--- title: "EU Batteries Regulation due diligence threshold FAQ" canonical_url: "https://www.sorena.io/artifacts/eu/batteries-regulation/faq/due-diligence-thresholds" source_url: "https://www.sorena.io/artifacts/eu/batteries-regulation/faq/due-diligence-thresholds" author: "Sorena AI" description: "FAQ on the EU Batteries Regulation Chapter VII due diligence threshold, Article 47 exclusions, Annex X raw materials, and verification and disclosure records." published_at: "2026-05-09" updated_at: "2026-05-09" keywords: - "EU Batteries Regulation" - "Chapter VII" - "Article 47" - "battery due diligence" - "EUR 40 million threshold" - "Annex X raw materials" - "Batteries Regulation" - "raw materials" - "verification" --- **[SORENA](https://www.sorena.io/)** - AI-Powered GRC Platform [Home](https://www.sorena.io/) | [Solutions](https://www.sorena.io/solutions) | [Artifacts](https://www.sorena.io/artifacts) | [About Us](https://www.sorena.io/about-us) | [Contact](https://www.sorena.io/contact) | [Portal](https://app.sorena.io) --- # EU Batteries Regulation due diligence threshold FAQ FAQ on the EU Batteries Regulation Chapter VII due diligence threshold, Article 47 exclusions, Annex X raw materials, and verification and disclosure records. *FAQ* *Batteries Regulation* *EU* ## EU Batteries Regulation due diligence threshold FAQ Article 47 makes Chapter VII battery due diligence turn on a EUR 40 million net-turnover threshold and specific reuse, repurposing, and remanufacturing exclusions. Use this FAQ to separate the Chapter VII threshold decision from the separate work of verifying due diligence policies and disclosing battery raw-material risk controls. Under Regulation (EU) 2023/1542, the due diligence threshold is a Chapter VII scope question. The threshold does not decide whether a battery is covered by the wider Batteries Regulation; it decides whether the Chapter VII battery due diligence policy duties apply to the economic operator for the relevant batteries. ## When does Article 47 keep an operator outside Chapter VII battery due diligence? Article 47 says Chapter VII does not apply to economic operators that had net turnover below EUR 40 million in the financial year preceding the last financial year, provided they are not part of a parent-subsidiary group whose consolidated turnover exceeds EUR 40 million. Article 47 also excludes economic operators, for Chapter VII purposes, in relation to batteries that have been prepared for re-use, prepared for repurposing, repurposed, or remanufactured, if those batteries had already been placed on the market or put into service before those operations. - Run the turnover check at economic-operator level, then check whether group consolidation pushes the operator above EUR 40 million. - Treat the reuse, repurposing, and remanufacturing exclusion as battery-specific: it depends on whether the batteries were already placed on the market or put into service before the operation. - Do not use an Article 47 out-of-scope result to dismiss other Batteries Regulation duties, such as product, labelling, producer responsibility, or waste-battery requirements. Sources for this answer: - [Regulation (EU) 2023/1542, Article 47](https://eur-lex.europa.eu/eli/reg/2023/1542/oj/eng?ref=sorena.io) - Article 47 is the source for the Chapter VII net-turnover threshold, group consolidation test, and reuse, repurposing, remanufacturing exclusion. - [EUR-Lex summary of Regulation (EU) 2023/1542](https://eur-lex.europa.eu/EN/legal-content/summary/sustainability-rules-for-batteries-and-waste-batteries.html?ref=sorena.io) - EUR-Lex explains the wider Regulation scope, which is broader than the Chapter VII due diligence threshold. ## Which batteries and raw materials matter if Chapter VII applies? Once Chapter VII applies, Article 48 focuses on economic operators that place batteries on the market or put them into service. Those operators must set up and implement battery due diligence policies covering the Article 49 management-system duties, Article 50 risk-management duties, and Article 52 disclosure duties. The raw-material list for Chapter VII is in Annex X: cobalt, natural graphite, lithium, nickel, and chemical compounds based on those materials when they are necessary for manufacturing battery active materials. - Map battery models and categories that are placed on the market or put into service by the operator. - Identify whether cobalt, natural graphite, lithium, nickel, or covered chemical compounds are present in the battery supply chain. - Connect the