[Code of Federal Regulations]
[Title 21, Volume 6]
[Revised as of January 1, 2003]
From the U.S. Government Printing Office via GPO Access
[CITE: 21CFR514.1]

[Page 57-64]
 
                        TITLE 21--FOOD AND DRUGS
 
CHAPTER I--FOOD AND DRUG ADMINISTRATION, DEPARTMENT OF HEALTH AND HUMAN 
                          SERVICES (CONTINUED)
 
PART 514--NEW ANIMAL DRUG APPLICATIONS--Table of Contents
 
                      Subpart A--General Provisions
 
Sec.  514.1  Applications.


    (a) Applications to be filed under section 512(b) of the act shall 
be submitted in the form described in paragraph (b) of this section. If 
any part of the application is in a foreign language, an accurate and 
complete English translation shall be appended to such part. 
Translations of literature printed in a foreign language shall be 
accompanied by copies of the original publication. The application must 
be signed by the applicant or by an authorized attorney, agent, or 
official. If the applicant or such authorized representative does not 
reside or have a place of business within the United States, the 
application must also furnish the name and post office address of, and 
must be countersigned by, an authorized attorney, agent, or official 
residing or maintaining a place of business within the United States. 
Pertinent information may be incorporated in, and will be considered as 
part of, an application on the basis of specific reference to such 
information, including information submitted under the provisions of 
Sec.  511.1 of this chapter, in the files of the Food and Drug 
Administration; however, the reference must be specific in identifying 
the information. Any reference to information furnished by a person 
other than the applicant may not be considered unless its use is 
authorized in a written statement signed by the person who submitted it.
    (b) Applications for new animal drugs shall be submitted in 
triplicate and assembled in the manner prescribed by paragraph (b)(15) 
of this section, and shall include the following information:
    (1) Identification. Whether the submission is an original or 
supplemental application; the name and the address of the applicant; the 
date of the application; the trade name(s) (if one has been proposed) 
and chemical name(s) of the new animal drug. Upon receipt, the 
application will be assigned a number NADA ----, which shall be used for 
all correspondence with respect to the application.
    (2) Table of contents and summary. The application shall be 
organized in a cohesive fashion, shall contain a table of contents which 
identifies the data and other material submitted, and shall contain a 
well-organized summary and evaluation of the data in the following form:
    (i) Chemistry:
    (a) Chemical structural formula or description for any new animal 
drug substance.
    (b) Relationship to other chemically or pharmacologically related 
drugs.
    (c) Description of dosage form and quantitative composition.
    (ii) Scientific rationale and purpose the new animal drug is to 
serve:
    (a) Clinical purpose.
    (b) Highlights of laboratory studies: The reasons why certain types 
of studies were done or omitted as related to the proposed conditions of 
use and to information already known about this class of compounds. 
Emphasize any unusual or particularly significant pharmacological 
effects or toxicological findings.

