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Prohibited Purchases & Covered Entities
Prohibited Purchases & Covered Entities
Animals - TBA
Antibodies - TBA
Biohazardous Waste, Containers - TBA
How to Buy Carcinogens:
- Requires an EHS Assessment Prior to Purchasing
Caltech Contact:
- Director or Research Safety/Chemical Hygiene Officer, Nate Siladke
Caltech Resources:
Restricted List:
- Cal/OSHA Carcinogen List: https://www.dir.ca.gov/title8/sb7g16a110.html
- Annual Report on Carcinogens by the National Toxicological Program, including all of the substances listed as "known to be carcinogens" and substances listed as "reasonably anticipated to be carcinogens": https://ntp.niehs.nih.gov/whatwestudy/assessments/cancer/roc
- The International Agency for Research on Cancer, including all of the Group 1, 2A, and 2B chemicals: https://monographs.iarc.who.int/list-of-classifications/
Procedures:
- Any use of the chemical carcinogens listed in Title 8 - California Code of Regulations, Section 5209, see table below, requires an assessment from EH&S prior to beginning work. An assessment is needed because use of these chemicals requires the implementation of specific safety controls that are not covered in this CHP. Use may also require reporting to Cal/OSHA
Examples including but not limited to:
- Chemical Carcinogens Requiring Approval
- 2-Acetylaminofluorene (CAS # 53-96-3)
- 4-Nitrobiphenyl (CAS # 92-93-3)
- 4-Aminodiphenyl (CAS # 92-67-1)
- N-Nitrosodimethylamine (CAS # 62-75-9)
- Benzidine (and its salts) (CAS # 92-87-5)
- beta-Propiolactone (CAS # 57-57-8)
- 3,3'-Dichlorobenzidine (and its salts) (CAS # 91-94-1)
- bis-Chloromethyl ether (CAS # 542-88-1)
- 4-Dimethylaminoazobenzene (CAS # 60-11-7)
- Methyl chloromethyl ether (CAS # 107-30-2)
- alpha-Naphthylamine (CAS # 134-32-7)
- Ethyleneimine (CAS #151-56-4)
- beta-Naphthylamine (CAS # 91-59-8)
How to Buy Chemical Precursors:
- Spectrum Chemical, ONLY Approved Vendor
- DO NOT buy directly from vendor
- Buy via CCE procurement office (cjwkim@caltech.edu)
Caltech Contact:
- Office of Research Compliance, orc@caltech.edu
- EH&S CCSC - controlledsub@caltech.edu
Caltech Resource:
Restricted List:
Procedures:
Examples including but not limited to:
- See Restricted List above
OR
- (1) Phenyl-2-propanone, (2) Methylamine, (3) Ethylamine, (4) D-lysergic acid, (5) Ergotamine tartrate, (6) Diethyl malonate, (7) Malonic acid, (8) Ethyl malonate, (9) Barbituric acid, (10) Piperidine, (11) N-acetylanthranilic acid, (12) Pyrrolidine, (13) Phenylacetic acid, (14) Anthranilic acid, (15) Morpholine, (16) Ephedrine, (17) Pseudoephedrine, (18) Norpseudoephedrine, (19) Phenylpropanolamine, (20) Propionic anhydride, (21) Isosafrole, (22) Safrole, (23) Piperonal, (24) Thionyl chloride, (25) Benzyl cyanide, (26) Ergonovine maleate, (27) N-methylephedrine, (28) N-ethylephedrine, (29) N-methylpseudoephedrine, (30) N-ethylpseudoephedrine, (31) Chloroephedrine, (32) Chloropseudoephedrine, (33) Hydriodic acid, (34) Gamma-butyrolactone, including butyrolactone; butyrolactone gamma; 4-butyrolactone; 2(3H)-furanone dihydro; dihydro-2(3H)-furanone; tetrahydro-2-furanone; 1,2-butanolide; 1,4-butanolide; 4-butanolide; gamma-hydroxybutyric acid lactone; 3-hydroxybutyric acid lactone and 4-hydroxybutanoic acid lactone with Chemical Abstract Service number (96-48-0), (35) 1,4-butanediol, including butanediol; butane-1,4-diol; 1,4-butylene glycol; butylene glycol; 1,4-dihydroxybutane; 1,4-tetramethylene glycol; tetramethylene glycol; tetramethylene 1,4-diol with Chemical Abstract Service number (110-63-4), (36) Red phosphorus, including white phosphorus, hypophosphorous acid and its salts, ammonium hypophosphite, calcium hypophosphite, iron hypophosphite, potassium hypophosphite, manganese hypophosphite, magnesium hypophosphite, sodium hypophosphite, and phosphorous acid and its salts, (37) Iodine or tincture of iodine.
