FAQs for Animal Ethics Applicants
As of October 2008 this website is being updated to reflect new procedures, policies and information pertaining to the welfare of animals used in scientific research and teaching.
Please regularly check this website for updates and contact the Animal Welfare Officer if you have any questions about the procedures you must follow when using animals in your research or teaching activities.
This page contains information about the application process, application forms, what happens after approval, AEC policies and procedures and contains the answers to frequently asked questions. Updates to AEC policies and procedures will be flagged on this page. When preparing new applications or applying for approval for amendments to current applications it is important that you read the information contained below. Grant applicants should check information regarding coordinating grant applications with AEC approval (below).
FAQs - Frequently asked questions:
When should I submit my application?
How do I apply for approval for a new protocol?
How do I coordinate grant applications with AEC approval?
Are there particular requirements regarding submitting Teaching Protocols?
What if I need assistance with my application?
What happens when the AEC has queries or concerns about my protocol?
How do I estimate animal numbers to be used if I am requesting approval for multiple years?
What is the preferred method of blood collection?
How long is approval granted for?
What is the AEC's policy on granting extensions to protocols?
What happens after approval of new protocols?
What are the AEC's reporting requirements that researchers must adhere to?
What if I need veterinary care for my animal(s)?
How do I add an additional person or persons to an existing approved protocol?
How do I amend an existing approved protocol?
Do you have a policy on re-homing animals?
What if I will be involved in Collaborative Research?
What if unexpected death or adverse effects to animal(s) occur?
What if I want to obtain dead animals for research or teaching purposes (Opportunistic sampling)?
When should I submit my application?
Applications must be received by the Secretary of the Committee in the Research Office a minimum of THREE WEEKS prior to the next meeting. Applications received after the Closing Date will be deferred to the subsequent meeting. Meeting dates and closing dates are available in the University Calendar or the hyperlink above.
Get your submission in as early as possible. The AEC encourages researchers to submit new protocols, amendments to protocols and reports on animals used well prior to advertised closing dates. Doing so provides the AWO and the Chair of the AEC and other AEC members who may be consulted, time to review your submission and to ask the AWO to clarify any queries with you.
The goal of this screening process is not to create a bureaucratic impediment. Rather, the AEC wishes to facilitate consideration of proposals by identifying potential problems and giving researchers an opportunity to address them prior to the next AEC meeting. This process is designed to increase the chance of approval and to reduce the probability of conditions being attached to protocols.
How do I apply for approval for a new protocol?
Fill in the relevant application form.
All questions must be answered as fully as possible. If more space is required, simply add more lines; do not attach additional sheets. If copies of other applications or publications are required to be submitted please provide 15 copies with your application. If copies of class notes are an essential part of your submission, they must not be used to replace an adequate description and justification of experimental procedures within the body of your application.
Are there particular requirements regarding submitting Teaching Protocols?
Course hand-outs must accompany the original of applications for clearance related to teaching units.
If you have teaching protocols for which you need AEC approval you should submit your application to the AEC at least two months prior to the commencement of the practical class.
The AEC strongly advises against submitting applications to the AEC meeting immediately before the date the practical class is due to start. This is because the AEC cannot guarantee protocols will be approved in time for the commencement of the practical.
If the AEC has concerns about a teaching protocol it will NOT approve it just because the practical class is about to commence. It is the responsibility of the researcher/teacher to ensure teaching protocols are submitted in time to allow the AEC to seek and receive clarification (if necessary) prior to its next meeting.
What if I need assistance with my application?
The Animal Ethics Committee (AEC) recognizes that achieving the best outcome for animal welfare requires a cooperative relationship between the committee and the research community. Members of the AEC are committed to fostering such a relationship and are happy to work with researchers to improve applications. For example, it may be possible to suggest ways in which the aims and techniques of a proposed study could more easily be explained to a non-specialist reader.
The AEC encourages researchers to solicit advice from AEC members in their departments. If you would like advice regarding a submission to the AEC please contact the AEC Secretary.
ALL submissions to the AEC, including new applications, requests for approval for amendments and any other administrative items must be submitted to the AEC via its Secretary, in the:
Research Office
Level 3
Research HUB
C5C East
Macquarie University
NSW 2109
Australia.
