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 Handbook of
Pharmaceutical
Granulation Technology
 DRUGS AND THE PHARMACEUTICAL SCIENCES
A Series of Textbooks and Monographs

Executive Editor

James Swarbrick
PharmaceuTech, Inc.
Pinehurst, North Carolina

Advisory Board

Larry L. Augsburger Harry G. Brittain

University of Maryland Center for Pharmaceutical Physics Milford,
Baltimore, Maryland New Jersey

Jennifer B. Dressman Robert Gurny

University of Frankfurt Institute Universite de Geneve
of Pharmaceutical Technology Geneve, Switzerland
Frankfurt, Germany
Jeffrey A. Hughes
Anthony J. Hickey University of Florida College
University of North Carolina of Pharmacy
School of Pharmacy Gainesville, Florida
Chapel Hill, North Carolina
Vincent H. L. Lee
Ajaz Hussain US FDA Center for Drug
Sandoz Evaluation and Research
Princeton, New Jersey Los Angeles, California

Joseph W. Polli Kinam Park

GlaxoSmithKline Purdue University
Research Triangle Park West Lafayette, Indiana
North Carolina
Jerome P. Skelly
Stephen G. Schulman Alexandria, Virginia
University of Florida
Gainesville, Florida Elizabeth M. Topp
University of Kansas
Yuichi Sugiyama Lawrence, Kansas
University of Tokyo, Tokyo, Japan
Peter York
Geoffrey T. Tucker University of Bradford
University of Sheffield School of Pharmacy
Royal Hallamshire Hospital Bradford, United Kingdom
Sheffield, United Kingdom
 For information on volumes 1–151 in the Drugs and Pharmaceutical
Science Series, please visit www.informahealthcare.com
152. Preclinical Drug Development, edited by Mark C. Rogge and David R. Taft
153. Pharmaceutical Stress Testing: Predicting Drug Degradation, edited by
Steven W. Baertschi
154. Handbook of Pharmaceutical Granulation Technology: Second Edition,
edited by Dilip M. Parikh
155. Percutaneous Absorption: Drugs–Cosmetics–Mechanisms–Methodology,
Fourth Edition, edited by Robert L. Bronaugh and Howard I. Maibach
156. Pharmacogenomics: Second Edition, edited by Werner Kalow, Urs A. Meyer
and Rachel F. Tyndale
157. Pharmaceutical Process Scale-Up, Second Edition, edited by Michael Levin
158. Microencapsulation: Methods and Industrial Applications, Second Edition,
edited by Simon Benita
159. Nanoparticle Technology for Drug Delivery, edited by Ram B. Gupta and
Uday B. Kompella
160. Spectroscopy of Pharmaceutical Solids, edited by Harry G. Brittain
161. Dose Optimization in Drug Development, edited by Rajesh Krishna
162. Herbal Supplements-Drug Interactions: Scientific and Regulatory Perspectives,
edited by Y. W. Francis Lam, Shiew-Mei Huang, and Stephen D. Hall
163. Pharmaceutical Photostability and Stabilization Technology, edited by
Joseph T. Piechocki and Karl Thoma
164. Environmental Monitoring for Cleanrooms and Controlled Environments,
edited by Anne Marie Dixon
165. Pharmaceutical Product Development: In Vitro-In Vivo Correlation, edited by
Dakshina Murthy Chilukuri, Gangadhar Sunkara, and David Young
166. Nanoparticulate Drug Delivery Systems, edited by Deepak Thassu, Michel
Deleers, and Yashwant Pathak
167. Endotoxins: Pyrogens, LAL Testing and Depyrogenation, Third Edition,
edited by Kevin L. Williams
168. Good Laboratory Practice Regulations, Fourth Edition, edited by Anne
Sandy Weinberg
169. Good Manufacturing Practices for Pharmaceuticals, Sixth Edition,
edited by Joseph D. Nally
170. Oral-Lipid Based Formulations: Enhancing the Bioavailability of Poorly
Water-soluble Drugs, edited by David J. Hauss
171. Handbook of Bioequivalence Testing, edited by Sarfaraz K. Niazi
172. Advanced Drug Formulation Design to Optimize Therapeutic Outcomes,
edited by Robert O. Williams III, David R. Taft, and Jason T. McConville
173. Clean-in-Place for Biopharmaceutical Processes, edited by Dale
A. Seiberling
174. Filtration and Purification in the Biopharmaceutical Industry, Second Edition,
edited by Maik W. Jornitz and Theodore H. Meltzer
175. Protein Formulation and Delivery, Second Edition, edited by Eugene
J. McNally and Jayne E. Hastedt
176. Aqueous Polymeric Coatings for Pharmaceutical Dosage Forms, Third
Edition, edited by James McGinity and Linda A. Felton
177. Dermal Absorption and Toxicity Assessment, Second Edition, edited by
Michael S. Roberts and Kenneth A. Walters
178. Preformulation Solid Dosage Form Development, edited by Moji C. Adeyeye
and Harry G. Brittain
179. Drug-Drug Interactions, Second Edition, edited by A. David Rodrigues
180. Generic Drug Product Development: Bioequivalence Issues, edited by
Isadore Kanfer and Leon Shargel
181. Pharmaceutical Pre-Approval Inspections: A Guide to Regulatory Success,
Second Edition, edited by Martin D. Hynes III
182. Pharmaceutical Project Management, Second Edition, edited by
Anthony Kennedy
183. Modified Release Drug Delivery Technology, Second Edition, Volume 1,
edited by Michael J. Rathbone, Jonathan Hadgraft, Michael S. Roberts,
and Majella E. Lane
184. Modified-Release Drug Delivery Technology, Second Edition, Volume 2,
edited by Michael J. Rathbone, Jonathan Hadgraft, Michael S. Roberts, and
Majella E. Lane
185. The Pharmaceutical Regulatory Process, Second Edition, edited by
Ira R. Berry and Robert P. Martin
186. Handbook of Drug Metabolism, Second Edition, edited by Paul G. Pearson and
Larry C. Wienkers
187. Preclinical Drug Development, Second Edition, edited by Mark Rogge and
David R. Taft
188. Modern Pharmaceutics, Fifth Edition, Volume 1: Basic Principles and Systems,
edited by Alexander T. Florence and Jürgen Siepmann
189. Modern Pharmaceutics, Fifth Edition, Volume 2: Applications and Advances,
edited by Alexander T. Florence and Jürgen Siepmann
190. New Drug Approval Process, Fifth Edition, edited by Richard A.Guarino
191. Drug Delivery Nanoparticulate Formulation and Characterization, edited by
Yashwant Pathak and Deepak Thassu
192. Polymorphism of Pharmaceutical Solids, Second Edition, edited by Harry G. Brittain
193. Oral Drug Absorption: Prediction and Assessment, Second Edition, edited by
Jennifer J. Dressman, Hans Lennernas, and Christos Reppas
194. Biodrug Delivery Systems: Fundamentals, Applications, and Clinical Development,
edited by Mariko Morishita and Kinam Park
195. Pharmaceutical Process Engineering, Second Edition, edited by Anthony J. Hickey
and David Ganderton
196. Handbook of Drug Screening, Second Edition, edited by Ramakrishna Seethala and
Litao Zhang
197. Pharmaceutical Powder Compaction Technology, Second Edition, edited by
Metin Celik
198. Handbook of Pharmaceutical Granulation Technology, Third Edition, edited by Dilip
M. Parikh
 THIRD EDITION