How to Buy Compressed Gas:
- Utilize Airgas vendor punchout in TechMart
Caltech Contact:
- Procurement: procurementhotline@caltech.edu
Caltech Resource:
Restricted List:
- It is highly recommended that the smallest amount of gas be purchased for ease of use
Procedures:
- Suggested to utilize TechMart PO: Airgas Contract
Examples including but not limited to:
- Gas cylinders, dewars,
- DO NOT buy controlled Substances Schedule I - Caltech's licenses do not allow this schedule (examples include: GHB, Heroin, LSD, Psilocin)
- Caltech holds DEA licenses for Schedules II, III, IV, or V
How to Buy Controlled Substances:
- Caltech can purchase controlled substances but they MUST be purchased by a Central Controlled Substance Custodian:
- OLAR CCSC - olarccsc@caltech.edu or
- EH&S CCSC - Lauriane Quenee controlledsub@caltech.edu
- Use any of the controlled substances from Schedules II, III, IV, or V, in animal research, you will need to obtain approval from the IACUC for your protocol prior to placing a request for a controlled substance
Caltech Contact:
- OLAR CCSC - olarccsc@caltech.edu or
- EH&S CCSC - Lauriane Quenee controlledsub@caltech.edu
Caltech Resource:
Restricted List:
- Controlled substances are those drugs and other substances included in Schedules II – V of the Controlled Substances Act, 21 U.S.C. sec. 801 et seq
Procedures:
- Caltech Controlled Substances Procedure
- Attachment A: Controlled Substances Authorization Form
- Attachment A-1: Division Approval Form
Examples including but not limited to:
- Full List: https://www.deadiversion.usdoj.gov/schedules/orangebook/a_sched_alpha.pdf
- Examples of Schedule II narcotics include:
- Hydromorphone (Dilaudid®), methadone (Dolophine®), meperidine (Demerol®), oxycodone (OxyContin®, Percocet®), and fentanyl (Sublimaze®, Duragesic®). Other Schedule II narcotics include: morphine, opium, codeine, and hydrocodone
- Examples of Schedule IIN stimulants include: amphetamine (Dexedrine®, Adderall®), methamphetamine (Desoxyn®), and methylphenidate (Ritalin®)
- Other Schedule II substances include: amobarbital, glutethimide, and pentobarbital
- Examples of Schedule III narcotics include:
- Products containing not more than 90 milligrams of codeine per dosage unit (Tylenol with Codeine®), and buprenorphine (Suboxone®)
- Examples of Schedule IIIN non-narcotics include: benzphetamine (Didrex®), phendimetrazine, ketamine, and anabolic steroids such as Depo®-Testosterone
- Examples of Schedule IV substances include:
- Alprazolam (Xanax®), carisoprodol (Soma®), clonazepam (Klonopin®), clorazepate (Tranxene®), diazepam (Valium®), lorazepam (Ativan®), midazolam (Versed®), temazepam (Restoril®), and triazolam (Halcion®)
- Examples of Schedule V substances include:
- Cough preparations containing not more than 200 milligrams of codeine per 100 milliliters or per 100 grams (Robitussin AC®, Phenergan with Codeine®), and ezogabine
Digital Accessibility
- Caltech Digital Accessibility Requirements
- Caltech Digital Accessibility Policy, Pending
- Section 32: Digital Accessibility Requirements
- VPAT Language
- Software
- Applications Caltech Contact:
Drones
- Review Caltech Unmanned Aircraft System/Drones Guidelines
- Research Drones: Office of Research Compliance, orc@caltech.edu
- American Security Drone Act of 2023: https://smartpay.gsa.gov/resources/american-security-drone-act/
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List
- Unmanned Aircraft System/Drones Guidelines, Pending
- Cleared Drone Vendors is available from the Defense Innovation Unit: https://www.diu.mil/blue-uas-cleared-list
Nucleic Acid, DNA Sequencing - TBA
Radioactive Sources
- Ensure following EH&S and Radiation Safety Committee procedures. Caltech has a Type A Broad Scope license, which requires Caltech to maintain a well-managed and documented radiation protection program to ensure that radioactive materials are used safely
- Must contact EH&S and receive approval prior to purchase
- Caltech Request for Amendment to Permit for Possession & Use of Radioactive Materials
- Purchases made via TechMart are screened or approved by the RSO
- All material is received by the RSO prior to distribution to the laboratories
- Some sealed sources are leased only and must be returned to the manufacturer
- Cobalt 57 source
- Radium 226 source
- Polonium 210 source
Respirators
- Caltech Supervisors & Departments purchase and maintain appropriate respirators and supplies. Follow Caltech's Respiratory Protection Program & Consult EH&S.
