Supplemental Information Print this PDF

Name: Controlled Substances in Laboratory and Animal Research Policy
Responsible Office: Environmental Health & Safety

Applies to: (examples; Faculty,Staff, Students, etc)

Faculty , Staff , Students

Policy Overview:

Issued: 02-16-2018
Next Review Date: 05-16-2019
Frequency of Reviews: Annually

St. Louis College of Pharmacy’s policy for the use of controlled substances in laboratory and animal research provides an overview of responsibilities that must be met when using controlled substances in laboratory and/or animal research.  

This policy applies to all STLCOP faculty, staff, and students, and STLCOP affiliated investigators who use controlled substances in laboratory and/or animal research and receive materials through the College's license or an individual researcher's license. This policy applies to all materials listed on Schedules I-V, as described in 21 CFR § 1300.01 and 19 CSR 30-1. The DEA has a complete list of Controlled Substances​This policy does not apply to the use of Controlled Substances in clinical patient care or clinical human subjects' research.

This policy also applies to investigators who obtain controlled substances through an outside, commercial vendor or government agency, for use in laboratory research not involving animals, or for approved animal research where investigators purchase controlled substances directly from commercial vendors or receive them from government agencies using the College's license or an individual researcher's license.


Definitions:

Term

Definition

Principle Investigator (PI)

 PI is the holder of an independent grant administered by a college and the lead researcher for the grant project, usually in the sciences, such as a laboratory study or a clinical trial

IACUC

Institutional Animal Care and Use Committee (IACUC).  Every institution that uses animals for federally funded laboratory research must have an Institutional Animal Care and Use Committee (IACUC). Each local IACUC reviews research protocols and conducts evaluations of the institution's animal care and use, which includes the results of inspections of facilities that are required by law.

Controlled Substances

Schedule I

Substances in this schedule have no currently accepted medical use in the United States, a lack of accepted safety for use under medical supervision, and a high potential for abuse.

Some examples of substances listed in Schedule I are: heroin, lysergic acid diethylamide (LSD), marijuana (cannabis), peyote, methaqualone, and 3,4-methylenedioxymethamphetamine ("Ecstasy").

Schedule II

Substances in this schedule have a high potential for abuse which may lead to severe psychological or physical dependence.

 

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.

Schedule III

Substances in this schedule have a potential for abuse less than substances in Schedules I or II and abuse may lead to moderate or low physical dependence or high psychological dependence.

 

Examples of Schedule III narcotics include: products containing not more than 90 milligrams of codeine per dosage unit (Tylenol with Codeine®), and buprenorphine (Suboxone®).

Schedule IV

Substances in this schedule have a low potential for abuse relative to substances in Schedule III.

 

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®).

Schedule V

Substances in this schedule have a low potential for abuse relative to substances listed in Schedule IV and consist primarily of preparations containing limited quantities of certain narcotics.

 

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.

Details:

  1. Certain drugs and chemical precursors fall under the jurisdiction of the Missouri Bureau of Narcotics and Dangerous Drugs (BNDD) and the US Department of Justice (DOJ) Drug Enforcement Administration (DEA). These drugs and chemicals are known as Controlled Substances and must be purchased, maintained, used and disposed in accordance with extensive federal and state regulations. It is the policy of St. Louis College of Pharmacy to comply with all federal and state laws and regulations pertaining to the use of Controlled Substances. This policy provides an overview of responsibilities that must be met when using Controlled Substances in laboratory and animal research.
    1. A list of controlled substances can be found here:
      1. https://www.deadiversion.usdoj.gov/schedules/

Procedures:

I.    Acquisition of controlled substances

a.    PIs (and their designees) shall not transport such Controlled Substances to different campuses or locations beyond the campus where they were obtained unless authorized to do so per the Materials of Trade Exemption Policy.
b.    Controlled Substances for use in IACUC-approved research in animals can be obtained by submitting a work order request. Such acquisition occurs under the auspices of the College’s Controlled Substances Business Researcher Registration, and requires the use of a DEA Form.
c.    Purchasing of controlled substances can be requested through STLCOP work order system. Completed forms from EH&S must be returned to EH&S before material is purchased.
d.    Controlled Substances for use in IACUC-approved research in animals may also be obtained by the PI directly from an outside commercial vendor or governmental agency. Such acquisition occurs under the auspices of the PI’s Controlled Substances Researcher Registration, and requires the use of a DEA Form. Refer to DEA and BNDD links below.
e.    A sample DEA Form 222 can be found in the resources section of this policy.

