Bentleys Textbook Pharmaceutics

Bentley’s Textbook of Pharmaceutics
An Adaptation
First Edition
Sanjay K. Jain MPharm, PhD Professor of Pharmaceutics

Department of Pharmaceutical Sciences, Dr Hari Singh Gour
University Sagar, M.P.
Vandana Soni MPharm, PhD Associate Professor of

Pharmaceutics
University Sagar, M.P.
E.A. Rawlins MSc PhD FPS

Formerly Head of the Department of Pharmacy, Brighton
Polytechnic
Elsevier
2
Copyright
Bentley’s Textbook of Pharmaceutics, An Adaptation, 1e
Jain and Soni
ELSEVIER
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Reed Elsevier India Private Limited
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reproduced or transmitted in any form or by any means,
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prior written permission from the publisher and the copyright
holder.
This adaptation is based on Bentley’s Textbook of

Pharmaceutics, 8e, edited by E.A. Rawlins, MSc, PhD, FPS,
published in 1977, copyright Baillière Tindall, UK, an
imprint of Elsevier.
Original ISBN: 978-81-312-2481-6

Adaptation ISBN: 978-81-312-2825-8
Medical knowledge is constantly changing. As new
3
information becomes available, changes in treatment,
procedures, equipment and the use of drugs become
necessary. The authors, editors, contributors and the publisher
have, as far as it is possible, taken care to ensure that the
information given in this text is accurate and up-to-date.
However, readers are strongly advised to confirm that the
information, especially with regard to drug dose/usage,
complies with current legislation and standards of practice.
Please consult full prescribing information before issuing
prescriptions for any product mentioned in the publication.
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4
Table of Contents
Instructions for online access
Cover Image
Title Page
Copyright
Preface to the Adaptation
Preface to the 8th Edition
Contributors to the Adaptation
Contributors to the 8th Edition
Section I Physicochemical Principles
Chapter 1 Solutions
Chapter 2 pH, EMF and Redox Potentials
Chapter 3 Crystatalline Solids
Chapter 4 Complexatations
Chapter 5 Interfacial Phenomena
Chapter 6 Colloidal Systems
5
Chapter 7 Adsorption
Chapter 8 Ion Exchange And Chromatatography
Chapter 9 Diffusion and Dissolution
Chapter 10 Rheology
Chapter 11 Drug Stability
Chapter 12 ICH Guidelines For Statability Testing
Section II Pharmaceutical Operations
Chapter 13 Extraction
Chapter 14 Drying
Chapter 15 Evaporation
Chapter 16 Distillation
Chapter 17 Centrifugation
Chapter 18 Filtration
Chapter 19 Comminution, Sizing and Handling of Powders
Chapter 20 Coarse Dispersion
Chapter 21 Tablets and Capsules
Section III Pharmaceutical Practice
6
Chapter 22 Pharmacopoeias, Formularies and Medicines
Legislation
Chapter 23 Weights and Measures
Chapter 24 Pharmaceutical Calculatations
Chapter 25 Prescriptions
Chapter 26 Oral Preparations
Chapter 27 Rectal Administrations
Chapter 28 External Preparations
Chapter 29 Preparations for the Eye
Chapter 30 Parenteral Formulations
Chapter 31 New Drug Delivery Systems
Section IV Radioactivity
Chapter 32 Radioisotopes
Section V Microbiology and Animal Products
Chapter 33 Principles of Microbiology
Chapter 34 Disinfection
Chapter 35 Sterilization
7
Chapter 36 Microbial Contamination Control and Sterility
Testing
Chapter 37 Vaccines and Sera
Chapter 38 Antibiotics
Chapter 39 Blood Products and Plasma Substitutes
Chapter 40 Sutures and Ligatures
Section VI Formulation and Packing
Chapter 41 Formulation
Chapter 42 Pharmaceutical Aerosols
Chapter 43 Packaging
Chapter 44 Pilot Plant Manufacturing
Index
8
Preface to the Adaptation
The first edition of Textbook of Pharmacy, when written by
A.C. Bentley in 1926, was intended to be an adequate and
complete substitute for college lectures. It was written to fulfil
the requirements of the prescribed syllabi. Bentley had first
time included the basic principles underlying pharmacopoeial
operations and also devoted a portion of his book to the
transcripts of the official monographs. This book had been
revised and updated regularly by Bentley in the succeeding
years. After Bentley’s death in 1943, the next revision of his
textbook was carried out by R. Harold Davis, who
incorporated his extensive experience of hospital pharmacy
and expanded the section on microbiology. He had also added
a new section on pharmaceutical manufacturing with an
objective to provide a ready reference for practising
pharmacists. In the next two editions a new topic, radio
pharmacy, was added. It was encouraging that the Bentley’s
Textbook of Pharmaceutics was widely accepted by the
pharmacy community. Looking at its wide acceptance and
popularity, Elsevier has adapted this book.
The process of revision of book has been continued in the
present edition and the contents of the book have been revised
and redesigned to cover the vast majority of topics. We have
focused on updating and expanding the content of the old
edition as well as introducing several new chapters, viz.
Complexations, Stability Testing as per ICH Guidelines,
Parenteral Formulations, New Drug Delivery Systems and
Pilot Plant Manufacturing, with an intention to make it more
informative for the modern pharmacists. Many books on
pharmaceutics have been introduced in the market during the
9
last one decade, claiming to fulfil the requirements of
students, but this edition of Bentley’s Textbook of
Pharmaceutics has been written with an intention to cater to
the requirements of not only the students but also the
practising pharmacists. It is hoped, therefore, that this new
edition will provide adequate study material to teachers as
well as students for understanding the various pharmaceutical
processes and operations. We hope that this edition, like its
predecessors, will be recognized as an essential textbook for
the students and a valuable work of reference for the
practising pharmacists. In working towards this end, we have
been fortunate in having the assistance of a group of our
research scholars. We place on record our gratitude to all our
colleagues and family members who gave valuable
suggestions so unselfishly in this edition of book.
Sanjay K. Jain
Vandana Soni
10
Preface to the 8th Edition
When A.C. Bentley wrote his Textbook of Pharmacy, the first
edition of which was published in 1926, he intended it to be
an adequate and complete substitute for college lectures and
he found the warrant for its existence largely in the
requirements of those students who were incapable of taking
adequate lecture notes and of those pertinacious individuals
who needs must pre-empt the efforts of their tutors by
learning it all beforehand. In common with most textbooks of
the day it was intended to fulfil the requirements of a given
syllabus and it reflected the teaching method of the time.
Much of this involved learning pharmaceutical data by rote
and although Bentley was among the first to include a
consideration of the basic principles underlying
pharmacopoeial operations, he still devoted a portion of his
book to transcripts of the official monographs. To these,
however, he added notes giving reasons for the methods used;
his textbook was often the only repository of such
information and many an examination candidate had reason to
be grateful for it.
At that time, pharmacy was rather more of an art than a
science, and progress was leisurely, but by the time he
published his fourth edition in 1937, the production of
synthetic drugs had begun which was to burst into an
explosion of effort in succeeding years which was to
revolutionize the practice of pharmacy. Bentley died in 1943
and the next revision of his text was carried out by Dr Harold
Davis, who incorporated in it the fruit of his extensive
experience of hospital pharmacy; he expanded a great deal the
section on microbiology and added a new section on
11
pharmaceutical manufacturing. Significantly, he abandoned
the objective of covering a given syllabus, aiming simply to
assist pharmaceutical students and to provide a work of
reference for practising pharmacists. In the next two editions
he added new topics such as radio-pharmacy and reduced
considerably the amount of material transcribed from the
pharmacopoeia, while at the same time commencing the
move towards a more generalized approach which has now
become the underlying concept of pharmaceutical teaching.
This process has been continued in the present volume and
new material has been added to bring it into line with modern
requirements. The practice of pharmacy has changed very
greatly in the past two decades. Extemporaneous dispensing
has been greatly reduced in favour of medicaments presented
in unit dosage forms; even so the unique contribution of the
pharmacist is central to the provision of clinically efficient
modern dosage forms, and is now well recognized. No
textbook can be expected to present within a modest extent all
that is required for the education and information of the
modern pharmacist, even in one field of study. It is hoped,
however, that this new edition will help supplement the
student*s formal teaching, consolidate his knowledge, and at
the same time stimulate further reading. We hope too that this
edition, like its predecessors, will become recognized as an
essential textbook for the student and a valuable work of
reference for the practising pharmacist.
In working to this end, I have been fortunate in having the
assistance of a group of distinguished contributors. In the last
edition Dr Davis pointed but that ‘with the rapid growth of
new medicaments and the almost continuous flow of new
pharmaceutical products, standard works of reference must
continually lag behind practice’. The production of a new
edition after a long period has served to confirm this view and
12
I am very grateful to my colleagues who, though burdened
with heavy duties, have endeavoured to make this book as
up-to-date and comprehensive as possible.
Rawlins E.A.
The Publishers regret to have to announce to the readers of

this book the death of Dr E.A. Rawlins which took place just
as the final portions of the book were being passed for press.
They would like to pay tribute to the courage of Dr Rawlins
and to express their gratitude to him for all the time and effort
that he had devoted over a long period to the editing of this
book.
13
Contributors to the Adaptation
S.K. Jain PhD (Chapters 6, 8, 9, 10, 12, 13, 14, 15, 17, 20,
22, 23, 24, 29, 30, 31 and 44)
Professor, Department of Pharmaceutical Sciences, Dr Hari
Singh Gour, University, Sagar (M.P.), India
V. Soni PhD (Chapters 4, 6, 8, 9, 10, 13, 14, 15, 17, 20, 22,
23, 24, 29, 31 and 44)
Associate professor, Department of Pharmaceutical Sciences,
Dr Hari Singh Gour University, Sagar (M.P.), India
P. Hurkat MPharm (Chapter 30, with S.K. Jain)

University, Sagar (M.P.), India
R. Dubey MPharm (Chapter 12, with S.K. Jain)

A. Jain MPharm (Chapter 44, with S.K. Jain and v. Soni)

S. Shilpi MPharm (Chapter 4, with v. Soni)

A. Gulbake MPharm (Chapter 31, with S.K. Jain and v. Soni)
14
15
Contributors to the 8th Edition
M.G. Aiken BPharm, MPS (Chapters 34 and 35)

Senior Lecturer in Pharmaceutics, Brighton Polytechnic
J.E. Carless PhD, FPS (Chapters 1, 2, 3, 6, 8, 9, 10, 14, 15,

16, 17 and 18)
Professor of Pharmaceutics, Chelsea College, University of
London
J.O. Dawson BSc, FPS (Chapter 40, with C.C. Yates)

Technical Director Ethicon Sutures Ltd., Edinburgh
D. Ellis BSc, PhD (Chapter 39, with W. d’A. Maycock)

The Lister Institute of Preventive Medicine, Elstree, Herts
R.P. Enever BPharm, PhD, ARIC, MPS (Chapter 11)

Senior Lecturer in Pharmaceutics, School of Pharmacy,
University of London
J.W. Hadgraft FPS, FRIC (Chapters 22, 23, 24, 25, 26, 27,
28 and 29)
Regional Pharmaceutical Officer, East Anglia Regional
Health Authority
J.P. Hall MSc, FPS, MInst Pkg (Chapter 42)

Lecturer in Pharmaceutics, Chelsea College, University of
London
16
N.D. Harris BPharm, PhD, FPS, DIC (Chapters 32, 33 and
36)
Reader in Pharmaceutics, Chelsea College, University of
London
W.d’A. Maycock CBE, MD (Chapter 39, with D. Ellis)

The Lister Institute of Preventive Medicine, Elstree, Herts
F.T. Perkins MSc, PhD, MIBiol, FRSA (Chapter 37, with

F.W. Sheffield)
Chief of Biological Research, World Health Organization,
Geneva, Switzerland
J.M. Pickett PhD, MPS (Chapters 5, 13 and 20)

Senior Lecturer in Pharmaceutics, Brighton Polytechnic
M.N. Pilpel BSc, PhD, DSC (Chapter 19)

Reader in Pharmaceutical Technology, Chelsea College,
University of London
E.A. Rawlins MSc, PhD, FPS (Chapter 35)

Formerly Head of the Department of Pharmacy, Brighton
Polytechnic
F.W. Sheffield MB, ChB (Chapter 37, with F.T. Perkins)

National Institute for Biological Standards and Control,
Hampstead, London
M.J. Soulal BSc, PhD, FRIC (Chapter 38)

New Product Development, Beecham Pharmaceutical,
Research Division, Betchworth, Survey
17
F.A.J. Talman BSc, FPS (Chapters 21, 41 and 43)
Principal Lecturer in Pharmaceutics, Brighton Polytechnic
C.C. Yates ARIC (Chapter 40, with J.O. Dawson)

Consultant, 34 Roebuck Lane, Buckhurst Hill, Essex
18
Section I Physicochemical Principles
19
Chapter 1
Solutions
A solution is a homogeneous molecular dispersion of two or
more substances, the relative proportions of which may vary
between certain limits. These limits are expressed most
concisely by the Phase Rule derived by J.W. Gibbs in 1876.
Composition of Solutions
The component that forms the major constituent of a solution
is called the solvent and the gas, liquid or solid dissolved in it
is known as the solute. The terms are convenient but do not
imply any difference in the role of the two constituents and
cease to have any value for pairs of liquids that are miscible
in all proportions, e.g. alcohol and water.
The composition of a solution may be expressed in various
ways, of which the following are the more common:
1. The amount of solute in grams (g) or milligrams (mg) in a
unit volume of solution.
2. The amount of solute in gram molecules (moles) in 1 litre
of solution. This expresses the concentration as a molarity.
All solutions of the same molarity contain the same number
of molecules in a definite volume of solvent.
3. The amount of solute is given as a percentage by weight
(per cent w/w).
4. For liquid mixtures, the solute is given as percentage by
volume (per cent v/v).
5. The ratio of moles of solute to the total moles present
(solvent and solute). This is known as the mole fraction and is
20
most suited to theoretical treatment of solutions. If a solution
contains nA, nB, … n1, mols of A, B, etc., the concentration
of each constituent expressed by its molar fraction N is H1 +
H2:
Mechanism of Solvent Action

A true solution is formed when two or more previously
separated phases are brought together and form one phase. In
the gaseous state, there is complete miscibility since gases
consist of widely separated molecules moving at great speed,
occasionally colliding, so that molecules of one gas move
freely among molecules of a second gas. Liquids differ from
gases in that the molecules of the liquid are always in close
proximity due to the forces of attraction between the
molecules, and this results in liquids being considerably
denser than gases and occupying a definite volume. Thermal
energy causes the molecules in a liquid to be constantly on
the move so that neighbours are constantly changing. Since a
change in neighbour occurs, it is also possible for changes of
kind of neighbour to occur when different substances, say A
and B, in the liquid state, are brought together, i.e. the liquids
mutually dissolve. However, since the forces of attraction
between A molecules for themselves may be greater than the
21
forces between A molecules and B molecules, the liquids may
not be completely miscible. Exact prediction regarding
solubility requires knowledge of the size and shape of
molecules and of the short-range forces acting between
neighbours. Experimentally, it is found that some pairs of
liquids are miscible in all proportions, some over a limited
range of composition, and others have no tendency for mixing
at all. As a rough guide, we can expect substances that are
chemically similar to show mutual solubility and hence the
adage ‘like dissolves like’. Hartley (1956) has expressed this
very clearly—‘liquids are mutually soluble to an extent
depending on the difference between the force of attraction
between unlike molecules and the mean of those between the
like pairs. In general the attraction between unlike molecules
is less than the mean of the attraction of like molecules and so
the attractive forces are best separated by dissociation of the
molecules, like with like, in separate phases’.
Unlike liquids, crystalline solids have their molecules in an
orderly arrangement of units, i.e. atoms, molecules or ions.
These units are in fixed positions so that their neighbours
remain individually the same. The insolubility of unionized
solids can be explained by the stable crystalline arrangement
and low intramolecular forces between solvent and solute.
The melting point of the solute reflects the strength of the
intramolecular forces in the solute and so the higher the
melting point the less the tendency for it to dissolve in a
liquid, provided of course that one is comparing solutes of
similar chemical structure, e.g. hydroquinone, melting point
170°C, is less soluble than phenol, melting point 41°C.
The solubility of electrolytes is largely governed by the
electrostatic forces of attraction and repulsion, the most
important single property of a solvent being its dielectric
constant. Water with a high dielectric constant is said to be a
22
polar solvent and is a good solvent for other polar substances,
e.g. electrolytes. When an electrolyte dissolves in water, the
cations are attracted to the negative ends of the water dipoles
and become associated with a shell of strongly attracted water
molecules. A similar though smaller effect occurs with the
anions and the Oδ−. Hydrocarbons with low dielectric
constants are poor solvents for electrolytes due to their
nonpolar nature.
The immiscibility of water and nonpolar substances is due to

the strong attraction of water molecules for each other and the
absence of attraction of a water molecule for a nonpolar
molecule; the nonpolar substance is thus ‘squeezed’ out of the
water leading to phase separation. The use of the term
hydrophobic is often applied to nonpolar substances and tends
to suggest that the immiscibility between solute and solvent is
due to repulsion between the different species of molecules.
The term is misleading in so far as it suggests a mechanism
that is incorrect.
The polarity of organic substances containing groups such as
—OH, —COOH and/or —NH2 is due to the unequal sharing
of the electron of the covalent bond. Attractions exist between
the molecules containing these polar groups and the water
molecules and consequently they are readily distributed
between the water molecules.
Ethanol is miscible in all proportions with water, but the
higher alcohols, e.g. propyl, butyl, etc., become increasingly
less soluble due to the increasing size of the nonpolar part of
the molecules, which tends to be expelled from solution.
Long-chain alcohols such as cetyl alcohol, C15H31OH, are
sparingly soluble in water and orientate themselves at an
23
air–water interface with the OH group in the water and the
hydrocarbon chain directed towards the air. This behaviour at
an air–water interface is discussed more fully in Chapter 5.
Mixed Solvents
The solvent properties of mixed solvents that show no
association effects, e.g. benzene–cyclohexane, ethylene
chloride–ethylene dibromide, are a mean of the properties of
the two liquids, when a solute is present in fairly low
concentration. There is a complication if large amounts of
solute are added, especially if it is very soluble in only one
phase since the effect may be to bring about separation of the
two liquid phases.
As a general guide, the log solubility of fairly low solubility
solutes is a linear function of the mole fraction composition of
the mixed solvent (Hartley, 1956). This relationship helps us
predict the solubility when a very bad solvent is added to a
very good solvent as is frequently done in order to precipitate
a product from solution. If, for example, a crystalline organic
substance is soluble in 10 parts of alcohol, but in 100,000
parts of water, it will be soluble only in 1000 parts of 0.5M
(molar) solution of alcohol in water. This concentration of
alcohol expressed as a percentage is approximately 75 per
cent so that the addition of as little as 25 per cent water results
in almost complete precipitation.
The behaviour of mixed solvents where one solvent tends to
associate in the presence of the second differs from this
previous case. The association or clustering of molecules
tends to give local regions of relatively high solvent
concentration which exert considerably higher solvent effect
than do the homogeneously distributed nonassociated mixed
24
solvents. The clustering tendency of methanol, ethanol and
propanol increases in this order and this correlates with the
solvent power of 50 per cent solutions of these alcohols in
water. A solution containing a high concentration of sodium
benzoate in water acts as a good solvent for a number of
organic substances, particularly phenols, due to the
association of benzoate ions providing a liquid hydrocarbon
region which is able to exert its solvent effect. Aqueous
solutions of surface active agents can dissolve many water
insoluble substances due to similar aggregation behaviour, the
aggregates in these instances being known as micelles (see
Chapter 5).
A detailed discussion of the thermodynamics of solutions is
outside the scope of this chapter and the reader should refer to
the standard textbooks of physical chemistry to appreciate the
concepts of ‘ideal behaviour’ of solutions. An ideal solution
has been defined as one that obeys Raoult’s law over the
whole range of concentration and at all temperatures.
Deviations from ideal behaviour may be due to association or
solvation effects. Association refers to a specific interaction
between the molecules of the solute, e.g. dimerization of
benzoic acid in certain solvents. Solvation refers to the
interaction between solute and solvent molecules such as
hydrogen bonding. The majority of pharmaceutical solutions,
particularly solutions of weak electrolytes, are not dilute
enough to come within the classification of ideal solutions
and thus the colligative properties, e.g. freezing point,
osmotic pressure and vapour pressure of these solutions,
cannot be accurately calculated theoretically. There is,
however, comprehensive freezing point data on drug solutions
that can be used to compute the composition of isotonic
solutions with a degree of accuracy that is adequate for most
pharmaceutical solutions.
25
Factors that Influence the Rate and
Extent of Solubility
Temperature
The solubility of a solid in a liquid is dependent on the

temperature, nature of the solute and the nature of the solvent.
If a solute absorbs heat during the process of solution, i.e. has
a negative heat of solution, its solubility is increased with
increase in temperature. Most solutes show this behaviour
(Fig. 1.1). If the solute has a positive heat of solution as in the
case of calcium hydroxide and calcium sulphate (above
50°C), the solubility will be decreased by increasing the
temperature.
26
Fig. 1.1 Solubility curves.
For an ideal solution, the variation in solubility of a solid with

temperature can be expressed as:
where S is the solubility (mole fraction), R is the gas constant,

T is the absolute temperature and ΔH is the heat of solution.
Assuming that ΔH is constant between temperatures T1 and
T2, integration of the equation between these two limits gives:
27
where S1 and S2 are the solubilities at temperatures T1 and T2,
respectively. In an ideal solution, the heat of solution ΔH is
equal to the heat of fusion of the solid. The equation can also
be written in the form:
where the plot of log S versus 1/T is a straight line with a

slope of −ΔH/2.303R, enabling the heat of fusion to be
calculated. This treatment is not applicable to nonideal
solutions or to solutions whose temperatures are considerably
above or considerably below the melting point. Polymorphic
forms of a solute will have different solubility characteristics
and the temperature at which one form reverts to another may
be estimated from the point of intersection of the log S versus
1/T plots for the different forms. Shefter and Higuchi (1963)
determined the transition temperature of the hydrated form of
succinyl sulphathiazole and the pentanol solvate of
hydrocortisone acetate using this method.
Particle Size
The rate of solution under conditions of constant agitation and

temperature is proportional to the surface area of the solid in
contact with the solvent. Thus the rate of solution can be
increased by using finely divided solids which have a high
surface area per unit weight. During dissolution, the rate of
solution will decrease due to the decrease in surface area of
28
the particles. If allowances are made for this, the calculation
of change of surface area with time becomes very
complicated (Higuchi & Hiestand, 1963). An alternative
approach used by Edmundson and Lees (1965) was to regard
solution as an etching process in which a given surface
recedes in depth at a rate proportional to time. These two
approaches are equivalent, as solution rate measured as
volume/unit area/unit time is in fact equivalent to length/time.
By dimensional analysis:
Edmundson and Lees (1965) used the Coulter Counter to

follow the dissolution of hydrocortisone acetate particles and
found that in agreement with the data above, the diameters of
the particles decreased linearly with time.
If the particles are reduced to colloidal dimensions (<1μm),
the solubility itself may be affected to a limited degree. This
effect is of practical significance only in the case of sparingly
soluble solids and can be explained on the basis of increased
free energy of the solid. Consider a cube of 1cm edge; the
surface area is 6cm2 and the surface energy 6γ ergs if γ is the
surface energy (ergs/cm) of the solid. Subdivision of this cube
into cubes of 0.1cm side would produce 105 cubes and
resultant surface energy of 6×105 γ (ergs). This extra energy
over and above that possessed by the original solid is
responsible for producing an increase in solubility. The
relationship between solubility Sr of a particle of radius r and
the bulk solubility S∞ is given by:
29
where ρ and γ are, respectively, the density and surface
energy of the solid and M its molecular weight. The
substitution of typical values in the equation indicates that a
solubility increase of about 8 per cent demands a reduction in
particle size from coarse crystals to about 0.1μm (Higuchi,
1958). Barium sulphate particles of 0.1μm diameter have
been reported as being twice as soluble as coarse particles
(Alexander & Johnson 1949). The experimental verification
of the previous equation is difficult as slight contamination of
the solid surface by adsorbed impurities could cause a
significant reduction in the surface energy and thus solubility
changes could be less than predicted. The difference in
solubility between small and large crystals is responsible for
the coarsening of crystals in suspension (Ostwald ripening).
Solubility and Degree of Saturation
Noyes and Whitney in 1897 studied the rate of solution of

cylinders of benzoic acid and lead chloride in water. The
surface area of solid and degree of agitation were kept
constant. They obtained the following relationship between
change
of concentration with time and concentration of dissolved
solute:
where Cs = concentration of the saturated solution, C =

concentration in the bulk solution and K = a rate constant.
Later, workers considered that process of dissolution took
place, firstly by the formation of a saturated solution at the
solid interface and then by the diffusion from this through the
30
stationary layer of solvent surrounding the solid particle. The
saturated film was assumed to form instantaneously and the
limiting rate would be the diffusion across the stationary film.
Agitation rates would influence the thickness of the film, high
rates reducing its thickness. The previous equation could thus
be written:
where D = diffusion coefficient, A = area of interface, δ =

thickness of stationary film and V = volume of the solvent.
The term stationary film is somewhat misleading as this is the
streamline layer in contact with the solid when the solvent is
moving in streamline flow. The solute can pass through this
film only by the relatively slow process of diffusion. The
diffusion coefficient increases with temperature and is
inversely proportional to viscosity.
It follows from the Noyes–Whitney equation that in the initial
stages of solution, the rate of solution is directly proportional
to solubility:
Hamlin, Northram and Wagner (1965) found this equation to

be applicable to a wide range of drugs although deviations are
expected if the compounds undergo a reaction with the
solvent or if the diffusion coefficient is affected by the nature
and concentration of other ions present.
The rate of solution of sparingly soluble drugs in tablet or
capsule dosage form controls the rate of absorption of the
drug from the gastrointestinal tract if the solution rate is the
31
rate-limiting step. The importance of dissolution rate studies
has been discussed by Wagner (1961) and Wurster and Taylor
(1965).
Expression of Solubility According to

Pharmacopoeia
A test for solubility becomes a test for purity only where a
special quantitative test is given in the individual monograph
and is an official requirement. The approximate solubilities of
the articles of the Pharmacopoeia are given here primarily as
information; they are not meant to be applied as tests for
identifying materials. However, they may indirectly help in
the preliminary evaluation of the integrity of an article. They
have been indicated by descriptive terms in the accompanying
Table 1.1 and have the following significance with reference
to a temperature of 15–30°C.
Table 1.1 Solubility according to United States

Pharmacopoeia/Indian Pharmacopoeia
Parts of Solvent Required for 1

Descriptive Term
Part of Solute
Very soluble Less than 1
Freely soluble From 1 to 10
Soluble From 10 to 30
Sparingly soluble From 30 to 100
Slightly soluble From 100 to 1000
Very slightly soluble From 1000 to 10,000
32
Practically insoluble or 10,000 or more
insoluble
Solutions of Solids in Liquids

When a solid is placed in contact with a liquid, particles leave
the surface of the solid and pass into the liquid. The particles
formed initially consist of blocks of a few molecules which
formed the lattice blocks of the crystal; these ultimately break
down into molecules or ions. The dissolved material diffuses
through the liquid in all directions and some of it returns to
the surface of the solid and passes out of solution. The solid
continues to dissolve until equilibrium is established between
particles leaving the solid and those returning to it. At this
point, the solution is said to be saturated, and the
concentration of the solute in the solution is termed its
solubility at the temperature of the mixture.
The Determination of Solubility

The determination of solubility involves the preparation and
analysis of a saturated solution. The determination is usually
carried out by one of the following methods:
Analytical Method
Excess of the finely divided solid is agitated continuously

with the solvent at the required temperature until equilibrium
is attained. Most of the available solubility data have been
derived from experiments based on this principle. The
apparatus shown in Fig. 1.2 is convenient for the
33
determination and is capable of yielding very accurate results
(Campbell, 1930). Filter tube A, which is about 3mm bore
and is packed with glass wool, is constricted at the upper end;
tube B is capillary tubing. The lower bottle is charged with
solute and solvent and agitated in a thermostat until solution
is complete; up to 24 hours or more may be required for this.
The apparatus is then inverted in the thermostat to allow the
solution to filter through A into the empty bottle, the expelled
air being returned by tube B. Tube B discharges a small
quantity of pure solvent into the solution–solid mixture, but
with a fine-bore capillary this quantity is negligible. The S
bend in B prevents the transfer of solid into the empty bottle.
The apparatus is removed from the
thermostat and the filtered saturated solution is analysed. This
method avoids inaccuracies due to differences in temperature
between the saturated solution and the apparatus used for
removal of the test portion.
34
Fig. 1.2 Apparatus for solubility determinations.
In the determination of the solubility of finely powdered

materials of low solubility, it is essential that the filter is
capable of retaining the fine particles otherwise erroneously
high results will be obtained when the filtrate is analysed.
This difficulty may be overcome by the use of membrane
filters which can be obtained in pore sizes down to about
0.2μm. Filtration is rapid and there is negligible absorption of
solute. Commercially available membrane filters include the
Oxoid cellulose acetate filters (0.5μm) and the Millipore
filters (0.2μm upwards). They are not affected by alcohol,
ether or hydrocarbons but are soluble in certain esters and
ketones. The membranes are fragile and need to be supported
35
on a porous disc during filtration under reduced pressure. For
the rapid filtration of small volumes, a syringe type holder is
very convenient when the solution is forced through the
membrane by the plunger in the syringe. No special
thermostatic control of the syringe is necessary for solubility
measurements at temperatures near to ambient.
The analysis of the saturated solution is performed by any
suitable quantitative chemical analysis or by the
determination of such physical characteristics as specific
gravity or refractive index. For rough determinations, a
measured quantity of the solution may be evaporated to
dryness and the residue weighed. The concentration of very
sparingly soluble salts, such as barium sulphate, may be
calculated from the electrical conductivity of the solution;
sparingly soluble lead salts may be determined in a manner
similar to that used in the official lead limit tests. If
radioisotopes of suitable half-life are available, the technique
of isotope dilution analysis may be applied. This can be
illustrated by reference to the determination of barium
sulphate solubility. Radioactive barium chloride is added to
BaCl2 in solution, in the form of 140BaCl2, and on the
addition of sulphuric acid, 140BaSO4 and BaSO4 are
precipitated simultaneously. The specific activity (i.e. counts/
min/mg) of the barium sulphate is determined. A saturated
solution is then prepared and after evaporation to dryness, the
radioactivity of the residue is measured. If both counts are
done under standard conditions, the weight of residue in mg
will be equal to the counts/min of the residue divided by the
specific activity of the barium sulphate. In the case where
solubility increases with temperature, the time taken for
preparing a saturated solution can be reduced by heating the
solvent with an excess of the solute. The solution is cooled to
36
the desired temperature, in contact with the solid, to prevent
the formation of a supersaturated solution.
Synthetic Method
A known quantity of solute is mixed with a known quantity of

solvent in a stoppered vessel and the mixture is slowly heated
in a water bath, with constant agitation, until the last crystal
disappears. The temperature is noted. The heating bath is
allowed to cool and the temperature at which the first crystal
reappears is noted. If a supersaturated solution is not
produced, the two temperatures should differ very little. From
the proportion of solute and solvent, the solubility at the mean
of these two temperatures can be calculated. In a modification
of this method, a series of mixtures of solute and solvent of
graduated proportions are shaken at a constant temperature
until equilibrium is attained. The solubility then lies between
the concentration of two mixtures; in one of these all the
solute has disappeared and in the other a trace of solute
remains. These methods are valuable in cases where accurate
methods are not available for the analysis of the saturated
solution or where the solvent is not very volatile. For
example, the solubility of antioxidants in oils could be most
conveniently determined by trial in this way.
Solubility Curves
Solubility may be stated in any of the units available for
representing concentrations. Usually it is expressed in g or ml
of solute per 100ml or 100g of solvent or 100ml or 100g of
saturated solution. In the British Pharmacopoeia, the
solubility is expressed by stating the number of parts of
37
solvent in which one part of solute will remain in solution at
20°C. The solubility of sparingly soluble substances is
occasionally given in mg/100ml or mg per cent. Hence, the
statement that the solubility of sulphadiazine is 12Mg per cent
at 37°C means that 12ml of sulphadiazine will form a
saturated solution in 100ml of water at 37°C. For most
pharmaceutical purposes, the method for the statement of
solubility used in the pharmacopoeia is the most convenient.
A solubility curve is a graph relating solubility to temperature
(Fig. 1.1). Usually the curve is continuous, but in some cases
abrupt changes in the direction of the curve are observed.
Generally solubility increases appreciably with rise in
temperature so that curves similar to that given for potassium
nitrate in Fig. 1.1 are most common. Sodium chloride has the
unusual property of exhibiting only a slight increase in
solubility with temperature; whereas some substances,
notably calcium salts of organic acids, are less soluble in hot
water than in cold water. The solubility of calcium sulphate is
exceptional in that it gradually increases to a maximum at a
certain temperature and then it decreases with further increase
in temperature.
An abrupt change in direction of a solubility curve is due to a
change in the character of the solid phase in contact with the
solution, and the curve is better regarded as being made up of
two intersecting curves which represent the solubilities of two
distinct substances. In the case of sodium sulphate, the break
in the curve is due to a change in the degree of hydration of
the solid in contact with the saturated solution; up to 32, the
curve represents the solubility of the decahydrate,
Na2SO4.10H2O; above 32°C, it represents the solubility of
anhydrous sodium sulphate, Na2SO4, and at 32°C, it
represents the equilibrium conditions between a saturated
solution, the decahydrate and the anhydrous salt. The
38
solubility curve of ammonium nitrate exhibits a break owing
to a change of the solid into a second polymorphic form.
Supersaturated Solutions
Normally, when a saturated solution is cooled, it deposits
crystals. In some cases, when no undissolved solid is present,
a solution may be cooled to a temperature that is below
saturation temperature, and it fails to deposit crystals. Such a
solution is said to be supersaturated. In the absence of dust
particles or undissolved solid, the transformation of a
supersaturated solution to a saturated solution may be
suspended indefinitely. This metastable state is readily broken
down by the addition of a small crystal of the solute; dust
particles, which can form nuclei for crystallization, or
mechanical disturbances frequently cause deposition of the
excess of solute hitherto held in solution.
Salts that crystallize with water of crystallization are most
frequently capable of producing supersaturated solutions, e.g.
sodium thiosulphate, potassium acetate and sodium sulphate.
Calcium gluconate injection is a notable example of a
supersaturated solution; calcium gluconate forms a saturated
solution in about 30 parts of water, whereas in the injection it
may remain in solution indefinitely in about 10 parts of water.
Methods of Preparing Saturated Solutions
From a consideration of the properties of saturated solutions,

it is apparent that the following rapid methods are available
for their preparation:
1. An excess of solid is dissolved in the solvent at a higher
temperature than that at which the solution is required to be
39
saturated and the solution is allowed to cool in contact with
undissolved solute.
2. The quantity of solid necessary to saturate the solution at
the required temperature is ascertained from a work of
reference. This quantity is dissolved in the solvent with the
aid of heat and as the solution cools, solvent is added to
produce the required volume.
Since saturated solutions usually deposit crystals on cooling
below saturation temperature, it is often advantageous to take
quantities of solvent or solute so that the solution is saturated
at a temperature slightly below that at which the solution is to
be stored. Then under normal storage conditions no solid is
deposited.
Distribution of a Solute Between

Immiscible Liquids
A dissolved solid is distributed between two immiscible
liquids in a manner very similar to the distribution of a gas
between a liquid and a gas phase, and similar rules apply in
both cases. The rules applying to the distribution of a solute
between two immiscible solvents are as follows:
1. The Distribution Law: If a solute is in the same molecular
condition in both solvents, the ratio in which the solute
distributes itself between the two solvents, called the
distribution coefficient or partition coefficient, is constant at
constant temperature (cf. Henry’s Law, p. 10).
2. In the presence of several solutes, the distribution of each
solute takes place independently of the others (cf. Dalton’s
law of partial pressures, p. 10).
40
If the solute is associated or dissociated or undergoes
chemical combination in the two solvents, it is possible to
determine the extent to which these changes take place by
applying the distribution law to the molecular species that are
identical in the two solvents.
Distribution Coefficient
When a substance is distributed between two immiscible
solvents A and B:
Since saturated solutions of the same solute in two immiscible

solvents are in equilibrium, the distribution (or partition)
coefficient is equal to the ratio of the solubility of the solute
in solvent A to its solubility in solvent B. In most cases,
however, K is not strictly constant for all ranges of
concentration in the two solvents. The value of K derived
from solubilities is therefore only approximate.
Extraction with Immiscible Solvents

Consider a substance, S, soluble 10g in 100ml of water and
80g in 100ml of chloroform:
41
The distribution coefficient (K) is therefore 8.
(1) Extraction with one quantity of immiscible solvent
Assume that 5g of substance S is shaken with 100ml of water
and 100ml of chloroform and let x g be the weight dissolved
in the chloroform. Then (5 − x) g will be present in the water
layer:
Hence the chloroform will extract 4.44g of S and 0.56g will

remain in the water layer.
(2) Extraction with two successive quantities of immiscible
solvent
(a) If the volume of chloroform had been 50ml, then, if y g is
the weight of S dissolved in the chloroform:
42
Hence the chloroform layer contains 4g of S and 1g of the
water layer. The amount of S dissolved in the layer of 50ml of
chloroform is nearly as much as that dissolved in the layer of
100ml of chloroform.
(b) If the chloroform layer is run off, 1g of S remains in
100ml of water. On shaking with a further 50ml of
chloroform, if z g is the weight of S dissolved in the
chloroform:
Hence, the chloroform layer contains 0.8g of S and 0.2g of

the water layer. By taking two successive quantities, each of
50ml of chloroform, 4.8g of S is extracted by the chloroform,
whereas with a single quantity of 100ml only 4.44g is
extracted. In the same way, it can be shown that a still more
43
complete extraction would be effected if the chloroform was
used in three successive quantities of 50, 25 and 25ml.
The extraction of a solute from solution by shaking with an
immiscible solvent is frequently used in the preparation and
assay of materials containing alkaloids. If an aqueous solution
of an alkaloidal salt is made alkaline and shaken with
chloroform, the alkaloidal base distributes itself in favour of
the chloroform phase. Successive extractions will deplete the
aqueous phase of alkaloid. If the separated chloroform layers
are combined and extracted with an acidic solution, the
alkaloid (as a salt) passes into the aqueous phase and is
relatively free from extraneous material such as plant
pigments and tannins, which do not possess the same
solubility characteristics. An extension of this liquid–liquid
extraction method is countercurrent extraction, which is used
for the fractionation of mixtures of solutes.
Countercurrent Extraction
This technique was developed by L.C. Craig and has been
used for the separation of antibiotics, alkaloids, glycosides,
etc. The theory and practice of this method has been
authoritatively reviewed by Craig and Craig (1956). The
apparatus consists essentially of a series of tubes in which the
material to be fractionated is successively distributed between
two immiscible liquids. Consider an extraction using
chloroform and water as solvents. Equal volumes of
chloroform are first added to each tube; the solute is dissolved
in water and added to tube 1. The tube is shaken to achieve
equilibrium and after settling, the upper phase (aqueous) is
transferred to tube 2. An equivalent volume of water is then
added to tube 1. Tubes 1 and 2 are shaken and when the
44
phases have settled out, the aqueous phase of each tube is
transferred to the next tube, i.e. 2 into 3, 1 into 2, and water
into 1. In this way, a stepwise transfer of aqueous phase
occurs after separation of the two phases. A solute whose
partition coefficient favours the aqueous phase will be
transferred more quickly along the train of extraction tubes
than a solute that is more soluble in chloroform. Thus, the
partition coefficient of each solute determines its final
position in the tubes at the end of a distribution run. The
number of distributions and transfers may be 50 or more
when it is required to separate solutes of similar solubilities.
The amount of solute in each tube is determined and if this is
plotted against the tube number, the resultant graph will
indicate whether or not a separation has been obtained. It is
possible from a knowledge of the partition coefficients to
predict the amount of solute that should be present in each
tube. Agreement between theoretical and experimental results
is often used as a criterion of purity of the solute being
examined. Countercurrent machines are available in which
provision is made for the automatic shaking and transfer of
the phases. The tubes are arranged in pairs and mounted so
that equilibration is achieved by gentle
rocking. The transfer from one equilibration tube to the next
is obtained by the appropriate tilting of the tube (Fig. 1.3).
Paper chromatography is a technique based on similar
countercurrent principles; filter paper acts as an inert support
for the aqueous phase and the second liquid phase is an
immiscible organic solvent which flows through the paper by
capillary action. The solute, which is added to the paper, is
subjected to continuous countercurrent extraction and its rate
of movement along the paper is a function of the partition
coefficient.
45
Fig. 1.3 Countercurrent extraction tube.
Solutions of Liquids in Liquids

Water and alcohol mix in all proportions, whereas water and
mercury do not mix at all. Between these extremes of
complete miscibility and complete immiscibility, all degrees
of partial miscibility or solubility may exist. When water is
added to ether, or ether is added to water, solution in either
case is limited. A point is reached when the ether will
dissolve no more water, and the water no more ether. Further
addition of water in the first case, or of ether in the second,
results in the formation of two liquid layers, one, the upper
layer, consisting of ether containing about 3 per cent of water,
the other, the lower layer, consisting of water containing
about 10 per cent of ether.
46
Determination of Solubility
An analytical or synthetic method may be used as previously
described for the determination of solubility of solids in
liquids. In many instances, the synthetic method is the most
convenient one; oversaturation of the solvent is evident when
the solution is turbid and a saturated solution is taken to be
that solution lying between the unsaturated and the
oversaturated solutions. If the solubility curve is required, the
method described below may be employed.
Weighed amounts of the two liquids are placed in hard glass
tubes sealed by fusion. The tubes are placed in a thermostat
and the presence of two phases is shown by turbidity on
shaking. The end point is determined by inspection. The
solubility curve of phenol–water can be determined by this
method; the tubes of phenol plus water are placed in a water
bath that is slowly heated and the temperature at which the
turbidity in a tube shows signs of disappearing is noted. The
results are then plotted as percentage amounts of one
component against the temperature at which homogeneity
exists.
An analytical method that involves no manipulative
techniques such as filtration or dilution, which may introduce
errors, is based on the accurate measurement of refractive
index of solutions containing increasing concentrations of
solute. The solubility of benzaldehyde in water has been
determined by this method (Carless & Swarbrick, 1964).
Temperature has a pronounced effect upon the mutual
solubility of liquids and the following solubility curves may
be observed:
47
Type 1: Mutual Solubility Increases with
Temperature
When phenol is mixed with water, it dissolves up to the limit

of its solubility at the prevailing temperature. On adding more
phenol a second layer is produced. There is then a solution of
phenol in water and a solution of water in phenol. The mutual
solubilities increase with increase in temperature until at a
certain temperature the two layers merge into one. The
temperature at which this occurs is called the critical solution
temperature or consolute temperature. The phase diagram is
shown in Fig. 1.4.
Fig. 1.4 Phase diagram: Solubility of phenol in water and

water in phenol.
48
The critical solution temperature of phenol–water is 66°C and
the critical concentration at this temperature is 34 per cent
phenol. At all temperatures above the critical solution
temperature, phenol and water are miscible in all proportions.
Type 2: Mutual Solubility Decreases with

Temperature
Triethylamine and water are completely miscible below

18.5°C; above this temperature, they are partially miscible.
Paraldehyde and water show a similar lower critical solution
temperature.
Type 3: Closed Solubility Curve
Besides these pairs of liquids, which show an upper, and

those that show a lower critical solution temperature, other
pairs that show both an upper and a lower critical solution
temperature are also known; the equilibrium curve takes the
form of a closed curve. The case of nicotine and water is an
example: below 61°C they are completely miscible; between
61°C and 210°C they are partially miscible; and above 210°C
they are completely miscible. Mixtures of n-butyl Cellosolve
(ethylene glycol monobutylether) and water show a similar
behaviour. Theoretically, all liquid pairs may be considered to
have both upper and lower critical solution temperatures, but
either a solid phase appears or, at the other end, one liquid is
converted to vapour before complete miscibility occurs.
The critical solution temperature (CST) of a pair of liquids is
extremely sensitive to the presence of a third substance, and it
may provide an excellent criterion of purity for the liquids. If
the third substance is soluble in only one of the liquids, the
49
mutual solubilities are decreased, e.g. potassium carbonate
will cause alcohol to separate from a water–alcohol mixture.
The temperature at which the liquids become completely
miscible is raised in systems having an upper CST and
lowered in systems having a lower CST. In the phenol–water
system, the addition of 1 per cent of potassium chloride to the
mixture of critical composition raises the CST by 12°C
(Findlay, 1933). A substance soluble in both liquids increases
the mutual solubility; an upper CST will be lowered and a
lower CST will be raised.
Three Component Systems

For three component systems at constant temperature and
pressure, the composition can be expressed in terms of the
coordinates of an equilateral triangle. In Fig. 1.5, each corner
of the triangle represents a pure component, i.e. 100 per cent
A, 100 per cent B and 100 per cent C. Each side represents a
binary mixture and the interior represents all ternary
compositions. A line parallel to one side of the triangle
represents a constant percentage of one component, e.g. DE
represents 20 per cent of A with varying amounts of B and C.
Similarly, line FG represents all mixtures containing 50 per
cent of B. These lines intersect at K, which must be 20 per
cent A, 50 per cent B and therefore 30 per cent C. This must
be the case since in the construction of an equilateral triangle
the sum of the distances from the point K drawn parallel to
the three sides is always the same and equal to the length of
any one side of the triangle.
50
Fig. 1.5 Ternary phase diagram.
In the formulation of pharmaceutical solutions containing two

immiscible liquids and a mutually soluble liquid (cosolvent or
blending agent), the triangular diagram provides a convenient
means of expressing the data. Consider a mixture of
chloroform, acetic acid and water. Acetic acid is miscible
with both chloroform and water and its addition to the
mixture will cause more water to dissolve in the chloroform
and more chloroform to dissolve in the water. In Fig. 1.6,
over the concentration range Ba and bC, the mixture of
chloroform and water forms true solutions. Between a and b,
the system will consist of two liquid layers of varying
volumes but of compositions a and b. Point c represents two
layers in the ratio:
51
Fig. 1.6 Ternary system: one pair of liquids partially miscible.
If acetic acid is added to this two-layer system, the overall

composition will follow the line cA. At point d, the two
conjugate
solutions present have the composition a′b′. The line a′b′ is
known as a tie line and will be parallel to the base only if the
acetic acid distributes itself equally between the chloroform
and the water. At point e, the conjugate solutions will have
compositions a″b″, respectively. The tie lines usually rotate as
they shorten and finally disappear at point f, the plait point of
the system. To determine the tie line, the two layers of a
system must be analysed and their composition points joined.
The effect of adding water to the miscible mixture of
chloroform and acetic acid of composition g can be followed
by inspection of line gC, which represents the changing
52
compositions of the ternary mixture. When the ternary
composition reaches a″′, a second layer appears of
composition b″′ on the tie line a″′ b″′. As the amount of water
is increased further to h, the layers alter in composition to a″
and b″, and finally at i the system reverts to a single-phase
system. Systems that behave similarly include volatile oils in
the presence of propylene glycol and water. Loran and Guth
(1951) have studied the castor oil–ethanol–water system in
order to determine suitable proportions for use in lotions and
hair preparations. The blending agent that promotes
miscibility may be a simple solvent such as alcohol or glycols
or it may be a surface active agent that exerts its solvent effect
due to micelle formation.
The ternary system cresol–soap–water (Lysol) has been
studied by Burt (1965) who found that the nature of the cresol
isomer affected the position of the regions of immiscibility in
the triangular diagram. The ternary diagram approach was
also used by Boon et al. (1961) in studying the formulation of
solubilized vitamin A preparations. Four components were
used, but by keeping the concentration of the vitamin
constant, the results were expressed as shown in Fig. 1.7.
From the diagram it was possible to select the range of
compositions that produced the required single-phase system.
These workers found considerable batch-to-batch variation in
the solubilizing properties of the surfactant, and this
emphasizes the need for careful quality control of materials
used in solubility studies.
53
Fig. 1.7 Phase equilibria in the vitamin A–polysorbate 80
glycerol–water system (after Boon et al., 1961). (A)
Transparent single phase; (B) Semisolid; (C) Faintly
opalescent; (D) Markedly opalescent; (E) Two transparent
phases; and (F) Emulsions. Arrows denote decreasing
viscosity in region A.
Solutions of Gases in Liquids

The solubility of gases in liquids is dependent upon the
pressure exerted on the gas–liquid system as well as the
temperature of the system. These relations are summarized in
Henry’s Law, which states that the solubility by weight of a
gas in a liquid at constant temperature is proportional to the
pressure of the gas. For example, if 0.028g of a gas is
dissolved by 1000ml of water at 1 atmospheric pressure,
3×0.028g will dissolve at 3 atmospheric pressure, provided
54
the temperature is unchanged. As regard their solubilities,
gases may be divided into three groups. Gases of the first
group, which comprises sparingly soluble gases such as
oxygen and nitrogen, obey Henry’s Law; gases of the second
group, which comprises slightly soluble gases such as carbon
dioxide and chlorine, combine partially with water and show
considerable deviations from Henry’s Law; the third group
comprises very soluble gases, such as hydrogen chloride and
ammonia, which do not obey Henry’s Law. The solubility of
gases decreases with increase in temperature, and with certain
exceptions, such as the hydrogen halides, they are practically
completely expelled from solution by prolonged boiling.
The solubility of gases is often expressed by the Bunsen
absorption coefficient (α), which represents the volume of gas
dissolved by one volume of liquid at a fixed temperature,
reduced NTP (normal temperature and pressure) and 760mm
pressure. The absorption coefficient for nitrous oxide in blood
is 0.415 at 37.5°C. This means that at 760mm pressure, 1ml
of blood at 37.5°C dissolves a volume of nitrous oxide, which
measures 0.415ml at 0°C and 760mm pressure.
In a mixture of gases, Henry’s Law applies to each gas
considered separately and the pressure is then the partial
pressure of the gas in question, not the total pressure of the
mixture. The partial pressure is the pressure the gas would
exert if it occupied the same volume as the mixture of gases.
The total pressure is equal to the sum of the partial pressures
(Dalton’s Law).
Methods of Dissolving Gases

When a liquid is merely exposed to a gas, the surface layer of
the liquid becomes saturated, and then the gas permeates the
55
rest of the liquid by diffusion. More rapid solution is effected
by spraying the liquid into the gaseous atmosphere or
bubbling the gas through the liquid, because the rate of
solution increases rapidly with the increase of surface per
given volume of liquid.
Commercially, solutions of gases are made either by spraying
the solvent into the gas, or by bubbling the gas under pressure
into the solvent, which is kept constantly agitated, or by
means of ‘coke towers’ or ‘scrubbers’; these consist of towers
loosely packed with coke over which the solvent trickles and
dissolves the gas as it is forced up the tower.
Methods of Removing Dissolved Gases

The fact that the solubility of a gas is proportional to its
partial pressure can be utilized for the removal of dissolved
gases from solution. For instance, oxygen can be removed
from aqueous solution by bubbling an indifferent gas, e.g.
nitrogen, through the solution. The partial pressure of the
oxygen is lowered by the nitrogen and it is, therefore, less
soluble. Removal of the oxygen will also be hastened by its
diffusion into the bubbles of nitrogen, which are carried
away. A similar explanation can be given of the expulsion of
a dissolved gas by boiling the solution. In this case the
bubbles of vapour take the place of the indifferent gas. Water
can thus be freed of dissolved oxygen and carbon dioxide by
boiling.
56
Solvents Used in Pharmacy
It is important to distinguish between solvents that are
acceptable for inclusion in the final product and those that are
suitable only for use in the intermediate states of manufacture
or in analytical operations. Obviously the former, being
administered with the drug itself, must be nontoxic and
nonirritant and must not interfere in any way with the normal
absorption. In the case of injectable preparations, this is often
a severe limitation since the number of available solvents is
small. For chemical or pharmaceutical processing, the
limiting factors become cost, toxicity (to operators) and
inflammability hazards. In some operations it may be difficult
to remove the final traces of solvent from a drug, even with
vacuum drying; if so, it is important to control the residual
volatile matter by a suitable limit test. A trace of methyl
alcohol in an injectable drug, for example, might have serious
effects on the patient. In analytical operations there are no
restrictions on solvents. Thus a water-insoluble drug that is
normally given by injectable suspension may be dissolved in
benzene to check that it contains no extraneous matter.
The following classification is given only as a guide to the
solvents in common use:
Solvents Used in Manufacturing of

