---
title: "EU RoHS Annex III and IV exemptions guide"
canonical_url: "https://www.sorena.io/artifacts/eu/rohs-directive/annex-iii-and-iv-exemptions"
source_url: "https://www.sorena.io/artifacts/eu/rohs-directive/annex-iii-and-iv-exemptions"
author: "Sorena AI"
description: "How to use, renew, or challenge EU RoHS Annex III and Annex IV exemptions, with Article 5 criteria, timing rules, and evidence requirements."
published_at: "2026-05-09"
updated_at: "2026-05-09"
keywords:
  - "EU RoHS Directive"
  - "RoHS exemptions"
  - "Directive 2011/65/EU"
  - "Annex III"
  - "Annex IV"
  - "Article 5"
---
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---

# EU RoHS Annex III and IV exemptions guide

How to use, renew, or challenge EU RoHS Annex III and Annex IV exemptions, with Article 5 criteria, timing rules, and evidence requirements.

*Artifact Guide* *EU*

## EU RoHS Directive Annex III and IV Exemptions

RoHS exemptions are temporary, application-specific permissions for materials and components of electrical and electronic equipment that would otherwise breach Annex II substance restrictions.

Use this guide to decide whether an Annex III or Annex IV entry can be relied on, when renewal timing matters, and what evidence belongs in the technical file.

Annex III and Annex IV exemptions under Directive 2011/65/EU are not blanket RoHS waivers. They are specific entries adopted through Article 5 to adapt the annexes to scientific and technical progress, with conditions, category limits, wording, and expiry dates that must be checked against the exact product and homogeneous material use case.

## What Annex III and Annex IV exemptions do

Article 4 says the RoHS substance restriction does not apply to applications listed in Annexes III and IV. Article 5 then explains how materials and components of EEE for specific applications can be included in those annexes by delegated acts.

Annex III is the general exemption list used across RoHS EEE categories. Annex IV is for applications specific to medical devices and monitoring and control instruments. Do not treat a substance name alone as enough: the exemption wording, EEE category, dates, and application boundaries decide whether it fits.

- Map the product to the relevant Annex I EEE category before relying on an exemption.
- Match the material, component, substance, and function to the exact wording of the Annex III or IV entry.
- Check whether the entry contains category-specific expiry dates or narrower application language.
- Record why the restricted substance is present above the Annex II threshold in the relevant homogeneous material.

Sources for this answer:

- [Directive 2011/65/EU on restriction of hazardous substances (RoHS)](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A02011L0065-20250101&ref=sorena.io) - Consolidated RoHS text for Article 4, Article 5, Annex III, Annex IV, Annex V, and EEE category context.
- [European Commission - RoHS Directive implementation](https://environment.ec.europa.eu/topics/waste-and-recycling/rohs-directive/rohs-directive-implementation_en?ref=sorena.io) - Commission implementation page covering exemption procedure, timing, assessment studies, and links to current exemption resources.

## When an exemption can be granted, renewed, or deleted

Article 5 allows an exemption only where the inclusion does not weaken REACH environmental and health protection and at least one listed condition is met. The directive points to scientific or technical impracticability of elimination or substitution, reliability of substitutes, or cases where the negative environmental, health, and consumer-safety impacts of substitution are likely to outweigh the benefits.

The Commission must also consider substitute availability, socioeconomic impact, potential adverse impacts on innovation, and life-cycle thinking where relevant. The guidance document warns that meeting a criterion does not automatically secure an exemption; the criteria frame the justification and the Commission still decides the outcome.

- For a new exemption, document the restricted substance, exact application, why substitution is not currently suitable, and the requested wording.
- For a renewal, show that the Article 5 conditions still apply and that the application remains within the existing exemption wording.
- For deletion or revocation, show why the Article 5 conditions are no longer fulfilled, such as available substitutes or changed risk evidence.
- Separate evidence for technical feasibility, substitute reliability, health and environmental impacts, socioeconomic impacts, and innovation effects.

Sources for this answer:

- [Directive 2011/65/EU on restriction of hazardous substances (RoHS)](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A02011L0065-20250101&ref=sorena.io) - Binding criteria for including or deleting materials and components from Annex III and Annex IV.
- [Guidance document for RoHS exemption applications](https://environment.ec.europa.eu/document/download/f1f65e3d-1b90-4dd1-a0d4-797bd6cabe98_en?filename=Guidance_Document.pdf&ref=sorena.io) - Commission-linked guidance on exemption criteria, applications, renewals, amendments, deletions, and supporting documentation.

