The University of Newcastle Animal Care and Ethics Committee

The University of Newcastle Animal Care and Ethics Committee

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The University of Newcastle Animal Care and Ethics Committee

NEW APPLICATION

for approval to use animals in WILDLIFE RESEARCH (Survey or Fieldwork)

GUIDELINES

Updated: October 2015

Introduction

Please note: Throughout this document, “investigator” also means “teacher”; and “project” also means “class”.

The use of animals for research or teaching purposes must meet the requirements of the NSW Animal Research Act, NSW Animal Research Regulation, and the “Australian code for the care and use of animals for scientific purposes” (enacted under the Act).

The legislation stipulates that, before any vertebrate animal can be used for research or teaching purposes, investigators must have written approval from an Animal Care and Ethics Committee (ACEC), and an Animal Research Authority issued by the responsible Accredited Research Establishment. This application form is designed in accordance with the requirements of the legislation and a subset of the information requested is necessary for government reporting purposes.

It is the responsibility of the investigator to ensure that all facets of animal care and use meet the requirements of the legislation, and in particular, the Australian code for the care and use of animals for scientific purposes. This includes a responsibility to protect and promote the welfare of animals used.

The Australian Code embodies the principles of:

  • Reduction of animal use
  • Replacement of animal use
  • Refinement of animal use.

It is important to consider these principles when designing and carrying out projects. Quality animal care and use also promotes excellence in research outcomes.

All persons involved with the use of animals must be familiar with:

  1. NSW Animal Research Act
  2. NSW Animal Research Regulation
  3. Australian code for the care and use of animals for scientific purposes (Australian Code)
  4. The policies and guidelines of the ACEC

These documents may be accessed from the animal ethics website:

An understanding of the relevant legislation is the responsibility of the investigators.

General guidelines

This application form is based upon that used by the NSW Director General’s Animal Care and Ethics Committee for wildlife research.

  1. Researchers involved with wildlife research should read in particular Section 5 (Wildlife Studies) of the Australian Code, and the policies and guidelines developed by NSW Department of Primary Industries available at
  1. Use PLAIN ENGLISH in your application.

Remember that the ACEC is composed of people who are not experts in your field. The use of specialist language is not helpful to the committee and may delay processing of an application while explanations are sought. Hints:

  • Use language suitable for a media release.
  • Use everyday language that can be understood by an interested, intelligent person without a scientific background. Assume those assessing your application have either no medical scientific background or no knowledge of your area of research.
  • Avoid using scientific jargon or unexplained abbreviations. The need for plain English is especially important for your description of the aims of your project.
  • Where the use of scientific terminology is unavoidable, you should consider providing an explanation of these terms or a glossary. This glossary is to be used for scientific terminology where lay terms are not available but not as a substitute for lay language.
  • Do not include extracts from a grant application as most are not written in the manner required by the legislation.
  1. Provide a clear picture. In assessing applications it is often difficult for the AEC to obtain a clear picture of what happens to individual animals from the beginning to the end of the project. The AEC must assess the impact on animals of all procedures and of the project as a whole. The application should therefore focus on:
  2. what is happening to animals and
  3. what is being done to ensure their well-being.
  4. It is important that this information is presented in a way that shows clearly what is happening to individual animals from the beginning to the completion of a project.
  1. Justify, and address the 3 Rs. Your application should provide sufficient information to satisfy the ACEC that the proposed use of animals is justified and complies with the principles of:
  2. Replacement - have all possible alternatives to the proposed animal use been considered and the reasons for their non-use given.
  3. Refinement - have the expected impacts of all aspects of the proposal on the animals been clearly outlined, and methods which will be used to avoid and alleviate these impacts been discussed.
  4. Reduction - has it been explained why the proposed numbers are optimal to achieve the desired outcomes.
  1. It is highly recommended that you ask a colleague and a person with a non-scientific background to read your application before it is submitted and please remember that the application will need to be peer reviewed prior to submission unless the project is funded from a competitive grant.
  1. The application must be self-contained and not refer to other animal ethics or grant applications for detail.
  1. Attachments for this application may be downloaded from the animal ethics website at (under “Download forms and guidelines”).
  1. The ACEC corresponds directly with the Chief Investigator only. The Chief Investigator is responsible for ensuring that all persons involved with the use of animals on the project receive or have access to a copy of the application, and any subsequent correspondence from the ACEC regarding the application.
  1. Approval covers the precise details contained within this application. Any subsequent changes, including changes to personnel, must receive prior approval from the ACEC.

