Research Office
Level 3, Research Hub, Building C5C East
MACQUARIE UNIVERSITY NSW 2109
Animal Ethics Secretariat
Phone +61 (0)2 9850 7758
Email animal.ethics@mq.edu.au
Macquarie University
Animal Ethics Committee
In Situ Wildlife Protocol Application Form
(Version 2.2.2 – October 2012)
OFFICE USE ONLY
Date received:
ARA no.:
AEC meeting date:
Use this form for research and/or teaching involving:
In Situ wildlife work
Instructions for completion of this form:
Answer all questions in full. Double Click the Yes, No, or N/A box to indicate your answer.
Alternatively answers must be typed in boxes if provided
Use lay terms where possible, taking into account the full range of membership categories
(A, B, C, D) of the AEC. Your responses should be directed to an educated, non-scientific audience.
Refer to the Australian code of practice for the care and use of animals for scientific purposes
(NH&MRC 7th Edition 2004)(“ The Code”) for guidance
For further information on how to complete this form, contact the Animal Ethics Secretariat on
(02) 9850 7758 / 4456 or email animal.ethics@mq.edu.au
Instructions for submission of this form:
1. Submit one signed* electronic copy (Word DOC format only) with all appendices (e.g. monitoring
sheets, supporting documents) included to animal.ethics@mq.edu.au.
*If you are scanning signatures, please only scan the signed pages, rather than the entire document,
for improved readability of the form.
2. Submit one original signed hardcopy along with 10 extra copies (with all appendices included) to:
Animal Ethics Secretariat, Room 317
Research Office, Level 3, C5C East
Macquarie University NSW 2109
Principal Investigator / Supervisor (please complete)
Name (Title, First name, Surname)
Title of Proposed Project (please complete)
-2-
SECTION 1: ADMINISTRATION
1.1. Status of AEC Application
1.1.1. This application is for:
Research
Teaching
Both
1.1.2. Reason for application:
New project (Go to 1.2)
Resubmission (e.g. the MQ AEC did not approve a prior application, and requested a resubmission)
Continuation of expired, or soon to expire, Animal Research Authority (ARA) at MQ or other
institution
(a) Name of AEC(s) (if applicable)
(b) ARA(s) (if applicable)
Reasons (e.g. the AEC requested that the project be
(c) resubmitted / the project is a continuation of work
done under a prior, now expired ARA, etc.)
If the AEC requested that the project be
resubmitted, attach a copy of the email requesting
(d)
resubmission along with a response addressing all
issues raised
Attached
1.2.
Title of Proposed Project (should be the same as the title on the cover page)
1.3.
Proposed Approval Period of Project
1.3.1
N/A
Proposed start date* (dd month yyyy)
1.3.2. Proposed completion date (dd month yyyy)
-
1.4.
*Projects can only commence after they have been approved by the AEC and a valid Animal
Research Authority (ARA) has been issued.
The maximum approval duration is 36 months. After that time, a new application is required.
Note that annual (or less than) reporting is a legislative requirement (so for example a 13-month
project would require two annual reports).
Financial Support of Proposed Project
1.4.1. Is the project being funded by an internal or external grant?
Yes (complete (a)-(e) below)
No (Go to 1.5)
-3-
(a) Funding body
(b) Application date
(c) Status (pending/approved)
(d) Title as it appears on grant application
(e) If approved, Grant ID/Reference
1.5. Collaborations
1.5.1. Does this project involve collaboration with other Institutions?
Yes (complete 1.5.2. below)
No (Go to 1.6)
1.5.2. List all Institutions involved, and whether another AEC will be responsible for each Institution:
Institution
Contact person and email
(e.g. PI at other Institution)
AEC responsible for
overseeing the project
Add or delete rows as necessary
1.6. Location and Licensing
1.6.1. Identify all locations where research/teaching involving animals will be conducted (including
where experimental procedures will be performed, where animals will be collected, and where
animals will be housed). Provide the full street address where possible.
