionswouldhavebeenintheabsenceofthemitigationprojectthatgeneratestheoffsets.Offsetsshallnotbeincludedinthecarbonfootprintdeclaration,butmaybereportedseparatelyasadditionalenvironmentalinformationandusedforcommunicationpurposes.5469/23KR/am280ANNEXTREE.1.AEN8.CarbonfootprintperformanceclassesDependingonthedistributionofthevaluesofthebatteries’carbonfootprintdeclarationsplacedonthemarket,ameaningfulnumberofclassesofperformancewillbeidentified,withcategoryAbeingthebestclasswiththelowestcarbonfootprintlifecycleimpact,toallowformarketdifferentiationofbatterycategorieslaiddowninArticle7(1).Theidentificationofthethresholdforeachclassofperformance,aswellastheirwidth,willbebasedonthedistributionofperformancesofthebatterycategorieslaiddowninArticle7(1)placedonthemarketintheprevious3years,theexpectedtechnologicalimprovements,andothertechnicalfactorstobeidentified.▌9.MaximumcarbonthresholdsBasedontheinformationcollectedthroughthecarbonfootprintdeclarationsandtherelativedistributionofthecarbonfootprintperformanceclassesofbatterymodelsplacedonthemarket,andtakingintoaccountthescientificandtechnicalprogressinthefield,theCommissionwillidentifymaximumlifecyclecarbonfootprintthresholdsforbatterycategorieslaiddowninArticle7(1),furthertoadedicatedimpactassessmenttodeterminethosevalues.5469/23KR/am281ANNEXTREE.1.AENInproposingmaximumcarbonfootprintthresholdsreferredtointhefirstsubparagraph,theCommissionwilltakeintoaccounttherelativedistributionofthecarbonfootprintvaluesinbatteriesonthemarket,theextentofprogressinthereductionofcarbonfootprintofbatteriesplacedontheUnionmarketandtheeffectiveandpotentialcontributionofthismeasuretotheUnion’sobjectivesonsustainablemobilityandclimateneutralityby2050.5469/23KR/am282ANNEXTREE.1.AENAnnexIIIElectrochemicalperformanceanddurabilityparametersforportablebatteriesofgeneralusePartAnon-rechargeablebatteries▌2.Minimumaverageduration,minimumaveragetimemetbyasampleofbatteriesondischargewhenusedinspecificapplications.3.▌Delayeddischargeperformance▌,therelativedecreaseoftheminimumaverageduration,withtheinitiallymeasuredcapacityasthereferencepoint,afteradefinedperiodoftimeandspecificconditions(temperature,andrelativehumidity).3a.Resistancetoleakage,resistancetounplannedescapeofelectrolyte,gasorothermaterial.PartBrechargeablebatteries1.Ratedcapacity,capacityvalueofabatterydeterminedunderspecifiedconditionsanddeclaredbythemanufacturer.5469/23KR/am283ANNEXTREE.1.AEN2.Charge(capacity)1retention,capacitythatabatterycandeliverafterstorage,ataspecifictemperature,foraspecifictimewithoutsubsequentrechargeasapercentageoftheratedcapacity.3.Charge(capacity)recovery,capacitythatabatterycandeliverwithsubsequentrechargeafterstorage,ataspecifictemperature,foraspecifictime,aspercentageofratedcapacity.4.Enduranceincycles,thenumberofchargeanddischargecyclesabatterycanperformunderspecificconditionsbeforethecapacitydropsbelowaspecifiedfractionoftheratedcapacity.5.Resistancetoleakage,▌resistancetounplannedescapeofelectrolyte,gasorothermaterial▌.1IECmentionschargeandcapacity.Bothrepresentthesamephysicalquantity(charge);thedifferenceisonlythatchargeisexpressedinC=AswhereascapacityisexpressedinAh.Inpracticemostlycapacityisused.5469/23KR/am284ANNEXTREE.1.AENAnnexIVElectrochemicalperformanceanddurabilityrequirementsforLMTbatteries,industrialbatterieswithacapacityabove2kWhandelectricvehiclebatteriesPartAParametersrelatedtotheelectrochemicalperformanceanddurability1.Ratedcapacity(inAh)andcapacityfade(in%).2.Power(inW)andpowerfade(in%).3.Internalresistance(inꭥ)andinternalresistanceincrease(in%).4.Whereapplicable,energyroundtripefficiencyanditsfade(in%).5.▌Theirexpectedlife-timeunderthereferenceconditionsforwhichtheyhavebeendesignedintermsofcycles,exceptfornon-cycleapplications,andcalendaryears.▌‘Ratedcapacity’meansthetotalnumberofampere-hours(Ah)thatcanbewithdrawnfromafullychargedbatteryunderspecificreferenceconditions.5469/23KR/am285ANNEXTREE.1.AEN‘Capacityfade’meansthedecreaseovertimeanduponusageintheamountofchargethatabatterycandeliverattheratedvoltage,withrespecttotheoriginalratedcapacity▌.‘Power’meanstheamountofenergythatabatteryiscapabletoprovideoveragivenperiodoftimeunderreferenceconditions.‘Powerfade’meansthedecreaseovertimeanduponusageintheamountofpowerthatabatterycandeliverattheratedvoltage.‘Internalresistance’meanstheoppositiontotheflowofcurrentwithinacellorabatteryunderreferenceconditions,thatis,thesumofelectronicresistanceandionicresistancetothecontributiontototaleffectiveresistanceincludinginductive/capacitiveproperties.‘Energyroundtripefficiency’meanstheratioofthenetenergydeliveredbyabatteryduringadischargetesttothetotalenergyrequiredtorestoretheinitialStateofChargebyastandardcharge.PartBElementsforexplanationofthemeasurementsmadeforparameterslistedinPartA1.Applieddischargerateandchargerate.2.Ratiobetweennominalbatterypower(W)andbatteryenergy(Wh).3.Depthofdischargeinthecycle-lifetest.4.Powercapabilityat80%and20%stateofcharge.5.Anycalculationsperformedwiththemeasuredparameters,ifapplicable.5469/23KR/am286ANNEXTREE.1.AENAnnexVSafetyparameters1.ThermalshockandcyclingThistestshallbedesignedtoevaluatechangesintheintegrityofthebatteryarisingfromexpansionandcontractionofcellcomponentsuponexposuretoextremeandsuddenchangesintemperatureandpotentialconsequencesofsuchchanges.Duringathermalshockthebatteryshallbeexposedtotwotemperaturelimitsandheldateachtemperaturelimitforaspecifiedperiodoftime.2.ExternalshortcircuitprotectionThistestshallevaluatethesafetyperformanceofabatterywhenapplyinganexternalshortcircuit.Thetestcanevaluatetheactivationoftheovercurrentprotectiondeviceortheabilityofcellstowithstandthecurrentwithoutreachingahazardoussituation(e.g.thermalrunaway,explosion,fire).Themainriskfactorsareheatgenerationatcelllevelandelectricalarcingwhichmaydamagecircuitryormayleadtoreducedisolationresistance.5469/23KR/am287ANNEXTREE.1.AEN3.OverchargeprotectionThistestshallevaluatethesafetyperformanceofabatteryinoverchargesituations.Themainsafetyrisksduringoverchargearethedecompositionoftheelectrolyte,cathodeandanodebreakdown,exothermicdecompositionofthesolidelectrolyteinterphase(SEI)layer,separatordegradation,andtheLithiumplating,whichcanleadtoself-heatingofthebatteryandthermalrunaway.Thefactorsaffectingtheoutcomeofthetestshallinclude,atleast,thechargingrateandthefinallyreachedstate-of-charge(SOC).Theprotectioncanbeensuredbyeithervoltagecontrol(interruptionafterreachingthelimitchargingvoltage)orcurrentcontrol(interruptionafterexceedingmaximumchargingcurrent).4.Over-dischargeprotectionThistestshallevaluatethesafetyperformanceofabatteryinover-dischargesituations.Safetyrisksduringover-dischargeincludepolarityreversalleadingtooxidationoftheanodecurrentcollector(Copper)andtoplatingonthecathodeside.Evenminorover-dischargemaycausedendriteformationandfinallyshortcircuit.5.Over-temperatureprotectionThistestshallevaluatetheeffectoftemperaturecontrolfailureorfailureofotherprotectionfeaturesagainstinternaloverheatingduringoperation.5469/23KR/am288ANNEXTREE.1.AEN6.ThermalpropagationprotectionThistestshallevaluatethesafetyperformanceofabatteryinthermalpropagationsituations.Athermalrunawayinonecellcancauseacascadingreactionthroughtheentirebatterywhichcanbecomposedofnumerouscells.Itcanleadtosevereconsequencesincludingasignificantgasrelease.ThetestshalltakeintoaccountthetestsunderdevelopmentfortransportapplicationsbyISOandUNGTR.7.Mechanicaldamagebyexternalforces▌Thesetestsshallsimulateoneormoresituationsinwhichabatteryisaccidentallyexposedtomechanicalstressesandremainsoperationalforthepurposeforwhichitwasdesigned.Thecriteriatosimulatethesesituationsshouldreflectreallifeuses.5469/23KR/am289ANNEXTREE.1.AEN8.InternalshortcircuitThistestshallevaluatethesafetyperformanceofabatteryininternalshort-circuitsituationsTheoccurrenceofinternalshortcircuits,oneofthemainconcernsforbatterymanufacturers,potentiallyleadstoventing,thermalrunaway,alongwithsparkingwhichcanignitetheelectrolytevapoursescapingfromthecell.Thegenerationoftheseinternalshortscanbetriggeredbymanufacturingimperfections,presenceofimpuritiesinthecellsordendriticgrowthoflithium,andleadstomostofin-fieldsafetyincidents.Multipleinternalshortcircuitsscenariosarepossible(e.g.electricalcontactofcathode/anode,aluminiumcurrentcollector/coppercurrentcollector,aluminiumcurrentcollector/anode)eachwithadifferentcontactresistance.9.ThermalabuseDuringthistest,thebatteryshallexposedtoelevatedtemperatures(inIEC62619thisis85°C)whichcantriggerexothermaldecompositionreactionsandleadtoathermalrunawayofthecell.▌5469/23KR/am290ANNEXTREE.1.AEN9a.FiretestTheriskofexplosionshallbeassessedbyexposingthebatterytofire.10.EmissionofgasesBatteriescancontainsignificantamountsofpotentiallyhazardousmaterials,forexamplehighlyflammableelectrolytes,corrosiveandtoxiccomponents.Ifexposedtocertainconditions,theintegrityofthebatterycouldbecompromised,withreleaseofhazardousgases.Therefore,itisimportanttoidentifyemissionofsubstancesreleasedfromthebatteryduringtests:properconsiderationstotheriskoftoxicgasesemittedfromnon-aqueouselectrolytesshallbemadeforallsafetyparameterslistedinpoints1to10.5469/23KR/am291ANNEXTREE.1.AENAnnexVILabelling,markingandinformationrequirementsPartA:GeneralinformationaboutbatteriesInformationonthelabelofbatteries:1.themanufacturer’sidentificationinaccordancewithArticle38(8);2.thebatterycategoryanditsidentificationinaccordancewithArticle38(7a);▌▌▌3.manufacturingplace(geographicallocationofabatterymanufacturingfacility);4.manufacturingdate(monthandyear);5.weight;5a.capacity;5469/23KR/am292ANNEXTREE.1.AEN6.chemistry;7.hazardoussubstancescontainedinthebatteryotherthanmercury,cadmiumorlead;▌9.usableextinguishingagent.10.Criticalrawmaterialscontainedinthebatteryaboveaconcentrationof0,1%weightbyweight.PartB:SymbolforseparatecollectionofbatteriesPartC:QRcodeTheQRcodeshallbeofahighcolourcontrastandofasizethatiseasilyreadablebyacommonlyavailableQRreader,suchasthoseintegratedinhand-heldcommunicationdevices.5469/23KR/am293ANNEXTREE.1.AENAnnexVIIParametersfordeterminingthestateofhealthofbatteriesandexpectedlifetimeofbatteriesPartAParametersfordeterminingthestateofhealthofbatteries:Electricvehiclebatteries1.Stateofcertifiedenergy(SOCE)StationarybatteryenergystoragesystemsandLMTbatteries1.Remainingcapacity;▌3.Wherepossible,remainingpowercapability▌;4.Wherepossible,remainingroundtripefficiency;▌5469/23KR/am294ANNEXTREE.1.AEN6.Evolutionofself-dischargingrates;7.Wherepossible,ohmicresistance▌.PartBParametersfordeterminingtheexpectedlifetimeofstationarybatteryenergystoragesystemsandLMTbatteries:1.Thedateofmanufacturingofthebatteryand,whereappropriate,thedateofputtingintoservice;2.Energythroughput;3.Capacitythroughput;4.Trackingofharmfulevents,suchasthenumberofdeepdischargeevents,timespentinextremetemperatures,timespentchargingduringextremetemperatures;5.Numberoffullcharge-dischargecycles.5469/23KR/am295ANNEXTREE.1.AENAnnexVIIIConformityassessmentproceduresPartAMODULEA–INTERNALPRODUCTIONCONTROL1.DescriptionofthemoduleInternalproductioncontrolistheconformityassessmentprocedurewherebythemanufacturerfulfilstheobligationslaiddowninpoints2,3and4ofthisModule,andensuresanddeclaresonhissoleresponsibilitythatthebatteriesconcernedsatisfytherequirementssetoutinArticles6,9,10▌,12,13and14thatapplytothem.2.TechnicaldocumentationThemanufacturershalldrawupthetechnicaldocumentation.Thedocumentationshallmakeitpossibletoassessthebattery’sconformitywiththerelevantrequirementsreferredtoinpoint1,andshallincludeanadequateanalysisandassessmentoftherisk(s).5469/23KR/am296ANNEXTREE.1.AENThetechnicaldocumentationshallspecifytheapplicablerequirementsandcover,asfarasrelevantfortheassessment,thedesign,manufactureandoperationofthebattery.Thetechnicaldocumentationshallcontain,whereapplicable,atleastthefollowingelements:(a)ageneraldescriptionofthebatteryanditsintendeduse;(b)conceptualdesignandmanufacturingdrawingsandschemesofcomponents,sub-assemblies,circuits;(c)descriptionsandexplanationsnecessaryfortheunderstandingofthedrawingsandschemesreferredtoinpoint(b)andtheoperationofthebattery;(ca)aspecimenofthelabellingrequiredinaccordancewithArticle13;(d)alistwhichincludes:(i)alistoftheharmonisedstandardsreferredtoinArticle15,appliedinfullorinpart,includinganindicationofwhichpartshavebeenapplied;(ii)alistofthecommonspecificationsreferredtoinArticle16,appliedinfullorinpart,includinganindicationofwhichpartshavebeenapplied;(iii)alistofotherrelevanttechnicalspecificationsusedformeasurementorcalculationpurposes;▌5469/23KR/am297ANNEXTREE.1.AEN(v)wheretheharmonisedstandardsreferredtoinpoint(i)andthecommonspecificationsreferredtoinpoint(ii)havenotbeenappliedorarenotavailable,adescriptionofthesolutionsadoptedtomeettheapplicablerequirementsreferredtoinpoint1ortoverifythecomplianceofbatterieswiththoserequirements;(da)resultsofdesigncalculationsmade,examinationscarriedout,technicalordocumentaryevidenceused;and(e)testreports.3.ManufacturingThemanufacturershalltakeallmeasuresnecessarysothatthemanufacturingprocessanditsmonitoringensurecomplianceofthebatterieswiththetechnicaldocumentationreferredtoinpoint2andwiththeapplicablerequirementsreferredtoinpoint1.4.CEmarkingandEUdeclarationofconformityThemanufacturershallaffixtheCEmarkingtoeachindividual▌battery▌thatsatisfiestheapplicablerequirementsreferredtoinpoint1,or,wherethatisnotpossibleornotwarrantedduetothenatureofthebattery,tothepackagingandthedocumentsaccompanyingthebattery▌.5469/23KR/am298ANNEXTREE.1.AENThemanufacturershalldrawupanEUdeclarationofconformityforeachbatterymodelinaccordancewithArticle18andkeepittogetherwiththetechnicaldocumentationatthedisposalofthenationalauthoritiesfortenyearsafterthelastbatterybelongingtotherespectivebatterymodelhasbeenplacedonthemarket.TheEUdeclarationofconformityshallidentifythebatterymodelforwhichithasbeendrawnup.AcopyoftheEUdeclarationofconformityshallbemadeavailabletothenationalauthorities▌uponrequest.5.Manufacturer’sAuthorisedrepresentativeThemanufacturer’sobligationssetoutinpoint4maybefulfilledbythemanufacturer’sauthorisedrepresentative,onitsbehalfandunderthemanufacturer’sresponsibility,providedthattheyarespecifiedinthemandate.5469/23KR/am299ANNEXTREE.1.AENPartBMODULED1-QUALITYASSURANCEOFTHEPRODUCTIONPROCESS1.DescriptionofthemoduleQualityassuranceoftheproductionprocessistheconformityassessmentprocedurewherebythemanufacturerfulfilstheobligationslaiddowninpoints2,4and7ofthismodule,andensuresanddeclaresonhissoleresponsibility,withoutprejudicetotheresponsibilitiesofothereconomicoperatorsinaccordancewiththisRegulation,thatthebatteriesconcernedsatisfytheapplicablerequirementssetoutinArticles7and8,or,atthechoiceofthemanufacturer,allapplicablerequirementsetoutinArticles6to10and12to14.2.TechnicaldocumentationThemanufacturershallestablishthetechnicaldocumentation.Thetechnicaldocumentationshallmakeitpossibletoassessthebattery’sconformitywiththerelevantrequirements,andshallincludeanadequateanalysisandassessmentoftherisk(s).Thetechnicaldocumentationshallspecifytheapplicablerequirements▌andcover,asfarasrelevantfortheassessment,thedesign,manufactureandoperationofthebattery.Thetechnicaldocumentationshall,whereapplicable,containatleastthefollowingelements:(a)ageneraldescriptionofthebatteryanditsintendeduse,5469/23KR/am300ANNEXTREE.1.AEN(b)conceptualdesignandmanufacturingdrawingsandschemesofcomponents,sub-assemblies,circuits,etc.,(c)descriptionsandexplanationsnecessaryfortheunderstandingofthedrawingsandschemesreferredtoinpoint(b)andtheoperationofthebattery,(d)aspecimenofthelabellingrequiredinaccordancewithArticle13,(e)alistoftheharmonisedstandardsreferredtoinArticle15and/orthecommonspecificationsreferredtoinArticle16,applied,and,intheeventofpartlyappliedharmonisedstandardsand/orcommonspecifications,anindicationofwhichpartshavebeenapplied,(f)alistofotherrelevanttechnicalspecificationsusedformeasurementorcalculationpurposesanddescriptionsofthesolutionsadoptedtomeettheapplicablerequirementsreferredtoinpoint1ortoverifythecomplianceofbatterieswiththoserequirements,whereharmonisedstandardsand/orcommonspecificationshavenotbeenappliedorarenotavailable,(g)resultsofdesigncalculationsmade,examinationscarriedout,technicalordocumentaryevidenceused,etc.,5469/23KR/am301ANNEXTREE.1.AEN(h)astudysupportingthecarbonfootprintvaluesreferredtoinArticle7(1)andthecarbonfootprintclassreferredtoinArticle7(2),containingthecalculationsmadeinaccordancewiththemethodologysetoutinthedelegatedactadoptedbytheCommissionpursuanttopoint(a)ofArticle7(1)andtheevidenceandinformationdeterminingtheinputdataforthosecalculations,(i)astudysupportingtherecycledcontentsharereferredtoinArticle8,containingthecalculationsmadeinaccordancewiththemethodologysetoutinthedelegatedactadoptedbytheCommissionpursuanttosecondsubparagraphofArticle8(1)andtheevidenceandinformationdeterminingtheinputdataforthosecalculations;(j)testreports.3.AvailabilityoftechnicaldocumentationThemanufacturershallkeepthetechnicaldocumentationatthedisposalofthenationalauthoritiesfor10yearsafterthebatteryhasbeenplacedonthemarket.5469/23KR/am302ANNEXTREE.1.AEN4.ManufacturingThemanufacturer▌shalloperateanapprovedqualitysystemforproduction,finalproductinspectionandtestingofthebatteriesconcernedasspecifiedinpoint5,andshallbesubjecttosurveillanceasspecifiedinpoint6.5.Qualitysystem1.Themanufacturershalllodgeanapplicationforassessmentofhisqualitysystemwiththenotifiedbodyofhischoice,forthebatteriesconcerned.Theapplicationshallinclude:(a)thenameandaddressofthemanufacturerand,iftheapplicationislodgedbythemanufacturer’sauthorisedrepresentative,hisnameandaddressaswell,(b)awrittendeclarationthatthesameapplicationhasnotbeenlodgedwithanyothernotifiedbody,(c)allrelevantinformationforthebatterycategoryenvisaged,(d)thedocumentationconcerningthequalitysystemreferredtoinpoint5.2,(e)thetechnicaldocumentationreferredtoinpoint2.5469/23KR/am303ANNEXTREE.1.AEN2.Thequalitysystemshallensurecomplianceofthebatterieswiththerequirementsreferredtoinpoint1thatapplytothem.Alltheelements,requirementsandprovisionsadoptedbythemanufacturershallbedocumentedinasystematicandorderlymannerintheformofwrittenpolicies,proceduresandinstructions.Thequalitysystemdocumentationshallpermitaconsistentinterpretationofthequalityprogrammes,plans,manualsandrecords.Itshall,inparticular,containanadequatedescriptionof:(a)thequalityobjectivesandtheorganisationalstructure,responsibilitiesandpowersofthemanagementwithregardtoproductquality,(b)theproceduresfordocumentingandmonitoringtheparametersanddatanecessaryforcalculatingandupdatingtherecycledcontentsharereferredtoinArticle8and,whereapplicable,thecarbonfootprintvaluesandclassreferredtoinArticle7,(c)thecorrespondingmanufacturing,qualitycontrolandqualityassurancetechniques,processesandsystematicactionsthatwillbeused,(d)theexaminations,calculations,measurementsandteststhatwillbecarriedoutbefore,duringandaftermanufacture,andthefrequencywithwhichtheywillbecarriedout,5469/23KR/am304ANNEXTREE.1.AEN(e)thequalityrecords,suchasinspectionreportsandcalculation,measurementandtestdata,calibrationdata,qualificationreportsonthepersonnelconcerned,etc.,(f)themeansofmonitoringtheachievementoftherequiredproductqualityandtheeffectiveoperationofthequalitysystem.3.Thenotifiedbodyshallassessthequalitysystemtodeterminewhetheritsatisfiestherequirementsreferredtoinpoint5.2.Itshallpresumeconformitywiththoserequirementsinrespectoftheelementsofthequalitysystemthatcomplywiththecorrespondingspecificationsoftherelevantharmonisedstandard.Inadditiontoexperienceinqualitymanagementsystems,theauditingteamshallhaveatleastonememberwithexperienceofevaluationintherelevantproductfieldandproducttechnologyconcerned,andknowledgeoftheapplicablerequirementsreferredtoinpoint1.Theauditshallincludeanassessmentvisittothemanufacturer'spremises.5469/23KR/am305ANNEXTREE.1.AENTheauditingteamshallreviewthetechnicaldocumentationreferredtoinpoint2inordertoverifythemanufacturer'sabilitytoidentifytheapplicablerequirementsreferredtoinpoint1andtocarryoutthenecessaryexaminations,calculations,measurementsandtestswithaviewtoensuringcomplianceofthebatterywiththoserequirements.TheauditingteamshallcheckthereliabilityofdatausedforthecalculationoftherecycledcontentsharereferredtoinArticle8and,whereapplicable,thecarbonfootprintvaluesandclassreferredtoinArticle7aswellastheproperimplementationoftherelevantcalculationmethodology.Thedecisionofthenotifiedbodyshallbenotifiedtothemanufacturer.Thenotificationshallcontaintheconclusionsoftheauditandthereasonedassessmentdecision.4.Themanufacturershallundertaketofulfiltheobligationsarisingoutofthequalitysystemasapprovedandtomaintainitsothatitremainsadequateandefficient.5.Themanufacturershallkeepthenotifiedbodythathasapprovedthequalitysysteminformedofanyintendedchangetothequalitysystem.5469/23KR/am306ANNEXTREE.1.AENThenotifiedbodyshallevaluateanyproposedchangesanddecidewhetherthemodifiedqualitysystemwillcontinuetosatisfytherequirementsreferredtoinpoint5.2orwhetherreassessmentisnecessary.Thenotifiedbodyshallnotifythemanufacturerofitsdecision.Thenotificationshallcontaintheconclusionsoftheexaminationandthereasonedassessmentdecision.6.Surveillanceundertheresponsibilityofthenotifiedbody1.Thepurposeofsurveillanceistomakesurethatthemanufacturerdulyfulfilstheobligationsarisingoutoftheapprovedqualitysystem.2.Themanufacturershall,forassessmentpurposes,allowthenotifiedbodyaccesstothemanufacture,inspection,testingandstoragesitesandshallprovideitwithallnecessaryinformation,inparticular:(a)thequalitysystemdocumentationreferredtoinpoint5.2,(b)thetechnicaldocumentationreferredtoinpoint2,(c)thequalityrecords,suchasinspectionreportsandcalculation,measurementandtestdata,calibrationdata,qualificationreportsonthepersonnelconcerned,etc.5469/23KR/am307ANNEXTREE.1.AEN3.Thenotifiedbodyshallcarryoutperiodicauditstomakesurethatthemanufacturermaintainsandappliesthequalitysystemandshallprovidethemanufacturerwithanauditreport.DuringsuchauditsthenotifiedbodyshallcheckatleastthereliabilityofdatausedforthecalculationoftherecycledcontentsharereferredtoinArticle8and,whereapplicable,thecarbonfootprintvaluesandclassreferredtoinArticle7aswellastheproperimplementationoftherelevantcalculationmethodology.4.Inaddition,thenotifiedbodymaypayunexpectedvisitstothemanufacturer.Duringsuchvisitsthenotifiedbodymay,ifnecessary,carryoutexaminations,calculations,measurementsandtests,orhavethemcarriedout,inordertoverifythatthequalitysystemisfunctioningcorrectly.Thenotifiedbodyshallprovidethemanufacturerwithavisitreportand,iftestshavebeencarriedout,withatestreport.7.CEmarkingandEUdeclarationofconformity1.ThemanufacturershallaffixtheCEmarking,and,undertheresponsibilityofthenotifiedbodyreferredtoinpoint5.1,thelatter'sidentificationnumbertoeachindividualbattery▌thatsatisfiestheapplicablerequirementsreferredtoinpoint1,or,wherethatisnotpossibleornotwarrantedduetothenatureofthebattery,tothepackagingandthedocumentsaccompanyingthebattery.5469/23KR/am308ANNEXTREE.1.AEN2.ThemanufacturershalldrawupanEUdeclarationofconformityforeachbatterymodelinaccordancewithArticle18andkeepit▌atthedisposalofthenationalauthoritiesfor10yearsafterthelastbatterybelongingtotherespectivebatterymodelhasbeenplacedonthemarket.TheEUdeclarationofconformityshallidentifythebatterymodelforwhichithasbeendrawnup.AcopyoftheEUdeclarationofconformityshallbemadeavailabletothenationalauthoritiesuponrequest.8.AvailabilityofqualitysystemdocumentationThemanufacturershall,foraperiodof10yearsafterthebatteryhasbeenplacedonthemarket,keepatthedisposalofthenationalauthorities:(a)thequalitysystemdocumentationreferredtoinpoint5.2,(b)thechangereferredtoinpoint5.5,asapproved,(c)thedecisionsandreportsofthenotifiedbodyreferredtoinpoints5.5,6.3and6.4.9.InformationobligationsofthenotifiedbodyEachnotifiedbodyshallinformitsnotifyingauthorityofqualitysystemapprovalsissuedorwithdrawn,andshall,periodicallyoruponrequest,makeavailabletoitsnotifyingauthoritythelistofqualitysystemapprovalsrefused,suspendedorotherwiserestricted.5469/23KR/am309ANNEXTREE.1.AENEachnotifiedbodyshallinformtheothernotifiedbodiesofqualitysystemapprovalswhichithasrefused,withdrawn,suspendedorotherwiserestricted,and,uponrequest,ofqualitysystemapprovalswhichithasissued.10.Manufacturer'sAuthorisedrepresentativeThemanufacturer'sobligationssetoutinpoints3,5.1,5.5,7and8maybefulfilledbythemanufacturer'sauthorisedrepresentative,onthemanufacturer'sbehalfandunderthemanufacturer'sresponsibility,providedthattheyarespecifiedinthemandate.PartCMODULEG-CONFORMITYBASEDONUNITVERIFICATION1.DescriptionofthemoduleConformitybasedonunitverificationistheconformityassessmentprocedurewherebythemanufacturerfulfilstheobligationslaiddowninpoints2,3and5ofthismodule,andensuresanddeclaresonhissoleresponsibility,withoutprejudicetotheresponsibilitiesofothereconomicoperatorsinaccordancewiththisRegulation,thatthebatteryconcerned,whichhasbeensubjecttotheprovisionsofpoint4,isinconformitywiththeapplicablerequirementssetoutinArticles7and8,or,atthechoiceofthemanufacturer,allapplicablerequirementssetoutinArticles6to10and12to14.5469/23KR/am310ANNEXTREE.1.AEN2.Technicaldocumentation2.1Themanufacturershallestablishthetechnicaldocumentationandmakeitavailabletothenotifiedbodyreferredtoinpoint4.Thetechnicaldocumentationshallmakeitpossibletoassessthebattery’sconformitywiththerelevantrequirementsandshallincludeanadequateanalysisandassessmentoftherisk(s).Thetechnicaldocumentationshallspecifytheapplicablerequirementsandcover,asfarasrelevantfortheassessment,thedesign,manufactureandoperationofthebattery.Thetechnicaldocumentationshall,whereapplicable,containatleastthefollowingelements:(a)ageneraldescriptionofthebatteryanditsintendeduse,(b)conceptualdesignandmanufacturingdrawingsandschemesofcomponents,sub-assemblies,circuits,etc.,(c)descriptionsandexplanationsnecessaryfortheunderstandingofthedrawingsandschemesreferredtoinpoint(b)andtheoperationofthebattery,(d)aspecimenofthelabellingrequiredinaccordancewithArticle13,5469/23KR/am311ANNEXTREE.1.AEN(e)alistoftheharmonisedstandardsreferredtoinArticle15and/orthecommonspecificationsreferredtoinArticle16applied,and,intheeventofpartlyappliedharmonisedstandardsand/orcommonspecifications,anindicationofwhichpartshavebeenapplied,(f)alistofotherrelevanttechnicalspecificationsusedformeasurementorcalculationpurposesanddescriptionsofthesolutionsadoptedtomeettheapplicablerequirementsreferredtoinpoint1ortoverifythecomplianceofbatterieswiththoserequirements,whereharmonisedstandardsand/orcommonspecificationshavenotbeenappliedorarenotavailable,(g)resultsofdesigncalculationsmade,examinationscarriedout,technicalordocumentaryevidenceused,etc.,(h)astudysupportingthecarbonfootprintvaluesandclassreferredtoinArticle7,containingthecalculationsmadeinaccordancewiththemethodologysetoutinthedelegatedactadoptedbytheCommissionpursuanttopoint(a)ofthethirdsubparagraphofArticle7(1)andtheevidenceandinformationdeterminingtheinputdataforthosecalculations,5469/23KR/am312ANNEXTREE.1.AEN(i)astudysupportingtherecycledcontentsharereferredtoinArticle8,containingthecalculationsmadeinaccordancewiththemethodologysetoutinthedelegatedactadoptedbytheCommissionpursuanttosecondsubparagraphofArticle8(1)andtheevidenceandinformationdeterminingtheinputdataforthosecalculations,(j)testreports.2.2Themanufacturershallkeepthetechnicaldocumentationatthedisposalofthenationalauthoritiesfor10yearsafterthebatteryhasbeenplacedonthemarket.3.ManufacturingThemanufacturershalltakeallmeasuresnecessarysothatthemanufacturingprocessanditsmonitoringensureconformityofthemanufacturedbatterywiththeapplicablerequirementsreferredtoinpoint1.5469/23KR/am313ANNEXTREE.1.AEN4.Verification4.1Anotifiedbodychosenbythemanufacturershallcarryoutappropriateexaminations,calculations,measurementsandtests,setoutintherelevantharmonisedstandardsreferredtoinArticle15and/orcommonspecificationsreferredtoinArticle16,orequivalenttests,tochecktheconformityofthebatterywiththeapplicablerequirementsreferredtoinpoint1,orhavethemcarriedout.Intheabsenceofsuchaharmonisedstandardand/orcommonspecificationthenotifiedbodyconcernedshalldecideontheappropriateexaminations,calculations,measurementsandteststobecarriedout.Thenotifiedbodyshallissueacertificateofconformityinrespectoftheexaminations,calculations,measurementsandtestscarriedoutandshallaffixitsidentificationnumbertotheapprovedbattery,orhaveitaffixedunderitsresponsibility.4.2Themanufacturershallkeepthecertificatesofconformityatthedisposalofthenationalauthoritiesfor10yearsafterthebatteryhasbeenplacedonthemarket.5.CEmarkingandEUdeclarationofconformityThemanufacturershallaffixtheCEmarkingand,undertheresponsibilityofthenotifiedbodyreferredtoinpoint4,thelatter'sidentificationnumbertoeachbatterythatsatisfiestheapplicablerequirementsreferredtoinpoint1,or,wherethatisnotpossibleornotwarrantedduetothenatureofthebattery,tothepackagingandthedocumentsaccompanyingthebattery.5469/23KR/am314ANNEXTREE.1.AENThemanufacturershalldrawupanEUdeclarationofconformityinaccordancewithArticle18foreachbatteryandkeepitatthedisposalofthenationalauthoritiesfor10yearsafterthebatteryhasbeenplacedonthemarket.TheEUdeclarationofconformityshallidentifythebatteryforwhichithasbeendrawnup.AcopyoftheEUdeclarationofconformityshallbemadeavailabletothenationalauthoritiesuponrequest.6.Manufacturer'sauthorisedrepresentativeThemanufacturer'sobligationssetoutinpoints2.2,4.2and5maybefulfilledbythemanufacturer'sauthorisedrepresentative,onthemanufacturer'sbehalfandunderthemanufacturer'sresponsibility,providedthattheyarespecifiedinthemandate.5469/23KR/am315ANNEXTREE.1.AENAnnexIXEUDeclarationofconformityNo…(identificationnumberofthedeclaration)1.Batterymodel(product,category,andbatchorserialnumber):2.Nameandaddressofthemanufacturerand,whereapplicable,itsauthorisedrepresentative:3.Thisdeclarationofconformityisissuedunderthesoleresponsibilityofthemanufacturer4.Objectofthedeclaration(identificationofthebatteryallowingtraceability,andwhichmay,whereappropriate,includeanimageofthebattery):descriptionofthebattery.5.Theobjectofthedeclarationdescribedinpoint4isinconformitywiththerelevantUnionharmonisationlegislation:…(referencetotheotherUnionactsapplied).6.Referencestotherelevantharmonisedstandardsorthecommonspecificationsusedorreferencestotheothertechnicalspecificationsinrelationtowhichconformityisdeclared:7.Thenotifiedbody…(name,address,number)…performed…(descriptionofintervention)…andissuedthecertificate(s):…(details,includingitsdate,and,whereappropriate,informationonthedurationandconditionsofitsvalidity).8.AdditionalinformationSignedforandonbehalfof:(placeanddateofissue):(name,function)(signature)5469/23KR/am316ANNEXTREE.1.AENAnnexXListofrawmaterialsandriskcategories1.Rawmaterials:(a)cobalt;(b)naturalgraphite;(c)lithium;(d)nickel;(e)chemicalcompoundsbasedontherawmaterialslistedinpoints(a)to(d)whicharenecessaryforthemanufacturingoftheactivematerialsofbatteries.2.Socialandenvironmentalriskcategories:(a)environment,climateandhumanhealthconsideringdirect,induced,indirectandcumulativeeffects,includingbutnotlimitedto:(i)air,includingbutnotlimitedtoairpollution,includinggreenhousegasemissions;5469/23KR/am317ANNEXTREE.1.AEN(ii)water,includingseabedandmarineenvironmentandincludingbutnotlimitedtowaterpollution,wateruse,waterquantities(floodingordraughts)andaccesstowater;(iii)soil,includingbutnotlimitedtosoilpollution,soilerosion,landuseandlanddegradation;(iv)biodiversity,includingbutnotlimitedtodamagetohabitats,wildlife,floraandecosystems,includingecosystemservices;(v)hazardoussubstances;(vi)noiseandvibration;(vii)plantsafety;(viii)energyuse;(ix)wasteandresidues;(b)humanrights,labourrightsandindustrialrelations,includingbutnotlimitedto:(i)occupationalhealthandsafety,(ii)▌childlabour,5469/23KR/am318ANNEXTREE.1.AEN(iii)forcedlabour,(iv)discrimination,(v)tradeunionfreedoms;▌(c)communitylife,includingthatofindigenouspeoples;3.Theinternationalinstrumentscoveringtherisksreferredtoinpoint2include:(a)TenPrinciplesoftheUnitedNationsGlobalCompact;(b)UNEPGuidelinesforSocialLifeCycleAssessmentofProducts;(c)ConventiononBiologicalDiversity,inparticularDecisionCOPVIII/28-VoluntaryguidelinesonBiodiversity-Inclusiveimpactassessment;(ca)UNParisAgreement;(cb)EightfundamentalILOConventionsasdefinedundertheILODeclarationonFundamentalPrinciplesandRightsatwork;(cc)anyotherinternationalenvironmentalconventionsthatarebindingupontheUnionoritsMemberStates,5469/23KR/am319ANNEXTREE.1.AEN▌(e-b)ILODeclarationonFundamentalPrinciplesandRightsatWork;(e-c)TheInternationalBillofHumanRights,includingtheinternationalcovenantonCivilandPoliticalRightsandtheInternationalCovenantonEconomic,SocialandCulturalRights;▌▌3a.TheinternationallyrecognizedduediligenceprinciplesapplicabletotheduediligencerequirementslaiddowninArticle39ofthisRegulation:(a)TheInternationalBillofHumanRights,includingtheinternationalcovenantonCivilandPoliticalRightsandtheInternationalCovenantonEconomic,SocialandCulturalRights;(b)UNGuidingPrinciplesforBusinessesandHumanRights;(c)OECDGuidelinesforMultinationalEnterprises;(d)ILOTripartiteDeclarationofPrinciplesconcerningMultinationalEnterprisesandSocialPolicy;(e)OECDDueDiligenceGuidanceforResponsibleBusinessConduct;(f)OECDDueDiligenceGuidanceforResponsibleSupplyChainsofMineralsfromConflict-AffectedandHigh-RiskAreas.▌5469/23KR/am320ANNEXTREE.1.AENAnnexXICalculationofcollectionratesofwasteportablebatteriesandwasteLMTbatteries1.Producersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisationsactingontheirbehalf,andMemberStatesshallcalculatethecollectionrateasthepercentageobtainedbydividingtheweightofwaste▌batteries▌,collectedinaccordancewithArticle48andArticle55,respectively,inagivencalendaryearinaMemberStatebytheaverageweightofsuchbatteriesthatproducerseithermakeavailableonthemarketdirectlytoend-usersordelivertothirdpartiesinordertomakeavailableonthemarketthemtoend-usersinthatMemberStateduringthe3precedingcalendaryears.Thesecollectionratesshallbecalculatedforportablebatteries,ontheonehand,inaccordancewithArticle48,andforLMTbatteries,ontheotherhand,inaccordancewithArticle48a.YearDatacollectionsCalculationsReportingrequirementYear1Salesinyear1(S1)Year2Salesinyear2(S2)--Year3Salesinyear3(S3)Year4Salesinyear4(S4)Collectioninyear4(C4)Collectionrate(CR4)=3C4/(S1+S2+S3)CR4Year5Salesinyear5(S5)Collectioninyear5(C5)Collectionrate(CR5)=3C5/(S2+S3+S4)CR5Etc.Etc.Etc.Etc.5469/23KR/am321ANNEXTREE.1.AEN2.Producersor,whereappointedinaccordancewithArticle47a(1),producerresponsibilityorganisationsactingontheirbehalf,andMemberStatesshallcalculatetheannualsalesof▌batteries▌toend-usersinagivenyear,astheweightofsuchbatteriesmadeavailableonthemarketforthefirsttimewithintheterritoryoftheMemberStateintheyearconcerned,excludingany▌batteriesthathavelefttheterritoryofthatMemberStateinthatyear,beforebeingsoldtotheend-users.ThesesalesarecalculatedforportablebatteriesontheonehandandforLMTbatteriesontheother.3.Foreachbattery,onlythefirsttimeitismadeavailableonthemarketinaMemberStateshallbecounted.4.Thecalculationprovidedforinpoints1and2shallbebasedoncollecteddataorstatisticallysignificantestimatesbasedoncollecteddata.5469/23KR/am322ANNEXTREE.1.AENAnnexXIIStorageandtreatment,includingrecycling,requirementsPartA:Storage,treatmentrequirements1.Treatmentshall,asaminimum,includeremovalofallfluidsandacids.2.Treatmentandanystorage,includingtemporarystorage,attreatmentfacilities,includingrecyclingfacilitiesshalltakeplaceinsiteswithimpermeablesurfacesandsuitableweatherproofcoveringorinsuitablecontainers.3.Wastebatteriesintreatmentfacilities,includingrecyclingfacilities,shallbestoredinsuchawaythatwastebatteriesarenotmixedwithwastefromconductiveorcombustiblematerials.4.Specialprecautionsandsafetymeasuresshallbeinplaceforthetreatmentofwastelithiumbasedbatteriesduringhandling,sortingandstorage.Suchmeasuresshallincludeprotectionfromexposureto:(a)excessiveheat(suchashightemperatures,fireordirectsunlight),(b)water(storedindryplace,protectedfromprecipitationandflooding),(c)anycrushingorphysicaldamage.5469/23KR/am323ANNEXTREE.1.AENTheyshallbestoredintheirnormallyinstalledorientation(neverinverted)inwell-ventilatedareasandcoveredwithahighvoltagerubberisolation.Storagefacilitiesofwastelithiumbasedbatteriesshallbemarkedwithawarningsign.4a.Mercuryandcadmiumshallbeseparatedduringtreatmentintoanidentifiablestream,whichshallbesafelyimmobilisedanddisposedandcannotcauseadverseeffectsonhumansortheenvironment.PartB:Minimumrecyclingefficiencies1.Nolaterthan31December2025,recycling▌shallachievethefollowingminimumrecyclingefficiencies:(a)recyclingof75%byaverageweightoflead-acidbatteries;(b)recyclingof65%byaverageweightoflithium-basedbatteries;(ba)recyclingof80%byaverageweightofnickel-cadmiumbatteries;(c)recyclingof50%byaverageweightofotherwastebatteries.5469/23KR/am324ANNEXTREE.1.AEN2.Nolaterthan31December2030,recycling▌shallachievethefollowingminimumrecyclingefficiencies:(a)recyclingof80%byaverageweightoflead-acidbatteries;(b)recyclingof70%byaverageweightoflithium-basedbatteries.PartC:Minimumlevelsofrecoveredmaterials1.Nolaterthan31December2027,allrecycling▌shallachievethefollowingminimumlevelsofmaterialsrecovery:(a)90%forcobalt;(b)90%forcopper;(c)90%forlead;(d)50%forlithium;(e)90%fornickel.5469/23KR/am325ANNEXTREE.1.AEN2.Nolaterthan31December2031,allrecycling▌shallachievethefollowingminimumlevelsofmaterialsrecovery:(a)95%forcobalt;(b)95%forcopper;(c)95%forlead;(d)80%forlithium;(e)95%fornickel.5469/23KR/am326ANNEXTREE.1.AENAnnexXIIIInformationtobeincludedinthebatterypassport▌1.PUBLICLYACCESSIBLEINFORMATIONRELATINGTOTHEBATTERYMODELAbatterypassportshallincludethefollowinginformationrelatingtothebatterymodelwhichshallbeaccessibletothepublic:(a)InformationspecifiedinPartAofAnnexVI;(b)Materialcompositionofthebattery,includingitschemistry,hazardoussubstancescontainedinthebatteryotherthanmercury,cadmiumorlead,andcriticalrawmaterialscontainedinthebattery;▌▌▌(f)CarbonfootprintinformationreferredtoinArticles7(1)and7(2);5469/23KR/am327ANNEXTREE.1.AEN(g)InformationonresponsiblesourcingasindicatedinthereportonitsduediligencepoliciesreferredtoinArticle45e(3)(h)RecycledcontentinformationascontainedinthedocumentationreferredtoinArticle8(1);(ha)Theshareofrenewablecontent;(i)Ratedcapacity(inAh);(j)Minimal,nominalandmaximumvoltage,withtemperaturerangeswhenrelevant;(k)Originalpowercapability(inWatts)andlimits,withtemperaturerangewhenrelevant;(l)Expectedbatterylifetimeexpressedincycles,andreferencetestused;(m)Capacitythresholdforexhaustion(onlyforelectricvehiclebatteries);(n)Temperaturerangethebatterycanwithstandwhennotinuse(referencetest);(o)Periodforwhichthecommercialwarrantyforthecalendarlifeapplies;(p)Initialroundtripenergyefficiencyandat50%ofcycle-life;5469/23KR/am328ANNEXTREE.1.AEN(q)Internalbatterycellandpackresistance;(r)C-rateofrelevantcycle-lifetest.(s)Thelabellingrequirementslaiddowninarticles13(3)and(4);(t)TheEUdeclarationofconformityreferredtoinArticle18;(u)Theinformationregardingthepreventionandmanagementofwastebatterieslaiddowninpoint(a)to(f)ofArticle60(1).2.INFORMATIONRELATINGTOTHEBATTERYMODELACCESSIBLEONLYTOINTERESTEDPERSONSANDTHECOMMISSIONAbatterypassportshallincludethefollowinginformationrelatingtothebatterymodelwhichshallbeaccessibleonlytointerestedpersonsandtheCommission:(a)Detailedcomposition,includingmaterialsusedinthecathode,anodeandelectrolyte;(b)Partnumbersforcomponentsandcontactdetailsofsourcesforreplacementspares;(c)Dismantlinginformation,includingatleast:-Explodeddiagramsofthebatterysystem/packshowingthelocationofbatterycells,-Disassemblysequences,5469/23KR/am329ANNEXTREE.1.AEN-Typeandnumberoffasteningtechniquestobeunlocked,-Toolsrequiredfordisassembly,-Warningsifriskofdamagingpartsexist,-Amountofcellsusedandlayout;(d)Safetymeasures.3.INFORMATIONACCESSIBLEONLYTONOTIFIEDBODIES,MARKETSURVEILLANCEAUTHORITIESANDTHECOMMISSIONAbatterypassportshallincludethefollowinginformationrelatingtothebatterymodelwhichshallbeaccessibleonlytonotifiedbodies,marketsurveillanceauthoritiesandtheCommission:(a)ResultsoftestsreportsprovingcompliancewiththerequirementssetoutinthisRegulationoranyimplementingordelegatedactadoptedonitsbasis.5469/23KR/am330ANNEXTREE.1.AEN4.INFORMATIONANDDATARELATINGTOANINDIVIDUALBATTERYACCESSIBLEONLYTOINTERESTEDPERSONSAbatterypassportshallincludethefollowingspecificinformationanddatarelatingtoanindividualbatterywhichshallbeaccessibleonlytointerestedpersons:(a)thevaluesforperformanceanddurabilityparametersreferredtoinArticle10(1),whenthebatteryisplacedonthemarketandwhenitissubjecttochangesinitsstatus;(aa)informationonthestateofhealthofthebatterypursuanttoArticle14;(b)informationonthestatusofthebattery,definedas'original’,‘repurposed’,‘reused’,'remanufactured'or‘waste’;(c)informationanddataasaresultofitsuse,includingthenumberofcharginganddischargingcyclesandnegativeevents,suchasaccidents,aswellasperiodicallyrecordedinformationontheoperatingenvironmentalconditions,includingtemperature,andonthestateofcharge.5469/23KR/am331ANNEXTREE.1.AENAnnexXIVCorrelationtableDirective2006/66/ECThisRegulationArticle1Article1Article1firstsubparagraphpoint1Article1(1)Article1subparagraph1point2Article1(1)Article1,secondsubparagraph---Article2Article1(2)and(3)Article2(1)Article1(2)Article2(2)Article1(3)Article2(2)(a)Article1(3)(a)Article2(2)(b)Article1(3)(b)Article3Article2Article3point1Article2point1Article3point2---5469/23KR/am332ANNEXTREE.1.AENArticle3point3Article2point7Article3point4---Article3point5Article2point10Article3point6Article2point11Article3point7Article2point39Article3point8Article2point49Article3point9---Article3point10Article2point42Article3point11Article2point23Article3point12Article2point37Article3point13Article2point55Article3point14Article2point14Article3point15Article2point19Article3point16---Article3point17---5469/23KR/am333ANNEXTREE.1.AENArticle4Article6Article4(1)AnnexIArticle4(1)(a)AnnexIfirstentrypoint1Article4(1)(b)AnnexIsecondentrypoints1to3Article4(2)---Article4(3)AnnexIsecondentrypoint2Article4(3)(a)AnnexIsecondentrypoint2(a)Article4(3)(b)AnnexIsecondentrypoint2(b)Article4(3)(c)---Article4(4)---Article5---Article6Article3Article6(1)Article3(1)Article6(2)---Article7---5469/23KR/am334ANNEXTREE.1.AENArticle8Article48,Article49,Article50,Article51,Article52,Article53,Article54Article8(1)Article48Article8(1)(a)Article48(1)(a)Article48(1)(b)Article8(1)(b)Article50Article8(1)(c)Article49(1)Article50(1)Article8(1)(d)Article48(2)(a)(ii)Article49(1)(b)Article8(1),secondsubparagraphArticle48(5)5469/23KR/am335ANNEXTREE.1.AENArticle8(2)Article48(1)Article48(2)Article8(2)(a)Article48(1)Article48(2)Article8(2)(b)Article48(2)Article8(2)(c)---Article8(3)Article49Article8(4)Article49Article9---Article10Article55Article10(1)---Article10(1)secondsubparagraphArticle61(3)Article10(2)Article55(1)Article10(2)(a)---Article