## Timing rules that affect product releases

For exemptions granted under Article 5(1)(a), the directive sets validity periods of up to 5 years for Annex I categories 1 to 7, 10, and 11, and up to 7 years for categories 8 and 9. Annex III entries that existed on 21 July 2011 have category-specific maximum periods unless a shorter period is specified; Annex IV entries that existed on that date have a maximum 7-year period from the relevant Article 4(3) dates unless shorter timing is specified.

Renewal timing is operationally important. A renewal application must be made no later than 18 months before the exemption expires. If a renewal request has been submitted, the existing exemption remains valid until the Commission takes a decision. If renewal is rejected or an exemption is revoked, the directive provides a 12 to 18 month expiry window after the decision.

- Track the expiry date for every relied-on Annex III or IV entry in the product compliance record.
- Flag renewal deadlines at least 18 months before expiry and keep evidence that the renewal was submitted if continued reliance depends on it.
- Do not assume a past date in an annex entry means the entry is unusable without checking whether a timely renewal request keeps it valid pending a Commission decision.
- For new exemption requests, plan around the Commission's stated 18 to 24 month decision timeframe.

Sources for this answer:

- [Directive 2011/65/EU on restriction of hazardous substances (RoHS)](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A02011L0065-20250101&ref=sorena.io) - Binding source for Article 5 validity periods, renewal timing, and transition periods after rejection or revocation.
- [European Commission - RoHS Directive implementation](https://environment.ec.europa.eu/topics/waste-and-recycling/rohs-directive/rohs-directive-implementation_en?ref=sorena.io) - Commission source for current exemption-decision timing and practical renewal status guidance.

## Evidence to keep when relying on an exemption

A usable exemption record should prove more than the fact that an annex entry exists. It should connect the entry to the product, EEE category, homogeneous material, substance, component function, supplier evidence, expiry status, and technical-documentation file.

Annex V identifies the minimum information for exemption applications, including applicant details, material or component information, specific substance uses, verifiable and referenced justification, alternatives analysis on a life-cycle basis, reuse or recycling information, actions and timetables for alternatives, confidentiality claims where appropriate, and proposed precise wording. Even when a company is only relying on an existing exemption, those fields are a useful evidence model.

- Keep a register with exemption number, annex, wording relied on, EEE categories covered, expiry date, renewal status, and affected SKUs or BOM lines.
- Link supplier declarations, material declarations, test reports, and engineering rationale to the specific homogeneous material and restricted substance.
- For renewal or new requests, collect substitute availability, reliability, lifecycle, socioeconomic, and innovation evidence in separate referenced exhibits.
- Record whether any application information is confidential and keep public and confidential materials separated when preparing a Commission submission.

Sources for this answer:

- [Directive 2011/65/EU on restriction of hazardous substances (RoHS)](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A02011L0065-20250101&ref=sorena.io) - Annex V lists minimum information for applications to grant, renew, or revoke exemptions.
- [Guidance document for RoHS exemption applications](https://environment.ec.europa.eu/document/download/f1f65e3d-1b90-4dd1-a0d4-797bd6cabe98_en?filename=Guidance_Document.pdf&ref=sorena.io) - Guidance source for application documentation, consultation steps, and evidence categories such as substitutes and socioeconomic data.

*Recommended next step*

*Placement: after implementation section*

## Turn exemption reliance into a controlled evidence record

Build a product-level RoHS exemption register that ties each Annex III or IV entry to the affected BOM item, substance, category, expiry status, supplier evidence, and review trigger.

- [Open Research Copilot](/solutions/research-copilot.md): Answer RoHS scope, timing, and interpretation questions with cited outputs.
- [Talk through implementation](/contact.md): Review your scope, evidence model, controls, and next actions.

## Common mistakes with Annex III and IV exemptions

Most mistakes come from treating an exemption as a general material allowance. RoHS exemptions attach to specific applications and often to specific EEE categories or subcategories. A lead, cadmium, or mercury use that fits one entry may still fail if the product category, component function, or expiry condition is different.

Another risk is stale monitoring. The Commission page explains that exemptions are reassessed regularly, and the consolidated directive shows many annex entries with detailed category-specific expiry language. A product-release checklist should therefore include exemption status review, not just a one-time annex lookup.

