---
title: "EU RoHS compliance checklist for EEE"
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: "Checklist for EU RoHS scope, restricted substances, homogeneous materials, exemptions, CE marking, technical documentation, and supplier evidence."
published_at: "2026-05-09"
updated_at: "2026-05-09"
keywords:
  - "EU RoHS checklist"
  - "RoHS compliance"
  - "Directive 2011/65/EU"
  - "EN IEC 63000"
  - "RoHS technical documentation"
  - "homogeneous material"
  - "RoHS exemptions"
  - "EU RoHS Directive"
  - "RoHS checklist"
  - "EEE compliance"
---
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---

# EU RoHS compliance checklist for EEE

Checklist for EU RoHS scope, restricted substances, homogeneous materials, exemptions, CE marking, technical documentation, and supplier evidence.

*Artifact Guide* *EU*

## EU RoHS Directive Checklist

This checklist helps decide whether electrical or electronic equipment is in RoHS scope, confirm restricted-substance evidence at homogeneous-material level, and keep the CE and technical-file records tied to the right legal source.

The checkpoints below focus on Directive 2011/65/EU, the phthalate amendment, EN IEC 63000 technical documentation, and Commission guidance on exemptions.

An EU RoHS checklist should not start with a generic supplier certificate. It should first identify the finished electrical or electronic equipment, the EU economic operator role, the applicable product category or exclusion, the restricted substances and exemptions being relied on, and the evidence kept in the technical documentation.

## 1. Decide whether the product is EEE in RoHS scope

Directive 2011/65/EU applies to electrical and electronic equipment in the categories listed in Annex I, subject to the Directive's exclusions. The definition covers equipment dependent on electric currents or electromagnetic fields for at least one intended function and designed for voltage ratings not exceeding 1,000 volts AC or 1,500 volts DC.

Do not treat every assembly, cable, spare part, component, or building installation the same way. The checklist should record whether the item is finished EEE, a separately placed cable, a spare part, a component for integration, or equipment claimed to be outside scope under a specific exclusion.

- Record the product name, model or family, intended use, EU market role, and first placing-on-the-market fact pattern.
- Check the Annex I EEE category, including category 11 for other EEE not covered by earlier categories, unless a specific Article 2 exclusion applies.
- For cables, distinguish external cables sold separately from cables supplied with finished EEE; separately placed external cables need their own RoHS conformity route from the relevant applicability date.
- For spare parts and sub-assemblies, document whether they are finished EEE or parts used for repair, reuse, updating, or upgrading of specific EEE.
- For components, confirm that the finished EEE can meet RoHS only if its components and parts meet the substance restrictions, even where the component itself does not carry CE marking.

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 consolidated RoHS source for scope, EEE definitions, categories, exclusions, cables, spare parts, and economic-operator duties.
- [European Commission RoHS FAQ key guidance document](https://environment.ec.europa.eu/system/files/2021-01/FAQ%20key%20guidance%20document%20-%20RoHS.pdf?ref=sorena.io) - Commission guidance used for practical scope distinctions on cables, components, spare parts, finished EEE, and exclusions.

## 2. Check restricted substances at homogeneous-material level

RoHS substance limits are assessed by weight in each homogeneous material, not by the weight of the complete product. A homogeneous material is a material of uniform composition throughout, or a material combination that cannot be separated into different materials by mechanical actions such as unscrewing, cutting, crushing, grinding, or abrasive processes.

The current Annex II list includes lead, mercury, cadmium, hexavalent chromium, PBB, PBDE, DEHP, BBP, DBP, and DIBP. Cadmium has a maximum concentration value of 0.01 % by weight in homogeneous materials; the other listed substances have 0.1 % values unless an applicable exemption changes the conclusion for the specific use.

- Map each material, coating, solder, plastic, cable insulation, fastener, and supplied component to a homogeneous-material record where the risk is material to the product.
- Use declarations, material data, supplier evidence, and testing so the file can show why each restricted substance is below the applicable concentration value or covered by a valid exemption.
- Treat DEHP, BBP, DBP, and DIBP as part of the RoHS substance review, while preserving the Directive's specific timing and carve-outs for certain cables, spare parts, toys, medical devices, and monitoring and control instruments.
- Avoid testing shortcuts that mix materials in a way that could dilute a restricted substance above the limit in one homogeneous material.
- When a material or supplier changes, reopen the substance matrix instead of relying on an older declaration for a different bill of materials.

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 consolidated RoHS source for homogeneous-material limits, Annex II substances, and Annex III/IV exemptions.
- [Commission Delegated Directive (EU) 2015/863 adding phthalates to RoHS Annex II](https://data.europa.eu/eli/dir_del/2015/863/oj?ref=sorena.io) - Binding source adding DEHP, BBP, DBP, and DIBP to Annex II and setting related application rules.
- [European Commission RoHS FAQ key guidance document](https://environment.ec.europa.eu/system/files/2021-01/FAQ%20key%20guidance%20document%20-%20RoHS.pdf?ref=sorena.io) - Commission guidance used for homogeneous-material examples and practical testing cautions.

