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3220 Purchase of Restricted Items
Chief Procurement Officer
September 15, 1999
August 11, 2020
This policy defines restricted items and the guidelines that must be followed for such purchases.
In the course of their work, University employees, staff, and students routinely use a variety of potentially hazardous materials, safety-critical equipment, radioactive materials, vertebrate animals, and controlled substances in research. The University permits these uses, but only with oversight to ensure safety and compliance with relevant restrictions and regulatory requirements. In addition, federal law and University policy place limits on the University’s use of certain types of telecommunications technologies and services. Therefore, the purchase of these items is subject to special rules, in addition to the rules governing University procurement as defined in Policy 3201 General Purchasing. University personnel are responsible for following the appropriate procedures defined by this policy.
Due to their critical and/or regulated nature, restricted items may only be ordered via Yale’s e-procurement solution or the Procurement Department, and only if all necessary approvals have been obtained. University purchasing cards, personal credit cards, checks, cash or standing orders may not be used to order any of these items.
Reason for the Policy
This policy is intended to ensure that individuals and departments needing restricted items at the University have the capability to acquire them in compliance with applicable University, state, and federal requirements.
Items subject to special safety or other regulatory requirements, whose purchase and handling are subject to special procedures are outlined below. For the purpose of this policy, restricted items include certain highly hazardous materials, safety-critical equipment, radioactive materials, vertebrate animals, controlled substances (i.e., scheduled drugs and certain drug precursors), regulated technologies and services, and non-taxable ethyl alcohol and select agents, as defined below.
Any live, vertebrate animal used or intended for use in research, research training, experimentation, biological testing or for related purposes. Examples include, but are not limited to, traditional laboratory animals, farm animals, wildlife, birds and aquatic species.
Controlled Substances in Research
Controlled substances covered by this policy are substances used in research that are listed by the U.S. Department of Justice, Drug Enforcement Administration (DEA) and/or the Connecticut Department of Consumer Protection, Drug Control Division (i.e., scheduled drugs and certain drug precursors).
Covered Telecommunications Equipment or Services
Covered Telecommunications Equipment or Services include telecommunications or video surveillance equipment produced or provided by Huawei Technologies Company, ZTE Corporation, Hytera Communications Corporation, Hangzhou Hikivision Digital Technology Company, or Dahua Technology Company, or any subsidiary or affiliate of such entities.
Materials that present special safety risks during transport, storage, use, or disposal. These include, but are not limited to, certain highly toxic, reactive, or otherwise hazardous chemicals, gases, and biological agents.
Non-Taxable Ethyl Alcohol
Non-taxable high-proof ethyl alcohol is regulated by the federal Bureau of Alcohol, Tobacco, and Firearms.
By-product, source, special nuclear, accelerator produced, generally licensed, or naturally occurring material whose purchase and use is licensed by the US Nuclear Regulatory Commission (NRC) and/or the CT Department of Energy and Environmental Protection (DEEP). These radionuclides may emit alpha, beta, gamma, or Xrays, neutrons or other emissions. Examples of radioisotopes include, but are not limited to, P-32, P-33, S-35, C-14, H-3, and I-125, including sources sold by suppliers as “exempt”.
Equipment that can present safety hazards to users (e.g., X-ray and laser equipment) as well as equipment used to control exposures to recognized hazards, and whose improper use could subject users to harm (e.g., fume hood).
Yale’s E-Procurement Solution
The Workday Create Requisition function replaces SciQuest as Yale’s e-procurement solution as of July 1, 2017. SciQuest catalogs and contract pricing are available via the Connect to Supplier Website option.
Yale’s Expense Management Solution
Yale’s expense management solution includes the processing, creation, and submission of expense reports for the following expenditures: travel and business related expenses and miscellaneous small dollar purchases incurred on a University PCard or with personal funds (cash out-of-pocket (OOP)). The expense management solution supports the requesting and clearing of cash advances for travel and expenses as well as study subject advances.
University employees, staff, and students routinely use a variety of potentially hazardous materials in their work. Safe management of these materials is promoted through training and education programs and periodic safety inspections. A small subset of these materials requires greater scrutiny for regulatory and safety purposes. To ensure that oversight is consistently provided without unreasonably interfering with operations and research, the University requires all individuals and departments with a legitimate need to purchase restricted items to do so in accordance with these procurement procedures.
If a purchase request is denied, the decision may be appealed through the University Safety Committee, Radiation Safety Committee, Biological Safety Committee, Chemical and Laboratory Safety Committee, the Yale Institutional Animal Care and Use Committee (IACUC), or the Office of General Counsel (OGC), as appropriate.