Handbook of
Pharmaceutical
Granulation Technology

edited by
Dilip M. Parikh
DPharma Group Inc.
Ellicott City, Maryland, USA
CRC Press
Taylor & Francis Group
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To my wife Leena, son Neehar, and my friends, who never left my side during the good
times and tough times. Their love, dedication, and support will remain with me always.
 Preface

Since the Handbook of Pharmaceutical Granulation Technology, first and second editions, were
published, there have been rapid developments in the science of granulation, particle
engineering, and process controls, requiring the publication of this third edition. The concepts
of design space, process optimization, and harmonization of regulations by the global health
authorities are being implemented in the industry. The U.S. and International regulatory
bodies are restructuring their oversight of pharmaceutical quality regulation by developing a
product quality regulatory system, which provides a framework for implementing quality by
design, continuous improvement, and risk management. This edition addresses topics
generated by these technological as well as regulatory changes in unit operation of particle
generation and granulation.
Current advances in the field have led us to include new chapters on subjects such as
supercritical fluids, nanoparticulate technology, nutraceuticals, biotechnology, controlled-
release granulation, process control, and expert systems to bring the reader up to date with the
key new drivers in the field. All classic and standard bearer chapters such as fluid bed, roller
compaction, continuous granulation, process modeling, spray-drying, and effervescent and
rapid-release granulation have been thoroughly revised to meet the current state of the art.
Within particle generation technologies, research and application of supercritical fluids
and nanotechnology-based processes for particle production have proved suitable for
controlling solid-state morphology and particle size of pharmaceuticals. Supercritical fluids
have emerged as the basis of a system that optimizes the physicochemical properties of
pharmaceutical powders. Supercritical fluids should be considered in a prominent position in
the development processes of drug products for the 21st century. Nanoparticulate technology
offers a potential path to rapid preclinical assessment of poorly soluble drugs. It offers
increased bioavailability, improved absorption, reduced toxicity, and the potential for drug
targeting. Nanoparticulate technology may thus allow for the successful development of
poorly water-soluble discovery compounds, as well as the revitalization of marketed products
through improvements in dosing. These particle generation technologies have been included
in new chapters titled “Supercritical Fluid Technology” and “Pharmaceutical Applications of
Nanoengineering.”
As the nutraceuticals industry is growing worldwide, a new chapter for “Granulation of
Plant Products and Nutraceuticals” is included in this edition. These herbal and mineral
products pose unique challenges when preparing a solid dose. These products are normally
formulated with numerous ingredients with varying particle sizes, morphology, hydrophobic
or hydrophilic attributes, along with unique granulating and compressing challenges.
Approaches to overcome these difficulties using various granulation techniques described in
this chapter will be helpful to the professionals in dietary supplement industry. Regulatory
approaches taken by different world regulatory authorities are highlighted in this chapter, and
impact of recent implementation of U.S. FDA Good Manufacturing Practices regulation for
nutraceutical industry is discussed in this chapter as well.
As the biotechnology industry grows worldwide, formulation efforts to formulate large
molecules for oral dosage forms have accelerated. Research and application of classical
granulation technologies have been investigated and presented in the chapter titled
“Granulation Approaches in Biotech Industry,” which will provide much needed knowledge
of the current status and challenges inherent in this effort.
Controlled-release technology to produce matrix granulation is widely practiced. To
prolong the life cycle of a product or to offer better patient compliance, controlled-release
x Preface

granulation is a critical unit operation. A new chapter titled “Granulation Approaches for
Modified-Release Products” specifically addresses the approaches that can be taken to produce
granulation that can provide modified-release attributes.
With advent of high-throughput screening and combinatorial chemistry, evaluation of
potential molecules with therapeutic activity is on the increase. However, majority of these
new chemical entities have low aqueous solubility. Hence, a new chapter that presents current
approaches for various techniques to improve the solubility of difficult to dissolve molecules
titled “Granulation for Poorly Water-Soluble Drugs” is included.
End-point determination of a granulation process is the most prominent concern of any
practicing industry professional as well as academician. Significant progress has been achieved
to determine the process control and the end-point determination for various processes
utilized in particle generation and formation of granular products. For example, torque and
power measurements in high-shear granulation, online techniques to monitor and control
processes using technologies such as near infrared (NIR), focused beam reflectance measure-
ment (FBRM1), particle video microscope (PVM1), Fourier transform infrared spectroscopy
(FTIR), etc., are being used routinely. A new chapter devoted to “Advances in Process Control
and End-Point Determination” discusses this very important topic and provides helpful
guidance.
It is common in most formulation development studies that the formulation scientist may
have extensive knowledge of the active ingredients and yet needs to know which excipients to
select and their proportions. At this stage, a knowledge-based, so-called “expert system,” can
be helpful to the scientist in selecting suitable excipients. Another case where such an expert
system could be of use in formulation studies is the determination of the design space for
manufacturing conditions. There are various researchers who are developing applications of
expert system in unit operations such as granulation. A new chapter on “Expert Systems and
Their Use in Pharmaceutical Application” discusses developments in this emerging field.
Granulation is a major unit operation in solid dosage manufacturing. It is generally
capital intensive, requires more manpower, and is subject to costly batch rejection possibilities
if improper techniques are used. It is the objective of every company management to have the
most efficient and thus cost-effective product development and manufacturing operation in
the current competitive environment. A revised chapter titled “Quality by Design and Process
Technology in Granulation” includes current understanding of process analytical technology
(PAT) and the subject of “quality by design” (QbD) and provides how industry is applying
principles of PAT and how QbD helps integrated, systematic, and scientific approach to
design, development, and delivery of performance attributes that ensure consistent delivery of
specific quality, safety, and efficacy objectives.
As a complement to the most recent U.S. FDA regulations for Good Manufacturing
Practices, “The Pharmaceutical Quality for the 21st Century—A Risk-Based Approach,” a
completely revised chapter titled “Regulatory Issues in Granulation: The Pharmaceutical
Quality for the 21st century—A Risk-Based Approach” is presented in this edition to reflect the
impact of these new regulations. It includes International Conference on Harmonization (ICH)
guidelines and harmonization as it pertains to the process of granulation. This important topic
is critical in building in and maintaining the desired quality in pharmaceutical product.
Besides these new chapters, chapters on high- and low-shear granulation from the
second edition are combined into one, titled “Wet Granulation in Low- and High-Shear
Mixers,” to present a comprehensive treatment of these approaches. All other chapters are
completely revised and updated with the information that is helpful to the reader.
This book is designed to give readers comprehensive knowledge of the subject. As in the
earlier editions, all chapters include appropriate level of theory on the fundamentals of powder
characterization, practical granulation approaches, state-of-the-art technologies, and regulation
compliant manufacturing optimization.
Pharmaceutical professionals such as research and development scientists, manufactur-
ing management professionals, process engineers, validation specialists, process specialists,
quality assurance, quality control, and regulatory professionals, and graduate students in
industrial pharmacy and chemical engineering programs will find the level of theory
appropriate and the wealth of practical information from renowned pharmaceutical
professionals from industry and academia invaluable. The knowledge provided will be
Preface xi

helpful in selecting the appropriate granulation technology while keeping in mind regulatory
requirements and cost-effectiveness.
I would like to extend special thanks to all the contributors for their support and
cooperation to make this edition of the book most comprehensive on this technical subject. I
would like to extend my sincere thanks to Sandra Beberman of Informa Healthcare for her
guidance and to Sherri Niziolek of Informa Healthcare for her help.

