新电池法规2020提案-欧盟电池与废电池法规（英文版）.pdf

EN EN EU R O PEAN C O M M I SSIO N B russe ls, 10 .12.2020 C OM( 2020) 798 f inal 2020/0353 (COD) P roposa l for a REG ULATI ON OF T H E E UR OP E AN P AR L I AM E NT AN D O F T HE COUN CIL c on c e r n in g b at te r ies an d w aste b at te r ies, r e p e a li n g Dir e c tive 2006/66/ E C and am e n d in g Re gu lation ( E U) No 2019/1020 (T e x t wit h EEA r e leva n c e ) {S EC(2020) 420 fina l} - {S W D( 2020) 334 fina l} - {S W D( 2020) 335 fina l} EN 1 EN EXPLANATORY MEMORANDUM 1. CONTEXT OF THE PROPOSAL • Reasons for and objectives of the proposal Battery development and production are strategic imperatives for Europe in the context of the clean energy transition. It is also a key component of Europe’s automotive sector. In the EU, transport is responsible for roughly a quarter of greenhouse-gas (GHG) emissions and is the main cause of air pollution in cities. More widespread uptake of electric vehicles will reduce GHG emissions and noxious emissions from road transport. In the EU, a strong increase in the electrification of passenger cars, vans, buses – and, to a lesser extent, trucks – is expected to take place between 2020 and 2030. This is mainly being driven by EU legislation setting CO2 emission standards for vehicle manufacturers, but also by EU legislation setting Member State minimum targets for public procurement of clean vehicles1. The electrification of some residential services, like energy storage or heating, will follow on from this and help to further reduce emissions. According to estimates from the World Economic Forum, there is a need to scale up global battery production by a factor of 19 to accelerate the transition to a low-carbon economy2. This initiative aims to modernise the EUs legislative framework for batteries. It is an integral part of the EUs Green Deal3, the EUs new growth strategy, which aims to transform the EU into a modern, resource-efficient and competitive economy where: (i) there are no net emissions of GHGs by 2050; (ii) economic growth is decoupled from resource use; and (iii) no person and no place is left behind. It builds on commitments and reports adopted by the European Commission, including the strategic action plan on batteries4, the new circular economy action plan5, the new industrial strategy for Europe6 and the sustainable and smart mobility strategy7, which aims at delivering a 90% reduction in transport-related GHG emissions by 2050. In addition to the Commission’s work, both the Council and the Parliament have called for action to support the transition to electro-mobility, carbon-neutral energy storage, and a sustainable battery value chain. The European Investment Bank also announced that it expects to increase its backing of battery-related projects to more than EUR 1 billion of financing in 20208. This initiative addresses three groups of highly interlinked problems related to batteries.  The first group relates to the lack of framework conditions providing incentives to invest in production capacity for sustainable batteries. These 1 Directive 2009/33/EC of the European Parliament and of the Council of 23 April 2009 on the promotion of clean and energy-efficient road transport vehicles (OJ L 120, 15.5.2009, p. 5) 2 World Economic Forum and Global Batteries Alliance, A vision for a sustainable battery value chain in 2030: Unlocking the potential to power sustainable development and climate change mitigation, 2019. 3 Communication from the Commission to the European Parliament, the European Council, the Council, the European Economic and Social Committee and the Committee of the Regions, The European Green Deal (COM (2019) 640 final). 4 Annex to COM(2018)293 final. 5 COM(2020)98 final. 6 COM(2020)102 final. 7 COM(2020)789 8 https://www.eib.org/en/press/all/2020-121-eib-reaffirms-commitment-to-a-european-battery-industry- to-boost-green-recovery EN 2 EN problems are linked to the inefficient functioning of the single market and to the lack of a sufficiently level playing field9 due to diverging regulatory frameworks within the internal market. The underlying causes of this include uneven implementation of the Batteries Directive and the lack of reliable and comparable information across the EU.  The second group of problems relates to sub-optimal functioning of recycling markets and insufficiently closed material loops, which limit the EUs potential to mitigate the supply risk for raw materials. There are a number of shortcomings in the current regulatory framework. These shortcomings include a lack of clear and sufficiently harmonised rules, and provisions in the Batteries Directive that dont take into account recent technological and market developments. They reduce the profitability of recycling activities and hold back investment in new technologies and in additional capacity to recycle the batteries of the future.  