---
title: "RoHS Compliance Checklist"
canonical_url: "https://www.sorena.io/artifacts/eu/rohs-directive/checklist"
source_url: "https://www.sorena.io/artifacts/eu/rohs-directive/checklist"
author: "Sorena AI"
description: "An audit-ready RoHS compliance checklist for Directive 2011/65/EU: scope and EEE category mapping."
published_at: "2026-02-21"
updated_at: "2026-02-21"
keywords:
  - "RoHS compliance checklist"
  - "RoHS audit checklist"
  - "Directive 2011/65/EU checklist"
  - "EN IEC 63000 checklist"
  - "RoHS exemptions tracking checklist"
  - "RoHS supplier declaration checklist"
  - "RoHS"
  - "Checklist"
  - "Restricted substances"
  - "Exemptions"
  - "EN IEC 63000"
---
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---

# RoHS Compliance Checklist

An audit-ready RoHS compliance checklist for Directive 2011/65/EU: scope and EEE category mapping.

*RoHS* *Checklist*

## EU RoHS Directive (2011/65/EU) Compliance Checklist

Turn RoHS into owned tasks and a retrievable evidence pack.

Output: scope memo, restricted substances risk map, supplier evidence pack, exemption register, EN IEC 63000 technical file.

Use this checklist as your RoHS program spine. The goal is evidence-backed compliance: every claim should have an owner, an artifact, and a retrieval path per SKU/variant.

## 1) Scope and category mapping

Lock scope early and document it. Scope drift causes expensive rework.

Store the scope memo with your technical file.

- Determine EEE status and category mapping
- Identify variants (regional SKUs, cable kits, accessories, spare parts)
- Document borderline logic and any exclusions

## 2) Restricted substances controls (Annex II)

Build controls at the homogeneous material level and focus on hotspots.

Treat phthalates as a procurement and cable/soft-plastic control.

- Create a restricted-substances risk map across the BOM (homogeneous materials + hotspots)
- Apply thresholds (0.1% generally; 0.01% cadmium) and document measurement logic
- Phthalates: implement 22 Jul 2019 / 22 Jul 2021 applicability split and carve-outs for older equipment

## 3) Supplier declarations and verification

Evidence starts with suppliers. Declarations must state coverage and change control.

Verification should be targeted and trigger-based.

- Collect supplier declarations covering Annex II substances at homogeneous material level
- Require exemptions disclosure (if any) and scope mapping
- Define verification triggers (new supplier, material change, process change, inconsistent declarations)
- Implement change notification and traceability to SKUs and lots where feasible

## 4) Exemptions register (Annex III/IV)

If you rely on exemptions, treat them like expiring certificates.

The checklist item is not exemption exists, but exemption use is defensible.

- Register each exemption use case: exemption -> application -> part/material -> supplier
- Monitor expiry and initiate redesign/renewal decisions 18 - 24 months in advance
- Store evidence packs per exemption use case and link to technical file

## 5) Technical documentation and CE evidence (EN IEC 63000)

Build an EN IEC 63000-aligned technical documentation pack and keep it retrievable.

Keep the EU Declaration of Conformity aligned to the shipped product and evidence, and retain the technical documentation and DoC for 10 years after placing on the market.

- Technical file structure aligned to EN IEC 63000: scope, evidence sources, evaluation logic, conclusions
- Store: declarations, test reports, exemption register, change logs, and the product identifiers used on the DoC
- Confirm importer document access and distributor due-care checks before release
- Run an evidence retrieval drill and fix gaps before an authority request arrives

*Recommended next step*

*Placement: after the checklist block*

## Turn EU RoHS Directive (2011/65/EU) Compliance Checklist into an operational assessment

Assessment Autopilot can take EU RoHS Directive (2011/65/EU) Compliance Checklist from turning this checklist into an operational workflow to a reusable workflow inside Sorena. Teams working on EU RoHS Directive (2011/65/EU) can keep owners, evidence, and next steps aligned without copying this guide into separate documents.

- [Open Assessment Autopilot for EU RoHS Directive (2011/65/EU) Compliance Checklist](/solutions/assessment.md): Start from EU RoHS Directive (2011/65/EU) Compliance Checklist and turn the guidance into owned tasks, evidence requests, and review checkpoints.
- [Talk through EU RoHS Directive (2011/65/EU)](/contact.md): Review your current process, evidence gaps, and next steps for EU RoHS Directive (2011/65/EU) Compliance Checklist.

## Primary sources

- [Directive 2011/65/EU (RoHS 2) consolidated (EUR-Lex)](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:02011L0065-20250101&ref=sorena.io) - Primary source for RoHS restrictions and exemptions framework.
- [Delegated Directive (EU) 2015/863 (phthalates) (EUR-Lex)](https://eur-lex.europa.eu/legal-content/EN/TXT/?uri=CELEX:32015L0863&ref=sorena.io) - Adds four phthalates to Annex II and defines application dates and carve-outs.
- [Commission Implementing Decision (EU) 2020/659 - EN IEC 63000 reference (EUR-Lex)](https://eur-lex.europa.eu/eli/dec_impl/2020/659/oj?ref=sorena.io) - References EN IEC 63000:2018 for RoHS technical documentation.
- [RoHS FAQ and key guidance (DG Environment)](https://environment.ec.europa.eu/system/files/2021-01/FAQ%20key%20guidance%20document%20-%20RoHS.pdf?ref=sorena.io) - Practical Q&A on scope, evidence, and CE expectations.

