Forms, training & reporting of non-compliance

Application Form

Always download applications/templates from the ethics website when completing a new application. Superseded application and amendment forms will not be accepted by the Animal Ethics Committee (AEC) as they do not comply with current legislative requirements.  If superseded applications are used, they will be returned to the Principal Researcher.

Application Form

Your completed application form for ethics approval must be emailed animalethics@une.edu.au.

The AEC suggests that applications are submitted at a minimum three months before approx. project commencement.

Helpful Links

Animal Use Procedure List

Animal Use Purpose List

Species Category Numbers

UNE approved Standard Operating Procedures (SOP's) can be found on the SOP webpage (UNE staff log-in required) or email animalethics@une.edu.au for a copy of the required SOP's.

Sample Information Sheet and Consent Form

These templates must be submitted with applications where the researchers are using privately owned animals.  Please modify these forms so that they align with your project. They are samples only and contain information that must be given to the animals owners.

Information Sheet for Owners of Privately Owned Animals Used in Research

Consent Form

Variation Form

Variation Form

During the course of your research, you may need to amend your originally approved research protocol. This should be done using a Variation Form. Variations may include, but are not limited to, extensions of time, change of personnel, change of project title, change of location and some procedural changes.

The Animal Ethics Committee can only approve projects for the duration of twelve months at a time. If you require an extension, beyond this, a Progress Report accompanying a Variation must be submitted.

Progress & Final Reports

Progress Report

Must be completed when submitting a Variation requesting an extension of time beyond the original twelve months. A Progress Report cannot be used to request an extension of time. This must be requested using a Variation form.

Final Report

Must be completed and submitted once you have finished your data collection and must be submitted within three months of the expiry of a protocol.

Breeding Colony Maintenance Report

Breeding Colony Maintenance Report

If you are the holder of a breeding /colony Authority you will need to complete a Breeding Colony report every six months.

Unexpected Adverse Event and Post Mortem Reports

Note: An Unexpected Adverse event is anything that may have a negative impact on the wellbeing of animals and was not foreshadowed in the approved project or activity. It does not have to have resulted in the death of an animal.

All unexpected adverse events must be reported to the AEC in writing to animalethics@une.edu.au within 24 hours of the event.

Unexpected Adverse Event Report

To be completed and submitted to animalethics@une.edu.au within 72 hours of the event

Post-mortem Report Template

To be completed if the unexpected adverse event resulted in the death of a research or teaching animal and submitted to animalethics@une.edu.au within 72 hours of the death

Reporting of Regulatory Breaches - non-compliance

The University of New England is committed to complying with the highest standard of ethics and research integrity. The University's Code of Conduct for Research outlines what is expected from everyone engaged in research at UNE with standards of responsible and ethical conduct. The Animal Ethics Committee (AEC) uses guidelines set out in the Australian Code for the Care and Use of Animals for Scientific Purposes.

See Animal Ethics Committee Operating Procedure.

Regulatory breaches - non-compliance reporting form

Bringing forward a matter of regulatory breach - non-compliance

What is a regulatory breach - non-compliance?

A regulatory breach is a failure to comply with the Code or other regulations relating to animal use. A regulatory breach may involve any party involved in the use of animals including investigators, animal carers, the AEC, governance officials, and external parties involved in animal use approved by the UNE AEC (Section 5.1.4 Australian code for the care and use of animals for scientific purposes).

Regulatory breaches may include, but are not limited to:

  • Carrying out procedures not approved by the AEC for a specific project.
  • Mistreatment of research/teaching animals.
  • Carrying out animal research/teaching without an active animal research authority.
  • Non-approved personnel working on a project.
  • Care and use of animals for scientific purposes that are not being conducted in accordance with the Code and or other relevant legislation.
  • Failure to inform the AEC of unexpected adverse events and complete post mortems within the specified time frame (72 hours).

Where a non-compliance raises the possibility of ‘research misconduct’, as described in the Australian code for the responsible conduct of research, refer to the University of New England Research Integrity processes.

What should I do if I have a concern about research or a potential breach or matter of non-compliance?

Have you spoken with the Chair or Deputy Chair of the Animal Ethics Committee?

Your first point of contact should be the Chair or Deputy Chair of the AEC, they will be familiar with the Australian code for the care and use of animals for scientific purposes and Animal Research Act.

You can also make a report directly to the Animal Ethics Officer at UNE at animalethics@une.edu.au.

Alternatively, you can also make a complaint directly to the Research Integrity Office at UNE at researchintegrity@une.edu.au.

Do I have to make a report of non-compliance if I have observed someone doing the wrong thing?

Employees and staff of the University of New England are encouraged to report any possible regulatory breaches/matter of non-compliance. UNE researchers are expected to be committed to high standards of professional conduct in accord with the accepted practice of their disciplines, codes of relevant external funding bodies and legislative requirements. Allowing people to do the wrong thing can have a detrimental impact on the reputation of UNE, the excellence of research more generally and poses a risk at an institutional level that may result in the loss of licence for UNE as a registered animal research facility.

How do I report of potential breach/non-compliance?

If you would like to make a report of non-compliance, you can lodge this in writing with UNE through the Animal Ethics Officer animalethics@une.edu.au. Please include as much information in the email as possible, and, at a minimum, times/dates, Animal Research Authority Number, names of people at fault, what constituted the breach. See regulatory breaches – non-compliance reporting form.

Can I remain anonymous if I make a report of non-compliance?

Yes, the University can receive anonymous reports of non-compliance.  However, it is important to remember that the University can only act on the information it is provided.

If you wish to make an anonymous report of non-compliance, you can do so by:

  • Sending a written report by internal or external mail to the Animal Ethics Officer, Research Services, T.C Lamble Building, UNE.
  • Sending an email to animalethics@une.edu.au from an email address that does not contain your name or any other obvious identifier.