- Do not cite Annex III for category 8 or 9 equipment until the entry wording and dates are checked against the exact subcategory.
- Do not use Annex IV for ordinary EEE outside medical devices or monitoring and control instruments.
- Do not rely on a supplier's broad RoHS statement if it does not identify the exemption number, annex, substance, component, and applicable expiry status.
- Do not submit or retain an exemption rationale without referenced evidence for alternatives, reliability, impacts, and planned substitution actions where relevant.

Sources for this answer:

- [Directive 2011/65/EU on restriction of hazardous substances (RoHS)](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A02011L0065-20250101&ref=sorena.io) - Consolidated source for application-specific annex entries and category-specific validity periods.
- [European Commission - RoHS Directive implementation](https://environment.ec.europa.eu/topics/waste-and-recycling/rohs-directive/rohs-directive-implementation_en?ref=sorena.io) - Commission source explaining regular reassessment, renewal, and current exemption procedure timing.

## Primary sources

- [Directive 2011/65/EU on restriction of hazardous substances (RoHS)](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX%3A02011L0065-20250101&ref=sorena.io) - Consolidated RoHS text for Article 4, Article 5, Annex III, Annex IV, Annex V, validity periods, renewal timing, and exemption application requirements.
  - Quote: "Applications for exemptions, renewal of exemptions or, mutatis mutandis, for revoking an exemption"
- [European Commission - RoHS Directive implementation](https://environment.ec.europa.eu/topics/waste-and-recycling/rohs-directive/rohs-directive-implementation_en?ref=sorena.io) - Commission implementation source for exemption procedure, current assessment timing, renewal handling, and assessment-study resources.
  - Quote: "A decision on a RoHS exemption currently takes 18 to 24 months"
- [Guidance document for RoHS exemption applications](https://environment.ec.europa.eu/document/download/f1f65e3d-1b90-4dd1-a0d4-797bd6cabe98_en?filename=Guidance_Document.pdf&ref=sorena.io) - Commission-linked guidance on exemption criteria, application format, supporting documentation, and the evaluation workflow.
  - Quote: "Standard application format and guidance document for RoHS exemption requests"