Pharmaceuticals
Methyl, ethyl and isopropyl alcohols; industrial methylated

spirit; glycols; ethyl ether and higher ethers; chloroform;
acetone; benzene; petroleum ether; acetic acid; etc.
57
Solvents for Oral and External Preparations
Water, ethyl alcohol, glycerine, propylene glycol, arachis oil,

olive oil, ethyl oleate, liquid paraffin, etc.
Solvents for External Preparations
Industrial methylated spirit; isopropyl alcohol; benzyl

alcohol; polyethylene glycols; hexylene glycol; ethyl,
isopropyl and butyl esters of palmitic, myristic and sebacic
acids; etc.
Solvents for Injectable Preparations
Water for injection; ethyl oleate; arachis oil; olive oil;

propylene glycol; benzyl alcohol.
Water has a more extensive range of solubility than any other
liquid, and has the advantage of cheapness. It is, therefore, the
most commonly employed solvent. One outstanding
disadvantage of the use of water as a medium of extraction is
connected with its wide range of solubility; it dissolves not
only those substances that are required, such as glycosides,
but often those that are not, such as gums; albuminous;
pectinous and colouring matters; sugars; tannins; vegetable
acids; mineral salts; and, in the case of hot water, starch.
These substances may be favourable to the growth of moulds
and bacteria, or in other ways bring about the decomposition
of the preparation. The presence of sugars or other
carbohydrates in a solution may result in alcoholic
fermentation with evolution of carbon dioxide; while the
presence of protein matter may lead to nitrogenous
fermentation with liberation of ammonia. The addition of 0.25
58
per cent v/v of chloroform to water, i.e. chloroform water,
prevents the growth of microorganisms and is used in
preference to water in pharmaceutical mixtures liable to
support bacterial growth. Pharmacopoeial preparations are
directed to be made with Purified Water, which is prepared by
distillation or by ion-exchange methods. The BPC and the
BNF allow the use of potable water, i.e. water freshly drawn
direct from the public water supply (‘mains’ water) and
suitable for drinking. It should be replaced by freshly boiled
and cooled Purified Water when the potable water in a district
is unsuitable for a particular preparation.
Ethyl alcohol is widely used in pharmacy as a solvent. It will
dissolve resins, glycosides, free alkaloids and their salts but
will not dissolve gums, albumins, starch and many inorganic
salts. Most fixed oils, with the exception of castor oil, are
sparingly soluble in alcohol. Alcohol is a valuable solvent for
extracting vegetable drugs on account of its selective action
and preservative properties. At strengths of 20–25 per cent
and above, ethyl alcohol inhibits the growth of bacteria,
moulds, yeasts and other fungi.
A heavy excise duty is levied on pure ethyl alcohol. Its cost
for most pharmaceutical preparations would be prohibitive if
a rebate of duty was not allowed. Rebate can be claimed for
alcohol used in preparations intended solely for medical
purposes. The increased use of industrial methylated spirit,
which is duty free, has relieved this situation. Industrial
methylated spirit contains commercial methyl alcohol (wood
naphtha) and therefore cannot be allowed in internal
preparations. Its use is permitted in a number of preparations
made according to BP and BPC formulae and in special
formulae approved by Customs and Excise.
Isopropyl alcohol (specific gravity 0.788–0.793; boiling point
80–83°C) is more toxic than ethyl alcohol and cannot be used
59
for preparations taken internally. It is often used in lotions
and cosmetic perfumes.
Glycerine (specific gravity 1.26; boiling point 290°C) is a
good solvent for many substances that are not very soluble in
water, e.g. borax and phenol. It also acts as a preservative, but
to a lesser degree than alcohol. Glycerine suffers from the
same disadvantage as water in that it dissolves gummy and
albuminous matter. It also extracts large quantities of tannins
and their oxidation products when these are present in a drug,
a property that is sometimes used in preventing the
precipitation of tannin-oxidation products from preparations
made with other solvents.
Its low volatility and hygroscopic character are of value in
maintaining preparations such as kaolin poultice in a moist
condition.
Glycols are alcohols containing two hydroxyl groups and are
intermediate in their properties between alcohol and
glycerine. With the exception of propylene glycol, they are
toxic and not employed in preparations intended for internal
administration. Large quantities are used in cosmetic
preparations. They are hygroscopic, soluble in water and
excellent solvents for resins, gums and essential oils.
Ethylene glycol CH2OH.CH2OH (specific gravity 1.113;
boiling point 197°C) has been used as a solvent of terpeneless
oils.
Diethylene glycol HOCH2CH2.O.CH2CH2OH (specific
gravity 1.117; boiling point 244°C) is used as a solvent for
nitrocellulose, resins and oils.
Diethylene glycol monoethyl ether (Carbitol) C2H5O.
CH2CH2.O.CH2OH (specific gravity 1.00; boiling point
200°C) is used as solvent of fats and waxes.
Ethylene glycol monoethyl ether (Cellosolve)
C2H5O.CH2CH2OH (specific gravity 0.93; boiling point
60
134°C) is used as solvent for insecticidal sprays containing
derris and pyrethrum. It is an effective solvent for
nitrocellulose.
Propylene glycol CH3CH(OH).CH2OH (specific gravity
1.036; boiling point 187°C) resembles glycerine in physical
properties but is less viscous. It is miscible in all proportions
with water, alcohol, chloroform and with 10 volumes of ether,
but immiscible with light petroleum and fixed oils. As a
preservative and solvent it can be used in place of glycerine
since its toxicity is fairly low. Vitamin D, progesterone,
sodium phenobarbitone and chloramphenicol are stable in
solution in propylene glycol. Penicillin rapidly decomposes in
this solvent.
Polyethylene glycols known as the macrogols, are mixtures of
condensation polymers of ethylene oxide and water, and
represented by the formula HOCH2(CH2CH2O)nCH2OH.
They range from liquids where n varies from 4 to 15, to waxy
solids where 11 may lie between 60 and 80. In naming these
glycols, the average molecular weight is indicated by a
number immediately following the name. Thus Macrogol 400
is a liquid of approximate molecular weight 400; Macrogol
4000, molecular weight 4000, is a waxy solid. Macrogols of
intermediate consistency can be prepared by mixing together
appropriate proportions of high- and low-molecular weight
material. They are miscible with water, alcohol, acetone and
other glycols. Water-insoluble medicaments can often be
dissolved in a macrogol, which may form the basis of a
‘washable’ ointment base.
Ether (specific gravity 0.72; boiling point 34.5°C) is an
excellent solvent for certain oils, fats and alkaloids. It is not
generally suitable for the production of liquid preparations
that are to be taken internally owing to its pronounced
therapeutic action, or that are to be kept for any length of
61
time, owing to its inflammability and its volatility; it is used,
however, in collodions where the volatility makes it
particularly valuable and in cases such as male fern extract in
which no ether remains in the final preparation.
Chloroform (specific gravity 1.49; boiling point 61°C) is a
good solvent for many alkaloids and fats, and is frequently
used, either alone or with ether, in alkaloidal determinations;
it is not inflammable and only sparingly soluble in water.
Chloroform has a sweet taste and is an excellent preservative,
hence the frequent use of its aqueous solution in
pharmaceutics. An unusual solvent effect is its ability to
dissolve certain alkaloidal hydrochlorides; this has been
applied in the selective extraction of strychnine hydrochloride
from a mixture of strychnine hydrochloride and quinine
hydrochloride.
Acetic acid (specific gravity 1.05; boiling point 118°C;
melting point 16.6°C) is capable of dissolving many of the
active principles of crude drugs, and preparations made with
it keep well. Its use is limited, however, owing to its acid
properties, which make it incompatible chemically with many
substances; in some conditions acids are contraindicated
therapeutically.
Acetone (specific gravity 0.79; boiling point 56°C) will
dissolve many resins and fats and is employed as a solvent for
cantharidin in preparations for external use, where its
volatility is of value and its odour not of importance. It is
unsuitable for preparations for internal use. It is particularly
valuable for defatting animal tissues.
Light petroleum (petrol ether) (specific gravity 0.65; boiling
point 40–60°C) is a fraction of petroleum consisting mainly
of hexane; it is very volatile and highly inflammable and is a
good solvent for oils, fats and resins. Since it will not dissolve
alkaloids or their salts, it is a useful solvent for defatting
62
alkaloidal drugs such as ergot. Unlike acetone it is immiscible
with water, which makes it unsuitable for defatting wet tissue.
Ethyl oleate (specific gravity 0.88; boiling point 204°C at
6mm) is a good solvent for steroid hormones and other
oil-soluble medicaments. It has a relatively low viscosity,
which makes it a useful vehicle for oily intramuscular
injections; vegetable oils, which have similar solvent
properties, are more viscous.
Isopropyl myristate (specific gravity 0.85; boiling point
137–175°C at 5mm) is less greasy than mineral or vegetable
oils that it can replace in creams and oily applications. Its
miscibility with a wide range of hydrocarbons, vegetable oils,
fats and waxes makes it a useful blending agent for mixtures
of these substances. Unlike vegetable oils, it shows no
tendency to become rancid on storage since it is a saturated
fatty acid ester.
Light liquid paraffin has been used for preparing oily nasal
drops containing oil-soluble substances such as camphor,
menthol, etc.
Mixed Solvents
The solubility of a solid in a mixture of solvents is usually
intermediate between the values of the constituent solvents,
although the actual solubility is not directly proportional to
the quantities of solvents present. Alcohol 25 per cent differs
only slightly from water as a solvent and it is not until the
alcohol content is increased to 60–70 per cent that the
characteristic solvent action of alcohol is apparent. Some
mixed solvents
do not follow this pattern; a solute only sparingly soluble in
either solvent alone, may be readily soluble in a mixture of
63
the two solvents. This has been termed cosolvency, and may
be explained by each solvent dissolving a different part of the
molecule. An example is nitrocellulose, which is readily
soluble in an alcohol–ether mixture but only sparingly soluble
in the separate solvents.
Strong solutions of certain solutes such as sodium benzoate
and sodium salicylate are capable of dissolving
water-insoluble materials, e.g. 30 per cent sodium benzoate
readily dissolves chlorocresol (Reeds, 1956). This
phenomenon is termed hydrotrophy and has been discussed
by McKee (1946). Large concentrations of a solute are
required to cause this effect and it should be distinguished
from the solubilizing effect produced by dilute solutions of
soap.
When a solution of a substance in one solvent is added to
another solvent in which the substance is sparingly soluble,
most of the solute will be precipitated. This precipitation due
to a change of solvent occurs in dispensing of mixtures
containing resinous tinctures, e.g. Compound Benzoin
Tincture added to water causes precipitation of the
water-insoluble resin. Inorganic salts, e.g. ferrous sulphate, in
aqueous solution are precipitated on the addition of a large
proportion of alcohol.
Recovery of solvents is essential for reasons of economy in
manufacturing processes. When mixed solvents of similar
boiling points are used, the recovery of the individual solvents
may be difficult or impossible. If the mixed solvent can be
used again in the process then this is unimportant. Large
losses may be encountered in the recovery of extremely
volatile solvents such as ethyl ether; the use of a
higher-boiling-point solvent with similar solvent properties
may be advantageous, e.g. isopropyl ether. The recovery of
solvents whose vapours, mixed with air, form highly
64
inflammable mixtures, should be treated with caution. Ethers
are liable to develop peroxides on storage, which can explode
during heating. It is advisable to decompose these peroxides
by chemical treatment, e.g. by shaking with ferrous sulphate
solution, before proceeding with the distillation.
References
Alexander AE, Johnson P. Colloid Science. London: Oxford

University Press; 1949:36.
Boon PFG, Coles CLJ, Tait M. J. Pharm. Pharmatol.
1961;13:200T.
Burt BW. J. Soc. Cosm. Chem. 1965;16:465.
Campbell AN. J. Chem. Soc. 1930.179.
Carless JE, Swarbrick J. J. Pharm. Pharmacol. 1964;16:633.
Craig LC, Craig D. Laboratory extraction and countercurrent
distribution.. In: Weissberger, ed. Technique of Organic
Chemistry.3. New York: Interscience; 1956. Part I
Edmundson IC, Lees KA. J. Pharm. Pharmacol.
1965;17:193.
Findlay A. Introduction to Physical Chemistry. London:
Longmans, Green; 1933:518.
Hamlin WE, Northram JI, Wagner JG. J. Pharm. Sci.
1965;54:1651.
Hartley GS. In: Holman RT, Lundberg WO, Malkin T, eds.
Progress in the Chemistry of Fats and Other Lipids. London:
Pergamon Press; 1956. Chapter 2
Higuchi T. J. Am. Pharm. Ass. (Sci. Ed). 1958;47:657.
Higuchi WI, Hiestand EN. J. Pharm. Sci. 1963;52:67.
Indian Pharmacopoeia 2007, Vol. I, 5th ed., 142–143.
Loran MR, Guth EP. J. Am. Pharm. Ass. (Sci. Ed.).
1951;40:465.
65
McKee RH. Ind. Engng. Chem. 1946;38:382.
Reeds D. Pharm. J. 1956;177:233.
Shefter E, Higuchi T. J. Pharm. Sci. 1963;52:781.
Wagner JG. J. Pharm. Sci. 1961;50:359.
Wurster DE, Taylor PW. J. Pharm. Sci. 1965;54:169.
United States Pharmacopeia, 25th ed., 2363.
66
Chapter 2
pH, EMF and Redox Potentials
Hydrogen ion concentrations are determined over a very wide
range and, to avoid the inconvenience of using very small
numbers, Sorenson introduced the concept of pH in 1909. He
defined pH as the negative logarithm of the hydrogen ion
concentration, viz:
A similar notation can be applied to hydroxyl ion

concentrations:
where [H+] and [OH–] represent the concentrations of

hydrogen and hydroxyl ions, respectively.
On thermodynamic grounds these relationships are often
modified to:
where aH+ and aOH – are the ‘activity’ or effective

concentrations of hydrogen and hydroxyl ions, respectively.
However, for dilute solutions, one can usually assume:
The pH scale nominally covers the range 0–14 but it is

possible, under special circumstances, to have pH values
67
outside these limits. A neutral solution has a pH of 7; acid
solutions have pH values less than 7 and alkaline solutions
greater than 7.
Ionization Constants
Strong acids and bases are, for all practical purposes,
completely ionized in aqueous solution so that it is not
possible to write any equilibrium expressions. For weak
electrolytes, however, equilibrium expressions can be written
and, by applying the Law of Mass Action, values of Ka or Kb
can be calculated. Ionization constants, often loosely referred
to as dissociation constants, are usually expressed in terms of
pKa or pKb where pKa = –log Ka and pKb = –log Kb. Low
values of pKa or high values of pKb are characteristic of
relatively strong acids or weak bases, whereas high values of
pKa or low values of pKb indicate relatively weak acids or
strong bases. The Lowry Bronsted theory (details of which
are outside the scope of this volume) enables the ionization
constants of acids, bases and their salts to be verified on the
pKa scale by using the expression:
Ionization constants vary with temperature, and for purposes

of comparison it is essential to record pKa values at the same
temperature.
The acid dissociation constant (pKa value) of an ionizable
compound is defined as the pH value at which the dissociated
and undissociated species are of equal equilibrium
concentration, i.e. pKa of a molecule is the pH at which the
molecule is 50 per cent protonated. It is a fundamental
68
physicochemical property that strongly influences many
properties; for example, the neutral form of the compound is
less water soluble and more lipophilic, and possesses higher
membrane permeability than the ionized form. Experimental
knowledge of compound pKa value provides a measure of the
extent of compound ionization across the pH range of
pharmaceutical relevance and is highly beneficial for
predicting compound absorption, distribution, metabolism
and excretion (ADME) properties. The pKa value also plays
an important role in the development of drug delivery
formulations. ‘pKa affects solubility, permeability, log D and
oral absorption by modulating the distribution of neutral and
charged species.’
Dissociation constants are important physicochemical
parameters of a substance, and the knowledge of these
parameters is of fundamental importance in a wide range of
applications and research areas.
Applications of Dissociation Constant
The acid–base property of a drug molecule is the key

parameter for drug development because it governs solubility,
absorption, distribution, metabolism and elimination.
Particularly for developing new APIs, the pKa has become of
great importance because the transport of drugs into cells and
across other membranes is a function of physicochemical
properties and of the pKa of the drugs (Andrasi et al., 2007).
Knowledge of pKa values is important for the quantitative
behaviour of systems involving acid–base equilibria in
solution. Many applications exist in biochemistry; for
example, the pKa values of proteins and amino acid side
69
chains are of major importance for the activity of enzymes
and the stability of proteins (Onufriev et al., 2001).
Buffer solutions are used extensively to provide solutions at
or near the physiological pH for the study of biochemical
reactions (Good et al., 1966); the design of these solutions
depends on the knowledge of the pKa values of their
components. There are many buffers available, which provide
a solution with an optimum pH, which is used in different
process, e.g. MOPS—a buffer used to maintain pH in gel
electrophoresis.
The isoelectric point of a given molecule is a function of its
pKa values, so different molecules have different isoelectric
points. This phenomenon develops a technique called
isoelectric focusing, which is used for separation of proteins
by 2D gel polyacrylamide gel electrophoresis (PAGE).
In acid–base extraction, the efficiency of extraction of a
compound into an organic phase, such as ether, can be
optimized by adjusting the pH of the aqueous phase using an
appropriate buffer. At the optimum pH, the concentration of
the electrically neutral species is maximized; such a species is
more soluble in organic solvents having a low dielectric
constant than it is in water. This technique is used for the
purification of weak acids and bases (Eyal et al., 1997).
In pharmacology, ionization of a compound alters its physical
behaviour and macro properties such as solubility and
lipophilicity (log p). For example, ionization of any
compound will increase its solubility in water but decrease
the lipophilicity. This is exploited in drug (it includes drug
discovery/product development, preclinical research
[microorganisms/animals] and clinical trials [on humans])
development to increase the concentration of a compound in
the blood by adjusting the pKa of an ionizable group (Avdeef
et al., 2003).
70
Knowledge of pKa values is important for the understanding
of coordination complexes, which are formed by the
interaction of a metal ion, Mm+, acting as a Lewis acid, with
a ligand, L, acting as a Lewis base. However, the ligand may
also undergo protonation reactions, so the formation of a
complex in aqueous solution could be represented
symbolically by the reaction
To determine the equilibrium constant for this reaction, in

which the ligand loses a proton, the pKa of the protonated
ligand must be known. In practice, the ligand may be
polyprotic, e.g. EDTA–4 can accept four protons; in that case,
all pKa values must be known. In addition, the metal ion is
subjected to hydrolysis, that is, it behaves as a weak acid, so
the pKa values for the hydrolysis reactions must also be
known (Beck et al., 1990).
Assessing the hazard associated with an acid or base may
require knowledge of pKa values (Van Leeuwen et al., 1995).
For example, hydrogen cyanide is a very toxic gas, because
the cyanide ion inhibits the iron-containing enzyme
cytochrome c oxidase. Hydrogen cyanide is a weak acid in
aqueous solution with a pKa of about 9. In strongly alkaline
solutions, above pH 11, say, it follows that sodium cyanide is
‘fully dissociated’ so the hazard due to the hydrogen cyanide
gas is much reduced. An acidic solution, on the other hand, is
very hazardous because all the cyanide is in its acid form.
The chromatographic retention and electrophoretic behaviour
of ionizable compounds strongly depend on the pKa of the
compound and the mobile phase pH. Therefore, a satisfactory
knowledge of the acid–base behaviour of substances in a
71
hydro– organic media such as methanol (MeOH)/water is
essential to predict the influence of pH on selectivity and
retention in liquid chromatography (LC), and also to optimize
analytical procedures for the separation of ionizable
compounds by various techniques.
Most of drugs are weak organic acids or bases, existing in
unionized and ionized forms in an aqueous environment. The
unionized form is usually lipid soluble (lipophilic) and
diffuses readily across cell membranes. The ionized form has
low lipid solubility (but high water solubility—i.e.
hydrophilic) and high electrical resistance and thus cannot
penetrate cell membranes easily. The proportion of the
unionized form present (and thus the drug’s ability to cross a
membrane) is determined by the pH and the drug’s pKa (acid
dissociation constant). The pKa is the pH at which
concentrations of ionized and unionized forms are equal.
When the pH is lower than the pKa, the unionized form of a
weak acid predominates, and the ionized form of a weak base
is predominated. Thus, in plasma (pH 7.4), the ratio of
unionized to ionized forms for a weak acid (e.g. with a pKa of
4.4) is 1:1000; in gastric fluid (pH 1.4), the ratio is reversed
(1000:1). Therefore, when a weak acid is given orally, most
of the drug in the stomach is unionized, favouring diffusion
through the gastric mucosa. For a weak base with a pKa of
4.4, the outcome is reversed; most of the drug in the stomach
is ionized. Theoretically, weakly acidic drugs (e.g. aspirin)
are more readily absorbed from an acid medium (stomach)
than are weakly basic drugs (e.g. guanidine). However,
whether a drug is acidic or basic, most absorption occurs in
the small intestine because the surface area is larger and
membranes are more permeable.
There are some conditions for weak acid and base drug,
where ionization depends on the value of pH.
72
Acid Drug
• pH = pKa compound approximately 50 per cent ionized

• pH = pKa + 1 compound approximately 90 per cent ionized
• pH = pKa + 2 compound approximately 99 per cent ionized
• pH = pKa + 3 compound approximately 99.9 per cent
ionized
• pH = pKa + 4 compound approximately 99.99 per cent
ionized
Basic Drug
• pH = pKa compound approximately 50 per cent ionized

• pH = pKa – 1 compound approximately 90 per cent ionized
• pH = pKa – 2 compound approximately 99 per cent ionized
• pH = pKa – 3 compound approximately 99.9 per cent
ionized
• pH = pKa – 4 compound approximately 99.99 per cent
ionized
Determination of Dissociation Constant
Many potential drugs are weak acids or bases; therefore, one

of the most important determinations carried out prior to
development is the pKa or ionization constant. Strong acids
are generally ionizable at all pH values, while the ionization
of weak acid depends on pH value of the media. For example,
HCl is
strong acid and it ionizes at all pH values, whereas the
ionization of a weakly acidic drug like salicylic acid is pH
dependent. It is useful to know the extent to which the
molecule is ionized at a certain pH because most of the
73
physiochemical properties and biological properties such as
solubility, stability, drug absorption and their activity are
affected by degree of ionization of drug.
Determination of this parameter is, however, based on the
Bronsted and Lowry theory of acids and bases. This states
that an acid is a substance that can donate a hydrogen ion, and
a base is one that can accept a proton.
The following equilibrium represents for a weak acid:
(2.1)
The value of pKa of any substances cannot be determined by

the theory given by Bronsted and Lowry, however, the
equation given by Henderson–Hasselbach is the fulfilment to
determination of dissociation constant. This equation relates
the pKa to the pH of the solution and the relative
concentrations of the dissociated and undissociated parts of a
weak acid:
(2.2)
where [A−] is the concentration of the dissociated species, and

[HA] is the concentration of the undissociated species. This
equation can be rearranged into Eq. 2.2 to yield the
percentage of a compound that will be ionized at any
particular pH.
74
(2.3)
A condition in Eq. 2.2, if 50 per cent dissociation (or

ionization) occur then pKa = pH. It should also be noted that,
usually, pKa values are preferred for bases instead of pKb
values (pKw = pKa + pKb).
There are some significant approximations implicit in the
Henderson–Hasselbalch equation. The most significant is the
hypothesis that the concentration of the acid and its conjugate
base at equilibrium will remain the same as the formal
concentration. This neglects the dissociation of the acid and
the hydrolysis of the base, and the dissociation of water itself
is neglected. These approximations will fail when dealing
with relatively strong acids or bases (pKa more than a couple
units away from 7), dilute or very concentrated solutions (less
than 1mm or greater than 1M) or heavily skewed acid–base
ratios (more than 100:1). Also, the equation does not take into
effect the dilution factor of the acid and conjugate base in
water. If the proportion of acid to base is 1, then the pH of the
solution will be different if the amount of water changes from
1mL to 1L.
The measurement of pKa is very difficult if a compound is
hydrophobic in nature. It can be solved by measuring the
apparent pKa of the compound in solvent and water mixtures
and then extrapolating the data back to a purely aqueous
medium using a Yasuda–Shedlovsky plot. The organic
solvents most frequently used are methanol, ethanol,
propanol, dimethylsulphoxide (DMSO), dimethylformamide
(DMFA), acetone and tetrahydrofuran (THF). However,
methanol is by far the most popular because its properties are
75
closest to water. For example, ibuprofen and quinine have
poor water solubility and determination of the pKas of
ibuprofen and quinine in a range of organic solvent–water
mixtures has been carried out by Avdeef et al. (1999). In case
of the compound that contains an ultraviolet (UV)
chromophore that changes with the extent of ionization, then
a method involving UV spectroscopy can be used. This
method involves measuring the UV spectrum of the
compound as a function of pH. Mathematical analysis of the
spectral shifts can then be used to determine the pKa(s) of the
compound. This method is most suitable for compounds in
which the ionizing group is closed to or actually within an
aromatic ring, which usually results in large UV shifts upon
ionization.
There are some techniques by which one can determine the
ionization constant; these include the following:
1. Conductivity
2. Potentiometry
3. Capillary zone electrophoresis
4. UV–Vis spectrometry
5. NMR spectrometry
6. Liquid chromatography
7. Combined methods
8. Software computational predictions
9. Calorimetry
10. Mass spectrometry
Among these techniques, the potentiometric titration is the
least time consuming, particularly for pKa determination as
well as this technique is accurate and has good
reproducibility. In addition, UV–Vis absorption spectrometry
has still been used widely for the determination of
dissociation constants, because of their accuracy and different
pKa values of polyprotic substances to be determined, even
76
when they have very close reproducibility. The UV method
requires only 1mg of compound, and the potentiometric
method requires 3mg of compound. In the last decade, some
alternative techniques have been developed, based on
separation methods such as liquid chromatography (LC) and
capillary zone electrophoresis (CZE). The determination of
pKa value by liquid chromatography is based on the
relationship between the capacity factors and the pH values of
the mobile phase. In addition, pKa values in water predicted
by the SPARC online calculator have been investigated. The
programme estimates the pKa values of any organic
compound solely from its chemical structure (Hilal et al.,
1996).
The conductimetric method for determining ionization
constants requires knowledge of the degree of ionization
which can be calculated from the formula:
where Λ∞ is the equivalent conductance at infinite dilution

and is a measure of the complete dissociation of the solute
into its ions and Λc is the equivalent conductance of the
solution being examined and is a measure of the number of
solute particles present as ions at concentration c. The ratio
Λc/ Λ∞ is known as the conductance ratio. To obtain Ka it is
now necessary to substitute in the equation:
77
where c is the concentration.
Potentiometric Titration
In the past, potentiometric titration was the standard method

for pKa measurement. In a potentiometric titration, a sample
is titrated with acid or base using a pH electrode to monitor
the course of titration. The pKa value is calculated from the
change in shape of the titration curve compared with that of
blank titration without a sample present. Analysis methods
commonly used to derive pKas from titration curves include
Gran’s plot (Andrasi et al., 2007), second derivative (Δ2pH/
ΔV2) (Qiang et al., 2004), and least squares nonlinear
regression. Potentiometric titration is a high-precision
technique for determining the pKa values of substances. It is
commonly used because of its accuracy and the commercial
availability of fast, automated instruments. However, its
shortcomings include the requirements to use a milligram of
pure compounds and a mixture of aqueous buffers.
The potentiometric determination of ionization constants
involves the titration of the acid or base and application of the
Henderson equation:
or
78
There are certain limitations in the use of this equation which
need not concern us here but it is of interest to note that at 50
per cent neutralization, i.e. when [salt] = [acid] then pKa =
pH. This means that the ionization constant can be read
directly from a titration curve simply by recording the pH at
50 per cent neutralization.
Capillary Zone Electrophoresis (CE)
The determination of pKa values by capillary zone

electrophoresis (CE) is based on observation of the effective
mobility of an ionizable compound in a series of electrolyte
solutions of constant ionic strength and various pHs. In its
uncharged state, a solute has zero mobility while its fully
ionized state has maximum mobility. The effective
electrophoretic mobility of weak acids and bases is strongly
influenced by environmental factors that affect underlying
equilibrium constants (e.g. pH, ionic strength and
temperature) as well as variables that affect ion mobility (e.g.
ionic strength, temperature and viscosity). Electrolyte
solutions of a different pH with a low and constant ionic
strength as well as effective column thermostatting are
therefore required for pKa measurements. Desirable buffer
properties for the measurement of pKa values by CE include
detector compatibility (usually low UV absorbing),
reasonable water solubility, acceptable shelf life and
availability in a high-purity form. The most popular buffers
for CE are phosphate, acetate, borate and zwitterionic
compounds (Good’s buffers). Intermediate mobility is
therefore a function of dissociation equilibrium. The CE
technique is expected to be especially useful if the amount of
compound is very limited because, with this technique, only a
79
few nanograms or less are commonly used for analysis. For
CE, it is only necessary to determine pH-dependent
mobilities, and that has several advantages. Over the past
decade, capillary electrophoresis (CE) has emerged as a
valuable tool for the evaluation of compound pKa values, as it
possesses many favourable qualities (Evagelou et al., 2003;
Sandra et al., 2007):
• Potential impurities and degradants can be separated from
the target compound.
• Intimate knowledge of sample concentration is not required
for analysis.
• Sparingly soluble compounds with a suitable UV
chromophore can be analyzed.
• No changes in spectral properties are required for detection
of a pKa value.
• Minimal sample amounts are required for analysis (μg
amounts).
UV–Vis Spectrophotometric Methods
An alternative to potentiometric titration is UV–Vis

spectrophotometry because it can handle compounds with
lower solubility and lower sample concentrations. The main
advantage is higher sensitivity (>10–6 M) to compounds with
favourable molar absorption coefficients. However, in such a
case, a compound must contain a UV-active chromophore
close enough to the site of the acid–base function in the
molecule. Spectral data are recorded continuously during the
course of titration by a diode-array spectrometer. The
absorption spectra of the sample changes during the course of
the titration to reflect the concentration of neutral and ionized
species present. The largest change in absorbance occurs at
80
the pH corresponding to a pKa value. These changes are
usually identified from the first derivative of the absorbance
against time plot or from overlay plots of the different
spectra. The determination of pKa values by UV–Vis assumes
that the solute of interest is pure or that its impurities do not
absorb in the UV–Vis range, since the spectra of impurities
can overlap with those corresponding to the solutes of
interest. Spectrophotometric methods offer excellent
precision, as in potentiometry, but they require different
spectra for different species and reagents must be pure.
Traditionally, spectral data at a single analytical wavelength
are acquired from a sample in a series of buffer solutions with
known pH values, after which the pKa is determined. To use
this method, the absorption spectra of individual species must
be characterized earlier and the molar absorptivities of
protonated and deprotonated species are thus required. These
measurements are nontrivial if acid–base equilibria comprise
more than two ionization steps or if reacting components are
not stable within two pH units of the pKa value, so a
multiwavelength spectrophotometric approach has been
developed to determine acid dissociation. Target-factor
analysis has been applied to deduce pKa values from the
multiwavelength UV absorption data recorded at different pH
values (Evagelou et al., 2003; Jimenez-Lozano et al., 2002).
NMR titration: NMR–pH titration is also an excellent
technique for determining pKa values as the protonation of a
basic site leads
to electronic deshielding effects on the adjacent NMR-active
nuclei, so the average chemical shifts of all the measurable
NMR-active nuclei, as a function of pH, are expected to
reflect the fractional protonation of each basic group of a
molecule. The online coupling of a potentiometric titrator
with an NMR spectrometer results in a powerful hyphenated
81
technique called NMR controlled titration (Andrasi et al.,
2007; Szakacs et al., 2004).
Liquid chromatography: The determination of pKa values by
means of liquid chromatography (LC) is based on the
relationships between capacity factors, and the pH of the
mobile phase. LC is used as a powerful technique for the
determination of dissociation constants, as it requires only a
small quantity of compounds; studied samples do not need to
be pure, and poor water solubility is not a serious drawback.
This method does not include measuring solute or titrant
concentrations, just retention times. Also, calculation is
straightforward and independent of solute purity. However,
the standard deviations of pKa values are higher than those
obtained by potentiometric or spectrophotometric methods.
One of the most important disadvantages of the LC method is
that the pH of the mobile phase and, therefore, the range of
pKa values that can be determined are limited by the stability
of the column package. Moreover, due to the large retention
times observed, it is not easy to determine pKa values in water
and aqueous–organic mixtures with low contents of organic
solvent. Nevertheless, as the main objective of pKa
determination by LC is the optimization of chromatographic
separations, this method is perfectly adequate for this purpose
(Beltran et al., 2003; Erdemgil et al., 2007; Evagelou et al.,
2003).
Combined Methods
In recent years, a new procedure has been developed when

LC and CE methodologies are used for pKa determination in
combination with a diode-array detector (DAD) for
absorbance measurements. In these cases, pKa values can be
82
determined from the absorbance spectra obtained at the
maxima of chromatographic or electrophoretic peaks. That
way, pKa values may be obtained from two independent
methods: mobility/pH data and spectra/pH data in CE
procedures (CE-DAD), and capacity factor/pH data and
spectra/pH data in LC procedures (LC-DAD). The advantages
of these proposed methods lie in the fact that the application
of both methods does not increase the analysis time and
enables the confirmation of results. Dissociation constants are
also easy to determine by the LC-MS technique. The use of
CE-MS provides high sensitivity as well as high selectivity,
thereby ensuring that impurities that might interfere with
compounds are not detected (Sandra et al., 2007).
Computational Methods
Theoretical pKa values can be calculated by computational

methods (e.g. SPARC and ACD/Lab. SPARC is an online
calculator that estimates the macroscopic and microscopic
pKa of any organic compound solely from its chemical
structure. ACD/pKa DB is a software program that calculates
accurate acid–base ionization constants (pKa values) under
25ºC and zero ionic strength in aqueous solutions for almost
any organic structure (Sandra et al., 2007).
pKa Determination in Nonaqueous Media
For substances sparingly soluble in water, aqueous–organic

solvent mixtures are used to estimate their pKa values. The
dissociation of uncharged substances in aqueous–organic
mixtures is ruled by electrostatic interactions as well as
specific solute–solvent interactions (solvation effects). In
83
order to estimate aqueous pKa values, several experiments at
different organic solvent concentrations should be performed.
Aqueous pKa values that estimate by an extrapolation
procedure (e.g. the Yasuda– Shedolovsky method) can be
used to deduce the pKa values at zero organic solvent
composition. The selected organic solvents are usually
alcohols because they are amphiprotic and neutral solvents,
and they show great ability to dissolve ionizable compounds.
Then, the specific solute–solvent interactions should not be
too different from those established in water. However, not all
compounds dissolve in a single-component organic
solvent–water mixture, so recently, a new, multicomponent,
co-solvent mixture, comprising equal volumes of methanol,
dioxane and acetonitrile, and referred to as MDM, has been
found to be efficient for pKa measurement of various APIs.
The application of MDM–water mixtures improves the
solubility of poorly water-soluble APIs, so their pKa values
can be measured in a lower proportion of organic solvent. The
use of water–organic mixtures requires the correct
measurement of pH in these media. Measurements are
performed using IUPAC standardization rules (Sandra et al.,
2007).
Table 2.1 pKa values of some important compounds
Compound pKa
Salicylic acid 3.0
Benzoic acid 4.2
Sulphathiazole 7.3
Phenobarbitol 7.4
Metoprolol 9.44± 0.1
84
Formic acid 3.75
Trichloroacetic acid 0.66
Trifluoroacetic acid 0.52
Dichloroacetic acid 1.35
Flouroacetic acid 2.59
Acetic acid 4.76
Acetylsalicyclic 3.49
Ascorbic 4.3, 11.8
Boric acid 9.24
Penicillin V 2.73
Phenytoin 8.1
Sulphathiazole 7.12
Paracetamol 9.5
Penicillin G 3.42
(Benzylpenicillin)
Ampicillin 2.55± 0.01
Acebutolol 9.21
Alprenolol 9.38± 0.1
Atenolol 9.48± 0.01
Ciprofloxacin 6.42
Danofloxacin 6.07± 0.06; 8.56± 0.07
Difloxacin 5.66± 0.04; 7.24±
0.06
Enoxacin 6.00; 8.50
85
Enrofloxacin 5.88± 0.03; 7.74± 0.03
Fleroxacin 5.46; 8.00
Flumequine 6.35± 0.01
Lomefloxacin 5.00± 0.10; 6.25± 0.05; 9.00±
0.03
Marbofloxacin 5.69± 0.10; 8.02± 0.20
Nalidixic acid 5.95
Fleroxacin 5.46; 8.00
Norfloxacine 6.22; 8.38
Pefloxacin 6.21± 0.12; 7.87± 0.10
Pipemidic acid 5.42± 0.05; 8.18± 0.09
Ofloxacin 6.22± 0.05; 7.81 ±0.08
Sarafloxacin 5.62± 0.08; 8.18± 0.09
Azithromycin 7.34
Clarithromycin 7.25
Erythromycin 8.90± 0.15
Roxithromycin 9.17± 0.30
Tylosin 3.31± 0.30; 7.50± 0.13
Amoxicillin 3.39, 6.71; 9.41
Phenobarbitol 7.4
Ammonia 4.76
Labetalol 7.35
Oxprenolol 9.62
Pindolol 9.16
86
Practolol 9.41
Propranolol 9.49± 0.2
Sotalol 9.01
Timolol 9.34
Metoprolol 9.44± 0.1
Omeprazole 4.14; 8.90
Butibufen 4.64
Carprofen 4.63
Diclofenac 4.16
Fenbufen 4.56
Flurbiprofen 4.35
Ibuprofen 4.42± 0.08
Piperazine 5.33; 9.73
Procaine 2.28± 0.08; 9.02± 0.01
Sulphacetamide <2.5; 5.27
Sulphachloropyridazine 1.87± 0.30; 5.45± 0.06
Sulphamerazine 2.22± 0.01; 6.80± 0.01
Sulphamethazine 2.37± 0.01; 7.49± 0.01
Atropine 4.35
Caffeine 10.4, 13.4
Codeine 5.8
Erythromycin 5.2
Morphine 6.13
Pilocarpine 7.2, 12.7
87
Quinine 6.0, 9.89
Tolbutamide 8.7
Cocain 8.6
Diazepam 3.3
Diphenhydramine 9.0
Morphine 8.0 (amine) 9.9 (phenol)
Adrenaline (epinephrine) 8.7 (amine), 10.2, 12.0
(phenols)
Sulphadiazine 6.43
Sulphadimethoxine 2.13± 0.30; 6.08± 0.09
Sulphaguanidine 1.55; 11,24
Chlortetracycline 3.33± 0.30; 7.55± 0.02
Demeclocycline 3.37± 0.30; 7.36± 0.03
Doxycycline 3.02± 0.30; 7.97± 0.15
Meclocycline 4.05± 0.30; 6.87± 0.39
Oxytetracycline 3.04; 8.00
Tetracycline 3.32± 0.30; 7.78± 0.05; 9.58±
0.30
Buffer Solutions
Buffer solutions are usually solutions of weak acids (or bases)
and their corresponding salts, e.g. acetic acid and sodium
acetate. Such solutions resist changes of pH upon the addition
of small quantities of acid or alkali and this phenomenon is
known as buffer action. In solutions where the buffer action is
88
absent or very low, the pH can change considerably due to the
absorption of carbon dioxide from the air or extraction of
alkali from the material of the glass container. In the example
quoted above, the addition of a small quantity of strong acid
(e.g. HCl) results in only a small decrease in pH because the
hydrogen ions react with the sodium acetate to liberate the
very much weaker acetic acid according to the reaction:
This equation can be expressed more generally as:
If a strong base (e.g. NaOH) is added to the buffer solution,

the acetic acid neutralizes the hydroxyl ions:
Buffer solutions are not usually prepared from weak bases

and their salts since not only are many bases volatile but the
solutions often have high temperature coefficients.
The pH of a buffer solution can be determined by applying
the Henderson equation. If the salt and acid concentrations are
known together with the pKa of the acid concerned then the
pH may be calculated.
89
Example: What is the pH of the buffer solution prepared by
mixing 5ml N/100 acetic acid (pKa 4.76) with 15ml N/10
sodium acetate?
Total volume = 20ml
90
Determination of pH Values
The two most important methods of measuring pH are by the
use of coloured indicators or of special electrodes.
Colorimetric Method for Determining pH
Indicators are either weak acids or bases, which exist in two

tautomeric forms. These two forms differ in colour and
distribution of their valency electrons, e.g. phenolphthalein:
The colour of any indicator added to a test solution depends
on the ratio of the ionized: unionized forms present and this,
in turn, depends on the pH of the solution. Maximum
sensitivity to pH change occurs when the concentrations of
unionized and ionized forms are equal, i.e. when the pH
equals the pKa of the indicator. The usable range of a single
indicator varies by about± 1.5 pH units on either side of the
pKa value of the indicator; for example, phenolphthalein has a
pKa = 9.4 and a useful pH range of pH 8.2–10.0. Mixtures of
indicators can be made, which can cover most of the range of
the pH scale; these ‘universal’ indicators are available as
liquids or test papers and are useful in determining pH to
approximately± 1 unit.
To determine the pH correct to about ±0.2 units, a small
sample of the test solution should be mixed with an equal
volume of an indicator solution whose working range covers
the pH of the test solution. Samples from buffer solutions
made up in 0.2 pH intervals are treated in a similar manner
and the pH of the test solution determined by direct colour
comparisons. Sets of these buffer solutions already admixed
with the indicator and in sealed capillary tubes, known as
capillators, are available commercially so it is possible to
91
measure pH values of test solutions within a minute or two. It
is important that these standard colours are protected from
light to prevent fading.
For larger volumes of test liquid, comparators are used.

Essentially, these are test tubes used in a manner similar to
capillators but are particularly useful when turbid or coloured
solutions are being examined. Tubes of distilled water or test
solutions only can be placed in front of the tubes being
compared (Fig. 2.1) so that the same total depth of liquid is
viewed in each case and compensation is made for turbidity
or colour not due to the indicator.
92
Fig. 2.1 Comparator (diagrammatic).
Electrometric Methods for

Determining pH
Numerous indicator electrodes are available for the
determination of pH and, without doubt, the glass electrode is
the most widely used. The glass electrode consists of a thin
glass bulb of special glass blown at the end of a glass tube
and the bulb is filled with dilute acid, e.g. decinormal
hydrochloric acid. A silver–silver chloride electrode (a silver
wire electrolytically coated with silver chloride) makes the
necessary electrical connection with the acid whose pH
remains constant. Several types of glass are used to make the
pH-sensitive glass bulb and those made of lithia glass are
suitable over most of the range pH 0–14. When the glass bulb
is immersed in a solution of unknown pH (pHx) a potential
EH is set up across the glass according to the equation:
or, by combining constants:
K is known as the asymmetry potential and varies from time

to time although it is usually reasonably constant over the
period of a working day unless the electrode is subjected to
extremes of pH.
93
To measure the pH of a solution, the bulb of the glass
electrode and a suitable reference electrode is immersed in a
sample of the solution and the two electrodes connected to a
pH meter. The reference electrode is essential for the second
electrical contact with the solution and must, of course, have a
constant potential irrespective of the pH of the solution (Fig.
2.2).
Fig. 2.2 Electrode system for pH measurement.
A simple potentiometer cannot be used to measure the

potential difference between the two electrodes because the
glass electrode has an exceptionally high resistance
(>100MΩ). This means that any current flowing in the circuit
would be insufficient to affect any ordinary galvanometer
without some form of electronic amplification.
All pH meters are operated in essentially the same way. The
electrical zero of the pH meter is adjusted, if necessary, and,
with
the electrodes immersed in a buffer solution of standard pH,
the asymmetry potential control altered until the meter reads
the known pH value of the buffer solution. These
94
standardized electrodes, after rinsing with distilled water, are
then immersed in the test solution and the pH value of the
solution read from the meter either directly in the case of
deflection meters, or after adjusting to a null balance in the
case of potentiometric type meters.
Several standard pH solutions are available for the calibration
of pH meters, the most popular being 0.05M potassium
hydrogen phthalate solution. Table 2.2 shows the pH of this
and some other solutions over a wide temperature range.
Table 2.2 pH of standard solutions at various temperatures
95
The following points should be noted:
1. Good distilled water (pH 6–7) should be used for acid
buffer solutions. Freshly boiled and cooled distilled water (i.e.
CO2 free) must be used for alkaline buffer solutions.
2. The pH values change slightly on dilution with water. The
above solutions when diluted with an equal volume of water
increase in pH value: I. +0.052; II. +0.186; III. +0.049; IV.
+0.049; V. +0.01.
3. Standard buffer solutions may be stored for up to 2 months
in well-closed hard glass or polythene bottles. It is advisable
to discard solutions if mould or sediment is visible.
Significance of pH in Pharmacy
The pH of many pharmaceutical preparations must be
controlled to ensure optimum stability or physiological
activity of the medicament. During the course of manufacture,
the pH of the product can be influenced in various ways and a
knowledge of the more important factors is useful in the
formulation of such products.
Glass is a very useful material for storage but it imparts
alkalinity to products stored in glass containers. Special
glasses are available and the containers used for
pharmaceutical purposes have to comply with tests which
limit the alkalinity to acceptable proportions. Solutions that
come into contact with filter materials of cotton and paper, for
example, tend to make the solutions more alkaline. Distilled
water, on the other hand, is usually acid (pH 4.5–6) due
largely to dissolved carbon dioxide. Even when the dissolved
gases are boiled off, the pH can become alkaline, rather than
neutral, due to the alkalinity of the glass container.
96
Precipitation can sometimes occur if the pH of a solution is
changed significantly and use can be made of this fact in the
preparation of pharmaceutical products. When solutions of
the salts of insoluble acids are acidified, the corresponding
insoluble acids are precipitated, e.g. sodium benzoate or
salicylate will deposit benzoic or salicylic acids, respectively.
The purification of proteins is simplified by the knowledge
that amphoteric compounds are least soluble at the isoelectric
point, e.g. insulin precipitates from aqueous solutions at pH
5–6. These examples illustrate how solubility is influenced by
the degree of ionization which is controlled by pH, as shown
by the following relationship:
where pH refers to the pH of the solution and pKa to the weak

acid or base under consideration.
The above formula is of particular interest when considering
the biological activities of medicaments, since the unionized
molecule and ionic species usually have difference activities.
Unionized molecules penetrate cell membranes (which are
lipid in character) more readily than ions and this accounts for
the increased antimicrobial action of benzoic acid (pKa 4.2)
and salicylic acid (pKa 2.97) in acidic solutions. On the other
hand the antibacterial activity of the acridines depends on the
amount of drug present as the cation, so for maximum
effectiveness the pKa of these molecules should be
numerically as near the pH of the body fluids (about pH 7.4)
as possible to ensure that a large amount of the drug is in the
ionized form.
97
Enzymes have maximal activity and stability at definite pH
values and outside certain limits they are rendered inactive
and may even be destroyed. Thus pepsin has maximal activity
at pH 1.5, and is, therefore, effective in the gastric fluid but is
rendered inactive in the duodenum where the pH is about 8.
Many compounds are unstable in aqueous solution because
hydrolysis takes place. Often, however, the solutions can be
stabilized by adjustment of the pH. Basic esters such as
amethocaine, amylocaine and procaine require acid conditions
to achieve stability. Vitamins are often stable only over a
narrow pH range and many B.P. injections are adjusted to a
definite pH to ensure stability of the product.
Redox Potentials
When an ion is oxidized it donates electrons to another ion

which is simultaneously reduced by accepting the donated
electrons. Thus ferrous iron loses an electron on oxidation to
ferric iron:
, the converse is also true:
, this can be expressed in more general

terms, thus:
where Red refers to the reduced state (reductant) and Ox

refers to the oxidized state (oxidant) of the ion; ne is the
number of electrons involved in the reaction.
Oxidation–reduction (redox) systems that are under
equilibrium conditions can be studied in a similar manner to
pH systems but by using an inert (e.g. platinum) indicator
98
electrode together with a reference electrode (e.g. calomel
electrode). A potential is set up under these conditions, which
depends on the relative concentrations of oxidant and
reductant. This potential (Eh) is given by the Nernst equation:
where n is the number of electrons transferred per ion and E0

is the standard oxidation–reduction potential. It will be
observed that when the concentrations of oxidant and
reductant are equal, then Eh = E0. The potential Eh can be
determined by use of a potentiometer to measure the potential
difference (Ecell) between the indicator electrode (whose
potential is Eh) and the reference electrode (Eref) according to
the following relationship:
The E0 of a redox system is a characteristic constant and

gives a measure of its oxidizing or reducing tendency. The
higher the E0 value, the greater is the oxidizing ability of the
system; the lower the E0 value, the greater is the reducing
power of the system, i.e. a system of higher E0 value will
oxidize a second system of lower E0. Where redox reactions
occur, which involve the hydrogen ion, then its concentration
must be considered. Thus in the reaction:
99
the potential at 25°C is:
or, expressed more generally:
This equation shows that Eh is reduced if the hydrogen ion

concentration (activity) is increased or the pH decreased. It is
sometimes convenient in systems of a definite pH to combine
the last term of the equation with the E0 to give a standard
potential E0 characteristic of the system at a fixed pH. The
standard potentials E0 for some redox systems of
pharmaceutical interest are given in Table 2.3.
Table 2.3 Standard potentials of specified pH at 30°C
Redox system E0 (V) pH

Adrenalin 0.380 7.0
Ascorbic acid 0.115 5.2
0.136 4.6
2,6-Dichlorphenolindophenol 0.217 7.0
Methylene blue 0.011 7.0
Riboflavin –0.208 7.0
–0.117 5.0
100
As in the determination of pH, it is possible to use certain
dyes to determine the value of Eh approximately as the colour
of such dyes varies with their state of oxidation. Methylene
blue, for example, changes from almost colourless to a deep
blue (at pH 7) as Eh varies from 0.040 to –0.062 V. Redox
indicators can also be used effectively to determine the
equivalence point in redox titrations.
References
Andrasi M, Buglyo P, Zekany L, Gaspar A. J. Pharm.