The third group of problems relates to social and environmental risks that are currently not covered by EU environmental law. These problems include: (i) a lack of transparency on sourcing raw materials; (ii) hazardous substances; and (iii) the untapped potential for offsetting the environmental impacts of battery life cycles. At the root of these issues are market failures and information failures. Both of these failures are related to the functioning of the single market. In addition, they are exacerbated by a third driver, the complexity of battery value chains. The proposal’s objectives are threefold: 1) strengthening the functioning of the internal market (including products, processes, waste batteries and recyclates), by ensuring a level playing field through a common set of rules; 2) promoting a circular economy; and 3) reducing environmental and social impacts throughout all stages of the battery life cycle. These three objectives are strongly interlinked. • Consistency with existing policy provisions in the policy area The current regulatory framework covers only the end-of-life stage of batteries through the Batteries Directive. There are currently no legal provisions in the EU that cover other aspects of the production and use phases of batteries, such as electrochemical performance and durability, GHG emissions, or responsible sourcing. In line with the ‘one-in-one-out’ principle10, the proposed Regulation should replace the current Batteries Directive. The proposal is fully in line with the EU’s existing environmental and waste legislation. It complements this legislation, including: Directive 2000/53/EC of the European Parliament and of the Council of 18 September 2000 on end-of life vehicles11; Directive 2008/98/EC of the European Parliament and of the Council of 19 November 2008 on waste12; Directive 2012/19/EU of the European Parliament and of the Council of 4 July 2012 on waste electrical 9 A “level playing field“ is a term for a set of common rules and standards that prevent businesses in one country gaining a competitive advantage over those operating in other countries. 10 Every legislative proposal creating new burdens should relieve people and business of an existing equivalent burden at EU-level in the same policy area. Communication from the President to the Commission: The Working Methods of the European Commission (P(2019) 2). 11 OJ L 269, 21.10.2000, p. 34. 12 OJ L 312, 22.11.2008, p. 3. EN 3 EN and electronic equipment (WEEE)13; Directive 2011/65/EU on the restriction of the use of hazardous substances in electrical and electronic equipment14; Directive 2010/75/EU of the European Parliament and of the Council of 24 November 2010 on industrial emissions (integrated pollution prevention and control)15; and Regulation (EC) No 1907/2006 of the European Parliament and of the Council of 18 December 2006 concerning the Registration, Evaluation, Authorisation and Restriction of Chemicals (REACH)16. This proposal introduces progressive requirements to minimise the carbon footprint over the life cycle of batteries. In this context, efforts to decrease the carbon footprint in the manufacturing process will indirectly lead to the promotion of renewable energy generation. • Consistency with other EU policies The initiative is consistent with the EU’s international obligations in the area of trade policy, in particular because it ensures non-discrimination between products produced in the EU and imported products. The initiative fully subscribes to the innovation principle, and the related enabling actions under the EU’s research and innovation funding under Horizon 2020. The proposal also aims to ensure simple and streamlined monitoring and reporting obligations, thus limiting the administrative burden on Member States, in line with the EU’s better-regulation approach17 and the fitness check on reporting and monitoring18. 2. LEGAL BASIS, SUBSIDIARITY AND PROPORTIONALITY • Legal basis The proposal is based on Article 114 of the Treaty on the Functioning of the European Union (TFEU), which must be used for measures that aim to establish or ensure the functioning of the single market. This is a switch from the current legal basis as the Batteries Directive 2006/66/EC was based on Article 175 TEC (now Article 191 TFEU) and on Article 95 TEC (now Article 114 TFEU) for the identified product-related provisions. The proposal tackles a number of key problems related to the single market. These include: (i) an uneven playing field for batteries placed on the market since applicable rules are subject to interpretation; (ii) barriers to the functioning of recycling markets; (iii) uneven implementation of the Batteries Directive; (iv) the pressing need for large-scale investment to respond to the changing market; (v) the need for economies of scale; and (vi) the need for a stable and fully harmonised regulatory framework. At the same time, there are also a number of environmental problems related to the production, use, and end-of-life management of batteries. The environmental problems that are not directly covered by the EU’s environmental acquis, and which thus require a regulatory intervention, can all be linked to the functioning of the single market. One such problem is the adverse impacts on the environment of hazardous substances contained in batteries when they are not properly disposed of, a problem that can be solved by the proper collection and recycling of portable batteries. One of the reasons why collection levels of 13 OJ L 197, 24.7.2012, p. 38. 