10(2)(b)Article55(1)(a)Article10(3)Article55(2),Article62(1)second5469/23KR/am336ANNEXTREE.1.AENsubparagraphArticle10(4)---Article11Article11Article11,firstsubparagraphArticle11(1)Article11,secondsubparagraphArticle11(2)Article12Article56Article12(1)Article56(2)Article12(1)(a)Article48(1)(e),Article49(3)(c)Article12(1)(b)Article57(1)Article12(1),secondsubparagraph---Article12(1),thirdsubparagraph---Article12(2)Article57(2)Article12(3)Article51(3);Article56(3)Article12(4)Article57(2);Article57(3)Article12(5)Article61(4)(c);62(1)(c)5469/23KR/am337ANNEXTREE.1.AENArticle12(6)Article57(4)Article13---Article13(1)---Article13(2)Recital78Article14Article56(1)Article15Article58Article15(1)Article58(1)Article15(2)Article58(2)Article15(3)Article58(3)Article16Article47Article16(1)Article47(1)Article16(1)(a)Article47(1)(a)Article16(1)(b)Article47(1)(a)Article16(2)---Article16(3)Article47(1)(d)and(e)5469/23KR/am338ANNEXTREE.1.AENArticle16(4)Article60(5)Article16(5)---Article16(6)---Article17Article46Article18Article47(4)(c)Article18(1)---Article18(2)---Article18(3)---Article19Article48(1),49(1),50-54Article19(1)Article48(2),49(1),50,52-54Article19(2)Article47(4)(c)Article20Article60Article20(1)Article60(1)Article20(1)(a)Article60(1)(f)Article20(1)(b)Article60(1)(b)5469/23KR/am339ANNEXTREE.1.AENArticle20(1)(c)Article60(1)(c)Article20(1)(d)Article60(1)(b)Article20(1)(e)Article60(1)(e)Article20(2)Article60Article20(3)Article60(4)Article21Article20RulesandconditionsforaffixingtheCEmarking;Article13,AnnexVIPartA,B,CArticle21(1)Article13(3)Article21(2)Article13(2)Article21(3)Article13(4)Article21(4)Article13(3)Article21(5)Article13(3)Article21(6)---Article21(7)---Article22a---5469/23KR/am340ANNEXTREE.1.AENArticle23ReviewArticle55(3),Article77Article23(1)Article77(1)Article23(2)Article77(2)Article23(2)(a)---Article23(2)(b)Article55(3);Article772(d)Article23(2)(c)Article56(4)Article23(3)Article77(2)secondsubparagraphArticle23aArticle73Article23a(1)Article73(1)Article23a(2)Article73(2)Article23a(3)Article73(3)Article23a(4)Article73(5)Article23a(5)Article73(6)Article24Article74Article24(1)Article74(1)5469/23KR/am341ANNEXTREE.1.AENArticle24(2)Article74(3)Article24(2),secondsubparagraphArticle74(3)secondsubparagraphArticle25Article76Article26---Article27---Article28Article78Article29Article79Article30--AnnexIAnnexXIAnnexIIAnnexVIPartBAnnexIIIAnnexXIIAnnexIIIPartAAnnexXIIPartAAnnexIIIPartBAnnexXIIPartBAnnexIVProceduralrequirementsforregistration---5469/23KR/am342ANNEXTREE.1.AENAnnexXIV(new)Minimumrequirementsforshipmentsofusedbatteries1.Inordertodistinguishbetweenusedandwastebatteries,wheretheholder,meaningthenaturalorlegalpersoninpossessionoftheusedbatteriesorthewastebatteriesclaimsthatitintendstoshiporisshippingusedbatteriesandnotwaste,thatholdershallberequiredtohaveavailablethefollowingtosubstantiatethisclaim:(a)acopyoftheinvoiceandcontractrelatingtothesaleortransferofownershipofthebatterywhichstatesthattheequipmentisdestinedfordirectre-useandthatitisfullyfunctional;(b)evidenceofevaluationortestingintheformofacopyoftherecords(certificateoftesting,proofoffunctionality)oneveryitemwithintheconsignmentandaprotocolcontainingallrecordinformationaccordingtopoint3;(c)adeclarationmadebytheholderwhoarrangesthetransportoftheusedbatterythatnoneofthematerialorequipmentwithintheconsignmentiswasteasdefinedbyArticle3(1)ofDirective(EU)2008/98;and(d)appropriateprotectionagainstdamageduringtransportation,loadingandunloadinginparticularthroughsufficientpackagingandappropriatestackingoftheload.5469/23KR/am343ANNEXTREE.1.AEN2.Bywayofderogation,point1(a)and(b)andpoint3donotapplywhereitisdocumentedbyconclusiveproofthattheshipmentistakingplaceintheframeworkofabusiness-to-businesstransferagreementandthat:(a)theusedbatteryissentbacktotheproducerorathirdpartyactingonhisbehalfasdefectiveforrepairunderwarrantywiththeintentionofre-use;or(b)theusedbatteryforprofessionaluseissenttotheproducerorathirdpartyactingonhisbehalforathird-partyfacilityincountriestowhichDecisionC(2001)107/FinaloftheOECDCouncilconcerningtherevisionofDecisionC(92)39/Finaloncontroloftransboundarymovementsofwastesdestinedforrecoveryoperationsapplies,forrefurbishmentorrepairunderavalidcontractwiththeintentionofre-use;or(c)thedefectiveusedbatteryforprofessionaluseissenttotheproducerorathirdpartyactingonhisbehalfforrootcauseanalysisunderavalidcontract,incaseswheresuchananalysiscanonlybeconductedbytheproducerorthirdpartiesactingonhisbehalf.5469/23KR/am344ANNEXTREE.1.AEN3.Inordertodemonstratethattheobjectbeingshippedconstituteusedbatteries,ratherthanwaste,itsholdershallcarryoutthefollowingstepsfortestingandrecordkeepingforusedbatteries:Step1:Testing(a)ThebatteryshallbetestedforitsStateofHealthandthepresenceofhazardoussubstancesshallbeevaluated;(b)Resultsofevaluationandtestingshallberecorded.Step2:Record(a)Therecordshallbefixedsecurelybutnotpermanentlyoneithertheusedbatteryitself(ifnotpacked)oronthepackagingsoitcanbereadwithoutunpackingtheequipment.(b)Therecordshallcontainthefollowinginformation:-nameofitem,-identificationnumberoftheitem,whereapplicable,-yearofproduction,ifavailable,-nameandaddressofthecompanyresponsiblefortestingtheStateofHealth,-resultoftestsasdescribedinstep1(includingthedateofthetest),-kindoftestsperformed.5469/23KR/am345ANNEXTREE.1.AEN4.Inadditiontothedocumentationrequestedinpoints1,2and3,everyload(e.g.shippingcontainer,lorry)ofusedbatteriesshallbeaccompaniedby:(a)arelevanttransportdocument;(b)adeclarationbytheliablepersononitsresponsibility.5.Intheabsenceofproofthatanobjectisusedbattery,andnotwaste,throughtheappropriatedocumentationrequiredinpoints1,2,3and4andofappropriateprotectionagainstdamageduringtransportation,loadingandunloadinginparticularthroughsufficientpackagingandappropriatestackingoftheload,whicharetheobligationsoftheholderwhoarrangesthetransport,theobjectshallbeconsideredwasteanditshallbepresumedthattheloadcomprisesanillegalshipment.InthesecircumstancestheloadwillbedealtwithinaccordancewithArticles24and25ofRegulation(EC)No1013/2006.

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