II.    Background Checks

a.    Access to controlled substances requires appropriate approvals and background checks completed through the college’s Human Resources department.
b.    A completed Controlled Substance Access Acknowledgement Form are required to receive, transport, store, distribute, dispose of, and use controlled substances.
c.    The Controlled Substance Access Acknowledgement Form can be found as a resource to the Human Resources Controlled Substances Background Checks policy.

III.    Controlled substance inventories

a.    In accordance with Missouri 19 CSR 30-1.042 (Inventory Requirements), upon first receipt of any controlled substances, the investigator must fill out and have on file an Initial Inventory of the controlled substances and from that point forward, maintain an Annual Inventory of all controlled substances on hand. It is recommended the inventory records be maintained close to the secured storage location for ease of access and review during audits.
b.    Controlled Substances Initial Inventory Form —

i.    This form is to be completed only once, at time of original request and must be kept on file permanently and retrievable in the lab. Information on the Initial Inventory will include: date of initial stocking of controlled substance; investigator name; lab location where controlled substances are stored; name of authorized personnel performing the inventory; whether inventory was recorded at the beginning or end of the business day; drug name; drug strength (mg/ml, mg/tablet, %, etc.), drug dosage form (bottle, tablets) and quantity in stock (number of full bottles, amount in a partial bottle, number tablets, etc.).
ii.    Note that Schedule I and II drugs must be maintained on a separate form.
iii.    Both forms can be found in the Resources section of this policy.

c.    Controlled Substances Annual Inventory — is entered into the EH&S DEA substances spreadsheet and must be performed in a single workday and the time of the inventory must be recorded (i.e. the amounts must be accurate as of the beginning of the workday or the end of the workday). Information on the Annual Inventory will include: date of annual inventory of controlled substance; investigator name; lab location where controlled substances are stored; name of authorized personnel performing the inventory; whether inventory was recorded at the beginning or end of the business day; the DEA schedule of the drug; drug name; drug strength (mg/ml, mg/tablet, % etc.), drug dosage form (bottle, tablets) and quantity in stock (number of full bottles, amount in a partial bottle, number tablets, etc.). Note that Schedule II drugs must be maintained separately in the spreadsheet. The annual inventory is retrievable for two years after the last entry on the log.

IV.    Drug storage, records of use, and security

a.    Investigators are to maintain drugs in a secure location as described in the Storage & Security Guidelines. Controlled Substances shall be stored in a locked, substantially constructed cabinet (in accordance with 21 CFR §1301.75 (http://www.deadiversion.usdoj.gov/21cfr/cfr/1301/1301_75.htm) except when they are in use. All physical security measures should be commensurate with the quantity and schedule of the Missouri Controlled Substances Regulations (in accordance with 19 CSR 30-1.031— Physical Security Requirements). Controlled Substances must be returned to storage immediately after use. Confirmation of appropriate security measures will be conducted during lab inspections.
b.    Upon initial receipt, controlled substances will be stored in a secured and locked safe only to be maintained by STLCOP EH&S. Upon request of controlled substances, the STLCOP inventory transfer form will be completed, upon transfer from the storage safe to the laboratory controlled substance area. Inventory of both the lab and the storage safe will be adjusted to account for the transfer.  You can find the inventory transfer form at the end of this policy. Only an authorized recipient may sign for the transferred material. The transfer inventory form will be retained by EH&S for two years.
c.    Storage and Security Guidelines
    i.    Investigators using controlled substances in research must take appropriate steps to safely store and secure the substances to prevent unauthorized access, use or diversion. This document provides the key elements of an appropriately managed research facility in which controlled substances are used and stored.
    ii.    It is the responsibility of the Principal Investigator (PI) to assure that appropriate security is in place, that the research team is appropriately educated on the use of controlled substances and that any diversion of controlled substances is immediately reported to St. Louis College of Pharmacy Public Safety (314.446.7233)
    iii.    Recommended Narcotic Storage Cabinets