Location
Full Street Address (including state, country)
Add or delete rows as necessary
1.6.2. Does this project involve the use of any animals or fauna survey sites that have been the subject
of previous research?
Yes
No
N/A
ARA
Project name
Add or delete rows as necessary
What was done?
-41.6.2. If the project involve fieldwork and/or collection of any animals (native/protected/feral) here,
interstate and/or overseas then permits/licences are likely required. Complete the table below to
indicate the status of required permits/licences.
A copy of all permits/licences must be supplied to the Animal Ethics Secretariat as soon as issued by
the relevant authority. Animal numbers, species etc. on the permit must match the ARA (or where
there is a conflict, the smaller number must be used). No work can commence until the appropriate
permits/licences are obtained. If unsure, contact the Animal Ethics Secretariat for a list of
permits/licences required.
Issuing authority
(e.g. NPWS)
Date of submission
Permit/Licence
Number/ID
Expiry Date
Copy
Attached?
Add or delete rows as necessary
1.7.
Biosafety and WH&S
All projects must have approval from the either Biosafety Committee [for Genetically Modified
Organisms (GMOs)], and/or the Biohazards Committee for all work with hazardous materials,
including all work with animals or animal tissues or products, prior to the commencement of
research.
FOR BIOHAZARDS:
Please fill out the Biohazard Risk Assessment Form found on the Health
and Safety Website (below) and check this box
If you already have your Risk Assessment number, please supply it here:
http://www.hr.mq.edu.au/HealthAndSafety/PoliciesFormsGuidelines/OHSOperationalInstruction.html
For further information, visit the Biosafety website,
and check the flowchart, at
http://www.research.mq.edu.au/for/researchers/how_to_obtain_ethics_approval/biosafety_research_
ethics/application_process
1.7.2. WH&S Declaration
I confirm that:
All personnel involved with this project have been informed of the risks associated with
working with animals in this project (e.g. zoonoses, animal bites) and measures have been
taken to mitigate these risks
Appropriate measures for containment, disposal and decontamination of biohazardous
material (if applicable) have been established
Health and Safety has been consulted and a biohazard risk assessment form has been
completed for this project
Signed:
Date:
-5-
SECTION 2: JUSTIFICATION
The Code states that “Projects using animals may be performed only after a decision has been made that
they are justified, weighing the predicted scientific or educational value of the projects against the
potential effects of the welfare of the animals” (Section 1.2).
Your responses regarding the justification of the project are crucial for the assessment of scientific merit
and the necessity of animal use.
2.1. Summary, Aims and Significance of the Project
2.1.1. Purpose Number and Description*:
(e.g. 7: Research: environmental study)
*Refer to Appendix A, Table 1: Purpose
(If the link does not work, download Appendix A from the Forms website here)
2.1.2. Provide a ≈100 word outline of the project in lay terms*.
*Your response should be directed to an educated, non-scientific audience.
2.1.3. Outline your primary research goals, and the methods/strategy to achieve them
(< 1 page in lay terms).
2.1.4. Indicate the significance of the project and the expected benefits (as per The Code 2.2.16 (v)).
Use lay terms where possible. Your response should demonstrate to a layperson why you believe
the research is worth conducting.
2.1.5. Will the results of this project be published and/or shared with other investigators or interested
parties? (e.g. to inform best practice)
2.1.5. Will negative results or adverse events in this project be published and/or shared with other
investigators or interested parties? How?
2.1.6. Does this project repeat any previously performed study?
i.e. has this or a similar study previously been undertaken anywhere in the world?
Yes
Go to (a)
No
Go to (b)
-6-
(a) Briefly describe the previous work and justify why this needs to be repeated
(b) How has this been determined?
2.1.7. If the project is based upon your previous work, list up to five (5) of the most relevant
publications/ presentations, remembering to:
- Provide the full reference
- Add a brief statement (max. 3-4 sentences) summarising the outcomes and impact or
significance
- Provide your research publications split into the following categories: Scholarly books; Scholarly
book chapters; Refereed journal articles; Refereed conference papers (only when the paper was
published in full in the proceedings); Conference presentations; Other
2.1.8. If no relevant publications exist, briefly summarise progress to date
2.2. Justification for Animal Use
2.2.1. Complete the following table to indicate the characteristics and numbers of the target species
required for use over the full project duration. If an exact number is not known (e.g. for capture
of wildlife), provide an upper limit.