Dilip M. Parikh
Ellicott City, Maryland, U.S.A.
 Contents

Preface ix
Contributors xv

1. Introduction 1
Dilip M. Parikh

2. Theory of Granulation: An Engineering Perspective 6

Bryan J. Ennis

PART I: PARTICLE FORMATION

3. Drug Substance and Excipient Characterization 59
Lai Wah Chan, Xiang Kou, and Paul W. S. Heng

4. Binders in Pharmaceutical Granulation 78

Thomas Dürig

5. Spray Drying and Pharmaceutical Applications 98

Metin Çelik and Susan C. Wendell

6. Supercritical Fluid Technology 126

Martin A. Wahl

7. Pharmaceutical Applications of Nanoengineering 138

Deepak Thassu, Yashwant Pathak, and Michel Deleers

PART II: GRANULATION PROCESSES

8. Roller Compaction Technology 163
Ronald W. Miller

9. Wet Granulation in Low- and High-Shear Mixers 183

Rajeev Gokhale and Namrata R. Trivedi

10. Batch Fluid Bed Granulation 204

Dilip M. Parikh and David M. Jones

11. Single-Pot Processing 261

Harald Stahl and Griet Van Vaerenbergh

12. Extrusion-Spheronization as a Granulation Technique 281

David F. Erkoboni

13. Continuous Granulation 308

Chris Vervaet and Jean Paul Remon
xiv Contents

PART III: PRODUCT ORIENTED GRANULATIONS

14. Effervescent Granulation 323
Guia Bertuzzi

15. Granulation Approaches in Biotech Industry 338

Tuo Jin, Weien Yuan, and Hui Li

16. Granulation of Plant Products and Nutraceuticals 349

Dilip M. Parikh

17. Granulation Approaches for Modified Release Products 364

Neelima Phadnis and Sree Nadkarni

18. Granulation of Poorly Water-Soluble Drugs 381

Albert W. Brzeczko, Firas El Saleh, and Jiao Yang

19. Granulation Approaches for Orally Disintegrating Formulations 401

Gopi Venkatesh

20. Melt Granulation 435

Chris Vervaet and Jean Paul Remon

PART IV: CHARACTERIZATION AND SCALE-UP

21. Sizing of Granulation 449
Gurvinder Singh Rekhi and Richard Sidwell

22. Granulation Characterization 469

Cecil W. Propst

23. Bioavailability and Granule Properties 487

Sunil S. Jambhekar

24. Granulation Process Modeling 498

Ian T. Cameron and Fu Y. Wang

25. Scale-Up Considerations in Granulation 538

Yinghe He, Lian X. Liu, James D. Litster, and Defne Kayrak-Talay

26. Advances in Process Controls and End-Point Determination 567

Kevin A. Macias and M. Teresa Carvajal

PART V: OPTIMIZATION STRATEGIES, TOOLS AND REGULATORY CONSIDERATIONS

27. Expert Systems and Their Use in Pharmaceutical Applications 578
Metin Çelik and Susan C. Wendell

28. Regulatory Issues in Granulation: The Pharmaceutical Quality

for the 21st Century—A Risk-Based Approach 597
Prasad Kanneganti

29. Quality by Design and Process Analytical Technology in Granulation 617

Gopi Vudathala, Stanley Rodgers, and John E. Simmons

Index 637
 Contributors

Guia Bertuzzi IMA SPA ACTIVE Division, Bologna, Italy

Albert W. Brzeczko Acura Pharmaceuticals, Inc., Baltimore, Maryland, U.S.A.

Ian T. Cameron School of Chemical Engineering, The University of Queensland,

Queensland, Australia

M. Teresa Carvajal Department of Industrial and Physical Pharmacy, School of Pharmacy and
Pharmaceutical Sciences, Purdue University, West Lafayette, Indiana, U.S.A.

Metin Çelik Pharmaceutical Technologies International, Inc., Belle Mead, New Jersey, U.S.A. and
School of Pharmacy, Near East University, Nicosia, Turkish Republic of Northern Cyprus

Lai Wah Chan Department of Pharmacy, National University of Singapore, Singapore

Thomas Dürig Ashland Aqualon Functional Ingredients, Ashland Inc., Wilmington, Delaware, U.S.A.

Michel Deleers Global Pharmaceutical Technology and Analytical Development, UCB, Braine
l’Alleud, Belgium

Bryan J. Ennis E&G Associates, Inc., Nashville, Tennessee, U.S.A.

David F. Erkoboni Cedar Consulting Corporation, Pennington, New Jersey, U.S.A.

Rajeev Gokhale Abbott, Abbott Park, Illinois, U.S.A.

Yinghe He School of Engineering and Physical Sciences, James Cook University, Queensland,
Australia

Paul W. S. Heng Department of Pharmacy, National University of Singapore, Singapore

Sunil S. Jambhekar Department of Pharmaceutical Sciences, Lecom-Bradenton School of

Pharmacy, Bradenton, Florida, U.S.A.

Tuo Jin School of Pharmacy, Shanghai Jiaotong University, Shanghai, P.R. China

David M. Jones OWI Consulting Inc., Ramsey, New Jersey, U.S.A.

Prasad Kanneganti Genentech Singapore Pte Ltd., Tuas Baylink, Singapore

Defne Kayrak-Talay School of Chemical Engineering, Purdue University, West Lafayette, Indiana,
U.S.A.

Xiang Kou Department of Pharmacy, National University of Singapore, Singapore

Hui Li School of Pharmacy, Shanghai Jiaotong University, Shanghai, P.R. China

xvi Contributors

James D. Litster School of Chemical Engineering and Department of Industrial and Physical
Pharmacy, Purdue University, West Lafayette, Indiana, U.S.A.

Lian X. Liu Particle & Systems Design Centre, School of Chemical Engineering, The University of
Queensland, Queensland, Australia

Kevin A. Macias Department of Industrial and Physical Pharmacy, School of Pharmacy and
Pharmaceutical Sciences, Purdue University, West Lafayette, Indiana, U.S.A.

Ronald W. Miller Miller Pharmaceutical Technology Consulting, Travelers Rest,

South Carolina, U.S.A.

Sree Nadkarni FibroGen Inc., San Francisco, California, U.S.A.

Dilip M. Parikh DPharma Group Inc., Ellicott City, Maryland, U.S.A.

Yashwant Pathak Sullivan University, Louisville, Kentucky, U.S.A.

Neelima Phadnis Independent Pharma Consultant, Brisbane, California, U.S.A.

Cecil W. Propst SPI Pharma, Grand Haven, Michigan, U.S.A.

Gurvinder Singh Rekhi Elan Drug Technologies, Gainesville, Georgia, U.S.A.

Stanley Rodgers Sanofi-Aventis US LLC, Bridgewater, New Jersey, U.S.A.

Jean Paul Remon Laboratory of Pharmaceutical Technology, Ghent University, Ghent, Belgium

Firas El Saleh ISP Global Technologies Deutschland GmbH, Cologne, Germany

Richard Sidwell Elan Drug Technologies, Gainesville, Georgia, U.S.A.

John E. Simmons Simmons FDA Consulting, Chapin, South Carolina, U.S.A.

Harald Stahl GEA Pharma Systems, Hürth, Germany

Deepak Thassu PharmaNova Inc., Victor, New York, U.S.A.

Namrata R. Trivedi Covidien, Webster Groves, Missouri, U.S.A.

Griet Van Vaerenbergh GEA Pharma Systems nv - ColletteTM, Wommelgem, Belgium

Gopi Venkatesh Eurand, Inc., Vandalia, Ohio, U.S.A.