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    (c) Highlights of clinical studies: The rationale of the clinical 
study plan showing why types of studies were done, amended, or omitted 
as related to laboratory studies and prior clinical experience.
    (d) Conclusions: A short statement of conclusions combining the 
major points of effectiveness and safety as they relate to the use of 
the new animal drug.
    (3) Labeling. Three copies of each piece of all labeling to be used 
for the article (total of 9).
    (i) All labeling should be identified to show its position on, or 
the manner in which it is to accompany the market package.
    (ii) Labeling for nonprescription new animal drugs should include 
adequate directions for use by the layman under all conditions of use 
for which the new animal drug is intended, recommended, or suggested in 
any of the labeling or advertising sponsored by the applicant.
    (iii) Labeling for prescription veterinary drugs should bear 
adequate information for use under which veterinarians can use the new 
animal drug safely and for the purposes for which it is intended, 
including those purposes for which it is to be advertised or 
represented, in accord with Sec.  201.105 of this chapter.
    (iv) All labeling for prescription or nonprescription new animal 
drugs shall be submitted with any necessary use restrictions prominently 
and conspicuously displayed.
    (v) Labeling for new animal drugs intended for use in the 
manufacture of medicated feeds shall include:
    (a) Specimens of labeling to be used for such new animal drug with 
adequate directions for the manufacture and use of finished feeds for 
all conditions for which the new animal drug is intended, recommended, 
or suggested in any of the labeling, including advertising, sponsored by 
the applicant. Ingredient labeling may utilize collective names as 
provided in Sec.  501.110 of this chapter.
    (b) Representative labeling proposed to be used for Type B and Type 
C medicated feeds containing the new animal drug.
    (vi) Draft labeling may be submitted for preliminary consideration 
of an application. Final printed labeling will ordinarily be required 
prior to approval of an application. Proposed advertising for veterinary 
prescription drugs may be submitted for comment or approval.
    (4) Components and composition. A complete list of all articles used 
for production of the new animal drug including a full list of the 
composition of each article:
    (i) A full list of the articles used as components of the new animal 
drug. This list should include all substances used in the synthesis, 
extraction, or other method of preparation of any new animal drug and in 
the preparation of the finished dosage form, regardless of whether they 
undergo chemical change or are removed in the process. Each component 
should be identified by its established name, if any, or complete 
chemical name, using structural formulas when necessary for specific 
identification. If any proprietary name is used, it should be followed 
by a complete quantitative statement of composition. Reasonable 
alternatives for any listed component may be specified.
    (ii) A full statement of the composition of the new animal drug. The 
statement shall set forth the name and amount of each ingredient, 
whether active or not, contained in a stated quantity of the new animal 
drug in the form in which it is to be distributed (for example, amount 
per tablet or milliliter) and a batch formula representative of that to 
be employed for the manufacture of the finished dosage form. All 
components should be included in the batch formula regardless of whether 
they appear in the finished product. Any calculated excess of an 
ingredient over the label declaration should be designated as such and 
percent excess shown. Reasonable variation may be specified.
    (iii) If it is a new animal drug produced by fermentation:
    (a) Source and type of microorganism used to produce the new animal 
drug.
    (b) Composition of media used to produce the new animal drug.
    (c) Type of precursor used, if any, to guide or enhance production 
of the antibiotic during fermentation.
    (d) Name and composition of preservative, if any, used in the broth.

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    (e) A complete description of the extraction and purification 
processes including the names and compositions of the solvents, 
precipitants, ion exchange resins, emulsifiers, and all other agents 
used.
    (f) If the new animal drug is produced by a catalytic hydrogenation 
process (such as tetracycline from chlortetracycline), a complete 
description of each chemical reaction with graphic formulas used to 
produce the new animal drug, including the names of the catalyst used, 
how it is removed, and how the new animal drug is extracted and 
purified.
    (5) Manufacturing methods, facilities, and controls. A full 
description of the methods used in, and the facilities and controls used 
for, the manufacture, processing, and packing of the new animal drug. 
This description should include full information with respect to any new 
animal drug in sufficient detail to permit evaluation of the adequacy of 
the described methods of manufacture, processing, and packing, and the 
described facilities and controls to determine and preserve the 
identity, strength, quality, and purity of the new animal drug, and the 
following:
    (i) If the applicant does not himself perform all the manufacturing, 
processing, packaging, labeling, and control operations for any new 
animal drug, he shall: Identify each person who will perform any part of 
such operations and designate the part; and provide a signed statement 
from each such person fully describing, directly or by reference, the 
methods, facilities, and controls he will use in his part of the 
operation. The statement shall include a commitment that no changes will 
be made without prior approval by the Food and Drug Administration, 
unless permitted under Sec.  514.8.
    (ii) A description of the qualifications, including educational 
background and experience, of the technical and professional personnel 
who are responsible for assuring that the new animal drug has the 
identity, strength, quality, and purity it purports or is represented to 
possess, and a statement of their responsibilities.
    (iii) A description of the physical facilities including building 
and equipment used in manufacturing, processing, packaging, labeling, 
storage, and control operations.
    (iv) The methods used in the synthesis, extraction, isolation, or 
purification of any new animal drug. When the specifications and 
controls applied to such new animal drugs are inadequate in themselves 
to determine its identity, strength, quality, and purity, the methods 
should be described in sufficient detail, including quantities used, 
times, temperature, pH, solvents, etc., to determine these 
characteristics. Alternative methods or variations in methods within 
reasonable limits that do not affect such characteristics of the new 
animal drug may be specified. A flow sheet and indicated equations 
should be submitted when needed to explain the process.
    (v) Precautions to insure proper identity, strength, quality, and 
purity of the raw materials, whether active or not, including:
    (a) The specifications for acceptance and methods of testing for 
each lot of raw material.
    (b) A statement as to whether or not each lot of raw materials is 
given a serial number to identify it, and the use made of such numbers 
in subsequent plant operations.
    (vi) The instructions used in the manufacturing, processing, 
packaging, and labeling of each dosage form of the new animal drug, 
including:
    (a) The method of preparation of the master formula records and 
individual batch records and the manner in which these records are used.
    (b) The number of individuals checking weight or volume of each 
individual ingredient entering into each batch of the new animal drug.
    (c) A statement as to whether or not the total weight or volume of 
each batch is determined at any stage of the manufacturing process 
subsequent to making up a batch according to the formula card and, if 
so, at what stage and by whom it is done.
    (d) The precautions used in checking the actual package yield 
produced from a batch of the new animal drug with the theoretical yield. 
This should include a description of the accounting for such items as 
discards, breakage, etc., and the criteria used in accepting