Biomed. Anal. 2007;44:1040.
Avdeef A. Absorption and Drug Development: Solubility,
Permeability, and Charge State. New York: Wiley; 2003.
Beck MT, Nagypál I. Chemistry of Complex Equilibria.
Horwood; 1990.
Beltran JL, Sanli N, Fonrodona G, Barron D, Ozkan G,
Barbosa J. J. Anal. Chim. Acta. 2003;484:253.
Erdemgil FZ, Sanli S, Sanli N, Ozkan G, Barbosa J, Guiteras
J, Beltran JL. Talanta. 2007;72:489.
Evagelou V, Tsantili-Kakoulidou A, Koupparis M. J. Pharm.
Biomed. Anal. 2003;31:1119.
Eyal AM. Acid Extraction by Acid–Base-Coupled
Extractants.. Ion Exchange and Solvent Extraction: A Series
of Advances. 1997;13:31–94.
Good NE, Winget GD, Winter W, Connolly TN, Izawa S,
Singh RMM. Hydrogen Ion Buffers for Biological Research..
Biochemistry. 1966;5(2):467–477.
Hilal SH, El-Shabrawy Y, Carreira LA, Karickhoff SW,
Toubar SS, Rizk M. Talanta. 1996;43:607–619.
Jimenez-Lozano E, Marques I, Barron D, Beltran JL, Barbosa
J. Anal. Chim. Acta. 2002;464:37.
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Onufriev A, Case DA, Ullmann GM. A Novel View of pH
Titration in Biomolecules.. Biochemistry.
2001;40(12):3413–3419.
Qiang Z, Adams C. Water Res. 2004;38:2874.
Sandra Babic, Alka JM, Horvat Dragana Mutavdzic Pavlovic,
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102
Chapter 3
Crystalline Solids
The process of crystallization involves a reversal of the
changes that occur when a solid melts or dissolves. Except
when mixed crystals form, crystalline forms are very pure,
and commercially provide a material that is in an attractive
physical form. A typical crystal has a regular geometric form
with sharp, straight edges and plane surfaces. When fractured,
it breaks into pieces with plane faces meeting in sharp edges,
whereas a supercooled liquid fractures as easily in one
direction as another. The crystalline nature of powders and
metals is revealed only by microscopic examination, and in
the case of metals the individual crystals are seen to be
arranged in a disorderly manner.
The regular external form of a crystal is determined by a
regular assembly of atoms or ions arranged in a space lattice
having a uniform geometrical form. The arrangement of these
units is the most important characteristic of a crystal, for,
even if the external form is destroyed by powdering, the
internal structure remains. Crystals may vary in size and in
the development of different faces owing to the conditions
under which they are formed. The constant geometrical form
of the units composing the crystal is exhibited in the
constancy of the angles between similar faces (Law of
Constancy of Interfacial Angles).
The symmetry possessed by crystals is expressed in terms of
their symmetry about certain planes and axes of the crystal.
An axis of symmetry is an axis on which the crystal can be
rotated through 360°C and occupy the same position more
than once. If a crystal possesses a suitable number of axes of
103
symmetry, three of them may be chosen as crystallographic
axes, e.g. alum; in crystals possessing less than three axes of
symmetry, e.g. copper sulphate, other axes are chosen as the
crystallographic axes. For classification all crystals are
referred to seven groups, e.g. cubic (alum), triclinic (copper
sulphate), etc., which are defined by the disposition of the
crystallographic axes.
The shapes of crystals are often described in general terms
that are almost self-explanatory; needle-shaped crystals are
often termed acicular; and plate-like crystals, laminar. Such
terms give no indication as to the position of the crystals in
the system of classification based on crystallographic axes;
for example, the prism occurs in several groups.
Polymorphism
Many substances exist in two or more crystalline forms and
are said to be polymorphic. The differences are due primarily
to differences in crystalline structure, which give rise to
differences in physical properties, e.g. solubility. Red
mercuric iodide crystallizes as octahedral when prepared by
mixing dilute solutions of mercuric chloride and potassium
iodide, washing with cold water and drying below 40°C.
When heated to above 126°C, it changes into the yellow
variety, which exists as laminar crystals; on cooling the
yellow form reverts to the red form. The two official varieties
of sulphur are different forms of the same substance. This
variety or polymorphism exhibited by elements is termed
allotropy.
When the change from one polymorphic form is reversible it
is said to be enantiotropic but when the transition takes place
in one direction only, i.e. from a metastable form to a stable
104
form, it is said to be monotropic. Polymorphism is known to
occur in many steroids, in sulphonamides and barbiturates,
the occurrence being frequent in complex molecules,
particularly if hydrogen bond formation is possible within the
molecule. Detection of different polymorphic forms has been
achieved by X-ray diffraction and infrared adsorption of the
crystalline solid. When a crystalline solid is dissolved in
solvent, the crystalline structure is lost so that different
polymorphs of the same substance will show the same
absorption spectra in solution. Sulphathiazole exists in at least
two polymorphic forms, one of which (Form I) undergoes a
change in crystal structure at about 174°C to Form II that
melts at 180°C. Form I can be prepared by crystallization of
sulphathiazole from boiling water or 95 per cent ethanol and
seems to be the form commonly met in practice. Cortisone
acetate exists in several crystalline forms, only one of which
is suitable for preparing stable aqueous suspensions. The
unstable forms undergo a polymorphic change in the presence
of water, which results in crystal growth. The biological
activity of chloramphenicol palmitate has been correlated
with polymorphic behaviour (Aguiar et al., 1967). Four
different polymorphic forms of oil of theobroma have
different melting points. Heating it to 38°C completely
liquefies the fat but destroys the beta stable crystals (m.p.
34.5°C), the crystals that are formed being the metastable
gamma, alpha and beta forms melting at 18, 22 and 28°C,
respectively, so that the suppositories tend to melt at room
temperature. By melting the oil of theobroma at the lowest
possible temperature (about 33°C) the stable beta form is not
lost and a suppository stable at room temperature is produced.
Hydrogenated vegetable oils are also used as suppository
bases but as they are unlikely to exist in polymorphic forms
they are not affected by slight overheating.
105
Transitions of unstable to stable forms during heating can
often be detected by measuring the volume expansion of a
sample confined in a dilatometer. Ravin and Higuchi (1957)
performed dilatometric analyses of theobroma oil and other
waxy materials. Another technique is differential thermal
analysis, which involves the controlled heating of sample and
inert reference substance the temperature of each being
measured by sensitive thermocouples. If thermal energy is
absorbed during crystal rearrangement, the difference in
temperature between sample and reference can be detected
and displayed on a recording millivoltmeter. Thermal
transitions of sulphathiazole and cortisone acetate have been
detected with this technique (Carless, Moustafa & Rapson,
1966; Guillary, 1967).
In the formulation of drugs known to exist as polymorphs, it
is essential that the form present in the final preparation
should be stable. The form most suitable for preparing stable
suspensions will not necessarily be that most stable in the dry
state, Infrared methods for identifying polymorphic forms of
steroids and sulphonamides have been described by Mesley
and Johnson (1965) and Mesley and Houghton (1967).
Other methods used to identify polymorphic phases of a
compound include measurement of refractive index and X-ray
diffraction of single crystals or of powders (Haleblian &
McCrone, 1969).
Isomorphous Crystals
Many chemical substances of similar chemical constitution
form crystals of similar shape and are said to be isomorphous
(the same shape). Examples of isomorphous substances are
magnesium sulphate, MgSO4.7H2O and zinc sulphate,
106
ZnSO4.7H2O; disodium hydrogen phosphate,
Na2HPO4.12H2O and disodium hydrogen arsenate,
Na2HASO4.12H2O.
The alums form a characteristic group of isomorphous
compounds. When equal proportions of the
gramme-molecular weights of potassium sulphate, K2SO4,
and aluminium sulphate, Al2(SO4)3.18H2O, are dissolved in
water and the solution is concentrated and allowed to
crystallize, a double salt, potash alum, is obtained. This
consists of homogeneous crystals containing one molecular
proportion of potassium sulphate and one molecular
proportion of aluminium sulphate combined with 24
molecular proportions of water. If ammonium sulphate is
used in place of potassium sulphate, the product is ammonia
alum.
If a solution that is about to crystallize is seeded with a crystal
of a substance, isomorphous with the substance in solution, an
isomorphous overgrowth is obtained; the solute crystallizes
round the crystal that has been immersed in the solution. This
behaviour is well illustrated by seeding a solution of
(colourless) potash alum with a crystal of (purple) chrome
alum, when a colourless crystal with a purple centre is
obtained.
Another property of isomorphous substances is the formation
of mixed crystals, which are essentially solid solutions. When
solutions of potash alum and chrome alum are mixed and
allowed to crystallize, a crop of pale violet crystals consisting
of a homogeneous mixture of the two double salts is obtained.
It is not uncommon for substances to have very similar
crystalline forms without being similar in chemical
constitution or isomorphous. True isomorphous substances
exhibit similar crystalline forms and normally form
isomorphous overgrowths and mixed crystals.
107
Mechanism of Crystallization
A solution must be saturated before any solid matter can
crystallize out. If the temperature of a saturated solution is
lowered, or solvent allowed to evaporate from such a
solution, then the excess of solid material separates out. On
lowering the temperature of a saturated solution very
carefully, it is often possible to cool it considerably without
the separation of crystals. Such a solution is said to be
supersaturated.
The formation of crystals from solution involves two steps:
firstly the creation of crystalline nuclei and secondly the
growth of these nuclei in to crystals. Nuclei may arise
spontaneously, although in actual practice this is thought to be
rare, or they may arise by the introduction of minute crystals
of the dissolved substance. This operation is known as
seeding. The driving force for the nucleation and subsequent
growth of the crystals is the super saturation of the solution.
The theory of Miers postulates that a definite relationship
exists between the concentration and the temperature at which
crystals will spontaneously form in an initially unseeded
solution. The form of that relationship is a supersolubility
curve roughly parallel to and above the normal solubility
curve. Such a curve may be imagined as the solubility for
exceedingly fine particles that can be shown to have a
solubility appreciably greater than larger crystals. The
solubility curves are shown in Figure 3.1. The theory states
that in the region between the two curves (metastable zone)
there will be no appreciable spontaneous nucleation, but
above the supersolubility curve there is copious spontaneous
nucleation. A solution of compositions E will spontaneously
crystallize and the solution concentration falls to that given by
108
the normal solubility curve at the prevailing temperature, i.e.
point G. A solution represented by point F in the metastable
region will
remain unchanged unless seeds are added and when
nucleation occurs the concentration will again drop to point
G.
FIG. 3.1 Solubility curves.
In crystallization processes the nuclei formation should be

under control since the number of nuclei will control the size
of the crystal. Large crystals may be obtained as a result of
slow cooling of solutions just above saturation point, due to
the reduction in number of spontaneous nuclei; crystals grow
from these few nuclei and will then grow to the desired size
before new nuclei appear. Conversely, rapid cooling increases
the degree of supersaturation (beyond Miers’ supersaturation
109
curve) resulting in a large number of nuclei and a crop of
small crystals.
Nuclei may originate in the following ways:
1. Spontaneously due to cooling an unseeded solution into the
labile region.
2. Deliberate seeding with minute crystals.
3. Fortuitous seeding by crystals left from previous batch.
4. Attrition of existing crystals giving rise to fragments that
act as seeds. The degree of stirring will affect this factor.
Nucleation may be inhibited by the presence of impurities,
especially if of high molecular weight, in the solution.
The most important crystallization technique involves
crystallization from a solvent. For this purpose a solvent, in
which the crystals are sparingly soluble in the cold and
readily soluble in the hot is chosen. The solid is added in
portions to a suitable quantity of the hot solvent, until a hot
saturated solution is obtained; the hot solution is filtered into
a wide-mouthed conical flask and set aside to cool. Usually
crystals separate during cooling. Some substances,
particularly organic compounds, form supersaturated
solutated solutions, and no crystals are deposited on cooling
the hot saturated solution. Crystallization, in such cases, may
usually be initiated by seeding the supersaturated liquid with
a crystal of the solid substance, by stirring or by scratching
the sides of the vessel with a glass rod. Crystallization is
sometimes effected by strongly cooling a solution saturated at
room temperature, or by allowing such a solution to evaporate
spontaneously in a desiccator over a substance that will
absorb the solvent, e.g. anhydrous calcium chloride for water
and alcohol.
The size of crystals usually depends upon the conditions of
crystallization.
110
Very small crystals are obtained by the rapid cooling, with
frequent stirring, of solutions almost saturated at their boiling
point. Generally the production of very small crystals of a
substance is to be avoided, because they tend to cohere into
masses that are difficult to wash, and consequently the
substance may be less pure than when obtained in crystals of
medium size.
Medium-size crystals are obtained, when crystallizing from
water, from solutions saturated at about 60–80°C. The hot
solution is allowed to cool slowly and without mechanical
disturbance in a warm room. When a satisfactory strength of
solution at a given temperature has been found by experience,
it is customary on the large scale to note the specific gravity
at that temperature by means of a hydrometer. In future
crystallizations the solution is adjusted to the required
strength corresponding to the observed temperature and
specific gravity.
On the large supersaturated solutions may be induced to
crystallize by artificial cooling. Brine from a refrigerating
plant is circulated round the pan or tank that has an outer
jacket, or brine may be passed through a coiled tube within
the solution. The liner of the pan or tank is made of good
conducting material, such as copper or tinned copper, in order
that the maximum effect of the brine may be secured. The
temperature gradient between parts of the solution near to and
remote from the cooling surface ensures that some portion of
the solution is at the temperature of the maximum rate of
formation of crystal nuclei.
Uniformity in size of crystals of substances, such as sodium
sulphate or magnesium sulphate, is obtained by crushing and
sifting the large, irregular crystalline masses obtained from
the tanks.
111
Very large crystals are obtained by setting aside a large
volume of a solution and allowing it to evaporate
spontaneously. The liquid should have been rendered
perfectly clear by filtration, and the access of dust must be
guarded against. The formation of large crystals may be
facilitated by seeding, that is suspending a well-formed
crystal of the solute in the solution, the crystal acting as a
nucleus.
The mother liquor is the term applied to the liquid remaining
after a crop of crystals has been obtained. The mother liquor
is not discarded but is subjected to further concentration and
again set aside to crystallize; the second quantity of mother
liquor is concentrated and a further crop of crystals is
obtained. This process is repeated until practically the whole
of the dissolved substance has been recovered. Crops of
crystals obtained by concentration of the mother liquor are
usually less pure than the first crop and may require
recrystallization. The treatment of the mother liquor is very
important on the commercial scale, particularly in the
crystallization of expensive substances, such as alkaloids, to
avoid serious financial loss.
Crystal Growths in Suspensions

In suspensions of finely divided solids, an increase in crystal
size is undesirable since there is a tendency for the crystals to
bind together forming a hard cake that is difficult to
redisperse. Crystal growth may also lead to other undesirable
changes; large particles tend to produce a gritty texture and
make them unsuitable for topical, especially ophthalmic, use.
The causes of crystal growth in suspensions have been
discussed by Higuchi (1958) and are summarized as follows:
112
1. Temperature fluctuation—a rise causing increased
solubility and a fall causing supersaturation, and hence
crystallization.
2. Solid present in a metastable state that has a greater
solubility than the stable state, so that the solution is
supersaturated with respect to the latter.
3. Greater solubility of small crystals than that of large
crystals so that the solution is supersaturated with respect to
the latter.
4. Change of crystal structure due to presence of dispersing
solvent.
Crystal growth of drugs can be accelerated by temperature
cycling (Carless & Foster, 1966).
Possible methods of preventing crystal growth include the use
of particles of narrow size range grinding the solid in the
presence of the dispersing fluid (change of crystal structure?),
addition of surface active agents, which are adsorbed onto the
crystal surface and so inhibit the rate of deposition of solute
molecules.
A simple suspension of cortisone acetate powder for use as
eye drops is liable to crystal growth; grinding with hydrated
aluminium hydroxide and inclusion of methyl cellulose
produces a stable aqueous suspension (Flitcroft & Birchall,
1957).
Suspensions should, if possible, be confined to insoluble
solids, or at least to solids with a flat solubility curve, to
minimize the undesirable effects produced by temperature
fluctuation.
113
Precipitation
Substances produced by precipitation are usually
microcrystalline. The process involves the mixing of solutions
of the reactants and the interaction of these substances to form
a sparingly soluble substance. When chemically equivalent
quantities of the reactants are used, the order of mixing is not
usually of importance. When an excess of one reactant is
required for complete precipitation of the product, this
reactant is usually gradually added to the other reactant until
no further precipitate is produced. This procedure avoids
waste of materials and the precipitate will require less
washing in order to obtain it in a pure condition. The process
of precipitation in the laboratory is best performed in a
conical beaker flask, the form of which is most convenient for
washing the precipitate by decantation before collecting it on
a filter.
The character of a precipitate often depends upon the
conditions under which it has been produced. When the
reacting substances are mixed at temperatures near to their
boiling point, the precipitate is usually granular and heavy,
whereas a precipitate of the same substance produced by
mixing cold solutions may be light, take a long time to settle
and to wash, and will, perhaps, pass through the filter.
Similarly, concentrated solutions produce a precipitate in
larger particles than do dilute solutions. A very fine
precipitate, once formed, can often be caused to coagulate or
form larger particles by boiling or by digesting for some time
on a water bath, e.g. silver bromide and barium sulphate.
Some substances can be precipitated only from cold solutions,
because of their solubility; acid potassium tartrate and
magnesium ammonium phosphate normally crystallize only
114
from cold solutions. Such precipitates can often be induced to
form more rapidly by scratching the sides of the vessel with a
glass rod, or by vigorous shaking.
The theory of von Weimarn relates the degree of
supersaturation with the particle size of the precipitate; the
initial velocity of precipitation is proportional to (Q – S)/S,
where Q is the total concentration of the substance to be
precipitated and S is its equilibrium solubility. Q – S will be
the amount of material thrown out of solution. For the
formation of fine particles (Q – S)/S should be large. This
may be achieved by making Q large and/or S small. The use
of concentrated solutions will result in a large value for Q.
although too high a concentration may produce a gelatinous
precipitate. To make the value of S small the solubility may
be reduced by using a solvent in which the product is only
slightly soluble. For instance, barium sulphate of colloidal
size can be precipitated by double decomposition, from
aqueous alcohol solution in which barium sulphate is less
soluble than in water (see Alexander & Johnson, 1949).
The preparation of microcrystalline sulphathiazole (Chambers
et al., 1942), involves a novel process; a solution of
sulphathiazole sodium is neutralized with acid at a low
temperature, the mixture being agitated violently by
ultrasonic vibrations or with a high speed stirrer; the
precipitated sulphathiazole is centrifuged washed with water
and suspended in normal saline. The precipitate formed under
the influence of violent agitation is in a very finally divided
condition and yields a stable suspension in normal saline.
115
Fractional Crystallization
The process of crystallization affords a method for the
purification of crystalline substances. Advantage is taken of
the different solubilities of a substance and associated
impurities. The impure substance is dissolved by the aid of
heat in a solvent, found by experiment to be the most suitable,
and the solution is filtered while still hot and set aside to
crystallize. If the solvent has been properly selected, the
desired substance will crystallize out, while the impurity will
remain in solution, since it is unlikely that the solution will be
saturated with respect to both the required substance and the
impurity. If impurity is still present the process of
recrystallization is repeated until the product has attained the
desired degree of purity as shown by physical and chemical
tests (e.g. melting point, boiling point, density, solubility,
crystalline form, optical properties, assay and specific tests
for impurities).
Isomorphous substances that form mixed crystals cannot be
separated by fractional crystallization, even if their
solubilities are widely different.
Water of Crystallization
Solid compounds of salts with water of definite composition
are called hydrates and the combined water is termed water of
crystallization. For example, when anhydrous copper sulphate
(CuSO4), a white powder, is dissolved in water and the
solution is set aside to crystallize, the product consists of blue
prisms of copper sulphate pentahydrate (CuSO4.5H2O).
116
Water of crystallization forms part of the structure of the
crystals and may be attached to the anion or to the cation. In
hydrated copper sulphate four of the water molecules, which
are readily expelled on heating, are attached to the copper
cation and the fifth is attached to the sulphate anion. The fifth
molecule of water is held more firmly and is sometimes
referred to as water of constitution. The nature of the bond
linking the
water molecules to the salt is as yet not clearly understood,
but in certain instances, it has been shown that bonds of the
same type as those linking hydrogen to oxygen in water
(covalent bonds) are involved.
Some substances are capable of forming crystals with
different proportions of water of crystallization; sodium
carbonate, for example, can, by various means, be obtained as
Na2CO3.10H2O, Na2CO3.8H2O, Na2CO3.6H2O,
Na2CO3.5H2O and Na2CO3. H2O. It should not be thought
that water of crystallization is essential in order that a salt
may be crystalline; no water of crystallization is present in
crystals of, for instance, potassium chlorate, potassium
dichromate, potassium bromide or sodium chloride. Many
organic compounds crystallize with solvent of crystallization;
citric acid crystallizes with one molecule of water,
CH2(COOH).C(OH)(COOH).CH2COOH.H2O; crystalline
ergometrine may contain one molecule of acetone of
crystallization.
Vapour Pressure of Hydrates

The water present in solids containing water of crystallization
exerts a vapour pressure. The magnitude of this vapour
pressure is a measure of the tendency of the substance to lose
117
water. If the vapour pressure of the water in the surrounding
atmosphere differs from the vapour pressure of the water in
the hydrate, the hydrate will tend to gain or lose water until an
equilibrium is established with the water vapour in the
atmosphere. The loss of water of crystallization by a hydrate
to form an anhydrous salt or a hydrate containing fewer
molecules of water of crystallization is termed efflorescence.
The water in sodium sulphate, Na2SO4.10H2O, exerts a
vapour pressure of 16.3mm at 20; the water vapour pressure
in the atmosphere is often below this value and then the
hydrate effloresces to yield an anhydrous powder. Other
examples of efflorescent substances are borax,
Na2B4O7.10H2O, and sodium phosphate, Na2HPO4.12H2O.
With some substances, the aqueous vapour pressure of a
saturated solution is lower than the usual aqueous vapour
pressure of the atmosphere. Under these conditions, the solid
absorbs atmospheric moisture, forms a hydrate if such can
exist, and continues to absorb moisture until a solution is
formed; this phenomenon is termed deliquescence. A
saturated solution of calcium chloride exerts a vapour
pressure of 4–5mm at ordinary temperatures; more dilute
solutions exert higher vapour pressures up to the vapour
pressure of pure water (12–17mm at 15–20°C). The vapour
pressure of the water in the atmosphere may rise as high as
about 15mm. Hydrated calcium chloride or calcium chloride
will therefore readily absorb atmospheric moisture and
ultimately form a solution of below the concentration of a
saturated solution. It will be seen that sodium sulphate may
effloresce in an atmosphere in which calcium chloride or its
hexahydrate deliquesces. All deliquescent substances are very
soluble in water, notable examples being potassium
hydroxide, sodium iodide, sodium lactate, trichloracetic acid
and zinc chloride.
118
Many substances that absorb water do not form liquid
mixtures or definite compounds with the water. Such
substances are said to be hygroscopic. In these substances, it
is probable that the water is attracted to the solids by the
forces responsible for adsorption (see Chapter 6). Many
chemical and vegetable drugs are hygroscopic, e.g. exsiccated
sodium sulphate, and dry extracts. This term is also applied to
liquid substances such as sulphuric acid, glycerine and
dehydrated alcohol that absorb moisture from the air. There is
no doubt, however, that sulphuric acid forms definite
compounds with water.
Exsiccation
The process of removing water of crystallization from
hydrated substances is termed exsiccation. Exsiccated ferrous
sulphate, exsiccated sodium carbonate, exsiccated alum (burnt
alum) and anhydrous sodium arsenate are noteworthy
examples of substances prepared by exsiccation; magnesium
sulphate, sodium phosphate and sodium sulphate are
exsiccated as a preliminary step in preparing their respective
effervescent granules. The principles underlying the process
of exsiccation are the same as those underlying the
phenomenon of efflorescence. Substances capable of forming
more than one hydrate may be exsiccated in stages. For
instance, copper sulphate, CuSO4.5H2O, on heating may be
successively converted into the trihydrate, CuSO4.3H2O, the
monohydrate, CuSO4.H2O, and the anhydrous substance,
CuSO4. Exsiccated substances are not necessarily anhydrous.
Anhydrous ferrous sulphate cannot be prepared by heating the
hydrate in air, since basic sulphate is formed before all the
water is driven off, but if exsiccation is suitably effected in a
119
vacuum the anhydrous substance, FeSO4, is obtained.
Substances containing a large proportion of water of
crystallization, e.g. sodium sulphate, Na2SO4.10H2O, are
usually liquefied on heating by dissolving in the water
present.
Exsiccation is effected by weighing the substance into a tared
dish and heating, with frequent stirring, until there is no
further loss in weight, or until the calculated loss in weight
has taken place. A water bath or steam oven may be used as a
source of heat in some cases, but often a sand bath or air oven
must be used.
References

University Press; 1949.
Aguiar JA, Kre J, Kinkel AW, Samyu JC. J. Pharm. Sci.
1967;56:847.
Carless JE, Moustafa MA, Rapson HDC. J. Pharm.
Pharmarol. 1966;18:190S.
Carless JE, Foster AA. J. Pharm. Pharmacol. 1966;18:697.
Chambers LA, Ferguson LK, Harris TN, Schulman F. J. Am.
Med. Ass. 1942;119:324.
Flitcroft J, Birchall ME. Pharm. J. 1957;178:79.
Guillary JK. J. Pharm. Sci. 1967;56:72.
Haleblian J, McCrone. J. Pharm. Sci. 1969;58:911.
Higuchi T. J. Am. Pharm. Ass. (Sci. Edn). 1958;47:657.
Meslay RJ, Houghton EE. J. Pharm. Pharmacol.
1967;19:295.
Meslay RJ, Johnson CA. J. Pharm. Pharmacol. 1965;17:329.
Ravin LJ, Higuchi T. J. Am. Pharm. Soc. 1957;46:732.
120
Chapter 4
Complexations
One of the most important properties of transition metals is
that they form coordination or complex compounds. These
compounds play a vital role in our lives. The importance of
these compounds can be realized from the fact that life would
not be possible without the existence of chlorophyll (Mg
complex) in plants and haemoglobin (Fe complex) in the
blood. One of the earliest known coordination compounds is
Prussian blue, which was accidentally prepared in 1704 by a
Berlin colour maker, Diesbach, by strongly heating animal
wastes and sodium carbonate in an iron container. In 1753
Macquer prepared potassium ferrocyanide by treating
Prussian blue with alkali. In 1799 Tassaert obtained an orange
compound, CoCl3.6NH3, by allowing the mixture of colour
chloride and aqueous ammonia to stand in air. The field of
such compounds expanded very fast and today they are useful
in many different fields, e.g. pharmacy, technology, analytical
chemistry, polymerization reaction, metallurgy, refining of
metals, organic synthesis, biochemistry, photography, etc. So,
complexation may be defined as the reversible association of
a substrate and ligand to form a new species. Intermolecular
forces involved in the formation of complexes are the van der
Waals forces of dispersion, dipolar and induced dipolar types.
Hydrogen binding provides a significant force in some
molecular complexes, whereas coordinate covalence is
important in metal complexes.
Complexes or coordination compounds result from a
donor–acceptor method or Lewis acid–base reaction among
two or more chemical constituents. The donor may be any
121
nonmetallic atom or ion, either free or contained in a neutral
molecule or an ionic compound, which can donate an electron
pair (Lewis base). The constituent that accepts an electron,
like a metallic ion or a neutral atom, may serve as acceptor
(Lewis acid).
Ligands serve as donors (Lewis bases), which are neutral
molecules, anions or cations that are directly linked with the
central metal atom or ion in a complex. With a few
exceptions, free ligands have at least one electron pair that is
not engaged in bonding and donate one or more electron pairs
to the central metal atom or ion, which acts as an acceptor. So
formation of complex ion involves the following two things:
1. Ligands should have lone pair or pairs of electrons, which
can be donated to the central metal ion or atom.
2. The central atom or ion should have vacant orbital of
nearly equivalent energy to accommodate the electrons
donated by ligands. This condition is easily fulfilled by atoms
or ions of transition metals.
Ligands can be classified on the basis of number of donor
atoms present in them. Classification is as follows:
1. Mono- or unidentate ligands: These ligands have one
donor atom or ion. F–, Cl–, Br–, H2O, CO, etc., are examples
of monodentate ligands.
2. Bidentate ligands: Ligands that have two donor atoms and
the ability to link with central metal ion at two positions are
called bidentate ligands, e.g. ethylene diamine, oxalate,
glycinate, etc.
3. Tridentate ligands: These ligands have three donor groups,
e.g. ethylene triamine.
4. Tetradentate ligands: These ligands have four donor
groups, e.g. nitriloacetate and triethylenetetramine.
5. Pentadentate ligands: They have five donor atoms such as
ethylenediaminetriacetate ion.
122
6. Hexadentate ligands: They have six donor atoms, e.g.
ethylenediaminetetraacetic acid (EDTA) ion.
Ligands with more than one potential donor atom are known
as ambidentate, such as the thiocyanate ion, NCS–, which can
bind to the metal centre with either nitrogen or sulphur atoms.
Examples of ambidentate ligands include NO2–/ONO– (O and
N) and (O and S), where the first named
atom refers to that which is bonded to the metal centre.
The ligands that attach with the centre ion or metals may be
the same as or different from one another. When all the
ligands are the same, the complex is called homoleptic. When
they are not identical, the complex is called heteroleptic.
Complexes can be classified into two categories, depending
on whether the component is a metal ion or an organic
molecule. A third class, the inclusion/occlusion compounds,
involves the entrapment of one compound in the molecular
framework of another. The classification of complexes shown
in Table 4.1.
Table 4.1 Classification of complexes
123
Metal Ion Complexes
A metal complex (also known as coordination complex) is a
complex consisting of a central atom or ion usually metallic,
bonded to a surrounding array of molecules or anions or
ligands. Major intermolecular forces involved in the
formation of complexes are the van der Waals forces of
dispersion, dipolar and induced dipolar types. An adequate
understanding of metal ion complexation is based on
familiarity with atomic structure and molecular forces. Metal
complexes include all metal compounds, aside from metal
vapours, plasmas and alloys (Table 4.2).
Table 4.2 Examples of metal–ligand complexes and the
charges
124
Metal complexations can be classified into following
categories:
1. Inorganic type
2. Olefin type
3. Chelates type
4. Aromatic type:
a. Sandwich compounds
b. Sigma complexes
c. Pi complexes
Inorganic-Type Complexes
Inorganic complexes are a group of simple complexes first

described by Werner in 1891. Hexamminecobalt III chloride
([Co(NH3)6]3+Cl3–) is a type of inorganic complex. The
ammonia molecule in hexamminecobalt III chloride acts as
ligand and is said to be coordinated to the cobalt ion. The
coordination number of the cobalt ion or number of ammonia
groups coordinated to the metal ion is six. The coordination
number is the number of ligands stuck to the metal. Common
coordination numbers are 6 (octahedral), 5 (pentahedral)
trigonal bipyramidal, but sometimes 4 (tetrahedral) square
pyramidal, tetrahedral. Prefixes that are often used to refer to
the coordination are: (1) monocoordinate, (2) dicoordinate,
(3) tricoordinate, (4) tetracoordinate, (5) pentacoordinate, (6)
125
hexacoordinate, (7) heptacoordinate, (8) octacoordinate and
(9) nonacoordinate.
Ligand donates a pair of electrons to form a coordinate
covalent link between itself and central ion having an
incomplete electron shell. Normally, a lone pair of electrons
on an atom within the ligand is shared with the metal cation,
which does not have any valence electrons to share. Consider
a chloride ion, for example. It has four lone pairs that can be
shared. Now consider a gold ion, which has lost its 6s
electrons and has an electronic configuration of [Xe]4f 5d. If
a chloride ion sticks to a gold (III) ion, the 6s and 6p orbitals
are available for bonding, but Au3+ has no electrons in them.
Thus, chloride provides both the electrons for the bond. In
fact, the Au3+ cation even rehybridizes to produce four sp3
orbitals and forms a tetrahedral complex with four chloride
ions, i.e. AuCl4–.
Other complex ion belonging to the inorganic complex group
include [Ag(NH3)2]+, [Fe(CN)6]4– and [Cr(H2O)6]3+.
Hybridization plays very important part in coordination
compounds in which adequate bonding orbitals are not
usually available in the metal ion. In chemistry, hybridization
is the concept of mixing atomic orbitals to form new hybrid
orbitals suitable for the qualitative description of atomic
bonding properties. Hybridized orbitals are very useful in the
explanation of the shape of molecular orbitals for molecules
(Fig. 4.1).
126
Fig. 4.1 Hybridization of copper chloride.
CuCl42– is a simple example of the formation of a complex

ion with a negative charge.
Copper has the electronic structure 1s22s22p63s23p63d104s1.
When it forms a Cu2+ ion, it loses the 4s electron and one of
the 3d electrons to leave
1s22s02p63s23p63d9.
To bond the four chloride ions as ligands, the empty 4s and
4p orbitals are used (in a hybridized form) to accept a lone
pair of electrons from each chloride ion.
Cu2+
Only one of the four lone pairs on each chloride ion is shown.
The other three are pointing away from the copper ion and are
not involved in the bonding.
That gives a complex ion shown in Fig. 4.2.
Fig. 4.2 Complex of copper chloride.
The ion carries 2 negative charges overall. That comes from a

combination of the 2 positive charges on the copper ion and
the 4 negative charges from the 4 chloride ions. In this case,
the coordination number of the copper is, of course, 4.
For estimation of hybridization in a metal ion complex is to
select that complex in which the metal ion has its 3d and 4s
orbitals primarily in the hybridization. For example, the
127
trivalent cobalt ion Co(III) has the ground-state electronic
configuration, as shown in Fig. 4.3. Complex [Co(NH3)6]3+ is
a complex of cobalt with ammonia that shows the d2sp3
electronic configuration, as shown in Fig. 4.4 (Martin et al.,
1991).
Fig. 4.3 Complex of cobalt with ammonia.
Fig. 4.4 d2sp3 octahedral structures.
Olefin-Type Complexes
Olefin complexes are also referred to as alkene complexes and

usually pi bonding is involved in it. Zeise’s salt
(K[PtCl3(C2H4)]·H2O) is the first olefin and organometallic
complex, which was discovered in 1827. A simple example of
donation from a pi bond is the treatment of silver(I) salts with
alkenes, shown in Fig. 4.5.
Fig. 4.5 Formation of a complex or ‘silver olefin’ complex.
As shown in Fig. 4.5, an alkene donates its pi bonding

electrons to a 4s orbital of the silver metal. The electrons are
128
shared between two carbon atoms in the alkene. Since a bond
is generally thought of as a pair of electrons shared between
two atoms, once the pi electrons are donated to the metal,
they are shared between the metal and one of the carbons, but
not both. During this process, one of the carbons is short of
electrons. It must be a cation. Of course, either carbon could
be the cationic one, so we can draw resonance structures
showing both possible states (Fig. 4.6).
1. Donation of pi electrons to a metal can ‘activate’ an alkene.
2. The alkene can become positive and electrophilic.
Fig. 4.6 Resonance structure showing donation of a pair of

pi-bonding electrons to a transition metal.
In alkene complexes, bonding is usually illustrated with a line

between the pi bond and the metal, as shown in Fig. 4.7. That
line could be read as a pair of electrons, but it is not that way
in fact. The pair of electrons is in the pi bond. They are being
shared with the metal.
129
Fig. 4.7 Typical representation of alkene complexes.
Olefin complexes are mostly used as catalysts and play a vital

role in polymerization of unsaturated hydrocarbon, oxidation,
hydrogenation, isomerization, cyclization and other industrial
processes. They are also useful catalyst precursors, because
the olefin ligand is relatively labile and is easily lost either
through dissociation or via hydrogenation.
Chelates-Type Complexes
The word chelates has been derived from the Greek word
chele meaning ‘claw’. There are many substances containing
two or more donor groups that may combine with a metal to
form a
special type of complex, which is known as chelate. Simply
put, if bidentate or polydentate ligands, which are known as
chelating ligands, on coordination result in the formation of a
closed or cyclic ring structure complex, are called chelates.
The bonds in a chelate may be ionic or of the primary
covalent type. Complex formed by Cu2+ ion with
ethylenediamine is an example of a chelate, as shown in Fig.
4.8.
130
Fig. 4.8 Ethylenediamine–copper complex.
Some of the distinguished features of chelates-type

complexes are as follows:
1. Chelating ligands form more stable complexes than
monodentate ligands.
2. The chelates containing 5 or 6 members ring including
metal atom are comparatively more stable. Chelating ligands
that do not contain unsaturated groups in general form
five-membered stable complexes while chelating ligands
having unsaturated groups form six-membered stable
complex.
3. Ligands with larger groups form more unstable rings than
with smaller groups because of steric hindrance.
4. Polydentate ligands have the flexidentate characteristic;
that is, it is not necessary that all the donor atoms present in
the polydentate ligands should form coordinate bonds with
central metal atom or ion. For example, EDTA, which has
hexadentate ligand, can function as a pentadentate or
tetradentate ligand with certain metal ions. Similarly, sulphate
ion can also act as a monodentate ligand.
5. There are certain ligands that have two or more donor
atoms but in forming complexes only one donor atom is
attached to the metal ion. Such ligands are called ambidentate
ligands.
Some examples of polydentate ligands are shown in Table
4.3.
131
Table 4.3 Examples of polydentate ligands
Dentate
Name Formula
character
Carbonates CO32– Bidentate
Ethane 1,2-diamine NH2–CH2–CH2–NH2 Bidentate
Oxalates C2O42– Bidentate
Glycinate NH2–CH2–COO– Bidentate
Diethylenetriamine NH(NH2C2H4)2 Tridentate
Ethylenediaminetetraacetic
Hexadentate
acid
Two most important naturally occurring chelates are
chlorophyll and haemoglobin. These are involved in the life
processes of plants and animals, respectively. The synthetic
chelating agents, e.g. EDTA, are being used to tie up or
sequester iron and copper ions so that they cannot catalyze the
oxidative degradation of ascorbic acid in fruit juices and drug
formulations. The chelating agents and metal ions form a
water-soluble compound during sequestration. EDTA is
widely used sequester and also removes calcium ions from
hard water (Fig. 4.9). The process of chelation can also be
applied during the assaying of drugs. For example, a
colorimetric method to assay procainamide in injectable
solutions is based on the formation of 1:1 complex of
procainamide with cupric ion at pH 4–4.5 (Martell & Calvin,
1952; Martin et al., 1991).
132
Fig. 4.9 Sequestering of calcium ions by EDTA.
Aromatic-Type Complexes
In recent years, there has been enhanced interest in the

synthesis and characterization of aromatic metal complexes.
Many platinum and nonplatinum metal complexes such as
palladium, ruthenium, rhodium, copper and lanthanum, with
these aromatic N-containing ligands, have shown very
promising antitumour properties in vitro and in vivo in
cisplatin-resistant model systems or against
cisplatin-insensitive cell lines. For example, one Ru(III)
compound, [ImH][trans-Cl(4)(Me(2)SO) (Im)Ru(III)] (Im =
imidazole, NAMI-A), successfully entered
phase I clinical trials. The aromatic metal complexes can
further be subdivided into the following categories.
Sandwich Compounds
A sandwich compound in organometallic chemistry is a

chemical compound featuring a metal bound by haptic
133
covalent bonds to two arene ligands. The arenes have the
formula CnHn, substituted derivatives (e.g. Cn(CH3)n) and
heterocyclic derivatives (e.g. BCnHn+1). Because the metal is
usually situated between the two rings, it is said to be
sandwiched. A special class of sandwich complexes is the
metallocenes. The formula of metallocenes is M(C5H5)2
where M = Cr, Fe, Co, Ni, Zr, Ru, Ti, V, Mo, W or Zn. These
species are also called bis(cyclopentadienyl)metal complexes.
These compounds are relatively stable and are considered to
involve a delocalized covalent bond between the d orbital of a
transition metal and a molecular orbital of the aromatic ring.
The term sandwich compound was introduced in
organometallic nomenclature during the mid-1950s in a report
by J.D. Dunitz, L.E. Orgel and R.A. Rich, who confirmed the
structure of ferrocene by X-ray crystallography. It is an
orange-coloured crystalline solid with a camphor-like odour,
melting point of 173°C and boils at 249°C without
decomposition. It is slightly soluble in alcohol, ether and
benzene. Fig. 4.10a shows the structure of ferrocene and Fig.
4.10b shows dibenzene chromium.
Fig. 4.10 (A) Ferrocene and (b) dibenzene chromium.
134
The sandwich compounds can be classified into three
categories, as mentioned below:
1. Mixed cyclopentadienyl complexes: M(C5H5)(CnHn), e.g.
Ti(C5H5)(C7H7)
2. Bis(benzene) complexes: M(C6H6)2, e.g. bis(benzene)
chromium
3. Bis(cyclooctatetraenyl) complexes: U(C8H8)2
Types of sandwich complexes are discussed below:
Monometallic half-sandwich compounds: Metallocenes
including just one facially bound planar organic ligand
instead of two, e.g. methylcyclopentadienyl manganese
tricarbonyl.
Dimetallic half-sandwich compounds: Compounds such as
the cyclopentadienyliron dicarbonyl dimer and
cyclopentadienylmolybdenumtricarbonyl dimer can be
considered a special case of half sandwiches, except that they
are dimetallic. A structurally related species is
[Ru(C6H6)Cl2]2.
Multidecker sandwiches: The first multidecker sandwich
complex was the dicationic tris(cyclopentadienyl) dinickel
complex [Ni2Cp3](BF4)2. A versatile method involves the
attachment of Cp.Ru+ to preform sandwich complexes.
Di- and multimetallic sandwich compounds: Another family
of sandwich compounds involves more than one metal
sandwich between two polycyclic aromatics. Depicted below
(Fig. 4.11) is such a compound, which has four palladium
atoms joined in a chain sandwiched between two perylene
units. The counterions are tetraarylborates.
135
Fig. 4.11 Multimetallic sandwich complex of palladium with
perylene ring.
Sigma (σ) Complexes
Sigma complexes are molecular complexes resulting from the

rupture of a sigma bond. The complex involves a sigma bond
between an ion and a carbon of the aromatic ring. Examples
of sigma complexes include H-AlCl4 and ArCH2CH2-Cl;
they also occur in Friedel—Crafts reactions. Because they are
reactive towards water, no practical pharmaceutical used is
made of these complexes. Aromatic compounds react with
HCl.AlCl3 or HF.BF3 to produce salts that ionize in highly
polar nonaqueous solvents. These coordination compounds
are very reactive and difficult to isolate. Olah et al., detected
the p-anosonium and the 2,4,6-trimethyphenonium ions
produced by ionizing beta-p-anosylethyl chloride and
beta-mesitylethyl chloride, respectively, in SbF5–SO2 at –70
to –60°C (Fig. 4.12).
136
Fig. 4.12 Sigma complex.
Pi (π) Complexes
Scientist Keefer et al. has shown that a number of aromatic

compounds can be dissolved in aqueous solution of silver
nitrate to form water-soluble complex. In case of
silver—benzene complex, it is presumed that a cloud of pi
bond (in doughnut shape) is over the benzene ring and silver
ion is placed above the ring in the doughnut of pi electron. In
a disilver ion, one
silver ion is placed over the ring and the other silver ion
below the ring, stabilized by pi binding.
Weak molecular interactions such as those in
pyridine—iodine, benzene—iodine and benzene—chloroform
systems are some examples of pi-type complexes. Fig. 4.13
shows the pi complex between benzene and protonated
imidazole:
Fig. 4.13 Pi complex between benzene and imidazole.
137
Organic Molecular Complexes
An organic molecular complex or organic coordination
compound consists of components held together by weak
forces of the donor—acceptor type or by hydrogen bonds. For
example, dimethylaniline and 2,4,6-trinitroanisole are two
compounds that react in the cold to give a molecular complex.
Conversely, these two compounds react at a high temperature
to form a salt in which the component molecules are held
together by primary valence bond.
Numerous organic complexes are so weak that they cannot be
separated from their solution as specific compounds, and they
are frequently hard to identify by chemical or physical means.
These molecular complexes are referred to as charge transfer
complexes. The difference between a charge transfer and a
donor—acceptor complex is that in the former type,
resonance makes the major contribution to complex action,
while in the latter, dispersion forces and dipole—dipole
interactions contribute more to the stability of the complex.
These complexes are bound together by van der Waals force,
dipole—dipole interaction and hydrogen bonding, but lacking
charger transfer are known as molecular complexes. The
charge transfer complexes are of much importance in the field
of pharmacy, e.g. 1:1 charge transfer complexes formed by
iodine with drugs like clomethiazole, disulphiram and
tolnaftate (Andrews & Keefer, 1964; Martin et al., 1991).
Each of these drugs holds a nitrogen—carbon—sulphur
moiety and complex results from the transfer of charge from
the pair of free electrons on the nitrogen and/or sulphur atoms
of these drugs to antibonding orbital of iodine atom.
Therefore, thyroid action in the body can be inhibited by
molecules containing the N–C=S moiety via tying up iodine.
138
The organic molecular complexes may further be divided into
the following types:
1. Polymer-type complexes
2. Caffeine and other drug complexes
3. Picric acid-type complexes
4. Quinhydrone-type complexes
Polymer Complexes
Several types of polymers also form complexes with specific

types of drugs. Carboxymethylcellulose, polyethylene
glycols, polystyrene and many similar polymers containing
nucleophilic oxygen might form complexes with various
drugs. The incompatibilities of certain polyethers, such as the
carbowaxes, pluronics and tweens with tannic acid, salicylic
acid and phenol may also be due to these types of polymer
complexes’ interactions. The incompatibility may be marked
as flocculate, precipitate, delayed biological absorption, and
loss of preservative action or other undesirable physical,
chemical and pharmacological effects. Crosspovidone is a
crosslinked insoluble polyvinyl pyrolidone (PVP). It is able to
bind various drugs such as acetaminophene, benzocain,
benzoic acid, tannic acid and papaverine hydrochloride to
form polymer-type complexes. The interaction is mainly due
to phenolic groups on the drugs and dipolar and porous
organization of crosspovidone. Crosspovidone is used as a
disintegrant in pharmaceutical granules and tablets. It does
not obstruct the gastrointestinal absorption of drug because
the binding of drug is reversible. Another example of polymer
is hexylresorcinol, which shows extremely strong binding, but
the interaction is less than 5% for most drugs. Polymer drug
complexes are mainly employed to modify biopharmaceutical
139
parameters of drugs, e.g. the dissolution rate of ajmaline is
enhanced by complexation with PVP. This interaction is
attributed to the aromatic ring of ajmaline and the amide
group of PVP to yield a dipole–dipole induced polymer type
of complex. Some polymer complexes with compound and/or
drugs are mentioned in Table 4.4.
Table 4.4 Polymer complexes with compound and/or drugs
Agent/drugs Polymers
Polyethylene Resorcinol, catechol, salicylic acid,
glycol p-hydroxybenzoic acid, m-hydroxybenzoic
acid
Povidone Salicylic acid, p-hydroxybenzoic acid,
(polyvinyl m-hydroxybenzoic acid, sodium salicylate,
pyrolidone, phenobarbital
PVP)
Sodium Procaine, quinine, pyribenzamine
carboxymethyl
cellulose
Oxytetracycline N-methyl pyrrolidone, caffeine,
and tetracycline sodium-p-aminobenzoate
Caffeine and Other Drug Complexes
Complexation between drug and complexing agent can

improve or impair drug absorption and bioavailability.
Caffeine has been found to form complexes with many types
of drugs. Higuchi and his associates were the first to
investigate the complexation of caffeine with a number of
140
acidic drugs. They pointed out the interaction between
caffeine and a drug such as sulphonamide
or a barbiturate by a dipole–dipole force or a hydrogen
bonding between the polarized carbonyl groups of caffeine
and the hydrogen atom of the acid. Also a secondary
interaction probably occurs between the nonpolar parts of the
molecules, and the resultant complex is squeezed out of the
aqueous phase due to the higher internal pressure of water.
These two effects lead to a high degree of interaction.
The complexes formed between esters, amines, phenols,
ethers and ketones have been attributed to the hydrogen
bonding between a nucleophilic corbonyloxygen and active
hydrogen. Complexation of esters such as benzocaine,
procaine and tetracaine with caffeine has also been reported
by Higuchi, and he suggested that, in the caffeine molecule,
comparatively a positive centre exists that serves as a possible
site of complexation. Caffeine makes complexes with organic
acids’ anions, which are more soluble than the pure xanthine.
But the complexes of caffeine made with organic acids, such
as gentisic acid, are less soluble than caffeine alone. Such
insoluble complexes provide caffeine in the form that masks
its normally bitter taste and should serve as a suitable state for
chewable tablets. These chewable tablets offer an extended
release of the drug with improved taste.
Picric Acid Complexes
Picric acid is 2,4,6-trinitrophenol and its pKa is 0.38. Picric

acid reacts with strong bases to form salts and with weak
bases to form molecular complexes. Butesin picrate, a yellow
powder most probably is a 2:1 complex, which is insoluble in
water but soluble in organic solvents. The possible use of
141
butesin picrate is as a 1% ointment for burns and painful skin
abrasions. Butesin picrate combines the antiseptic property of
picric acid and the anaesthetic property of butesin. It has been
suggested that the stability of the complexes produced among
carcinogenic agents and picric acid is related to carcinogenic
activity, and any substitution on the carcinogen agent that
hinders picrate complexation also reduces carcinogenicity.
One more example of this category is anthranilic acid–picric
acid complex (2C7H7NO2. C6H3N3O7). In this complex,
picric acid is sandwiched between two crystallographically
independent anthranilic acid molecules, with spacing of 3.29
and 3.33Å. The carboxyl and amino groups of anthranilic acid
are neutral and the former group is hydrogen bonded to the
polar nitro and phenol oxygen atoms of neighbouring picric
acid molecules.
Quinhydron Complexes
Quinhydron complexes are formed by mixing alcoholic

solutions of equimolar quantities of benzoquinone and
hydroquinone and these complexes deposit as green crystals.
The 1:1 complex formed between benzoquinone and
hydroquinone might have resulted from the overlap of the
pi-framework of the electron-deficient quinine molecule with
the pi-framework of the electron-rich hydroquinone molecule.
Highest overlap between the pi-frameworks is anticipated if
the aromatic rings are parallel and are oriented in such a way
as to have their centres directly above one another.
Once an aqueous solution is saturated with quinhydron, the
complex dissociates into equal amount of quinine and
hydroquinone. This is used as an electrode in the
determination of pH. Hydrogen bonding may contribute in
142
stabilizing this complex, but it is not the individual path of
association, because hydroquinone dimethyl ether also forms
a coloured adduct with quinone. A remarkable quinone is
obtained from salicylic acid, which readily oxidizes and
yields blue-black quinhydrone compound (Fig. 4.14).
Fig. 4.14 Quinhydrone of salicylic acid.
Quinhydrone compounds are valuable chemicals, which are

useful as electron—donor—acceptor complexes in liquid
crystal displays, as bactericides in the petroleum industry for
inhibiting the growth of sulphate-reducing bacteria, as
components of sulphuric acid—based pickling solutions for
steel, components in oxidation—reduction electrodes, and as
components in antifriction compositions based on
polyethylene and powdered iron.
Inclusion/Occlusion Compound
Complexes
The group of addition compounds is known as inclusion or
occlusion compounds. These compounds are due to the
architecture of molecules rather than from their chemical
affinity. One of the constituents of the complex is trapped in
the open lattice or cage-like crystal structure of the other to
yield a stable arrangement. The inclusion/occlusion
143
compound complexes may be divided into the following
types:
Layer-Type Complexes
Some compounds such as the clay montmorillonite, the

principal constituent of bentonite, may trap alcohols,
hydrocarbons and glycols between the layers of lattices.
Graphite can also intercalate compounds between its layers.
Channel Lattice-Type Complexes
The cholic acid (bile acids) may form a group of complexes

principally involving deoxycholic acid in combination with
esters, organic acids, paraffins, ketones and aromatic
compounds and with solvents such as alcohol, ether and
dioxane. The crystals of deoxycholic acids are arranged to
form a channel into which the complexing molecule can fit.
Actually, camphor has been partly resolved by complexation
with deoxyhcholic acid and dl-terpineol has been resolved by
the use of digitonin, which occludes certain molecules in a
manner similar to that of deoxycholic acid.
Urea (Figs. 4.15 and 4.16) and thiourea also crystallize in a
channel-like structure permitting enclosure of alcohols,
ketones, unbranched paraffins, organic acids and other
compounds.
144
Fig. 4.15 A channel complex formed with urea molecules as
the host.
Fig. 4.16 The urea molecules are packed in an orderly manner

and held together by hydrogen bonds.
145
The well-known starch—iodine solution is a channel-type
complex consisting of iodine molecules entrapped within
spirals of the glucose residues. Monoestearin, an interfering
component in the assay of dienestrol, could be extracted
easily from dermatologic creams by channel-type inclusion in
urea.
Monomolecular-Type Complexes
Apart from channel- and cage-type compounds, the inclusion

compounds also include monomolecular and macromolecular
inclusion compounds. Monomolecular inclusion compounds
engross the entrapment of a single guest molecule in the
cavity of one host molecule. Monomolecular host
configurations are represented by the cyclodextrins (Fig.
4.17). These cyclic compounds are oligosaccharides having a
minimum of six d-(+)-glucopyranose units attached by α-1,4
linkages produced by the action on starch of Bacillus
macerans amylase. The ability of cyclodextrins to form the
inclusion-type complex in the aqueous solution is attributed to
the typical arrangement of the glucose units. The cyclodextrin
structure forms a torus or doughnut ring. In fact, the molecule
exists as a truncated cone. Cyclodextrins (CDs) have been
studied as solubilizing and stabilizing agents in the
pharmaceutical dosage formulations. They have been used to
entrap, stabilize or solubilize morphine, tetracycline, retinoic
acid, famotidine, tolbutamide, sulphonamides, reserpine,
benzocaine, testosterone, ephedrine, etc.
146
Fig. 4.17 Cyclodextrin.
One example of inclusion compound of cyclodextrin is with