materials review to sourcing, processing, and trading risks rather than treating the threshold as a one-time finance-only check. Sources for this answer: - [Regulation (EU) 2023/1542, Articles 48-50 and Annex X](https://eur-lex.europa.eu/eli/reg/2023/1542/oj/eng?ref=sorena.io) - Articles 48-50 define the operator duties after Chapter VII applies; Annex X lists the covered raw materials and risk categories. - [European Commission Batteries Regulation entry-into-force article](https://environment.ec.europa.eu/news/new-law-more-sustainable-circular-and-safe-batteries-enters-force-2023-08-17_en?ref=sorena.io) - The Commission describes due diligence as addressing risks linked to sourcing, processing, and trading of lithium, cobalt, nickel, and natural graphite. ## What evidence should support the threshold decision? Keep enough evidence to show why Chapter VII was treated as in scope or out of scope. For the Article 47 turnover route, that means the operator's net turnover for the relevant financial year and whether it is part of a consolidated parent-subsidiary group above EUR 40 million. For the battery-specific exclusion, keep records showing the battery had already been placed on the market or put into service before preparation for re-use, preparation for repurposing, repurposing, or remanufacturing. If Chapter VII applies, the evidence file then needs to shift from threshold proof to policy, supply-chain, verification, audit, and disclosure records. - Turnover evidence: signed finance source, financial year used, group consolidation conclusion, and approver. - Battery exclusion evidence: original market-placement or put-into-service record and the later reuse, repurposing, or remanufacturing operation record. - Materials evidence: bill of materials or supplier declaration for cobalt, natural graphite, lithium, nickel, and covered compounds. - Supply-chain evidence: supplier identity, country of origin, transaction trail, raw-material quantities, and relevant third-party verification reports where Article 49 requires them. - Retention evidence: Chapter VII documentation, verification reports, approval decisions, and audit reports kept for the period required by Article 48. Sources for this answer: - [Regulation (EU) 2023/1542, Articles 47-49](https://eur-lex.europa.eu/eli/reg/2023/1542/oj/eng?ref=sorena.io) - Articles 47-49 support the threshold record, raw-material traceability data, supplier information, origin information, quantities, and management-system records. ## What is the verification and disclosure route after the threshold is met? If Chapter VII applies, the operator's battery due diligence policy must be verified by a notified body and periodically audited. Article 51 says third-party verification covers the activities, processes, and systems used to meet Articles 49, 50, and 52, and results in a verification report; an approval decision is issued when the policy fulfils the relevant duties. Article 52 then creates the disclosure route: make verification, approval, audit, and recognised-scheme evidence available to authorities on request; provide relevant due diligence information to immediate downstream purchasers while respecting confidentiality; and publish an annual internet-accessible report on the battery due diligence policy. If covered raw materials in the battery are from recycled sources, Article 52 requires public disclosure of that conclusion in reasonable detail. - Verification route: notified-body verification, report, approval decision where applicable, and periodic audit. - Authority route: make verification, approval, audit, and recognised-scheme evidence available to market surveillance or national authorities when requested. - Customer route: provide immediate downstream purchasers with relevant due diligence information, subject to business confidentiality and competitive concerns. - Public route: annually review and publish the battery due diligence policy report, including significant adverse impacts and how they were addressed. - Recycled-source route: publicly disclose conclusions in reasonable detail when Annex X raw materials in the battery are demonstrated to come from recycled sources. Sources for this answer: - [Regulation (EU) 2023/1542, Articles 48, 51 and 52](https://eur-lex.europa.eu/eli/reg/2023/1542/oj/eng?ref=sorena.io) - Articles 48, 51, and 52 support the notified-body verification, audit, record-retention, authority disclosure, downstream disclosure, annual public report, and recycled-source disclosure routes. - [EUR-Lex summary of