## Related Topic Guides

- [Are cables in scope of EU RoHS? Cable evidence, CE marking, and DoC FAQ](/artifacts/eu/rohs-directive/faq/cables.md): EU RoHS cable FAQ covering when cables are EEE, how internal and external cables are treated, when separate CE marking and a DoC are needed, and what evidence to keep.
- [Do Components Need EU RoHS Compliance? | RoHS FAQ](/artifacts/eu/rohs-directive/faq/components.md): RoHS FAQ for components in electrical and electronic equipment: substance restrictions, homogeneous materials, CE marking, technical files, exemptions, and supplier evidence.
- [EN IEC 63000 RoHS Technical Documentation](/artifacts/eu/rohs-directive/en-iec-63000-technical-documentation.md): source-linked guide to EN IEC 63000:2018 technical documentation for EU RoHS, including manufacturer duties, evidence records, harmonised-standard status, and file maintenance.
- [EU RoHS Applicability Test for EEE Scope](/artifacts/eu/rohs-directive/applicability-test.md): Decide whether EU RoHS applies to electrical and electronic equipment, cables, spare parts, exclusions, exemptions, CE marking, and evidence records.
- [EU RoHS CE Marking and Declaration of Conformity](/artifacts/eu/rohs-directive/ce-and-doc.md): source-linked guide to RoHS CE marking, EU Declaration of Conformity, technical documentation, EN IEC 63000, and importer or distributor checks.
- [EU RoHS compliance checklist for EEE](/artifacts/eu/rohs-directive/checklist.md): Checklist for EU RoHS scope, restricted substances, homogeneous materials, exemptions, CE marking, technical documentation, and supplier evidence.
- [EU RoHS Compliance Guide for EEE](/artifacts/eu/rohs-directive/compliance.md): Practical EU RoHS compliance guide for electrical and electronic equipment: scope, restricted substances, exemptions, CE marking, technical documentation, and supplier evidence.
- [EU RoHS Deadlines and Compliance Calendar](/artifacts/eu/rohs-directive/deadlines-and-compliance-calendar.md): source-linked RoHS calendar for scope phase-ins, phthalate dates, exemption renewals, spare-parts cutoffs, EN IEC 63000, CE files, and review triggers.
- [EU RoHS Declarations vs Lab Tests FAQ](/artifacts/eu/rohs-directive/faq/declarations-vs-lab-tests.md): When supplier declarations can support EU RoHS technical documentation, when IEC 62321 lab testing is stronger evidence, and how to document the decision.
- [EU RoHS Directive FAQ: scope, substances, CE marking](/artifacts/eu/rohs-directive/faq.md): Practical EU RoHS Directive FAQ covering EEE scope, Annex II substance limits, cables, spare parts, technical documentation, CE marking, and exemptions.
- [EU RoHS EEE Categories and Open Scope](/artifacts/eu/rohs-directive/eee-categories-and-open-scope.md): Map products to EU RoHS EEE categories, category 11 open scope, Article 2 exclusions, cables, spare parts, and evidence needed for RoHS scope decisions.
- [EU RoHS for medical devices and monitoring equipment](/artifacts/eu/rohs-directive/medical-devices-and-monitoring-equipment.md): RoHS category 8 and 9 guide covering application dates, Annex IV exemptions, phthalates, spare parts, CE marking, declarations, and technical documentation.
- [EU RoHS penalties and fines: Member State sanctions](/artifacts/eu/rohs-directive/penalties-and-fines.md): source-linked guide to EU RoHS penalty exposure: national sanctions, no EU-wide fine table, CE marking misuse, corrective actions, recalls, and evidence records.
- [EU RoHS Phthalates: DEHP, BBP, DBP, DIBP](/artifacts/eu/rohs-directive/phthalates.md): source-linked RoHS guide to DEHP, BBP, DBP, and DIBP: 0.1% homogeneous-material limits, 2019 and 2021 application dates, exemptions, evidence, and testing standards.
- [EU RoHS requirements for EEE, substances, and CE evidence](/artifacts/eu/rohs-directive/requirements.md): Practical EU RoHS requirements guide covering EEE scope, Annex II substance limits, exemptions, technical documentation, EU declaration of conformity, CE marking, and operator evidence.
- [EU RoHS Restricted Substances and Thresholds | Annex II Limits](/artifacts/eu/rohs-directive/restricted-substances-and-thresholds.md): EU RoHS Annex II restricted substances and maximum concentration values by weight in homogeneous materials, including cadmium's 0.01% limit and the 0.1% limits for lead, mercury, hexavalent chromium, PBB, PBDE, DEHP, BBP, DBP, and DIBP.
- [EU RoHS Spare Parts: Repair and Reuse](/artifacts/eu/rohs-directive/spare-parts.md): source-linked RoHS spare-parts guide covering Article 4 repair parts, reused recovered parts, closed-loop conditions, phthalate carve-outs, CE evidence, and cutoff dates.
- [EU RoHS test plan selection workflow](/artifacts/eu/rohs-directive/test-plan-selection-workflow.md): Choose RoHS supplier evidence, EN IEC 63000 technical documentation, and IEC 62321 testing without over-testing or under-documenting restricted substances.
- [How should RoHS lead, mercury, and cadmium exemptions be documented? | RoHS FAQ](/artifacts/eu/rohs-directive/faq/lead-mercury-and-cadmium-exemptions.md): RoHS FAQ on documenting lead, mercury, and cadmium exemptions with Annex III or IV entries, material-level limits, expiry status, supplier evidence, and technical documentation.
- [RoHS BOM evidence intake workflow](/artifacts/eu/rohs-directive/bom-evidence-intake-workflow.md): Build a RoHS BOM evidence intake process for EEE: map parts to homogeneous materials, collect supplier declarations, handle exemptions, and feed EN IEC 63000 technical documentation.
