Task 4: Update of the exemption evaluation methodology based on RoHS Art. 5(1)(a)

• Author: Clemm, Christan; Löw, Clara; Baron, Yifaat; Moch, Katja; Möller, Martin; Köhler, Andreas R; Gensch, Carl-Otto; Deubzer, Otmar
• Pages: 8-21

Euro pean Comm issio n

Exem pt ion e valu atio n m etho dolog y

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2. Task 4 : Update of the exem ption ev aluation

methodology ba sed on RoHS Art. 5 ( 1) ( a)

2.1 . Back ground an d Basic Prin ciples

The cor e ob ject ive of th e ex empti on e valu ation process is t o assess w het her an

exemption f rom the substa nce r estr iction u nder Art icle 4(1 ) of RoHS is j ustified in th e

light of the cri teria set out in RoHS Ar t. 5(1 )(a). RoHS Art. 5 prov ides the base for th e

evaluation of exem pt ions, i .e. renewal s of ex emp tions p rior to th eir expiry fol lowi ng a

request for ren ewal or for r evok ing of valid exemp tion s curre ntl y listed i n An nex II I or

Ann ex I V of RoHS or request s for n ew exem ptions. RoHS Annex I II li sts t he

exemp tions t hat are appl icable to el ectr ical and elect ron ic eq uipmen t und er categ ories

1 to 1 1, listed in Annex I of the RoHS Directi ve. Annex I V lists exem ptions that are

app licabl e only to equi pment und er categories 8 ( med ical devi ces) and 9 (m oni toring

and cont rol instrume nts) .

RoHS Art. 5(1)( a) stip ulat es2:

1. “For t he pur poses of ad apting Annex es I II and IV to scienti fic a nd t echn ical

progress […] th e Com mission shall ado pt […] the follow ing m easur es:

(a) in clusion o f m ater ials and comp onent s of EEE f or sp ecific app licat ions in the

list s in Anne xes I II and I V, p rovi ded that such inclusion does not weaken th e

env iron men tal and healt h prot ectio n af ford ed by Reg ulat ion (EC) No

19 07/ 200 6 [ ref err ed t o as th e threshol d criteria here inaf ter ] and wher e an y

of the follow ing conditions is fu lfill ed:

— th eir elim inat ion or su bstitu tion via desig n ch anges or mater ials and

com ponents which d o not require any of t he m aterial s or subst ances

list ed in Annex II is sci entifically or tech nically imp ract icable [ref erred

to as ( I) herei nafter ],

— th e reliabilit y of sub stit utes is not ensu red [ re ferr ed t o a s (I I)

he rei naf t er] ,

— th e total nega tive envir onmental, healt h an d con sumer safet y

im pact s caused b y substi tut ion are likely to outweig h t he tot al

envir onm ent al, health and con sumer safety ben efit s t her eof [ ref err ed

to as ( III ) hereina fter] .

Decisions on t he inclu sion of m aterials and com pon ents of EEE in t he lists in

Ann exes II I a nd I V an d on th e duration of any exem ptions shall take in to

accou nt the avai labil ity of sub stit utes and t he so cioecon omi c im pact of

substit ut ion [referr ed t o as ( IV) h erei nafter ].

Decisions on t he duration o f any exem ptio ns sh all t ake into accou nt any

pot ent ial a dver se im pact s on inn ovat ion. Life-cycle th inking on t he over all

2 Dif fere nt f rom th e or igin al wo rdin g in Dir ecti ve 20 11/ 65 /EU, num beri ng h as be en ad ded in br acke ts t o

th e con dit ions s pecif ied u nder th e rep rodu ced A rtic le 5( 1) (a) tex t f or c larit y a nd e asier refe renci ng i n

fol lowi ng se ction s.