 Slim Line Narcotic Cabinet – Part #3706-01
  • Double locking Cabinet with 2 full shelves
  • 20 Gauge Steel Cabinet with an 18 Gauge Steel door with full length piano hinge
  • 2 Cam locks keyed differently (2 separate keys) Locks can be keyed alike. 2 keys come with each lock
  • All shelves are fixed
  • Wall mountable cabinets. Hardware included
  • Outside Dimensions are: 12- 1/8” H x 8” W x 2-5/8”D
  • Total weight is 4.3 pounds 
Slim Line Narcotic Cabinet – Part #3707-01
  • Same features as above but larger
  • 2 full shelves and 2 half shelves
  • Outside Dimensions are: 17-1/8”H x 14”W x 3-1/8” D
  • Total weight is 11.1 pounds

Narcotic Cabinet, Double Door, Double Lock – Part# 3886

  • Has Double walled outer door with a cam lock and a panel inner door with separate cam lock
  • Full length doors with continuous hinges
  • 2 Adjustable shelves
  • 20 Gauge steel
  • 18”W x 30”H x 8”D

iv.    Identify the employees who will be delegated access to the controlled substances and assure that the appropriate DEA NADDIS/NCIC background check has been completed by Human Resources and that the NADDIS/NCIC check verifies the employee is eligible to have access to controlled substances. Restrict access to only those employees who need access to the controlled substances to complete their responsibilities.

v.    Controlled substances must be stored in a secure location with appropriate access only through a key or combination lock. The storage location must have at least a two-key security system in place. The exact level of security depends on the amount and type of controlled substances stored, as well as general building security, but examples of common scenarios are below:

1.    Locked, non-glass cabinet or drawer integral to laboratory casework within a locked laboratory. The key must only be accessible to those who have completed and passed the background check described in #1 above.
2.    Key padded entrance to the building and a locked cabinet securely bolted to the wall with the key accessible only to those individuals meeting the requirements described in Step 1.
3.    Locked laboratory door and safe bolted to the floor or wall with a limited access key or confidential combination.

vi.    Access the list of Recommended Narcotic Storage Cabinets for additional information on storage options.

vii.    Controlled substances must not be stored in any container, locked or not, that can be easily removed from the laboratory (e.g. fireproof document box, tackle box, etc.)

viii.    Annual inventories of all controlled substances must be conducted.

d.    As controlled substances are dispensed in the course of performing animal research, the date, species, animal ID (USDA covered species only), amounts used, drug balance remaining in bottle, and purpose of use are to be recorded on the Controlled Substance Aliquot Log and initialed by the authorized lab personnel. For non-covered species, the animal ID is the number of animals that were administered controlled substances on that day.

e.    If investigators combine stock bottles of controlled substances (e.g. ketamine) with other non-controlled drugs (e.g. xylazine or medetomidine) to make up "rodent cocktail" solutions, an appropriate entry must be recorded on the original stock bottle's Controlled Substance Aliquot Log and a new, separate Controlled Substance Aliquot Log must be generated and maintained by the investigator to record activity associated with the compounded product. By law, the College cannot issue compounded drugs.

f.    When the bottle is empty, it should be disposed properly.

g.    If any amount of controlled substance drawn from the bottle is not used in the animal, this excess amount is considered “contaminated by animal contact” and should be disposed (disposal procedures below) by the PI and the wastage noted in the Controlled Substance Aliquot Log.

h.    In USDA-covered animal species with individual medical records, amounts of controlled substances administered must also be recorded in the medical record.

V.    Disposal

a.    Expired drugs— By law, controlled substances administered to animals may only be used before the expiration date, normally found printed on each bottle.
b.    Under certain limited circumstances, the PI, or authorized person may destroy the Controlled Substances on-site if the destruction is witnessed by another authorized person and the destruction is documented on the use record. These circumstances, as set forth in 19 CSR 30-1.078, are:

i.    Controlled Substances which are contaminated by patient (i.e. animal) body fluids, or
ii.    An excess volume of a Controlled Substance which must be discarded from a dosage unit just prior to use, or
iii.    The remaining contents of opened glass ampoules which are not patient (i.e. animal) contaminated.

c.    When destroying materials under these circumstances, the material must be destroyed beyond reclamation and the date, amount destroyed, and reason for destruction must be recorded. The person performing the destruction and the witness must both sign the destruction record.
d.    Any fees associated with disposal of controlled substances (reverse distributors, etc.) will be charged to the corresponding department.
e.    EH&S can provide a list of registered reverse distributors and assist with coordinating disposal of these materials. Individuals who need to destroy controlled substances are responsible for submitting the Form 41 to DEA to request destruction in the EH&S hazardous waste facility. Once approval is received, EH&S will collect substances, arrange transportation, and take care of the final paperwork. Reverse distributor disposal costs are the responsibility of the PI and may be charged to grants under which the controlled substance work is being performed.