Pending
- Powered Air Purifying Respirator (PAPR)
- Negative and Positive Pressure Respirators
- Self-Contained Breathing Apparatus (SCBA)
Procuring Select Agents (Bacteria/Virus/Fungi)
- Currently, there are NO viral or bacterial Select Agents approved for use on the Caltech campus
- IBC Administrator, ibc@caltech.edu
- Institute Biosafety Officer, Manali Doshi
- CANNOT BUY Select Agents: Federal Select Agent Program, including a list of the agents that are currently regulated, please visit http://www.selectagents.gov
- Toxins list, see Biosafety Manual
- Avian influenza virus—highly pathogenic
- Bacillus anthracis
- Botulinum neurotoxin* Research involving any quantity of botulinum neurotoxin should be evaluated
- Burkholderia mallei
- Burkholderia pseudomallei
- Ebola virus
- Foot-and-mouth disease virus
- Francisella tularensis
- Marburg virus
- Reconstructed 1918 Influenza virus
- Rinderpest virus
- Toxin-producing strains of C. botulinium
- Variola major virus
- Variola minor virus
- Yersinia pestis
Select Agents and Toxins Program - TBA
Procuring Select Toxins
- Approved Caltech vendors
- Principal Investigator (PI) is responsible for submitting an IBC Protocol highlighting the use of recombinant DNA and other biohazardous materials for IBC review
- IBC Administrator, ibc@caltech.edu
- Institute Biosafety Officer, Manali Doshi
Select Toxins can only be purchased in quantities below the threshold amount
Caltech approved vendors
- Toxins listed below are exempt from CDC and USDA registration Select Agent requirements if the maximum allowable exempt quantity per Principal Investigator (PI) is not exceeded. See Caltech Biosafety Manual for quantity limits under CHAPTER XII: RESEARCH COMPLIANCE
- Abrin 1,000 mg
- Botulinum neurotoxins 1 mg
- Conotoxins (short, paralytic alpha) 100 mg
- Diacetoxyscirpenol (DAS) 10,000 mg
- Ricin 1,000 mg
- Saxitoxin 500 mg
- Staphylococcal enterotoxins subtypes A–E 100 mg
- Tetrodotoxin (TTX) 500 mg
- T-2 toxin 10,000 mg
- Toxins listed below are exempt from CDC and USDA registration Select Agent requirements if the maximum allowable exempt quantity per Principal Investigator (PI) is not exceeded. See Caltech Biosafety Manual for quantity limits under CHAPTER XII: RESEARCH COMPLIANCE
Semi-Conductor / Chips - TBA
Software
Kaspersky
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List, including Kaspersky Lab
- Prohibits the Federal Government from using any "Kaspersky Lab covered article." This includes hardware, software, and services developed or provided by Kaspersky Lab and Other Covered Entities.
- Contact Export Control, Research Compliance
- Hardware, Software and Services
TikTok, Lark Application
- Caltech personnel, including all faculty, postdocs, employees, and graduate students, are prohibited from downloading or using TikTok or Lark on any information technology – including laptops, cell phones, software, and firmware – used in the performance of a federal government contract
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- NDAAs, Covered Entities and Government Contractor Prohibitions, Export Compliance See TikTok / ByteDance / Lark Section
- Caltech Memo, 8/15/2023
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List
- TikTok
- ByteDance Limited
- Lark Suite
Video Surveillance Services or Telecommunications Equipment
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List
- Use of Safety and Security Camera Guidelines
- Unmanned Aircraft System/Drones Guidelines
- Research Camera Guidelines, Pending See Research Compliance Website
- Surveillance Equipment
- Camera
- Video Camera
- Drones
- Mobile, Cell Phones
- Tablets
- Network Routers, switches
- Base Stations
- Optical transmission products