Regulation (EU) 2023/1542](https://eur-lex.europa.eu/EN/legal-content/summary/sustainability-rules-for-batteries-and-waste-batteries.html?ref=sorena.io) - EUR-Lex summarises the due diligence purpose as identifying, preventing, and addressing social and environmental raw-material risks. ## Primary sources - [Regulation (EU) 2023/1542 on batteries and waste batteries](https://eur-lex.europa.eu/eli/reg/2023/1542/oj/eng?ref=sorena.io) - Primary legal source for Chapter VII scope, Article 47 exclusions, Articles 48 to 52 due diligence obligations, and Annex X raw materials and risk categories. - Quote: "Obligations of economic operators as regards battery due diligence policies" - [EUR-Lex summary of Regulation (EU) 2023/1542](https://eur-lex.europa.eu/EN/legal-content/summary/sustainability-rules-for-batteries-and-waste-batteries.html?ref=sorena.io) - Plain-language EUR-Lex summary confirming the regulation's all-battery scope and its social and environmental due diligence focus for raw material sourcing, processing, and trading. - Quote: "applies to all batteries" - [Single Market Compliance Space notified bodies search](https://webgate.ec.europa.eu/single-market-compliance-space/notified-bodies/free-search?ref=sorena.io) - Official search interface for checking notified bodies by legislation, procedure, product, and notification status when planning Article 51 verification. - Quote: "Notification status" ## Topic Guides - [Batteries Regulation vs ESPR](/artifacts/eu/batteries-regulation/batteries-regulation-vs-espr.md): Compare EU Batteries Regulation duties with ESPR framework rules: scope, economic operators, DPP overlap, delegated acts, sustainability evidence, and reuse limits. - [Battery Passport Data Model Template for the EU Batteries Regulation](/artifacts/eu/batteries-regulation/battery-passport-data-model-template.md): Template for an EU Batteries Regulation battery passport data model: Article 77 scope, QR-linked identifiers, Annex XIII field groups, access tiers, owners, and evidence. - [Battery passport evidence workflow under EU Regulation 2023/1542](/artifacts/eu/batteries-regulation/battery-passport-evidence-workflow.md): Build a battery passport evidence workflow for Article 77 and Annex XIII: QR code access, access rights, provenance, conformity evidence, lifecycle updates, and ownership. - [Battery Passport vs ESPR Digital Product Passport](/artifacts/eu/batteries-regulation/battery-passport-vs-digital-product-passport.md): Compare the EU Batteries Regulation battery passport with the ESPR digital product passport framework across scope, access rights, QR and data carrier rules, interoperability, and reuse limits. - [EU Batteries Regulation Applicability Test](/artifacts/eu/batteries-regulation/applicability-test.md): Decide whether Regulation (EU) 2023/1542 applies to a battery, battery cell, module, pack, product with an incorporated battery, operator role, or EU market activity. - [EU Batteries Regulation Article 11 removability FAQ](/artifacts/eu/batteries-regulation/faq/removability-and-replaceability.md): FAQ on Article 11 removability and replaceability duties for portable and LMT batteries, including end-user removal, professional replacement, spares, software, and evidence. - [EU Batteries Regulation Article 11: battery removability and replaceability](/artifacts/eu/batteries-regulation/removability-and-replaceability.md): Article 11 guidance for portable and LMT batteries: end-user replacement, independent professionals, instructions, spare batteries, compatible batteries, software limits, and evidence. - [EU Batteries Regulation Article 13 labels and consumer information](/artifacts/eu/batteries-regulation/labeling-and-consumer-information.md): Article 13 guide to EU battery labels, separate collection marking, heavy-metal symbols, QR code links, capacity and duration notices, packaging fallback, and evidence. - [EU Batteries Regulation Article 8 recycled content calculation FAQ](/artifacts/eu/batteries-regulation/faq/recycled-content-calculation.md): FAQ on Article 8 recycled content calculations for EU Batteries Regulation battery models, materials, thresholds, documentation, and delegated methodology status. - [EU Batteries Regulation Battery Categories and Scope](/artifacts/eu/batteries-regulation/battery-categories-and-scope.md): Classify batteries under Regulation (EU) 2023/1542 across portable, SLI, LMT, electric vehicle, and industrial categories, including incorporated batteries and multipurpose products. - [EU Batteries Regulation battery category