antibiotic mitomycin C. The interior cavity of the
cyclodextrin is comparatively hydrophobic because of the
CH2 groups, whereas the peripheries are hydrophilic because
of the presence of primary and secondary hydroxyl groups.
α-CDs have the smallest cavity, while β-cyclodextrins and
γ-cyclodextrins are the most useful for pharmaceutical
technology due to their larger cavity size. The molecules of
the appropriate size and stereochemistry may be incorporated
in the cyclodextrin cavity by hydrophobic interactions.
Mitomycin C interacts with γ-cyclodextrins at one side of the
torus. Thus, the aziridine ring of the mitomycin C remains
protected from degradation in the acidic medium (Fig. 4.18 a
and b). Complexation does not ordinarily involve the
formation of covalent bonds. One more example of inclusion
complex is indomethacin–cyclodextrin complex. The
p-chlorobenzoyl part of indomethacin enters the
β-cyclodextrin ring, whereas the substituted indol moiety of
indomethacin is too large to enter the cyclodextrin cavity.
147
Fig. 4.18 (A) Representation of cyclodextrin as a truncated
cone. (B) Mitomycin C partly enclosed in cyclodextrin to
form inclusion complex.
CDs may boost or diminish the reactivity of the guest

molecule depending on the nature of the reaction and the
orientation of the molecule inside the cyclodextrin cavity.
Recently, derivatives of the natural crystalline cyclodextrin
are being developed to enhance aqueous solubility and reduce
toxicity. Controlled
partial methylation of some of the OH groups in cyclodextrin
diminishes the intermolecular hydrogen bonding, which
renders OH groups free to interact with water. The free OH
groups increase the aqueous solubility of cyclodextrins.
148
Apart from hydrophilic derivatives, hydrophobic forms of
β-cyclodextrins have also been instituted useful as sustained
release carriers for many drugs. For example, release rate of
diltiazem has been modified by complexation with ethylated
β-cyclodextrins. Another example of sustaining the action of
drug is of isosorbide dinitrate. CDs may also improve
organoleptic characteristics of oral liquid formulations. For
example, bitter taste of femoxetine can be suppressed by
complexation with β-cyclodextrins.
Macromolecular-Type Complexes
Macromolecular inclusion compounds are also called

molecular sieves. They commonly include zeolites, dextrins,
silica gels and related substances. The atoms are arranged in
three dimensions to produce cages and channels. Synthetic
zeolites may be made to a definite pore size so as to separate
molecules of different dimensions. They are also capable of
ion exchange.
Clathrates-Type Complexes
The clathrates form complexes by crystallizing in the form of

a cage-like lattice in which the coordinating compound is
trapped. Chemical bonds are not involved in clathrates-type
complexes and only the molecular size of the encaged
component is of importance. The stability of the clathrates
can be related to the confinement of the prisoner. The stability
of clathrate might be due to the strength of the structure, that
is, the high energy. This high energy must be expended to
decompose the compound, just as prisoner is confined by the
bars that prevent his escape. Warfarin sodium USP is a
149
clathrate of isopropyl alcohol, water and sodium warfarin in
the form of a white crystalline powder. Highly toxic
hydroquinone (quinol) also forms clathrates-type complexes,
which crystallize in a cage-like hydrogen-bonded structure
(Fig. 4.19).
Fig. 4.19 Cage-like structure formed through hydrogen

bonding of hydroquinone molecules.
Analysis Methods for Determination

of Complexes
Quantitative expression of stability constants between the
ligand and metal or donor and acceptor are extremely
important in the study and application of coordination
compounds. Stability constants are widely used in analytical
chemistry, in devising new methods or estimating interfering
150
effects. They must also be considered in such areas as the
kinetics of reaction in solution involving metal complexes,
biological effects of metal ions, etc.
Various methods for the determination of complexation are as
follows:
1. Method of continuous variation
2. pH titration method
3. Distribution method
4. Solubility method
5. Spectrophotometric method
6. Miscellaneous method
Method of Continuous Variation
There are several spectrophotometric methods used to

evaluate the mole ratio and the formation constant (Kform) for
complexes. The slope ratio method can only be used to find
the mole ratio, but both the mole ratio method and the
continuous variation methods can be used to find the mole
ratio and the formation constant.
For the measurement of complexation, additive property such
as spectrophotometric extinction coefficient is used.
Dielectric constant or the square of the refractive index may
also be used for the same. If the property for two species is
sufficiently different and if no interaction occurs when the
components are mixed, then the value of property is the
weighted mean of the values of the separate species in the
mixture. This means that, if the additive property, say
dielectric constant, is plotted against the mole fraction from 0
to 1 for one of the components of a mixture where no
complexation occurs, a linear relationship is observed. If
solutions of two species A and B of equal molar concentration
151
are mixed and a complex forms between the two species, the
value of the additive property will pass through a maximum
(or minimum). For a constant total concentration of A and B,
the complex is at its greatest concentration at a point where
the species A and B are combined in the ratio in which they
occur in the complex (Fig. 4.20).
Fig. 4.20 Additive property against mole fraction. Dotted line:

if no complex had formed; regular line: complexation in 1:1
ratio.
When spectrophotometric absorbance is used as the physical

property, the observed value obtained at various mole
fractions when complexation occurs, is usually subtracted
from the corresponding values that would have been expected
had no complex resulted. This difference D is then plotted
against mole fraction. From such a curve, the molar ratio of
the complex is obtained. By means of a calculation involving
concentration, and the property being measured, the stability
constant of the formation may be determined. Firstly, this
method was restricted to the formation of a single complex.
152
Nowadays this method is being used for the formation of
higher complexes in the solution (Fig. 4.21) (Escander, 1999).
Fig. 4.21 A plot of absorbance difference against mole

fraction showing the result of complexation.
pH Titration Method
Direct pH method is based on the fact that the pH-metric

titration of solutions of a protonated ligand, alone and in the
presence of a metal ion, through the stepwise addition of a
strong base allows evaluation of the constants for the ligand
deprotonation equilibrium and for the proton displacement
equilibrium due to the metal ion competition.
This is one of the most reliable methods and can be used
whenever the complexation is followed by a change in pH.
The chelation of the cupric ion by glycine, for example, may
be represented as:
153
Since two protons are formed in this reaction. The addition of
glycine to a solution containing cupric ions should result in a
decrease in pH. Titration curves can be obtained by adding a
strong base to a solution of glycine and to another solution
containing glycine and a copper salt, and plotting the pH
against the equivalents of base added. The curve (Fig. 4.22)
for the metal–glycine mixture is well below that for the
glycine alone, and the decrease in pH shows that
complexation is occurring throughout most of the
neutralization range.
Fig. 4.22 Titration of glycine and glycine copper complex.
The quantitative estimation of stability constants for the

complex, i.e. copper ion or metal M and glycine or the ligand
A may be describe as:
154
And the overall reaction is M + 2A = MA2; β = K1K2 =
[MA2]/[M] [A]2.
Where K1 and K2 are the formation constant, the equilibrium
constant β for the overall reaction is known as the stability
constant. The quantity n can be defined as the number of
ligand molecules bound to the number of metal ion. The
average number of ligand groups bound per metal ion present
is therefore designated as and is written as
Similar results can be obtained with other zwitterions and

weak acids (or bases), such as N,N′-diacetylethylenediamine
diacetic acid, which has been studied for its complexing
action with copper and calcium ions. This method can be used
to study tendency of pyrrolidone 5-hydroxamic acid to bind
the ferric ion to form mono, bis and tri chelates. Stability
constant for lithium catecholamine complexes can be studied
by potentiometer titration of free lithium ion. The lithium
forms complexes with the zwitterionic species of
catecholamines at pH 9–10 and with deprotonated forms at
pH values above 10. The interaction with lithium depends on
the dissociation of the phenolic oxygen of catecholamines. At
physiological pH, the protonated species show no significant
complexation. Some lithium salts such as lithium carbonate,
lithium chloride and lithium citrate are used in psychiatry.
Distribution Method
The method of distributing a solute between two immiscible

solutes can be used to determine the stability constant for
155
certain complexes. The complexation of iodine by potassium
iodine may be used as an example to illustrate the method.
The equilibrium reaction in its simplest form is I2 + I– = I3–.
Addition steps also occur in polyiodine formation (Dawsom,
1901); for example, may occur at higher
concentrations. Distribution coefficient of iodine when
distributed between water (w) and carbon sulphide as the
organic phase (o) is found to be 625. When it is distributed
between a 0.1250 M solution of potassium iodide and carbon
disulphide, the concentration of iodine is found to be 0.1896
mole/litre in organic phase and 0.02832 moles/litre in
aqueous phase. In short, total concentration of KI (free and
complex) = 0.1250 mole/litre.
Total concentration of I2 in aqueous phase = 0.02832 mole/
litre.
Total concentration of I2 in organic phase (free and complex)
= 0.1896 mole/litre.
Distribution coefficient, K(o/w) = [I2]o/[I2]w = 625.
Higuchi et al. (1953) also investigated complexation of
caffeine, PVP and PEG on number of acidic drugs using the
same method, that is, distribution method. Zunk reported in
1953 the stability constant of benzoic acid with caffeine at
temperature 0°C, and it was found to be 37.5.
Solubility Method
According to the solubility method, excess quantities of the

drug are placed in well-stoppered containers, together with a
solution of the complexing agent in various concentrations,
and the bottles are agitated in a constant-temperature bath
until equilibrium is attained. Aliquot portions of the
supernatant liquid are removed and analyzed. The method can
156
be employed to investigate the complexation of
p-aminobenzoic acid (PABA) by caffeine. Higuchi and Lach
(1954) used the solubility method of investigating the
complexation of p-aminobenzoic acid by caffeine. The results
are shown in Fig. 4.23 and explained by the curve, as follows.
Fig. 4.23 The solubility of p-aminobenzoic acid in presence

of caffeine.
The point A at which the line crosses the vertical axis is the
solubility of the drug in water. With the addition of caffeine,
the solubility of PABA rises linearly because of
complexation. At point B, the solution is saturated with
respect to the complex and to the drug itself. The complex
continues to form and
to precipitate from the saturated system as more caffeine is
added. At point C, all of the excess solid PABA has passed
into solution and has been converted to the complex.
Although the solid drug is exhausted and the solution is no
longer saturated, some of the PABA remains uncomplexed in
157
solution, and it combines further with caffeine to form higher
complexes such as PABA-2 caffeine as shown in the curve at
the right of the diagram. For obtaining the stoichiometric ratio
of the complex, following calculations are made. The
concentration of caffeine, corresponding to the plateau BC,
equals the concentration of caffeine entering the complex
over this range, and it is equal to 1.8 × 10–2 mole/litre. The
concentration of PABA entering the complex is obtained from
the undissolved solid remaining at point B. It is obtained from
subtracting the acid in solution at the saturation point B from
the total acid initially added to the mixture since this is the
amount yet undissolved that can form the complex. Amount
of PABA is equal to 7.3 × 10–2 – 5.5 × 10–2 mole/litre or 1.8
× 10–2 mole/litre. And the stoichiometric ratio = caffeine in
complex/PABA in complex.
That is, 1.8 × 10–2/1.8 × 10–2 = 1
Complex formation can be written as
and stability constant for 1:1 complex can be written as
Value of stability constant can be determined as follows. The

concentration of complex [PABA–caffeine] is equal to the
total acid concentration at saturation less the solubility
[PABA] of the acid in water. The concentration of [caffeine]
in the solubility at equilibrium is equal to the caffeine added
to the system less the concentration that has been converted to
the complex. The total acid concentration at saturation is 4.58
× 10–2 mole/litre when no caffeine is added. And it is 5.312 ×
10–2 mole/litre, when 1.00 × 10–2 mole/litre of caffeine is
added.
158
Further, Higuchi et al. (1965) studied on various
drug–caffeine complexes and stability constants of some
caffeine complexes in water at 30°C, as shown below:
Compound Stability constant (approximately)
Sulphadiazine 07
Picric acid 08
Sulphathiazole 11
Acetyl salicylic acid 15
Balicylic acid 40
Benzoic acid 18
Benzocaine 59
Spectroscopy and Charge-Transfer Complexation
Absorption spectroscopy in the visible and ultraviolet regions

of the spectrum is commonly used to investigate electron
donor—acceptor or charger-transfer complexation. When
iodine is analyzed in a noncomplexing solvent such as CCl4, a
curve is obtained with a single peak at about 520nm. The
solution is violet in colour. A solution of iodine in benzene
exhibits a maximum shift to 475nm, and a new peak of
considerably higher intensity for the charge-shifted band
appears at 300nm. A solution of iodine in diethyl ether shows
a still greater shift to lower wavelength and the appearance of
a new maximum. These solutions are red to brown in colour.
159
In benzene and ether, iodine is the electron acceptor and the
organic solvent is the donor; in CCl4, no complex is formed.
The shift towards the ultraviolet becomes greater as the
electron donor solvent becomes a stronger electron-releasing
agent. These spectra arise from the transfer of an electron
from the donor to the acceptor in close contact in the excited
state of the complex. The more easily a donor such as
benzene or diethyl ether releases its electron, as measured by
its ionization potential, the stronger it is as a donor. Ionization
potentials of a series of donors produce a straight line when
plotted against the frequency maximum or charge-transfer
energies for solutions of iodine in donor solvents.
Miscellaneous Methods
A number of other methods are available for studying the

complexation of metal and organic molecular complexes.
They include NMR, and infrared spectroscopy, polarography,
circular dichroism, kinetics, X-ray diffraction and electron
diffraction.
Complexation of caffeine with l-tryptophan in aqueous
solution can be investigated using 1H NMR spectroscopy.
Caffeine interacts with l-tryptophan at a molar ratio of 1:1 by
parallel stacking. Complexation is a result of polarization and
π–π interaction of aromatic rings. This study demonstrates
that, tryptophan, which is presumed to be the binding site in
serum albumin for certain drugs, can interact with caffeine
even as free amino acid. However, caffeine does not interact
with other aromatic amino acids such as l-valine or l-leucine.
Circular dichroism can be used to study the coil-helix
transition of polyadenylic acid induced by the binding of the
catecholamines, norepinephrine and isoproterenol. Most
160
mRNA molecules contain regions of polyadenylic acid, which
are thought to increase the stability of mRNA and to favour
genetic code translation. The change of the circular dichroism
spectrum of polyadenylic acid was interpreted as being due to
intercalative binding of catecholamines between the stacked
adenine bases.
Infrared spectroscopy can be used to investigate the
hydrogen-bonded complexes involving polyfunctional bases
such as proton donors. This is a very precise technique to
determine the
thermodynamic parameters involved in the hydrogen bond
formation and to characterize the interaction sites when the
molecule has several groups available to form hydrogen
bonds (Kalinkova, 1999 a, b & Marino, 2000). Caffeine forms
hydrogen-bonded complexes with various proton donors, e.g.
phenol, phenol derivatives, aliphatic alcohols and water. From
the infrared technique, the preferred hydrogen-bonding sites
are the carbonyl functions of the caffeine. Seventy percent of
the complexes are formed at the C=O(6) group and 30% of
the complexes at the C=O(2) function of caffeine.
Protein Binding
Binding to plasma proteins is both a help and a hindrance to
the distribution of drugs through the body. Transport in the
bloodstream by binding to albumin helps the drugs to reach
regions remote from the site of administration. Because
bound drug cannot readily leave the capillaries, however, the
rate of distribution of drug into the tissues will be controlled
by the concentration gradient produced by the concentration
of unbound unionized drug. Usually, it is the unbound drug
concentration that is considered to be pharmacologically and
161
toxicologically active. The fraction of unbound drug can also
influence the rate of drug elimination. In this manner, binding
affects both the duration and the intensity of drug action. The
binding and transport of endogenous and exogenous
substances is one of several important functions of the plasma
proteins (Fig. 4.24). The endogenous substances include
bilirubin, fatty acids, l-tryptophan, vitamins and many
hormones. Most drugs also bind to one or other of the plasma
proteins, at least to some extent. Drugs may bind to various
macromolecular components in the blood, including albumin,
acid glycoprotein, lipoproteins, immunoglobulins (IgGs) and
erythrocytes (RBCs).
Fig. 4.24 Some important functions of the plasma proteins.
Albumin is quantitatively the major binding protein for acidic

and neutral drugs. Bases are bound to a lesser extent by
albumin, and there is growing evidence that globulins are the
major binding proteins for basic drugs. Albumin has
high-affinity binding sites, which are probably specific for
bilirubin and the fatty acids, but the high-affinity sites for
162
various hormones are located among the globulins. There is
no precise definition of a ‘highly’ bound drug, but only when
the percentage of a drug bound exceeds about 70% is binding
likely to exert much influence on the distribution and
pharmacokinetics of a drug. In the case of highly bound
drugs, for instance, warfarin, carbenoxolone or
phenylbutazone, the unbound fraction may be considerably
less than 1% of the total plasma drug concentration. The
interaction of most drugs with the plasma proteins is a
dynamic, reversible process with dissociation of bound drug
molecules from the drug–protein complex occurring very
rapidly, probably within milliseconds or less. The rate of
dissociation of drug molecules from plasma proteins is
therefore not a limiting factor in the uptake of drug from the
bloodstream by major organs, whose perfusion time may be
several seconds or more.
Another plasma protein, α1-acid glycoprotein, has also shown
to bind numerous drugs like propanolol, imipramine,
lidocaine and globulin. This protein has shown greater
affinity for basic drugs as compared to acidic drugs. Acidic
drugs may also bind to lipoproteins if the albumin is
saturated. Lipoprotein binding is not binding in the strict
sense of the term; it is closer to dissolving and is common in
lipid-soluble drugs. A drug that binds to tissue often binds to
melanin-rich tissue or DNA. Globulins may be responsible
for the plasma transport of certain endogenous substances
such as corticosteroids. These globulins have a low capacity
but high affinity for the binding of these endogenous
substances.
Lipoproteins are macromolecular complexes of lipids and
proteins and are classified according to their density and
separation in the ultracentrifuge. The terms VLDL, LDL and
HDL are abbreviations for very-low-density, low-density and
163
high-density lipoproteins, respectively. Lipoproteins are
responsible for the transport of plasma lipids to the liver and
may be responsible for the binding of drugs if the albumin
sites become saturated.
Erythrocytes, or red blood cells (RBCs), may bind both
endogenous and exogenous compounds. RBCs consist of
about 45% of the volume blood. Phenytoin, pentobarbital and
amobarbital are known to have an RBC/plasma water ratio of
4:2, indicating preferential binding of drug to the erythrocytes
over plasma water. Penetration into RBC is dependent on the
free concentration of the drug. In the case of phenytoin, RBC
drug level increases linearly with an increase in the
plasma-free drug concentration. Increased, drug binding to
plasma albumin reduces RBC drug concentration. With most
drugs, however, binding of drug to RBC generally does not
significantly affect the volume of distribution, because the
drug is often bound to albumin in the plasma water. Even
though phenytoin has a great affinity for RBC, only about
25% of the blood drug concentration is present in the blood
cells and 75% in the plasma because the drug is also strongly
bound to albumin. For drugs with strong erythrocyte binding,
the haematocrit will influence the total amount of drug in the
blood. For these drugs, the total whole-blood drug
concentration should be measured.
The interaction of drugs with proteins present in the body can
influence their action in a number of ways. Proteins may (1)
enhance the distribution of drugs throughout the body, (2)
inactivate the drug by not allowing a sufficient concentration
of drug to accumulate or reach at the receptor site or (3) retard
the excretion of drug. The interaction of the drug with
proteins may cause (1) the displacement of body hormone or
a coadministered agent (2) a configurational change in the
protein, the structurally altered form of which is capable of
164
binding a coadministered agent, or (3) the formation of
drug–protein complex that itself is biologically active. A drug
that extensively binds to plasma proteins is warfarin.
Administration of another drug that has higher affinity for
plasma proteins (e.g. several NSAIDs) will displace warfarin
from its binding sites and cause serious haemorrhage to the
patient.
Protein binding is usually reversible and thus creates a
chemical equilibrium, in which the chemical reaction can go
backwards and forwards, with no net change in reactants and
products. This means that a cell that is effective at extracting
the unbound drug may extract more of the drug as it
disassociates in the course of achieving equilibrium. The
equation for reversible protein binding is:
The amount of protein binding and the fraction unbound,

written as the concentration of unbound drug over the total
concentration of the drug, depends on several factors. It is
determined by the drug’s affinity for the protein, the
concentration of the binding protein and the concentration of
the drug relative to the binding protein. This is important
when considering other medications that a patient might be on
because certain proteins may already be saturated, which
would affect the amount of free drug and possibly change the
desired pharmacological effects.
For example, if drug A saturated a certain binding protein and
then drug B was not able to bind to that protein, there would
be a higher concentration of unbound drug B. Drug B could
also competitively displace drug A from the binding protein,
165
thus raising the unbound fraction of drug A. This process
happens fairly quickly, in minutes to hours, and both
scenarios could have adverse effects. Many drugs, however,
have different binding proteins or different binding sites on a
protein, or they are not present in high enough relative
concentration to saturate the proteins, and so, do not compete
with the other drug or drugs in use. Likewise, the ability of
the body to extract the drug can affect the drug’s clearance
into the body. Renal failure and liver disease often negatively
impact the body’s ability to extract the unbound drug. For
these reasons, it is important to consider previous medical
issues, the total concentration of the drug, the unbound
fraction of the drug and any other medications a patient might
be taking.
Mathematical analysis of protein binding – Binding equilibria
The interaction between a group or free receptor R in a
protein and a drug molecule D is written as:
(1)
The equilibrium constant, disregarding the difference between

activities and concentrations, is:
(2)
Or
(3)
166
where K is the association constant, [R] is concentration of
protein in terms of free binding sites or receptor, [Dm] is the
concentration of free drug complex, usually given in moles. K
may vary with temperature and might be better represented as
KT. Bound drug may be written as [RD] and is sometimes
written as [Db] and [D]; the free drug is written as [Dm].
If the total protein concentration is designated as [Rt], we can
write
(4)
Or
Substituting the expression for [P] from Eq. 4 into Eq. 3
gives:
(5)
(6)
(7)
Let p is the number of moles of drug bound [RD] per moles of

total protein [Rt]; then,
p = [RD]/[Rt] or
167
(8)
The ratio p can also be expressed in other dimensions, such as

milligrams of drug bound per gram of protein. Equation is a
form of Langmuir adsorption isotherm and quite useful for
expressing protein-binding data. Expression of the equation
can be converted to a linear form, convenient for plotting, by
inverting it:
(9)
If v independent binding sites are available, the expression for

p in Eq. 8 is simply v times that for a single site or
(10)
The Eq. 9 becomes
(11)
An alternative manner of writing Eq. 10 is to rearrange it first

to:
(12)
168
(13)
Data presented according to Eq. 13 are known as Scatchard

plot. The binding of bishydroxycoumarin to human serum
albumin is shown as a Scatchard plot in Fig. 4.25.
Fig. 4.25 Scatchard plot showing the binding of bishydroxy

coumarine in serum albumin at 20°C.
A number of techniques are being used to determine the

amount of drug bound to a protein. Equilibrium dialysis,
ultrafiltration and electrophoresis are the classic techniques
used. Recently, other methods like gel filtration and nuclear
magnetic resonance have been used with satisfactory results.
According to
equilibrium dialysis method, the serum albumin is placed in a
cellulose membrane tube or similar dialyzing membrane. The
tubes are tied securely and suspended in vessels containing
the drug in various concentrations. Ionic strength and
occasionally hydrogen ion concentration are adjusted to
169
definite values. Control and blank samples are run to account
for the adsorption of the drug and the protein on the
membrane. If binding occurs, the drug concentration in the
sac containing the protein is greater at equilibrium than the
concentration of drug in the vessel outside the sac. Samples
are removed and concentration of free and complexed drug
obtained is analyzed. This is the oldest method for protein
binding determination and continues to be the most accepted
method. Some potential errors of this method are the possible
binding of the drug to the membrane, transfer of the
substantial amount of drug from plasma to the buffer side of
the membrane and shifting of osmotic volume of the fluid to
the plasma side.
Ultrafiltration methods are perhaps more convenient for the
routine determination because they are relatively less time
consuming. The ultrafiltration method is analogous to
equilibrium dialysis method in that protein macromolecules
such as serum albumin are separated from small drug
molecules. Hydraulic pressure or centrifugation is employed
in ultrafiltration to force the solvent and the small molecules
of the unbound drug through the membrane while avoiding
the passage of drug bound to the protein. This ultrafiltrate is
then analyzed by spectrophotometry or other suitable
techniques to determine the concentration of bound drug.
One more important method for quantification of protein
binding is dynamic dialysis. This method has originated
support in the recent years because it is relatively rapid,
economical in terms of the amount of protein required and
readily applied to the study of competitive inhibition of
protein binding. Dynamic dialysis method is based on the rate
of disappearance of drug from a dialysis cell, which is
proportional to the concentration of unbound drug.
170
Applications of Complexation
Complexation means binding of the metal ion or organic
molecules or any active molecules with ligands. By this way
binding can affect the action of the agents or compounds
either in terms of their solubility, stability or, maybe, their
biological actions, etc. Some of the pharmaceutical and other
applications of the complexation are mentioned below.
Complexation is used in the qualitative and quantitative
estimation of the metals like silver, copper, mercury,
aluminium, cobalt, etc. EDTA is used as a complexing agent
in volumetric analysis of metals like calcium, magnesium,
zinc, etc. Complex compounds of the transition metals exhibit
variety of colours. This property is used in colorimetric
estimation of drugs. Other analytical applications of
coordination compounds include indication of
oxidation–reduction, estimation of hardness of water,
sequestration of agent and extraction of solvent.
Complexation has also played an important role in the field of
metallurgical operations, e.g. silver and gold extracted by the
use of complex formation with sodium cyanide solution.
Nickel is extracted by converting it into a volatile complex
nickel carbonyl by the use of carbon monoxide. The complex
decomposed on heating again into nickel and carbon
monoxide.
Complexation is also utilized in electroplating of metal.
Cyano complexes of silver, gold, copper, etc., are used for
electrodeposition of these metals.
Coordination compounds play many important roles in animal
and plant life. They are essential in storage and transport of
oxygen, as electron transfer agents, as catalysts and in
photosynthesis. Haemoglobin is a protein present in the blood
171
and is a complex of iron with porphyrin, which is known as
haeme. It carries oxygen in the blood, from the lungs to the
tissues where it delivers the oxygen molecules to myoglobin.
Cytochrome is another example of the same. They act as
electron carriers, which also play essential part in metabolic
processes. In case of chlorophyll molecules, which also play a
role in photosynthesis also contains the porphyrin ring but the
metal ion there is magnesium ion rather than iron ion as in
haemoglobin. Vitamin B12 is an example of complex of
cobalt with a quandridentate ligand, and it is active when
cobalt is present in +1 oxidation stage. Vitamin B12 is an
essential growth factor for many microorganisms.
Organometallic compounds also have various applications, as
follows: tetraethyl lead is used as antiknock compound in
gasoline; silicons are used as polymers of unique properties;
organoalkali and Grignard reagents are used in many organic
synthetic reactions, etc. These compounds are also used as
homogenous and heterogenous catalysts. Wilkinson’s catalyst
[Rh(P.Ph3)3Cl] is a homogenous catalyst and used in
hydrogenation of alkenes, whereas Zeigler–Natta acts as a
heterogenous complex and is used in polymerization of
ethylene into polyethylene.
Cyclodextrin (CD) formulations are used to improve the oral
bioavailability of the drugs when solubility and the rate of
dissolution limit the availability of the drug for absorption.
For example, the drug cefotiam hexetil hydrochloride forms a
gel under the acidic conditions of gastric contents and shows
poor dissolution, while α-CD complexation improves the
dissolution and solubilization of the drug.
Complexation has been used to mask the unpleasant bitter
taste of a number of drugs such as oxyphenonium bromide,
propantheline bromide clofibrate and acetaminophen.
172
CD is also used as a stabilizing agent in pharmaceutical
formulations. They protect drugs from hydrolysis, hydrolytic
dehalogenation, oxidation, decarbozylation and isomerization,
both in solution and the solid state. Inclusion complexes have
also been prepared with a number of volatile substances
including spices flavours, essential oils and several drugs. CD
complexation has been shown to reduce volatility and
improve the stability of many compounds. Examples include
lemon oil and other flavouring agents, clofibrate isosorbide
5-mononitrate and nitroglycerine. In medical field, the
complex of the calcium with EDTA is used for the treatment
of lead poisoning. Lead readily replaces calcium in the
complex, and lead–EDTA is finally eliminated from the body
in urine. It is also used for the elimination of Cd, Co, Hg, U,
It and Ce. Dimercaprol (BAL) is used for the treatment of
battle poisoning along with the luisit (ClHC=CHAsCl2). The
action of luisit is based on the binding with –SH groups.
Salicylic acid is used in beryllium poisoning.
Ferric complex of oxine is used as antibacterial and antifungal
agents. Oxine facilitates the penetration of iron into the
membrane of bacterial cells. p-Aminosalicylic acid–copper
complex showed much greater antitubercular activity than the
cupric complex.
Penicillamine is used in the treatment of chronic copper
accumulation (Wilson’s disease) and lead poisoning. It is also
used in treatment of rheumatoid arthritis.
Platinum complexes, such as the square planer
cis-dichlorodiammineplatinum (II), form a class of antitumor
agents and have a large application in the treatment of cancer
of the ovaries and testicles.
Diuretic drug preparations have promoted urine formation.
They are derivatives of mercury propanol RCH2CH(OH)
CH2HgX, where R is a polar hydrophilic group. The mercury
173
diuretic preparations act as fermenter inhibiter. These
properties lead to the use of bacterial infections. In these
cases, they interact with –SH groups of the bacterial proteins.
Many drug preparations can interact with metal ions. In some
cases, the therapeutic activity of a drug compound can be
inhibited through a chelated metal ion. For example,
tetraethylethiouram disulphide is used in the treatment of
chronic alcoholism, which inhibits aldehyde oxidase and
interrupts the ethanol metabolism at the stage of formation of
the acetaldehyse. The latter leads to an unpleasant feeling. It
makes the alcohol nontransportable in its later use. Lithium
itself is used in the treatment of bipolar disorder, i.e. manic
depression. Thiomalate has also been used very successfully
to treat severe cases of rheumatoid arthritis. Drugs obtained
by using biotechnology have an important role in the
pharmaceutical industry. These new products include
peptides, proteins and antibodies and are used as therapeutics
or diagnostics. Drugs such as interferons, interleukins, growth
factors and plasminogen activators are also being used as
diagnostics. They are very sensitive to many diseases, such as
hepatitis, herpes and AIDS.
References
Andrews LJ, Keefer RM. Molecular complexes in organic

chemistry. San Francisco: Holden Day.; 1964.
Dawsom HM. J. chem. Soc. 1901;238:1072.
Escander GM. Analyst. 1999;124:587.
Higuchi T, Lach JL. J. Am. Pharm. Assoc. 1954;43:525.
Higuchi T, Lach JL. J. Am. Pharm. Assoc. 1954;43:527.
Higuchi T, Lachman L. J. Am. Pharm. Assoc. 1955;44:521.
Higuchi T, Zuck AA. J. Am. Pharm. Assoc. 1953;42:132.
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Kalinkova GN. Int. J. Pharm. 1999;187:1.
Kalinkova GN. Vibrational Spectroscopy. 1999;3:1.
Marino C, Junquera E, Aicart E. Langmuir. 2000;16:1557.
Martell AE, Calvin M. Chemistry of Metal Chelates
Compounds. New York: Prentice-Hall; 1952.
Martin A, Swarbrick J, Cammarata A. Physical Pharmacy.
Philadelphia. Lea & Febiger; 1991.
175
Chapter 5
Interfacial Phenomena
Intermolecular Forces
All atoms and molecules attract one another due to van der
Waals forces which arise because of an uneven distribution of
electrons around an atom or a group of atoms so that the
positive and negative centres do not coincide. The result is the
production of a dipole whose behaviour can accurately be
described only by recourse to quantum mechanics. The van
der Waals forces may be classified into three types:
1. Keesom attraction between polar groups, that is between
permanent dipoles. This results from the preponderance of
attractive over repulsive orientations since, during rapid
thermal motion, dipoles are closer when under attractive
orientation.
2. Debye attraction between a permanent dipole and the
dipole which it induces in another group.
3. London attraction between individual atoms whereby even
nonpolar molecules attract each other. Although such atoms
or molecules do not possess a dipole moment, they do possess
a dipole which is rapidly fluctuating due to the motion of the
electrons and whose frequency is about 1015 to 1016 s−1.
Since the time average of the electron distribution is
symmetrical, the effect of these transitory dipoles would be
self-cancelling were it not for the fact that they induce an
in-phase relationship with neighbouring transitory dipoles. It
is this effect which enables even the inert gases to liquefy and
176
is responsible for the refractive dispersion of light. Because of
the latter phenomenon, the London force is frequently
referred to as the dispersion force.
All three components therefore have an electromagnetic
origin which gives rise to a potential energy field U around
the atoms. Because the attraction (negative by convention)
potential varies inversely as the sixth power of the distance r
between the interacting atoms or groups, the attractive force
varies inversely as the seventh power since the force F is the
gradient (Fig. 5.1)
Fig. 5.1 Potential energy curve for a pair of hydrogen

molecules
At close distances of approach, interpenetration of the

electron clouds produces a very large repulsive energy (Born
repulsion) which varies approximately with r−12. The
potential energy function may therefore be written
(Lennard–Jones 6–12 potential)
177
where A and B depend on the nature of the molecules.
Because the force of attraction varies with r−7, the influence
is felt over only a fraction of a nanometre. The van der Waals
forces are therefore short-ranged.
The relative contributions of the three components are listed
for a few simple molecules in Table 5.1. Generally, the
London component predominates but the Keesom component
is excessive with highly polar molecules such as water. In
such cases the Keesom force is particularly strong because the
hydrogen atom shares only two electrons in the molecule so
that it can approach very close to the electronegative atom of
a neighbouring molecule thereby forming a hydrogen bond.
The close approach of the hydrogen proton allows it to pull
closer to itself the electron cloud around the electronegative
atom of the other molecule. The resulting hydrogen bond
strength will depend on the electronegative atoms (generally
oxygen, nitrogen or fluorine) on either side of the hydrogen
proton and upon
the inductive effect of other groups. Its magnitude is usually
between 10 and 30 kJ.mol−1 and is therefore appreciable
although still only a fraction of the strength of covalent bonds
which are mostly 200–800 kJ.mol−1
Table 5.1 Relative magnitudes of intermolecular interactions
178
Hydrogen bonding produces molecular association which, in
the case of hydrogen fluoride and formic acid, is strong
enough to persist even in the vapour state if the temperature is
not too high. Water would boil at about 203K were it not for
its association into aggregates of higher molecular weight.
Since each oxygen atom of water has two lone pairs of
electrons, it can form two hydrogen bonds in addition to its
two covalent bonds. These four bonds are disposed around the
oxygen atom towards the corners of a tetrahedron and enable
the production of polymeric clusters of water molecules
which continually break and reform under thermal agitation
with a lifetime of about 10-11 s. This structuring of water
confers upon it various anomalous properties such as a high
surface tension and dielectric constant and the abnormal
effect of temperature and pressure upon its density and
viscosity.
Besides producing intermolecular association, the hydrogen
bond can form intramolecular bridges. Thus o-nitrophenol
forms a bond between the nitro–oxygen and phenol–hydrogen
atoms and consequently it remains unassociated and boils at
214K. Because the hydrogen bond is internal the compound is
only sparingly soluble in cold water but volatile in steam. The
179
groups of p-nitrophenol, on the other hand, are not close
enough to form a hydrogen bond. This compound therefore
self associates and boils at the higher temperature of 295K.
Since it can form hydrogen bonds with water it is moderately
soluble in cold water but it is only slightly volatile in steam.
Internal hydrogen bonds play a major role in maintaining the
specific configuration of many proteins and their rupture by
chemical or thermal means leads to denaturation.
The van der Waals forces are directly involved in the
existence of liquid and solid states whereby molecules are
held close together and occupy some specific volume
depending upon the prevalent temperature and pressure.
Because of this a boundary must exist between a condensed
phase and a gas or between two condensed phases. Generally
speaking, a boundary with a gas is known as a surface, other
boundaries being referred to as interfaces. There is however
no strict terminology and any boundary may be referred to
either as a surface or as an interface.
Liquid–Gas and Liquid–Liquid

Interfaces
Surface Tension and Surface Energy
A brief consideration of the kinetic energy of molecules will

lead one to realize that the surface of a liquid is in a state of
violent agitation with molecules leaving and entering from
both the bulk liquid and vapour phases. Calculations show
that, for water at any rate, the average residence time of a
molecule in the surface is of the order of microseconds.
Notwithstanding this, strong cohesion between the molecules
180
causes the position of the surface to be definable to within a
few molecular thicknesses (Davies & Rideal, 1961).
Molecules within the bulk of a liquid are subjected to
attractive forces equally in all directions whereas those at tile
surface have very little attraction from the vapour and so
experience a net pull into the liquid. Molecules very near the
surface also experience a small net inward attraction and so
the surface should be considered more as a region about two
or three molecules thick rather than a monomolecular layer.
The imbalance of forces results in some molecules being
withdrawn into the bulk, thereby slightly increasing the
intermolecular distance within the surface giving the latter the
character of a stretched elastic membrane, that is the surface
is under tension. Such a surface will therefore tend to contract
spontaneously and cause droplets or air bubbles to assume a
spherical shape.
The surface tension γ is defined as the force, in mN, acting
within the surface in a direction normal to any line of length
1m. A force of γ mN.m−1 must therefore be applied
tangentially to part that surface.
If the surface area of a given volume of liquid is increased
isothermally, work must be done to bring molecules into the
surface against the inward pull of the bulk liquid. The work
required to expand the surface by 1m2 is γ mJ and therefore
the excess free surface energy of a liquid is γ mJ.m−2, which
is numerically equal to the surface tension. At constant
pressure, the free surface energy per m2 is the excess Gibbs
free energy Gs, where the subscript denotes the extra energy
of the molecules by virtue of being in the surface. Thus γ =
Gs. Although both the surface tension and the excess free
surface energy are numerically equal and have the same
dimensional units of MLT−2, they are not identical in a
181
qualitative sense since the tension may be considered as the
result of the excess energy.
Because surface molecules are not attracted away from the
bulk as strongly as they are into it, there is a residual potential
attraction energy which constitutes the surface enthalpy Hs
mJ.m−2. The molecules in the region of the surface, however,
have a greater freedom of movement and so there is an excess
entropy in the surface of Ss mJ.m−2.deg−1. Thus if the surface
were destroyed, not all of the surface enthalpy would be free
to do work and therefore:
Gs is therefore a measure of the thermodynamic instability of

the surface and is that part of the surface enthalpy which is
capable of doing mechanical work. At very high viscosities,
however, the relationship between surface free energy and
surface tension no longer holds.
Relationship of Surface Tension and Temperature
The surface tension of almost all liquids decreases with a rise

in temperature, an almost linear relationship being found. It
follows that the surface tension must vanish at some finite
temperature this being the critical temperature Tc above
which the cohesive forces are no longer capable of
maintaining the integrity of a distinct vapour phase. Since
surface tension is a function of the
distance between the molecules it is dependent upon the
liquid density and Eotvos (1886) suggested the relationship:
182
where M is the molecular weight ρ is the liquid density and
K1 is a constant. van der Waals (1894) proposed a power law
of the type:
where B is a constant for a given liquid. B was given a value

of 1.5, but this has been shown to vary for different liquids, a
value of 1.2 being appropriate for some.
The linear extrapolation of γ(M/ρ)2/3 versus T, however, does
not cut the T axis for zero γ at Tc but at a lower temperature
(Tc − d) where d is about 6°C. The Eotvos equation was
therefore modified by Ramsey and Shields (1893) as:
This correction was shown by Katayama (1916) to be

unnecessary if the influence of the vapour upon the surface
tension of a liquid is taken into account so that:
where ρl, and ρg are the orthobaric densities of the liquid and
vapour, respectively. The constant K4 has a value of about
210 nJ.deg−1 unless there is strong association between
molecules when a lower value is found that varies widely
183
between different liquids. Water, for example, gives a value
of about 89 nJ.deg−1 at room temperature.
By combining the equations of van der Waals and Katayama
and giving B a value of 1.2, Ferguson (1923) deduced that:
where C is a constant for a given liquid. Such an equation was

also found by Macleod who confirmed the constancy of C
experimentally. If both sides of this last equation are
multiplied by the molecular weight and ρg is neglected as
being small compared with ρp, the following expression is
obtained, which is independent of temperature:
where [P] is known as the parachor (Sugden, 1924b). The

parachor may be regarded as the molar volume when the
surface tension is unity and affords a useful means of
comparing the molar volumes of different liquids since the
comparison is made under conditions where the molecular
attractions are approximately equal. An important property of
the parachor is its additivity since it has been found to be
composed of sets of constants which relate both to the atoms
composing the molecule and to the way in which the atoms
are bonded together. Its importance in elucidating molecular
structure has now, however, been completely superseded by
other techniques.
184
Effect of Surface Curvature
The tension forces in a planar surface are balanced within the

plane of the surface. Any curvature to the surface produces a
resultant normal force which becomes balanced by a pressure
change ΔP within the liquid such that
This is the Young–Laplace equation where r1 and r2 are the

principal radii of curvature.
Curvature of a liquid surface influences the vapour pressure
since it alters the distribution of the attractive forces around
the molecules in the surface. A difference in chemical
potential can readily be shown to exist between liquid drops
of different size since there is a decrease in free surface
energy upon mass transfer from a smaller to a larger drop via
the vapour phase. Assuming ideal behaviour, the vapour
pressure Pr of a spherical drop of radius r compared with that
(P) over a plane surface is given by the Kelvin equation:
ρ being the liquid density and M the molecular weight of the

vapour Values calculated for water are given in Table 5.2.
Table 5.2 Calculated effect of drop size on vapour pressure

of water at 293 K
185
Radius of drop (nm)
1000 1.001
100 1.010
10 1.110
1 2.940
It will be noted that the vapour pressure is affected
appreciably only at high surface curvature, that is with very
small drops. This however is sufficient to render vapour
condensation in a dust free atmosphere very difficult unless
the atmosphere is highly supersaturated, any condensate
nuclei tending to evaporate rather than to grow.
Derivation of the Kelvin equation assumes that the surface
tension remains independent of surface curvature. It is to be
expected that high curvature, measurable in terms of
molecular
dimensions, would diminish the surface attraction of
molecules thereby resulting in a decrease in the tension. This
decrease however is probably small even with droplets
consisting of only a few molecules.
Interfacial Tension
When a two component system separates into two liquid

phases an interfacial region will exist in which the molecules
are subjected to unbalanced forces. This leads to an interfacial
tension in just the same way as surface tensions are produced.
Incomplete miscibility of the two components arises because
of a difference in the attraction forces between the two kinds
of molecules and it is this difference which results in the
imbalance of attraction forces across the interface.
186
All spontaneous processes result in a decrease in free energy.
It has already been noted that the integrity of the condensed
state is due to the van der Waals forces and that these arise
due to the loss of energy as molecules come together. Further,
it was seen that in some liquids such as water, intermolecular
attraction greatly exceeds that due to the London interaction
owing to the additional strong Keesom interaction in the form
of the hydrogen bond. Interference with hydrogen bond
formation by nondipoles would therefore prevent the
attainment of the minimum energy state and so the
spontaneous process would be a rejection of apolar molecules
causing them to occupy some position not interfering with the
hydrogen bonds. This means that a separate phase will be
formed when water is ‘mixed’ with a hydrocarbon such as
octane or liquid paraffin.
Tetrahedral hydrogen bonding which occurs in ice is retained
to a lesser extent in liquid water giving rise to ‘flickering
clusters’ of structured water (Davies & Litovitz, 1965;
Erlander, 1969; Blandamer, 1970). When a solute molecule is
dissolved in water it may either (1) substitute for a water
molecule in the lattice-like network when there will be
competition with solvent molecules for the ‘lattice sites’ or
(2) occupy a cavity in the solvent structure. The latter type of
‘interstitial solution’ occurs when nonpolar solutes are
dissolved in highly polar solvents, water molecules forming
polyhedral structures around the solute molecules. This means
that small hydrocarbon molecules can have a slight solubility
in water, the solubility being governed by the size of the
solute molecule and that of the cavities in the water structure
(Abu-Hamdiyyah, 1965). The mean size of the cavities in
water is about the size of a C4 or C5 hydrocarbon. However,
the microscopic iceberg of structured water which forms
around nonpolar molecules (Frank & Evans, 1945) involves a
187
decrease in entropy which overrides the negative enthalpy of
dissolution thereby producing an unfavourable positive free
energy of dissolution.
If there was no attraction across a water–paraffin oil interface,
the interfacial tension γow would be given by the sum of the
separate surface tensions since these act together, that is γow =
γo + γw. Water and paraffin molecules do, however, attract
each other by London interaction, the attraction being given
by the geometric mean of the London dispersion force
components γd of the surface tension (Fowkes, 1964). Thus
for paraffin and water, the attraction across the interface is
, where and denoting
the polar interaction component. The separate tensions are
thereby reduced to:
for the oil and water sides of the interface, respectively, and
the interfacial tension is given by their sum:
(5.1)
The superscript in denotes that only the dispersion force

interaction across the interface is taken into account
Consider now an aqueous solution of a solute whose
molecules possess both apolar and polar groups, e.g. a fatty
acid or alcohol: the solute and solvent will be miscible in all
proportions provided that the apolar group is small as in
188
acetic acid or ethanol (C2). If the hydrocarbon group is larger
it will interfere more with hydrogen bond formation and
cause a greater structuring of the water around it. Butyric acid
and butanol (C4) are therefore only partially miscible with
water at room temperature and a mixture where neither
component is in large excess will separate into two phases.
Longer hydrocarbon chains curl up in order to decrease their
contact with water. This effect leads to a decreased entropy of
dissolution per CH2 group with increasing chain length.
Since there is polar interaction between the different
molecules, the tension of the interface within a two-phase
system will be considerably lower than that predicted by Eq.
5.1. Some computed values are given in Table 5.3.
Table 5.3 Effect of interfacial interaction on the tension
between water and various organic liquids at 293 K (values in
mN.m−1)
Within experimental error, there is seen to be no polar

interaction with saturated hydrocarbons. In the case of
benzene, a dipole is induced in the π bonds giving a further
lowering of 16.5mN.m−1 and a resultant interfacial tension of
189
35.0mN.m−1. With the last three compounds of Table 5.3,
hydrogen bonding involves a much stronger polar interaction
with water and consequently leads to low interfacial, tensions.
Since an enhanced polar interaction leads to a greater
tendency for miscibility of
oil with water, the interfacial tension will parallel the mutual
insolubility of the two components. An approximate means of
calculating interfacial tensions from surface tensions is
afforded by Antonoff’s rule which states that the interfacial
tension is equal to the difference of the surface tensions of the
mutually saturated phases:
While the rule holds for slightly polar oils such as benzene or
chloroform against water, it does not hold for more polar oils
such as octanol nor for systems with a negative spreading
coefficient (see below).
Cohesion, Adhesion and Spreading
If two halves of a column of pure liquid were to be pulled

apart, two new liquid–air surfaces would be created. The free
energy of the system is therefore increased by 2γ mJ for each
m2 cross section of original column, this increase being
known as the work of cohesion. For oil and for water the work
of cohesion is, respectively:
190
(5.2)
When an oil and a water surface are brought together, there is

a residual energy, γow mJ.m−2, at the interface. To separate
these two surfaces, work of adhesion must be supplied for
each m2 of interface, that is:
(5.3)
this being known as the Dupre equation.

If a drop of pure liquid paraffin is placed on water, it forms a
coherent lens (Fig. 5.2). Let Ao and Aw be the oil–air and
water–air surface areas, Aow the oil–water interfacial area and
x the horizontal diameter of the lens. Suppose the lens
expands over the water surface by an infinitesimal amount dx.
The increase in surface energy at the oil–air and oil–water
interfaces are respectively γodAow and γowdAow and the
increase at the water–air surface is γwdAw. In the latter case
dAw is negative since water–air surface is being lost at the
expense of the expanding oil lens.
Fig. 5.2 Oil lens–water system parameters
191
The total surface energy gained by the lens expanding dx is
therefore:
It follows that if there is a net loss in surface energy upon

expansion of the lens:
and the process of expansion will be spontaneous.

As the diameter x of the lens increases however, the oil–air
and oil–water interfacial curvatures decreases so that dAo/dx
and dAow/dx increase as x increases. In the case of liquid
paraffin on water, a droplet of the oil would expand into a
lens until the energy gained by increasing Ao and Aow just
balanced that lost by decreasing Aw:
(5.4)
Further expansion of the liquid paraffin lens would increase

dAo/dx and dAow/dx still more and involve a net increase in
surface energy. The lens therefore acquires an equilibrium
diameter with a minimum energy.
Since a lens involves curvature of the oil–air and oil–water
surfaces and since also most of the oil floats below the free
192
water–air surface level:
There fore for a lens to occupy a finite equilibrium diameter

in accordance with Eq. 5.4, γw −γo −γow <0. For liquid
paraffin on water we have 72.8 − 31.8 − 55.6 = −14.6mJ.m−2,
clearly a condition for the formation of a stable lens.
Suppose a drop of a polar oil such as octanol is placed on
water. For octanol on water at 293K we have: γw −γo − γow
=72.8 − 27.5 − 8.5 = +36.8mJ.m−2. Such a lens will continue
to expand given enough water surface to do so since the
condition for minimum surface energy (Eq. 5.4) cannot be
reached. As the lens expands, the oil–air and oil–water
surface curvatures approach zero and tend towards the
condition –dAw/dx = dAo/dx = dAow/dx. Equilibrium in the
form of an extremely thin lens would therefore require the
condition (from Eq. 5.4) dA / dx(γw −γo −γow) = 0 then:
(5.5)
Clearly this situation is not achieved with octanol on water

and so the oil will spread to form a monolayer, that is, a film
one oil molecule thick.
The condition given by Eq. 5.5 therefore forms the dividing
line between those systems where immediate spreading
towards a monolayer occurs and those whose immediate
tendency is to form a lens. The initial spreading coefficient
Sinit is defined as:
193
If Sinit is positive there is an immediate tendency to spread
whereas if Sinit is negative as with liquid paraffin on water,
spreading does not occur. Table 5.4 lists a few values for the
initial spreading coefficient on water.
Table 5.4 Initial spreading coefficients on water at 293 K
(values in mJ.m−2)
Combination of Eqs. 5.2, 5.3 and 5.6 gives Sinit = Wow − Wo

showing that an oil will spread on water only if it is
sufficiently polar to adhere to the water more strongly than it
coheres to itself.
The values quoted in Table 5.4 refer only to the initial
condition of the system. However the two liquids tend to
become mutually saturated, with the result that γw is often
found to decrease significantly. Thus although benzene is
initially capable of spreading on water, γw becomes reduced
to 62.4mJ.m−2 and γo becomes 28.8mJ.m−2. Thus Sfinal =
62.4 − 28.8 − 35.0 = −1.4mJ.m−2 and the benzene-rich phase
forms flat lenses with the rest of the water covered by a
monolayer of benzene having a surface film pressure π of
10.4mN.m−1 i.e. γw(o) = γw − π = 72.8 − 10.4 = 62.4mN.m−1.
So far only the energetics of the system have been considered
but reference to Fig. 5.2 will show that there must also be a
194
balance of forces at the triple point where the three phases,
air–oil–water, meet. A condition for equilibrium is:
If it is assumed that the water–air surface is flat and that the

oil–air and oil–water interfaces have spherical curvature since
this presents the least surface area for a given diameter of the
lens, then there will almost certainly be an imbalance of
forces as depicted in Fig. 5.3(A). For liquid paraffin on water,
θo = 70°, θw = 156° and θa= 134°; therefore, there must be
some considerable distortion around the edge of the lens as
shown in Fig. 5.3(B).
195
Fig. 5.3 Liquid paraffin lens floating on water showing
necessity for edge distortion: (A) Nonequilibrium; (B)
Equilibrium.
It has been seen that a good sample of liquid paraffin cannot

spread on water. However, if its trace impurities are oxidized
by heating it may spread to a multilayer and show
interference colours. This multilayer is known as a duplex
film, so called because the oil–water and oil–air interfaces are
still sufficiently apart to act independently. Similar behaviour
is observed if sufficient ‘spreader’ such as a fatty acid or fatty
alcohol is dissolved in liquid paraffin. Thus with 0.5 per cent
cetyl alcohol (tetradecanol) the condition for initial spreading
is achieved: Sinit = 72 − 32 − 24 = +16mJ.m−2 and given a
large water surface, the drop will spread to a duplex film. The
high spreading power of fatty alcohols leads to monolayer
formation of the alcohol in advance of the spreading oil and if
the water surface area is small, the monolayer soon covers the
water surface and reduces its tension to 48mN.m−1. This
produces a negative spreading coefficient: Sfinal = 48 − 32 −
24 = −8mJ.m−2 which results in the oil contracting into one or
more lenses surrounded by a monolayer of the alcohol. The
sudden lowering of the surface tension around the spreading
lens will cause the forces at the edge to become unbalanced.
This produces a sudden distortion of the surface around the
edge which may be so violent that the distortion is propagated
as a wave throughout the lens causing it to shatter into several
hundred small lenses which may subsequently coalesce.
196
Measurement of Surface and
Interfacial Tension
Methods for measuring surface and interfacial tension differ
in their suitability for particular purposes. Although the
surface of a simple liquid attains an equilibrium tension
within a few milliseconds of its formation, the surface of
some solutions continues to age for a long time due to slow
diffusion of molecules to the surface or molecular
reorientation at the surface. It follows that those methods
which involve enlargement and breakage of the surface
cannot always be used to measure equilibrium tensions. The
methods summarized below have been discussed in detail by
Adamson (1967).
Capillary Rise
Fig. 5.4 Capillary rise parameters
197
The difference in pressure ΔP between the bottom of the
meniscus O and point A is given by
(5.7)
where Δρ is the density difference of the liquid and the air and
b is the radius of curvature at O. Tile term on the right hand
side is given by the Young–Laplace equation. At some other
point on the meniscus of elevation z above O
(5.8)
R1 and R2 being the principal radii of curvature.