VI.    Sanctions

a.    Any lab found to be deficient in any aspect will receive formal communications from either of the WUSTL Institutional Animal Care and Use Committee and/or STLCOP Environmental Health and Safety office regarding the deficiency and the method for correction. Any lab with deficiencies will be re-inspected to determine compliance. Violations of the policy, procedures, or regulations that are deemed serious or continuing may subject the covered individual to corrective actions or other sanctions as deemed appropriate in consultation with the relevant department chair or dean as appropriate.

VII.    Recordkeeping requirements

a.    All Investigators are responsible for maintaining the following records documenting acquisition, use, and disposal of controlled substances and adhere to the corresponding record retention timeframes.

Form Name

Retention Time

​Controlled Substances Request Form:
DEA Schedule II
DEA Schedule III-V

​​
2 Years
2 Years

​Controlled Substances Aliquot Log

​2 Years

​Controlled Substances Initial Inventory Form:
DEA Schedule II
DEA Schedule III-V


Permanently
Permanently

​Controlled Substances Annual Inventory Form:
DEA Schedule II
DEA Schedule III-V


2 Years
2 Years

​Copy of invoice(s)(schedule II)

​Permanently at central location

​Disposal Form​, DEA Form 41 - Complete with EH&S consultation


2 Years

DEA Inventory Transfer Form


2 Years

Responsibilities:

Position/Office/Department

Responsibility

Principal Investigator

  1. Ensuring all employees proposed to have access to Controlled Substances successfully pass a DEA NADDIS and National Crime Information Center (NCIC) background check before having access to Controlled Substances;
  2. Providing appropriate security and storage of all Controlled Substances;
  3. Restricting access to Controlled Substances to only lab staff needing such access and maintaining an accurate list of approved controlled substances users. This list is to be kept with the Controlled Substances paperwork and must be accessible to inspectors at all times;
  4. Meeting all inventory requirements (to be maintained and accessible to inspectors at all times in accordance with the 
  5. Properly disposing or returning any unwanted or expired Controlled Substances; and
  6. Notifying appropriate personnel (for use in animal research) or EH&S (for all other uses) of the location of the Controlled Substances use and storage location changes.

PIs who obtain Controlled Substances directly from an outside commercial vendor or governmental agency using his or her individual registration have the following additional responsibilities:

  1. Obtaining and maintaining as current, Controlled Substances Researcher Registrations from both the BNDD and DEA prior to obtaining any Controlled Substances; and
  2. Providing copies of current BNDD and DEA Controlled Substances Researcher Registrations to EH&S prior to obtaining any Controlled Substances.

 

Laboratory Personnel

Approved faculty, staff, or students conducting laboratory or animal research with Controlled Substances are responsible for:

  1. Submitting and successfully passing of DEA NADDIS and National Crime Information Center (NCIC) background checks before having access to Controlled Substances;
  2. Ensuring appropriate security and storage of all Controlled Substances;
  3. Helping to maintain an accurate list of approved controlled substances users for each protocol. This list is to be kept with the Controlled Substances paperwork and must be accessible to inspectors at all times;
  4. Limiting access to Controlled Substances to only approved users;
  5. Meeting all inventory requirements (to be maintained and accessible to inspectors at all times in accordance with the Forms matrix; and
  6. Properly disposing or returning any unwanted or expired Controlled Substances.

 

Environmental Health and Safety

EH&S is responsible for performing annual inspections of all PI use locations (regardless of whether PIs obtain Controlled Substances from the college, or from outside vendors under their own registration) to ensure that all security and record keeping requirements are met as appropriate. EH&S will assist PIs in locating registered reverse distributors for disposal of Controlled Substances.

Obtaining DEA Controlled Substances once submitted through Work order request

Human Resources

HR is responsible for performing the DEA NADDIS and NCIC background checks on all employees who will need access to Controlled Substances and ensuring that these checks meet DEA and BNDD requirements.

Policy Contacts:

Name

Contact Information

Eric Knoll, VP of Operations

314.446.8375

Daniel Bauer, Director of Human Resources

314.446.8308

Carlin Harp, Emergency Management Coordinator

314.446.8133