routing workflow](/artifacts/eu/batteries-regulation/battery-category-routing-workflow.md): Classify portable, SLI, LMT, EV, industrial, and incorporated batteries under Regulation (EU) 2023/1542, then route carbon footprint, recycled content, passport, removability, due diligence, and waste-battery duties. - [EU Batteries Regulation Battery Passport Fields](/artifacts/eu/batteries-regulation/battery-passport-fields.md): Field-level guide to Article 77 and Annex XIII battery passport data: scope, QR access, public and restricted fields, and model versus individual battery records. - [EU Batteries Regulation battery passport fields FAQ](/artifacts/eu/batteries-regulation/faq/battery-passport-fields.md): FAQ on Article 77 and Annex XIII battery passport field groups, public and restricted access, QR codes, unique identifiers, and model versus individual battery data. - [EU Batteries Regulation category routing FAQ: portable, LMT, SLI, EV and industrial batteries](/artifacts/eu/batteries-regulation/faq/category-routing.md): FAQ guidance for routing batteries under Regulation (EU) 2023/1542 across portable, LMT, SLI, EV and industrial categories, including incorporated batteries and obligation checks. - [EU Batteries Regulation compliance checklist](/artifacts/eu/batteries-regulation/checklist.md): A grounded checklist for Regulation (EU) 2023/1542 covering battery category, operator role, conformity, CE marking, labels, QR codes, passports, removability, due diligence, waste batteries, and evidence records. - [EU Batteries Regulation compliance structure](/artifacts/eu/batteries-regulation/compliance.md): Structure Batteries Regulation compliance by battery category, operator role, conformity evidence, passport data, removability, due diligence, and waste-battery responsibility. - [EU Batteries Regulation Conformity Assessment](/artifacts/eu/batteries-regulation/conformity-assessment-and-ce-marking.md): Article 17 and Annex VIII guide to EU Batteries Regulation conformity assessment, EU declarations of conformity, CE marking, notified bodies, and release evidence. - [EU Batteries Regulation deadlines and compliance calendar](/artifacts/eu/batteries-regulation/deadlines-and-compliance-calendar.md): A grounded EU Batteries Regulation calendar for application dates, secondary-act dependencies, QR and passport milestones, removability, carbon footprint, recycled content, and waste obligations. - [EU Batteries Regulation due diligence program: Chapter VII requirements](/artifacts/eu/batteries-regulation/due-diligence-program.md): Article 47-52 guide to battery due diligence policies, management systems, supply-chain controls, Annex X risks, third-party verification, disclosure, and records. - [EU Batteries Regulation Due Diligence Thresholds](/artifacts/eu/batteries-regulation/due-diligence-thresholds.md): Check when Chapter VII battery due diligence applies under Regulation (EU) 2023/1542, including the EUR 40 million turnover exclusion, second-life battery exclusion, raw material scope, and notified-body verification route. - [EU Batteries Regulation economic operator roles FAQ](/artifacts/eu/batteries-regulation/faq/economic-operator-roles.md): FAQ on manufacturer, importer, distributor, fulfilment service provider, producer, and second-life operator roles under Regulation (EU) 2023/1542. - [EU Batteries Regulation FAQ](/artifacts/eu/batteries-regulation/faq.md): Answers to practical EU Batteries Regulation questions on battery categories, CE conformity, QR labels, battery passports, due diligence, removability, and waste collection duties. - [EU Batteries Regulation NANDO and notified bodies FAQ](/artifacts/eu/batteries-regulation/faq/nando.md): When notified bodies matter under the EU Batteries Regulation, how to use the Single Market Compliance Space/NANDO lookup, and what scope evidence to retain. - [EU Batteries Regulation penalties and fines: Article 93 enforcement framework](/artifacts/eu/batteries-regulation/penalties-and-fines.md): Source-grounded guide to EU Batteries Regulation penalties: Article 93 Member State rules, market-surveillance action, formal non-compliance, due diligence enforcement, and evidence to preserve. - [EU Batteries Regulation Producer Responsibility](/artifacts/eu/batteries-regulation/waste-collection-and-producer-responsibility.md): Grounded guide to EU Batteries Regulation EPR: producer registration, free take-back, portable and LMT collection targets, distributor duties, treatment evidence, and Member State boundaries. - [EU Batteries Regulation producer