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Record keeping for exempted introductions - research and development

You must keep certain records for introductions of chemicals that are only for use in research and development, which you’ve categorised as exempted. You must provide these records within 20 working days if we ask for them.

On this page

Before you read this page’s content, make sure you’ve already read and understood information on our record-keeping overview page.

Records you must keep

The type of records you must keep depends on: 

  • whether you know the CAS number, CAS name, IUPAC name or INCI name for your chemical
  • the total volume of chemical that you introduce in a registration year

Work through the information on this page to understand your record-keeping obligations for this type of introduction.

Chemical identity

If the total volume of the chemical you introduce in a registration year is less than or equal to 10 kg

  • A record of the number of chemicals you introduce at volumes of less than or equal to 10 kg that meet the ‘solely for use in research and development’ criteria described in subsection 26(3) of the General Rules including: 
    • you only use your chemical for research and development, or you make it available to another person who only uses it for research and development 
    • you don’t make your chemical available to the public on its own, in combination with other industrial chemicals or as part of an article 
    • you use control measures to eliminate or minimise any risks to the environment and any risks to the people involved in using the chemical for research and development

If the total volume of the chemical you introduce in a registration year is greater than 10 kg

An introducer is taken to know the CAS number, CAS name, IUPAC name, or eligible INCI plant extract name if it would be reasonably practicable for them to find out that number/name. 

This means introducers must proactively try to find this information, including checking for it with their chemical supplier. 

  • If you know the CAS number – written or electronic records of one of the following:  
    • CAS name
    • IUPAC name
    • INCI name
  • If you don't know the CAS number or it is not assigned, and you don’t know the CAS name, IUPAC name or INCI name – written or electronic record of
    • names you use to refer to the chemical and
    • name of the person or business who you believe (on reasonable grounds) would give the CAS number (if assigned), and the CAS name, IUPAC name or eligible INCI plant extract name of the chemical, if requested by the introducer, following a request from the Executive Director 
    • why you believe the information holder will give the required information to AICIS. For example, this could be information in an email from the chemical identity holder or minutes of a meeting.

Introduction, use and exposure

  • Records to prove one of the following (either A or B): 
     
    1. That the total volume introduced in a registration year does not exceed 10kg. 
      • this applies if any of the chemical you introduced in a registration year is a solid, or is in a dispersion, at the time of introduction and consists of solid particles, in an unbound state or as an aggregate or agglomerate, where at least 50% (by number size distribution) of the particles have at least one external dimension in the nanoscale) 

      • or it was not determined at the time of introduction whether the chemical meets this description. 

        We’ll accept shipping documents to prove the introduction volume.

    2. Otherwise, that the total volume introduced in a registration year does not exceed 250kg. We’ll accept shipping documents to prove the introduction volume.
  • Records to prove your chemical will be used in research and development with control measures in place. The information that we’ll accept depends on the nature of your business and the number of chemicals that you’re introducing solely for research and development.

Introduction requirements

You will also need the following records:

  • Records to prove your chemical is not one that cannot be exempted or reported at step 1 of the categorisation process. That is:
    • isn’t listed in Annex III of the Rotterdam Convention* or 
    • isn't listed in Part 1 of Annex A, B or C of the Stockholm Convention* 
    • the Persistent Organic Pollutants Review Committee has not decided that your chemical meets the POPs screening criteria set out in Annex D of the Stockholm Convention*
    • the AICIS Executive Director has not decided that your chemical meets the Annex D screening criteria for POPs while making the decision about issuing an assessment certificate for that chemical*
    • the AICIS Executive Director has not decided that your chemical meets the Annex D screening criteria for POPs based on an AICIS evaluation done on that chemical*

    • your chemical isn’t listed on the Inventory with conditions of introduction or use that will be contravened

      We'll accept a signed and dated declaration that these checks took place. 

      *unless it is introduced solely for use in research or analysis and the amount that you introduce in a registration year does not exceed 100kg.

  • If you’re introducing more than 10 kg but not more than 250 kg of your chemical in a registration year – records to prove either A or B:

    Note: If you are not able to prove the following, or you had not determined this at the time of introducing your chemical, the total volume you can introduce in a registration year must not be more than 10kg.

    1. It’s not introduced as a solid or in a dispersion (if applicable). We’ll accept an SDS or product information sheet that indicates the appearance.
    2. It doesn’t consist of solid particles in an unbound state or as an aggregate or agglomerate, where at least 50% (by number size distribution) of the particles have at least one external dimension in the nanoscale. The information we’ll accept depends on the particle size range of the solid or dispersion:
      • Greater than 1000 nm in all dimensions – we’ll accept either:
        • an SDS or technical data sheet for the chemical or the product that it’s introduced in that indicates it will be introduced as granules, pellets, or a wax; or
        • a study result from a particle size distribution study on your chemical or the product that you will introduce into Australia (conducted according to OECD TG 110)
      • Greater than 200 nm and less than or equal to 1000 nm in all dimensions – we’ll accept:
        • a study result from a particle size distribution study on your chemical or the product that you will introduce into Australia (conducted according to OECD TG 110 or 125).
        • If the chemical is in a dispersion, the spectroscopy- and microscopy-based methods such as scanning electron microscopy (SEM) and transmission electron microscopy (TEM) are more appropriate.
          Note: For particle size distributions in this range, information only from an SDS/technical data sheet or similar is not enough.
      • Less than or equal to 200 nm in at least one dimension – we’ll accept:
        • a study result from a particle size distribution study on your chemical or the product that you will introduce into Australia (conducted according to OECD TG 125) 
        • If the chemical is in a dispersion, the spectroscopy- and microscopy-based methods such as scanning electron microscopy (SEM) and transmission electron microscopy (TEM) are more appropriate. Note: For particle size distributions in this range, information only from an SDS/technical data sheet or similar is not enough. 

          You can use OECD TG 110 to measure particle size and distribution to support that a chemical is not at the nanoscale for particles and fibres with sizes above 250 nm. 

          OECD TG 125 on Nanomaterial Particle Size and Size Distribution of Nanomaterials measures particles and fibres with a diameter of 1 to 1000 nm and fibres with a length up to 20 µm.
      • If you don’t hold this information – records showing: 
        • why you believe your introduction doesn’t consist of solid particles, in an unbound state or as an aggregate or agglomerate, where at least 50% (by number size distribution) of the particles have at least one external dimension in the nanoscale and  
        • the name of the person or business who you believe (on reasonable grounds) would give AICIS the required information to demonstrate the particle size, if requested by you, following a request from the Executive Director and 
        • why you believe the person or business who holds the information would give the required information to demonstrate the particle size. For example, this information could be in an email from your supplier. 

See our definition of research and development.

How to print the checklist

Use your browser to print the record-keeping checklist content on this page by:

  1. clicking the print button at the top-right this page / or pressing Ctrl P 
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