Because ΔP varies with z, the curvature of the meniscus is not
uniform and only for very narrow capillaries, when h << ho
can γ be calculated from Eq. 5.7 since then b ≈ r. Usually
measurement of ho still leaves b unknown and in order to
determine γ from Eq. 5.7, a relation between b and r is
required. Use is made of the so called capillary constant a2
defined as a2 = bho. For zero contact angles, Sugden (1921)
compiled tables of r/b versus r/a and a method of successive
approximations may be used to arrive at the value of b.
Although the theory is simple, there are a number of
experimental difficulties. Thus it is necessary to ensure that:
1. determination of ho is accurate,
2. glass capillary tubing is absolutely clean,
3. the capillary is vertical,
4. the capillary is of uniform bore,
198
5. only a very small departure from circularity of cross
section exists and
6. the liquid is not very viscous
A zero contact angle may not be achieved with some
solutions due to adsorption of solute on to the glass. With
very fine capillaries a further complication due to adsorption
is reduction in solute concentration and a consequent change
in surface tension.
The necessary condition for zero contact angle may be tested
by approaching the equilibrium height ho with a succession of
rising and falling menisci. If ho is the same in each case there
is perfect wetting. Even so, a rising meniscus may give rise to
a nonzero contact angle (see p. 84) and therefore it is best to
use data from falling menisci.
In order to eliminate errors due to slight variation in the bore
of the capillary, the tube may be immersed in the liquid to a
depth sufficient to locate the meniscus at a position where the
area of cross section is accurately known. Alternatively, the
hydrostatic pressure needed to restore the bottom of the
meniscus to the level of the external plane surface may be
determined. The method may be adapted for the measurement
of interfacial tensions.
Maximum Bubble Pressure
A capillary tube dips into the liquid to an accurately known

depth and the minimum pressure is determined at which
bubbles of an ‘inert’ gas are just able to grow and detach from
the tip. If the bubble formed a surface of spherical curvature,
the curvature would be a maximum when a hemispherical
bubble had formed and at this point the maximum pressure
would be recorded. Eq. 5.7 would therefore be applicable.
199
The pressure difference across the bubble surface however,
varies with variation in depth of the meniscus and so the
bubble surface will not have spherical curvature. As in the
case of capillary rise, Sugden (1922) has published correction
factors.
The technique has the advantage that zero contact angle is not
necessary. It is however necessary to know whether or not the
liquid wets the tube, that is, whether the bubble forms upon
the internal or external cross section. Since the method
involves an expanding surface, surface ageing cannot be
studied, a bubble rate of about 1 S−1 being used. A variation
in which two tubes of different diameter are used has also
been described by Sugden (1922, 1924a).
Sessile Drop
Fig. 5.5 represents a drop of liquid resting on a nonwetting

surface (contact angle greater than 90°). The external fluid
may be air or another liquid phase. Alternatively, the figure
may be visualized in an inverted position where it represents
either a drop of a less dense liquid or a bubble of air.
Fig. 5.5 Sessile drop of water in liquid paraffin.
Given that b is the radius of curvature at the vertex O, and

that R1 and r are the radii of curvature at point A in the
vertical and equatorial planes respectively, then from Eq. 5.7:
200
Although neither b nor R1 are known, it has been shown that:
where Δ is a nondimensional correction factor which varies

with h and r. The variation of Δ with drop size was
determined by Porter (1933) who found that the curve (Fig.
5.6) was fitted by the empirical equation:
whence
The correction term is zero when r = 2h.
201
Fig. 5.6 Curve of correction factor versus shape factor for the
sessile drop method (Porter, 1933).
In order to determine h and r, the drop may be photographed

or projected on to a screen. Whilst the correction term only
requires determination of the ratio h/r, the absolute value of h
is also required. A convenient method is to suspend a rod of
known diameter over the vertex of the drop and from the
diameter of the image to calculate the enlargement, whence h
can be calculated from the size of the drop image (Shotton,
1955).
Significant errors can arise from inaccurate measurement of
the drop size parameters but these errors can be minimized
using large drops. The main sources of error arise from the
difficulty in accurately locating the equatorial plane and from
deficiencies in the optical system employed.
Another source of error may be inherent in the liquid being
examined. If it is a solution which possesses some sort of
structure (exhibits plastic flow), the drop may not flatten to
the shape corresponding to the true surface tension. Evidence
for this was found by Shotton and Kalyan (1960) when
determining the interfacial tensions between benzene and
gelatin or sodium alginate solutions. An apparently higher
202
tension was found if a drop of solution was formed in
benzene instead of a drop of benzene in solution.
Pendant Drop
Various ways of calculating surface and interfacial tensions

from the shape and size of pendant drops, as shown in Fig.
5.7, have been suggested. Eq. 5.8 may be written
(5.9)
b being the radius of curvature at O, the vertex of the drop. β

is a dimensionless quantity which depends upon the shape of
the drop as does the ratio S = ds/de defined in Fig. 5.7.
Therefore S is a function of β. For a given value of S, de is
proportional to b and so Eq. 5.9 leads to
where H is a function of S. Measurement of de and ds allows

calculation of S from which H may be calculated by the
method of Fordham (1948) or read from tables given by the
same author and extended by Stauffer (1965).The latter
author has shown that greatest accuracy is achieved with S
values close to unity.
203
Fig. 5.7 Pendant drop of water in air.
Small errors in estimating de can lead to considerable errors

in ds. This can be minimized by determining the ratio R of the
maximum (de) and minimum (dm) diameters which are less
dependent on height than is ds. H may then be calculated or
read from tables (Winkel, 1965).
Photographic or projection methods are used to determine the
shape and size parameters (Douglas, 1950; Campbell,
Christian & Eaton, 1955). The pendant drop is more suitable
than the sessile drop method for viscous liquids since there is
only a small fraction of the drop area in contact with a solid
surface. Compared with the sessile drop, viscous drag has less
effect in slowing the attainment of hydrodynamic equilibrium.
A check for such an equilibrium can be made by measuring
the pendant drop diameters at several heights and comparing
the drop shape with that predicted by theory (Roe, Bachetta &
Wong, 1967).
204
Drop Volume
If the pendant drop shown in Fig. 5.7 is slowly enlarged, it

will grow to a critical length at which it becomes unstable and
the waist collapses. Fig. 5.8 shows successive stages in the
growth of a drop up to the point of instability, detachment of
the drop being illustrated in Fig. 5.9. The extra small drop
which is produced arises because of the mechanical instability
of the neck. It is evident that not the entire drop becomes
detached and as much as 40 per cent may remain attached to
the tip.
Fig. 5.8 Girth of a drop of water in liquid paraffin.(Diameter

of needle tip is 1.06mm giving γow = 57mNm−1.)
205
Fig. 5.9 Successive stages in detachment of a drop.
If it is assumed that the surface tension acts vertically, then at

the moment preceding detachment mg = vΔρg = 2πry where
m and v are the effective mass and the volume of the drop
respectively and r is the radius of the tip of the tube. This
equation, however, fails to recognize that the volume of the
drop is also a function of its shape and that only part of the
drop becomes detached.
The shape depends on the ratio between some linear
dimension of the tip of the tube such as r and a linear
dimension of the drop such as v1/3. Thus:
(5.10)
where f(r/v1/3) is the fraction of the ‘ideal drop’ which

actually falls. Harkins and Brown (1919) determined
experimentally the correction values plotted in Fig. 5.10. In
the case of surface tension measurements, the mean weight of
a number of drops may be used to calculate the drop volume
v; alternatively, as in the case of interfacial tension
measurements, the volume is measured directly by means of a
micrometer syringe. Thus r/v1/3 can be calculated and the
correction factor read from the graph. Substitution in Eq. 5.10
gives γ. Since the correction factor varies only slightly with
change in v near the minimum of the curve (Fig. 5.10), tubes
should be selected so that r/v1/3 is as close to the minimum as
possible.
206
Fig. 5.10 Curve of correction factor versus drop shape factor
for the drop volume method (Harkins & Brown, 1919).
If the drop is formed too rapidly it becomes too heavy

because the waist of the detaching drop gets expanded by the
stream of liquid issuing from the tube. The drop must
therefore be formed slowly, at least three minutes being
required. In practice, when using a micrometer syringe, a
rough estimate of the drop volume is obtained rapidly and
subsequently about 95 per cent or more of the drop is quickly
formed and the process completed slowly over a period of
about a minute. In order to know the effective diameter of the
tip when determining interfacial tensions, one must make sure
that it is completely wetted by one of the liquids. If the tip is
wetted by the external liquid, care must be taken to ensure
that the interior of the tube is sufficiently wetted by the liquid
forming the drop or the point of detachment of the drop may
be inside the tube instead of at the tip. Where the drop liquid
wets the tip, care must be taken that it does not climb up the
outside of the tube and to prevent this, tubes with sharp edges
should be used. Whatever the shape of the tip, smoothness is
important. Stainless steel hypodermic needles with the ends
ground flat are generally suitable. If necessary, they may be
207
rendered hydrophobic by being coated with a film of ferric
stearate or silicone.
Du Nouy Ring Tensiometer
This method involves measurement of the force required to

detach a platinum wire ring from the liquid surface or from
the interface between two liquids. In the latter case the ring
must be preferentially wetted by the denser liquid. Careful
cleaning of the ring in strong acid or by flaming is essential
when it will be preferentially wetted by water. For the
determination of γow with an oil as the denser phase, the ring
may be rendered hydrophobic with silicone, a pull P exerted
on the ring results in some of the liquid being raised (Fig.
5.11), the pull being balanced by the weight of liquid. When
the upward pull and
the weight of liquid exceed the surface tension force, the ring
will become detached. If it is assumed that the surface tension
acts vertically on the ring with zero contact angle,
(5.11)
where Pmax is the maximum pull on the ring, m is the mass of

liquid raised above the free surface of the liquid and R1 and
R2 are the radii of curvature of the inner and outer perimeter
of the ring.
208
Fig. 5.11 du Noüy ring parameters
However, Fig. 5.11 clearly shows that the surface tension

does not act vertically on the ring and Harkins and Jordan
(1930) showed that Eq. 5.11 gives values of γ which may be
in error by up to 45 per cent. They determined experimentally
the correction factor F so that:
which reduces to
if r, the radius of the wire, is small so that R1 = R2 = R.

The volume V of liquid upheld by the ring becomes a
maximum at the moment of detachment when it will possess a
certain shape which is determined by a function of the three
variables R, r and V. Determination of F therefore involves
the calculation of the two dimensionless quantities R3/V and
R/r. Zuidema and Waters (1941) found an empirical
209
relationship which enables the tabulated values of F given by
Harkins and Jordan (1930) to be extended for conditions
frequently met when determining interfacial tensions. Fox and
Chrisman (1952) have also extended the correction tables in
the other direction, that is for liquids of low tension but high
density where the empirical relationship of Zuidema and
Waters was found to be invalid.
In order to obtain accurate data, the following conditions must
be met:
1. the ring must lie in a flat plane,
2. the plane of the ring must be horizontal, a tilt of only 1°
causing an error of 0.45 per cent,
3. the diameter of the dish must be not less than 8cm since
curvature of the meniscus due to the edge of the dish leads to
low determined values of γ. When determining interfacial
tensions in circumstances where the ring is unavoidably
wetted by the upper liquid the force required to push the ring
down through the interface may be measured.
Wilhelmy Plate
A thin rectangular plate of glass or mica is suspended

vertically from a torsion balance. A dish of liquid is raised
under the plate until the liquid surface just contacts the
bottom edge of the latter when the surface forces will drag it
downwards. The force exerted around the perimeter of the
plate may then be measured by the rotation of the torsion wire
required to restore the plate to its null position, that is, so that
the bottom edge of the plate is coincident with the plane of
the free liquid surface (Fig. 5.12).
210
Fig. 5.12 Plate in null position seen edge on.
Provided that the liquid makes zero angle of contact with the
plate
(5.12)
where L and T are respectively the length and thickness of the

plate in the horizontal plane and mg is the weight of meniscus
liquid. To ensure that L is the measured length of the bottom
edge of the plate, the edge must lie in a horizontal plane. This
is readily checked when the liquid is raised close to the plate
since the edge and its reflection in the liquid surface will then
appear to be parallel.
An alternative method, which is particularly useful for
following changes in surface tension, is to immerse the plate
partially in the liquid and to record the depth of immersion by
means of an optical lever. A change in rotation of the torsion
wire may then be corrected for the change in buoyancy of the
plate to give an accurate measure of the change in the surface
force.
A zero contact angle is essential. This may be promoted by
careful roughening of the surface of the plate so that the very
211
fine grooves are orientated in all directions (Jordan & Lane,
1964). For airs, a roughened mica plate coated with
lampblack is suitable. It is always best to use a receding
contact angle (see p. 84) and so, for following decreases in
interfacial tension, the lower (denser) phase should be made
to wet the plate preferentially.
It is also necessary to use very thin plates since the effective
perimeter will tend to differ slightly from 2(L + T) due to the
meniscus being continuous around the corners of the plate.
For plates not much thicker than 100μm, however, Eq. 5.12 is
sufficiently accurate that it may be used without correction.
Surfactants
If a single molecule or ion contains localized regions one of
which is lyophibic and the other is lyophobic, the lyophilic
part will favour dissolution (affinity for solvent) and the
lyophobic part will favour immiscibility (antipathy for
solvent). Both of these characters existing in the same
molecule or ion red Hartley to coin the term amphipathy.The
amphipathic character becomes particularly pronounced if the
lyophilic and lyophobic groups are well separated. When
considering water as the solvent the groups are termed
hydrophilic and hydrophobic. The latter term does not
indicate repulsion between the group and water since there is
attraction due to dispersion forces, but rather it implies that
interference with hydrogen bonding of the water produces a
tendency for the hydrophobic group to be expelled to form a
separate phase. Since hydrophobic groups tend to be
dissolved by nonpolar solvents they are also termed
lipophilic. Thus an amphipathic compound contains both
hydrophilic and lipophilic groups and therefore may also be
212
called amphiphilic. As a result of the amphipathic character,
such compounds will tend to concentrate at the surface of a
solution or at the interface between two immiscible liquids or
between a liquid and a solid. Such compounds are therefore
frequently referred to as surface-active agents or surfactants.
Those surface-active agents which are used for removing dirt
from solid surfaces are also commonly referred to as
detergents. Under suitable conditions of solvent, temperature
and concentration, amphipathic compounds spontaneously
aggregate to form colloidal structures known as micelles. This
spontaneous tendency for association has led to the term
association colloid.
Classification of Surfactants
This is made according to the nature of the polar group, which
may or may not ionize. There are therefore ionic and nonionic
surfactants. Ionic surfactants are further divided into anionic,
cationic and ampholytic (or amphoteric) according to the
charge carried by the surface-active ion. The charge of an
ampholytic ion depends upon the pH, the zwitterion being
shown in Table 5.5.
Table 5.5 Examples of surface-active agents
213
Surface Activity
In dilute aqueous solutions of amphipaths, the hydrophobic
group of those solute molecules in the region of the surface
will not always be able to re-enter the bulk solution as readily
as it entered the surface. Thus, if random motion brings the
hydrophobic group into the surface, the amphipathic molecule
will stick there (Fig. 5.13) until it is supplied with sufficient
suitably directed kinetic energy for it to re-enter the bulk
solution. The strength and direction of the force or ‘kick’
needed for desorption will depend on the structure and
orientation of the amphipathic molecule and the structure of
its immediate environment at that particular instant in time.
214
During the time of residence of the molecules at the surface,
other molecules will also arrive there and so there will be an
excess of solute molecules at the surface compared with those
in a similar volume of bulk solution containing no surface
region.
Fig. 5.13 Diagram of surface activity. (Solvent molecules not

depicted.)
An increase in size of the hydrophobic group results in

increased difficulty of desorption. This means that the
average time of residence of solute molecules at the surface/
becomes longer and the surface excess will be greater as a
result. Indeed, long-chain fatty acids and alcohols (C10 and
above), even in extremely dilute systems, reside almost
entirely at the surface forming a surface film one molecule
thick (monolayer) which can be considerably compressed by
a mechanical barrier (see p. 70) before it will collapse into a
surface multilayer.
Adsorption must involve a certain degree of orientation
within the surface this being opposed by random rotational
motion which favours desorption. Perfect orientation will
therefore not be achieved. Although the entropy change of
215
adsorption is negative with very short hydrocarbon chains,
thus favouring desorption, it becomes increasingly positive
with longer chains (Table 5.6). This shows that factors other
than orientation of the solute molecules in the surface are
important. When surfactant molecules are in bulk solution,
interference with hydrogen bonding by hydrocarbon chains
increases the structuring of the water and the coiling of the
chains. Elimination of these effects upon adsorption of
long-chain surfactants results in a net increase of entropy.
Table 5.6 Thermodynamics of adsorption of fatty acids in the
water at 293 K (Ward & Tordai, 1946a, b)
Traube’s rule states that the concentrations for equal

lowering of the surface tension in dilute solutions decrease by
about one third for each additional CH2 group in a
homologous series. This concept was extended by Langmuir
who showed that if −ΔG° is the work done in transferring one
mol of soap molecules from the bulk to the surface, then
216
(5.13)
where suffix m denotes the number of carbon atoms in the

paraffin chain. This arises partly from the increase in
molecular orientations available to the chain as each CH2
group is brought above the surface from which one may
conclude that the average configuration of the paraffin chains
is in the form of the most probable random toil. Traube’s rule
is only approximate and this is borne out by comparison of
Eq. 5.13 with the fourth column of Table 5.6. Langmuir found
a value of 3.4 in Eq. 5.13 whilst Ward found 3.72 by an
improved method of calculation giving −3.18 kJ.mol-1 for the
methylene group; a value more in accord with Table 5.6 than
that from Traube’s rule.
It has been observed that weak attraction of solvent for a
substantial part of a solute molecule leads to an accumulation
of solute at the surface. On the other hand, if solute–solvent
attraction exceeds solvent–solvent attraction, the solute
concentration at the surface will be less than in the bulk
solution and there will exist a state of negative adsorption
leading to an increased surface tension. Such a situation arises
with polar organic compounds such as sucrose and with
inorganic electrolytes where the effect of the ions follows the
lyotropic series (p. 99). The effect of solute concentration
upon surface tension is illustrated in Fig. 5.14.
217
Fig. 5.14 Qualitative effect of various solutes upon the
surface tension of water: 1. Inorganic electrolytes and sugars,
e.g. NaCl. sucrose; 2. Short-chain acids and alcohols, e.g.
tetranoic acid, ethanol; 3. Long-chain ions, e.g dodecanoate,
tetradecyltrimethylammonium.
The Gibbs Equation
Fig. 5.15 represents a solution of a surface-active compound

whose surface is located somewhere between AA′ and BB’,
i.e. AA′ is above the liquid phase and BB′, is below the region
of surface irregularity. Region AB therefore contains the
whole of the surface whereas region BC consists entirely of
bulk solution of ordinary composition.
218
Fig. 5.15 Hypothetical boundaries defining the surface excess.
Let U joules be the total (internal) energy of region BC. The

internal energy is a function of the extensive (quantity)
factors, viz. entropy S, volume V and number of mols of
solvent (component 1) nl and of solute (component 2) n2
Thus:
Region AB will have a different internal energy from region

BC, since the boundaries at A, B and C cannot readily be
chosen so as to equate them. The extra energy of region AB is
219
denoted by Us and may be positive or negative. The excess
energy Us arises because of:
1. excess entropy per mol Ss,
2. excess volume of liquid Vs,
3. the surface of area A,
4. excess number of mols of solvent and solute, and
respectively, where Ss, Vs and ns may be positive or negative.
Thus:
It follows that:
(5.14)
Since the system is assumed to be at equilibrium the intensive

factors are uniform throughout so that there is no need to add
the superscript s to temperature T, pressure P or chemical
potential μ. The surface tension γ is restricted to the surface so
there is likewise no need for the superscript. The reason for
the term γdA being positive is that the tension γ acts to
contract the surface unlike the pressure P which tends
towards expansion.
Since Eq. 5.14 is derived from a homogeneous function of the
first degree, then by Euler’s theorem:
220
whence by differentiation and subtraction of Eq. 5.14:
so that at constant temperature and pressure:
(5.15)
Considering now each m2 of surface and defining the surface,

excess per m2, γ as:
then from Eq. 5.15:
This may be extended for a multicomponent system to:
221
(5.16)
nS and hence γ may be defined in several ways. For example,

C of Fig. 5.15 can be located so that regions BC and AB
contain the same volume of liquid (γ(v)), the same total
number of mols (γ(N)) or the same total mass (γ(M)). For the
purpose considered here however, it is best to define BC and
AB as containing the same mass of solvent this being the
convention due to Gibbs and denoted by Guggenhein and
Adam as (γ(1)). Thus .
For a two component system, i.e. one solvent and one solute,
Eq. 5.16 becomes:
whence for dilute solutions, where the activity coefficient is

almost unity,
(5.17)
c being the concentration. This is the familiar form of the

Gibbs equation and enables the surface excess to be
determined from the slope of a plot of surface tension versus
the logarithm of the solute concentration (Fig. 5.16).
222
Fig. 5.16 Effect of amphipath concentration on surface
tension.
Fig. 5.16 demonstrates that the slope becomes increasingly

negative up to the critical concentration showing that the
surface excess increases as the solute concentration increases.
It also demonstrates that the Gibbs equation is not valid above
the critical micelle concentration.
Application of the Gibbs Equation to Real Aqueous

Systems
The form of the Gibbs equation given by Eq. 5.17 is valid

only for a two component system and is therefore
inapplicable to aqueous solutions since every species must be
taken into account. It must be replaced by the general Eq.
5.16 with the adoption of the Gibbs convention, .
For a single univalent surface-active strong electrolyte (MA)
in water:
223
The first requirement is therefore to maintain a constant pH
such that:
(5.18)
According to Pethica the surface concentration of the

counterion (M+) is much less than that of the amphipathic ion
(A−) at low concentrations but it may equal it at higher
concentrations when a complete monolayer is formed. The
effect of this is seen from the two limits (Eq. 5.19 for very
dilute solutions and Eq. 5.20 for less dilute solutions) to Eq.
5.18:
(5.19)
(5.20)
In either case the surface may be considered to be a

monolayer of with the diffuse part of the double layer
preponderant M+ and H+. The Gibbs equation may thus be
224
written (assuming f± = 1)
(5.21)
where X varies between 1 and 2 according to the

concentration of surfactant. Shinoda and Nakayama (Shinoda,
1954) however, have noted that the surface excess of
counterions is always less than that of the surface-active ions.
With a surface-active weak electrolyte such as a soap,
hydrolysis occurs:
At constant pH:
(5.22)
225
For a soap, Eq. 5.18becomes:
From this and Eq. 5.22:
(5.23)
Since there is a concentration dependence of the effect of the

counterions comparison with Eq. 5.21 gives that:
For aqueous solutions of potassium oleate, for example, Eq.

5.23 would be:
In order to remove the concentration dependence of the effect

of the counterions (K+), a constant excess concentration
of another electrolyte such as KCl may be added to each soap
solution so that:
226
and the effect of changing the soap concentration will be that:
Under these circumstances
This is nothing more than the simple form of the Gibbs

equation (Eq. 5.17) for dilute solutions provided that a pure
soap is used and the solutions are all of the same pH and
contain a constant amount of counterion, thus:
Because of the relatively high concentration of electrolyte, the

electrical double layer is thin and so applies to a very
thin surface and may be used to calculate surface packing
where the area (m2) per mole of a monolayer is given by
. It has been shown that very little additional electrolyte
is in fact required and so an equation of the form of Eq. 5.20
holds only for solutions of extremely pure surface-active
electrolytes.
227
Hydrolysis of soap leads to the formation of free fatty acid
which being less soluble than the ion will be more strongly
held at the solution surface. If the soap was prepared from
impure fatty acid, there will be other anions and free fatty
acids present as well, whose area of packing may be different
from that of the main constituent. Further, unless very careful
purification is accomplished, fatty acids prepared from natural
sources will contain traces of fatty alcohols which are very
water insoluble.
Hydrolysis of soaps will be enhanced by a drop in pH. This
may occur extensively if solutions are exposed to atmospheric
carbon dioxide. If the surfactant is an anion, then these will
attract countercations some of which will be hydrogen ions.
The pH of the surface is therefore lower than that of the bulk
and surface hydrolysis is very marked unless the pH is
maintained sufficiently high. Conversely, a surface excess of
long-chain amines produces a surface with an excess of
counteranions and a consequent higher pH than in the bulk
solution.
As the concentration of soap in the very dilute solution is
increased, the potential for adsorption will also increase
because the soap anions, free acids and alcohols will be more
strongly competing for a place in the surface. There is
therefore a surface pressure π tending to increase the surface
area in order to accommodate more solute. This pressure
competes against the cause of the surface tension (which is a
negative surface pressure) and results in a lower tension than
before; consequently:
(5.24)
228
where γ0 is the surface tension of the solvent alone.
The surface of a soap solution is not filled with soap
molecules at low soap concentrations (say at 10−4 molar) but
becomes progressively filled as the bulk concentration is
increased. Not until the surface is fairly well packed with
soap molecules does π increase very much. Then further
increase in soap concentration causes a marked reduction in γ
with little change in the surface excess (see Fig. 5.16 where
the slope of the steep portion remains virtually constant).
When a certain degree of packing at the surface is achieved,
the energy required to push more soap into the surface
approaches that given up on adsorption. A greater lowering of
free energy can now take place by the soap molecules in the
bulk aggregating with their paraffin chains together and their
polar groups orientated towards the water (Fig. 5.20A). These
aggregates are known as spherical micelles and the lowest
concentration at which they form in appreciable numbers is
called the critical micelle concentration (CMC). The micelles
will be formed from all the different amphipathic molecules
present and so mixed micelles form in impure systems.
Hydrolysis products and other uncharged impurities generally
cause formation of micelles to occur at lower concentrations
since they are less soluble than soap ions and their lack of a
charge lessens the disruptive effect which occurs when like
charges are brought together in ionic micelles. Above the
CMC there is therefore dynamic equilibrium between three
pseudophases; the surface, bulk and micelles. The micellar
pseudophase is much larger than the surface pseudophase and
will tend to accommodate most of the less soluble
components. As a result the surface will become depleted of
impurities such as fatty alcohol above the CMC. These
impurities will not be replaced in the surface by an equivalent
amount of soap because the latter is more soluble and so there
229
will be lowering of π and an increase in γ as the soap
concentration is increased a little above the CMC. Further
increase in soap concentration will cause increased packing at
the surface until the surface tension has decreased again to a
constant value.
In theory, the surface is not necessarily one molecule thick,
neither does the definition of surface excess require this
although studies of the behaviour of dilute surfaces have
shown them to be virtually monolayers or at least to act like
them. Surface multilayers may occur at concentrations above
the CMC. The surface excess will then be underestimated
because the Gibbs equation depends on the change in surface
tension which resides mainly in the surface molecular layer
and amphipathic molecules layered under this will have little
influence. Thus dγ/d ln c is not a function of γ for surface
excesses more than one molecule thick so that a γ versus ln c
plot has zero slope when the monolayer is complete.
Verification of the Gibbs Equation
Some of the first attempts at a direct estimation of the surface

excess were made by bubbling air through the solution and
collecting the foam. The concentration of solute in the
collapsed foam should be greater than that in the solution
from which the foam was derived and if the surface area of
the bubbles
could be accurately estimated then the surface excess could be
readily calculated. The results so obtained were unreliable for
two reasons; the estimate of the surface area was uncertain
and the lifetime of the bubbles was too short for surface
equilibrium to be established (Fig. 5.17)
230
Fig. 5.17 Change of interfacial tension with age.
Successful verification of the Gibbs equation was achieved by

McBain and his co-workers who propelled a microtome blade
at high speed across the solution surface thereby shaving off a
sample to a depth of about 100μm. Analysis of this layer and
of the underlying bulk solution enabled the surface excess to
be calculated.
They also compressed solution surfaces by a known amount
in a special trough and estimated the surface excess after
determining the increase in bulk concentration produced by
desorption. Similar observations have been made in reverse
by calculating surface excess from the decrease in bulk
concentration on producing a stable foam of known surface
area. Both of these methods have shown good agreement with
the Gibbs equation but indicate that factor X of Eq. 5.21
cannot always be ignored.
Radioactive tracer techniques have also been used by a
number of workers involving the use of amphipaths tagged
with 3H, 14C and 35 S. Low energy radiation is absorbed by
water after travelling only a short distance so that a detector
231
placed just above the solution surface will register particles
coming only from the surface and a thin layer underlying the
surface. In order to correct for the emission received from the
thin layer of bulk solution, similar measurements are made
using solutions with the same concentration of the isotope
contained in nonsurface-active compounds. Coadsorption of
counterions may similarly be investigated using unstable
metal ions. The accumulation of data appears to support Eq.
5.21.
Surface Ageing
At the instant that a surface is created, the surface will have

the same composition as the bulk solution. Attainment of an
equilibrium surface excess will therefore exhibit time
dependence. Moilliet, Collie and Black (1961) considered two
distinct phenomena:
1. rapid ageing controlled by diffusion
2. slow ageing controlled by steric factors
One or both of these may be evident with a given surfactant
solution depending upon the solute concentration, presence of
electrolyte and temperature. A generalized picture is given in
Fig. 5.17.
Diffusion towards the surface is rapid but becomes slower as
surfactant ions approach the vicinity of the surface due to
electrostatic repulsion from ions already adsorbed there. Thus
there is rapid diffusion to the subsurface followed by
activated adsorption. Diffusion is also adversely affected if
much of the surfactant is aggregated into micelles which,
being much larger than single ions or molecules, are relatively
slow moving. Surface ageing therefore becomes slowed by
substances which encourage aggregation into mixed micelles,
232
such as free acids produced by the hydrolysis of soaps. The
rate of diffusion of hydrolysable surfactants is thus increased
if the pH is adjusted in the direction which suppresses
hydrolysis, e.g. to higher pH with soap solutions.
Diffusion to the surface is also more rapid at higher
temperatures and greater surfactant concentrations.
Electrolytes also facilitate the diffusion of ionic surfactants
but they have little effect upon nonionic surfactants such as
methylcellulose. The minimum in the γ−time curve occurs
earlier as the concentration is increased, but subsequent
ageing effects are little influenced by this factor, leading to
the conclusion that only the rapid initial decrease in γ is
rate-controlled by diffusion.
The subsequent slower ageing effect appears to be controlled
by steric factors such as reorientation and penetration of
molecules in the surface. The rise in surface tension is
probably associated with a surface phase transition to a
condensed state (p. 80) this having been noted with sodium
dodecyl sulphate when the area per molecule is reduced to
about 0.4 nm2. Electrolytes assist the penetration of the
surface by both ionic and nonionic surfactants since expulsion
of hydrocarbon chains results in a larger free energy decrease
than that resulting from expulsion from a relatively less polar
simple aqueous solution (cf. salting out of soaps). Time
dependence with surfactants in nonpolar solvents may also
arise due to slow breakdown of associated molecules such as
dimers
233
Bulk Properties of Surfactant
Solutions
Most physical properties of aqueous solutions of an
amphipath change rapidly in magnitude over a limited range
of concentration (Figs. 5.18 and 5.19). To account for this,
McBain and others postulated the existence of aggregates of
amphipathic molecules which, if ionized, are closely
associated with a large proportion of the counterions
(otherwise known as gegenions). The abrupt nature of the
changes in magnitude of the various properties over a limited
concentration range suggests that at lower concentrations the
molecules are mostly single whereas at higher concentrations
they are almost all present as micelles.
234
Fig. 5.18 Change of physical properties with concentration
(Preston, 1948)
Fig. 5.19 Relationship between activity coefficient and

concentration for aqueous solutions of sodium
dodecylsulphate (from data of Clayfield & Matthews, 1957)
Fig. 5.20 Diagrammatic cross section of spherical micelles in

(A) aqueous and (B) nonaqueous solvents.
235
Hartley suggested that these are essentially spherical:
however, at much higher amphipath concentrations than the
CMC, other shapes can exist (p. 69). In aqueous solutions
micelles have a nonpolar liquid-like interior whereas in
nonaqueous solvents inverted micelles are formed, held
together by polar interaction of the ‘head’ groups (Fig. 5.20).
Theoretical Treatment of Micelle Formation
When amphipathic molecules associate, they form micelles

with a narrow size distribution, the mean number of
molecules per micelle being known as the aggregation
number. The influence of amphipath concentration c,
aggregation number n and charge p of the micelle upon the
proportion of aggregated molecules may then be predicted by
the law of mass action.
For nonionic molecules, p = 0 and
where c is the concentration in terms of single molecules and

x is the unaggregated fraction. Although the activity
coefficient does not remain at unity with increasing
concentration (Fig. 5.21) yet, assuming its constancy for
simplicity, then:
236
Fig. 5.21 Effect of amphipath concentration upon aggregation
into micelles calculated from Eqs. 5.26 and 5.28; (A)
Nonionic or completely ionized micelles (for given
aggregation numbers); (B) Micelles (aggregation number 50)
in different states of ionization (1 = (A50M25)25−, 2 =
(A50M43)7−, 3 = A50 and (A50)50−).
The CMC may now be defined less ambiguously than in the

previous section in the following terms:
(5.25)
that is, at the CMC:
237
(5.26)
Eq. 5.26 would also be applicable to ionic molecules provided

they were completely dissociated whether present singly or as
aggregates. In such a circumstance, however, a large coulomb
attraction would exist between the micelles and their
counterions and consequently dissociation of the micellar
molecules is incomplete. Thus if M+ is a monovalent
counterion, p = n − m and
Generally defining (cf. Eq. 5.25) the CMC as
(5.27)
238
That is,
(5.28)
from which the concentration relative to the CMC may be

computed for all values of x, m and n.
Curves related to Eqs. 5.26 and 5.28 are plotted in Fig. 5.21
showing that formation of micelles with an aggregation
number in excess of about ten produces an abrupt change in
aggregated fraction around the CMC It will also be observed
that partial ionization of micelles enhances this abruptness.
Eqs. 5.25 and 5.27 defining the CMC imply that d2x/dc2 = 0
at the CMC, that is, aggregation is most abrupt at the CMC
An analogous method of defining the CMC is to take the
point corresponding to the maximum curvature in an ideal
solution property/concentration plot as in, that is d3ϕ/dc3 = 0
where ϕ represents the magnitude of a given property such as
conductivity.
An alternative approach is to consider micelle formation as a
process of phase separation. This theory supposes that
micelles begin to form only at the CMC which is then the
saturation concentration for single molecules. Consequently
the addition of further surfactant produces an equal amount of
micellar pseudophase.
Determination of the critical micelle concentration:
Reference to Fig. 5.18 will indicate that a plot of any physical
property against amphipath concentration gives a rough
indication of the CMC of aqueous solutions. Generally the
CMC is taken at the point of intersection of the extrapolated
straight lines on either side of the break in the curve. Other
239
properties not indicated in the figure which have been
applied, include vapour pressure, refractive index, pH and
diffusion coefficient. In order to obtain significant data, good
temperature control is often essential particularly with
refractive index measurements.
The CMC may also be estimated by the addition of traces of a
third component whose absorption spectrum depends upon
the state of aggregation of the amphipath. Marked spectral
changes are frequently observed with ionic amphipaths when
a dye of opposite ionic character is used with it. Thus
pinacyanol chloride is commonly used for anionic amphipaths
and eosin for cationic compounds. Using pinacyanol chloride,
the colour change is from blue above to red below the CMC.
The technique is to dissolve a small amount of dye in a
solution of the amphipath which is above its CMC and to
titrate this with an aqueous solution of the dye. The CMC is
taken as the concentration of amphipath at which a colour
change is first noticed.
Dyes may also be used with nonionic compounds but the
colour changes are much less pronounced and instead
absorption in the ultraviolet region is followed. Another
method which is suitable for use with nonionic compounds is
the iodine method. The technique is similar to that using dyes
except that a trace of iodine is used and the change in light
absorbance with amphipath concentration is followed at a
suitable wavelength in the ultraviolet region. A sharp change
in the slope of a plot of absorbance versus the logarithm of
amphipath concentration indicates the CMC.
Because the interior of micelles in aqueous solution is
essentially hydrophobic, water-insoluble compounds are able
to dissolve in it. This behaviour is known as solubilization (p.
71). Thus the solubility of the added compound increases
markedly at concentrations of amphipath above the CMC In
240
practice an excess of an oil-soluble dye such as Orange at
may be used, the amount taken into solution being determined
colorimetrically. Alternatively, solutions of varying
amphipath concentration may be titrated with the third
component when observation of turbidity may be all that is
necessary to detect the limit of solubility. Care must however
be exercised in order to ensure that equilibrium has been
attained.
For further details the reader is referred to the review by
Mulley (1964). There is not always perfect agreement
between the various methods, particularly when comparing
those which do not involve the addition of a third component
with those which do. The third component might well be
expected to affect micelle formation, the CMC frequently
being lowered.
Factors Affecting Micelle Formation
Thermodynamic factors: Hartley suggested that small

aggregates begin to form at the CMC and’ that these grow
rapidly over a small concentration range to a limiting size
which is then independent of further increase in
concentration. Mass action theory (Fig. 5.21) shows that
slight aggregation is to be expected below the CMC
Association between hydrocarbon chains reduces the free
energy which results from the disruption of hydrogen bonds
in aqueous solution. However, formation of large aggregates
in very dilute solutions would be most improbable but dimer
formation is known to occur with sodium dodecylsulphate
and some soap solutions.
Micelle formation is encouraged by those factors which
produce a decrease in the free energy when
241
hydrocarbon–water contact is reduced (p. 49) namely, a
decreased water structuring (+ΔS) and a decreased
interference with hydrogen bonding (−ΔH). Micellization
may be accompanied by an increase in enthalpy but this is
more than compensated by a relatively larger entropy
increase. Some workers have shown the enthalpy change to
decrease as the alkyl chain is lengthened for a homologous
series of amphipaths, possibly reflecting an increase in
cohesion between alkyl groups in the micelle. Others,
however, have reported an increasing enthalpy of micelle
formation with increasing alkyl chain length. These
differences reflect a different choice of standard state.
Clearly, entropy plays a dominant role in micellization, the
overall mechanism being termed ‘hydrophobic bonding’
(Abu-Hamdiyyah, 1965). Ions however, draw water
molecules to themselves and reduce their tendency to form
hydrogen bonds with neighbouring water molecules. The
effect is to reduce the water structure and therefore there
tends to be a lower entropy contribution with ionic micelles.
This effect would be influenced by the hydration of the
counterion and of the polar head group. Various workers have
found that counterions higher in the lyotropic series (p. 99)
produce higher CMC values and an increase in the size of the
polar group of nonionic amphipaths has a similar effect.
Factors other than those due to hydrophobic bonding
contribute to the free energy of micelle formation. Poland and
Scheraga have considered the influence of aggregation upon
(a) the loss of translational and rotational entropy when a
molecule enters a micelle and (b) the entropy of the
hydrocarbon chain within the micelle. As will be seen from
Fig. 5.22, factor (a), curve 1, would favour the molecules
remaining in a monomeric form, whereas hydrophobic
bonding, curve 2, would favour an aggregate of infinite size.
242
However, when the free energy contribution of factor (b),
curve 3, is taken into account, the total free energy curve of
the system has a minimum at a finite aggregation number but
the free energy in an aggregated form is less than that in the
an aggregated form only above the CMC (Fig. 5.23). If the
solute is ionic, then formation of micelles will involve
bringing like charges together against their mutual repulsion.
The general result of this is to cause ionic micelles to have
smaller aggregation numbers and larger CMC values than
nonionic micelles.
Fig. 5.22 Contribution of various factors to the free energy of

an aqueous amphipath solution (not to scale; from Poland &
Scheraga, 1965)
243
Fig. 5.23 Effect of concentration of amphipath showing a
finite aggregation number for a minimum free energy. A.
Below CMC; B. At CMC; C. Above CMC (from Poland &
Scheraga, 1965)
The hydrocarbon group: Increase in the size of the

hydrophobic group leads to a greater decrease in the free
energy upon micellization, thereby promoting micelle
formation. This results in a decreased CMC and an increased
aggregation number. The free energy change is however less
for branched chains then for straight chains and so the former
have larger CMC values for
a given number of carbon atoms. For a homologous series, the
CMC decreases logarithmically with an increase in the
number of carbon atoms. The presence of a double bond
increases the CMC three or four times.
The polar group: In contrast to the effect of the hydrophobic
group, an increase in length of polar chains (e.g.
polyoxyethylene) decreases the free energy change upon
micellization thereby increasing the CMC and decreasing the
aggregation number. Hydration of the polar group of
polyoxyethylene alkyl ethers occurs through hydrogen
bonding between the ether oxygens and water. Increasing the
length of the oxyethylene chain increases the hydration and
solubility, thereby opposing the formation of micelles. When
a nonionic molecule is transferred to a micelle, the motion of
the oxyethylene chains is restricted to a spiral within the
envelope of a truncated cone (Fig. 5.24). This would be
expected to reduce the entropy of micelle formation. Since the
entropy increase is in fact large, this has been interpreted to
mean that micelle formation involves some dehydration of the
polar groups. These groups are still however, considerably
hydrated in the micelle, Water molecules are probably trapped
244
both within and between the spirals, the proportion of water
to number of oxyethylene groups increasing as the chain
length increases.
Fig. 5.24 Diagrammatic representation of a nonionic micelle

with all but three of the polar groups cut away.
Compared with the large effect that the length of a nonionic

polar group has upon the CMC, the type of an ionic group has
little effect. The CMC does however increase slightly with
increased hydration of the counterions, e.g. Li+ > Na+ >
N+(CH3)4, since hydration causes them to be less closely
attached to the micelle and therefore to contribute less to its
formation. The influence of the ions upon the water structure
(see below) also affects the CMC. Compared with Li+ and
Na+ which break water structure, tetramethyl ammonium ions
enhance water structure thereby producing an appreciably
lower CMC.
The position of the polar group in the molecule influences the
CMC since moving this group towards the middle of a
hydrocarbon chain is equivalent to increasing the branching
of the chain which results in an increase in the CMC The
presence of a second polar group also increases the CMC
245
particularly if it is ionized; the magnitude of the effect also
depends upon the position of the group.
Electrolytes: The addition of salts increases the aggregation
number and decreases the CMC of ionic amphipaths. This
effect is due mainly to the reduced repulsion between the
head groups as a result of the screening action of the
counterions but is slightly modified by counterion hydration
and the effect on the water structure. The effective degree of
dissociation of the enlarged micelles is little influenced.
Although ionic micelles appear to be predominantly
monodisperse in low salt concentrations, there is evidence of
a wider size distribution in the presence of higher salt
concentrations.
Salts have a relatively small effect upon nonionic amphipaths,
its magnitude probably depending upon the hydration of the
salt ions, i.e. a salting out effect, where the more hydrated
ions depress the CMC the most. The anions are more
effective in this than are the cations. Competition for water of
hydration by the salt reduces the hydration of the amphipathic
molecule thereby increasing the latter’s tendency to
aggregate.
If the added electrolyte is also capable of forming micelles,
the CMC of the mixture lies between those of the pure
components. There is however preferential aggregation of the
longer chain ions so that there is a larger mol fraction of these
in the micelle than in the equilibrium unaggregated fraction.
Hydrogen ion concentration: Free fatty acids are less ionized
and less soluble than their alkali metal salts, so that a
reduction in the pH of a soap solution is accompanied by a
reduction in the CMC. As a consequence, the effect of neutral
electrolyte upon the CMC is less at a lower pH where the
micelles have fewer charges. In contrast to this, the effect of
the addition of strong acids to amphipathic strong acids such
246
as dodecylsulphate is comparable to that of neutral
electrolytes, the effect of added salts being similar over a
wide pH range. Strong acids increase the hydrophilic
character of polyoxyethylene groups by oxonium ion
formation of the ether oxygens. This effect predominates over
the salt effect and results in an increase in the CMC of
nonionic compounds.
Nonelectrolytes: The addition of water-soluble compounds
such as urea and glycerol generally raises the CMC. The
tendency for micelle formation is reduced not only by a
decreased structuring of water but also by a decreased
dielectric which increases the repulsion between charged head
groups, and by an increased solvation of the amphipathic
monomer which reduces the enthalpy change of micellization.
The overall influence of a particular additive will be governed
by a combination of these factors. Such effects are modified if
the additive is incorporated into the micelle since this may
tend to increase micelle stability· at low additive
concentrations. Thus a trace of ethanol is shown (Fig. 5.25) to
decrease the CMC only slightly while longer chain alcohols
have a much more pronounced effect (Fig. 5.26). Small
amounts of ethanol increase the solubility and lower the
Krafft-point (see below) but large quantities suppress micelle
formation. The hydrocarbon chains of the alcohols penetrate
the micelle interior while the polar groups remain on the
outside (Fig. 5.34).
Long chains in particular enhance the micelle stability since
the dispersion force interaction in the micelle interior is
increased and the charge density on the micelle surface is
probably slightly decreased. The effect of polar compounds
which form mixed micelles is both concentration and
temperature dependent and as a result the minimum in the
CMC–temperature plot with ionic micelles (Fig. 5.27) is
247
eliminated, the CMC decreasing continuously as the
temperature falls.
Fig. 5.25 Stability of dodecyltrimethylammonium bromide

micelles in aqueous organic solvents at 25°C (from Emerson
& Holtzer, 1967). 1. Dioxane; 2. Propan-1:3-diol; 3. Ethylene
glycol; 4. Methanol; 5. Ethanol; 6. Propan-2-ol; 7.
Propan-1-ol.
Fig. 5.26 Effect of various normal alcohols on the CMC of

potassium tetradecanoate at 18°C (from data of Shinoda,
1954)
248
Fig. 5.27 Variation of CMC with temperature for 1
CH3(CH2)11N(CH3)3Br; 2, CH3(CH2)11SO4Na; 3,
CH3(CH2)11(OCH2CH2)7OH (adapted from Schick, 1963)
The solubility of sodium dodecylsulphate is also increased by

traces of short (C6–Cs) chain alcohols but large amounts of
249
alcohol, which itself has only a small solubility, cause an
alcohol-surfactant gel to separate as a new phase.
Temperature: An increase in temperature influences the
stability of micelles by the following means. First, transfer of
hydrocarbon groups from an aqueous to a nonpolar
environment is normally endothermic and so micelles tend to
become more stable by the hydrophobic bond effect.
Secondly, the dielectric constant is decreased so that ionic
micelles become less stable. Thirdly, thermal agitation
increases, resulting in an enhanced disruptive effect. With
nonionic compounds the second factor is nonoperative and
the first factor outweighs the last. An increase in temperature
decreases the hydration of the molecule with a resulting
increase in aggregation number and a decrease in the CMC.
In the case of ionic compounds, the hydrophobic effect is
probably dominant at lower but not at higher temperatures.
Such an effect produces a shallow minimum CMC near room
temperature. An increase in temperature above that producing
the minimum CMC has been shown to decrease the
aggregation number and to increase the dissociation of
micelles of sodium dodecylsulphate, a sign of the disruptive
effect of thermal agitation.
The solubility of an amphipath is influenced by temperature.
At low temperatures, solid ionic-type amphipath is in
equilibrium with a solution whose concentration is below the
CMC. As the temperature is raised the solubility increases
until it reaches the CMC at which temperature, called the
Krafft-point, the solubility begins to increase very rapidly
(Fig. 5.28). If micelles are treated as a separate (pseudo-)
phase, then the Krafft-point may be
considered as the melting point of the hydrated amphipath
above which it becomes dispersed in solution as micelles. The
solubility of ionic compounds is limited at higher
250
temperatures by the separation of liquid crystals (see below
and Fig. 5.29). Many nonionic compounds do not show a
Krafft-point, since the saturated solution is in equilibrium
with a liquid crystalline phase (Fig. 5.30). High temperatures
however suppress hydrogen bonding thereby reducing the
hydration of the polar chains and cause the solution to
become turbid, the upper consolute temperature being called
the cloud point. The turbidity is caused by the separation of
an amphipath-rich phase, which is not surprising since the
micelles grow rapidly below the cloud point. The dilute
aqueous phase has a concentration roughly that of the CMC
and contains few, if any, micelles.
Fig. 5.28 Effect of temperature upon the solubilities of some

alkyl sulphonates (after Tartar & Wright, 1939)
251
Fig. 5.29 Effect of temperature upon aqueous sodium laurate
systems (shaped areas indicate the existence of more than one
condensed phase) (after McBain et al., 1938)
Fig. 5.30 Effect of temperature upon the system

dodecyl-hexaoxyethylene glycol monoether plus water
252
(dashed lines are estimated boundaries; after Balmbra et al.,
1962)
Structure of Micelles and Liquid