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or rejecting batches of drugs in the event of an unexplained 
discrepancy.
    (e) The precautions used to assure that each lot of the new animal 
drug is packaged with the proper label and labeling, including 
provisions for labeling storage and inventory control.
    (f) Any special precautions used in the operations.
    (vii) The analytical controls used during the various stages of the 
manufacturing, processing, packaging, and labeling of the new animal 
drug, including a detailed description of the collection of samples and 
the analytical procedures to which they are subjected. The analytical 
procedures should be capable of determining the active components within 
a reasonable degree of accuracy and of assuring the identity of such 
components.
    (a) A description of practicable methods of analysis of adequate 
sensitivity to determine the amount of the new animal drug in the final 
dosage form should be included. The dosage form may be a finished 
pharmaceutical product, a Type A medicated article, a Type B or a Type C 
medicated feed, or a product for use in animal drinking water. Where two 
or more active ingredients are included, methods should be quantitative 
and specific for each active ingredient.
    (b) If the article is one that is represented to be sterile, the 
same information with regard to the manufacturing, processing, 
packaging, and the collection of samples of the drug should be given for 
sterility controls. Include the standards used for acceptance of each 
lot of the finished drug.
    (viii) An explanation of the exact significance of any batch control 
numbers used in the manufacturing, processing, packaging, and labeling 
of the new animal drug, including such control numbers that may appear 
on the label of the finished article. State whether these numbers enable 
determination of the complete manufacturing history of the product. 
Describe any methods used to permit determination of the distribution of 
any batch if its recall is required.
    (ix) Adequate information with respect to the characteristics of and 
the test methods employed for the container, closure, or other component 
parts of the drug package to assure their suitability for the intended 
use.
    (x) A complete description of, and data derived from, studies of the 
stability of the new animal drug in the final dosage form, including 
information showing the suitability of the analytical methods used. A 
description of any additional stability studies underway or planned. 
Stability data for the finished dosage form of the new animal drug in 
the container in which it is to be marketed, including any proposed 
multiple dose container, and, if it is to be put into solution at the 
time of dispensing, for the solution prepared as directed. If the new 
animal drug is intended for use in the manufacture of Type C medicated 
feed as defined in Sec.  558.3 of this chapter, stability data derived 
from studies in which representative formulations of the medicated feed 
articles are used. Similar data may be required for Type B medicated 
feeds as determined by the Food and Drug Administration on a case-by-
case basis. Expiration dates shall be proposed for finished 
pharmaceutical dosage forms and Type A medicated articles. If the data 
indicate that an expiration date is needed for Type B or Type C 
medicated feeds, the applicant shall propose such expiration date. If no 
expiration date is proposed for Type B or Type C medicated feeds, the 
applicant shall justify its absence with data.
    (xi) Additional procedures employed which are designed to prevent 
contamination and otherwise assure proper control of the product. An 
application may be refused unless it includes adequate information 
showing that the methods used in, and the facilities and controls used 
for, the manufacturing, processing, and packaging of the new animal drug 
are adequate to preserve its identity, strength, quality, and purity in 
conformity with good manufacturing practice and identifies each 
establishment, showing the location of the plant conducting these 
operations.
    (6) Samples. Samples of the new animal drug and articles used as 
components and information concerning them may be requested by the 
Center for Veterinary Medicine as follows:
    (i) Each sample shall consist of four identical, separately packaged 
subdivisions, each containing at least three