Notes on using the form

  1. Ensure that you are using the current version of the application form by downloading a copy from the animal ethics website each time.
  2. Use the hidden text function in this form to access guidelines for many questions. To show the text with the hidden text effect, click“Show/Hide ¶” on the Standard toolbar. When hidden text is shown, it will be red in colour, and is marked with a dotted underline. This text will not be seen on the printed version.
  3. All questions must be answered, even if your response is "Not Applicable".
  4. Answers to questions must be typed.
  5. Insert your responses in the boxes provided. The box will expand to accommodate the length of your response. The size of the box may be increased by adding paragraph marks. Boxes or tables may be copied by highlighting the box and using the "Edit, copy" and then "Edit, paste" commands. Do not delete sections or amend the formatting of this form unless instructed to do so.
  6. Attachments for the application may be downloaded from

ACEC-I-Wildlife-10/2016

ACEC USE ONLY
ANIMAL ETHICS NUMBER:
Interim / Full / Approved protocol includes:
Date Approved: / Comments to ACEC meeting
Additional information
Approval dates: / ….....…...….. to ..….…...... …. / ..….….....…... to ….....…...… / Conditions of Approval
Authorised: / Comments from ACEC

The University of Newcastle Animal Care and Ethics Committee

NEW APPLICATIONfor approval to use animals in

WILDLIFE RESEARCH (Survey or Fieldwork)

To access guidelines for questions on this form, use the hidden text function: Click“Show/Hide ¶” on the Standard toolbar. When hidden text is shown, it will be red in colour, and is marked with a dotted underline.

Section 1: Administration

1.1Project TitleThe title of the project should be brief and descriptive. Where possible, the title should be the same as that on the funding application linked to the project.

1.2Chief InvestigatorThe Chief Investigator (CI):

  • Is the person who has personal and ultimate responsibility for the welfare of all the animals being used.
  • Should be the person who initiated the work or obtained the funding.
  • Must be a member of staff of an Accredited Research Establishment for which the University of Newcastle ACEC acts as its nominated ACEC (ie. the University of Newcastle, Hunter New England Area Health Service, Avondale College, Hunter Wetlands Centre). If the Chief Investigator is not associated with one of these institutions, acceptance of the application will be determined on a case-by-case by the ACEC and the University of Newcastle.
  • Cannot be an honours, post-graduate student or research higher degree candidate. In these cases, the CI must be the student's supervisor (indicate "Supervisor" after the Chief Investigator's name).

Name:Title/first name/family name
Relationship to institution listed in Q 1.3:
(E.g. Employee, Conjoint, etc)
Organisational unit:

1.3Responsible Institution. Indicate the institution on whose behalf this research is being conducted.

The responsible institution is the Accredited Research Establishment on whose behalf the research outlined in the application is being conducted. In most cases, it will be the employing institution of the Chief Investigator. This institution will usually issue the Animal Research Authority for the project described in the application, on the recommendation of the University of Newcastle ACEC. Indicate “Independent researcher” if the Chief investigator is not associated with any institution.

The NSW Animal Research Act and Regulations provides for an application fee for researchers external to the University of Newcastle and Hunter-New England Area Health Service (ie. for Category B institutions).

Category A:
The University of Newcastle
Hunter New England Area Health Service
Category B: An application fee applies. Please attach “Payment Details” document -see
Avondale College
Hunter Wetlands Centre
Independent researcher
Other. Provide details:

1.4Application Type.

A New Project
A significantly revised protocol. Please complete Attachment A.
Application which represents a combination of 2 or more projects with CURRENT or RECENT approval.
Provide the relevant ACEC Approval Numbers here.

1.5Project dates.

Anticipated start date: / Month: / Year:
Anticipated end date: / Month: / Year:

1.6Cancellation of Authority or Licence. Has any Animal Research Authority or Animal Supplier's Licence held by the Chief Investigator been cancelled? If Yes, Provide details.Details provided should include the date the Authority or Licence was cancelled, the institution that cancelled the Authority or Licence, ACEC Approval Number of the project if relevant, and a brief description of the circumstances.

1.7Related applications/projects.Does this application describe work that is a related to another project previously approved by this ACEC? If YES, provide the ACEC approval number(s) and briefly describe how this work differs or follows on from the related work. (Limit: 250 words)

Several animal ethics applications may be related to a single major project, or an application may describe work that follows on from results that are being obtained in a second project. Identifying related applications or projects and providing information on the connection between these applications or projects will ensure that the ACEC is fully aware of the background to this application.