## 3. Build the technical file, declaration, and CE evidence

Manufacturers must draw up the required technical documentation, complete the conformity assessment procedure, draw up an EU declaration of conformity, and affix CE marking when compliance has been demonstrated. Directive 2011/65/EU also requires manufacturers to keep the technical documentation and EU declaration of conformity for 10 years after the EEE has been placed on the market.

EN IEC 63000:2018 is the harmonised standard referenced for technical documentation used to assess materials, components, and EEE against RoHS substance restrictions. The checklist should identify which evidence supports the declaration rather than treating a supplier statement as a substitute for the manufacturer's file.

- Keep a product identification record, bill of materials, supplier declarations, material declarations, test reports where used, exemption rationale, and change-control history.
- Confirm the EU declaration of conformity identifies the EEE, manufacturer or authorised representative, and the applicable RoHS reference.
- Check that CE marking is placed visibly, legibly, and indelibly on the finished EEE or, where the Directive allows, on packaging and accompanying documents.
- For importers, verify that the manufacturer completed conformity assessment, technical documentation, CE marking, and required documents before the EEE is placed on the Union market.
- For distributors, check CE marking, required documents, and manufacturer/importer identification duties before making EEE available on the market.

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 consolidated RoHS source for manufacturer, importer, distributor, EU declaration, CE marking, record-retention, and authority-response duties.
- [Commission Implementing Decision (EU) 2020/659 on EN IEC 63000](https://data.europa.eu/eli/dec_impl/2020/659/oj?ref=sorena.io) - Official source publishing EN IEC 63000:2018 as the harmonised RoHS technical-documentation standard.
- [IEC 63000:2016 technical documentation standard](https://webstore.iec.ch/en/publication/25985?ref=sorena.io) - IEC publisher page describing the technical documentation standard for restricted-substance compliance declarations.
- [European Commission RoHS harmonised standards page](https://single-market-economy.ec.europa.eu/single-market/goods/european-standards/harmonised-standards/restriction-use-certain-hazardous-substances-rohs_en?ref=sorena.io) - Commission page for RoHS harmonised standards and Official Journal reference tracking.

*Recommended next step*

*Placement: after implementation section*

## Turn RoHS checks into a reusable evidence file

Use the checklist to connect scope, substance evidence, exemptions, supplier declarations, technical documentation, and release decisions in one traceable RoHS workflow.

- [Open Research Copilot](/solutions/research-copilot.md): Answer RoHS scope, exemption, and evidence questions with cited outputs.
- [Talk through implementation](/contact.md): Review your RoHS scope decision, substance matrix, technical file, and release blockers.

## 4. Control exemptions, renewals, and release blockers

Annex III and Annex IV exemptions are application-specific and limited in time. A checklist should identify the exact exemption entry, product category, material or component use, expiry conditions, and evidence showing that the product fits the exemption wording.

Commission implementation guidance states that renewal applications must be made no later than 18 months before an exemption expires. Existing exemptions with timely renewal requests remain valid until the Commission decides, while a new exemption request does not itself allow non-compliant equipment to be placed on the EU market before the exemption is granted.

- Keep an exemption register with the Annex, entry number, application wording, product category, expiry date or status, owner, and supporting evidence.
- Escalate before design release if a product depends on an exemption that is expired, close to expiry, under review, or narrower than the intended use.
- For renewal planning, track the 18-month application timing and the Commission decision status rather than assuming an exemption continues automatically.
- For rejected or revoked exemptions, document the transition period and the engineering, supplier, or market action needed before the exemption ends.
- Review the checklist after supplier changes, redesigns, new restricted-substance amendments, harmonised-standard updates, authority requests, recalls, or market-surveillance findings.

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 consolidated RoHS source for Annex III and IV exemption structure, renewal rules, and economic-operator obligations.
- [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 requests, renewal timing, review status, and transition-period guidance.
- [European Commission RoHS exemption application guidance](https://environment.ec.europa.eu/document/download/f1f65e3d-1b90-4dd1-a0d4-797bd6cabe98_en?filename=Guidance_Document.pdf&ref=sorena.io) - Guidance for exemption, renewal, amendment, and deletion applications under Article 5(8).

