--- title: "RoHS exemption register workflow: expiry, renewal, evidence" canonical_url: "https://www.sorena.io/artifacts/eu/rohs-directive/exemption-register-workflow" source_url: "https://www.sorena.io/artifacts/eu/rohs-directive/exemption-register-workflow" author: "Sorena AI" description: "Build a RoHS exemption register that tracks Annex III and IV entries, product scope, expiry dates, renewal status, evidence owners, and Commission source links." published_at: "2026-05-09" updated_at: "2026-05-09" keywords: - "EU RoHS Directive" - "RoHS exemptions" - "Directive 2011/65/EU" - "Annex III" - "Annex IV" - "RoHS compliance evidence" --- **[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) --- # RoHS exemption register workflow: expiry, renewal, evidence Build a RoHS exemption register that tracks Annex III and IV entries, product scope, expiry dates, renewal status, evidence owners, and Commission source links. *EU RoHS* *Exemption register* ## RoHS exemption register workflow RoHS exemptions are temporary entries in Annex III or Annex IV, assessed under Article 5 and tied to specific materials, components, uses, categories, wording, and expiry conditions. Use this workflow to keep exemption claims traceable from product BOM lines to Annex wording, renewal timing, supplier evidence, technical documentation, and release decisions. A RoHS exemption register should answer a narrow question before a product is released or changed: which exact Annex III or Annex IV exemption is being relied on, for which material or component use, in which EEE category, until when, and with what evidence if a market-surveillance authority asks. ## What belongs in a RoHS exemption register? Treat each exemption as a controlled compliance decision, not a generic RoHS pass. Directive 2011/65/EU defines exemptions through Annex III and Annex IV, and Article 5 links exemption decisions to substitutes, substitution impacts, socioeconomic effects, and innovation considerations. The register should therefore capture the legal entry and the product facts side by side. That prevents a broad claim such as "RoHS exempt" from hiding a narrower Annex wording, category limit, material use, expiry date, or renewal dependency. - Record the Annex, exemption number, exact exemption wording, EEE category, material or component, restricted substance, product or SKU coverage, supplier evidence, owner, review date, and source URL. - Separate active exemptions, renewal-under-review exemptions, expired exemptions, rejected or revoked exemptions in transition, and new exemption requests that cannot yet support EU placing on the market. - Link each register row to the technical documentation file, EU declaration of conformity rationale, supplier declaration, test or engineering evidence, and any decision memo narrowing the exemption to a specific use. - Flag entries where the exemption wording covers only a subset of the BOM, a category-specific application, or an expiry date that differs by category or application. 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 Article 5, Annex III, Annex IV, Annex V, technical documentation, CE marking, and economic-operator duties. - [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, timing, renewal treatment, stakeholder consultation, and assessment studies. - [European Commission - RoHS exemptions list](https://environment.ec.europa.eu/document/f4bd701f-7c2c-4d52-9a03-dc91866e6c61_en?ref=sorena.io) - Commission source for the downloadable exemptions list referenced from the RoHS implementation page. - [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 Article 5 exemption requests, renewals, wording changes, deletion requests, and supporting documentation. ## How to review each exemption row before release Start with the product facts, then test them against the exemption wording. A valid-looking Annex entry is not enough if the category, application, substance use, component function, or expiry condition does not match the product being placed on the EU market. For renewal-sensitive rows, do not treat the printed expiry date alone as the final answer. The Commission states that renewal applications must be submitted no later than 18 months before expiry, and that existing exemptions with a submitted renewal request remain valid until the Commission decides. - 1. Identify the homogeneous material, component, restricted substance, and EEE category affected by the claim. - 2. Match the claim to the exact Annex III or Annex IV entry and copy the current wording into the register without paraphrasing it as the legal source of the claim. - 3. Check whether a renewal request, delegated act, rejection, revocation, or transition period changes the release decision. - 4. Confirm that the evidence file explains why substitution is not used or why the exemption still fits the application, rather than only storing a supplier certificate. - 5. If the row depends on a new exemption request, hold the EU release decision unless another compliant route exists, because the Commission guidance says equipment must comply until a decision granting the new exemption is adopted. Sources for this answer: - [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 renewal timing, 18 to 24 month decision timing, validity while renewal decisions are pending, and treatment of new exemption