Species
Code
Common
name)
Name
(Scientific Sex
(if applicable)
Weight
Age
(if applicable)
(if applicable)
Total
TOTAL
Add or delete rows as necessary
For Species code: (e.g. 17: Birds – Exotic Wild)
*Refer to Appendix A, Table 2: Species
(If the link does not work, download Appendix A from the Forms website here)
2.2.2. Explain, on the basis of experimental design and statistical considerations, why this number of
animals will be required. Where possible, include a table to show how animal numbers have been
calculated (e.g. show treatment groups)
-72.2.3. For wildlife projects where animals are captured and removed from their habitat, what impact
will these numbers have on the wider population? (e.g. could it cause population depletion?)
NOTE: In accordance with the Code of Practice, it is incumbent on the individual researcher to
follow the guidelines for wildlife surveys issued by NSW Dept of Primary Industries in an
effort to minimise any unnecessary impact on wildlife (e.g., see Code of Practice Section 5
Wildlife Studies; also www.animalethics.org.au/policies-and-guidelines/wildlife-research)
2.2.4. Is opportunistic sampling of other, similar species likely to occur in this protocol?
Yes
No
If YES, please provide details (eg. possible species, procedures etc). If such opportunistic
involvement of other species occurs, a log must be kept, and details reported to the AEC in both
progress and final reports.
2.3. The 3Rs: Replacement, Reduction and Refinement
2.3.1. Why is it necessary to use animals in the proposed project (rather than non-animal models) and
why is this species (and strain, age, sex and weight if applicable) the most appropriate model for
this project?
NOTE: In accordance with The Code, it is incumbent on the individual researcher to determine
whether alternatives to using animals in their studies exist.
See The Code Appendix 5 “Alternatives to the use of animals”
See also www.animalethics.org.au/
2.3.2. What steps have been taken to ascertain the alternatives in accordance with The Code? (e.g.
literature review, etc.)
2.3.2. If relevant, what precautions will be taken if lactating animals/nesting animals/ animals with
pouch young are impacted by this protocol?
2.3.4. Outline what consideration has been given to each of the 3Rs (Replacement, Reduction and
Refinement) in developing this project.
-8-
SECTION 3: ETHICAL AND WELFARE CONSIDERATIONS
3.1. Sequence of Events and Impact on Animal Well-Being
3.1.1. Procedure Category(/ies) and Description(s):
e.g. 3: Minor conscious intervention
*Refer to Appendix A, Table 3: Procedure
(If the link does not work, download Appendix A from the Forms website here)
3.1.2. Give details (sequentially) on what happens to the animal(s) from the time they are observed,
captures, and/or sampled to the time the project is completed, and detail how any impact on
the animal(s) will be minimised. Describe all factors and procedures that may have an impact
on an animal's well-being and how any adverse pain/distress impact will be minimised. This
includes methods for passive observation, capture of target and non-target species (where
relevant, include the type of traps, how many, over what time period they will be set, how often,
and what times they will be checked and/or cleared), handling, restraint, identification tags and
tracking devices (if used, weight, how attached, and retrieved), release, and impact on the general
population if known. Also include (where relevant) details of the type and frequency of body
tissue and/or fluid sampling, treatment with substances, concentration of solutions (mg/ml) and
dose rates (mg/kg), routes of administration (include range of needle gauge to be used), detailed
anaesthetic and analgesic regimes, etc. Refer to the appended Checklist (from ARRP) to ensure all
details have been considered.
(a) If transportation is necessary for animals, how will animals be transported, over what
period of time and what precautions will be taken against cold/heat stress?
N/A
(b) Identify possible emergencies which may arise, for example animal injured in a trap, bushfire,
hailstorm. List the procedures you have in place to deal with these emergencies, including
emergency contacts in the field, e.g. contact number of local veterinary surgeon.