Chris Vervaet Laboratory of Pharmaceutical Technology, Ghent University, Ghent, Belgium

Gopi Vudathala Sanofi-Aventis US LLC, Malvern, Pennsylvania, U.S.A.

Martin A. Wahl Pharmaceutical Technology and Biopharmacy, Institute of Pharmaceutical

Sciences, Eberhard-Karls-University Tübingen, Tübingen, Germany

Fu Y. Wang School of Chemical Engineering, The University of Queensland, Queensland, Australia

Susan C. Wendell Johnson & Johnson, Raritan, New Jersey, U.S.A.

Jiao Yang ISP Pharma Technologies, Inc., Columbia, Maryland, U.S.A.

Weien Yuan School of Pharmacy, Shanghai Jiaotong University, Shanghai, P.R. China
 1 Introduction
Dilip M. Parikh
DPharma Group Inc., Ellicott City, Maryland, U.S.A.

BACKGROUND
The term “granulated” material is derived from the Latin word “granulatum,” meaning
grained. The practice of delivering medicinal powder by hand rolling into a pill by using
honey or sugar has been used for centuries. It is still the practice to deliver the botanical and
herbal extracts in homeopathic and ayurvedic branches of medicine, which are still practiced
in India along with allopathic medicine.
Thomas Skinner, a physician in his article in 1862 (1), describes earlier mention of
granulating medicine cited in 1773 in Duncan’s Elements of Therapeutics, as follows: “by the
application of art, it is intended that medicines should be rendered more agreeable, more
convenient, more safe and more efficacious than they are in their natural state. To obtain these
ends is the intention of pharmacy.” Skinner further describes the earlier method of making
granules by French pharmacists who had a form of medication that they call “poudres granules.”
The process of preparing these granules consisted in enveloping the particles of medicines in
syrup by means of heat and constant stirring, as in the art of making comfits. This method was
further modified to make granules with very little heat or moisture, which can be placed on the
tongue and washed over with water, which was a modification of the method of granulating
gunpowder.
Perry’s Chemical Engineer’s Handbook (2) defines the granulation process as “any process
whereby small particles are gathered into larger, permanent masses in which the original
particles can still be identified.” This definition is, of course, particularly appropriate to a
pharmaceutical granulation where the rapid breakdown of agglomerates is important to
maximize the available surface area and aid in solution of the active drug. The granulated
material can be obtained by direct size enlargement of primary particles or size reduction from
dry, compacted material.
In modern times, granulation technology has been widely used by a wide range of
industries, such as chemical, coal, mining, metallurgy, ceramic, and agrochemical. These
industries employ agglomeration techniques to reduce dust, provide ease of handling, and
enhance the material’s ultimate utility.
The development of pharmaceutical granulation was driven by the invention of the tablet
press by W. Brockedon in 1843. Subsequent improvements in the tablet machinery were patented
in the United States by J. A. McFerran (1874), T. J. Young (1874), and J. Dunton (1876). The
demands on the granulation properties were further enhanced in the 1970s as high-speed tablet
and capsule-filling machines with automated controls were introduced. The continuous
refinements in the regulatory requirements such as low-dose products requiring blend
uniformity/content uniformity necessitated knowledge and technology to produce the required
granule characteristics. The high-speed compression and capsule-filling machines require a
uniform flow of material to the dies or filling stations that produce pharmaceutical dosage form.

Direct Compression
The processing of drug substance with the excipients can be achieved without employing the
process of granulation. By simply mixing in a blender, a directly compressible formulation can be
processed and compressed in tablets or filled in the hard gelatin capsules. In the 1970s,
microcrystalline cellulose, as a directly compressible vehicle, was introduced. The compressible
formulation containing microcrystalline cellulose is suitable for a number of products. This has
several obvious advantages, such as lower equipment cost, faster process time, and efficient
operation involving only two process steps. Sometimes, excipient costs may have to be compared
against the savings in the processing steps and equipment by using alternate methods.
Theory of Granulation: An Engineering Perspective 13

Figure 5 Impact of granule density on bulk density. Normalized bulk density as a function of granule voidage.
Source: From Ref. 5.

Figure 6 Impact of granule density on strength and attrition. Illustration of process changes versus formulation
changes. Source: From Ref. 5.
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dangerous in their tendency. It belongs not to state legislatures to
decide on the constitutionality of the laws made by the general
government; this power being exclusively vested in judiciary courts
of the Union.
That his excellency the governor be requested to transmit a copy of
this resolution to the executive of Virginia, to be communicated to
the General Assembly of that state; and that the same be sent to the
Governor and Council for their concurrence.

Samuel C. Crafts, Clerk.

In Council, October 30, 1799.—Read and concurred in

unanimously.

Richard Whitney, Sec’y.

 Resolutions of 1798 and 1799.

(The original draught prepared by Thomas Jefferson.)