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times the amount required to perform the laboratory test procedures 
described in the application to determine compliance with its control 
specifications for identity and assays. Each of the samples submitted 
shall be appropriately packaged and labeled to preserve its 
characteristics, to identify the material and the quantity in each 
subdivision of the sample, and to identify each subdivision with the 
name of the applicant and the new animal drug application to which it 
relates. Included are:
    (a) A sample or samples of any reference standard and blank used in 
the procedures described in the application for assaying each new animal 
drug and other assayed components of the finished new animal drug.
    (b) A representative sample or samples of each strength of the 
finished dosage form proposed in the application and employed in the 
clinical investigations and a representative sample or samples of each 
new animal drug from the batch(es) employed in the production of such 
dosage form.
    (c) A representative sample or samples of finished market packages 
of each strength of the dosage form of the new animal drug prepared for 
initial marketing and, if any such sample is not from a representative 
commercial-scale production batch, such a sample from a representative 
commercial-scale production batch, and a representative sample or 
samples of each new animal drug from the batch(es) employed in the 
production of such dosage form, provided that in the case of new animal 
drugs marketed in large packages the sample should contain only three 
times a sufficient quantity of the new animal drug to allow for 
performing the control tests for drug identity and assays.
    (ii) The following information shall be included for the samples 
when requested:
    (a) For each sample submitted, full information regarding its 
identity and the origin of any new animal drug contained therein 
(including a statement whether it was produced on a laboratory, pilot-
plant, or full-production scale) and detailed results of all laboratory 
tests made to determine the identity, strength, quality, and purity of 
the batch represented by the sample, including assays.
    (b) For any reference standard submitted, a complete description of 
its preparation and the results of all laboratory tests on it. If the 
test methods used differed from those described in the application, full 
details of the methods employed in obtaining the reporting results.
    (7) Analytical methods for residues. Applications shall include a 
description of practicable methods for determining the quantity, if any, 
of the new animal drug in or on food, and any substance formed in or on 
food because of its use, and the proposed tolerance or withdrawal period 
or other use restrictions to ensure that the proposed use of this drug 
will be safe. When data or other adequate information establish that it 
is not reasonable to expect the new animal drug to become a component of 
food at concentrations considered unsafe, a regulatory method is not 
required.
    (i) The kind of information required by this subdivision may 
include: Complete experimental protocols for determining drug residue 
levels in the edible products, and the length of time required for 
residues to be eliminated from such products following the drug's use; 
residue studies conducted under appropriate (consistent with the 
proposed usage) conditions of dosage, time, and route of administration 
to show levels, if any, of the drug and/or its metabolites in test 
animals during and upon cessation of treatment and at intervals 
thereafter in order to establish a disappearance curve; if the drug is 
to be used in combination with other drugs, possible effects of 
interaction demonstrated by the appropriate disappearance curve or 
depletion patterns after drug withdrawal under appropriate (consistent 
with the proposed usage) conditions of dosage, time, and route of 
administration; if the drug is given in the feed or water, appropriate 
consumption records of the medicated feed or water and appropriate 
performance data in the treated animal; if the drug is to be used in 
more than one species, drug residue studies or appropriate metabolic 
studies conducted for each species that is food-producing. To provide 
these data, a sufficient number