Can I escalate this matter externally, or must I always lodge the potential breach with the University?

You can directly approach any of the agencies listed below rather than go through the UNE process. In some cases, the agency may suggest to you that you have the potential breach dealt with under the University’s processes in the first instance.

Things to keep in mind

Don’t leave it too late. The sooner you seek information about your concern or report a potential breach/matter of non-compliance, the quicker the issue may be resolved, which is of utmost importance when there is a concern for animal welfare.

Remain respectful - You might be dissatisfied about something, but please be mindful in communicating your concerns with courtesy and respect.

Maintain confidentiality - It is important that the details of the potential breach you have raised remain confidential. Confidentiality will be required of everyone who becomes involved in the process.

What happens next?

When a regulatory breach is detected, the Animal Ethics Committee (AEC) will ensure that:

  • Activities that have the potential to adversely affect animal welfare cease immediately.
  • The issue is addressed promptly in consultation with the Principal Investigator.

Further action to be taken by the AEC to address regulatory breaches (s2.3.2.4) may include:

  • Suspending or withdrawing approval for the project.
  • Referral to UNE management (s2.3.25, s5.5.2) via six monthly Chair report at the University Research Committee.
  • Requirement of additional training and competency assessment.
  • Referral to the Research Integrity office of UNE.
  • Other measures determined by the AEC to encourage compliance and reinforce an understanding that behaviours that compromise compliance are not tolerated (s5.9).
  • Notification of regulatory authorities in cases where there has been a significant impact on animal welfare (s5.12).

All offending researchers involved in the matter of non-compliance will be required to re-sit the UNE animal ethics course. As a result, those researchers will not be able to be listed on any new projects until the ethics course has been completed.

What can I do if I’m dissatisfied with the process or outcome?

If you are dissatisfied with the outcome or the way your report was handled by the University, you are directed to the Animal Ethics Operating Procedure – complaints relating to animal research. Alternatively, you can contact any of the following agencies.

Anything else I should know?

Please be aware that the University will not accept reports of non-compliance which are vexatious or malicious.

Depending on the type of report of non-compliance, the University may deal with the report of non-compliance under an alternate UNE policy or procedure. The University may refer reports of non-compliance to other organisations or agencies where a non-compliance report falls outside of its scope of responsibility and control or where it is lawfully required to do so. UNE will inform the complainant of any referral.

Additional Resources

Animal Ethics Course

Animal Ethics Course Requirements

It is mandatory that anyone who is working on animals at the University of New England complete the Animal Ethics Course. This is in accordance with section 2.4.4.5 of the code, which states, ‘Investigators must undertake education and training, competency assessment, in accordance with the institutional and AEC policies and procedures.’

If you have not completed the UNE’s Animal Ethics Course then you will need to do one of the following:

  • If you have completed an Animal Ethics Course at another university or institution please attach a copy of this to your application. If it is deemed to be acceptable, you will be issued with an Animal Ethics Number.

The UNE requires that all animal users complete a refresher course every five years.

Training & Competency

Technical and professional staff, casual staff, students, and higher degree research students must have completed theoretical training in AEC-listed procedures prior to performing those procedures. Theoretical training is provided through the Research@UNE myLearn sites for poultry, cattle and small ruminants, and rodents.

To enrol in training, contact:

UNE Veterinarian/Animal Welfare Officer, Sarah Radford: sradfor3@une.edu.au

CART technical officer, Zoe Brown: zbrown7@une.edu.au

Online theoretical training for an AEC-listed procedure is completed when the participant successfully passes the online quiz for that procedure. The participant may then undertake practical training in the procedure under the direct supervision of an appropriate person (this may include senior researchers with extensive experience, the UNE Veterinarian/AWO, CART and SMART Farms management, CART and SMART Farms technicians, registered veterinarians, industry experts). The person supervising is responsible for ensuring the procedure is conducted in accordance with any relevant legislation, guidelines, SOPs, and/or JSAs. The Principal Investigator is responsible for ensuring the procedure is carried out in accordance with an approved Animal Research Authority (ARA).

Following successful completion of online and practical training, competency assessment may be conducted. An assessment can be arranged by contacting the UNE Veterinarian/AWO or the CART technical officer above. Personnel must be deemed competent prior to performing any AEC-listed procedures unsupervised.

Notification to UNE AEC of work conducted at an external institution

It is a requirement of the “Code” that investigators inform their institutional AEC when conducting work involving animals at another institution. The relevant section of the code is as follows:

Responsibilities of investigators

2.6.8 Investigators must notify the AEC in writing if they are involved in collaborative studies using animals at another institution, or if they are named in an application to the AEC of another institution (see Clause 2.4.9).

In order to fulfil this responsibility staff of UNE who are named in an application to an external AEC are required to complete this notification form.

Rehoming

The UNE Animal Ethics Committee encourages rehoming of research animals where appropriate.

For all animals rehomed at UNE the below transfer of ownership forms must be completed and retained with the project records. The transfer of ownership forms are to be modified to align with your project and must be completed by both the Principal Investigator and new owner.

UNE transfer of ownership form 

UNE transfer of ownership form (owner information)

Species-specific information sheets are available for poultry, sheep and cattle. The species-specific information sheets must be supplied along with the transfer of ownership forms to new owners. Contact animalethics@une.edu.au for a copy of the required information sheets.

UNE rehoming of animals used in research guidelines to be uploaded in 2023.

Submissions

Applications and supporting documents for Animal Ethics approval must be submitted to animalethics@une.edu.au by 12:00 noon on the nominated closing date for discussion at the next committee meeting.