The following resolutions passed the House of Representatives of
Kentucky, Nov. 10, 1798. On the passage of the first resolution, one
dissentient; 2d, 3d, 4th, 5th, 6th, 7th, 8th, two dissentients; 9th,
three dissentients.
1. Resolved, That the several states composing the United States of
America, are not united on the principle of unlimited submission to
their general government; but that by compact under the style and
title of a Constitution for the United States, and of amendments
thereto, they constituted a general government for special purposes,
delegated to that government certain definite powers, reserving, each
state to itself, the residuary mass of right to their own self-
government: and, that whensoever the general government assumes
undelegated powers, its acts are unauthoritative, void, and of no
force; that to this compact each state acceded as a state, and is an
integral party; that this government, created by this compact, was
not made the exclusive or final judge of the extent of the powers
delegated to itself; since that would have made its discretion, and not
the Constitution, the measure of its powers; but, that as in all other
cases of compact among parties having no common judge, each party
has an equal right to judge for itself, as well of infractions as of the
mode and measure of redress.
2. Resolved, That the Constitution of the United States having
delegated to Congress a power to punish treason, counterfeiting the
securities and current coin of the United States, piracies and felonies
committed on the high seas, and offences against the laws of nations,
and no other crimes whatever; and it being true, as a general
principle, and one of the amendments to the Constitution having also
declared, “that the powers not delegated to the United States by the
Constitution, nor prohibited by it to the states, are reserved to the
states respectively, or to the people,” therefore also the same act of
Congress, passed on the 14th day of July, 1798, and entitled “An act
in addition to the act entitled An act for the punishment of certain
crimes against the United States;” as also the act passed by them on
the 27th day of June, 1798, entitled “An act to punish frauds
committed on the Bank of the United States,” (and all other their acts
which assume to create, define, or punish crimes other than those
enumerated in the Constitution), are altogether void and of no force,
and that the power to create, define, and punish such other crimes is
reserved, and of right appertains solely and exclusively to the
respective states, each within its own territory.
3. Resolved, That it is true, as a general principle, and is also
expressly declared by one of the amendments to the Constitution,
that “the powers not delegated to the United States by the
Constitution, nor prohibited by it to the states, are reserved to the
states respectively, or to the people;” and that no power over the
freedom of religion, freedom of speech, or freedom of the press being
delegated to the United States by the Constitution, nor prohibited by
it to the states, all lawful powers respecting the same did of right
remain, and were reserved to the states or to the people; that thus
was manifested their determination to retain to themselves the right
of judging how far the licentiousness of speech and of the press may
be abridged without lessening their useful freedom, and how far
those abuses which cannot be separated from their use should be
tolerated rather than the use be destroyed; and thus also they
guarded against all abridgment by the United States, of the freedom
of religious principles and exercises, and retained to themselves the
right of protecting the same, as this, stated by a law passed on the
general demand of its citizens, had already protected them from all
human restraint or interference: and that, in addition to this general
principle and express declaration, another and more special
provision has been made by one of the amendments to the
Constitution, which expressly declares, that “Congress shall make no
laws respecting an establishment of religion, or prohibiting the free
exercise thereof, or abridging the freedom of speech, or of the press,”
thereby guarding in the same sentence, and under the same words,
the freedom of religion, of speech, and of the press, insomuch that
whatever violates either, throws down the sanctuary which covers
the others; and that libels, falsehood, and defamation, equally with
heresy and false religion, are withheld from the cognisance of federal
tribunals. That therefore the act of the Congress of the United States,
passed on the 14th of July, 1798, entitled “An act in addition to the
act entitled An act for the punishment of certain crimes against the
United States,” which does abridge the freedom of the press, is not
law, but is altogether void and of no force.
4. Resolved, That alien friends are under the jurisdiction and
protection of the laws of the state wherein they are: that no power
over them has been delegated to the United States, nor prohibited to
the individual states distinct from their power over citizens; and it
being true, as a general principle, and one of the amendments to the
Constitution having also declared, that “the powers not delegated to
the United States by the Constitution, nor prohibited to the states,
are reserved to the states respectively, or to the people,” the act of the
Congress of the United States, passed the 22d day of June, 1798,
entitled “An act concerning aliens,” which assumes power over alien
friends not delegated by the Constitution, is not law, but is altogether
void and of no force.
5. Resolved, That in addition to the general principle as well as the
express declaration, that powers not delegated are reserved, another
and more special provision inferred in the Constitution, from
abundant caution has declared, “that the migration or importation of
such persons as any of the states now existing shall think proper to
admit, shall not be prohibited by the Congress prior to the year
1808.” That this commonwealth does admit the migration of alien
friends described as the subject of the said act concerning aliens; that
a provision against prohibiting their migration, is a provision against
all acts equivalent thereto, or it would be nugatory; that to remove
them when migrated is equivalent to a prohibition of their migration,
and is, therefore, contrary to the said provision of the Constitution,
and void.
6. Resolved, That the imprisonment of a person under the
protection of the laws of this commonwealth on his failure to obey
the simple order of the President to depart out of the United States,
as is undertaken by the said act, entitled, “An act concerning aliens,”
is contrary to the Constitution, one amendment in which has
provided, that “no person shall be deprived of liberty without due
process of law,” and, that another having provided, “that in all
criminal prosecutions, the accused shall enjoy the right to a public
trial by an impartial jury, to be informed as to the nature and cause
of the accusation, to be confronted with the witnesses against him, to
have compulsory process for obtaining witnesses in his favor, and to
have assistance of counsel for his defence,” the same act undertaking
to authorize the President to remove a person out of the United
States who is under the protection of the law, on his own suspicion,
without jury, without public trial, without confrontation of the
witnesses against him, without having witnesses in his favor, without
defence, without counsel, is contrary to these provisions also of the
Constitution, is therefore not law, but utterly void and of no force.
That transferring the power of judging any person who is under
the protection of the laws, from the courts to the President of the
United States, as is undertaken by the same act concerning aliens, is
against the article of the Constitution which provides, that “the
judicial power of the United States shall be vested in the courts, the
judges of which shall hold their office during good behavior,” and
that the said act is void for that reason also; and it is further to be
noted that this transfer of judiciary power is to that magistrate of the
general government who already possesses all the executive, and a
qualified negative in all the legislative powers.
7. Resolved, That the construction applied by the general
government (as is evident by sundry of their proceedings) to those
parts of the Constitution of the United States which delegate to
Congress power to lay and collect taxes, duties, imposts, excises; to
pay the debts, and provide for the common defence and general
welfare of the United States, and to make all laws which shall be
necessary and proper for carrying into execution the powers vested
by the Constitution in the government of the United States, or any
department thereof, goes to the destruction of all the limits
prescribed to their power by the Constitution: That words meant by
that instrument to be subsidiary only to the execution of the limited
powers, ought not to be so construed as themselves to give unlimited
powers, nor a part so to be taken as to destroy the whole residue of
the instrument: That the proceedings of the general government
under color of those articles, will be a fit and necessary subject for
revisal and correction at a time of greater tranquillity, while those
specified in the preceding resolutions call for immediate redress.
 8. Resolved, That the preceding resolutions be transmitted to the
Senators and Representatives in Congress from this commonwealth,
who are enjoined to present the same to their respective Houses, and
to use their best endeavors to procure at the next session of Congress
a repeal of the aforesaid unconstitutional and obnoxious acts.
9. Resolved lastly, That the governor of this commonwealth be,
and is hereby authorized and requested to communicate the
preceding resolutions to the legislatures of the several states, to
assure them that this commonwealth considers union for special
national purposes, and particularly for those specified in their late
federal compact, to be friendly to the peace, happiness, and
prosperity of all the states—that, faithful to that compact, according
to the plain intent and meaning in which it was understood and
acceded to by the several parties, it is sincerely anxious for its
preservation; that it does also believe, that to take from the states all
the powers of self-government, and transfer them to a general and
consolidated government, without regard to the special delegations
and reservations solemnly agreed to in that compact, is not for the
peace, happiness, or prosperity of these states; and that, therefore,
this commonwealth is determined, as it doubts not its co-states are,
to submit to undelegated and consequently unlimited powers in no
man, or body of men on earth: that if the acts before specified should
stand, these conclusions would flow from them; that the general
government may place any act they think proper on the list of crimes
and punish it themselves, whether enumerated or not enumerated by
the Constitution as cognisable by them; that they may transfer its
cognisance to the President or any other person, who may himself be
the accuser, counsel, judge, and jury, whose suspicions may be the
evidence, his order the sentence, his officer the executioner, and his
breast the sole record of the transaction; that a very numerous and
valuable description of the inhabitants of these states, being by this
precedent reduced as outlaws to the absolute dominion of one man
and the barriers of the Constitution thus swept from us all, no
rampart now remains against the passions and the power of a
majority of Congress, to protect from a like exportation or other
grievous punishment the minority of the same body, the legislatures,
judges, governors, and counsellors of the states, nor their other
peaceable inhabitants who may venture to reclaim the constitutional
rights and liberties of the states and people, or who, for other causes,
good or bad, may be obnoxious to the view or marked by the
suspicions of the President, or to be thought dangerous to his or their
elections or other interests, public or personal; that the friendless
alien has been selected as the safest subject of a first experiment; but
the citizen will soon follow, or rather has already followed; for,
already has a sedition act marked him as a prey: that these and
successive acts of the same character, unless arrested on the
threshold, may tend to drive these states into revolution and blood,
and will furnish new calumnies against republican governments, and
new pretexts for those who wish it to be believed, that man cannot be
governed but by a rod of iron; that it would be a dangerous delusion
were a confidence in the men of our choice to silence our fears for the
safety of our rights; that confidence is everywhere the parent of
despotism; free government is found in jealousy and not in
confidence; it is jealousy and not confidence which prescribes limited
constitutions to bind down those whom we are obliged to trust with
power; that our Constitution has accordingly fixed the limits to
which, and no farther, our confidence may go; and let the honest
advocate of confidence read the alien and sedition acts, and say if the
Constitution has not been wise in fixing limits to the government it
created, and whether we should be wise in destroying those limits?
Let him say what the government is, if it be not a tyranny, which the
men of our choice have conferred on the President, and the President
of our choice has assented to and accepted over the friendly
strangers, to whom the mild spirit of our country and its laws had
pledged hospitality and protection; that the men of our choice have
more respected the bare suspicions of the President than the solid
rights of innocence, the claims of justification, the sacred force of
truth, and the forms and substance of law and justice. In questions of
power, then, let no more be said of confidence in man, but bind him
down from mischief by the chains of the Constitution. That this
Commonwealth does therefore call on its co-states for an expression
of their sentiments on the acts concerning aliens, and for the
punishment of certain crimes hereinbefore specified, plainly
declaring whether these acts are or are not authorized by the federal
compact. And it doubts not that their sense will be so announced as
to prove their attachment to limited government, whether general or
particular, and that the rights and liberties of their co-states will be
exposed to no dangers by remaining embarked on a common bottom
with their own: but they will concur with this commonwealth in
considering the said acts as so palpably against the Constitution as to
amount to an undisguised declaration, that the compact is not meant
to be the measure of the powers of the general government, but that
it will proceed in the exercise over these states of all powers
whatsoever. That they will view this as seizing the rights of the states
and consolidating them in the hands of the general government, with
a power assumed to bind the states (not merely in cases made
federal) but in all cases whatsoever, by laws made, not with their
consent, but by others against their consent; that this would be to
surrender the form of government we have chosen, and live under
one deriving its powers from its own will, and not from our
authority; and that the co-states recurring to their natural rights in
cases not made federal, will concur in declaring these void and of no
force, and will each unite with this Commonwealth in requesting
their repeal at the next session of Congress.

