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Prohibited & Restricted Purchases
Prohibited & Restricted Purchases
- How to buy Animals:
It is Institute policy that all animal purchases, irrespective of use (teaching or research) or funding source, be placed through the OLAR Animal Purchasing Staff - Further info: OLAR animal acquisition & transfers
- Caltech Contact: rodentorder@caltech.edu
- Caltech Resources:
Office of Laboratory Animal Resource
- Restricted List:
Pending - Procedures: Rodent Orders
- Examples including but not limited to:
If you have any questions regarding any animal use or acquisition, please reach out to olar@caltech.edu or IACUC@caltech.edu
- How to buy Antibodies:
Under federal guidelines, projects funded with federal funds which involve the purchase of customized monoclonal antibodies from a third party require the review and approval of the Caltech IACUC - Caltech Contact: IACUC@caltech.edu
- Caltech Resources:
Institutional Animal Care and Use Committee (IACUC)
IACUC Standard Operating Procedures - Caltech Office of Research Policy - Restricted List:
- Procedures:
IACUC Standard Operating Procedures - Caltech Office of Research Policy - Examples including but not limited to:
If you have any questions regarding any antibody procurement, please reach out to IACUC@caltech.edu
- How to Buy Biohazardous Waste, Containers:
- Procure red Biohazardous waste containers that are sturdy, leakproof and lidded. Biohazard symbol or stickers can be added on
- Procure red Biohazardous waste containers that are sturdy, leakproof and lidded. Biohazard symbol or stickers can be added on
- Caltech Contact:
- Institute Biosafety Officer, Manali Doshi
- Environmental Programs Manager, Mark Gatchalian
- EH&S Office
- Caltech Resources:
- Restricted List:
- DO NOT purchase liners (red bags) for biohazardous waste. Red bags must meet American Society for Testing Material (ASTM) D1922 & D1709 standards for tear and impact resistance
- DO NOT purchase liners (red bags) for biohazardous waste. Red bags must meet American Society for Testing Material (ASTM) D1922 & D1709 standards for tear and impact resistance
- Procedures:
- Contact EH&S to procure red bags – place a service request (Access/Facilities Service Request/EH&S/Waste)
- Caltech Biosafety Manual
- How to Buy Carcinogens:
- Requires an EHS Assessment Prior to Purchasing
- Requires an EHS Assessment Prior to Purchasing
- Caltech Contact:
- Director or Research Safety/Chemical Hygiene Officer, Nate Siladke
- 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
- 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:
Chemical Precursor, Research Compliance - 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
- See Restricted List above
- How to Buy Cloud Services and Virtual Machines:
- Examples of cloud services like but not limited to:
- Amazon Web Services (AWS)
- Microsoft Azure Services
- Google Cloud Platform (GCP) services
- Create a Caltech Help request ticket in access.caltech.edu, Request Type: IMSS
- Insert "Requesting Cloud Services Approval" in the subject line of the service request
- Or send email directly to Security@caltech.edu. Insert "Requesting Cloud Services Approval" in the email subject line
- Include a response to the following questions:
- Data Security and Privacy:
- What types of data will be stored or processed in the cloud service being requested?
- Are you storing or processing any regulatory data for FERPA, HIPAA, or GLBA regulations?
- Are you storing or processing any research data that is subject to CUI, ITAR, or EAR?
- Are you ensuring data encryption both in transit and at rest?
- Access Control and Identity Management:
- What access control mechanisms are in place to ensure only authorized users can access the cloud data and services being requested?
- Have you enabled multi-factor authentication (MFA) for administrators and all users?
- Security Incident Response and Disaster Recovery:
- What is your plan to monitor for data breaches and any type of security issues/alerts?
- What is your plan for data backup and disaster recovery?
- Authorization:
- Please provide the name of the authorized PI or Manager
- Additional Support:
- Would you like a 15-minute free session on building a well-architected cloud solution?
- Data Security and Privacy:
- Upon IMSS approval, the Requestor may use P-Card or TechMart to submit the order; include a copy of the IMSS approval email
- Examples of cloud services like but not limited to:
- Caltech Contact:
- IMSS Ticket: Caltech Help
- IMSS Helpdesk, help@caltech.edu
- Caltech Resources:
- Restricted List:
- Any type of Cloud compute services like Virtual Machines (VM), Storage, Databases, Containers, Backup & Archiving, etc.
- Any type of Cloud compute services like Virtual Machines (VM), Storage, Databases, Containers, Backup & Archiving, etc.
- Procedures:
- Start your request by adding your project details into the IMSS service management portal (Caltech Help)
- Start your request by adding your project details into the IMSS service management portal (Caltech Help)
- Examples including but not limited to:
- Amazon Web Services (AWS)
- Microsoft Azure Services
- Google Cloud Platform (GCP) services, etc.