Crystals
Above but close to the CMC, micelles are spherical but as the
concentration of amphipath is increased the micelles may
grow into cylindrical or rod-shaped structures whose diameter
is slightly less than twice the fully extended length of the
monomers. The tendency to form rod-shaped micelles
depends upon the nature of the hydrocarbon chain, with such
factors as length, branching and degree of unsaturation. It is
also influenced by the polar group and the counterion and pH
of ionic compounds while with the nonionic
hexadecylpolyoxyethylene glycol monoether a decrease in
polar chain length leads to increased asymmetry of the
micelles.
These long micelles often have a random orientation but, as
their concentration increases, their freedom of motion
becomes restricted producing viscoelastic solutions. Further
increase in concentration causes some of them to become
closely packed in hexagonal array (Fig. 5.31A) and to
separate out as another phase in equilibrium with a more
dilute solution containing randomly orientated rods. This new
phase which contains the oriented rods is known as the middle
phase. Progressive increase in concentration results first in a
single middle phase and finally in the separation of solid
hydrated amphipath. It should be pointed out however, that
the micelles of some compounds, such as cetyltrimethyl
ammonium chloride (but not bromide) remain spherical at
253
concentrations below that necessary for the separation of a
middle phase. With many compounds a further phase may
separate before solid is produced; this is the neat phase which
has a lamellar structure (Fig. 5.31C). Both the middle and
neat phases form what are known as liquid crystals and are
termed mesomorphous (meso = between, morph = form)
because they have a structure intermediate between that of
true liquids and crystals.
Fig. 5.31 (A) Section of middle phase; (B) Section of invert

middle phase; (C) Section of neat phase.
254
Other mesomorphic states are known. When a water-soluble
amphipath, such as sodium octanoate, is dissolved in decanol
containing a trace of water, inverted micelles are produced,
that
is, the nonionized polar groups of the fatty acid salt are
orientated inwards around a few water molecules and the
hydrocarbon chain extends outwards into the alcohol. If the
proportion of decanol is now reduced while maintaining a
constant proportion of ‘soap’ and water, an inverted middle
phase (Fig. 5.31B) will eventually separate. Continuous
decrease of decanol concentration with increase of the ‘soap’
and water produces, in order, invert middle phase, lamellar
phase and finally middle phase.
With some systems a face-centred cubic arrangement of
spherical aggregates seems to occur. Such structures are
generally observed over only a narrow concentration between
the lamellar (neat) and the hexagonal (middle) phases. It is
probable that with lipids and potassium soaps, the cubic
structure is formed from invert spherical aggregates with the
hydrocarbon chains filling the gaps between the water ‘cores’.
With alkyltrimethyl ammonium bromide the aggregates are
probably not spherical.
It will be observed that the structure of the middle and neat
phases is anisotropic, that is, it varies with direction. The
middle phase is plastic and too stiff to flow under gravity
since the close packed regular arrangement of the cylindrical
aggregates gives it solid character in two dimensions. In the
long direction however, there is liquid-like behaviour since
the cylinders probably vary in length and are not regularly
arranged. The layered structure of the neat phase gives this a
greater fluidity. There is no regular arrangement in the two
dimensions parallel to the layers but in the direction normal to
the layers there is a crystal like periodic arrangement. The
255
neat phase is therefore solid in one dimension and liquid in
two dimensions. It is the ability of the layers to slip over each
other that makes the neat phase more mobile than the middle
phase. Often, drops of neat phase, which are mobile enough
to flow under their own weight, exhibit a stepped surface,
each step height being a multiple of the layer thickness.
X-ray diffraction patterns have been used in an attempt to
confirm postulated micellar structures. Besides a weak
diffraction due to solvent, three bands have been identified in
the more concentrated amphipath solutions. The short-spacing
(S) band corresponds to the repeat distance of about 0.45 nm
for the hydrocarbon chain in the liquid state; the
micelle-thickness (M) band has a repeating distance slightly
less than twice the length of the hydrocarbon chains and the
long-spacing (I) band corresponds to the separation distance
of the structures composing the mesomorphous phase (Fig.
5.32).
256
Fig. 5.32 Interpretation of X-ray diffraction bands.
Liquid crystals are birefringent (have a different refractive

index for the two components of the electric vector of light)
and may be detected and identified by their effect upon
polarized light. Rotation of plane polarized light occurs for
light travelling in any direction other than along the optic axis
of the uniaxial crystal, so that liquid crystals remain visible
when placed between crossed polarizers, whereas light
passing through an isotropic phase would be extinguished.
Under a polarizing microscope, neat and middle phases may
be distinguished by the patterns or ‘textures’ which are
produced (Rosevear, 1968).
Mesomorphism as previously described involves the addition
of a solvent to the amphipath; this is termed lyotropic
mesomorphism. Thermotropic mesomorphism, on the other
hand, involves the production of a liquid crystalline phase
merely by warming a crystalline, generally organic, solid.
This is a transition phase between the solid crystal and
isotropic liquid and gives the compound the appearance of
having two melting points. Three types of mesomorphous
phase have been distinguished, namely smectic (soap-like),
nematic (thread-like) and cholesteric (Chapman, 1965).
The neat phase is an example of a lyotropic smectic state. The
thermotropic smectic state has a similar layered structure
except that the molecules may be arranged as single rather
than double layers since one end of the molecules may fit
neatly to the opposite end of a molecule in an adjacent layer.
Smectic crystals are not orientated in a magnetic field but if
formed by cooling the isotropic liquid in such a field,
orientated crystals are produced. Examples of compounds
exhibiting the smectic state are ethyl p-azoxybenzoate and
octyl p-azoxycinnamate.
257
A nematic structure is occasionally observed with
amphipathic solutions which then have a soft, often stringy,
consistency. The thermotropic nematic state is produced by
heating such compounds as p-azoxyanisole whilst
N-(4-methoxybenzylidene)-4-butylanilene is nematic at room
temperature. Nematic crystals are less ordered than smectic
ones since the elongated molecules are arranged parallel to
one another without the formation of a layered structure.
Normally they are nor optically active but, if twisted between
a microscope slide and cover slip, they exhibit characteristic
microscopic textures somewhat different from those given by
smectic or lyotropic middle phases. Molecules in the nematic
crystal are readily orientated parallel to a weak magnetic
field. The viscosity is therefore dependent on the direction of
the field in relation to the direction of flow.
Cholesteric phases are produced by a number of cholesteryl
esters but not by cholesterol itself. These have a layered
structure quite different from the smectic type. The elongated
molecules lie parallel to each other within the plane of a layer,
their orientation in adjacent layers being slightly displaced.
This displacement arises because the shape of the molecules
influences their fit in adjacent layers and so these latter trace
out a helical path which causes rotation of polarized light.
With nonpolarized light, circular dichromism is observed
giving rise to a multicoloured effect.
Some compounds can exhibit more than one type of
mesophase. Ethyl anisal-p-aminocinnamate, for example,
forms smectic crystals which change to nematic at a higher
temperature. A number of cholesteryl fatty acid esters also
form smectic crystals but these become cholesteric on further
warming.
258
Stability of Micelles
The equilibrium between n1icelles and monomers is a

dynamic one. When suddenly diluted to below the CMC,
some ionic micelles have been shown to have a half-life of a
centisecond or even less. Micelle stability is slightly increased
by an increase in alkyl chain length and is affected to a small
extent by the nature
of the counterion. Traces of hydrocarbon dissolved in the
micelle interior appear to reduce the rate of micelle
breakdown but the formation of mixed micelles by the
addition of long-chain alcohol may not have an appreciable
effect. Micelles formed from mixed anionic and cationic
amphipaths however do appear to breakdown less easily.
Micelle stability increases with increasing concentration of
amphipath above the CMC but decreases with increasing
temperature.
Fig. 5.33 Types of thermotropic liquid crystals.
259
Fig. 5.34 Diagrammatic representation of various sites of
solubilization in aqueous solution. Open figures are
solubilizer; closed figures are solubilizate. Left: ionic half
micelle section; right: nonionic half micelle section
Solubilization
The interior of a micelle has a different dielectric from the
surrounding solvent. Solutions of amphipaths therefore have
the ability of dissolving substances which are insoluble or at
best only sparingly soluble in the solvent alone. This is
known as micellar solubilization, the solubilized substance
being termed the solubilizate.
Solubilizates are incorporated into the micelle in different
ways according to their chemical structure, in particular the
presence and disposition of polar and nonpolar groups.
Saturated hydrocarbons dissolve in the nonpolar part of the
micelle which in aqueous solutions forms the micellar interior
(Fig. 5.34a). Since the M-spacing and thus the volume of the
micelle is increased, more amphipath molecules are
incorporated into the micellar surface to maintain a suitable
260
packing density. There are therefore larger but fewer micelles
and so the I-spacing also increases. Amphiphilic solubilizates,
such as n-alcohols, form mixed micelles; that is, they are
incorporated into the palisade layer of the micelle (b), where
the molecules are orientated to juxtapose the polar groups.
Weakly polar or polarizable groups, such as double bonds,
enable the solubilizate to be drawn deeper into the palisade
layer (c). Incorporation of polar solubilizates tends to result in
increased micellar asymmetry with only slight changes in the
M and I-spacing. Some water-soluble polar solubilizates are
thought to be adsorbed on to the micelle surface (d), but the
validity of this has been questioned (Osipow, 1962). It
appears, however, that complex formation by hydrogen
bonding occurs between polyoxyethylene groups and
aromatic carboxylic acids such as phydroxybenzoic acid or
phenolic compounds such as chloroxylenol (e).
Micellar solubilization can only occur in the presence of
micelles. Often the amphipath forms micelles in the absence
of the solubilizate but occasionally aggregation takes place
only upon addition of the latter. Thus the addition of an
amphiphilic solubilizate to amphipath concentrations below
the CMC may reduce the CMC sufficiently for mixed
micelles to form: a process known as comicellization.
Incorporation of a fourth component to the amphipath–water
solubilizate system may increase the solubility of the
solubilizate; for example, octanol forms mixed micelles with
sodium 3-hendecanesulphate in water thereby increasing the
solubility of a hydrocarbon.
Enhanced solubility of organic compounds may sometimes be
achieved by the addition of nonmicelle forming compounds.
Thus sodium acetate or salicylate greatly increases the
solubility of the bromine. While such an effect is gerterally
due to complex formation or to decreased hydrophobic
261
bonding, various workers have shown that there is a
continuous gradation in solubilizing behaviour between high
molecular weight micelle-forming amphipaths and low
molecular weight nonmicelle-forming amphipaths. The effect
of nonmicelle-forming amphipaths is known as hydrotropy
and is due to a ‘cosolvent’ action, the distinction between
hydrotropy and solubilization being rather vague. Even below
their CMC, soaps are known to increase the solubility of
phenolic compounds.
Factors Affecting Solubilization
Concentration of amphipath: Marked increase in solubility

occurs above the CMC, the solubility often being a linear
function of
the amphipath concentration for dilute solutions (Fig. 5.35). If
the amphipath is more concentrated however, the solubility
may increase more rapidly, reflecting the changing size and
shape of the micelles.
262
Fig. 5.35 Solubilization of Cresol BP in potassium oleate
solution at pH 10.6 and 23°C (soap prepared from Oleic Acid
BP)
Nature of the amphipath: For a homologous series of

amphipaths, solubilization of hydrocarbons is increased by an
increase in alkyl chain length but is decreased by chain
branching. The effect of unsaturation in the chain probably
depends upon the solubilizate. Enlargement of
polyoxyethylene chains of nonionic compounds appears
slightly to reduce their solubilizing power even when
calculated on the basis of weight of solubilizate incorporated
per unit weight of micelle interior. The type of ionic group
also has an effect which is slightly modified by the nature of
the counterion. However, although McBain and Richards
found dodecylamine HCl to be a much better solubilizer than
K laurate (C12), data collected by Mulley (1964) suggest that
superior solubilizing power is not inherent in any particular
class of amphipath. The influence of alkyl chain length upon
solubilization of polar compounds is complicated since these
solubilizates are incorporated in the palisade layer. Instead of
excess solubilizate separating as another phase virtually
devoid of amphipath and water, as occurs with hydrocarbons,
an excess of alcohols, aldehydes and fatty acids causes
separation into two phases each containing a considerable
proportion of amphipath. Each of these phases may be
isotropic, one containing ordinary micelles and excess water
(L1 phase) and the other containing inverted micelles and
excess amphiphile (L2 phase). Alternatively, the two phases
may be L1 and liquid crystalline (LC) phases. In either case, a
turbid emulsion results due to the different refractive index of
the phases. L1 and L2 systems separate with amphipaths
containing the shorter alkyl chains when increasing chain
263
length results in increasing amount of amphiphile which can
be solubilized before separation of an L2 phase. However,
solubilization with the longer alkyl chain compounds is
limited by the separation of an LC phase at a lower
amphiphile concentration than when an L2 phase separates,
and this concentration decreases as the amphipath alkyl chain
is lengthened.
Nature of the solubilizate: Elworthy et al. (1968) have
discussed the effect of the nature of a solubilizate upon the
extent of its incorporation into micelles and conclude that
generalizations apply only to the simplest compounds.
Polarity and polarizability are important, besides molecular
geometry. For a homologous series, whether polar or
nonpolar, an increase in the size of a hydrocarbon group
decreases the solubility in a solution of an amphipath of given
concentration. Branching of alkyl chains has only a small
effect but unsaturation increases the solubility. Cyclization
also tends towards enhanced solubility but this remains low
for the more rigid polycyclic compounds. Polar compounds
are usually more soluble than nonpolar ones although octanol
is less soluble than octane in a decinormal solution of
dodecylamine HCl at 25°C, presumably for reaSl1llS
discussed in the preceding paragraph. Octanol is, however,
more soluble than octane in several other amphipath
solutions. The effect of the type of polar group and alkyl
chain length upon the system sodium
caprylate–water–solubilizate has been illustrated by Mandell
et al. (1967a, b).
Effect of electrolytes: Salts have been shown to enhance the
solubility of hydrocarbons in amphipath solutions. Besides
promoting the formation of micelles as evidenced by a
lowering of the CMC, salts cause an increase in micelle size
with a consequent increase in the volume–surface ratio and
264
presumably therefore an increased solubilizing capacity. The
solubility of some polar compounds is reduced in the
presence of salt and is probably associated with a decreased
solubility causing separation of a liquid crystalline phase.
Effect of nonelectrolytes: Mention has already been made
(p.66) of the effect of water-soluble substances on the CMC.
Similar effects have been noted with regard to the solubilizing
power of amphipaths towards hydrocarbons. For example,
ethanol suppresses both micelle formation and the heptane
and benzene-solubilizing power of cetrimide. Solubilization
behaviour is however influenced by the solvent effects of the
additive and there will exist a partition of both the
hydrocarbon and the polar additive between the micelles and
the extramicellar solution. Sometimes the addition of
water-soluble compounds enables a given amount of
solubilizate to be dissolved using less amphipath: glycerol,
sorbitol and sucrose, for example, reduce the amount of
nonionic amphipath required to solubilize vitamin A. The
addition of hydrocarbons may also increase the solubility of
sparingly soluble compounds. This effect, known as
cosolubilization, is thought to be due to the increased volume
of the micelles upon solubilization of the hydrocarbon. The
cosolubilizing action of long-chain alcohols and hydrocarbons
has already been mentioned (p. 72). Other polar compounds
are also effective cosolubilizers such as long-chain amines or
mercaptans.
Effect of temperature: There is little effect upon the solubility
of liquid hydrocarbons in dilute solutions of ionic amp hi
paths although an increase in temperature can markedly
increase
the solubility of solid solubilizates since the crystal lattice
becomes less stable. The solubility of polar solubilizates,
however, may increase considerably with temperature
265
particularly when solubility is limited by the separation of a
liquid crystalline phase. Increase in’ temperature may also
increase the solubilizing power of nonionic amphipath
solutions but many solubilizates, particularly amphiphilic
ones, lower the cloud point so that the solubility decreases
again as higher temperatures are reached (Fig. 5.36).
Fig. 5.36 Solubilization and cloud point curves of 1 per cent

C10H21(OCH2CH2)10OCH3 solution in the presence of (A)
Decane; (B) Decanol (after Nakagawa & Tori, 1960)
266
Effect of pH: Although pH has little effect on the CMC of
such compounds as alkyl sulphates, the CMC of fatty acid
soaps decreases with a reduction in pH. With the latter
compounds a small reduction in pH results in enhanced
solubilizing power. When the solubilizate is a weak
electrolyte, its degree of ionization is influenced by the
prevailing pH. Since the extent of solubilization may
frequently be considered in terms of the distribution between
the lipophilic interior or palisade layer of the micelle and the
extramicellar aqueous solution (Evans & Dunbar, 1965), a
shift in pH in the direction which suppresses ionization and
makes the solubilizates less hydrophilic will increase the
proportion solubilized. Some compounds such as benzoic acid
also appear to associate with the polar chains of nonionic
amphipaths by hydrogen bonding. A decrease in pH decreases
the ionization of the acid and would increase such binding to
the micelle surface. Regardless of the position in the micelle
occupied by the benzoic acid, it follows that a decrease in pH
results in a decreased extramicellar concentration for a given
total benzoic acid concentration.
Ternary Phase Diagrams
Various physicochemical characteristics of three component

systems at constant temperature and pressure can be mapped
out using triangular coordinates. The diagrams are
constructed using equilateral triangles which have the unique
property that the lengths of the three lines radiating from any
point within the triangle, parallel to the sides and disposed at
an angle of 60° to each other,” add up to the length of one
side. Similarly the composition fractions of the three
components add up to the whole system. Thus point A of Fig.
267
5.37 represents 50 per cent X, 20 per cent Y and 30 per cent Z;
point B represents 30 per cent X and 70 per cent Z and point C
represents pure component Z.
Fig. 5.37 Triangular diagram.
Line CF contains every possible mixture with components X

and Y in the ratio 5:2. Dilution of composition F with
component Z causes the resultant composition to pass through
A and to reach the corner at C at infinite dilution. Line DE
contains every
possible mixture with 20 per cent Y, the proportion of X and Y
varying according to the position on the line. (See also p.9.)
Triangular diagrams are constructed as contour maps each
contour joining those compositions having some property in
common. Thus a phase diagram has contours which
circumscribe those compositions exhibiting the same phase
type.
268
A four component system might be represented as a solid
figure in the form of a regular tetrahedron or an equilateral
triangular prism. Alternatively, the vertical scale of the prism
may be used to represent the influence of temperature or of
amphiphile chain length upon a three component system.
Fig. 5.38 illustrates the triangular phase diagram.
Compositions within the regions denoted by L1 (high
proportion of water) and L2 (high proportion of decanol) are
isotropic containing micelles and inverted micelles
respectively except right in the corners where the soap
concentration is below the CMC. The smectic liquid
crystalline region is delineated near the centre of the triangle
and the two hexagonal mesophases are also shown. Regions
between these single phases are composed of a mixture of the
relevant phases. Thus at low soap concentrations the mixture
separates into two phases (L1 and L2) except when water or
decanol is in extreme excess. Mixtures on the tie-line MN
separate into the two phases whose compositions are M and
N. The proportion of phases of composition M and N depends
on the position of the mixture on the tie-line. Other mixtures
separate into L1 and neat phase, L1 and middle phase or L2
and invert middle phase. Thus mixtures lying on the tie-line
OP separate into two phases of composition O and P.
Between the single liquid crystalline phases are two phase
regions, each phase consisting of a different type of liquid
crystalline arrangement, for example neat and middle. It will
also be noted that there are a number of triangular regions
within which the mixture separates into three phases.
According to the phase rule these form invariant systems, that
is, any mixture within a triangle will separate always into the
phases whose compositions are denoted by the corners of that
triangle. For a given temperature and pressure, only the
relative proportion of the three phases will vary with change
269
in composition of the mixture within the triangle. Thus
mixtures within ABC separate into L1 + L2 + neat; mixtures
within. DEF separate into L1 + middle + neat and mixtures
within GHI separate into middle + neat + hydrated solid.
Fig. 5.38 Phase equilibria for the system sodium

octanoatedecanol–water at 20°C (slightly modified from
Mandell et al., 1967)
Pharmaceutical Application of Solubilization
Drugs of limited aqueous solubility have been solubilized for

both internal and external use. These include oil soluble
vitamins, steroid hormones and antimicrobial agents, the
resulting systems being thermodynamically stable.
Solubilization of orally administered drugs results in an·
improved appearance and may improve an unpleasant taste. It
270
also enables both oil- and water-soluble compounds to be
combined in a single phase system as with multivitamin
preparations. The amphipath must be nontoxic in the
quantities used, have an agreeable taste and odour and be
compatible with other ingredients. It should also possess good
solubilizing power and stability. Cationic amphipaths are the
most toxic but nonionic compounds generally have a low
toxicity and therefore are to be preferred. Because many
nonionic compounds are bitter, careful formulation is required
to keep their concentration to a minimum. The monoesters of
polyoxyethylene sorbitan or of sucrose are commonly used,
often with cosolubilizing agents which may also help to
improve the taste.
Solubilization may lead to enhanced absorption and an
increased biological activity. It improves the intestinal
absorption of vitamin A and the percutaneous absorption of
oestrone. Drug
absorption from ointment bases and suppositories may also be
increased by the presence of an amphipath.
Clear solutions of corticosteroids for ophthalmic use are
achieved using nonionic agents. In order to minimize any
irritant effect, low concentrations of amphipath are required, a
good solubilizing power being essential.
Amphipaths are more toxic when given pilrenterally. Ionic
compounds readily produce haemolysis and therefore only
nonionic compounds are suitable, such as a polyethylene
glycol ether which is used to disperse phytomenadione.
Aqueous concentrates of volatile oils have also been
prepared. Careful formulation is necessary in order to achieve
a concentrate which remains clear upon dilution. Soaps are
used to solubilize phenolic compounds for use as
disinfectants, familiar examples being Lysol and Roxenol.
The soap enables the phenol to become readily dispersed
271
throughout systems, such as drains, to which it is added and
assists penetration into greasy or coagulated material. While
only the phenol in the extramicellar solution is bactericidal
active, the micelle acts as a reservoir tending to maintain a
constant extramicellar concentration as phenol is used up due
to reaction with protein or removal by dirt. The partial phase
diagram for a Lysol is given in Fig. 5.39. Line AF represents
all compositions containing 51 per cent w/w (50 per cent v/v)
Cresol. Compositions B, C and D are clear solutions (L2
phase only) whereas E is cloudy (L1 + L2). If composition B
is diluted with water it will remain clear although L1 is
eventually produced. It is also apparent that composition C
contains the minimum of soap that will enable a Lysol to
remain clear on dilution. Composition D, although clear at
first, will pass through the L1 + L2 region upon dilution but
will eventually become clear as the single L1 region is
reached. This illustrates the use of the ternary diagram which
enables the formulator to decide upon a suitable composition.
Different soaps and grades of cresol can have a profound
effect upon the phase diagram for Lysol. Burt (1965) showed
that p-cresol with sodium oleate produced a three phase
region (L1 + L2 + LC) so that dilution of such a Lysol always
made it pass through a cloudy region.
272
Fig. 5.39 Equilibrium phase diagram for the system potassium
oleate– cresol–water at pH 10.7 and 20°C
Disinfectants are also prepared by solubilizing iodine with

nonionic amphipaths. Such a product is called an iodophore
(meaning iodine carrier) and probably involves a certain
degree of complexing between the iodine and the polar
groups. The use of an amphipath obviates the necessity of
solvents of high glycol content and enables dilution without
precipitation of the iodine. Solubilized iodine volatilizes less
readily and is less liable to stain fabric or corrode metal. It has
however good bactericidal activity and most of the iodine is
readily released to the bacterial cell.
Liquid preparations generally require preservation against
microbial spoilage. The preservative exerts its effect by
dissolution in the aqueous phase. Absorption into micelles
reduces its effective concentration and so larger amounts of
preservative need to be added to maintain a suitable
extramicellar concentration.
The stability of a drug may be enhanced by solubilization.
Vitamin A is more resistant to autoxidation in aqueous
nonionic amphipath solutions than in oil. Similarly the
273
oxidation of aliphatic and aromatic aldehydes is less when
they are solubilized rather than emulsified. It is probable that
the reduced rate of oxidation within micelles is due to dilution
of the solubilizate by the amphipath making free-radical
propagation more difficult. The catalytic effect of metal ions
is also reduced when an aldehyde is solubilized.
Solubilization can also reduce the rate of hydrolysis of ’drugs
such as benzocaine and methantheline bromide. Anionic
amphipaths are better than cationic ones in protecting against
alkaline hydrolysis since hydroxyl ions are repelled by
micelles of the former but attracted by those of the latter. On
the other hand, acid hydrolysis may be promoted by anionic
compounds which attract hydrogen ions, but some measure of
protection may be afforded by the addition of salts whose
cations compete with the hydrogen ions at the micelle surface.
Nonionic amphipaths are also capable of reducing hydrolysis
rates, but if solubilization occurs among the polar groups
rather than in the micelle, interior protection from hydroxyl
ions is not so marked. The site of the hydrolytic process is in
the extramicellar solution. Increasing the amount of
amphipath increases the partition of drug into the micelle
thereby reducing the fraction of drug in the aqueous
environment with a consequent reduction in the rate of
hydrolysis. However, solubilized systems possess a large
micellar surface area enabling rapid transfer of drug in to the
hydrolysis-promoting environment. Emulsified oils with a
much smaller oil–water interfacial area therefore tend to
hydrolyse more slowly.
Further details may be obtained from the reviews by Mulley
(1964), Swarbrick (1965) and Elworthy et al. (1968), which
also contain good bibliographies.
274
Insoluble Monolayers
If the nonpolar groups of an amphipathic compound are
sufficiently large to render it almost completely insoluble,
then traces of the compound will usually spread over a water
surface
to form a monomolecular layer. In such a case the whole of
the ‘solute’ may be said to form the Gibbs excess. As usual,
such molecules will have a preferred orientation with the
polar groups directed towards the water. Such monolayers
may spread not only from liquid amphipaths, or from their
solutions in nonaqueous solvents, but also from the solid.
Spreading from the solid involves a positive entropy change
whereas from the liquid it is negative showing that the
monolayer is disorientated relative to the solid but more
orientated than in the bulk liquid. Such monolayers behave
somewhat like two-dimensional matter in possessing
two-dimensional physical states and exhibiting a surface
pressure, a surface viscosity and a surface potential. They can
form at water–air or organic liquid–air surfaces and also at
liquid–liquid interfaces.
Formation of a Monolayer
The liquid or liquids forming the interface must be very

carefully purified by redistillation in scrupulously clean
apparatus and the trough in which the monolayer is to be
spread must also be freed from minute traces of surface-active
contaminants. When the water–air or water–oil interface has
been formed, residual contamination can be sucked away
from the interface through a capillary.
275
Spreading of the monolayer is generally achieved by
preparing a dilute solution of the surfactant using a pure
solvent which itself has a positive spreading coefficient. For
fatty acids and alcohols at the water–air surface, petroleum
spirit (boiling point 60–80°C) is suitable. An accurately
known volume (0.01–0.05cm3) is injected near the surface
using a micrometer syringe. The solution floats to the surface,
spreads over it and the solvent completely disappears by
evaporation and by dissolution in the ‘subphase’ after a few
seconds. Solvent retention at the surface can occur and this
may influence the properties of a monolayer. Such retention is
minimized by employing the smallest amount of solvent
consistent with complete spreading. If a hydrocarbon is
unsuitable as a solvent, a water-soluble alcohol, ethanol or
propanol, may be used. Alcohol–water mixtures are used to
spread polypeptides, electrolytes being included for protein
solutions. The solvent soon disappears from the interface by
dissolution in the bulk phase in which it becomes extremely
dilute. To ensure that the solute is carried to the surface, the
solvent must have a suitable density, or in the case of an
oil–water interface, the solution must be injected on a suitable
side of it.
Surface Pressure and its Measurement
Since the molecules of the monolayer are confined to an

interface, their kinetic motion in the interfacial plane will
produce a two-dimensional pressure (n) measured in terms of
such units as mN.m−1. This pressure is augmented by
repulsion of ionized groups and opposes the surface tension
of the substrate liquid, or the interfacial tension between two
immiscible liquids, giving rise to a lower tension (Eq. 5.24).
276
The surface pressure may therefore be conveniently
determined by measuring the reduction in the surface or
interfacial tension using a Wilhelmy plate (p. 56).
Just as a change in volume produces a change in
three-dimensional pressure, so a change in the area occupied
by a monolayer results in a different surface pressure.
Measurement of these changes enables π−A plots to be
constructed, analogous to P–V plots, A being the average area
occupied per molecule or per milligram in the case of
proteins.
Knowing, the area of the interface and the amount of
surfactant injected into it, the area available to each molecule
can readily be calculated provided that the molecular weight
is known. The surfactant can be injected in small increments
and the resulting tension measured each time. A disadvantage
of this technique, however, is the necessity to wait many
times for the disappearance of solvent from the interface.
Studies at a water–air surface may be facilitated by using a
rectangular trough made of Teflon, or of glass rendered
hydrophobic by being spread with a Teflon aerosol or coated
with paraffin wax. The water level may then be made to stand
a little above the level of the wall of the trough so that a
hydrophobic bar placed across the trough isolates the liquid
surfaces on either side of the bar. The Wilhelmy plate dips
into the liquid at one end of the trough and the monolayer is
spread on the same ·side of the bar. By moving the bar
towards the plate, the area available to each molecule in the
monolayer is decreased (Fig. 5.40). The production of
nonzero contact angles, particularly with rigid films at high
surface pressures, is a source of error.
277
Fig. 5.40 Diagrammatic representation of the trough and
Wilhelmy plate (A) Side view, (B) Plan view. (The surfactant
molecules are not drawn in proportion.)
Direct measurement of the surface pressure can be made

using a film balance otherwise known as a Langmuir–Adam
trough (Fig. 5.41). The Wilhelmy plate is replaced by a ‘float’
or ‘boom’, a thin strip of mica rendered hydrophobic in the
same
manner as the trough. The float lies flat on the water surface
and is suspended from a horizontal torsion wire ·by means of
a stiff wire or rigid plastic plate. It extends almost the whole
width of the trough, the narrow gaps at the ends being sealed
using thin gold or platinum foil or silk treated with petroleum
jelly or plastic threads to prevent leakage of the monolayer
past the float. Motion of the float is monitored by means of an
optical lever. The forte exerted on the float by the monolayer
can then be determined by the displacement of a reflected
light spot, or by the angle of twist to the torsion wire needed
to restore the light spot to its null position.
278
Fig. 5.41 Diagrammatic representation of a film balance: (A)
Side view, (B) Plan view. (The surfactant molecules are not
drawn in proportion.)
Preliminary cleaning of the water surface is facilitated by the

use of movable bars since these can be used to sweep
adsorbed contaminants out of the area to be covered by the
monolayer. A clean surface can then be demonstrated by
reducing the confined surface area when no reduction in
surface tension or build up of surface pressure should be
evident. With the film balance it is important to clean the
surface on both sides of the float.
When the spread monolayer is highly insoluble, the float of
the Langmuir–Adam trough acts as a perfect two-dimensional
semipermeable membrane by allowing free passage only of
the substrate liquid. Direct measurements of the surface
pressure of soluble monolayers can, however, be made using
a PLAWM trough (PLAWM =
Pockels–Langmuir–Adam–Wilson–McB ain). This is similar
to the Langmuir–Adam trough, but it is divided into two
compartments by a thin highly convoluted rubber membrane
under the float. This membrane prevents the seepage of
solution to the surface behind the float.
279
An alternative method of studying soluble monolayers is to of
how the changes in tension by means of a strain gauge as a
film of solution is stretched between two platinum rings.
Various modifications are necessary for studies at the
liquid–liquid interface. For example, the trough and barriers
may need to be made of a less hydrophobic material than
Teflon, such as nylon, while it may be more convenient to·
use a taut plastic band rather than bars to confine the
interfacial film.
Surface Potential and Its Measurement
Adsorption of a monolayer of surfactant molecules at a

water–air or water–nonpolar oil interface changes the
potential across the interface due to the separation of charges
in or around the polar groups. This potential change (ΔV) is
known as the surface or interfacial potential and may be
measured by the air electrode or vibrating plate methods
(Alexander & Johnson, 1950; Davies & Rideal, 1961).
Surface potential measurements can give information relating
to the structure of the monolayer. Fluctuation so the potential
between different parts of the surface indicate a variation in
the packing of the molecules while the actual value of the
potential can give information regarding their orientation. The
surface potential is analogous to the potential difference
between the plates of a parallel-plate capacitor giving the
equation:
(5.29)
280
where N is the number of charges of magnitude Q coulombs
per square metre, d is the distance between the plates, ε is the
dielectric constant (relative permittivity) and εo is the
permittivity of free space (= 4π × 10−7 c2, where c is the
velocity of light in free space in ms−1). For a molecule, the
product of the charge Q and the separation distance is the
dipole moment μ. The distance d is however the separation
distance resolved normal to the plane of the monolayer so that
if the dipoles make an angle θ to the normal then Qd = μcosθ.
Eq. 5.29 then becomes
with N equal to the number of monolayer molecules in each

square metre of surface and ε generally being taken as unity.
Caution must however be exercised in interpreting surface
potentials solely in terms of 1he monolayer structure since the
presence of a monolayer can affect the structure of an
aqueous substrate adjacent to the monolayer.
Surface Rheology and Its Measurement
Two-dimensional distortion and flow of a monolayer is

analogous to the behaviour of a bulk phase in three
dimensions. A wide range of surface mechanical behaviour
can be demonstrated such as viscosity and elasticity in both
dilatation and shear. Thus the surface elastic modulus Ks is
given by:
281
and its reciprocal is the surface compressional compliance
which, for a perfectly elastic film, is also the surface
compressibility Cs given by
(5.30)
so that which is known as the surface

compressional modulus. The compressibility is readily
calculated from π–A plots and its value depends upon the state
of the film, it being small for closely packed monolayers
having the character of a two-dimensional condensed state.
The compressibility of a film and its relaxation time are
important parameters governing the stability of foams and
perhaps some emulsions. The various surface elastic moduli
and their interrelationship have been described by Tschoegl
(1958).
Resistance to a shear stress in the plane of a monolayer is
measured in terms of a surface viscosity (ηs), the unit being a
surface Poise (sP = 1mN.s.m−1). For a surface,
tangential force per metre = ηs × shear rate
so that ηs has the dimensions MT−1 and is related to the
three-dimensional shear viscosity (η) by:
(5.31)
282
d being the film thickness which is of the order of 2 nm for
monolayers. Thus a monolayer having a surface viscosity of
10−4 sP has a viscosity of about 500 P (= 50 N.s.m−2) over its
thickness. A liquid with such a high viscosity would be
termed ‘very thick’ so that monolayers having surface
viscosities of the order of 1 sP or more would generally be
regarded as solid.
Surface viscosities can be determined in a number of ways,
two-dimensional analogues of tube and Couette viscometers
often being employed. The canal method (Fig. 5.42) employs
a trough with movable barriers to apply a surface pressure to
the film and the pressure difference (Δπ) between the ends of
the canal can be measured using a film balance.
Fig. 5.42 Canal method for measuring the surface viscosity of

an insoluble film.
By analogy with the Poiseuille equation
(5.32)
where W and L are the width and length of the canal,

respectively. Since the flowing film drags some of the
283
underlying water, a correction must be applied so that Eq.
5.32 becomes
where ηo is the ‘ordinary’ viscosity of the substrate liquid and

a depends upon the width and depth of the canal. This method
can be used only for insoluble mono layers since partially
soluble ories would tend to desorb from the region of high
surface pressure and be readsorbed on the other side of the
canal.
The drag of the substrate liquid is employed in the so-called
viscous traction method. In one variant of this, a Petri dish
containing the spread film is slowly rotated and a canal
between two concentric wire rings suspended at the surface
retards the motion of the film. The rings are so fixed that the
meniscus between them is slightly concave upwards and talc
particles sprinkled on it enable the rate of rotation of the
midline to be determined. The retardation of the rate of
rotation between the rings is a function of the interfacial
viscosity, the latter being determined by calibration of the
instrument with films of known interfacial viscosity. This
method is suitable for both water–air and water–oil interfacial
films.
Another method, suitable for liquid–air surfaces, also uses
two concentric rings but the inner one is rotated while the
liquid is kept stationary. Liquid motion imparted by the
rotating ring is kept to a minimum by placing a sheet of mica
about 1mm below the surface. Other techniques that have
284
been used include those which determine the damping of the
oscillations of a torsion pendulum.
Creep tests can also be used to study the viscoelastic
behaviour of films. This is best achieved by applying a
constant torsional stress to a ring or biconical disc suspended
in the interface from a torsion wire and observing the
displacement with time. The ring or disc must be concentric
with the circular dish.
Large increases in surface or interfacial viscosity can result
from the formation of mixed monolayers between oil-soluble
and water-soluble surfactants, such as between lauryl alcohol
and sodium lauryl sulphate or cetyl alcohol and cetrimide.
Such monolayers are capable of stabilizing emulsions and
foams. The increased surface viscosity resulting from the
addition of a little fatty alcohol to an ionic surfactant solution
is probably the prime cause of the enhanced foam stability
which is obtained (Davies & Rideal, 1961).
Structure and State of Monolayers
Just as the bulk state is affected by the three dimensional

pressure (P) so changes in surface pressure (π) can alter the
state of a monolayer. By the equation analogous to Eq. 5.31:
it follows that if the monolayer thickness is 2nm, then a

surface pressure of 2mN.m−1 is equivalent to a bulk pressure
of 1MN.m−2 or about ten times atmospheric pressure. Since
surface pressures well in excess of 20mN.m−1 are frequently
encountered, it will be appreciated that such monolayers have
285
a strong tendency to maintain their integrity without
collapsing and in so doing they exhibit a surface
compressibility equivalent to the bulk compressibility of
solids or liquids.
The surface pressure of a monolayer is the resultant of three
components: that due to kinetic motion (πk), that due to
electrostatic repulsion (πr), and the opposing effect due to
cohesional forces (π) which is always negative. Thus:
The effect of these pressure components can be seen in Fig.

5.43. Unionized molecules of straight chain fatty acids or
alcohols can pack very closely to each other in vertical
orientation and cohesion due to van der Waals forces is large.
If a large area is available, these form large clusters up to
several millimetres in diameter and exert only a very small
surface pressure. These clusters behave rather like a
two-dimensional liquid with a few
‘gaseous’ molecules in between: Only when the available area
is decreased so that the groups begin to pack tightly does π
increase appreciably. Further compression of the monolayers
results in large values of π with only a small decrease in A
when the compressibility becomes even smaller due to the
attainment of a two-dimensional solid state. A little more
compression then results in collapse of the film.
286
Fig. 5.43 π−A curves illustrating the effect of: (A) A straight
hydrocarbon chain, octadecanoic acid (stearic); (B) A
hydrocarbon chain bent by a double bond in the middle,
cis-9-octadecanoic acid (oleic); (C) An ionized polar group,
octadecyltrimethylammonium ions on M/2 NaCl
A double bond in the hydrocarbon chain particularly with a

cis configuration prevents close packing of the molecules and
reduces interchain cohesion. The monolayer therefore is much
more expanded than with saturated-chain acids. Similar
behaviour is also observed with other polarizable groups in
the hydrocarbon chain such as with hydroxy acids. At large
areas both polar groups become anchored to the aqueous
substrate so that the molecule occupies a much larger area
than when vertically orientated. Appreciable pressures are
required to detach the second polar group and to force the
molecules into a more or less vertical Orientation. This
monolayer then has the character of an expanded liquid with
the hydrocarbon chains in a more random state than with
straight saturated chains and consequently a higher
287
compressibility. Further compression will force the molecules
into a closer packing with a smaller compressibility having
the character of a condensed film before collapse occurs.
An ionized monolayer, spread on a salt solution in order to
reduce its solubility, has an appreciable surface pressure even
at very large available areas. Repulsion between the polar
groups overcomes the cohesional forces causing the
molecules to fill the surface in a manner analogous to a gas
filling an available space. These monolayers are therefore
termed gaseous.
Interchain cohesion increases with length of the hydrocarbon
chains. Figs. 5.44 and 5.45 show the effect of chain length,
and temperature upon the π−A curves for fatty acids. Fig. 5.44
demonstrates a remarkable similarity to Andrew’s P–V curves
for a gas above and below the critical temperature suggesting
that an increase in interchain cohesion results in a higher
critical temperature. The shallow curves on the right hand
side of the figure represent highly compressible gaseous films
while the steep portions on the left are produced by liquid-like
films of low compressibility. For fatty acids below the critical
temperature (in Fig. 5.44 at about 14° with more than 12c
atoms) a horizontal portion represents a first order transition,
that is, dA/dπ becomes infinite. Monolayers having a mean
area per molecule lying within this transition are composed of
discontinuous regions some/with coherent molecules, the rest
being gaseous. Such a condition leads to surface potentials
which fluctuate from one part of the surface to another.
288
Fig. 5.44 π−A curves for a series of straight chain saturated
fatty acids between 12 and 16°C (from Adam, 1930)
Fig. 5.45 π−A curves for tetradecanoic acid at various

temperatures (from Adam, 1930)
The extreme left hand portion of Fig. 5.44 for the C14 acid
has been enlarged in Fig. 5.45, which shows the effect of
temperature upon the liquid-like state. The steep curves on the
289
right hand side are those for the liquid-expanded state whilst
on the left
hand side the condensed state is found. Between these two
states is another transition, this time for a second order where
dA/dπ is finite. It is known as a liquid-intermediate state and
has a higher compressibility than either the liquid-condensed
or liquid-expanded states. This transition probably involves
the loss of rotational freedom about the long axis of the
molecules thereby creating further area for close packing. The
sequence of phase changes is summarized in Fig. 5.46. Not all
states are given by every compound or at all temperatures.
For example, at low temperatures a liquid condensed film
may change directly into a gaseous film. Some workers have
also distinguished other states such as the superliquid, which
is rheologically liquid but has a compressibility like that of a
solid film; cetyl alcohol behaves in this manner.
Fig. 5.46 Diagrammatic sequence of monolayer states (values

on abscissa represent only the usual order of magnitude)
290
By analogy with a gas, the simple equation of state for a
gaseous film is
(5.33)
where k is the Boltzmann constant, that is, the gas constant

per molecule (R/N). This assumes that the film pressure has
no contribution from cohesional or electrostatic repulsive
forces and is due only to kinetic motion so that π = πk Thus
Eq. 5.33 is a limiting law and can be represented by a
rectangular hyperbola having a value of about 4 × 10−21 J at
room temperature (see also Fig. 5.44). Gaseous films tend to
approximate to such a curve only at areas per molecule
approaching 100 nm2 as shown in Fig. 5.47.
Fig. 5.47 πA−π and π−A−1 plots for ethyl hexadecanoate at

16−17°C
This ideal gaseous film equation (Eq. 5.33) suggests that A

becomes vanishingly small as π becomes very large. A better
equation of state is obtained by taking into account the
effective area (Ao) of the molecule when
291
(5.34)
Films likely to obey Eq. 5.34 are those which are uncharged
(πr = 0) and which have no interchain cohesion (πo = 0).
Interchain cohesion is virtually eliminated at an oil–water
interface since the oil molecules penetrate between the
hydrocarbon chains and satisfy their London attraction forces
(Fig. 5.48). This leads to greater surface pressures for a given
area per molecule at the oil–water interface. The surface
pressures of films of quaternary ammonium ions do however
have an electrostatic repulsion component and the π(A − Ao)
hyperbola is therefore not coincident with the curve for the
oil–water interface. Approximate coincidence with the curve
for the air–water surface implies that the cohesive forces and
the electrostatic repulsive forces are opposite and of nearly
equal magnitude.
Fig. 5.48 π−A curves for hexadecyltrimethylammonium

bromide on salt solution at 20°
Interchain cohesion becomes appreciable in gaseous films

under high surface pressure or in liquid-expanded films. For
an uncharged film π=πk+π0 whence πk=π−π0 and Eq. 5.34
292
becomes
This equation of state is analogous to the van der Waals

equation for real gases and in the case of liquid-expanded
films π0 is nearly independent of A.
Since condensed films have nearly linear π−A plots, their
equation of state can be written
where a and b are constant for a given compound and set of

physicochemical conditions. Comparison with Eq. 5.30 shows
that aA is tilt: surface compressional modulus .
Extrapolation of a linear plot to zero pressure gives
information concerning the packing and orientation of the
film molecules. Saturated straight long-chain fatty acids at
room temperature show both the liquid and solid condensed
states with limiting
areas (A0) per molecules of about 0.24–0.26 nm2 and
0.203–0.205 nm2, respectively. These areas are independent
of chain length at a water air surface (although not at a
water–oil–interface) and indicate a vertically orientated
monolayer. That of the solid condensed state is about
0.02nm2 greater than the area of cross section (0.185 nm2) in
the three-dimensional crystal.
At high surface pressures, many straight-chain compounds
have limiting areas of about 0.205nm2 Besides the fatty acids,
293
this is found with alcohols, amides and esters where
staggering of the polar groups allows the area to be limited
only by the interlocked hydrocarbon chains. Since the cross
section of the polar groups is larger than that of the chains, a
larger limiting area is often found at low surface pressures;
for example, alcohols and esters pack to about 0.22 nm2 and
nitriles to about 0.27 nm2. However, association between the
polar groups by hydrogen bonding, with amides for example,
may ensure a low limiting area given at low surface pressures.
For a given surface pressure, the area per molecule of a
liquid-condensed film decreases slightly with an increase in
chain length due to the increased interchain cohesion. Thus at
5mN.m−1 and 25° a hexadecanoic acid molecule occupies
0.24 nm2 whereas an eicosanoic acid molecule occupies only
0.23 nm2. Under these conditions, tetradecanoic acid would
form only an expanded film with an area per molecule of 0.37
nm2.
The effect of an unsaturated bond depends upon the position
and configuration. A double bond near the middle of the
chain with a cis configuration produces too much bending of
the chain for a condensed film to form whereas the chain of a
trans compound is straighter and can produce such a film.
Condensed films also form if the double bond is next to a
terminal carboxyl group, the liquid condensed phase then
having a limiting area of 0.287 nm2.
Sterichindrance to close packing also results from chain
branching. Thus 16-methylheptadecanoic acid forms a much
more expanded film than octadecanoic acid although both are
saturated C18 acids. If the methyl group is near the middle of
the chain, the film is even more expanded for a given surface
pressure.
Sterols such as cholesterol with a hydroxyl group at the 3
position also form condensed films with a limiting area
294
between 0.37 and 0.42 nm2 according to the stereochemical
configuration of the A and B rings. Such molecules tend to
stand nearly upright at a surface, packing closely to form a
film of low compressibility. The tilt of the sterol nucleus is
affected by the type and position of the polar group.
Sometimes the molecules are caused to lie nearly flat at low
surface pressures and consequently they possess large
limiting areas. Such films have a much greater
compressibility than cholesterol.
A liquid condensed film of a straight-chain fatty acid has been
shown to have an appreciable compressibility, the area per
molecule decreasing from about 0.25 to about 0.205 nm2 due
to a rearrangement of the carboxyl groups. The polar groups
of L-monoglycerides are also closely packed with a limiting
area of about 0.263 nm2 but are not rearranged by
compression. Their low compressibility suggests that the
molecules are held apart bi structure formation between the
polar groups. The head groups of p-alkyl-phenols are also
closely packed with a limiting area of 0.24 nm2. Low
compressibility in this case suggests that the benzene rings
are vertically orientated in a closely packed layer about 0.6
nm thick and that these take up the whole of the compression.
The areas quoted above refer to unionized films and for fatty
acids apply to films spread on dilute HCl or on fresh very
pure water. On water, trace contaminants such as polyvalent
cations may eliminate the liquid-condensed state causing the
solid state to persist down to low film pressures. Alkaline
substrates cause ionization and expansion of fatty acid
monolayers. Although electrostatic repulsion between ionized
carboxyl groups would be expected to have some effect,
association of the carboxyl groups with the hydrated cations
appears to be the prime cause of the expansion.
Liquid-expanded films of octadecanoic acid are produced at
295
pH 13 on solutions of LiOH, NaOH and KOH and it is
probable that the size of the hydrated cation in the surface
increases in the order Li, Na and K, producing the same order
of effect upon expansion of the monolayer. Traces of Ca ions,
however, markedly reduce the expansion effected by
monovalent cations. At pH 8.5, using bicarbonates,
compression of the now incompletely ionized monolayer
causes monovalent cations to be ejected. These changes in the
condition of the monolayer are reflected in tile surface
potential which becomes considerably reduced by dipolar
opposition of the counterions.
The conclusion, therefore, is that the state of a given
monolayer and its transition from one state to another is
influenced by three independent variables. These are the
temperature, surface pressure and the extent to which the
polar groups interact with the liquid substrate. In the latter
case this is affected by the composition of the substrate such
as the presence of electrolytes and the prevailing pH.
Additional to these factors the configuration and size of the
hydrophobic groups influence the cohesive forces and extent
of packing of different monolayers.
Mixed Monolayers
While monolayers of water-insoluble amphipaths such as

octadecanoic acid tend to be coherent, those composed of less
hydrophobic substances tend to be fully solvated, that is, they
are penetrated by water to form two-dimensional aqueous
solutions. Compression of such monolayers causes the water
molecules to be squeezed out at some critical pressure which
is less than 0.1mN.m-1 in the case of octadecanoic acid but
between 28 and 30mN.m−1 for sodium dodecylsulphate.
296
Water-soluble surfactants can also penetrate into an insoluble
monolayer, the free energy of the penetrant molecules being
decreased by dilution in the monolayer. The excess free
energy of mixing monolayers of long-chain alcohols with
some ionic surfactants has been shown to be a minimum
when the monolayer contains equimolecular proportions of
the two components. Interchain cohesion and screening of the
ionic groups by the intervening alcohol groups are both
probably involved in maintaining the integrity of the mixed
monolayer.
Molecular association between two components requires a
strong interaction between the polar groups but this is
accompanied by monolayer penetration only if the soluble
molecules have large enough hydrocarbon groups whereby
they can form a strong interchain cohesion with the insoluble
molecule. Sometimes the association in the· monolayer is
strong enough for stoichiometric complexes to be
distinguished. Thus a cholesterol film on NaCl solution has a
limiting area per molecule of about 0.4 nm2. If the film is
expanded and sodium hexadecylsulphate is injected
underneath, a very large rise in surface pressure occurs upon
recompression with collapse at about 0.6 nm2 per cholesterol
molecule. This indicates that some hexadecylsulphate
molecules become squeezed out of the monolayer upon
compression but that type remaining molecules strongly
adhere in a 1:1 ratio. The surface complex is less stable in the
absence of salt. Some hexadecylsulphate also appears to be
adsorbed underneath the monolayer and this may enhance the
stability of the film.
Similar 1:1 complexes have been found to form between
other amphipaths such as between cholesterol and the
steroidal saponin digitonin while 1:2 or 1:3 complexes have
been detected with some other substances. Many other mixed
297
monolayers also have collapse pressures and areas larger than
those of the pure insoluble component but not all form stable
‘complexes’. Thus molecular association occurs between
long-chain alcohols and sodium hexadecylsulphate but a
stoichiometric relationship is not found. In such cases the
association is strongest when the alcohol possesses a straight
hydrocarbon chain.
Surface association is paralleled in bulk solution by the
formation of mixed micelles or liquid crystals. A thermolabile
complex of cholesterol and digitonin can crystallize from
alcohol. Complexing may also affect certain properties in the
bulk phase. Thus sodium hexadecylsulphate loses its
haemolytic power and is not precipitated by silver nitrate
when its solutions contain an equimolar proportion of
cholesterol. The extent of molecular association at a water–oil
interface is also implicated in the stability of emulsions and
may involve multilayer formation.
Monolayer penetration may be accompanied by a change in
the physical state of the film. Thus a solid film of ergosterol
becomes liquid on injection of saponin or sodium
hexadecylsulphate into the substrate whilst a liquid film of
cholesterol becomes solid op injection of saponin but remains
unchanged with sodium hexadecylsulphate.
If cholesterol is added to a liquid expanded film of a
long-chain fatty acid in the molecular proportion of 1:4, the
bulky cholesterol molecule restricts the oscillatory motion of
the acid molecules causing them to occupy the smaller area of
a condensed film. A mixed monolayer of cholesterol and
lecithin also occupies a smaller area for a given surface
pressure than the sum of the areas of the separate
components. Although it has been suggested that the
components of the film form molecular complexes, it would
seem that the mean molecular area simply reflects the best
298
arrangement of the molecules in accordance with their mutual
attractive forces.
Macromolecular Films
Like monolayers of simple molecules, macromolecular films