Edmund Bullock, S. H. R.
John Campbell, S. P. T.

Passed the House of Representatives, Nov. 10, 1798.

Attest, Thos. Todd, C. H. R.

In Senate, Nov. 13, 1798.—Unanimously concurred in.

Attest, B. Thurston, C. S.

Approved, Nov. 19, 1798.

Jas. Garrard, Gov. of Ky.

By the Governor,

Harry Toulmin, Sec. of State.

House of Representatives, Thursday, Nov. 14, 1799.

The House, according to the standing order of the day, resolved

itself into a committee of the whole House, on the state of the
commonwealth, Mr. Desha in the chair; and after some time spent
therein, the speaker resumed the chair, and Mr. Desha reported that
the committee had taken under consideration sundry resolutions
passed by several state legislatures, on the subject of the alien and
sedition laws, and had come to a resolution thereupon, which he
delivered in at the clerk’s table, where it was read and unanimously
agreed to by the House, as follows:—
The representatives of the good people of this commonwealth, in
General Assembly convened, having maturely considered the
answers of sundry states in the Union, to their resolutions passed the
last session, respecting certain unconstitutional laws of Congress,
commonly called the alien and sedition laws, would be faithless,
indeed, to themselves and to those they represent, were they silently
to acquiesce in the principles and doctrines attempted to be
maintained in all those answers, that of Virginia only excepted. To
again enter the field of argument, and attempt more fully or forcibly
to expose the unconstitutionality of those obnoxious laws, would, it
is apprehended, be as unnecessary as unavailing. We cannot,
however, but lament that, in the discussion of those interesting
subjects by sundry of the legislatures of our sister states, unfounded
suggestions and uncandid insinuations, derogatory to the true
character and principles of this commonwealth, have been
substituted in place of fair reasoning and sound argument. Our
opinions of these alarming measures of the general government,
together with our reasons for those opinions, were detailed with
decency and with temper, and submitted to the discussion and
judgment of our fellow-citizens throughout the Union. Whether the
like decency and temper have been observed in the answers of most
of those states who have denied or attempted to obviate the great
truths contained in those resolutions, we have now only to submit to
a candid world. Faithful to the true principles of the Federal Union,
unconscious of any designs to disturb the harmony of that Union,
and anxious only to escape the fangs of despotism, the good people
of this commonwealth are regardless of censure or calumniation.
Lest, however, the silence of this commonwealth should be construed
into an acquiescence in the doctrines and principles advanced and
attempted to be maintained by the said answers, or lest those of our
fellow-citizens throughout the Union who so widely differ from us on
those important subjects, should be deluded by the expectation, that
we shall be deterred from what we conceive our duty, or shrink from
the principles contained in those resolutions—therefore,
Resolved, That this commonwealth considers the Federal Union,
upon the terms and for the purposes specified in the late compact, as
conducive to the liberty and happiness of the several states: That it
does now unequivocally declare its attachment to the Union, and to
that compact, agreeably to its obvious and real intention, and will be
among the last to seek its dissolution: That if those who administer
the general government be permitted to transgress the limits fixed by
that compact, by a total disregard to the special delegations of power
therein contained, an annihilation of the state governments, and the
creation upon their ruins of a general consolidated government, will
be the inevitable consequence: That the principle and construction
contended for by sundry of the state legislatures, that the general
government is the exclusive judge of the extent of the powers
delegated to it, stop nothing short of despotism—since the discretion
of those who administer the government, and not the Constitution,
would be the measure of their powers: That the several states who
formed that instrument being sovereign and independent, have the
unquestionable right to judge of the infraction; and that a
nullification by those sovereignties of all unauthorized acts done
under color of that instrument is the rightful remedy: That this
commonwealth does, under the most deliberate reconsideration,
declare that the said alien and sedition laws are, in their opinion,
palpable violations of the said Constitution; and, however cheerfully
it may be disposed to surrender its opinion to a majority of its sister
states, in matters of ordinary or doubtful policy, yet, in momentous
regulations like the present, which so vitally wound the best rights of
the citizen, it would consider a silent acquiescence as highly criminal:
That although this commonwealth, as a party to the federal compact,
will bow to the laws of the Union, yet it does, at the same time,
declare that it will not now, or ever hereafter, cease to oppose in a
constitutional manner every attempt, at what quarter soever offered,
to violate that compact. And, finally, in order that no pretext or
arguments may be drawn from a supposed acquiescence on the part
of this commonwealth in the constitutionality of those laws, and be
thereby used as precedents for similar future violations of the federal
compact—this commonwealth does now enter against them its
solemn protest.
Extract, &c. Attest, T. Todd, C. H. R.
In Senate, Nov. 22, 1799—Read and concurred in.

Attest, B. Thurston, C. S.
Washington’s Farewell Address to the People
of the United States, Sept. 17, 1796.
Accepted as a Platform for the People of the Nation, regardless of
party.