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of birds or animals should be used at each sample interval. Appropriate 
use of labeled compounds (e.g. radioactive tracers), may be utilized to 
establish metabolism and depletion curves. Drug residue levels 
ordinarily should be determined in muscle, liver, kidney, and fat and 
where applicable, in skin, milk, and eggs (yolk and egg white). As a 
part of the metabolic studies, levels of the drug or metabolite should 
be determined in blood where feasible. Samples may be combined where 
necessary. Where residues are suspected or known to be present in litter 
from treated animals, it may be necessary to include data with respect 
to such residues becoming components of other agricultural commodities 
because of use of litter from treated animals.
    (ii) A new animal drug that has the potential to contaminate human 
food with residues whose consumption could present a risk of cancer to 
people must satisfy the requirements of subpart E of part 500 of this 
chapter.
    (8) Evidence to establish safety and effectiveness. (i) An 
application may be refused unless it contains full reports of adequate 
tests by all methods reasonably applicable to show whether or not the 
new animal drug is safe and effective for use as suggested in the 
proposed labeling.
    (ii) An application may be refused unless it includes substantial 
evidence of the effectiveness of the new animal drug as defined in Sec.  
514.4.
    (iii) An application may be refused unless it contains detailed 
reports of the investigations, including studies made on laboratory 
animals, in which the purpose, methods, and results obtained are clearly 
set forth of acute, subacute, and chronic toxicity, and unless it 
contains appropriate clinical laboratory results related to safety and 
efficacy. Such information should include identification of the person 
who conducted each investigation, a statement of where the 
investigations were conducted, and where the raw data are available in 
the application.
    (iv) All information pertinent to an evaluation of the safety and 
effectiveness of the new animal drug received or otherwise obtained by 
the applicant from any source, including information derived from other 
investigations or commercial marketing (for example, outside the United 
States), or reports in the scientific literature, both favorable and 
unfavorable, involving the new animal drug that is the subject of the 
application and related new animal drugs shall be submitted. An adequate 
summary may be acceptable in lieu of a reprint of a published report 
that only supports other data submitted. Include any evaluation of the 
safety or effectiveness of the new animal drug that has been made by the 
applicant's veterinary or medical department, expert committee, or 
consultants.
    (v) If the new animal drug is a combination of active ingredients or 
animal drugs, an application may be refused unless it includes 
substantial evidence of the effectiveness of the combination new animal 
drug as required in Sec.  514.4.
    (vi) An application shall include a complete list of the names and 
post office addresses of all investigators who received the new animal 
drug. This may be incorporated in whole or in part by reference to 
information submitted under the provisions of Sec.  511.1 of this 
chapter.
    (vii) Explain any omission of reports from any investigator to whom 
the investigational new animal drug has been made available. The 
unexplained omission of any reports of investigations made with the new 
animal drug by the applicant or submitted to him by an investigator or 
the unexplained omission of any pertinent reports of investigations or 
clinical experience received or otherwise obtained by the applicant from 
published literature or other sources that would bias an evaluation of 
the safety of the new animal drug or its effectiveness in use, 
constitutes grounds for the refusal or withdrawal of the approval of an 
application.
    (viii) If a sponsor has transferred any obligations for the conduct 
of any clinical study to a contract research organization, the 
application is required to include a statement containing the name and 
address of the contract research organization, identifying the clinical 
study, and listing the obligations transferred. If all obligations 
governing the conduct of the study have been transferred, a general 
statement of this transfer--in lieu of a listing of