Possible emergency
(c)
Mitigating procedure
What precautions, if required, will be taken in the event of inclement weather?
N/A
3.1.3. What will be the maximum time an individual animal is held?
-9-
.2.
Animal Monitoring
3.2.1. Will wildlife animals be housed for any reason?
Yes
No
N/A
continue this section
Go to section 3.3
3.2.2. If so, justify why animals need to be housed and not released immediately.
3.2.3. What will be the maximum time an individual animal is held?
3.2.4. Who will monitor the animals during weekdays and who will be on duty on weekends and
holidays? Include the species being monitored.
Person/s
responsible
Species
Experience with the species to be
monitored
Weekdays
Weekends
Holidays
Add or delete rows as necessary
3.2.5. How will animals be monitored while any procedures are carried out? Include frequency and
methods used. Outline any special considerations related to the species/procedure used (e.g.
laying animals requiring removal from nest).
3.2.6. Attach a copy of monitoring sheets/checklists you will use. The monitoring criteria must be
species-specific and procedure-specific.
Attached
N/A
3.2.7. Animal Housing and Management
3.2.7.1. Will animal husbandry (housing, feeding and routine care) be as per normal Fauna Park
Standard Operating Procedures?
If the project requires special feeding/housing arrangements, select No
Yes
No
Go to (a) on the next page
- 10 -
(a) If you require space or resources in the Fauna Park, you must consult the Manager
of the facility on 9850 4109 about your requirements prior to submission of this
application.
Manager Fauna Park
(Signature required to indicate that the Fauna Park can accommodate requirements
for this protocol, and that all housing/husbandry requirements have been discussed
with the Manager of the facility)
3.3. Fate of Animals
3.3.1. What will happen to animals at the completion of the project?
3.3.2. Will voucher specimens be taken? And, if so, justify the taking number of voucher specimens, and
where will the voucher specimens be lodged?
N/A
3.3.3. If animals are to be euthanised, how will this be done? The possibility that euthanasia may be
required in the field under emergency circumstances must be considered. Please detail how such a
situation would be managed and the method by which euthanasia would be carried out.
3.3.4. Where will euthanasia be carried out, who will do it, and what is their experience in the technique
to be used?
N/A
Species/animal type
Technique
Name and experience/qualifications
3.3.5. Outline how animals and/or animal tissue could be shared with other investigators.
- 11 -
SECTION 4: PERSONNEL
4.1. Personnel history
4.1.1. Have any researchers named on this application had any AEC approval withdrawn or suspended
for any period?
Yes
No
(Go to 4.2)
(a) Please provide details including the researcher’s name, the ARA number, the date on which
the approval was withdrawn/suspended (and if applicable, the date on which approval was
reinstated) and the reasons stated by the AEC for withdrawal/suspension.
(b) What changes were made as result of the withdrawal/suspension? (e.g. extra training/
education, investigations, modifications to the project, etc.)
4.2. Qualifications / Experience and Declaration of Responsibility
IMPORTANT:

Personnel must only be named below if they have a specific role in the animal component(s)
of this project
N.B. in an emergency, a person who is not listed on the Animal Research Authority (ARA) may
still step in to act if it is in the interest of animal welfare, without being in breach of the ARA. As
such, students and/or researchers should NOT be listed on the protocol merely for ‘back-up’.

Animal Technicians/Animal Care Staff do not need to be listed on an AEC protocol, provided
that:
 they are only performing routine animal care/husbandry (e.g. feeding, cleaning, general
maintenance, monitoring)
 they are competent to carry out the required procedures
If however personnel are involved in specific research procedures (e.g. anaesthesia, blood
collection etc.) additional to routine animal care, then they must be listed on the AEC protocol.

Fieldwork volunteers do not need to be listed on an AEC protocol, provided that:
 they are only performing a logistical and/or administrative function (e.g. driving the boat)
 they are competent to carry out the required procedures
If however personnel are involved in specific research procedures (e.g. anaesthesia, blood
collection etc.), then they must be listed on the AEC protocol.