## Related Topic Guides

- [EU RoHS FAQ (Scope, Exemptions, Phthalates, Technical File, CE) | RoHS Directive 2011/65/EU](/artifacts/eu/rohs-directive/faq.md): High-signal EU RoHS FAQ grounded in official sources: what counts as EEE, staged applicability (22 July 2014/2017/2019).
- [EU RoHS Timeline: RoHS 1 (2002) -> RoHS 2 (2011/2013) -> Open Scope (2019) -> Phthalates (2019/2021)](/artifacts/eu/rohs-directive/timeline.md): A date-by-date EU RoHS timeline for implementers: RoHS 1 (2002), RoHS 2 recast and transposition (2011 - 2013).
- [Restricted Substances and Thresholds | EU RoHS Directive 2011/65/EU | Homogeneous Material Limits (0.1% / 0.01%) + Phthalates (2015/863)](/artifacts/eu/rohs-directive/restricted-substances-and-thresholds.md): A practical RoHS restricted substances guide for Directive 2011/65/EU: the 10 substances in Annex II, homogeneous material threshold logic (0.1% for most.
- [RoHS Applicability Test | Is My Product In Scope of EU RoHS Directive 2011/65/EU? | EEE, Cables, Spare Parts, Open Scope](/artifacts/eu/rohs-directive/applicability-test.md): A structured EU RoHS applicability test for Directive 2011/65/EU: determine if your product is electrical and electronic equipment (EEE).
- [RoHS Compliance Program | EU RoHS Directive 2011/65/EU Implementation Playbook | Supplier Controls, Exemptions, Evidence](/artifacts/eu/rohs-directive/compliance.md): A practical RoHS compliance program playbook for Directive 2011/65/EU: set up governance, map homogeneous material risks across your BOM.
- [RoHS Deadlines and Compliance Calendar (2013, 2014, 2017, 2019, 2021) | EU RoHS Directive 2011/65/EU](/artifacts/eu/rohs-directive/deadlines-and-compliance-calendar.md): A RoHS compliance calendar you can actually operationalize: staged applicability dates (22 July 2014/2017/2019).
- [RoHS Enforcement, Penalties, and Fines | EU RoHS Directive 2011/65/EU (Member State rules)](/artifacts/eu/rohs-directive/penalties-and-fines.md): What EU RoHS enforcement looks like in practice: market surveillance checks, documentation requests, CE marking scrutiny.
- [RoHS Exemptions Tracker Guide | How to Build an Exemption Register (Annex III/IV), Link to BOM, Monitor Expiry](/artifacts/eu/rohs-directive/rohs-exemptions-tracker-guide.md): A practical guide to building a RoHS exemptions tracker: recommended tracker fields (exemption reference, exact wording, scope conditions.
- [RoHS Exemptions Tracking | Directive 2011/65/EU Annex III and Annex IV | Expiry Risk, Evidence, Renewal Strategy](/artifacts/eu/rohs-directive/exemptions-tracking.md): A practical RoHS exemptions tracking guide for Directive 2011/65/EU: how Annex III and Annex IV exemptions work.
- [RoHS Requirements | EU RoHS Directive 2011/65/EU | Substance Restrictions (Annex II), Exemptions (Annex III/IV), CE Evidence](/artifacts/eu/rohs-directive/requirements.md): A practical RoHS requirements breakdown for Directive 2011/65/EU: restricted substances thresholds in homogeneous materials (Annex II).
- [RoHS Supplier Declaration Template | Annex II Substances, Homogeneous Material Coverage, Exemptions Disclosure](/artifacts/eu/rohs-directive/rohs-supplier-declaration-template.md): A practical RoHS supplier declaration template for Directive 2011/65/EU.
- [RoHS vs REACH | What's the Difference? | EU RoHS Directive 2011/65/EU vs REACH Regulation (EC) 1907/2006](/artifacts/eu/rohs-directive/rohs-vs-reach.md): A practical RoHS vs REACH guide: RoHS (Directive 2011/65/EU) restricts specific substances in EEE above thresholds in homogeneous materials and is tied to CE.
- [Supplier Declarations and Verification | RoHS Compliance Program | Supplier Questionnaires, Change Control, Risk-Based Testing](/artifacts/eu/rohs-directive/supplier-declarations-and-verification.md): A practical supplier evidence playbook for EU RoHS Directive 2011/65/EU.
- [Technical Documentation and CE | RoHS Directive 2011/65/EU | EN IEC 63000, EU Declaration of Conformity, Evidence Vault](/artifacts/eu/rohs-directive/technical-documentation-and-ce.md): A practical RoHS technical documentation guide for Directive 2011/65/EU.


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