Frequently Asked Questions
A Researcher’s Guide to the Controlled Substance Program
Frequently Asked Questions (FAQs)
What are “Controlled Substances”?
What are schedule numbers and DEA codes?
What does the new UCSC Controlled Substance Program include?
What is the Controlled Substance Use Authorization (CSUA) form?
What is the personnel Authorization form?
How do I order Controlled Substances?
Where / how do I receive controlled substances?
How do I store controlled substances?
How do I store Controlled Substances during field work?
How do I store Listed/Precursor chemicals?
How long do I keep copies of my controlled substance use logs?
What DEA registrations does UCSC maintain for research?
Can I transfer controlled substances to another UCSC Authorized Principal Investigator?
Can I transfer controlled substances to another individual at another University or
What do I do with empty controlled substance containers?
How do I dispose of expired or unused Controlled Substances?
What is the campus-wide biennial inventory?
How do I report a loss or theft?
What are the consequences of engaging in illicit activities?
Who do I contact with questions?What are “Controlled Substances”?
What are “Controlled Substances”?
Narcotic and non-narcotic drugs under the jurisdiction of the federal Controlled Substances Act
and the California Uniform Controlled Substances Act, including, but not limited to, those
substances listed in 21 CFR §1308.11-1308.15 are known as “scheduled” controlled substances
or “scheduled”drugs.(http://www.deadiversion.usdoj.gov/21cfr/cfr/2108cfrt.htm ).
Note that many prescription drugs, such as xylazine or atropine, are not controlled substances.
What are schedule numbers and DEA codes?
The federal government assigns each controlled substance a schedule number (I through V)
according to its medicinal value, harmfulness, and potential for abuse or addiction. The DEA
code is a 4-digit number assigned to each controlled substance. Find schedule numbers and DEA
codes at the DEA Web site
A higher schedule number indicates the substance has more medicinal value and less potential
for abuse or addiction. The letter "N" can also accompany the schedule number, signifying the
substance is non-narcotic. If the DEA Web site has "N" in the NARC column, the item is nonnarcotic
and is denoted by the Roman numeral and an “N” (e.g., III N). If the DEA Web site has
a "Y" in the NARC column, the item is narcotic and is denoted so by the absence of the "N"
(e.g., III).
The most common controlled substances used in research at UCSC, their schedule numbers, and
their DEA codes are:
Buprenorphine III 9064
Diazepam IV N 2765
Ketamine III N 7285
Pentobarbital (e.g., Nembutal) II N 2270
Pentobarbital & non-controlled active ingredients (e.g., B-Euthanasia) III N 2271
What is the Controlled Substance Use Authorization (CSUA) form?
The Controlled Substance Use Authorization (CSUA) form documents the controlled substances
used by the PI, the reason for this use, the storage location, and the project personnel who may
contact the controlled substances (personnel may be added later). A CSUA form must be
submitted to the Program Administrator (EH&S) and updated as appropriate each year. EH&S
will issue a CUSA upon demonstration of a valid use (approved animal use protocol by the
IACUC) and approval of higher management (Department Chair).
When should I submit the Controlled Substance Use Authorization (CSUA) form?
You may submit the form concurrent with application to IACUC. Notify EH&S when the
protocol is approved. You may submit personnel authorization forms while IACUC approval is
pending. You should resubmit when adding any additional substances.
Submit a CSUA form update as appropriate if any facts or circumstances materially change (new
PI, additional locations, and so forth).
What is the personnel Authorization form?
The Authorization form informs the Program Administrator (EH&S) that a Responsible
Individual (Principal Investigator) has identified other researchers for inclusion as authorized
controlled substance users. The Authorization form also documents the individual’s
acknowledgement of responsibility to notify the Controlled Substance Program Administrator
(EH&S) of any controlled substance loss or diversion. Since diverting controlled substances from
research purposes is one way controlled substances are acquired for illicit use, the Authorization
form helps to identify people with a criminal history of controlled substance diversion or prior
registration violations.
How do I order Controlled Substances?
The Principal Investigator must determine the need for and sign all requisitions for Controlled
Substances, regardless of dollar value. Purchase requests must be submitted through the CruzBuy
system, using the DEA Controlled Substance form or the Hazardous Materials form, checking the
“Controlled substance” box. The CruzBuy system requires EH&S notification on all controlled
substance orders. No orders may be placed by departmental personnel directly with vendors and/or
using a personal or UCSC credit card.
How do I obtain Controlled Substances through other channels for my research?
The Principal Investigator must contact EH&S when CS will be received from another institution
or outside of CruzBuy (no cost) options.