Friends and Fellow-citizens:—

The period for a new election of a citizen to administer the

executive government of the United States being not far distant, and
the time actually arrived when your thoughts must be employed in
designating the person who is to be clothed with that important
trust, it appears to me proper, especially as it may conduce to a more
distinct expression of the public voice, that I should now apprise you
of the resolution I have formed to decline being considered among
the number of those out of whom a choice is to be made. I beg you, at
the same time, to do me the justice to be assured that this resolution
has not been taken without a strict regard to all the considerations
appertaining to the relation which binds a dutiful citizen to his
country; and that in withdrawing the tender of service, which silence,
in my situation, might imply, I am influenced by no diminution of
zeal for your future interests; no deficiency of grateful respect of your
past kindness; but am supported by a full conviction that the step is
compatible with both.
The acceptance of, and continuance hitherto in, the office to which
your suffrages have twice called me, have been a uniform sacrifice of
inclination to the opinion of duty, and to a deference for what
appeared to be your desire. I constantly hoped that it would have
been much earlier in my power, consistently with motives which I
was not at liberty to disregard, to return to that retirement from
which I had been reluctantly drawn. The strength of my inclination
to do this, previous to the last election, had even led to the
preparation of an address to declare it to you; but mature reflection
on the then perplexed and critical posture of our affairs with foreign
nations, and the unanimous advice of persons entitled to my
confidence, impelled me to abandon the idea.
I rejoice that the state of your concerns, external as well as
internal, no longer renders the pursuit of inclination incompatible
with the sentiment of duty or propriety; and am persuaded, whatever
partiality may be retained for my services, that, in the present
circumstances of our country, you will not disapprove my
determination to retire.
The impressions with which I first undertook the arduous trust
were explained on the proper occasion. In the discharge of this trust,
I will only say, that I have with good intentions contributed towards
the organization and administration of the government the best
exertions of which a very fallible judgment was capable. Not
unconscious in the outset of the inferiority of my qualifications,
experience, in my own eyes—perhaps still more in the eyes of others
—has strengthened the motives to diffidence of myself; and every day
the increasing weight of years admonishes me, more and more, that
the abode of retirement is as necessary to me as it will be welcome.
Satisfied that if any circumstances have given peculiar value to my
services, they were temporary, I have the consolation to believe that,
while choice and prudence invite me to quit the political scene,
patriotism does not forbid it.
In looking forward to the moment which is intended to terminate
the career of my public life, my feelings do not permit me to suspend
the deep acknowledgment of that debt of gratitude which I owe to my
beloved country for the many honors it has conferred upon me; still
more for the steadfast confidence with which it has supported me;
and for the opportunities I have thence enjoyed of manifesting my
inviolable attachment, by services faithful and persevering, though in
usefulness unequal to my zeal. If benefits have resulted to our
country from these services, let it always be remembered to your
praise, and as an instructive example in our annals, that under
circumstances in which the passions, agitated in every direction,
were liable to mislead; amidst appearances sometimes dubious,
vicissitudes of fortune often discouraging; in situations in which, not
unfrequently, want of success has countenanced the spirit of
criticism,—the constancy of your support was the essential prop of
the efforts, and a guarantee of the plans, by which they were effected.
Profoundly penetrated by this new idea, I shall carry it with me to my
grave, as a strong incitement to unceasing vows, that Heaven may
continue to you the choicest tokens of its beneficence; that union and
brotherly affection may be perpetual; that the free Constitution,
which is the work of your hands, may be sacredly maintained; that its
administration, in every department, may be stamped with wisdom
and virtue; that in fine, the happiness of the people of these states,
under the auspices of liberty, may be made complete, by so careful a
preservation and so prudent a use of this blessing as will acquire to
them the glory of recommending it to the applause, the affection, and
the adoption of every nation which is yet a stranger to it.
Here, perhaps, I ought to stop; but a solicitude for your welfare,
which cannot end but with my life, and the apprehension of danger
natural to that solicitude, urge me, on an occasion like the present, to
offer to your solemn contemplation, and to recommend to your
frequent review, some sentiments, which are the result of much
reflection, of no inconsiderable observation, and which appear to me
all important to the permanency of your felicity as a people. These
will be afforded to you with the more freedom, as you can only see in
them the disinterested warning of a parting friend, who can possibly
have no personal motive to bias his counsel; nor can I forget, as an
encouragement to it, your indulgent reception of my sentiments on a
former and not dissimilar occasion.
Interwoven as is the love of liberty with every ligament of your
hearts, no recommendation of mine is necessary to fortify or confirm
the attachment.
The unity of government which constitutes you one people, is also
now dear to you. It is justly so; for it is a main pillar in the edifice of
your real independence—the support of your tranquillity at home,
your peace abroad, of your safety, of your prosperity, of that very
liberty which you so highly prize. But as it is easy to foresee that,
from different causes and from different quarters, much pains will be
taken, many artifices employed, to weaken in your minds the
conviction of this truth; as this is the point in your political fortress
against which the batteries of internal and external enemies will be
most constantly and actively, (though often covertly and insidiously)
directed,—it is of infinite moment that you should properly estimate
the immense value of your national union to your collective and
individual happiness; that you should cherish a cordial, habitual, and
immovable attachment to it; accustoming yourself to think and speak
of it as of the palladium of your political safety and prosperity,
watching for its preservation with jealous anxiety; discountenancing
whatever may suggest even a suspicion that it can, in any event, be
abandoned; and indignantly frowning upon the first dawning of
every attempt to alienate any portion of our country from the rest, or
to enfeeble the sacred ties which now link together the various parts.
For this you have every inducement of sympathy and interest.
Citizens, by birth or choice, of a common country, that country has a
right to concentrate your affections. The name of American, which
belongs to you in your national capacity, must always exalt the just
pride of patriotism, more than appellations derived from local
discriminations. With slight shades of difference, you have the same
religion, manners, habits, and political principles. You have, in a
common cause, fought and triumphed together; the independence
and liberty you possess are the work of joint counsels and joint
efforts, of common dangers, sufferings, and successes. But these
considerations, however powerfully they address themselves to your
sensibility, are generally outweighed by those which apply more
immediately to your interest; here every portion of our country finds
the most commanding motives for carefully guarding and preserving
the union of the whole.
The North, in an unrestrained intercourse with the South,
protected by the equal laws of a common government, finds, in the
productions of the latter, great additional resources of maritime and
commercial enterprise, and precious materials of manufacturing
industry. The South, in the same intercourse benefiting by the agency
of the North, sees its agriculture grow, and its commerce expanded.
Turning partly into its own channels the seamen of the North, it
finds its particular navigation invigorated; and while it contributes,
in different ways, to nourish and increase the general mass of the
national navigation, it looks forward to the protection of a maritime
strength to which itself is unequally adapted. The East, in like
intercourse with the West, already finds, and in the progressive
improvement of interior communication, by land and by water, will
more and more find, a valuable vent for the commodities which each
brings from abroad or manufactures at home. The West derives from
the East supplies requisite to its growth or comfort, and what is
perhaps of still greater consequence, it must, of necessity, owe the
secure enjoyment of indispensable outlets for its own productions, to
the weight, influence, and the maritime strength of the Atlantic side
of the Union, directed by an indissoluble community of interests as
one nation. Any other tenure by which the West can hold this
essential advantage, whether derived from its own separate strength,
or from an apostate and unnatural connexion with any foreign
power, must be intrinsically precarious.
While, then, every part of our country thus feels an immediate and
particular interest in union, all the parts combined cannot fail to
find, in the united mass of means and efforts, greater strength,
greater resource, proportionably greater security from external
danger, a less frequent interruption of their peace by foreign nations;
and what is of inestimable value, they must derive from union an
exemption from those broils and wars between themselves, which so
frequently afflict neighboring countries, not tied together by the
same government; which their own rivalship alone would be
sufficient to produce, but which opposite foreign alliances,
attachments and intrigues, would stimulate and embitter. Hence,
likewise, they will avoid the necessity of those overgrown military
establishments, which, under any form of government, are
inauspicious to liberty, and which are to be regarded as particularly
