In any veterinary practice, the DEA registrant plays a critical role in the legal acquisition, storage, and use of controlled substances. We’ve all been there, a DEA registrant leaves a facility, whether due to resignation, retirement, or internal restructuring. During this transition the facility must follow specific protocols to remain compliant with federal regulations. This article outlines the essential steps involved in transferring a DEA registrant, including inventory procedures, documentation requirements, and regulatory notifications. 

Staggering Statistics 

Less than 10% of facilities I visit have all of the required documentation readily available from their last registrant transfer. 

Understanding Ownership of Controlled Substances 

Controlled substances are registered to the individual DEA registrant, not to the facility itself. This means that when a registrant departs, the medications legally remain their property until an appropriate transfer is made. Until that transfer is complete, the controlled substances cannot legally be accessed or administered by any remaining staff members. This period of inaccessibility can directly impact patient care and workflow, making early planning critical. Managing pain in our patients without controlled substances is difficult if not impossible at most facilities. 

Three Legal Options for Departing Registrants 

When a DEA registrant leaves a veterinary facility, there are three legal methods for handling the controlled substances in their possession: 

1. Removal from Premises: The departing registrant may choose to take all controlled substances off the premises. This could be to a new place of employment, to a secured storage facility, or to their residence (if permitted). Because the medications are registered to them, they remain legally responsible for them until they are used, transferred, or destroyed. 
2. Destruction via Reverse Distributor: Another option is for the departing registrant to send all controlled substances to a reverse distributor. This is a DEA-registered entity that specializes in the destruction of expired or unwanted controlled substances. In this case, a DEA Form 41 must be completed to document the destruction. This form should be retained as proof of compliance. 
3. Transfer to a New Registrant: If the facility has a new DEA registrant taking over, the controlled substances may be legally transferred to them. This process requires documentation, including a DEA Form 222 for Schedule II substances. For Schedules III-V, a written record of the transaction must be signed and dated by both the outgoing and incoming registrants.

Requirements for the New DEA Registrant 

To assume legal possession and authority over the controlled substances, the incoming registrant must have a valid DEA registration that lists the same physical address as the facility. There are two ways to achieve this: 

• Update Existing DEA Registration: If the new registrant already holds a DEA number, they may submit an address change with the DEA to reflect the facility location.
• Apply for a New or Additional DEA Registration: If they do not have a DEA number or wish to keep multiple locations separate, they must apply for a new registration listing the facility address. 

Inventory Procedures 

1. Closing Inventory (Departing Registrant): Before the transfer of any medications, the outgoing registrant must complete a closing inventory count. This must include all controlled substances on hand, itemized by name, strength, form, and quantity. Schedule II medications must be counted exactly; Schedules III-V may be estimated (unless the container holds over 1,000 units). 
2. Transfer Documentation: All transfers must be documented. For Schedule II medications, a DEA Form 222 is required. For Schedules III-V, a written record including the drug name, dosage, quantity, date of transfer, and names of both registrants must be kept. 
3. Initial Inventory (New Registrant): Once the new registrant takes possession, they must complete an initial inventory count. This establishes their baseline controlled substance record and must match the quantities transferred. 

Controlled Substance Logbooks 

Controlled substance logbooks, whether paper or digital are tied to the individual registrant. Therefore: 

• The old logbooks are to be closed under the name of the departing registrant. These records belong to them but a complete copy must remain on-site for future inspections and documentation purposes. 
• A new set of logbooks should be started under the name of the new registrant, reflecting the current inventory and ongoing use. 

Notifying Vendors and Updating Systems 

All vendors, pharmaceutical distributors, and third-party systems involved in the ordering or tracking of controlled substances must be notified of the registrant change. This includes:

• Cubex and other inventory management systems 
• The facilities HIS system 
• Wholesalers and distributors 
• State and federal compliance portals 
• CSOS 
• PDMP (if applicable in your state) 

Inventory management systems must also be updated to reflect the new DEA registration and to maintain accurate chain-of-custody and ordering capabilities. 

State-Specific Controlled Substance Permits 

In addition to federal DEA registration, many states require a separate controlled substance license or permit. The incoming registrant should check with their state’s regulatory board to determine whether a state-level controlled substance permit is required. This must be obtained prior to or in conjunction with the federal DEA registration to ensure full compliance. 

• Example: In Illinois, a separate state controlled substances license is required through the Illinois Department of Financial and Professional Regulation (IDFPR). 

It is essential that this state permit reflects the same facility address listed on the DEA registration. Delays in obtaining this permit can result in an inability to order, possess, or administer controlled substances legally. 

Completing the Steps 

Transitioning DEA authority in a veterinary facility is a process that requires careful documentation, legal awareness, and compliance with both federal and state regulations. Failure to follow these guidelines may result in regulatory violations, fines, or interruption in patient care. Facilities should establish a clear internal protocol for this process and seek assistance from compliance professionals if needed.