Where / how do I receive controlled substances?
Authorized personnel may pick up controlled substances at the Student Health Services Pharmacy.
You must have a Controlled Substance Authorization form on file with EH&S, with either the
“Research Use and Pharmacy Pick-Up” or the “Pharmacy Pick-Up Only” box checked. Photo ID
will be required by the Pharmacy.
How do I store controlled substances?
Controlled substance storage and use locations must be approved by EH&S. Controlled substances
must be stored securely in a manner adequate for safeguarding, and should be separated from other
drugs, chemicals or items. This practice will help to prevent loss by limiting access to only those
who are assigned to work with controlled substances. Access should be be limited to as few
researchers as possible. When in use, controlled substances should never be left unattended.
How do I store Controlled Substances during field work?
Controlled substances must be stored in a locked box either under direct control of an Authorized
person or in a locked building or vehicle when not in use during field work.
How do I store Listed/Precursor chemicals?
Listed/Precursor chemicals must be stored according to hazard class, following the UCSC
hazardous material storage requirements. No specific security is required.
How long do I keep copies of my controlled substance use logs?
At least 2 years from the final disposition of the controlled substance. The logs must be readily
available for periodic review by EH&S and/or the DEA.
UCSC maintains a research registration for each the main campus and Long Marine Labs.
An additional registration is maintained for export.
Can I transfer controlled substances to another UCSC Authorized Principal Investigator?
Intra-campus transfer of a controlled substance will be approved by EH&S if the following
criteria are met:
The controlled substance must have been acquired under the UCSC DEA registration.
The PI receiving the substance(s) must have authorization for this controlled substance.
The transfer is approved by EH&S.
Both parties maintain documentation of any approved transfer.
EH&S receives a copy of the transfer log.
Can I transfer controlled substances between UCSC registrations?
In some circumstances controlled substance transfers are permitted by DEA. Contact
EH&S for specific details.
Can I transfer controlled substances to another individual at another University or
institution?
Not generally. Under very limited circumstances can controlled substances procured under
UCSC’s DEA registration be transferred to a non-UCSC individual. Contact EH&S for specific
details.
What do I do with empty controlled substance containers?
Authorized personnel may dispose of empty controlled substance containers by defacing the label
and discarding in the trash.
How do I dispose of expired or unused Controlled Substances?
These are disposed through the Cowell Student Health Pharmacy utilizing a transfer form.
Contact EH&S at ehs@ucsc.edu or 459-2553 for assistance.
What is the campus-wide biennial inventory?
Every 2 years, each Authorized UCSC PI and/or research personnel must inventory their
controlled substances during a one-day institutional inventory at either the opening or close of
business (21 CFR §1304.11(b)). The Controlled Substance Program Administrator (EH&S) will
select the exact date and time for the biennial inventory.
How do I report a loss or theft?
Authorized personnel are expected to report missing controlled substances to their supervisor, the
Controlled Substance Program Administrator (EH&S), and the UCSC Police Department as soon
as the loss is discovered. The Program Administrator will investigate inventory discrepancies or
loss of Controlled Substances. UCSC Police will investigate the diversion or theft of Controlled
Substances; file a report by contacting the police at (831) 459-2231.
If any imminent safety threat exists, contact UCSC Police or 911.
Diversion, Loss, or Theft Reporting
Any incident of suspected theft or significant loss of controlled substances, must immediately be
reported to:
Marijuana Research
Please see our page on Marijuana Research
1. Environmental Health & Safety (EH&S)
831- 459 -2553
2. UCSC Police Department (UCSC PD)
831- 459-2231.
In response, EH&S will report to the Drug Enforcement Administration (DEA) within 24 hours (21
CFR §1301.91) using DEA Form 106. UCSC Police will create a police report to document the theft
or loss. Reports will be kept confidential to the extent permitted by law and other University policies.
What are the consequences of engaging in illicit activities?
It is the position of the DEA that employees who possess, sell, use or divert controlled substances
will subject themselves not only to State or Federal prosecution for any illicit activity, but shall
also immediately become subject of independent action regarding their continued employment.
UCSC will assess the violation and determine whether to suspend, transfer, terminate or take other
action against the employee.
Who do I contact with questions?
Direct any questions regarding this program to ehs@ucsc.edu or EH&S at 9-2553.
UCSC Controlled Substance Program Staff
Lisa Wisser (lwisser@ucsc.edu) CS Administrator 831-459-5772
Terra Haddad (thaddad@ucsc.edu) 831-459-5114
