Record-keeping obligations for exempted introductions

Each type of exempted introduction has different record-keeping requirements

• Introductions where the highest indicative risk is very low risk
• Introductions that are only for use in research and development
• Chemicals that are comparable to listed chemicals
• Polymers that are comparable to listed polymers
• Chemicals resulting from non-functionalised surface treatment of listed chemicals
• Chemicals that are imported and subsequently exported
• Polymers of low concern
• Low-concern biological polymers

On these pages:

• We describe the information you must provide for each exempted introduction type, if we ask for it.
• You can download our record-keeping checklists. In these checklists, we’ve indicated the type and level of information that we expect to receive (if we ask for it), to prove your chemical introduction is authorised as an exempted introduction.
• We’ve included examples showing how introducers can satisfy our request to provide records.

What you must submit

For certain exempted introductions, you must submit a once-off exempted introduction declaration.

You'll also need to submit an annual declaration after end of of our registration year. 

Why you must keep records

You must keep certain records about your chemical introductions to confirm they are authorised under our exempted category. This also ensures you’re aware of any changes that could impact your categorisation. You must keep these records for 5 years, even after you’ve stopped introducing your chemical. 

Written undertakings

If you’ve relied on information held by another person - such as a supplier or manufacturer - to categorise your chemical introduction as an exempted introduction, you’ll need to keep a written undertaking from that person. It must confirm: 

• your introduction meets the applicable categorisation criteria 
• they will provide all relevant information, if we ask for it 

You must provide this written undertaking if we ask for it. 

Example content for a written undertaking (highest indicative risk is very low risk) 

1. The name by which the chemical is known to the introducer, for example, Chemical A. 
2. Contact details for the person who holds the information (this could be the supplier, manufacturer or someone else). 
3. A statement confirming that the person who holds the information will provide the proper name (CAS or IUPAC) for Chemical A and the CAS number (if assigned), if we ask for them. 
4. A statement confirming that the introduction of Chemical A isn’t covered by any of the provisions of section 25; items 1-3, 7 or 8 of the table in subsection 28(1); or items 1-5, 10 or 11 of the table in subsection 29(1) of the Industrial Chemicals (General) Rules 2019; and the person who holds the information will give us the records to prove this, if we ask for them. 
5. A statement confirming that Chemical A is a UVCB substance (if applicable) and the person who holds the information will give us the UVCB substance description, if we ask for it. 
6. A statement confirming that Chemical A is a high molecular weight polymer (if applicable) and the person who holds the information will give us the records to prove this, if we ask for them. 
7. The outcomes of the information specified in the Industrial Chemicals Categorisation Guidelines (the Guidelines) to demonstrate the absence of certain hazard characteristics for Chemical A that would otherwise render the introduction low or medium to high risk. 
8. A statement confirming that the person who holds the information will give us detailed information, including full study reports, of the kind specified in the Guidelines to prove the absence of the hazard characteristics for Chemical A, if we ask for them. 
9. The date that the person who holds the information gave the undertaking to the introducer. 

We may ask for your records

We may ask for your records to ensure your chemical introduction is authorised as an exempted introduction. If this happens, you must provide all the information we ask for within 20 working days. If you don’t meet this time frame, any further introductions of your chemical, under the same circumstances, will not be authorised until we get the information. 

In circumstances where you’ve provided a written undertaking, the person who holds the information about your chemical can give it to us directly (rather than via the introducer). We must receive this information within 20 working days, otherwise any further introductions of the chemical by you, under the same circumstances, will not be authorised.

Learn more about our laws, rules and regulations.