requests. - [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 renewal rules, Annex V application contents, and the 12 to 18 month expiry window after rejection or revocation. - [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 checking existing exemptions, renewals, wording changes, deletion requests, and documentation supporting an Article 5 argument. - [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 identifying EN IEC 63000:2018 as the harmonised technical-documentation standard for assessing materials, components, and EEE against restricted-substance requirements. ## Evidence outputs that make the register usable The exemption register is useful only if it gives reviewers enough context to approve, block, or escalate a product decision. Annex V requires exemption applications to include applicant details, information on the material or component and the specific use of the substance, referenced justification, alternatives analysis, waste treatment considerations, development actions and timing, proprietary-information marking where appropriate, proposed wording, and a summary. Even when the company is not filing an exemption application itself, those Annex V fields are a strong checklist for the internal record because they force the register owner to document the same facts that make an exemption claim understandable. - A register export with one row per exemption claim and a status field that distinguishes active, under renewal, rejected or revoked in transition, expired, and not yet granted. - A source pack containing the consolidated Directive text, Commission implementation page, current Commission exemption list, relevant delegated act or assessment material where used, and the technical-documentation standard reference. - A product evidence pack linking BOM line, material declaration, supplier response, engineering rationale, test evidence where needed, exemption wording, expiry or renewal assumption, and approval owner. - A review trigger list for supplier changes, material substitutions, redesigns, EEE category changes, Commission delegated acts, exemption-list updates, authority questions, customer escalations, and scheduled pre-expiry checks. 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 Annex V application contents and economic-operator technical documentation and declaration duties. - [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, timeframe, assessment reports, stakeholder consultations, and status checks. - [European Commission - RoHS exemptions list](https://environment.ec.europa.eu/document/f4bd701f-7c2c-4d52-9a03-dc91866e6c61_en?ref=sorena.io) - Commission source for the downloadable exemptions list referenced from the RoHS implementation page. - [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 supporting information, confidential-information handling, alternatives analysis, and exemption request formats. *Recommended next step* *Placement: after implementation section* ## Turn exemption claims into release-ready RoHS evidence Use this workflow to connect Annex wording, product scope, renewal timing, supplier inputs, and technical documentation before a RoHS exemption claim reaches release review. - [Open Research Copilot](/solutions/research-copilot.md): Check exemption wording, timing, and evidence gaps with cited outputs. - [Talk through implementation](/contact.md): Review your exemption register, technical file, and release controls. ## 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 Article 5, Annex III, Annex IV, Annex V, technical documentation, CE marking, and economic-operator duties. - Quote: "Applications for exemptions, renewal of exemptions" - [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, timing, renewal treatment, stakeholder consultation, and assessment studies. - Quote: "A decision on a RoHS exemption currently takes" - [European Commission - RoHS exemptions list](https://environment.ec.europa.eu/document/f4bd701f-7c2c-4d52-9a03-dc91866e6c61_en?ref=sorena.io) - Commission source for the downloadable exemptions list referenced from the RoHS implementation page. - Quote: "Exemptions List" - [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 Article 5 exemption requests, renewals, wording changes, deletion requests, and supporting documentation. - Quote: "request the renewal, the amendment or the deletion" - [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 identifying EN IEC 63000:2018 as the harmonised technical-documentation standard for restricted-substance assessment. - Quote: "assessing materials, components and electrical and electronic equipment" ## 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 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): 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 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. - [RoHS Timeline: practical guide](/artifacts/eu/rohs-directive/timeline.md): EU RoHS Directive guide to Timeline with scope decisions, owner actions, evidence records, source-linked citations, and practical next steps. - [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, using RoHS-grounded scope, technical file, DoC, CE marking, exemption, 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 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. --- [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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