## 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) - Binding consolidated RoHS source for scope, EEE definitions, substance thresholds, exemptions, CE marking, technical documentation, declarations, and economic-operator duties.
  - Quote: "restriction of the use of certain hazardous substances"
- [Commission Delegated Directive (EU) 2015/863 adding phthalates to RoHS Annex II](https://data.europa.eu/eli/dir_del/2015/863/oj?ref=sorena.io) - Binding source adding DEHP, BBP, DBP, and DIBP to RoHS Annex II and preserving specific application rules.
  - Quote: "amending Annex II to Directive 2011/65/EU"
- [Commission Implementing Decision (EU) 2020/659 on EN IEC 63000](https://data.europa.eu/eli/dec_impl/2020/659/oj?ref=sorena.io) - Official source for EN IEC 63000:2018 as the harmonised RoHS technical-documentation standard.
  - Quote: "technical documentation required for assessing materials"
- [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 requests, renewals, review status, and transition-period guidance.
  - Quote: "Exemptions are limited in time"
- [European Commission RoHS FAQ key guidance document](https://environment.ec.europa.eu/system/files/2021-01/FAQ%20key%20guidance%20document%20-%20RoHS.pdf?ref=sorena.io) - Commission guidance for scope, cables, components, spare parts, CE marking, declarations, and homogeneous-material interpretation.
  - Quote: "All EEE consist of many different homogeneous materials"
- [European Commission RoHS harmonised standards page](https://single-market-economy.ec.europa.eu/single-market/goods/european-standards/harmonised-standards/restriction-use-certain-hazardous-substances-rohs_en?ref=sorena.io) - Official Commission page for RoHS harmonised standards and Official Journal reference tracking.
  - Quote: "references of harmonised standards are published"
- [IEC 63000:2016 technical documentation standard](https://webstore.iec.ch/en/publication/25985?ref=sorena.io) - IEC publisher page describing the standard for technical documentation supporting restricted-substance compliance declarations.
  - Quote: "Technical documentation for the assessment of electrical and electronic products"
- [European Commission RoHS exemption application guidance](https://environment.ec.europa.eu/document/download/f1f65e3d-1b90-4dd1-a0d4-797bd6cabe98_en?filename=Guidance_Document.pdf&ref=sorena.io) - Guidance for exemption, renewal, amendment, and deletion requests under Article 5(8).
  - Quote: "Standard application format and guidance document"

## 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): Build EN IEC 63000:2018 technical documentation for EU RoHS with manufacturer duties, evidence selection, harmonised-standard context, and file maintenance.
- [EU RoHS Annex III and IV exemptions guide](/artifacts/eu/rohs-directive/annex-iii-and-iv-exemptions.md): How to use, renew, or challenge EU RoHS Annex III and Annex IV exemptions, with Article 5 criteria, timing rules, and evidence requirements.
- [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): Understand RoHS CE marking, the EU Declaration of Conformity, EN IEC 63000 technical documentation, and importer or distributor checks.
- [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): Build a RoHS calendar for scope phase-ins, phthalate dates, exemption renewals, spare-part cutoffs, EN IEC 63000 evidence, 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): Understand EU RoHS penalty exposure, national sanctions, the absence of one EU-wide fine table, corrective actions, recalls, and evidence records.
- [EU RoHS Phthalates: DEHP, BBP, DBP, DIBP](/artifacts/eu/rohs-directive/phthalates.md): Apply RoHS rules for DEHP, BBP, DBP, and DIBP, including 0.1% homogeneous-material limits, 2019 and 2021 dates, exemptions, evidence, and testing.
- [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): Apply RoHS Article 4 to repair parts and reused recovered parts, including 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.
- [EU RoHS Timeline: Scope, Phthalates, Exemptions and Evidence](/artifacts/eu/rohs-directive/timeline.md): Understand which EU RoHS dates changed product scope or substance duties, which dates are historical, and which exemption, spare-part, and evidence deadlines still require action.
- [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): Choose proportionate EU RoHS verification using supplier evidence, EN IEC 63000 documentation, IEC 62321 methods, and product-specific risk decisions.
- [RoHS Supplier Change Control Workflow](/artifacts/eu/rohs-directive/supplier-change-control-workflow.md): Control EU RoHS risk after part substitutions or material changes by reassessing supplier declarations, test needs, exemptions, and technical-file updates.
- [RoHS Supplier Declaration Template](/artifacts/eu/rohs-directive/rohs-supplier-declaration-template.md): Use a structured EU RoHS supplier declaration to collect 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): Connect RoHS technical documentation and EN IEC 63000 evidence to the EU declaration of conformity, CE marking, and economic-operator duties.
- [RoHS vs Batteries Regulation scope comparison](/artifacts/eu/rohs-directive/rohs-vs-batteries-regulation.md): RoHS-focused comparison explaining when RoHS applies to EEE, why batteries sit outside RoHS, and what evidence should not be reused without separate battery-law support.
- [RoHS vs LVD/EMC CE evidence: what belongs in the RoHS file](/artifacts/eu/rohs-directive/rohs-vs-lvd-emc-ce-evidence.md): Compare RoHS substance evidence with separate LVD and EMC CE evidence streams across scope, technical files, declarations, CE marking, exemptions, and supplier records.
- [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 cited 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 cited decision points.
- [RoHS, REACH, POPs, and batteries overlap](/artifacts/eu/rohs-directive/reach-pop-and-batteries-overlap.md): Separate RoHS restrictions and evidence from REACH, POPs, Batteries Regulation, waste, and adjacent technical-file workstreams for the same product.
- [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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