Each person listed on the project is accountable for the welfare of the animals
involved in the project

All personal details provided are strictly confidential
- 12 -
4.3.
Principal Investigator / Supervisor
4.3.1. Personal Details
Name
(Title, First name, Surname)
(b) MQ Staff ID
(c) MQ Department
(a)
(d) Position at MQ (if Staff)
(e) Phone (mobile)
(f)
Phone (MQ extension)
(g)
Email
(note all AEC correspondence will be via email)
(h) Qualifications
4.3.2. Attendance at an Animal Ethics or Welfare course
(a) Has the Principal Investigator/Supervisor attended an Animal Ethics or Welfare course? e.g.
University of Sydney “Introduction to Animal Research” course or Macquarie University
“Working With Research Animals Workshop”
Yes
No
either
If YES
or
either
(a)
The research office has my certificate on file – go to question 4.3.3
(b) Course name and
convening Institution
(c) Date
(d) Attach a copy of
course certificate
Attached
(e) I have experience in supervision of
ethical conduct of animal research
SUMMARISE
EXPERIENCE HERE
(f) Will the person be attending the next
If NO
or
available course? If not, why not?
(g) Who will be responsible for supervision
of this person in the ethical/welfare
aspects of this project?
(Macquarie University runs a course on Animal Research Ethics every February and July.
encourages all students and staff to attend.)
4.3.4. Role in this project
The AEC
- 13 (a) List the specific duties or tasks the person will undertake in this project (e.g. trapping,
tagging, etc.) and indicate their level of experience in these procedures in the species
relevant to this project.
Level of RECENT experience
Specific duties/tasks
Species
(Approx. number of times this person has
performed the procedure in this species
in the recent past)
None
(EXAMPLE) pitfall traps
Mammals,
reptiles and
amphibians
X
Limited
(e.g. <20)
High
(e.g. >20)
Name of Senior staff
on project who will
supervise (if level of
experience is "None" or
"Limited")
Dr Jones
4.3.5. Declaration of Responsibility
(For the Principal Investigator/Supervisor only)
I confirm that:
In my opinion, the proposed work described in this application is of scientific and/or educational
merit.
The use of animals in this project will conform to the Australian Code of Practice for the Care and
Use of Animals for Scientific Purposes, NH&MRC 7th Edition 2004 and the NSW Animal Research
Act 1985 and Regulation 2010.
I accept responsibility for the conduct of all procedures detailed in this application, and for the
supervision of all personnel delegated to perform any such procedures.
I accept personal responsibility for all matters relating to the welfare of all animals used in the
project. I understand that I have an obligation to treat the animals with respect and to consider
their welfare as an essential factor when planning or conducting projects (see The Code 1.4).
I agree to comply with any conditions imposed by the Macquarie University Animal Ethics
Committee.
I have read and understood the University OH&S Guideline entitled “Working with Research
Animals”.
Adequate resources (financial, human, etc.) are available to undertake this project
Signed:
Date:
- 14 -
4.4. Personnel other than the PI:
For each additional person, copy Sections 4.4.1 through 4.4.4 below and complete.
4.4.1. Personal Details
(a)
Name
(Title, First name, Surname)
(b) MQ Staff/Student ID
(c)
MQ Department
(d) Phone (mobile)
(e)
Phone (work)
(f)
Email (note all AEC correspondence will be
via email)
(g)
Institution (if external to MQ)
(h) Position at MQ (if Staff)
(i)
Qualifications (if post grad)
(j)
Degree enrolled in (if Student)
4.4.2. Attendance at an Animal Ethics or Welfare course
(a) Has this person attended an Animal Ethics or Welfare course? e.g. University of Sydney
“Introduction to Animal Research” course or Macquarie University “Working With Research
Animals Workshop”
Yes
No
either
(b)
The research office has my certificate on file – go to question 4.3.3
(c) Course name and
convening Institution
If YES
or
(d) Date
(e) Please attach a copy
of course certificate
either
Attached
(g) I have experience in supervision of
ethical conduct of animal research
SUMMARISE
EXPERIENCE HERE
(h) Will the person be attending the next
If NO
or
(i)
available course? If not, why not?