can exist in various physical states ranging from gaseous to
solid, compressed films frequently being viscoelastic. They
are more expanded at the water–oil interface than at the water
air surface because of reduced intermolecular cohesion due to
the penetration of oil molecules between the hydrophobic
groups.
Proteins are able to form monomolecular films on water
having a thickness of 1 nm or more. This involves the
unfolding of the molecule and may result in film formation
being irreversible because of the diminution in solubility
which accompanies the exposure of hydrophobic side chains.
At low surface pressures, protein films occupy an area around
1m2mg-1 with the unfolded molecules lying flat on the
surface. Higher pressures cause the hydrophobic side chains
to become orientated away from the water and at collapse
pressures an insoluble coagulum is produced. Interfacial
tensions are a minimum when solutions of proteins such as
gelatin are at the isoelectric point because the molecules then
have a relatively large intra and intermolecular cohesion and
so are likely to pack better at the surface. This tends to be
accompanied by a maximum interfacial viscosity. Greater
adsorption on to solids has been noted by a number of
workers at or near the isoelectric point.
Many hydrocolloids are adsorbed at solid–water and
oil–water interfaces whereby they can stabilize dispersions.
The interface between benzene and acacia, sodium alginate or
299
gelatin solutions takes several hours to achieve an equilibrium
tension presumably due to multilayer formation. Highly
branched stiff-coiled molecules such as acacia form rigid
films whereas unbranched chains such as sodium alginate
tend to produce liquid films. The properties of these films
have an important bearing upon the stability of emulsions. No
denaturation of acacia occurs upon adsorption although the
first layer appears to be irreversibly adsorbed with the film
becoming noticeably rigid within about 20 seconds. The
thickness of an acacia multilayer varies with the type of oil.
Strong films of potassium arabate about 100 nm thick appear
to be formed with aliphatic hydrocarbons whereas weaker
thin films form with benzene.
Various statistical mechanical models have been proposed for
the conformation of adsorbed macromolecules (Hoeve et al.,
1965). It is suggested that the molecule may become anchored
at the interface by only a fraction of the groups along its
length, the rest of the molecule forming loops into the water.
In such an event it is likely that the ends of the molecule are
also anchored at equilibrium. The extent of looping into the
solvent and the resulting thickness of the adsorbed layer can
depend on the solvent. Polymer coils tend to extend in good
solvents and would produce thick layers of low density. The
density of multilayers probably decreases, that is solvation
increases, with distance from the interface.
Biological Membranes
Multimolecular films form the boundary around all living

cells and organelles such as mitochondria and chloroplasts.
They are composed of lipids and protein molecules held
300
together by hydrophobic and electrostatic interactions to form
lipoprotein.
The lipids consist of nonionic amphipaths such as cholesterol
and amphoteric amphipaths called compound lipids.
Compound lipids are long-chain fatty acid esters of alcohols
containing other polar groups; for example, a
glycerophospholipid is based upon glycerol which contains a
phosphoric acid residue and a nitrogenous base this being
choline in the case of lecithins (p. 57). Another phospholipid
is based upon inositol while the sphingolipids are derived
from the unsaturated amino alcohol, sphingosine. Hydrolysis
of some compound lipids also yields sugars such as galactose
from cerebrosides and sialic acids from gangliosides.
Phospholipids predominate in animal cells.
Membranes differ considerably in their lipid and protein
content according to their source and function. Thus myelin
membranes contain a dry weight fraction of over 0.7 of lipid
whereas rat liver mitochondria membranes contain less than
0.3, proteins making up most of the remaining weight. The
proportion of cholesterol in the lipid also varies considerably,
constituting about 0.4 of myelin lipid but only 0.06–0.14 of
mitochondrial lipid and being absent from chloroplast lipid,
while bacterial membranes contain little or no cholesterol.
Unlike films formed at an air–water or an oil–water interface,
biological membranes are bounded on either side by an
essentially aqueous environment. This requires that a
multilayer be formed with the hydrophobic groups orientated
towards each other inside the membrane, with the more polar
groups or molecules exposed on the surface. If the lipids are
extracted from erythrocyte membranes and spread as a
monolayer upon water they occupy twice the area of the
original erythrocyte surface demonstrating that the lipid
portion of the membrane is two molecules thick.
301
Danielli and Davson proposed that cell membranes consist of
a biomolecular lipid leaflet bounded on either side with a
layer of protein molecules (Fig. 5.49). Electron microscopic
evidence for such a structure in membranes forming the
myelin sheath of nerves has been obtained by Robertson
(1967) where the bimolecular lipoprotein forms a repeating
unit about 7.5 nm thick. However the protein does not appear
to be held on the outside of the lipid bilayer merely by
coulomb interaction but some portions of the protein
molecules must penetrate to the interior where they are held
by hydrophobic interactions.
Fig. 5.49 The Danielli–Davson concept of a cell membrane as

modified by Robertson (1967)
Myelin lipids contain a high proportion of saturated and

long-chain fatty acids which favours the formation of a
condensed bilayer. Although containing a considerable
proportion of polyunsaturated fatty acid esters, human
erythrocyte lipids can also form a condensed bilayer within
most of the membrane due to the condensing effect of the
high proportion (0.42) of cholesterol. Such tightly organized
membranes function as permeability barriers. On the other
hand, membranes such as those of mitochondria and
chloroplasts, which are associated with the metabolic activity
of the cell, contain lipids which are rich in polyunsaturated or
302
branched-chain fatty acid esters and contain little or no
cholesterol. These are unable to form condensed bilayers and
are associated with a high proportion of protein. Other, more
loosely organized, structures have been proposed for
organelle membranes which involve two dimensional arrays
of protein interposed by lipid (O’Brien, 1967). One such
model (Fig. 5.50) consists of a bimolecular array of globular
protein having predominantly nonpolar amino acids towards
the centre of the layer, the cavities between the protein
molecules containing the lipid bilayer. It would also appear
that some protein molecules extend right across a single
membrane and may even extend across two membranes when
these are stacked together.
Fig. 5.50 Protein crystal model for membranes showing a

double layer of protein molecules (large circles) with liquid
bilayer regions filling the pores (after Vanderkooi & Gree,
1970, 1971).
Membranes are not only essential for maintaining the

integrity of cells and organelles, but play other vital roles.
They are selective to the passage of substances into and out of
the cell, ranging from electrolytes to large molecules. ‘Active
transport’ mechanisms are frequently encountered which can
be biochemically modified. The difference in permeability of
ions together with the Donnan equilibrium gives rise to a
resting electrical potential which if affected by increasing the
303
permeability of Na+ ‘during stimulation’ gives rise to an
action potential. Many enzymes are bound to membranes
which therefore become the sites for certain metabolic
pathways such as protein synthesis and respiration.
Immunological reactions are also based at the membrane.
The structure and functions of biological membranes have
been reviewed by Gross (1971). Their study has been
facilitated by the use of artificial membranes. The formation
and properties of the latter have been reviewed by Castleden
(1969). Chapman (1968) and Sutton (1969) have also written
short articles.
Liquid–Solid Interface
Interfacial Energy, Contact Angle and Adhesion
A surface free energy γs exists at solid surfaces just as it does

at liquid surfaces. If a liquid surface rests at equilibrium on a
solid then the surface free energies are related by the
equation:
(5.35)
where γsl is the interfacial free energy, γ1, is the liquid surface
energy (numerically the surface tension) and θ, measured
within the liquid, is known as the contact angle (Fig. 5.51).
The surface energies may be considered as surface tensions
but surface tensions cannot be directly measured in the case
of solids. Strictly, Eq. 5.35 should be corrected for the
equilibrium film pressure πe of adsorbed vapour on the
304
solid–air surface when:
Fig. 5.51 Equilibrium contact angle for a liquid on a solid
The work of adhesion Wsl between the solid and liquid is

given by the Dupre equation (see p. 51):
(5.36)
and by combining Eqs. 5.35 and 5.36 we have Young’s

equation:
Strong adhesion between the solid and liquid produces low

contact angles and if the adhesion is equal to, or greater than,
the cohesion of the liquid (2πl) a zero contact angle is
obtained, This is really only a statement of the obvious since
if the molecules of liquid attract those of the solid more
strongly than they do each other, then the liquid will spread
and completely cover the solid surface.
305
Since van der Waals forces operate across all solid–liquid
interfaces there can never be a contact angle of 180°C, that is,
Wsl is never zero. Water on a smooth surface of a pure solid
paraffin wax gives an angle of about 110°C corresponding to
Wsl=48mJ.m−2, a figure close to the interfacial tension
between paraffins and water (see Table 5.4). Polyethylene and
polytetrafluoroethylene give contact angles with water of 94
and 108°C, respectively at room temperature. If a block of
stearic acid is cut, the contact angle will be anywhere between
50 and 105°C according to the direction of the cut with
respect to the bimolecular layered structure of the crystal.
If the surface is composed of small patches of two different
kinds of surface, then the effective contact angle θ is given by
the relationship
(5.37)
where fl is the fraction of surface having a contact angle of θ1.

Surface roughness influences the contact angle. If θ on a
smooth surface exceeds 90°C, roughness increases the contact
angle, whereas if θ is less than 90°C, a decrease is found.
Thus roughened paraffin wax with water can exhibit an
apparent contact angle in excess of 130° whilst mica is
roughened for use as a Wilhelmy plate to ensure an effective
zero angle of contact (see p. 56).
Contact angles are generally affected by motion of the liquid
edge on the solid. When the liquid advances over a dry solid
surface, the advancing contact angle increases while the
receding angle decreases (Fig. 5.52). The reason is that the
receding edge is in contact with a more lyophilic surface due
306
either to liquid penetration into the surface or to removal of
lyophobic contaminants.
Fig. 5.52 Dynamic contact angles
Adsorption on to Solids
Many compounds are adsorbed on to solids from solution.
Clay minerals such as kaolin, bentonite and attapulgite and
antacid powders such as aluminium or magnesium hydroxides
or silicates have been shown to adsorb such drugs as
alkaloids, phenothiazine derivatives and the B vitamins. In
such cases the rate and even extent of adsorption of drugs
from the gastrointestinal tract may be considerably reduced.
Adsorption is often physical due to van der Waals forces of
interaction between the adsorbate and the substrate in which
case it is largely reversible by changes in pH or electrolyte
concentration, but it may be chemical which involves a
chemical reaction at the substrate surface when desorption
may be far less easily accomplished. The extent of adsorption
is influenced by the solvent since this too may be adsorbed,
the polar/nonpolar natures of the solute, solvent and substrate
all being involved. The nature of composite and individual
isotherms has been discussed by Gregg (1961) and Kipling
(1964) while Giles et al. (1960) have classified composite
isotherms relating their shape to orientation of the adsorbate
and penetration of the adsorbed layer by solvent molecules.
307
Rowland et al. (1965) have discussed the adsorption of
macromolecules at the liquid–solid interface. Natural and
synthetic hydrocolloids such as acacia and the cellulose
derivatives and amphipaths such as the saponin glycosides of
quillaia are adsorbed on to the surface of suspended particles
which are not normally wetted by water. This produces an
increase in the hydrophilic character of the solid surface
thereby promoting wetting.
Promotion of Wetting
If a nonzero angle of contact exists between a solid and a
liquid, a suspension of powdered solid in the liquid will
contain a considerable proportion of the ‘powder floating at
the surface attached to air bubbles thereby producing an
unsightly scum or froth. Homogeneity of the suspension may
be difficult or impossible to achieve and shaking may make
matters worse. Such a state of affairs may be observed if
aspirin or precipitated sulphur is dispersed in water. Wetting
of these two solids is accomplished using acacia and the
saponins in quillaia extract respectively. There are many
wetting agents available, initial selection being determined by
the use of the suspension. Gums, cellulose derivatives and
nonionic amphipaths such as the polysorbates are suitable for
internal use. For external applications, ionic amphipaths can
be used but some gums are precluded on account of their
sticky nature. The addition of a wetting agent is essential for
the adequate dispersion in water of a number of powders apart
from those already quoted, cortisone and the sulphonamides
being examples. The foaming and resuspensiori properties
will influence the final choice of wetting agent. A wetting and
deflocculating action may frequently go hand in hand since
308
the wetting agent increases the attraction for the liquid
dispersion medium and, if ionic, confers repulsive charges on
the solid particles.
Young’s equation (p. 84) shows that increasing the work of
adhesion between the solid and the liquid decreases the
contact angle. A similar reduction in contact angle can be
achieved without adsorption on the solid if an amphipath is
merely adsorbed at the liquid–air surface since the surface
tension is thereby reduced. Frequently poor wettability of a
powder arises from the porous nature of the particle surface
which entraps air: penetration of the pores by the liquid is
then required. If r is the effective mean pore radius, then the
capillary pressure ΔP is given by the Young–Laplace
equation (p. 49) as:
This shows that for good pore penetration γl should be as

large as possible. The better wetting agents therefore act
mainly by a specific adsorption on to the solid.
Wetting agents are necessary for fungicide and insecticide
sprays since these have to spread over a waxy cuticle or
penetrate hairy surfaces of leaves and insects (see below).
Some of the best compounds have a high CMC because of
their irregular molecular shape and so high monomer
concentrations are obtainable giving their solutions
exceptionally low surface tensions. One of the better known
of these wetting agents is sodium dioctylsulphosuccinate. A
good wetting action is also necessary for detergent solutions
since intimate contact with the cleaned surface is a
prerequisite for the removal of dirt.
309
Detergency
This is the removal of solid particles and greasy films from
solid surfaces by means of solutions containing amphipaths.
Adsorption of amphipath occurs at both the solid–liquid and
oil–liquid interface thereby reducing γsw and γow. Eq. 5.38,
analogous to Eq. 5.35, shows that θ must decrease as a result:
(5.38)
thereby causing a greasy dirt to ‘roll up’ and to become more

readily detached from the solid surface by gentle agitation
(Fig. 5.53). These globules then form an emulsion or are
solubilized within the micelles. Solubilization probably
occurs to a considerable extent with polar dirt. Lawrence
(1961) showed that soap is concentrated at the surface of
amphiphilic dirt and slowly penetrates it, forming a liquid
crystalline phase. This phase becomes sufficiently mobile to
break away upon agitation, when it becomes diluted to form
an L1 isotropic phase with or without globules of L2 phase
dispersed in it (see p. 72).
310
Fig. 5.53 Illustration of the ‘rolling-up’ process: A. Oil film in
the absence of soap; B. Globules produced in the presence of
soap
Emulsification or solubilization of liquid dirt, or adequate

wetting and deflocculation of solid particles is necessary in
order to prevent the dirt from becoming redeposited.
Emulsification is assisted by a scouring action and by
removal of the dirt into the foam while further adhesion is
prevented by the ‘adsorption of amphipath on to the cleansed
surface. Rinsing involves dilution with water and may enable
some deposition of L2 phase. In such cases a preliminary
rinse in dilute detergent solution should be undertaken.
Commercial detergent formulations contain a number of
additives or ‘builders’. A high proportion of a sequestering
(chelating) agent such as pyrophosphate is incorporated. This
removes polyvalent ions such as calcium present in hard
water which might otherwise cause the detergent–dirt mixture
to produce an insoluble scum and become redeposited. Much
of the solid dirt is also held on to the substrate by adsorbed
polyvalent ions. The inclusion of sodium
311
carboxymethylcellulose in the detergent also reduces the risk
of redeposition of dirt by forming an hydrated adsorbed layer
over the substrate. Liquid detergents also include a
hydrotrope (p. 72) in order to increase the surfactant
solubility. Since rapid solubilization of fatty dirt requires this
to melt, simple surfactant solutions may have an
efficient detergent action only at high temperatures. The
inclusion of an organic solvent such as xylene, in a
solubilized form, enables the detergent to function at lower
temperatures.
Dry cleaning may involve the use of detergent solutions
containing predominantly an organic solvent and water
solubilized within inverted micelles. The water-soluble dirt is
solubilized in this case.
Water Repellenyc
Cationic amphipaths are not good wetting agents for many
purposes. A dilute solution of cetrimide, for example, can
render a clean glass surface hydrophobic by exchange of the
cations so that the hydrocarbon chains of the adsorbed
monolayer extend outward. A high contact angle can also be
obtained by treating such surfaces as glass or steel with a
silicone or a methylchlorosilane. Even the single layer of
methyl groups in a monolayer of these compounds greatly
decreases the adhesion of the surface to water.
Water repellency may be desirable for a number of reasons.
For example, rendering the surface of steam condensers
hydrophobic prevents the formation of a continuous film of
condensed water which would impede the removal of heat by
conduction. A water-repellent surface inside glass vials may
also be desirable so that solutions or suspensions can be
312
drained completely from them. Dimethicones are suitable for
this purpose.
In mineral flotation the wanted ore is rendered hydrophobic
while impurities remain wetted. Small amounts of ‘collectors’
such as zanthates are added to the slurry. These coat the
surface of the ore particles with the alkyl groups on the
exterior (provided only a monolayer is adsorbed) so that the
air bubbles become attached and float the ore. The ξ potential
(p. 100) of the ore particle should be reduced to zero in order
that the work of adhesion we should be as low as possible
since for hydrophobicity Ws1<2γl
Woven fabrics may be rendered hydrophobic by coating the
fibres with silicone polymers or with cationic amphipaths.
The regular small mesh structure of fabrics leads to especially
large effective contact angles. If f1 is the solid fraction of the
surface, Eq. 5.37 reduces to:
since θ2 = 180°.Thus even if θ1 < 90°, the average angl can

be considerably greater than 90°C. This is essential for tents
and raincoats where the receding contact angle must be
greater than 90°C for raindrops to ‘pearl’ off the fabric.
To prevent water penetration through a porous fabric
however, θ1 must exceed 90°C (Fig. 5.54). The curvature of
the meniscus between the fibres produces a negative capillary
pressure which can become very large if the gaps between the
fibres are very small. Some microporous plastics are also
water-repellent and water-proof wound dressings made from
these are required to withstand a hydrostatic head of 50cm.
Such dressings prevent liquid water from penetrating to the
313
wound while allowing the free passage of air and water
vapour.
Fig. 5.54 A contact angle greater than 90° makes a fabric

water-repellent
Numerous examples of water repellency assisted by a broken

surface are to be found in nature. The regular structure of the
feathers of aquatic birds is one such example where it is
essential that the barbules are kept hydrophobic by the
secretion from a special oil gland. Some aquatic insects are
covered with fine hydrophobic hairs which maintain a thin
but permanent film of air around the body. Gaseous exchange
occurs across this air film rendering it unnecessary for the
insect to replenish its air supply. Many plants also possess
highly water-repellent surfaces, due either to a rough waxy
cuticle or to a covering of hydrophobic trichomes.
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Adam NK. The Physics and Chemistry of Surfaces. London:
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Adamson AW. Physical Chemistry of Surfaces. 2nd ed. New
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Balmbra RR, Clunie JS, Corkill JM, Goodman JF. Trans.
Faraday Soc. 1962;58:1661.
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Burt BW. J. Soc. Cosmet. Chem. Br. Edn. 1965;16:465.
Campbell JA, Christian JE, Eaton JR. J. Am. Pharm. Ass. sci.
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Castleden JA. J. Pharm. Sci. 1969;58:149.
Chapman D. Sci, J., Lond. 1965;1(8):32.
Chapman D. Set. J., Lond. 1968;4(3):55.
Clayfield EJ, Matthews JB. In: Schulman JW, ed. Proc. 2nd
Intern. Congr. Surface Activity.1. London: Butterworths;
1957:172–187.
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Elworthy PH, Florence AT, Macfarlane CB. Solubilisation by
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Giles CH, MacEwan TH, Nakhwa SN, Smith D. J. Chem.
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317
Chapter 6
Colloidal Systems
Pharmaceutical materials falling under the category of
colloids include a wide range of substances such as
suspensions of solids in liquids, emulsified liquids, clays, gels
and solutions of soaps and proteins. The feature that is
common to such a variety of systems is the fine state of
subdivision of the dispersed phase. Early investigations were
concerned with preparations such as colloidal suspen sions of
sulphur and gold, and their characteristic properties were
correctly thought to be due to the subdivision of the particles
that were not in true solution. It is now recognized, however,
that colloidality is a state of subdivision attainable with
almost any material under suitable conditions, e.g. soaps form
a colloidal solution in water due to aggregation of soap
molecules, but form a non colloidal solution in alcohol. Some
colloidal sys tems consist of true solutions of very large
molecules, e.g. proteins, or colloidal aggregates of small
molecules.
It is difficult to give a precise definition of the colloidal state
but the following definition is frequently quoted: ‘A colloidal
system is a two phase system, one phase dispersed as minute
particles (disperse phase) throughout the other phase
(continuous phase or dispersion medium). This, however,
ignores such systems as soap films which are of colloidal
dimensions as regards film thick ness. If the term ‘minute
particles’ is taken to include particles which have at least one
dimension lying in the range between 1nm and 1μm, the
definition can be taken to include fibres and films as well as
three-dimensional solid and liquid particles. Emulsions and
318
suspensions used in pharmacy are somewhat coarser than
1μm but are generally included because their behaviour is
similar in many ways to that of true colloids (Hiestand, 1964).
When the dispersion medium is a liquid the colloidal systems
are called sols.
The term colloid (from Greek kolla, which means ‘glue’) has
been applied first by Graham (1851–1861) to solutions of
proteins such as albumin or gelatin and to naturally occurring
gums. He found that crystalline substances could be separated
from ‘colloids’ by placing the mixture inside a bag made of a
thin membrane of animal gut and immersing it in water, since
the colloids remained inside while simple salts diffused out
through the fine pores in the membrane.
The extensive interface between two phases is a predominant
feature of colloidal dispersions and it exerts a considerable
influence on the physical and chemical properties of the
material. In the interior of a solid, the ions, atoms or
molecules are attracted equally to their neighbours by
electrostatic, covalent bonds or van der Waals forces,
respectively, but at the surface unsaturated forces are capable
of interacting with forces emanating from molecules of other
substances. Thus, finely divided solids can adsorb gas
molecules on their surfaces and if the ratio of surface area to
weight of solid is large, they will be effective adsorbents. It
follows also that colloidal particles close to each other will be
mutually attracted but there must be some mech anism
responsible for stabilizing the particles, otherwise the
colloidal suspension could only exist for a relatively short
time before the particles agglomerated.
Before discussing the mechanism of stabilization of colloidal
sols, it is convenient to classify colloidal systems into
lyophobic, lyophilic colloids and associated colloids. By
definition lyophobic colloids are mere suspensions and not
319
solutions. There is little affinity between the solvent and
particle, and the system is thermo dynamically unstable.
Lyophilic Colloids
Systems containing colloidal particles that interact to an
appreciable extent with the dispersion medium (solvent
loving) are referred to as lyophilic colloids. Lyophilic colloids
or sol can be obtained by dissolving the material in the
solvent being used. The properties of the lyophilic colloids
are due to the attraction between the dispersion phase and the
dispersion medium that leads to salvation. Salvation is the
attachment of solvent molecules to the molecules of the
dispersed phase. When water is used as a solvent or
dispersion medium, in that case colloids are known as
hydrophilic colloids. Gelatin, acacia, insulin, and albumin
give hydrophilic colloid and rubber and polystyrene form
lyophilic colloid, with nonaqueous solvent. Lyophilic colloids
comprise true solutions either of very large molecules or of
aggregates (micelles) of smaller molecules that achieve
dimensions in the colloidal range. There is strong attraction
between the solvent and particle and the solutions are
thermodynamically stable. Lyophilic sols differ from
solutions of smaller molecules only in the size of the
molecules, and many molecules of biological interest fall in
this category, e.g. proteins, nucleic acids, starches as well as
synthetic polymers.
320
Lyophobic Colloids
Lyophobic colloids can be classified according to the nature
of the disperse phase and dispersion medium (Table 6.1).
Table 6.1 Nature of disperse phase and dispersion medium in

lyophobic colloids
Dispersed Dispersion
Class
phase Medium
Solid Liquid Sol
Solid Gas Aerosol (smoke)
Liquid Liquid Emulsion
Liquid Gas Aerosol (fog)
Gas Liquid Foam
Gas Solid Solid foam (e.g.
pumice)
Particles in colloidal solution are subject to the same kind of
random thermal motion as are individual molecules, except
that their mean dis placement per unit time is smaller because
of their larger size. The random movement, called Brownian
movement, is observed for particles up to about 2μm, at
which level the particles can be observed under an optical
microscope. To observe particles small in comparison to the
wavelength of light, e.g. <0.1μm, the ultramicroscope has
been used. The suspension is illuminated by a narrow intense
beam of light at right angles to the angle of viewing, when the
particles appear as bright dots against a dark background in
the same way that dust particles can be seen when a beam of
sunlight enters a darkened room.
321
The beam of light appears as a whitish path as it passes
through the suspension. This phenomenon was studied by
Tyndall, and bears his name, the Tyndall effect.
Association Colloids (Amphiphilic

Colloids)
This is a class three of the colloids which deals with
interfacial phenomena, certain molecules or ions, called
amphiphiles or surface active agents. Surface active agents
are characterized by having two distinct regions of opposing
solution affinities within the same molecule or ion. When
surface active agents are present at lower concentration in a
liquid medium, the amphiphiles exist separately and are of
such a size as to be subcolloidal. As the concentration is
increased, aggregation occurs over a narrow concentration
range. These aggregations may contain 50 or more monomers
and are called micelles. Concentration at which micelles are
formed is termed critical micelle concentration (CMC).
Formation of CMC can be explain as, at below the CMC, the
concentration of amphiphiles undergoing adsorption at the
air–water interface increases as the total concentration of
amphiphiles is raised. A point where both interface and the
bulk phase become saturated with monomers is termed as
CMC.
Association colloids can be further classified as follows:
1. Anionic, e.g. sodium lauryl sulphate
2. Cationic, e.g. cetyl trimethylammonium bromide
3. Nonionic, e.g. polyoxyethylene lauryl ether
4. Ampholytic, e.g. dimethyl dodecylammonio
propanesulphonate
322
The main differences between lyophobic, lyophilic and
association colloids are summarized in Table 6.2.
Table 6.2 Comparison between lyophobic, lyophilic and
association colloids
323
Preparation of Lyophobic Sols
Dispersion methods: Grinding of coarse suspen sions in mills
known as colloid mills can reduce particles in a liquid phase
to 1μm and less. Some colloid mills consist of a high speed
rotating smooth disc, separated from a stationary disc by
about 25μm between the two surfaces. Great stresses are
developed in the fluid film between the surfaces and these
disrupt solid particles present in the gap. Rotor dimensions
are such that speeds of between 1500 and 6500m/min are
obtained at the working surfaces. Owing to the unstable
nature of the sol, small amounts of lyophilic colloid or other
stabiliz ing agents must be added to prevent agglomeration of
the colloidal particles.
Condensation methods: Sols can be prepared from an initially
molecular dispersion by controlled growth to colloidal size.
The
experimental condi tions must be carefully controlled to
prevent exces sive growth and hence precipitation of the
particles. During the preparation of sols, von Weimarn found
experimentally that small particles are formed by
precipitation from either very concentrated or very dilute
solutions, while coarse particles formed at intermediate
concentra tions. In concentrated solution many nuclei are
formed simultaneously and growth of these by deposition of
solute present above the saturation point is rapid due to close
proximity of solute molecules to the nuclei. The result is
small colloidal particles of nearly uniform size. In less
concentrated solution, the rate of formation of nuclei will be
less but solute will still diffuse quite rapidly to the smaller
number of nuclei and will produce a coarser sol. In very dilute
solutions, the growth process will be slower, although new
324
nuclei will still be forming from the supersaturated solution,
and the resulting particles, again colloidal, will be less
uniform in size.
Besides these precipitation methods for produc ing sols, other
chemical processes can be used. For example, colloidal ferric
hydroxide can be formed by boiling a solution of ferric
chloride and allow ing the escape of the HCl produced by the
hydrolysis
Colloidal sulphur sols can be produced by the decomposition

of dilute solution of sodium thio sulphate in the presence of
acids.
In the preparation of colloidal silicic acid, a solution of
sodium silicate is added to excess hydrochloric acid and the
sodium chloride removed by dialysis:
Colloidal sols of the noble metals can be obtained by striking

an arc between electrodes of the noble metals immersed in the
dispersion phase. The metal vapour, produced by passing a
large current, condenses in the liquid phase, to which may be
added traces of electrolyte in order to stabilize the colloidal
particle.
Colloidal solution of gold, e.g. Gold (198Au) Injection BP is
prepared by reducing a salt of gold-198 with a reducing agent
such as dextrose in alkaline solution in the presence of
gelatin.
Where a chemical or electrical method may not be applicable,
sols may also be prepared by adding a solution of the
substance to a second liquid which is a poor solvent for the
original solute, e.g. sulphur in ethyl alcohol added to water.
In all these cases, the colloidal particles formed may tend to
clump together or flocculate unless additional substances are
325
added to stabilize the sols. The addition may be trace
electrolytes or protective colloids. This is discussed later.
Purification by Dialysis
Low molecular weight impurities, e.g. electrolytes, can be
separated from colloidal particles by dialysis. The process is
most simply carried out by enclosing the solution in a
cellophane sac which is immersed in a large vessel of water.
Cellophane tubing, tied off at each end, is usually used. The
pores in cellophane membranes are sufficiently large for low
molecular weight solutes to pass through whilst retaining the
larger colloidal particles. Other mem branes that are suitable
for aqueous sols include parchment, collodion and cellulose
acetate. If electrolyte is present in the colloidal sol it diffuses
through the pores of the membrane and, by repeatedly
changing the water, diffusion will continue until the dialysate
remaining is substantially free from electrolyte.
This process is relatively slow and the dialysis of electrolytes
can be greatly facilitated by the applica tion of a direct
current. For this purpose an apparatus illustrated in Fig. 6.1 is
used. This technique, known as electrodialysis, is thus a
combination of dialysis and electrolysis. The colloid to be
purified is introduced into the middle section which is
separated from the right and left sections by dialysis
membranes. Provision is usually made for circulation of water
on both sides of the colloid, and the removal of the electrolyte
is achieved by direct current applied by means of electrodes.
326
Fig. 6.1 Electrodialysis cell.
Recently electrodialysis has come into promi nence in

connection with the desalination of water. The success of this
operation is due to the develop ment of membranes which
will pass only negatively charged or only positively charged
ions. This enables multicompartment dialysis cells to be used
where the cationic membranes are only permeable to cations
and the anionic membrane only per meable to anions. The
migration of anions and cations to the relative cell
compartment enables deionized water to be collected in the
alternate compartments as shown in Fig. 6.2.
327
Fig. 6.2 Demineralization of water by electrodialysis; CM,
cationic membrane; AM. anionic membrane.
A modification of the electrodialysis technique is

electrodecantation developed by Pauli. The colloid is not
stirred and because of its charge will be pulled towards one of
the membranes and hence the density near the membrane is
increased and the dense solution sinks to the bottom. This
provides a method of preparing concentrated colloids as the
dense lower layer can be removed and more fresh solution
supplied to the cell.
Electrophoresis convection is an extension of this method and
is used to fractionate mixtures contain ing colloids of
different mobilities. The component with the highest mobility
will reach the membrane first, sink and become concentrated
in the bottom of the cell while the less mobile will be
enriched in the top of the cell. Suitably designed cells have
328
been used to separate proteins into pure fractions, e.g.
γ-globulin.
Dialytic separations may also be effected by ultrafiltration
(Ferry, 1936). This process differs from dialysis only in that
the passage of the electrolyte solution through the membrane
is accelerated by applying pressure. The membrane needs to
be supported on a sintered glass plate to prevent rupture as
considerably high positive pressures are required to achieve
reasonable rates of filtration. The pore size of the membranes
can be increased to some extent by soaking them in solvents
that cause swelling, e.g. cellophane swells in zinc chloride
solutions, collodion membranes swell in alcohol. Although
there is adequate information in the literature on methods of
preparing collodion (nitrocellulose) membranes by controlled
evapora tion of alcohol–ether solutions, it is difficult to obtain
reproducible pore sizes. In practice it is more usual to use
commercially available material such as cellophane which is
available in tube or sheet form.
An example of the use of dialysis in pharmacy is the
purification of enzymes such as pepsin. The form of pepsin
known as precipitated pepsin is prepared by scraping off the
mucous membrane of the lining of the stomach of the pig and
steeping in diluted hydrochloric acid for some time. The
extracted pepsin is then precipitated by adding a saturated
solution of sodium chloride, separated by filtration,
redissolved in water and dialysed. The sodium chloride and
hydrochloric acid pass through the membrane; the pepsin
remains in colloidal solution as the dialysate, from which it
may be later pre cipitated by the addition of alcohol.
Fractionation of enzymes by fractional precipita tion from
solution may be effected by ‘salting out’ with ammonium
sulphate; dialysis or electrodialysis is then used to remove the
contaminating electrolyte. Prolonged electrodialysis can
329
sometimes cause inactivation owing to removal of a
coenzyme. For instance, malt amylase becomes inactivated in
this way and subsequent addition of salts to the deionized
material is necessary to restore its activity.
The success of the artificial kidney machine depends on the
reduction of blood urea by passage of the patient’s blood
through coils of cellophane tubing immersed in suitable
rinsing fluid. The molecular composition is designed to create
a diffusion gradient from blood to rinsing fluid of substances
which are present in excess in the blood (e.g. urea) and from
the rinsing fluid to blood of substances which are deficient in
the body (e.g. bicarbonate), while the concentration of those
diffusible substances which are present in normal amounts in
the blood is kept unaltered by having them present in the
same concentration as in the rinsing fluid. The length of the
tubing is about 60m giving a dialysing surface area of just
over 3m2. Other kidney dialysis units utilize sheets of
dialysing membranes in place of coils.
Cellophane is an ideal semipermeable membrane for
haemodialysis as its pore size is such that electrolytes, urea
and glucose can all pass freely across it, while the larger
molecules such as the plasma proteins, lipid fractions and
blood cells, cannot pass. The cellophane tubing does not
allow bacteria to pass across it, so that only the inside surface
need be sterilized. The method of operation is discussed by
Anderson (1964) and shown schematically in Fig. 6.3.
330
Fig. 6.3 Circuit diagram of artificial kidney (Anderson, 1964).
The cellophane coils are supported on a drum rotating in the
electrolyte solution.
Properties of Colloidal Systems

Properties of the colloids can be classified into three
categories such as optical properties, kinetic properties and
electrochemical properties which are summarized in detail as
follows.
Optical Properties
Ultramicroscope
The electron microscope is capable of giving actual pictures

of the particles, and it is capable of yielding the size, shape
and structure of colloidal particles. The success of the
331
electron microscope is due to its high resolving power. Light
passed in a convergent beam transversely through a sol is
scattered and polarized by the dispersed particles and the path
of the beam when examined laterally is seen as an illuminated
cone. A true solution, examined similarly, appears opti cally
empty, i.e. the Tyndall effect is absent. The ultramicroscope
is simply a device for observing the Tyndall effect
microscopically. The microscope is perpendicular to the beam
of light passing through the sol in a shallow glass cell. The
colloidal particles appear as bright spots against a dark
background, similar to dust particles seen in a beam of
sunlight in a darkened room. The actual shape cannot be seen
but from the concentration of the sol and the dimensions of
the cell, the number of particles per unit weight of dispersed
phase can be calculated and hence the average particle size.
The normal optical microscope method will not resolve
particles less than wavelength of visible light (0.4–0.8μm).
Particle size of colloids can be roughly determined by
ultrafiltration through membranes of known pore size. Elford
(1937) prepared nitrocellulose membranes with graded pore
size by controlling the solvent composition in which the
nitrocellulose was dissolved; good solvents favour dispersion
and give dense membranes of small pore size while poor
solvents produce more open membranes. Elford found that
the size of large particles passing through the membranes
corresponded fairly well with the pore size, but smaller
particles (e.g. virus particles) were held back by membranes
whose pore size was larger than the particle, probably due to
adsorption effects. One big disadvantage of the electron
microscope for viewing colloidal particles is that normally
only dried samples can be examined. Consequently it usually
gives no information on salvation or configuration in solution,
and moreover, the particles may be affected by sample
332
preparation. A recent development that overcomes these
problems is environmental scanning electron microscopy
(ESEM), which allows the observation of material in the wet
state.
Light Scattering
When a light beam is passed through a colloidal solution, the

intensity of the scattered beam depends upon the following
factors: (1) intensity of the incident beam, (2) wavelength of
the incident beam, (3) difference between the refractive index
of the particle and the medium, (4) volume of the particles
and (5) the number of particles which scatter the light. In
some cases the intensity of light scattered at different angles
may differ and can be used to give some indication of the
shape of macro molecules. The work of Debye, Doty, Zimm
and others (1944–1949) led to prediction of equations which
correlate the molecular weight M with the intensity of
scattered light. This relation, in the case of uncharged species,
is expressed by the equation:
where τ is the turbidity measured at 90° to the incident beam,

C the concentration of solute (grams per litre), M is the
molecular weight and B is the interaction constant which, as
in osmotic pressure measurements, depends on the degree of
nonideality of the solution. The proportionality constant H is
a complicated function of the wavelength of incident light,
333
refractive index and rate of change of refractive index with
concentration.
A plot of HC/τ versus C should give a straight line at low
concentrations and extrapolation to infinite dilution will give
the value of I/M and hence the molecular weight.
Kinetic Properties
Ultracentrifuge
Colloidal particles cannot be sedimented in the usual

laboratory centrifuges because, being small and light, they are
kept in random motion. If the particles (up to about 2μm
diameter) are observed under a microscope or the light
scattered by colloidal particles is viewed using an
ultramicroscope, an erratic motion is seen. This movement is
referred to as Brownian motion, after Robert Brown who first
reported his observation of this phenomenon with pollen
grains suspended in water in 1827.
Centrifugal force of upwards of 4,00,000g in the
ultracentrifuge originated by Svedberg, is required to produce
sedimentation at a reasonable rate. In this instrument the sol is
placed in a glass cell in the centrifuge rotor and arranged so
that light passing through the cell may be photographed. The
centrifuge is rotated at 50,000 rev/min and higher and the rate
of sedi mentation is derived from the change in light
adsorption, or refractive index of the sol during
centrifugation. It is possible not only to estimate molecular
weight but also to determine the relative homogeneity of the
system with respect to molecu lar weight. The molecular
weight of proteins has been calculated from sedimentation
334
velocity, e.g. pepsin 35,500, insulin 41,000, gelatin,
10,000–70,000.
Osmotic Pressure
The method is based on van’t Hoff’s law, according to which

the osmotic pressure p depends on molar concentration of the
solute and on temperature. This is shown in the following
equation, where C represents concentration (in grams per
litre), M molecular weight and T absolute temperature:
The equation is valid for very dilute solutions in which the

molecules do not interact mutually. However, if association
occurs, the plot of reduced osmotic pressure, p/C against C,
will not be linear and it is necessary to extrapolate the curve
to infinite dilution to obtain RT/M.
Osmotic pressure is inversely proportional to molecular
weight, so that the pressures observed for, say, proteins of
molecular weight 50,000 will be very low and special
osmometers are employed. The dialysis membranes used for
osmometry are permeable to small ions and the distribution of
ions across membranes led to discrepancies in the
measurement of the molecular weights of polyelectrolytes
such as proteins. The protein molecule is a colloidal ion with
several charges balanced by normally sized ions. Donnan in
1911 found that the invariably low results for molecular
weight obtained from osmotic pressure measurement were
due to the unequal distribution of ions across the membrane.
He found that by dissolving the protein in electrolyte solution
335
(0.1M or higher) and using the same salt solution outside the
membrane, he was able to swamp out the Donnan effect.
Diffusion
Because of the Brownian motion, colloidal particles

spontaneously diffuse from a region of higher concentration
to one of lower concentration. The rate of diffusion is
expressed by Fick’s first law:
where D is the diffusion coefficient and has the dimensions of

area per unit time. dq is the mass of substance diffusing in
time dt across an area S under the influence of a concentration
gradient dc/dx (the minus sign denotes that diffusion takes
place in the direction of decreasing concentration).
It is assumed that if colloidal particles are to be approximately
spherical, the following equation suggested by Sutherland and
Einstein can be used to calculate the radius of the particle and
the molecular weight.
where D is diffusion coefficient, R is molar gas constant, T is

absolute temperature, η is viscosity of the solvent, r is the
radius of the spherical particle and N is Avogadro’s number.
Molecular weight of an approximately spherical particle can
be obtain by diffusion coefficient (such as egg albumin and
336
haemoglobin) using the following equation:
where M is the molecular weight and the partial specific

volume of the colloidal material.
Sedimentation
Consider a spherical particle having radius a and density σ

falling in a liquid of density ρ and viscosity η. Then velocity v
of sedimentation is given by Stokes’ law:
(6.1)
where g is acceleration due to gravity. If the particles are

subjected only to the force of gravity, then as a result of
Brownian motion, the lower size limit of particles obeying
Eq. 6.1 is about 0.5μm.
A stronger force than gravity is therefore needed for colloidal
particles to sediment, and use is made of a high-speed
centrifuge, usually termed an ultracentrifuge, which can
produce a force of about 106g. In a centrifuge, g is replaced
by ω2x, where ω is the angular velocity and x the distance of
the particle from the centre of rotation, and Eq. 6.1 becomes:
337
(6.2)
The ultracentrifuge is used in two distinct ways in

investigating colloidal material, i.e. sedimentation velocity
and sedimentation equilibrium. In the sedimentation velocity
method a high centrifugal field is applied up to about 4 ×
105g and the movement of the particles, monitored by
changes in concentration, is measured at specified time
intervals.
In the sedimentation equilibrium method the colloidal
material is subjected to a much lower centrifugal field until
sedimentation and diffusion tendencies balance one another,
and an equilibrium distribution of particles throughout the
sample is attained.
Sedimentation velocity: The velocity dx/dt of a particle in a
unit centrifugal force can be expressed in terms of the
Svedberg coefficient s:
(6.3)
Under the influence of the centrifugal force, particles pass

from position xl at time tl to position x2 at time t2: the
differences in concentration with time can be measured using
changes in refractive index and the application of the
Schlieren optical arrangement, whereby photographs can be
taken showing these concentrations as peaks. Integration of
Eq. 6.3 gives
338
(6.4)
Using the above limits gives: By suitable manipulation of

Eqs. 6.2, 6.3 and Eqs. 6.4 an expression giving molecular
weight M can be obtained:
where is the specific volume of the particle.

Sedimentation equilibrium: Equilibrium is established when
sedimentation and diffusion forces balance. Sedimentation
and diffusion equations are combined in the analysis, giving:
where C1 and C2 are the sedimentation equilibrium

concentrations at distances x1 and x2 from the axis of rotation.
A disadvantage of the sedimentation equilibrium method is
the length of time, often as long as several days required to
attain equilibrium.
Viscosity
Viscosity is an expression of the resistance to flow of a fluid

under an applied stress. An equation of flow applicable to
colloidal dispersions of spherical particles was developed by
339
Einstein:
(6.5)
where ηo is the viscosity of the dispersion medium and η the

viscosity of the dispersion when the volume fraction of
colloidal particles present is ϕ.
A number of viscosity coefficients may be defined with
respect to Eq. 6.5
These include relative viscosity
(6.6)
and specific viscosity as
(6.7)
Or
(6.8)
Because volume fraction is directly related to concentration,

Eq. 6.8 may be written as:
where C is the concentration expressed as grams of colloidal

particles per 100ml of total dispersion. If η is determined for a
number of concentrations of macromolecular material in
340
solution and ηsp/C is plotted versus C, then the intercept
obtained on extrapolation of the linear plot to infinite dilution
is known as the intrinsic viscosity [η]. This constant may be
used to calculate the molecular weight of the macromolecular
material by making use of the Mark–Houwink equation:
where K and α are constants characteristic of the particular

polymer–solvent system. These constants are obtained
initially by determining [η] for a polymer fraction whose
molecular weight has been determined by another method,
such as sedimentation, osmotic pressure or light scattering.
The molecular weight of the unknown polymer fraction may
then be calculated. This method is suitable for use with
polymers such as the dextrans used as blood plasma
substitutes.
Electrical Properties of Colloids
Most surfaces acquire a surface electric charge when brought

into contact with an aqueous medium, the principal charging
mechanisms being as follows. In ion dissolution ionic
substances can acquire a surface charge by virtue of unequal
dissolution of the oppositely charged ions of which they are
composed. For example, the particles of silver iodide in a
solution with excess [I−] will carry a negative charge, but the
charge will be positive if excess [Ag+] is present. Because the
concentrations of Ag+ and I− determine the electric potential
at the particle surface, they are termed potential determining
ions. In a similar way H+ and OH- are potential determining
341
ions for metal oxides and hydroxides such as magnesium and
aluminium hydroxides. The properties of the colloids that
depend on, or are affected by, the
presence of the charge on the surface of a particle are
discussed under the heading electric properties of the colloids
Ionization
Soaps in aqueous solution form micelles of colloidal size, in

which the molecules are orientated with their hydrocarbon
chains forming the interior of the micelle and their polar
groups forming the outer layer. Consider fatty acid soap,
CnH2n + 1 COONa which ionizes to CnH2n + 1 COO−Na+ in
water. The colloidal particle is thus a colloidal anion and the
Na+ ions set free into the aqueous solution form the outer
layer of the double layer. Proteins are another group of
substances in which the electrical charge arises by ionization.
Proteins contain both basic and acidic groups in the molecule
and are termed ampholytes or amphoteric electrolytes. In
alkaline solution the acidic group COOH will ionize to COO−
so that the particle carries a negative charge. In acid solution
the basic group NH2 will ionize to NH3+ so that the particle
now carries a positive charge. At a certain definite pH, the
total number of positive charges will equal the total number
of negative charges and the net charge will, therefore, be zero.
This pH is known as the isoelectric point. The protein is
probably ionized at the isoelectric point, existing in the
zwitterion form but the net charge is zero provided no other
ions are adsorbed. The electrical state of the protein mol ecule
can thus be depicted as:
342
(R denotes the residue of the protein molecule)
(A protein is least soluble at its isoelectric point and is readily
precipitated. The protein, insulin, is pre cipitated from
aqueous alcohol by adjusting the solution to the isoelectric
point of insulin pH 5–6.)
Adsorption
The preferential adsorption of an ion by a particle is

responsible for the charge on nonionizing particles, e.g.
addition of Fe3+ ions to freshly precipi tated ferric hydroxide
will produce a sol of hydroxide; the Fe3+ ions are adsorbed by
the particles of ferric hydroxide and the Cl− ions form the
outer shell of the electrical double layer. The spontaneous
dispersion of a precipitate on the addition of a small amount
of a third substance is known as peptization, a term
introduced by Graham. The substance, generally an
electrolyte, causing this dispersion is called a ‘peptizing
agent’.
The presence of the electrical double layer gives rise to the
electrokinetic effects electrophoresis, electro-osmosis and
streaming potential.
Electrophoresis
Electrophoresis is the movement of colloidal particles with

respect to the liquid when a potential difference is maintained
343
across the sol. The zeta potential can be calculated from the
mobility of the particle.
Spherical particles—small in comparison with the thick ness
of the double layer. These include protein molecules, fine
silver iodide sols, etc. The derivation made by Debye and
Hückel was that if the exter nally applied potential gradient is
E and the charge on the particle, Q (coulombs), the particle
will experience a force QE tending to accelerate it in the
direction of the field. The hydrodynamic resistance to its flow
is given by Stokes’ Law as 6πηrv where η is viscosity, v the
particle velocity and r the particle radius. The particle moves
with a constant velocity as the two forces rapidly attain
balance. The velocity of the particle in an electric field of 1
eV/cm is given by:
For spherical particles the relation between Q and the zeta

potential ξ in a liquid of dielectric constant D is:
If ξ is expressed in millivolts, v in µm/sec per V/cm, the

equation becomes ξ = 21.2v for water at 20ºC.
Particles—large compared with the thickness of the double
layer. Particles visible under an optical microscope belong to
this category. The particle and its double layer are more
appropriately treated as a parallel plate condenser. The
equation relating zeta potential to its measured mobility
becomes:
344
This is generally referred to as Smoluchowski’s equation. For
water at 25°C this expression is reduced to:
where ξ is expressed in millivolts and v in µm/sec per V/cm.