The AEC Secretary is also the Animal Welfare Officer for Macquarie University. Please contact them for any of the following enquiries:
- Any administrative or procedural questions relating to the business of the AEC
- Committee operating procedures and general information
- Legislation, policies and guidelines that may be relevant to your work
- What form you are expected to submit to the Committee (for example, a Progress Report or a Final Report form)
- What to do if you are coming to the end of your approval period for your work but you would like the work to continue
- You would like to ask for approval for an amendment or extension
- You would like the AEC's Executive to consider a matter on your behalf
- You have a complaint
- Any other queries - if the Secretary cannot assist you she will direct you to the most appropriate person
- The care and use of animals used in research
- Advice on preparing the content of your AEC application, including addressing issues relating to the welfare of the animals involved
- Alternatives to the use of animals
- Strategies for monitoring animals
- Availability of facilities for research involving animals
- Policies relating to the use of animal facilities
- Ensuring that all personnel working on your protocol comply with legislative requirements and relevant policies and guidelines
- Reporting adverse effects or unexpected deaths in your animals
- Animal suppliers
- Macquarie University's Re-homing of Animals Policy
What happens when the AEC has queries or concerns about my protocol?
In the three week period between the submission of protocols to the AEC and the next AEC meeting, AEC members review new protocols, the results of pilot studies, completed progress reports and final reports and requests for amendments. AEC members are encouraged to forward queries about documents and protocols submitted by researchers to the Animal Welfare Officer (AWO) who forwards them on to the relevant researcher. The researcher is asked to respond in writing to the queries/concerns and pass that written response (letter or email) to the AWO.
Written responses from researchers to queries about their protocols are then forwarded to the AEC and form part of the discussion at the meeting. If queries or concerns remain, the researcher concerned may be invited to attend the meeting to answer AEC members' questions and to clarify any outstanding points.
PLEASE NOTE: The AEC considers that the written responses researchers provide to the AWO in response to AEC comments or queries constitute official documents and will be treated as part of the protocol submitted for approval. These documents, including emails, will be filed with your original protocol.
How do I estimate animal numbers to be used if I am requesting approval for multiple years?
Please inform the AEC as to how many animals will be used in your protocol by providing a year by year breakdown of animal numbers.
What is the preferred method of blood collection?
Note the Animal Welfare Unit of NSW Department of Primary Industries has issued guidelines on Blood Collection. Both Guidelinesare available below:
- NSW Dept Primary Industries Animal Welfare Unit - Blood Collection Page 1
- NSW Dept Primary Industries Animal Welfare Unit - Blood Collection Page 2
Note that Macquarie University's AEC looks carefully at requests to conduct retro-orbital bleeding and researchers would need to provide exceptional justification before such a request would be approved. Alternatives should be discussed with the AWO or the AEC Chair.
What if the work involves the use of recombinant DNA, potential pathogens, radioactive isotopes or other hazardous substances?
Permission from other University bodies may be necessary. Contact the Biosafety Committee Chair, for advice on whether you need Biosafety clearance.
How long is approval granted for?
Approval by the Animal Ethics Committee will normally be granted for a maximum period of three years. Each Animal Research Authority however, is only valid for f 12 months and will need to be renewed (by submission of a Progress Report) if approval is to be extended for a further 12 months. A Progress Report must be submitted before the current Animal Research Authority expires.
AEC's policy on requests for extension of protocols
An extension to a protocol's approval period will only be considered if the approval period for the protocol has not yet expired. A request for an extension should be made to the AEC in writing. Each request for an extension will be judged on its own merits.
What happens after approval of new protocols?
After the AEC meeting at which your submission was considered, if your protocol has been approved, you will be issued with an Animal Research Authority and approval number from the AWO. If your protocol was considered approvable subject to your complying with certain conditions, you must meet those conditions to the satisfaction of the Chair before your protocol will be approved and an Animal Research Authority and approval number issued to you. If your protocol was not approved you will receive a letter from the AWO outlining the reason(s) behind the AEC decision not to approve your protocol and a request for clarification or amendments.
When can I start my research?
Researchers must not order animals or commence work on new or amended protocols on the basis of verbal advice from the AWO, Chair of the AEC, Secretary of the AEC or from any AEC member.
You must not order animals or commence research on a protocol until you have received an Animal Research Authority and approval number for your protocol from the AWO - or in the case of a request for an amendment to an approved protocol, you must not order animals or commence work until you have written advice from the AWO that your requested amendment has been approved.
Animal Research Authorities will be issued on an annual basis and any conditions attached to approval of a protocol will be stated on the Authority. The Animal Research Authority will display the approval number for the protocol for which it was issued. It is the responsibility of researchers to keep track of the period of currency of an Animal Research Authority.
The approval number for a protocol must be displayed prominently on each cage in which animals are held and on the appropriate notice board within the facility containing these animals.
What are the AEC's reporting requirements that researchers must adhere to?