responsibility reporting workflow](/artifacts/eu/batteries-regulation/producer-responsibility-reporting-workflow.md): A source-grounded workflow for EU Batteries Regulation producer registration, EPR reporting, collection evidence, take-back records, and Article 75 data handoffs. - [EU Batteries Regulation QR code and label timing FAQ](/artifacts/eu/batteries-regulation/faq/qr-and-label-timing.md): FAQ on Article 13 battery labels, the 18 February 2027 QR code rule, battery passport access, and Commission act dependencies under Regulation (EU) 2023/1542. - [EU Batteries Regulation recycled content and recovery targets](/artifacts/eu/batteries-regulation/recycled-content-and-recovery-targets.md): Article 8 recycled-content duties, Annex XII recycling efficiency and material recovery targets, covered battery categories, materials, dates, and evidence records. - [EU Batteries Regulation requirements overview](/artifacts/eu/batteries-regulation/requirements.md): A grounded overview of Regulation (EU) 2023/1542 requirements for battery scope, sustainability, conformity, labels, QR codes, passports, due diligence, waste duties, and evidence outputs. - [EU Batteries Regulation supplier due diligence questionnaire](/artifacts/eu/batteries-regulation/battery-due-diligence-supplier-questionnaire.md): Supplier questionnaire structure for EU Batteries Regulation battery due diligence: Chapter VII scope, Annex X raw materials, supply-chain evidence, verification, disclosure, and records. - [EU Batteries Regulation: carbon footprint declaration requirements and data](/artifacts/eu/batteries-regulation/carbon-footprint-declarations.md): Article 7 carbon footprint declaration scope, required fields, lifecycle stages, technical documentation, and public-access evidence for EU battery compliance. - [EU Batteries Regulation: CE Marking FAQ](/artifacts/eu/batteries-regulation/faq/ce-and-conformity-assessment.md): FAQ on Article 17 conformity assessment, Annex VIII modules, EU declarations of conformity, CE marking, notified bodies, and importer and distributor checks under Regulation (EU) 2023/1542. - [EU Batteries Regulation: choosing the right conformity assessment route](/artifacts/eu/batteries-regulation/conformity-assessment-route-workflow.md): Choose the Article 17 conformity assessment route for batteries under Regulation (EU) 2023/1542, including Module A, D1, G, notified body evidence, declaration, and CE marking outputs. - [EU Batteries Regulation: evidence pack for carbon footprint and recycled content targets](/artifacts/eu/batteries-regulation/carbon-footprint-and-recycled-content-evidence.md): What to keep for EU Batteries Regulation Article 7 carbon-footprint declarations and Article 8 recycled-content documentation, with covered battery categories and source-linked evidence fields. - [EU Batteries Regulation: Waste Collection FAQ](/artifacts/eu/batteries-regulation/faq/waste-collection-and-recycling-reporting.md): FAQ on EU Batteries Regulation waste battery collection, producer registration, free take-back, collection targets, recycling, and reporting evidence. - [EU Battery Passport Implementation Under Article 77](/artifacts/eu/batteries-regulation/battery-passport-implementation.md): Source-grounded implementation guide for Article 77 battery passports: scope, QR codes, identifiers, access rights, updates, storage, and responsibility transfers. - [FAQ: EU Batteries Regulation carbon footprint performance classes](/artifacts/eu/batteries-regulation/faq/carbon-footprint-classes.md): FAQ on Article 7 carbon footprint declarations, performance classes, maximum-threshold sequencing, covered battery categories, and delegated-act dependencies. *Recommended next step* *Placement: after evidence section* ## Turn the Chapter VII scope test into an evidence record Use the due diligence threshold check to separate excluded operators, excluded second-life battery scenarios, in-scope raw materials, and the notified-body verification route. - [Open Research Copilot](/solutions/research-copilot.md): Answer EU Batteries Regulation questions with cited source material. - [Discuss Batteries Regulation implementation](/contact.md): Review Chapter VII scope, raw material evidence, and notified-body verification planning with Sorena. --- [Privacy Policy](https://www.sorena.io/privacy) | [Terms of Use](https://www.sorena.io/terms-of-use) | [DMCA](https://www.sorena.io/dmca) | [About Us](https://www.sorena.io/about-us) (c) 2026 Sorena AB (559573-7338). 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