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the specific obligations transferred--may be submitted.
    (ix) If original subject records were audited or reviewed by the 
sponsor in the course of monitoring any clinical study to verify the 
accuracy of the case reports submitted to the sponsor, a list 
identifying each clinical study so audited or reviewed.
    (9) Veterinary feed directive. Three copies of a veterinary feed 
directive (VFD) must be submitted in the format described under Sec.  
558.6(a)(4) of this chapter.
    (10) Supplemental applications. If it is a supplemental application, 
full information shall be submitted on each proposed change concerning 
any statement made in the approved application.
    (11) Applicant's commitment. It is understood that the labeling and 
advertising for the new animal drug will prescribe, recommend, or 
suggest its use only under the conditions stated in the labeling which 
is part of this application and if the article is a prescription new 
animal drug, it is understood that any labeling which furnishes or 
purports to furnish information for use or which prescribes, recommends, 
or suggests a dosage for use of the new animal drug will also contain, 
in the same language and emphasis, information for its use including 
indications, effects, dosages, routes, methods, and frequency and 
duration of administration, any relevant hazards, contraindications, 
side effects, and precautions contained in the labeling which is part of 
this application. It is understood that all representations in this 
application apply to the drug produced until changes are made in 
conformity with Sec.  514.8.
    (12) Additional commitments. (i) New animal drugs as defined in 
Sec.  510.3 of this chapter, intended for use in the manufacture of 
animal feeds in any State will be shipped only to persons who may 
receive such drugs in accordance with Sec.  510.7 of this chapter.
    (ii) The methods, facilities, and controls described under item 5 of 
this application conform to the current good manufacturing practice 
regulations in subchapter C of this chapter.
    (iii) With respect to each nonclinical laboratory study contained in 
the application, either a statement that the study was conducted in 
compliance with the good laboratory practice regulations set forth in 
part 58 of this chapter, or, if the study was not conducted in 
compliance with such regulations, a brief statement of the reason for 
the noncompliance.
    (13) [Reserved]
    (14) Environmental assessment. The applicant is required to submit 
either a claim for categorical exclusion under Sec.  25.30 or Sec.  
25.33 of this chapter or an environmental assessment under Sec.  25.40 
of this chapter.
    (15) Assembling and binding the application. Assemble and bind an 
original and two copies of the application as follows:
    (i) Bind the original or ribbon copy of the application as copy No. 
1.
    (ii) Bind two identical copies as copy No. 2 and copy No. 3.
    (iii) Identify each front cover with the name of the applicant, new 
animal drug, and the copy number.
    (iv) Number each page of the application sequentially in the upper 
right hand corner or in another location so that the page numbers remain 
legible after the application has been bound, and organize the 
application consistent with paragraphs (b) (1) through (14) of this 
section. Each copy should bear the same page numbering, whether 
sequential in each volume or continuous and sequential throughout the 
application.
    (v) Include complete labeling in each of the copies. It is suggested 
that labeling be identified by date of printing or date of preparation.
    (vi) Submit separate applications for each different dosage form of 
the drug proposed. Repeating basic information pertinent to all dosage 
forms in each application is unnecessary if reference is made to the 
application containing such information. Include in each application 
information applicable to the specific dosage form, such as labeling, 
composition, stability data, and method of manufacture.
    (vii) Submit in folders amendments, supplements, and other 
correspondence sent after submission of an original application. The 
front cover of these submissions should be identified with the name of 
the applicant, new animal

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drug, copy number, and the new animal drug application number, if known.
    (c) When a new animal drug application is submitted for a new animal 
drug which has a stimulant, depressant, or hallucinogenic effect on the 
central nervous system, if it appears that the drug has a potential for 
abuse, the Commissioner shall forward that information to the Attorney 
General of the United States.
    (d) Minor use applications. Applications for minor use new animal 
drugs:
    (1) Definitions. For the purpose of this section:
    (i) Minor use means the use of: (a) New animal drugs in minor animal 
species, or (b) new animal drugs in any animal species for the control 
of a disease that (1) occurs infrequently or (2) occurs in limited 
geographic areas.
    (ii) Minor species means animals other than cattle, horses, swine, 
chickens, turkeys, dogs, and cats.
    (2) Animal safety, effectiveness, human food safety, and 
environmental considerations. Guidance documents for the preparation and 
submission of data to satisfy the requirements of section 512 of the act 
regarding animal safety, effectiveness, human food safety, and 
environmental considerations for new animal drugs intended for a minor 
use (as defined in paragraph (d)(1)(i) of this section) are available 
from the Industry Information Staff (HFV-11), Center for Veterinary 
Medicine, Food and Drug Administration, 7500 Standish Pl., Rockville, MD 
20855.
    (i) Animal safety and effectiveness. Where the guidance documents do 
not specifically provide for a particular minor use, the Center for 
Veterinary Medicine, upon request, will advise interested persons on the 
effectiveness and animal safety data regarding the minor use that will 
be needed to satisfy the requirements of section 512 of the act. Where 
scientifically appropriate, the Center for Veterinary Medicine will 
allow the use of animal models and the extrapolation of data from a 
major species to a minor species to satisfy the requirements of the act.
    (ii) Human food safety and environmental considerations. These 
guidance documents do not specifically provide for a particular minor 
use. Therefore, the Center for Veterinary Medicine will, upon request, 
advise interested persons of the data that will be needed. Where 
scientifically appropriate, the Center for Veterinary Medicine will 
allow the extrapolation of data from a major species to a minor species 
to satisfy the requirements of the act.

[40 FR 13825, Mar. 27, 1975]

    Editorial Note: For Federal Register citations affecting Sec.  
514.1, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and on GPO Access.