Sample response #1: This application refers to Aim 2 of the NH&MRC grant application “Mechanisms for treatment of upper respiratory tract infections in children”. It builds on information obtained from the ACEC project 2111 1208 “Characterisation of the pathological processes underlying upper respiratory tract infections” which is related to Aim 1 of grant application.

Sample response #2: This application follows on from results obtained in the project “New control mechanisms for substance X in regulating nerve cells” (ACEC approval number: 2222 1208) which provided the ground work, background and initial results for the current NH&MRC project.

1.8Collaboration.Does this project involve collaboration with external agencies (eg. institutions, companies, individuals etc)?

Additional documentation required by the ACEC will vary with the particular situation. In most cases, you are required to provide a copy of the application submitted by your collaborator to their institutional ACEC and a copy of the approval from that ACEC. To ensure that the process of ACEC approval is facilitated, you should seek advice from the ACEC well BEFORE you plan to commence collaborative research or complete an application to the University of Newcastle ACEC so that the processes can be streamlined as much as possible. Seefor further information and guidelines developed by theNSW Animal Research Review Panel.

YES. Please complete Sections (i) to (iii)
No. Please go to Question 1.9

(i)Name of collaborator(s) and the relevant institutions.

(ii)Details of the collaboration.

(iii)Details of any applications to, and approval from, other institutional Animal Ethics Committees.

Please attach a copy of the application submitted to, and notification of approval from, your collaborator’s Animal Ethics Committee. See:

1.9Statutory Reporting - Project classifications:

(For definitions of these classifications, click “Show/Hide ¶” on the Standard toolbar.)

The information requested in these sections is required for the purposes of annual reporting to NSW Agriculture as required under the NSW Animal Research Act. This information is requested at the “new application” stage in order to avoid requesting information from the Chief Investigator on an annual basis.

(i)Purpose of the project. Indicate the most appropriate description of the primary purpose of the project.

1. / Non GM Stock breedingBreeding protocols to produce new teaching or research stock. Include the animals used to produce progeny and any breeders or progeny culled in the process, NOT the final progeny themselves (as these will be counted under the protocol in which they go on to be used).
2. / Stock maintenanceHolding protocols for animals maintained for use in other protocols. These animals may be maintained under an ethics authority because they require special management. If they are not held under an authority, (eg. normal stock animals kept mainly for commercial production, but occasionally used in research) then they are only counted in the protocol where they are used for teaching/research.
Examples
  • Fistulated ruminants which are maintained under a holding protocol, for use in other short term feeding trial protocols
  • Non-breeding colony of diabetic rats held for research in other protocols

3. / EducationProtocols carried out for the achievement of educational objectives. The purpose of the protocol is not to acquire new knowledge, rather to pass on established knowledge to others. This would include interactive or demonstration classes in methods of animal husbandry, management, examination and treatment.
Examples
  • Animals used by veterinary schools to teach examination procedures such as pregnancy diagnosis
  • Sheep used in shearing demonstration classes for students; Dogs used to teach animal care to TAFE students

4. / Research: human or animal biology Research protocols which aim to increase the basic understanding of the structure, function and behaviour of animals, including humans, and processes involved in physiology, biochemistry and pathology.
5. / Research: human or animal health and welfare Research protocols which aim to produce improvements in the health and welfare of animals, including humans.
6. / Research: animal management or production Research protocols which aim to produce improvements in domestic or captive animal management or production.
7. / Environmental study Research protocols which aim to increase the understanding of the animals’ environment or its role in it, or aim to manage wild or feral populations. These will include studies to determine population levels and diversity and may involve techniques such as observation, radio tracking or capture and release.

Examples

  • Pre-logging or pre-development fauna surveys

8. / Production of biological products Using animals to produce products other than milk, meat, eggs, leather, fur, etc.
Examples
  • Use of a sheep flock to donate blood to produce microbiological media
  • Production of commercial anti-serum
  • Production of products, such as hormones or drugs, in milk or eggs from genetically modified animals
  • Quality Assurance testing of drugs but do not include animals which come under code 10, below.

9. / Diagnostic procedures Using animals directly as part of a diagnostic process.
Examples
  • Inoculation of day old chicks with ND Virus to determine virulence
  • Blue-green algae toxicity testing
  • Water supply testing using fish

10. / Regulatory product testing Protocols for the testing of products required by regulatory authorities, such as the National Registration Authority. If the product testing is not a regulatory requirement, eg. it is part of a quality assurance system only, those animals should be included in the appropriate category selected from above. (This would be normally be category 8 in the case of QA testing.)
Examples
  • Pre-registration efficacy or toxicity testing of drugs and vaccines

(ii)Procedure. Indicate the category (or categories) that best describes all procedures carried out on the animals in the project. More than one category may apply to this project.