Annual Progress Reports:
Although the AEC can approve projects that are ongoing for up to 3 years, it is a requirement of NSW Department of Primary Industries that Animal Research Authorities may only be issued for a 12 month period. So, if your work is ongoing for up to 3 years and you have AEC approval to conduct your work for up to 3 years, you will still need to prepare and submit a Progress Report to the AEC every 12 months after your initial approval. The AEC will issue you with a further Animal Research Authority to continue your work on receipt of an acceptable Progress Report.
Final Reports:
You will need to submit a Final Report when you have completed your work, if the project is discontinued for any reason, or if you have come to the end of the period for which you originally applied for and received AEC approval.
Final reports should be submitted within one month of completion of the project or expiry of the Animal Research Authority, whichever occurs sooner.
If you have come to the end of the period for which you originally applied for and received AEC approval but you wish the work on the project to continue, you will still need to submit a Final Report but you will also need to submit a new full application for the project for approval by the AEC.
What form do I use for Progress or Final Reports?
The same form is used for both purposes (progress and final). Although the Animal Welfare Officer sends out reminders, the responsibility lies with the researcher to ensure the correct report is submitted by the due date. It must be signed by you and sent to the AEC Secretary:
Research Office
Level 3
Research HUB
C5C East
Macquarie University
NSW 2109
Australia
The Committee strongly suggests that you talk to the AEC Secretary before preparing your report to ensure that you are preparing the correct report (ie: a Final Report, instead of a Progress Report, for example), and that you have included all of the information that the AEC will be expecting to see.
Annual Report to NSW Department of Primary Industries
For all projects a report on animals used during the year must be submitted to the Animal Welfare Officer who will distribute forms for these reports prior to these reports falling due. This report is separate to the Progress / Final Report on Animals Used during previous approval period noted above.
Will there be monitoring or inspections of my animals or the facility in which they are held?
The Animal Ethics Committee or an officer designated by that Committee may inspect any animal facility at any time by prior arrangement with the applicant. At all times inspection may be made by the University's Animal Welfare Officer for whom no prior arrangement is necessary.
The AEC conducts a site inspection of animal facilities prior to its April, August and December meetings.
What if I need veterinary care for my animal(s)?
The provision of veterinary care is an obligation of the Chief Investigator of every AEC approved protocol. Please contact the Animal Welfare Officer for assistance in obtaining the appropriate veterinary services.
How do I add an additional person or persons to an existing approved protocol?
The AEC requires the following information regarding the addition of a person or persons to an existing approved protocol. You can submit your request to the AEC in a letter or email, but you must provide an updated signature page of those involved in the protocol. Generally, this sort of request can be reviewed and approved by the AEC Executive and will then be submitted for ratification to the next AEC meeting.
- Who the additional person is
- What aspects of work they'll be involved in
- If training will be required who will provide it and how will competence be established
- Long term supervision - will this person be required to work independently or will they be supervised and if so, by whom?
How do I amend an existing approved protocol?
Requests for approval of amendments to existing approved protocols - other than requests to add additional people to protocols (see above) - must be submitted to the AEC in writing. This can take the form of a covering letter. It is helpful to the AEC if you state clearly what the amendment request is and how it differs from what was contained in your original approved protocol.
Minor amendments may be reviewed and approved by the AEC Executive. Major amendments will need to be reviewed and approved by the AEC at its next meeting. These requests must be received by the closing date for the meeting at which the material will be reviewed. If the Executive does not view your request as 'minor' it will be reviewed at the next full meeting of the AEC.
You will receive written advice as to whether your request has been approved.
Policy for re-homing of animals
Macquarie University's AEC has a Re-homing of Animals Policy. This policy relates to requests to re-home animals if formal approval for re-homing has not already been granted as part of an approved protocol.
What if an unexpected death or adverse event involving a research animal occurs?
To ensure Macquarie University's procedures are in line with current requirements of NSW Department of Primary Industries and the Australian Code of Practice for the Care and Use of Animals for Scientific Purposes, 2004 (Sections 3.1.12; 3.3.24; 4.5.4) the following policy should be followed:
The Animal Welfare Officer must be notified of any unexpected deaths or adverse effects within 72 hours. The AWO will report such deaths or adverse events to the AEC at the next opportunity.
What if I want to obtain dead animals for research or teaching purposes (opportunistic sampling)?
If animals are killed for the purpose of research or teaching (for example, dissection classes), then this constitutes a procedure for which Macquarie University's AEC approval is required. You should state on your application form the source of the animals.
Assistance - please contact us:
If you need assistance with preparing AEC applications or annual or final reports or have questions on legislation, guidelines or AEC policies, please contact the Animal Welfare Officer leanne.gillespie@vc.mq.edu.au