Items considered hazardous materials under this section can pose serious risks of injury or exposure, or require authorization for use prior to acquisition, and therefore may only be ordered and used by groups whose facility, safety equipment, and training so prepare them. Purchases of these items must be made through the Yale e-procurement solution, to facilitate order tracking and approval. Examples of hazardous materials requiring pre-order approval include: highly reactive/pyrophoric compounds, toxic compressed gases, highly toxic chemicals, DHS-regulated chemicals, select agents as defined by CDC/USDA, other human pathogens, defective pathogen vectors and vector kits used for research experiments involving recombinant and synthetic nucleic acid molecules, and other high hazard compounds. As these lists periodically change, please consult the following links for the most current information:
Purchases of items considered safety-critical equipment under this section must be made via Yale’s e-procurement solution or with Environmental Health and Safety (EHS) approval. Many of these items require ongoing maintenance, testing, specialized training, and certification. It is the responsibility of the owner department to ensure that these requirements are fulfilled. Safety critical equipment requiring pre-order approval are listed below:
Safety Critical Equipment Requiring Pre-Order Review/Approval
Automated external defribrillation (AED) devices
Automated film processors
Biological safety cabinets
Clean benches (horizontal or vertical laminar flow)
Compressed Gas lecture bottles
Compressed Gas manifold delivery systems
Cranes and hoists
Drones a.k.a Unmanned Air Vehicles/Systems
(UAV/UAS), copters, planes, radio controlled aircrafts
Emergency eye washes and safety showers
Ethylene oxide sterilizers
Forklifts and related motorized equipment
Gamma counters (or gamma detectors)
High speed cell sorters
High strength magnetic field equipment
Lasers - Class 3B/4
Lead bricks, aprons or other lead shielding
Liquid scintillation counters (LSC)
Respirators and replacement cartridges and filters
Tools greater than ½ hp (horsepower):
Tritium 3H exit signs
X-ray generating equipment
The University’s US NRC licenses and CT DEEP registrations permit the procurement, use, storage and disposal of radioactive materials (RAM) and radioactive sources for basic science and biomedical research, testing, calibration and educational purposes. Purchase and use are subject to oversight by the Yale University Radiation Safety Committee (RSC). RSC policies require that only authorized and trained persons may acquire radioactive materials, radioactive sources and x-ray generating equipment. All receipts of such materials or items must be coordinated through the Radiation Safety Section (RSS) of Environmental Health and Safety. Further, some radioactive materials and sources may be subject to incoming survey and security requirements and thus are only delivered to designated receiving locations. After an incoming package survey, delivery of the RAM to authorized laboratories is arranged through the RSS.
Purchases of radioactive materials must be made via Yale’s e-procurement solution.
The University permits the use of vertebrate animals in animal-related research, testing or training, but the purchase and use of animals is subject to approval and oversight under rules defined by the Yale Institutional Animal Care and Use Committee (IACUC) and the director of the Yale Animal Resources Center (YARC). These rules require that the YARC Procurement Office process any order for vertebrate animals to be received on or off the Yale campus or used in University activities. All requisitions require a valid protocol number from IACUC. Requests for the purchase of animals must be placed through the eSirius homepage. If you do not have access to eSirius, access can be requested via eSirius Access.
Due to their potential for misuse and abuse, items listed by the US Department of Justice, Drug Enforcement Administration (DEA) and/or the Connecticut Department of Consumer Protection, Drug Control Division (DCD), as Schedule I to V drugs are subject to special procurement, storage, use, and disposal requirements. These include federal and state licensing (prior to procurement), maintaining detailed storage and use records, and special disposal procedures.
Since the University cannot, by law, maintain a “blanket” registration for controlled substances, it is the responsibility of individual researchers and other staff using these materials to obtain appropriate registrations and licenses. EHS facilitates the processing of state/federal controlled substance licensing/registrations for individual Yale researchers. Requests for new or renewal registrations and licenses must be submitted to EHS for processing.
Purchases of controlled substances for research use must be made via Yale’s e-procurement solution.
The University must maintain records, and report all purchases of non-taxable, high-proof ethyl alcohol. Contract orders for non-taxable ethyl alcohol are managed by the Procurement Department. The Department of Transport, Receiving, and Storage (TR&S) maintains a supply of this alcohol for research use and keeps records of use and reorder. To request alcohol from this stock, University users and departmental stockrooms must complete a Stock Request Form.
Federal law places limits on the use of certain telecommunications equipment or services produced or provided by Huawei Technologies Company, ZTE Corporation, Hytera Communications Corporation, Hangzhou Hikvision Digital Technology Company, Dahua Technology Company, and any subsidiary or affiliate of these entities. Such Covered Telecommunications Equipment or Services may not be purchased without advance approval from Yale’s Director for Export Controls. The use of Covered Telecommunications Equipment or Services for University business is generally prohibited under Policy 1607 Information Technology Appropriate Use Policy.
The policies governing the purchase of restricted materials are designed to meet regulatory compliance requirements and ensure the health and safety of the University community. Requests for exceptions, variances, or modifications to these policies should be directed, in writing, to the Procurement Department and Yale Environmental Health and Safety, the Yale Institutional Animal Care and Use Committee, or Yale’s Director for Export Controls, as appropriate. Any appeals to the decisions should be brought to the attention of the appropriate University committee or the Office of General Counsel (as listed in Policy Section above). Questions regarding interpretation of this policy should be forwarded to the Chief Procurement Officer.
Roles and Responsibilities
Director for Export Controls
Maintains list of entities whose products and services are subject to regulation as Covered Telecommunications Technologies or Services. Reviews requests to purchase Covered Telecommunications Equipment or Services.
Environmental Health and Safety
Establishes procurement and handling guidelines regarding hazardous materials, safety-critical equipment, radioactive materials, and use of controlled substances in research laboratories at the University.
Purchases restricted items on requisitions from authorized University personnel or departments in accordance with the guidelines and restrictions discussed in this policy. Establishes contract orders with suppliers for the purchase of non-taxable ethyl alcohol.
Prepares and submits required documents and obtains approvals necessary for compliance.
Transport, Receiving and Storage (TR&S)
Maintains stocks of non-taxable ethyl alcohol and records of their use at the University.
Yale Animal Resources Center
Oversees the purchase, handling, husbandry, and health care of vertebrate animals used in research, testing, or training at the University.