1. / Observation involving minor interference Animals are not interacted with or, where there is interaction, it would not be expected to compromise the animal's welfare any more than normal handling, feeding, etc. There is no pain or suffering involved.
Examples
  • Observational study only
  • Breeding animals for supply, where only normal husbandry procedures are used
  • Breeding or reproductive study with no detriment to the animal
  • Feeding trial, such as Digestible Energy determination of feed in a balanced diet
  • Behavioural study with minor environmental manipulation
  • Teaching of normal, non-invasive husbandry such as handling, grooming, etc
  • Production of products, such as hormones or drugs, in milk or eggs from genetically modified animals which are subject to normal husbandry procedures only

2. / Animal unconscious without recovery Animal is rendered unconscious under controlled circumstances (ie. not in a field situation) with as little pain or distress as possible. Capture methods are not required. Any pain is minor and brief and does not require analgesia. Procedures are carried out on the unconscious animal which is then killed without regaining consciousness.
Examples
  • Laboratory animals killed painlessly for dissection, biochemical analysis, etc
  • Teaching surgical techniques on live, anaesthetised patients which are not allowed to recover following the procedure

3. / Minor conscious intervention Animal is subjected to minor procedures which would normally not require anaesthesia or analgesia. Any pain is minor and analgesia usually unnecessary, although some distress may occur as a result of trapping or handling.
Examples
  • Injections, blood sampling in conscious animal
  • Minor dietary or environmental deprivation or manipulation, such as feeding nutrient-deficient diets for short periods
  • Trapping and release as used in species impact studies, etc
  • Trapping and humane euthanasia for collection of specimens
  • Stomach tubing, branding, disbudding, shearing, etc

4. / Minor surgery with recovery Animal is rendered unconscious with as little pain or distress as possible. A minor procedure such as cannulation or skin biopsy is carried out and the animal allowed to recover. Depending on the procedure, pain may be minor or moderate and post-operative analgesia may be appropriate.
Field capture using chemical restraint methods is also included here.
Examples
  • Biopsies
  • Cannulations
  • Sedation/anaesthesia for relocation, examination or injections/blood sampling

5. / Major surgery with recovery Animal is rendered unconscious with as little pain or distress as possible. A major procedure such as abdominal or orthopaedic surgery is carried out and the animal allowed to recover. Post operative pain is usually considerable and at a level requiring analgesia.
Examples
  • Orthopaedic surgery
  • Abdominal or thoracic surgery
  • Transplant surgery
  • Mulesing, castration without anaesthesia

6. / Minor physiological challenge Animal remains conscious for some or all of the procedure. There is interference with the animal's physiological or psychological processes. The challenge may cause only a small degree of pain/distress or any pain/distress is quickly and effectively alleviated.
Examples
  • Minor infection, minor or moderate phenotypic modification, early oncogenesis
  • Arthritis studies with pain alleviation.
  • Prolonged deficient diets, induction of metabolic disease.
  • Polyclonal antibody production
  • Antiserum production

7. / Major physiological challenge Animal remains conscious for some or all of the procedure. There is interference with the animal's physiological or psychological processes. The challenge causes a moderate or large degree of pain/distress which is not quickly or effectively alleviated.
Examples
  • Major infection, major phenotypic modification, oncogenesis without pain alleviation
  • Arthritis studies with no pain alleviation, uncontrolled metabolic disease
  • Isolation or environmental deprivation for extended periods
  • Monoclonal antibody raising in mice

8. / Death as an endpoint This category only applies in those rare cases where the death of the animal is a planned part of the procedures. Where predictive signs of death have been determined and euthanasia is carried out before significant suffering occurs, they may be placed in category 6 or 7.
Examples
  • Lethality testing (LD50, LC50)
It does not include: death by natural causes; animals which are euthanased on completion of the project; animals which are killed if something goes wrong; animals killed for dissection or for use as museum specimens; or accidental deaths.
9. / Production of genetically modified animals This category is intended to allow for the variety of procedures which occur during the production of genetically modified animals. As animals in this category may be subjected to both minor and major physiological challenges and surgical procedures, this category reflects the varied nature of the procedures carried out. It Effectively includes ALL animals used in GM production other than the final progeny which are used in a different category of procedure.
Examples
  • Initial breeding animals for GM production
  • Animals culled as part of the GM production process

1.10Health and/or safety risks

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