- How to Buy Compressed Gas:
- Utilize Airgas vendor punchout in TechMart
- Utilize Airgas vendor punchout in TechMart
- Caltech Contact:
- Procurement: procurementhotline@caltech.edu
- Procurement: procurementhotline@caltech.edu
- Caltech Resource:
- Restricted List:
- It is highly recommended that the smallest amount of gas be purchased for ease of use
- 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
- To 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 can purchase controlled substances but they MUST be purchased by a Central Controlled Substance Custodian:
- 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
- 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:
- 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
- Caltech Resource:
- Restricted List:
- Caltech Digital Accessibility Requirements
- Caltech Digital Accessibility Requirements
- Procedures:
- Caltech Digital Accessibility Policy, Pending
- Section 1, General Provisions, Item 32: Digital Accessibility Requirements
- VPAT Language
- Examples including but not limited to:
- Software
- Applications
- How to Buy Drones:
- Review Caltech Unmanned Aircraft System/Drones Guidelines
- Review Caltech Unmanned Aircraft System/Drones Guidelines
- Caltech Contact:
- Research Drones: Office of Research Compliance, orc@caltech.edu
- Research Drones: Office of Research Compliance, orc@caltech.edu
- Caltech Resources:
- American Security Drone Act of 2023: https://smartpay.gsa.gov/resources/american-security-drone-act/
- American Security Drone Act of 2023: https://smartpay.gsa.gov/resources/american-security-drone-act/
- Restricted List:
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List
- Procedures:
- Unmanned Aircraft System/Drones Guidelines, Pending
- Cleared Drone Vendors is available from the Defense Innovation Unit: https://www.diu.mil/blue-uas-cleared-list
- How to Buy Nucleic Acid:
- Buy from Caltech Approved Vendors
- Buy from Caltech Approved Vendors
- Caltech Contact:
- IBC Administrator, ibc@caltech.edu
- Institute Biosafety Officer, Manali Doshi
- Caltech Resources:
- Restricted List:
- DNA and RNA (single/double stranded) 50 or more nucleotides
- DNA and RNA (single/double stranded) 50 or more nucleotides
- Procedures:
- Buy from an approved vendor
- Buy from an approved vendor
- Examples including but not limited to:
- Sequence of Concerns (SOC): sequences known to contribute to the pathogenicity or toxicity, even when not derived from or encoding regulated biological agents
- How to Buy 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
- 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
- Caltech Contact:
- Caltech Resources:
- Restricted List:
- Must contact EH&S and receive approval prior to purchase
- Must contact EH&S and receive approval prior to purchase
- Procedures:
- Caltech Request for Amendment to Permit for Possession & Use of Radioactive Materials
- Purchases made via TechMart are screened or approved by the Radiation Safety Officer (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
- Examples including but not limited to:
- Cobalt 57 source
- Radium 226 source
- Polonium 210 source
- How to Buy Respirators:
- Caltech Supervisors & Departments purchase and maintain appropriate respirators and supplies. Follow Caltech's Respiratory Protection Program & Consult EH&S
- Caltech Supervisors & Departments purchase and maintain appropriate respirators and supplies. Follow Caltech's Respiratory Protection Program & Consult EH&S
- Caltech Contact:
- Caltech Resources:
- Restricted List:
- Procedures:
- Examples including but not limited to:
- Powered Air Purifying Respirator (PAPR)
- Negative and Positive Pressure Respirators
- Self-Contained Breathing Apparatus (SCBA)
- How to Buy Select Agents:
- Currently, there are NO viral or bacterial Select Agents approved for use on the Caltech campus
- Currently, there are NO viral or bacterial Select Agents approved for use on the Caltech campus
- Caltech Contact:
- IBC Administrator, ibc@caltech.edu
- Institute Biosafety Officer, Manali Doshi
- Caltech Resources:
- Restricted List:
- 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
- Select Agents:
- 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
- How to Buy 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
- Caltech Contact:
- IBC Administrator,ibc@caltech.edu
- Institute Biosafety Officer, Manali Doshi
- Caltech Resources:
- Restricted List:
Select Toxins can only be purchased in quantities below the threshold amount - Procedures: Caltech approved vendors
- Examples including but not limited to:
- 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
More Information to Come...
- How to Buy Semi-Conductor/Chips:
- Caltech Contact:
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- Caltech Resources:
- Restricted List:
- Procedures:
- Examples including but not limited to:
Kaspersky
- Caltech Contact:
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- Caltech Resource:
- Restricted List:
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List, including Kaspersky Lab
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List, including Kaspersky Lab
- Procedures:
- 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
- Examples including but not limited to:
- Hardware, Software and Services
- How to Buy:
- 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 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 Contact:
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- Caltech Resource:
- NDAAs, Covered Entities and Government Contractor Prohibitions, Export Compliance See TikTok / ByteDance / Lark Section
- Caltech Memo, 8/15/2023
- Restricted List:
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List
- Examples including but not limited to:
- TikTok
- ByteDance Limited
- Lark Suite
- Caltech Contact:
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- Caltech Export Compliance Office, exportcompliance@caltech.edu
- Caltech Resource:
- Restricted List:
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List
- Cannot purchase from this list of the prohibited companies 889 & Covered Entities List
- Procedures:
- Use of Safety and Security Camera Guidelines
- Unmanned Aircraft System/Drones Guidelines
- Research Camera Guidelines, Pending See Research Compliance Website
- Examples including but not limited to:
- Surveillance Equipment
- Camera
- Video Camera
- Drones
- Mobile, Cell Phones
- Tablets
- Network Routers, switches
- Base Stations
- Optical transmission products