- [RoHS exemption register workflow: expiry, renewal, evidence](/artifacts/eu/rohs-directive/exemption-register-workflow.md): Build a RoHS exemption register that tracks Annex III and IV entries, product scope, expiry dates, renewal status, evidence owners, and Commission source links.
- [RoHS exemptions tracker guide: fields, evidence, gates](/artifacts/eu/rohs-directive/rohs-exemptions-tracker-guide.md): Build a RoHS exemptions tracker for Annex III and IV claims, renewal timing, supplier evidence, EN IEC 63000 documentation, and release decisions.
- [RoHS Exemptions Tracking Register](/artifacts/eu/rohs-directive/exemptions-tracking.md): Track EU RoHS Annex III and IV exemptions by material, component, category, expiry date, renewal status, Article 5 rationale, and evidence record.
- [RoHS Homogeneous Material Definition and Limits](/artifacts/eu/rohs-directive/faq/homogeneous-material.md): Plain-English EU RoHS FAQ on homogeneous materials, Annex II thresholds, coatings, cables, assemblies, and evidence needed for material-level RoHS decisions.
- [RoHS Homogeneous Material Thresholds](/artifacts/eu/rohs-directive/homogeneous-material-thresholds.md): EU RoHS guide to homogeneous material thresholds: 0.1% limits, the 0.01% cadmium limit, material splitting, coatings, samples, exemptions, and technical evidence.
- [RoHS importer checks for imported EEE before EU market placement](/artifacts/eu/rohs-directive/faq/imported-eee.md): Importer-focused RoHS FAQ covering CE marking, EU declaration of conformity, technical documentation availability, importer identity, nonconformity handling, and 10-year DoC retention.
- [RoHS Risk-Based Testing Guide](/artifacts/eu/rohs-directive/risk-based-testing.md): source-linked EU RoHS guide to risk-based testing, EN IEC 63000 documentation, IEC 62321 methods, supplier evidence, and technical-file decisions.
- [RoHS Supplier Change Control Workflow](/artifacts/eu/rohs-directive/supplier-change-control-workflow.md): source-linked EU RoHS supplier change control workflow for part substitutions, material changes, supplier declarations, testing decisions, and technical-file updates.
- [RoHS Supplier Declaration Template](/artifacts/eu/rohs-directive/rohs-supplier-declaration-template.md): source-linked EU RoHS supplier declaration template guidance for collecting material evidence, exemption claims, test records, and EN IEC 63000 technical-file inputs.
- [RoHS Supplier Declarations and Verification Guide](/artifacts/eu/rohs-directive/supplier-declarations-and-verification.md): Build a RoHS supplier evidence file without confusing supplier declarations with manufacturer EU DoC, CE marking, technical documentation, or importer checks.
- [RoHS Supplier Declarations Guide](/artifacts/eu/rohs-directive/supplier-declarations.md): Use RoHS supplier declarations as supporting evidence for BOM, material, exemption, and technical-file reviews without replacing manufacturer EU DoC or CE duties.
- [RoHS technical documentation, EU DoC and CE marking](/artifacts/eu/rohs-directive/technical-documentation-and-ce.md): source-linked guide to RoHS technical documentation, EN IEC 63000 evidence, EU declarations of conformity, CE marking, and manufacturer, importer and distributor duties.
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- [RoHS vs POPs for EEE substance compliance](/artifacts/eu/rohs-directive/rohs-vs-pops.md): Compare EU RoHS and POPs obligations for electrical and electronic equipment: scope, substances, evidence, CE files, exemptions, waste overlap, and source-linked decision rules.
- [RoHS vs REACH for electronics: scope, evidence, overlap](/artifacts/eu/rohs-directive/rohs-vs-reach.md): Compare EU RoHS and REACH for electrical and electronic equipment: scope, restricted substances, evidence, CE marking, exemptions, and overlap decisions.
- [RoHS vs WEEE: EU electronics compliance comparison](/artifacts/eu/rohs-directive/rohs-vs-weee.md): Compare EU RoHS restricted-substance duties with WEEE end-of-life recycling obligations, with RoHS scope, evidence, CE marking, exemptions, and source-linked decision points.
- [RoHS, REACH, POPs, and batteries overlap](/artifacts/eu/rohs-directive/reach-pop-and-batteries-overlap.md): source-linked RoHS comparison guide for separating EEE hazardous-substance restrictions from REACH, POPs, battery, waste, and technical-file workstreams.
- [What do the 0.1% and 0.01% substance limits mean under EU RoHS? | RoHS FAQ](/artifacts/eu/rohs-directive/faq/0-1-and-0-01-limits.md): RoHS FAQ explaining why most Annex II substances use a 0.1% homogeneous-material limit while cadmium uses 0.01%.
- [What should teams do before a RoHS exemption expires? | RoHS FAQ](/artifacts/eu/rohs-directive/faq/exemption-expiry.md): How to handle EU RoHS exemption expiry: confirm the Annex entry, renewal deadline, pending-decision status, fallback plan, and technical-file evidence.
- [When can RoHS spare parts use transition rules? | RoHS FAQ](/artifacts/eu/rohs-directive/faq/spare-parts.md): EU RoHS FAQ on spare parts, repair parts, reused parts, closed-loop B2B reuse, legacy EEE cutoffs, Annex III and IV exemptions, and evidence to keep.
- [Which EEE is in scope under EU RoHS? | RoHS FAQ](/artifacts/eu/rohs-directive/faq/eee-scope.md): EU RoHS scope FAQ explaining when a product is electrical and electronic equipment, which Article 2 exclusions to check, and what evidence to keep.


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