Laboratory Animal Services
STANDARD OPERATING PROCEDURES AND POLICIES
Monitoring and record keeping requirements
for the use of animals in research and teaching
(Last updated 26 March 2004)
Under NSW legislation, scientists have a legal obligation to ensure that “adequate records are kept on the
acquisition, breeding, health, care, housing, use and disposal of animals.”
Apart from its scientific role in data collection, record-keeping should be viewed as a valuable monitoring
tool. Good records should provide data that can, if necessary, draw attention to problems such as
disease, poor fertility in breeding colonies, production of unwanted animals, unexpected reactions to
experimental procedures or other factors that can impact on animal welfare and the reliability of research
data.
Good record keeping also plays a valuable communication role since it should be able to demonstrate that
animals are only being used in a manner that has been approved by an Animal Ethics Committee. Careful
attention to animal records will also assist researchers in the collection of data for statutory reporting of
animal use.
Please note that while animal care staff may assist with record keeping, ultimate responsibility rests
with the Chief Investigator named on the Animal Ethics application form. Please also note that failure to
keep adequate records may result in suspension of all protocols on which the researcher’s name
appears.
This document aims to highlight researchers’ obligations to monitoring and record-keeping. Further
information can be found at the excellent ‘Animal Ethics Infolink’ website maintained by NSW Agriculture:
www.animalethics.org.au/
More formal references include:
 the NSW Animal Research Act and Regulation (http://www.austlii.edu.au/);
 the NH&MRC Code of Practice for the Care and Use of Animals for Scientific Purposes
(http://www.health.gov.au/nhmrc/research/awc/code.htm);
 NSW Agriculture Animal Welfare Unit publications (http://www.agric.nsw.gov.au/reader/1230).
RECORDS TO BE KEPT IN THE ANIMAL ROOM
The following system is strict policy in facilities managed by Laboratory Animal Services. It is essential that
a system providing similar outcomes exists in all of the University’s animal facilities.
1)
A plastic folder is provided for each protocol in each animal room. This must contain:

Emergency contact details (see attached). Researchers’ daytime and after hours or mobile phone
numbers must be clearly shown as must their email addresses. Only individuals named on the AEC
approval letter may be listed.

AEC letter of approval. A full copy of the approval letter for each current protocol is necessary since
it lists any conditions set down by the AEC as well as naming persons authorised to conduct work with
animals. Note that any AEC correspondence approving modifications to the protocol must also be
included.

General observation record (see attached). The date of each visit by the researcher, general
comments and a signature should be recorded on the form provided. More detailed observations
relating to individual animals or procedures must be recorded elsewhere (see below). At its meeting in
March 2004, the AEC resolved that all animal holdings should be visited by a suitably skilled person
listed on the protocol at least once a week and more often if specifically indicated by the AEC or by
the nature of the work.
2

Acute monitoring records (if required). In cases where animals undergo surgery or other
procedures likely to have a significant impact on their welfare, or in cases where the AEC has
requested special monitoring, each animal should have its own monitoring form to record clinical
findings and treatments. In the case of less invasive work, one monitoring form per group of animals
may be sufficient. An AEC-approved template for these forms can be downloaded from the Ethics
Office website at: http://www.usyd.edu.au/ethics/animal/AEdownloads.html
These and all other health monitoring records should be able to show that the monitoring of
animals is adequate to prevent, or allow the prompt alleviation of pain or distress.
Only records relating to animals currently housed in the facility should be kept in the folder; old records
should be filed by the researcher who may be asked to produce them at a later date.
2)
Cage card. This should record:

‘Constant’ information (AEC number; name of researcher; cage ID; number of animals, date of birth,
date of arrival, sex, strain).

Brief notes (usually 3 or 4 words) outlining the nature and date of any events that might affect the
welfare or appearance of the animals (e.g. administration of substances, removal or addition of
animals, surgery, births, illness or abnormal findings).
3)
Post-it notes. Specially printed post-it notes are used to mark cages when a researcher has been
notified of an abnormal finding relating to the health or appearance of an animal. These notes include
instructions on how the incident is to be recorded.
4)
Individual records for larger animal species. In the case of species such as rabbits, cats,
sheep or pigs, individual animals should be identified by means such as ear tagging or microchipping and
a separate record kept for each animal.
OTHER RECORDS
Breeding data. Researchers breeding their own animals must keep full records of the number of
breeders, number born, litter sizes, number weaned, mortalities and number culled surplus to
requirements. The aim of such records is to ensure that trends or changes in breeding performance can
be readily detected and corrective action taken if necessary. It should also aim to avoid the excessive
production of surplus animals. The AEC requires that these data be readily available for inspection and
reporting.
Procedure records. The cage card and General Observation Record referred to above are only for brief
summaries of procedures and other observations. Details of procedures or any findings that might be
relevant to the animals’ well-being must be readily available in the animal room in the event of an
inspection. It is particularly important that the researcher can demonstrate that their animals are being
monitored appropriately.
Tracking of animals used. It is important that all animals bred or purchased can be accounted for. Some
means of tracking litters or consignments of animals must therefore be incorporated into any record
system.
Annual use of animals. Researchers are required to complete an annual return (supplied by the Ethics
Office) indicating the total number and type of animals used under each protocol.
Disease investigation. Records must be kept of disease or unexpected deaths along with the findings of
any investigations undertaken to establish the cause of the problem.
Please feel free to contact the Director, Laboratory Animal Services for further information.
Malcolm France
3
Director, Laboratory Animal Services
Tel:
02 – 9351 3603
Email: m.france@vetp.usyd.edu.au
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Laboratory Animal Services
General observation record
Researchers must record each visit and a general comment on this form.
Details of procedures or individual findings should be recorded on the cage card, animal record or
in any other such manner that is readily accessible in the case of an inspection.
Further information on record-keeping is available from Laboratory Animal Services.
AEC number: ________________________________
Date
Signature
Comment
5
EMERGENCY CONTACT DETAILS and CRITICAL INFORMATION
AEC No:
Name and email
Work
Home
Mobile
Contact
1
Contact
2
Contact
3
Security
Police, fire, ambulance
Work
13333
Home
N/A
Mobile
N/A
Vet
Malcolm France
13603
9798 9620
0401 719 456
Urgent building
problems after hours
Trades Services
13487
N/A
N/A
Has the Animal Ethics Committee approved procedures or management conditions that are likely
to have a direct impact on these animals?
No
[
]
Yes
[
] Please provide details below for each applicable category:
Surgery
[
]
Neoplasia
[
]
Single housing
[
]
Treatments likely to produce signs of ill-health
[
]
Reduced environmental enrichment
[
]
Special diet/withholding food or water
[
]
Other
[
]
Details (attach more information if necessary): _____________________________
______________________________________________________________________
______________________________________________________________________
Does this work pose a potential occupational health hazard to animal house staff?
No
Yes
[
[
]
] Details (attach more information if necessary): ____________________
_______________________________________________________________________
_______________________________________________________________________________