hostile to republican liberty; in this sense it is that your union ought
to be considered as a main prop of your liberty, and that the love of
one ought to endear to you the preservation of the other.
These considerations speak a persuasive language to every
reflecting and virtuous mind, and exhibit the continuance of the
Union as a primary object of patriotic desire. Is there a doubt,
whether a common government can embrace so large a sphere? Let
experience solve it. To listen to mere speculation, in such a case,
were criminal. We are authorized to hope, that a proper organization
of the whole, with the auxiliary agency of governments for the
respective sub-divisions, will afford a happy issue to the experiment.
It is well worth a fair and full experiment. With such powerful and
obvious motives to Union, affecting all parts of our country, while
experience shall not have demonstrated its impracticability, there
will always be reason to distrust the patriotism of those who, in any
quarter, may endeavor to weaken its bands.
In contemplating the causes which may disturb our Union, it
occurs as a matter of serious concern, that any ground should have
been furnished for characterizing parties by geographical
discriminations—Northern and Southern—Atlantic and Western:
whence designing men may endeavor to excite a belief that there is a
real difference of local interests and views. One of the expedients of
party to acquire influence within particular districts, is to
misrepresent the opinions and aims of other districts. You cannot
shield yourselves too much against the jealousies and heart-burnings
which spring from these misrepresentations; they tend to render
alien to each other those who ought to be bound together by paternal
affection. The inhabitants of our Western country have lately had a
useful lesson on this head; they have seen in the negotiation by the
executive, and in the unanimous ratification by the Senate, of the
treaty with Spain, and in the universal satisfaction at that event
throughout the United States, decisive proof how unfounded were
the suspicions propagated among them, of a policy in the general
government, and in the Atlantic States, unfriendly to their interest in
regard to the Mississippi—that with Great Britain, and that with
Spain, which secure to them everything they could desire in respect
to our foreign relations, towards confirming their prosperity. Will it
not be their wisdom to rely for the preservation of these advantages
on the Union by which they were procured? Will they not henceforth
be deaf to those advisers, if such there are, who would sever them
from their brethren, and connect them with aliens?
To the efficacy and permanency of your Union a government of the
whole is indispensable. No alliance, however strict between the
parties, can be an adequate substitute; they must inevitably
experience the infractions and interruptions which all alliances, in all
time, have experienced. Sensible of this momentous truth, you have
improved upon your first essay, by the adoption of a Constitution of
government, better calculated than your former for an intimate
union, and for the efficacious management of your common
concerns. This government, the offspring of our own choice,
uninfluenced and unawed—adopted upon full investigation and
mature deliberation, completely free in its principles, in the
distribution of its powers—uniting security with energy, and
containing within itself a provision for its own amendment, has a just
claim to your confidence and your support. Respect for its authority,
compliance with its laws, acquiescence in its measures, are duties
enjoined by the fundamental maxims of true liberty. The basis of our
political system is the right of the people to make and to alter their
Constitutions of government; but the Constitution which at any time
exists, till changed by an explicit and authentic act of the whole
people, is sacredly obligatory upon all. The very idea of the power
and right of the people to establish government, presupposes the
duty of every individual to obey the established government.
All obstruction to the execution of laws, all combinations and
associations under whatever plausible character, with the real design
to direct, control, counteract, or awe the regular deliberation and
action of the constituted authorities, are destructive to this
fundamental principle, and of fatal tendency. They serve to organize
faction, to give it an artificial and extraordinary force, to put in the
place of the delegated will of the nation, the will of a party, often a
small but artful and enterprising minority of the community; and,
according to the alternate triumphs of different parties, to make the
public administration the mirror of the ill-concerted and
incongruous projects of fashion, rather than the organ of consistent
and wholesome plans, digested by common counsels and modified
by mutual interests.
However combinations or associations of the above description
may now and then answer popular ends, they are likely, in the course
of time and things, to become potent engines, by which cunning,
ambitious, and unprincipled men will be enabled to subvert the
power of the people, and to usurp for themselves the reins of
government; destroying, afterwards, the very engines which had
lifted them to unjust dominion.
Towards the preservation of your government, and the
permanency of your present happy state, it is requisite, not only that
you steadily discountenance irregular oppositions to its
acknowledged authority, but also that you resist with care the spirit
of innovation upon its principles, however specious the pretexts. One
method of assault may be to effect, in the forms of the Constitution,
alterations which will impair the energy of the system, and thus to
undermine what cannot be directly overthrown. In all the changes to
which you may be invited, remember that time and habit are at least
as necessary to fix the true character of governments as of other
human institutions; that experience is the surest standard by which
to test the real tendency of the existing constitution of a country; that
facility in changes, upon the credit of mere hypothesis and opinion
exposes to perpetual change, from the endless variety of hypothesis
and opinion; and remember, especially, that for the efficient
management of your common interests, in a country so extensive as
ours, a government of as much vigor as is consistent with the perfect
security of liberty is indispensable. Liberty itself will find in such a
government, with powers properly distributed, and adjusted, its
surest guardian. It is, indeed, little else than a name, where the
government is too feeble to withstand the enterprise of faction, to
confine each member of the society within the limits described by the
laws, and to maintain all in the secure and tranquil enjoyment of the
rights of person and property.
I have already intimated to you the danger of parties in the state
with particular reference to the founding of them on geographical
discriminations. Let me now take a more comprehensive view, and
warn you, in the most solemn manner, against the baneful effects of
the spirit of party generally.
This spirit, unfortunately, is inseparable from our nature, having
its root in the strongest passions of the human mind. It exists under
different shapes in all governments, more or less stifled, controlled,
or repressed; but in those of the popular form it is seen in its greatest
rankness, and is truly their worst enemy.
The alternate domination of one faction over another, sharpened
by the spirit of revenge, natural to party dissensions, which, in
different ages and countries, has perpetrated the most horrid
enormities, is itself a frightful despotism. But this leads, at length, to
a more formal and permanent despotism. The disorders and miseries
which result, gradually incline the minds of men to seek security and
repose in the absolute power of an individual; and sooner or later,
the chief of some prevailing faction, more able or more fortunate
than his competitors, turns this disposition to the purposes of his
own elevation on the ruins of public liberty.
 Without looking forward to an extremity of this kind (which,
nevertheless, ought not to be entirely out of sight), the common and
continual mischiefs of the spirit of party are sufficient to make it the
interest and duty of a wise people to discourage and restrain it.
It serves always to distract the public councils, and enfeeble the
public administration. It agitates the community with ill-founded
jealousies and false alarms; kindles the animosity of one part against
another; foments, occasionally, riot and insurrection. It opens the
door to foreign influence and corruption, which find a facilitated
access to the government itself, through the channels of party
passions. Thus the policy and the will of one country are subjected to
the policy and will of another.
There is an opinion that parties, in free countries, are useful
checks upon the administration of the government, and serve to keep
alive the spirit of liberty. This, within certain limits, is probably true;
and in governments of a monarchical cast, patriotism may look with
indulgence, if not with favor, upon the spirit of party. But in those of
the popular character, in governments purely elective, it is a spirit
not to be encouraged. From their natural tendency, it is certain there
will always be enough of that spirit for every salutary purpose. And
there being constant danger of excess, the effort ought to be, by force
of public opinion, to mitigate and assuage it. A fire not to be
quenched, it demands a uniform vigilance to prevent its bursting into
a flame, lest, instead of warming, it should consume.
It is important, likewise, that the habits of thinking, in a free
country, should inspire caution in those intrusted with its
administration, to confine themselves within their respective
constitutional spheres, avoiding, in the exercise of the powers of one
department, to encroach upon another. The spirit of encroachment
tends to consolidate the powers of all the departments in one, and
thus to create, whatever the form of government, a real despotism. A
just estimate of that love of power, and proneness to abuse it, which
predominates in the human heart, is sufficient to satisfy us of the
truth of this position.
The necessity of reciprocal checks in the exercise of political
power, by dividing and distributing it into different depositories, and
constituting each the guardian of the public weal, against invasions
by the others, has been evinced by experiments, ancient and modern;