14 OJ L 174, 1.7.2011, p. 88–110 15 OJ L 334, 17.12.2010, p. 17. 16 OJ L 396, 30.12.2006, p. 1. 17 SWD(2015)111 final. 18 COM(2017)312 final. EN 4 EN portable batteries are low is that setting up collection systems has a cost, and the single market does not implement the polluter-pays principle in an adequate and harmonised manner. Sub- optimal levels of collection are also problematic from a business-profitability point of view. This is because recycling technologies are capital intensive and thus require significant economies of scale, in some cases beyond EU national markets. Another problem is the failure to lower the total environmental impact of batteries by increasing the circularity of the battery value chain. Here, the main cause of the problem is once again a market failure. There is no alignment of incentives (and information) between different actors across the value chain. And in the market for second-life electric-vehicle batteries, there is no legal certainty on the waste status of used batteries and also inadequate information to predict battery behaviour. The proposal’s objective is thus to ensure the implementation of common rules for economic actors in the single market and to avoid the distortion of competition. The measures will lead to further harmonisation of: (i) product requirements for batteries placed on the Union market; and (ii) the level of waste management services provided by businesses. The proposal will also set requirements for ensuring a well-functioning market for secondary raw materials while preventing and reducing the environmental impacts from the production and use of batteries (as well as their treatment – including recycling – at the battery’s end of life). This will promote a circular battery industry across Europe, and avoid fragmentation from possibly diverging national approaches. The manufacture and use of batteries, the underlying value chain, and the handling of end-of- life batteries are cross-cutting issues that affect many policy areas. Therefore, in addition to pursuing internal market objectives, the proposal will also contribute to objectives related to the environment, transport, climate action, energy and international trade. The impact analysis of the proposed measures demonstrates that in most cases the internal market objectives are predominant and that the environmental benefits are complementary. Therefore, it is appropriate to use Article 114 TFEU as a sole legal basis. • Subsidiarity (for non-exclusive competence) There is clear added value in setting common requirements at EU level that cover the full lifecycle of batteries. It is essential to ensure that manufacturers, importers and economic operators more broadly are subject to harmonised requirements that must be met when (i) placing a battery on the Union market and (ii) supplying information to customers across the single market. Recyclers must also be able to operate with uniform requirements that apply to all recycling businesses in the same way across the EU. In the absence of an intervention at EU level setting harmonised rules, intervention at national level would lead to a divergence in the requirements for economic operators. The development of a sustainable battery value chain is capital intensive and requires economies of scale that go beyond what national economies can provide. Achieving this requires a harmonised and well-functioning single market across all Member States where all economic operators of the battery value chain are subject to the same rules. In addition, common rules are required for the transition to a circular economy, which will contribute to fostering innovative and sustainable European business models, products and materials. These objectives cannot be set by the Member States acting in isolation: the scale of the action required means that this is better achieved at Union level. Uniform EU action is therefore justified and necessary. EN 5 EN • Proportionality The proposed measures do not go beyond what is necessary for providing the regulatory certainty required to incentivise large-scale investment in the circular economy while ensuring a high level of protection of human health and the environment. Overall, the proposed policy option is a gradual change compared to the existing regulatory and institutional framework (i.e. the current Batteries Directive). For the earlier stages in the value chain for which there is currently no EU legislation, the proposed changes are mostly at the level