Who will be responsible for supervision
of this person in the ethical/welfare
aspects of this project?
(Macquarie University runs a course on Animal Research Ethics every February and July.
encourages all students and staff to attend.)
The AEC
- 15 4.4.3. Role in this project
(a) Role (e.g. Associate Investigator / Research Assistant etc.)
(b) List the specific duties or tasks the person will undertake in this project (e.g. trapping,
tagging, etc.) and indicate their level of experience in these procedures in the species
relevant to this project.
Level of RECENT experience
Specific duties/tasks
Species
(Approx. number of times this person has
performed the procedure in this species
in the recent past)
None
(EXAMPLE) pitfall traps
Mammals,
reptiles and X
amphibians
Limited
(e.g. <20)
High
(e.g. >20)
Name of Senior staff
on project who will
supervise (if level of
experience is "None" or
"Limited")
Dr Jones
4.4.4. Declaration of Responsibility
(For Personnel other than the PI)
I confirm that:
I have read and understood this application.
I agree to comply with the procedures described and with any conditions imposed by the
Macquarie University Animal Ethics Committee.
I am familiar with the Australian Code of Practice for the Care and Use of Animals for Scientific
Purposes, NH&MRC 7th Edition 2004 and the NSW Animal Research Act 1985 and Regulation
2010, and agree to work within these codes.
I have read and understood the University OH&S Guideline entitled “Working with Research
Animals”
Signed:
Date:
- 16 -
CHECKLIST
What is happening to the animals?
What will be the effects?
How will the effects be minimised?
Anaesthesia
Drug treatments
Substance
Fasting
Induction
drug, dose, route
Maintenance
drug, dose, route
Methods of monitoring anaesthesia and recovery
Additional support during anaesthesia and recovery
(eg heat, intravenous fluids)
Location of induction and recovery areas
Volume
Route
Frequency/total number per animal
Local and systemic effects
Anaesthesia or analgesia
Possible side effects
Restraint
Euthanasia
Behaviour modification
Stimulus (type, duration, frequency)
Method
Location (where procedure will be performed)
Expertise of personnel
Blood/body fluid collection
Genetic manipulation
Volume
Route
Frequency
Anaesthesia or analgesia
Restraint
Animal monitoring (methods, frequency)
Methods
Potential effects
Diet/water modifications
Type
Amount
Effects
Measurement of intake
Animal monitoring
ARRP Guideline 12 Updated February 2000
Animal Research Application Form (model)
Housing
Location
Isolation
Group housing (stocking rates, sexes)
Shelter
Bedding
Hiding areas
Environmental enrichment
Duration held
Conditioning period
- 17 -
In-vitro studies
Tumour/neoplasia induction
Source of animals
Duration held
Euthanasia
Method
Site
Endpoint
Animal monitoring (methods, frequency)
Surgery
Anaesthesia
Location of pre-operative preparation area
Pre-operative preparation
Surgical procedure (site, technique)
Sterile technique (instruments, drapes, surgeon)
Location of and housing in post-operative
recovery area
Post-operative management
Post-operative monitoring (methods, frequency,
duration)
Use of analgesics (type, dose, route, frequency,
means of determining necessity for use)
Expertise
Toxicology
Substance
Volume
Route
Frequency of treatments / total number per animal
Local and systemic effects
Anaesthesia or analgesia
Restraint
Animal monitoring (methods, frequency)
Endpoint/duration
Transport
Type
Duration
Confinement
Numbers of animals
Airconditioning
ARRP Guideline 12 Updated February 2000
Animal Research Application Form (model)
Teaching
Source of animals
Housing
Duration held
Method of disposal
Wildlife studies
Location
Methods
Capture methods
Handling/restraint
Housing
Monitoring
Release
Effects on population