Experimental methods: The electrophoretic mo bility of
colloidal particles can be measured from the rate of
movement of the boundary of a sol using a simple U-tube
apparatus shown in Fig. 6.4.
345
Fig. 6.4 Electrophoresis cell (moving boundary).
The apparatus is designed so that a sharp boundary is formed

between the sol and an electrolyte solution of the same
concentration as that in the sol. If the sol is coloured or
opaque, e.g. gold sols, emulsions, the position of the
boundary can be followed visually. If the sol is colourless,
then the boundary has to be observed by measuring the
change in refractive index along the column using special
optical equipment (Schlieren method). This technique is used
for the studying of the electrophoretic mobility of components
in mixtures, e.g. proteins.
If the colloidal particles are visible under a microscope, an
alternative method of electrophoresis is possible. This is
microelectrophoresis, where direct observation is made of the
movement of the particles. A cylindrical microelectrophoresis
cell is shown in Fig. 6.5. At each end of the tube is a porous
plug leading to a reversible electrode (Ag–AgCl, Cu–CuSO4,
etc.) and a tap is provided for filling and cleaning. For low
salt concentrations (below about M/100) platinum electrodes
may be used.
Fig. 6.5 Microelectrophoresis cell.
The cell is mounted horizontally on the microscope stage and

on applying the electrical field (about 10V/cm) the velocity of
the particles is measured by timing their movement across the
346
plane of a calibrated graticule placed in the microscope eye
piece. In addition to the electrokinetic potential at the
interface between the particles and the liquid, a similar
potential usually exists between the walls of the tube and the
liquid. Thus the particles are subject to both electrophoretic
movement and electro-osmotic movement of the liquid near
to the walls of the tube. In a closed cell, as shown in the
figure, the liquid moving electro-osmotically at the wall must
return along the centre of the tube. Thus at a certain level in
the cell, the two opposing movements cancel each other out
and the velocity of the particle in this stationary level will be
the true electrophoretic mobility. Bacteria, emulsion droplets,
suspensions, etc. have been studied by this method
(Alexander & Johnson, 1949).
A simplified method for the electrophoresis of lyophilic
colloids, e.g. proteins, nucleic acids, is paper electrophoresis.
A strip of filter paper is moistened with a suitable buffer
solution and supported horizontally with its ends dipping into
separate reservoirs of buffer. A potential gradient is applied
along the paper by electrodes inserted in the reservoirs. A
drop of protein solution is spotted on to the paper and a direct
current of about 10mA at 10V/cm of paper is passed for
several hours. The filter paper acts merely as a support for the
liquid phase through which the protein molecules migrate. At
the conclusion of the experiment, the paper is removed and
the position of the protein is detected by dipping the paper in
a dye solution or spraying with a solution, staining the protein
but not the paper. A mixture of proteins can be resolved into
separate zones if the mobilities of the components are
different.
The pH of the buffer solution is important; in alkaline and
acid solutions the proteins will migrate in opposite directions,
the ions being RCOO− and RN+ H3, respectively. If the pH of
347
the buffer solution corresponds to the isoelectric point of the
protein, the latter molecule will be present as the zwitterion,
N+H3 ... COO− and will not migrate. It is, therefore, possible
to extend the scope of the method by choice of suitable
buffers. Fig. 6.6 shows the appearance of a filter paper strip
after electrophoresis of two proteins A and B of isoelectric
points pH 4 and 6, respectively when the paper is buffered at
pH 5.
Fig. 6.6 Paper electrophoresis. X, original positions of

proteins A and B; A. Final position of protein A (I.E.P., pH
4); B. Final position of protein B (I.E.P., pH 6).
Electro-Osmosis
The atmosphere of counter ions around the particles confers a

charge on the dispersion medium. The sign of this charge is
opposite to that of the particles. Hence, as the particles move
towards one pole, the liquid tends to move towards the
opposite pole. This phenomenon can be observed if a tube is
plugged in the middle with a porous material, e.g. glass
348
powder, with electrodes immersed in dilute buffer solution on
either side of the plug. A glass surface in contact with water
bears a negative charge due to
the adsorption of OH−. As the current passes, the liquid will
move towards the positive electrode, and this can be best
observed if the ends of the tubes are connected to capillary
tubes, so that small displacements of the liquid are apparent.
Fig. 6.7 shows electro-osmotic flow of water in a glass
capillary tube on application of a potential difference across
the ends of the tube.
Fig. 6.7 Electro-osmosis.
Streaming Potential
This is the converse of electro-osmosis. If the electrodes in

the electro-osmosis apparatus (Fig. 6.7) are replaced by a
galvanometer in the circuit, no current would be detected
when the liquid is stationary. However, if the liquid is forced
through the tube the galvanometer will indicate a current.
This streaming potential is due to the displacement of the
charges equilibrated in the double layer around the solid. This
technique can be used to measure the zeta potential of
relatively coarse solids which would sediment rapidly in an
electrophoresis cell. The liquid is forced through a plug of the
349
powdered solid at a constant rate and the potential difference
across the plug is measured.
Sedimentation Potential
The other electrokinetic phenomenon is sedimentation

potential. Sedimentation potential is the reverse of
electrophoresis, and is the electric field created when particles
sediment.
Donnan Membrane Equilibrium
If sodium chloride is placed in solution on one side of a

semipermeable membrane, and a negatively charged colloid,
together with its counterions R−Na+, is placed on the other
side, the sodium and chloride ions can pass freely across the
barrier but not the colloidal anionic particles. At equilibrium
state, R− is the nondiffusible colloidal anion and the vertical
line separating the various species represents the
semipermeable membrane as shown in figure. The volumes of
solution on the two sides of the membrane are considered to
be equal.
Outside (o) inside (i)
R−
+
Na Na+
Cl− Cl−
After equilibrium has been established the concentration in
dilute solutions of NaCl must be the same on both sides of the
membrane, according to the principle of escaping tendencies.
Therefore,
350
(6.9)
The condition of electroneutrality must also apply. That is

concentration of positively charged ions in the solutions on
either side of the membrane must balance the concentration of
negatively charged ions. Therefore, on the outside:
(6.10)
and inside,
(6.11)
Equations 6.10 and 6.11 may be substituted into Eq. 6.9
(6.12)
Eq. 6.11 gives the ratio of concentrations of the diffusible

anion outside and inside the membrane at equilibrium (Martin
et al., 1997).
The unequal distribution of diffusible electrolyte ions on the
two sides of the membrane will result in erroneous values for
osmotic pressures of polyelectrolyte solutions.
The above equation (Eq. 6.12) is used to demonstrate the use
of the polyelectrolyte, sodium carboxymethyl cellulose, for
enhancing the absorption of drugs such as sodium salicylate
351
and benzyl penicillin (Higuchi et al. 1954). If [Cl−] in
equation 6.12 is replaced by the concentration of the
diffusible drug, anion [D−] at equilibrium and [R−] is used to
represent the concentration of sodium carboxymethylcellulose
at equilibrium, we have
It will be observed that when +[R−]i/[D−]i = 8, the ratio
Therefore, the addition of an anionic polyelectrolyte to a

diffusible drug anion should enhance the diffusion of the drug
out of the chamber. By kinetic studies, Higuchi et al. (1954)
showed that the presence of sodium carboxymethylcellulose
more than doubled the rate of transfer of the negatively
charged dye, scarlet red sulphonate.
Precipitation of Lyophobic Colloids

The stability of lyophobic colloids depends on the electrical
repulsion exerted by the electrical charges on their surfaces.
As discussed in a previous section, trace amounts of
electrolytes adsorbed on to the colloidal surface may be
responsible for the electrical charge and hence stability.
However, if excess of electrolyte is added, this may cause
reduction in the thickness of the double layer, lowering the
zeta potential below the critical value. The reduction of Vmax
352
(see Fig. 6.8) to a few kT will lead to coagulation in the
primary minimum. Ions of charge opposite to that of particles
are most effective in coagulating colloids. Furthermore the
valency of the ion is important. The coagulating effect of
bivalent ions is not just twice that of monovalent ions but the
activity increases between ten and a hundredfold on
increasing the valency of the acting ion by one. This is known
as the Schulz–Hardy rule. Salts of monovalent cations have
coagulation values for negative sols around 0.05
mole of cation per litre where the accompanying anion is Cl,
SO4 or NO3. Acetates and citrate ions tend to be adsorbed
even by negatively charged sols and higher concentrations of
these salts are required to produce coagulation.
Fig. 6.8 Potential energy of interaction between particles. R

Repulsion energy of interaction; A: Attractive energy of
interaction.
353
Precipitation of Lyophobic Colloids
The stability of lyophilic colloids depends mainly on
interaction of the colloid with the solvent, the so-called
solvation. With water as solvent, this interaction is called
hydration; solvation is a more general term for any liquid.
Rubber dissolves in benzene and a stable colloid is formed, as
the macromolecules of rubber become solvated by the
benzene. There is an enormous variety of electrically charged
lyophilic colloids, e.g. proteins, pectins, agar, acacia, alginic
acid and their stability in aqueous solution depends to a large
extent on hydration arid to a lesser extent on electrical charge.
The electrolyte concentrations needed for the precipitation of
hydrophilic colloids are many times greater than those needed
for coagulation of hydrophobic sols. To precipitate the
various proteins of blood plasma not less than 1.3–2.5mole/
litre of ammonium sulphate is necessary. The effect of adding
electrolytes to a hydrophilic colloid is two-fold: the electrical
properties and degree of hydration are both affected. At low
concentrations the electrical charge is affected by ions of
opposite charge and at high concentrations both charge and
hydration are affected, ions having the greatest affinity for
water being the most effective in ‘dehydrating’ the colloid.
The precipitation by the action of high concentrations of
electrolyte is usually called ‘salting out’ and the order of
effectiveness of various ions for this purpose can be arranged
in a series known as the Hofmeister series. The most common
ions arranged in order of decreasing salting out effect for, say,
protein solutions, are as follows:
Sulphate/2 > Acetate> Chloride> Nitrate> Chlorate>
Bromide> Iodide
For cations, the series is less definite and is as follows:
354
Lithium > Sodium > Potassium > Ammonium >
Magnesium/2
Proteins are most readily precipitated if the pH of the solution
is adjusted to the isoelectric point where the net charge is
zero. The subsequent addition of a dehydrating agent, e.g.
alcohol, acetone or electrolyte, will then precipitate the
protein. For proteins of similar chemical constitution the
salting out concentration of electrolyte decreases as the
molecular weights of the proteins increase. Enzymes have
been fractionated by repeatedly dissolving and salting out
with ammonium sulphate or magnesium sulphate. The
purified enzyme is then freed from electrolyte by dialysing
against distilled water. Fractionation of human blood plasma
into globulins, fibrinogen and thrombin, depends on selective
precipitation by organic solvents under conditions of
controlled pH, ionic strength and temperature.
Stabilizing Effect of Lyophilic Colloids

When a hydrophilic/lyophilic colloid is added to a
hydrophobic sol in sufficient amount, the hydrophobic
particles become coated with hydrophilic material and thus
acquire the stable properties of a hydrophilic colloid. This
protective action of hydrophilic colloids such as gelatin,
acacia, cellulose ethers, polyvinylpyrrolidone, etc., has led to
the term protective colloid to describe this type of colloid.
Attempts have been made to express the protective action
quantitatively in terms of the amount of colloid needed to
protect a gold sol from precipitation, on the addition of
sodium chloride. The gold number is the weight of protecting
substance in milligrams which is just sufficient to prevent the
coagulation of 10ml of red gold sol when 1ml of 10 per cent
355
sodium chloride is added to it. The gold numbers for some
common protective colloids are given in Table 6.3. However,
the effectiveness of protective colloids measured in this way
must depend on the affinity of the hydrophilic colloid for the
gold and will not necessarily correlate with the degree of
protection in other systems. The binding of the protective
colloid to the hydrophobic surface, may sometimes lead to
flocculation, particularly if the two colloids are oppositely
charged and are present in approximately equivalent amounts.
In such a case, further addition of protective colloid may
overcome this difficulty.
Table 6.3 The gold number of protective colloids
Protective colloid Gold number

Albumin 0.100
Acacia 0.100–0.200
Gelatin 0.005–0.010
Sodium oleate 1.000–5.000
Tragacanth 2.000
A pharmaceutical example of sensitization and protective
action is provided when bismuth subnitrate is suspended in
tragacanth dispersion; the mixture forms a gel that sets to a
hard mass in the bottom of the container. Bismuth
subcarbonate, a compound that does not dissociate
sufficiently to liberate the bismuth ions, is compatible with
tragacanth. These phenomena probably involve a sensitization
and coagulation of the gum by the Bi3+ ions. The flocculated
gum then aggregate with the bismuth subnitrate particles to
form a gel or a hard cake. If phosphate, citrate or tartrate are
added, they protect the gums from the coagulating influence
356
of the Bi3+ions, and by reducing the zeta potential on the
bismuth particles, partially flocculated systems tend to cake
considerably less than deflocculated system, and this effect is
significant in the formulation of suspension (Haines and
Martin, 1961)
In pharmacy, there are numerous examples of protective
colloids. Resinous tinctures can be dilu ted with a dilute
solution of tragacanth or acacia to form a colloidal solution,
even in the presence of electrolytes. In the absence of these
gums, immediate coagulation of the resin occurs. Acacia and
sodium carboxymethylcellulose are used to prepare stable
emulsions of oil in water. Gelatin and serum albumin are used
to stabilize silver oxide in the preparation of silver protein
products (Silver Protein and Mild Silver Protein, BPC 1968).
On addition to water, a colloidal silver oxide sol is formed
which is suitable for application as eye drops. Gelatin is also
used to maintain gold sol in a stable form for injection [Gold
(198Au) Injection BP].
Stability of Colloids
All particles are attracted to one another by van der Waals
forces. It is these forces that are primarily responsible for the
liquefaction of gases, departure of gases from ideal behaviour,
and adsorption of gases on to solids. The origin of the force is
electrical and it can be explained easily in qualitative terms.
The motion of electrons in their orbitals within the atom gives
rise to a fluctuating electromagnetic field which exerts an
influence upon the electrons in neighbouring matter, causing
a net shift of the centre of positive (nuclear) and negative
charges in such a direction that there is attraction between the
two separate particles. This force falls off very rapidly with
357
distance and is thus negligible except when the particles are
quite close together (e.g. <100nm). In the absence of
repulsive forces between the particles in a colloidal sol they
would rapidly aggregate together. The fact that stable
lyophobic colloidal sols can be prepared is due to the
electrical charges on the particle opposing the van der Waals
attraction, and from a quantitative assessment of these
opposing forces theories have been proposed notably by
Verwey and Overbeek (1948) in Holland and Derjaquin in
Russia to explain and predict the stability of lyophobic
colloids.
The electrical charge on particles dispersed in a liquid may
arise from dissociation of substances which are an integral
part of the crystal lattice of the particle, e.g. sodium ion of Na
bentonite clay or Ba2+ and ions of barium sulphate. Fre
quently the change arises from the adsorption of some
specific ion with the surface. For example, Fe(OH)3 sols
become charged in the presence of excess Fe3+ which is
adsorbed on the surface.
This fixed layer of charges is called the Stem layer. Ions of
opposite charge to those in the Stem layer cluster around the
particle, but random thermal motion prevents the existence of
a rigid shell of opposite charges. The diagrammatic
representation of this electrical double-layer is shown in
Fig.6.9.
358
Fig. 6.9 Electrical double layer.
The zeta potential, ξ, refers to the electrostatic charge on the

particle which causes them to move in an electric field
towards a pole of opposite charge. The zeta potential is
measured at the surface of shear of the particle and this does
not necessarily correspond with the Stern layer. In the
absence of hydration the surface potential of the particles
should be identical with the zeta potential. Zeta potential can
be defined as the work necessary to bring unit charge from
infinity to the surface of shear of the particle. The calculation
of the decay of electrical potential with distance from the
particle is very complex, but it can be solved fairly readily
assuming that colloidal particles have an infinite uniform flat
359
surface compared to the reference point where the potential is
required. If the surface potential is small it falls to lie on its
initial value (e is the base of natural logs 2.718) in a distance
(δ given by):
M = molar concentration of counter ions,

z = valency of counter ions,
k = Boltzmann constant,
D = dielectric constant,
n = number of counter ions per cm of solution,
e = electronic charge.
δ is often called the thickness of the double-layer and is about
1nm in 0.1M monovalent electrolyte.
The basic concept underlying the stability of lyophobic
colloids is the mutual repulsion due to interacting double
layers and the van der Waals force of attraction. For infinitely
large flat plates not too close together, the attractive energy
VA between the particles per cm2, is given by:
The repulsive energy VR, arising from the interaction of the

double layers was calculated by Verwey and Overbeek (1948)
by considering the free energy of the system of the two
double layers as a function of their distance of separation.
From this knowledge of repulsive and attractive forces, it is
possible to construct diagrams showing the interaction energy
between a pair of colloidal particles as a function of the
separation of their surfaces. In Fig. 6.8 the vertical axis
represents the interaction energy, the horizontal axis the
distance between two particles. From the summation of the
360
attractive and repulsive forces, a net interaction curve is
obtained.
When the particles are far apart, the interaction energy
approaches zero, but becomes infinitely large when the
particles touch, due to the mutual repulsion of the electrons in
the outermost atoms of the particles. For particles to come
together at the primary minimum they must surmount the
energy barrier of magnitude Vmax. Particles in the primary
minimum will be then irreversibly agglomerated.
As the repulsive forces fall off more rapidly with distance
than do the attractive forces, a secondary minimum is
produced when the particle surfaces are about 100nm apart.
This weak attraction causes slight flocculation of colloidal
particles but the floccules can be redispersed on shaking.
Experimental evidence indicates that flocculation in the
secondary minimum is restricted to the larger colloidal sizes
and is probably unimportant for particles below say 0.1μm.
The rate of coagulation of particles in a sol is obviously a
function of the Vmax Provided that Vmax exceeds 20–25 kT,
where k is the Boltzmann constant and T the absolute
temperature, the particles are unable to gain sufficient energy
to surmount the energy barrier and so they remain in a
deflocculated condition. Three types of potential energy curve
are shown in Fig. 6.10.
361
Fig. 6.10 Potential energy curve. 1. Stable sol; 2. Sol of
intermediate stability; 3. Spontaneous agglomeration.
Curve 1 has Vmax > 25 kT and represents a stable sol. Curve 2

has maximum of only low kT and the particle will
agglomerate fairly rapidly due to Brownian movement
producing collisions of sufficient energy. Curve 3 represents a
sol that will agglomerate instantaneously as no net repulsive
forces are operating.
Many attempts have been made to correlate the zeta potential
with lyophobic colloid stability; a high zeta potential would
give rise to a high Vmax. The theoretical basis for the potential
energy of interaction curves, deduced by Verwey and Over
beek (1948) depends on knowledge of the potential at the
surface of the particle, i.e. at the Stern layer. The zeta
potential which is derived from electrokinetic experiments
such as electrophoresis is not identical with the surface
362
potential. This is because the method involves the
measurement of movement of particle through a liquid and
the flow of liquid past the particle does not occur exactly at
the particle–liquid interface but at a plane in the liquid some
distance from the true interface. The zeta potential is the
potential at this plane and is therefore generally much smaller
than the surface potential. However, the zeta potential is
readily determined experimentally and in the literature there
is evidence that zeta potential can help in predicting whether
or not sols will flocculate in the presence of electrolytes. The
application to pharmaceutical suspensions is discussed by
Nash and Haeger (1966).
Lyophilic and associated colloids are thermodynamically
stable and exist in true solution; because of that system
constitutes a single phase. Addition of an electrolyte into
lyophilic colloids in moderate amounts does not result in
coagulation, but upon addition of electrolyte, coagulation is
one of the distinct characteristic of lyophobic colloids. If
more salt is added in lyophilic colloids, it may result in
agglomeration and sedimentation of particles. This is known
as salting out phenomena. This technique is used in the
purification of antitoxins.
Lyophilic colloids can be considered to become lyophobic by
the addition of solvents such as acetone and alcohol. The
particles become desolvated and are then very sensitive to
precipitation by added electrolyte.
Solutions of macromolecules, lyophilic colloidal sols, are
stabilized by a combination of electrical double-layer
interaction and salvation, and both of these factors must be
sufficiently weakened before attraction predominates and the
colloidal
particles coagulate. For example, gelatin has a sufficiently
strong affinity for water to be soluble even at its isoelectric
363
pH, where there is no double-layer interaction. When +ve and
−ve charged hydrophilic colloids are mixed, the separation of
particles from the dispersion medium takes place and forms a
layer which is rich in the colloids aggregates. Formation of
this layer is known as coacervate and phenomenon is known
as coacervation; for example, +ve charge gelatin (at a pH
below 4.7) with −ve charge acacia (unaffected by pH in acid
range) are mixed in certain proportion, coacervation results.
The viscosity of layer, now poor in colloid, is markedly
decreased below that of the coacervate and in pharmacy it
represents the physical incompatibility.
Gels
Lyophilic colloids such as gelatin, agar and pectin are soluble
in hot water and on cooling give rise to a semisolid, jelly-like
structure termed a gel. The mechanical strength of the gel is
due to partial aggregation of the colloidal particles which
form an interlaced network with the solvent held within the
meshes. The gelation process can be regarded as a half-way
stage between a colloidal sol and a completely precipitated
sol. Thus electrolytes which promote precipitation of colloidal
sols will also promote gelation, whereas peptizing agents will
have the opposite effect. For instance, a low concentration of
calcium or zinc ions tends to increase the gel strength of the
negatively charged bentonite gel, whereas excess will result
in precipitation and breakdown of the gel.
Preparation of Gels
Temperature effect: The solubility of most lyophilic colloids,

e.g. gelatin, agar, sodium oleate, is reduced on lowering the
364
temperature, so that cooling a concentrated hot sol will often
produce a gel. In contrast to this, some materials such as the
cellulose ethers owe their water solubility to hydrogen
bonding with the water. Raising the temperature of these sols
will disrupt the hydrogen bonding and the reduced solubility
will cause gelation.
Flocculation with salts and nonsolvents: Gelation is produced
by adding just sufficient precipitant to produce the gel state
but insufficient to bring without complete precipitation. It is
necessary to ensure rapid mixing to avoid local high
concentrations of precipitant. Solutions of ethyl cellulose,
polystyrene, etc. in benzene can be gelled by rapid mixing
with suitable amounts of a nonsolvent such as petroleum
ether.
The addition of salts to hydrophobic sols brings about
coagulation, and gelation is rarely observed. However, the
addition of suitable proportions of salts to moderately
hydrophilic sols such as aluminium hydroxide, ferric
hydroxide and bentonite, produces gels. As a general rule, the
addition of about half of the amount of electrolyte needed for
complete precipitation, is adequate. With positively charged
hydroxide sols, divalent ions such as are more effective
−
than univalent ions such as Cl . The gels formed are
frequently thixotropic in behaviour.
Such hydrophilic colloids as gelatin, proteins and acacia are
only affected by high concentrations of electrolytes, when the
effect is to ‘salt out’ the colloid and gelation does not occur.
Chemical reaction: In the preparation of sols by precipitation
from solution, e.g. Al(OH)3 sol prepared by interaction in
aqueous solution of an aluminium salt and sodium carbonate,
an increased concentration of reactants will produce a gel
365
structure. Silica gel is another example and is produced by the
interaction of sodium silicate and acids in aqueous solution.
Structure of Gels
Elastic Gels
Gels of agar, pectin and gelatin are elastic, the fibrous

molecules being linked at the points of junction by relatively
weak bonds such as hydrogen bonds and dipole attraction. If
the molecules pos sess free COOH groups, then additional
bonding may take place in the presence of Ca2+ when a salt
bridge of the type –COO–Ca2+O−OC– is formed between two
adjacent strands of the net work. The types of links that could
be formed are shown below (Alexander & Johnson, 1949).
Rigid Gels
In contrast to elastic gels rigid gels can be formed from

macromolecules in which the framework is linked by primary
valence bonds. Silica gel is such an example where silicic
acid molecules are held together by –Si–O–Si–O– bonds to
give a polymer structure possessing a network of pores, most
of which are scarcely larger than a few molecular diameters in
366
width. Because of the resultant large surface area, silica gel is
a useful adsorbent particularly for water vapour and hence its
use as a desiccant.
Thixotropic Gels
The bonds between particles in these gels are very weak and
can be broken down by shaking or stirring. The resultant sol
will revert back to a gel due to the particles colliding and
linking together again; Brownian movement being
responsible for the particle–particle collisions. This reversible
isothermal sol–gel
transformation is termed thixotropy. It is most likely to occur
in colloidal systems with nonspherical particles such as rods
or plates which can be easily built up into a scaffold-like
structure. Many clay minerals dispersed in water show this
effect, due not only to the plate-like structure of the particles,
but also due to the faces and the edges of the platelets
carrying charges of opposite sign.
Bentonite and acid-washed kaolin platelets have many
positively charged edges while all the faces are negatively
charged due to dissociation of positive counterions such as
Na+, Ca2+. This results in a face to edge attraction giving a
scaffold structure in which solvent is easily enmeshed.
Mechanical shearing breaks the structure and liquefies the
gels. The effect of adding citrate ions to clay dis persions may
be to neutralize the positive charges on the edges of the
platelets, thus minimizing the formation of three-dimensional
gels. Other examples of thixotropic gels include aluminium
hydroxide in water, many concentrated emulsions,
particularly those prepared with emulsifying waxes, and oils
gelled with aluminium monostearate.
367
The different possibilities of gel structure are presented
schematically in Fig. 6.11. Evidence for the coherent network
structure has been obtained from a number of experiments.
For instance a fluid dispersion of graphite in a nonconducting
oil does not conduct electricity until the system is allowed to
set to a gel, when it does conduct, indicating that the particles
have linked together. Shaking this thixotropic gel will liquefy
it when it will act as a nonconductor as before. The open
structure of a gel is apparent if one considers the small
proportion of solid phase present. For instance, water can be
gelled by as little as 0.5 per cent agar, small molecules and
ions are free to diffuse in the solvent through the relatively
large meshes and it is therefore surprising that the diffusion of
low molecular weight substances in gelatin and agar gels is
the same as in water, provided no chemical interaction or
adsorption occurs. If the concentration of gelling agent is
increased the mesh size of the gel is reduced and there will be
a limiting concentration that can be used before the diffusing
molecule is restricted.
Fig. 6.11 Syneresis in gels: (A) Original gel; (B) Aged gel
increased particle–particle links causing syneresis.
368
Syneresis
Swollen gels on storage may spontaneously contract with the

liberation of dispersion medium e.g. pectin, starch gels. This
exudation is probably due to increased particle–particle
linkages of the gelling agent resulting in the squeezing out of
the enmeshed liquid. This is shown schematically in Fig.
6.12.
Fig. 6.12 Representation of cell structure: (A) Network of

macromolecules, e.g. gelatin gel; (B) Gel of flocculated solid
particles; (C) Gel of clay particles (face to edge flocculation),
e.g. bentonite.
Pharmaceutical Applications of
Colloids
A lot of food which we eat is colloidal in nature, such as milk.
It is a colloid of ‘fat dispersed in water’ stabilized by Casein.
We use a lot of jellies, jams, ice creams, etc., and all these are
colloidal solutions. Similarly, solutions like calcium colloid
are used for medicinal purposes. There are a lot of medicinal
solutions which are prepared as a colloid for their easy
absorption by the human body.
369
Therapeutic Effect
Colloidal systems are used as therapeutic agents in different

areas.
Colloidal silver: It is the finest germ, virus and bacteria
fighter available. Because of its super fine microscopic
structure (0.10–0.01micron) it is capable of incredible healing
and also acts as defensive
power osteoporosis, rheumatism, arthritis, torn ligaments,
swollen and sore joints, sprains, strains, stress, flu, colds, sore
throat, etc. It is a phenomenal antibiotic alternative and
germicide. It kills all known bacteria and viruses, stimulates
immune system, speeds up healing and repair, accelerates
bone and muscle repair, tones body and creates feeling of
well-being, promotes healthy bones and joints, perfect
skincare solution, safely kills infections in eyes, ears, nose
and sinus, speeds healing of torn muscles and ligaments, and
accelerates healing of stubborn skin ulcers.
Colloidal silver also promotes healthy plant growth (kills
fungus and infection), promotes good health for dogs and
most other pets (boosts immune system and accelerates
healing), fights against the results of pollution and allergens,
and together with zinc protects the prostrate.
Colloidal gold: It has amazing properties known to improve
stress-related illness, and brain and arthritic conditions. It
enhances, relaxes, relieves, interacts with nerves, stress,
arthritis, certain brain disorders, neural, heart rhythm, neural
transmitters, headache, migraine, brain, memory, glands,
libido, upper back pain, numbness, relaxation, collagen,
arthritis, rheumatism, inner ear, balance, enhances sexual
function, assists in relaxation and blood pressure control, and
controls attention deficit disorder in children.
370
Colloidal copper: It has been used for millennia by
empresses, queens, princesses and the rich and famous of
their day, together with gold for beauty and antiaging
treatments. It is the roto-rooter of the blood arteries. It
interacts, cleanses and defends the arteries. It stimulates
collagen and promotes the skin’s elasticity. Thus it protects
and defends the arteries and veins against aneurysm,
arteriosclerosis, blocked arteries, deafness, inner-ear,
lower-back pain, swollen disc, slipped disc, swollen soft
tissue, inflammation, antioxidant, wrinkles, collagen,
fungicide, damaged soft tissue, etc.
Colloidal copper also strengthens blood circulatory system,
cleans arteries and veins, helps in resolving fine lines and
wrinkles, increases synapse response within the brain leading
to clearer brain clarity, improves skin elasticity, regulates
varicose veins, is effective against parasites, can provide the
missing element against osteoporosis, assists in preventing
stroke, helps in preventing arteriosclerosis, assists in the
reversal of greying hair and helps in retaining original natural
youthful colour, relieves joint and muscle pain and
oxygenizes the blood. It also brings more blood to afflicted
areas where applied topically.
Colloidal mercury: It is used in many industrial applications
and its salts have been employed therapeutically as
purgatives, antisyphilitics, disinfectants and astringents. It can
be absorbed through the skin and mucous membranes which
leads to mercury poisoning. Because of its toxicity, the
clinical use of mercury and mercurials is diminishing.
Proteins are natural colloids. Plasma protein may bind drugs
and affect the therapeutic activity. Many synthetic polymers
are used in coating to solid dosage form. Colloidal electrolyte
surfactants are used as additives in pharmaceutical
preparations.
371
Blood Plasma Substitutes
Hydrophilic colloids such as dextran, PVP and gelatin are

used to restore or maintain blood volume, e.g. iron–dextran
complex forms nonionic hydrophilic sols used for treatment
of anaemia.
Stability
Charges play an important role in determining the stability of

a colloidal system. Colloids, especially lyophobic colloids,
having like charges on particle surface repel each other and
prevent flocculation in suspensions, e.g. colloidal dispersion
of gelatin is used in coating over tablets and granules which
upon drying leaves a uniform dry film over them and protects
them from adverse conditions of the atmosphere.
Absorption
As colloidal dimensions are small enough; they have a huge

surface area. Hence, the drug constituted colloidal form is
released into the vicinity in large amounts such as: (1)
colloidal sulphur gives a large quantity of sulphur and this
often leads to sulphur toxicity, (2) efficiency of kaolin in
adsorbing toxins from GIT and (3) efficiency of aluminium
hydroxide as antacid.
Dissolution
Due to huge surface area, the dissolution rate is very large as

compared to coarse dispersion as stated by Noyes–Whitney
equation.
372
Targeted Drug Delivery
Colloidal delivery systems include micelles, microemulsion,

liposomes, parenteral emulsions, microspheres, nanoparticles
and drug–polymer conjugates are preferentially taken up by
the liver and spleen. Hence, principle of colloids is also used
in targeted drug delivery system.
Colloidal microgels: It has recently received attention as
environmentally responsive systems and now is increasingly
used in applications as carriers for therapeutic drugs and
diagnostic agents. Synthetic microgels consist of a
crosslinked polymer network that provides a depot for loaded
drugs, protection against environmental hazards and template
for postsynthetic modification or vectorization of the drug
carriers. Metal-containing microgels are used for diagnostic
and therapeutic applications, and to advance approaches
including the systemic administration of microgels.
Solubility Enhancement
Association colloids are used to increase solubility and

stability of certain compounds in aqueous and oily
pharmaceutical preparations.
Diagnostic Effect
Colloidal dispersions containing radioactive isotopes are

being used as diagnostic and therapeutic agents in nuclear
medicine. Colloidal gold is used for the diagnosis of paresis
and colloidal mercury for syphilis.
373
References

University; 1949.
Anderson JK. Pharm. J. 1964.497.
Debye P. J. Appl. Phys. 1944;15:456.
Donnan FG. Z. Elektrochemie. 1911;17:572.
Elford WJ. Trans. Faraday Soc. 1937;33:1094.
Ferry JD. Chem. Rev. 1936;18:373.
Haines BA, Martin AN. J. Pharm. Sci. 1961;50:756.
Hiestand EN. J. Pharm. Sci. 1964;53:1.
Higuchi T. J. Am. Pharm. Assoc. Sci. 1954;43:646.
Martin A, Bustamante P, Chun AHC. Phys. Pharm. India:
B.I. Waverly Pvt Ltd.; 1997.
Nash RA, Haeger BE. J. Pharm. Sci. 1966;55:829.
Stein RS, Debye P. J. Am. Chem. Soc. 1946;68:159.
Verwey EJW, Overbeek JTG. Theory of the Stability of
Lyophobic Colloids. Amsterdam: Elsevier; 1948.
Zimm B, Doty P, Mark H. J. Chem. Phys. 1944;12:35.
Zimm B, Doty P, Mark H. J. Chem. Phys. 1945;13:45.
374
Chapter 7
Adsorption
The particles (ions, atoms or molecules) making up a solid are
held together by certain forces (electrostatic, valency or van
der Waals forces) and each particle in the bulk of the solid is
attracted equally by its neighbours, in all directions. At the
surface of the solid, the forces are not balanced because the
surface particle is not completely surrounded by neighbours.
There will be resultant attraction perpendicular to the surface,
tending to draw the particles inwards, and they will be at a
higher potential energy than those in the bulk of the medium.
These surface particles can attract other molecules to them,
due to the imbalance of forces giving rise to the phenomenon
of adsorption. For instance, large quantities of gases such as
oxygen or nitrogen are taken up by charcoal cooled in liquid
air. The gas is said to be adsorbed on to the surface of the
charcoal which may amount to several square metres for each
gram of charcoal.
There is a distinction between adsorption, which is a surface
process and absorption which refers to a uniform distribution
of one substance throughout another, e.g. solution of
hydrogen in palladium, solution of gases in liquids. It is
sometimes difficult to define clearly the interface of highly
porous solids and the term sorption has been used by workers,
notably J. W. McBain, to describe the uptake of gases by
porous solids. The substance that is attached to the surface of
the solid is called the adsorbate. Since adsorption is a surface
phenomenon the most effective adsorbents are those with
high surface areas, e.g. finely divided solids.
375
Types of Adsorption
Physical Adsorption
Physical or van der Waals adsorption is characterized by low

heats of adsorption (about 20–40 kJ per mole of gas) and the
forces responsible for this type of adsorption are the same as
those that cause liquefaction of gases and deviations of gases
from ideal behaviour. Physical adsorption of gases is common
at low temperatures when the thermal agitation of the
molecules is not sufficient to cause complete evaporation of
the adsorbed layer from the surface of the solid. As the
temperature is raised, the amount adsorbed becomes
progressively less and no detectable adsorption of low boiling
point gases, e.g. N2 and O2, would be detected at room
temperature and atmospheric pressure. Adsorption of gases is
most marked at temperatures near to their liquefaction
temperatures and at partial pressures approaching one. The
gas in the adsorbed layer is in equilibrium with the gas
molecules in the bulk gas phase, the position of equilibrium
depending on (1) the nature of the adsorbent, (2) the nature of
the adsorbate, (3) the surface area of the adsorbate, (4) the
temperature, and (5) the pressure of the gas. A decrease in
temperature or an increase in pressure increases the amount of
adsorption. The relationship between pressure of a gas and
amount adsorbed at fixed temperature has been expressed by
many equations; one of the earliest of these is the empirical
Freundlich isotherm (Fig. 7.1), the equation of which is:
376
Fig. 7.1 Freundlich adsorption isotherm.
When plotting experimental data, the logarithmic form of the

Freundlich equation is more convenient and permits a
graphical solution for the constants K and n:
Thus plotting log x versus log P gives a straight line of slope

1/n and the intercept on the ordinate is log K.
Langmuir Adsorption Isotherm

Whereas the earlier equations were only empirical, a great
advance was made by Langmuir in 1916, who derived a
theoretical equation for adsorption based on the short range
forces that exist between molecules. The equation assumes
that:
1. the layer of gas molecules adsorbed is only one molecule
thick,
2. gas molecules are adsorbed on fixed sites on surface,
3. the rate of evaporation from the surface is related to the
number of filled sites, and
4. the rate of condensation is proportional to the number of
unfilled sites.
At equilibrium at any particular gas pressure, the rate of
condensation would equal the rate of evaporation. Thus, if θ =
377
fraction of surface covered at a given instance, then (1 – θ) =
fraction of surface not covered by molecules and therefore
available for adsorption. The rate of condensation is K1(1 – θ)
P, in which K1 is a constant and P is the pressure of the gas.
Let K2 represent the rate of evaporation from a completely
filled surface so that the rate of evaporation from a partially
filled one will equal K2θ. At equilibrium the two processes
must balance so that:
(7.1)
(7.2)
(7.3)
If x = number of molecules adsorbed at the surface and xm =

number of molecules necessary to fill the surface (i.e.
monolayer capacity) then the Langmuir equation becomes:
(7.4)
(7.5)
378
Inspection of the adsorption isotherm (Figs. 7.2a and 7.3,
Type I) shows that at low pressures, the amount adsorbed is
proportional to the pressure and at higher pressures the
adsorption becomes progressively less and eventually levels
off to a constant value, due to all the available sites being
filled. This can be inferred from Eq. 7.5 for when P → ∞, x
→ xm. At low pressures where P → 0, x → kPxm. The
monolayer capacity can be estimated from the value of x
where it reaches a limiting value. An alternative method is to
plot the Langmuir equation in its linear form:
(7.6)
Fig. 7.2 Langmuir adsorption isotherm.
379
Fig. 7.3 Types I–V adsorption isotherms. (P0 = saturation
vapour pressure).
Thus a plot of P/x versus P should give a straight line and the
monolayer capacity xm can be calculated from the slope (Fig.
7.2a).
Bet Adsorption Isotherm

Brunaver, Emmett and Teller in 1938 extended Langmuir’s
ideas to cover adsorption where more than one molecular
layer could form. This situation occurred at low temperatures
and at pressures approaching saturation pressure when an
S-shaped isotherm was obtained (Fig. 7.3, Type II). They
assumed that the molecules were adsorbed on to fixed sites
and there was no lateral interaction between the molecules.
Secondly, that the heat of adsorption of a molecule to any
layer other than the first was equal to the heat of
condensation. They found that the amount adsorbed per unit
weight of adsorbent x, should be related to the pressure P, by
the expression:
P being the saturation vapour pressure, xm the monolayer

capacity, c a constant given by c = e(E1 – E2)/RT, E1 the heat
of adsorption of the first layer, E2 the latent heat of
condensation of the adsorbate, R the gas constant and T the
absolute temperature.
380
This equation has found extensive application in the
determination of surface areas of powders by nitrogen
adsorption. The monolayer capacity of nitrogen at the
temperature of boiling
liquid nitrogen is determined and from a knowledge of the
cross-sectional area of the nitrogen molecule the surface area
is calculated from the equation:
where S is the surface area (cm2/g), N is the Avogadro

number, xm is the monolayer capacity (gram moles) and A is
the cross-sectional area of the nitrogen molecule (0.162nm2).
This method is restricted to powders of particle size below a
micron in order to obtain measurable amounts of adsorption.
To give some idea of the weight of gas adsorbed, 1m2 of a
monolayer of nitrogen (0.162nm2) would weigh only 0.29mg.
Thus on 1g of a powder made up of equal cubes of edge 1μm
and density 3, the monolayer adsorption would amount to
nearly 0.6mg of nitrogen. Measurements of this magnitude
can be made by use of sensitive micro balances
(McBain-Bakr balance) or by measuring the volume changes
of gas produced by adsorption, using manometric apparatus
(Gregg, 1961).
A very large number of isotherms have appeared in the
literature but the majority can be grouped into the five types
of the Brunauer–Emmett–Teller (BET) classification
represented in Fig. 7.3. Type II is the one best represented by
the BET equation and is usually characteristic of nonporous
solids of very fine particle size. Type IV is typical of
adsorption of water vapour on gel-like materials such as
381
cellulose, starches and silica gel where the uptake of water
vapour with increase in pressure gives an adsorption isotherm
which differs from the curve obtained during desorption of
the gel. The hysteresis loop so obtained has been explained on
the basis of capillary condensation of the liquid within
micropores of the gel. Multilayer adsorption occurs as the
pressure is increased and, at pressures near to saturation, leads
to complete filling of the capillaries. During the filling and
emptying of the pores, i.e. during adsorption and desorption,
the advancing and receding contact angle between the liquid
and solid differ and can account for the difference in vapour
pressure for a given amount of vapour adsorbed (Gregg,
1961).
In physical adsorption, the shape of the isotherm is
determined primarily by the nature of the adsorbent, although
different adsorbates, which differ in molecular cross section,
will also influence it. The equilibrium of gas adsorption is
rapidly attained and any delay observed may be due to the
time taken for the gas to diffuse to the surface, particularly if
the solid has a high internal surface such as charcoal.
Chemisorption
This is chemical combination of the adsorbate at the surface

of the adsorbent. It is characterized by a high heat of
adsorption (40–400 kJ/mole) and unlike physical adsorption it
is irreversible. In many cases the chemical adsorption is slow
because the molecules have to acquire an energy of
interaction before they can react with the adsorbent. The rate
of uptake will then be accelerated by increase of temperature.
Examples of chemisorption include tungsten–hydrogen and
tungsten–oxygen. The tarnishing of silver on exposure to the
382
atmosphere is a case of chemisorption where gaseous sulphur
compounds interact with the silver surface.
Adsorption From Solution

Solids can also adsorb solutes from solution but the
phenomenon is more complicated than adsorption at the
gas–solid interface due to competition of the solute and the
solvent for the solid– liquid interface. The measured quantity
is now the change in the concentration of the solution and is
thus only an apparent adsorption, since it is a function of the
relative adsorptions of the solute and the solvent. However, in
dilute solutions the adsorption of solute follows a similar
adsorption pattern to that of gases, so that Freundlich,
Langmuir or BET equations can be used to describe the
adsorption, the pressure term being replaced by concentration.
Langmuir isotherms have been obtained for adsorption of
promazine on attapulgite and charcoal (Sorby, 1965);
strychnine on kaolin, halloysite and attapulgite (Barr &
Arnista, 1957a, b, c); cetylpyridinium bromide on talc and
kaolin (Batuyios & Brecht, 1957).
The commonest adsorbents used are activated charcoal, bone
charcoal, alumina, silica gel, kaolin, kieselguhr and Fuller’s
earth. The main requirement for an effective adsorbent is a
large, accessible surface area attained either by fine
subdivision or by an open porous structure. In the use of
adsorbents, thorough stirring for a time adequate for the
achievement of equilibria is most important. Reference to the
Freundlich or Langmuir isotherm shows that adsorption is
relatively greater from dilute than from more concentrated
solution. In general, high molecular weight solutes are more
readily adsorbed than low molecular weight solutes because
383
the van der Waals forces of attraction increase with size of
molecule. Thus a number of dyestuffs, e.g. methylene blue,
form a complete monomolecular adsorbed layer on powdered
graphite even at very low concentrations. As a general rule
adsorption is greater from a solvent in which the solute is
sparingly soluble. The pH of the medium has a marked effect
on the adsorptive capacity of charcoal; positively charged
substances, e.g. methylene blue and crystal violet, are most
readily adsorbed from alkaline solution; negatively charged
substances, e.g. acidic dyes and most coloured impurities
encountered in chemical manufacture, are best adsorbed from
alkaline solution; amphoteric solutes such as proteins are best
adsorbed in the region of their isoelectric point.
Since an equilibrium exists between the solute in solution and
that at the solid surface, a single shaking of the solution with
the adsorbent will not remove the entire amount of solute
from solution. There may be exceptions to this when the
affinity of adsorbent for solute is very high as in the case of
methylene blue on charcoal. In many cases it may be
necessary to deplete the solution of its solute successively by
passing it through a column of the adsorbent when it comes
into continuous contact with fresh adsorbent during its travel.
The different affinities exhibited by different substances for
adsorbents are responsible for the phenomenon of selective
adsorption. If charcoal is added to a solution of magenta, the
dye is adsorbed and the solution becomes colourless.
Addition of saponin to the system restores the colour to the
solution because the saponin is more strongly adsorbed than
the dye
and displaces it from the surface of the adsorbent. Advantage
is taken of this principle in the removal of extraneous
colouring matter and impurities in preparative work and
384
clarification of pharmaceutical preparations; the substances
removed, being complex, are readily adsorbed.
The reverse process of adsorption, desorption depends on the
same principles. A solvent from which adsorption is poor will
normally bring about desorption. Desorption of ionic solutes
may also be effected by change in pH. Strongly adsorbed
substances such as saponin and other surface active agents
may be used to displace adsorbed material.
Charcoals
Medicinal Charcoal
This is prepared by carbonizing wood, cellulose residues or

coconut shells out of contact with air. The charcoal so
obtained may not be a very effective adsorbent and it is
‘activated’ by heating in steam or carbon dioxide at about
950°C in order to drive out the hydrocarbons adsorbed during
the carbonization and probably to increase its surface area.
Mineral matter is removed by washing with acids.
Decolourizing Charcoals
Almost any vegetable substance can be destructively distilled

to produce a decolourizing char. Some methods are based on
carbonizing such materials as sawdust, seaweed, peat,
molasses mixed with a porous substance, e.g. pumice,
insoluble salts, etc. This method produces a material similar
to bone char in that it has a porous structure as well as
considerable mechanical strength. Another method consists of
depositing carbon on an inorganic base such as lime, chalk or
calcium chloride and after carbonizing the inorganic matter is
385
dissolved out. Sulphuric acid and zinc chloride may also be
included to act as activating agents.
Gas-Adsorbing Charcoals
The most effective gas adsorbing charcoals are produced by

carbonizing dense woods, in particular log wood, lignum
vitae and coconut shells. For the adsorption of gases, the
charcoals are usually packed in relatively thick beds through
which the vapour laden air is passed. High-density carbons
are necessary to get the maximum volume of charcoal packed
into beds or columns and a granular product ensures easy
vapour flow.
Standardization of Adsorbents
Standardization of an adsorbent usually involves testing that

the adsorptive capacity does not fall below an acceptable
limit. The pharmacopoeial test for the decolourizing power of
decolourizing charcoal is based on the partial decolourization
of a solution of bromophenol blue which is compared with a
standard solution. Charcoal BPC has to comply with a test for
adsorption of phenazone from solution and also a test for
adsorption of chloroform vapour. These can only be regarded
as comparative tests and in practice the only satisfactory
standard may be based on determination of adsorption
isotherms for the particular solute that is being adsorbed. A
charcoal that is effective for gas adsorption is not necessarily
the best for adsorbing solute from solution. Some grades of
activated charcoals are standardized by titration with
methylene blue solutions. A weighed amount of charcoal is
dispersed in water and titrated with a standardized solution of
386
methylene blue. The end point is reached when the
supernatant liquid just acquires a blue colour, more easily
seen by centrifuging a sample of the suspension or by spotting
out on to filter paper. This test can only be used for
adsorbents that have extremely high affinity for the solute,
otherwise there is no definite end point.
Applications of Adsorption
Decolourization
It frequently happens that a chemical is tinted with colouring

matter which is not removed in the usual stages of
purification involving partition between immiscible solvents,
crystallization or precipitation. A colourless solution may be
obtained by shaking with about 1 per cent of activated
charcoal or animal charcoal, allowing to stand for some time
and then filtering.
The process of decolourization should be used with
discrimination since charcoal will adsorb, to a greater or
lesser extent inorganic and organic compounds. Alkaloids are
readily adsorbesd by charcoal and decolourization of
solutions of these would best be done with a weaker
adsorbent such as kieselguhr.
Adsorption of Water Vapour
Alumina and silica gel are powerful adsorbents of water

vapour. These desiccants remain as dry powders even on
taking up as much as 40 per cent water, and thus possess
definite advantages over calcium chloride and phosphorous
pentoxide which eventually liquefy on adsorbing water.
387
Refrigerated silica gel has been used as a desiccant in freeze
drying where the low temperature increases the efficiency of
the adsorption process.
Medicinal Uses
Kaolin, Al2(OH)6SiO2, has a sheet-like structure, not unlike

that of talc, but one surface of the sheet is formed of
aluminium hydroxide residues that are responsible for its
capacity to adsorb both basic and acidic intestinal toxins by
ion exchange. The reactions take place only at the surface of
the kaolin and as a consequence depend on its particle size.
However, there is some doubt as to the value of kaolin or
charcoal for adsorbing gases, toxins and bacteria from the
lower gastrointestinal tract, since passage through the upper
tract saturates and deactivates the agent. The effectiveness of
these agents may be due to bulk entraining and dispersing
bacterial aggregates contributing to beneficial effects in the
lower bowel. Activated charcoal is
a valuable emergency antidote in poisoning due to alkaloids
taken by mouth, but its value is confined to the first phase of
therapy when adsorption takes place from the stomach before
the alkaloids are absorbed. The simultaneous administration
of adsorbents such as magnesium trisilicate, magnesium
hydroxide and kaolin with various medicaments may reduce
the absorption from the alimentary tract. Cationic
medicaments and nitrogenous bases are likely to be adsorbed
by these adsorbents although there is little information on in
vivo experiments at the present time. Sorby (1965) studied the
effect of attapulgite and charcoal on the absorption of
promazine from the gastrointestinal tract. He found that
attapulgite retarded the absorption of promazine but there was
388
little decrease in total availability while charcoal was found to
decrease rate and extent of absorption.
Adsorption of Pyrogens
Contamination of injectable fluids by pyrogenic substances

causes an undesirable febrile reaction in the patient. While
water for injection can be prepared pyrogen-free by taking the
proper precautions, this does not overcome the problem of
drugs, particularly those prepared from natural sources that
may contain pyrogens. Brindle and Rigby (1946) have
reported the effectiveness of activated charcoal for the
removal of pyrogen. If the drug is of low molecular weight
and present in fairly high concentrations, e.g. injections
containing glucose, sodium citrate, calcium gluconate, loss of
drug by adsorption is not likely to be significant. However,
high molecular weight drugs and in particular nitrogenous
bases may be readily lost from solution.
References
Barr M, Arnista SA. J. Am. Pharm. Assoc. (Sci. Edn).

1957;46:486.
1957;46:480.
1957;46:493.
Batuyios NA, Brecht EA. J. Am. Pharm. Assoc. (Sci. Edn).
1957;46:524.
Brindle H, Rigby G. J. Pharm. Pharmacol. 1946;19:302.
Brunaver S, Emmett PH, Teller E. J. Am. Chem. Soc.
1938;60:309.
389
Gregg SJ. 2 Surface Chemistry of Solids. London: Chapman
& Hall; 1961.
Langmuir I. J. Am. Chem. Soc. 1916;38:2221.
McBain, J.W. The Sorption of Gases by solids, 263.
Sorby DL. J. Pharm. Sci. 1965;54:677.
390
Chapter 8
Ion Exchange and Chromatography
Chromatography is essentially a process for the fractionation
of mixtures by continuous partition of the components
between two phases, one of which is moving past the other. In
principle, there appears to be no restriction on the nature of
the mobile and stationary phases or on the types of equilibria
involved in the partition. In practice, the most important
applications have involved a liquid mobile phase and a liquid
or solid stationary phase.
In adsorption chromatography a solution of the mixture to be
fractionated is placed on top of a column of adsorbent and
slowly passed through; according to the affinity of the
components of the mixture for the adsorbent, they are held in
zones at the top of the column. Passage of more solvent
through the column, by fractional elution and readsorption,
develops the chromatogram by separating the zones of
adsorbed material throughout the column, the more strongly
adsorbed substances being nearer the top of the column. A
developed chromatogram of leaf pigments is illustrated in
Fig. 8.1. If the separate zones are readily located by their
colour, in ultraviolet light, or by means of a reagent streaked
along the extruded column, they are separated by division of
the column and eluted with a suitable solvent. As an
alternative technique elution development is employed;
further solvent is passed through the column in order to elute
the components successively as shown by suitable chemical
or physical tests on the eluate. Where these methods are
inapplicable, the eluate is collected in arbitrary fractions and
each fraction is examined separately.
391
Fig. 8.1 Developed chromatogram of leaf pigments.
In partition chromatography, the column consists of an inert

carrier on which is distributed a solvent immiscible with the
mobile solvent. Similar principles are exploited in paper
chromatography, where selective adsorption on paper or
partition between the mobile phase and the water present in
paper which has been equilibrated with the saturated vapours
of both phases operates to effect the fractionation.
Of a number of theoretical treatments of chromatography, the
most satisfactory is that of Martin and Synge in which
distillation theory is applied to the operation of a column.
Although experimental verification of theories of
chromatography is available under standard conditions, the
optimum conditions for a chromatographic separation are
usually worked out empirically.
392
A useful characteristic of a given set of conditions in a
chromatographic system is obtained from the ratio:
The RF value is of more particular use in partition

chromatography, especially on paper, since it is then related
to the partition coefficient which remains roughly constant,
whereas in adsorption chromatography continuous variation
of R is usual. The sequence of the components of a complex
mixture is another useful descriptive characteristic since
under carefully standardized conditions it is reproducible.
Partition chromatography is suitable for the separation of
water-soluble substances while adsorption chromatography
finds greater application in the separation of water-insoluble
high molecular weight substances.
Adsorption Chromatography
Adsorbents
Among the following commonly used adsorbents of

diminishing order of activity: alumina, magnesium oxide,
calcium sulphate, calcium oxide, talc, calcium phosphate,
calcium carbonate and lactose, together with those whose
relative activity has not been thoroughly examined, namely
silica, kieselguhr, paper, starch,
clays and charcoal, there are enormous variations in
adsorptive capacities and specificities which may vary further
with the solvents used. A very active alumina is made by
393
heating pure aluminium hydroxide at 380–400°C for 3 hours
or commercial alumina is boiled with successive quantities of
water until soluble alkali is removed, then washed with
methanol and reactivated by heating at 160–200°C at 10mm
pressure. In the preliminary selection of an adsorbent, the
charge of the mixture placed on the column should be small;
in practice, it is frequently possible to fractionate 1g of a
mixture on about 30g of adsorbent, but the column load
influences the degree of fractionation. Chemical changes have
occasionally been observed on very active adsorbents.
Solvents
Fractionation of mixtures of similar substances is often

facilitated by elution development with a series of solvents of
increasing polarity which exhibit powers of elution in the
following ascending order: light petroleum, carbon
tetrachloride, cyclohexane, ether, acetone, benzene, esters,
chloroform, alcohols, water (at various pH values), pyridine
and liquid organic acids. Hydroxylic solvents may cause
difficulty because of their solvent action on the adsorbent;
thus alumina is appreciably soluble in methanol and water.
Apparatus and Experimental Methods
The simple device described by Martin is extremely efficient

for the preparation of a uniformly packed column. A slurry of
adsorbent and solvent of a creamy consistency is poured into
the chromatogram tube and thoroughly homogenized by a few
rapid strokes of a perforated disc mounted by its centre on a
long, thin metal rod. The disc fits the chromatogram tube
closely and the diameter of the perforations should not be
394
more than about 1.5mm. The disc is brought to within about
2.5cm of the bottom of the tube and then moved slowly
downwards; this causes the solid to pack beneath it. Rapid
homogenizing strokes are followed by slow packing strokes
until the whole column is packed. With such columns it is
often necessary to accelerate the rate of flow of developing
solvent by regulated, positive pressure or suction. A suitable
apparatus is illustrated in Fig. 8.2. Even formation of the
zones is facilitated by a low rate of flow of developing
solvent, uniform pressure and the use of a long column.
Unevenness in the development of the zones in large columns
is often unavoidable, but is greatly reduced in a multiple
column of two or three units with interposed mixing cells. A
column built up of filter paper discs is useful for many
purposes.
395
Fig. 8.2 Apparatus for chromatography.
Location of Zones
For the detection of zones of adsorbed, colourless substances

on a column, fluorescence in ultraviolet light, the formation
of dark bands on a fluorescent adsorbent or streak reagents
may be appropriate. Streak reagents are applied with a brush
as a longitudinal streak on the extruded column; the zones
where a positive reaction is obtained are marked, the surface
layer contaminated with the reagent is removed and each zone
is separated. Potassium permanganate is a useful streak
reagent since it will oxidize many substances and the
396
occurrence of oxidation is made evident by a colour change.
The progress of a chromatographic fractionation may
frequently be followed by a continuous recording of changes
in the physical properties of the issuing eluate; for this
purpose changes in conductivity refractive index and
ultraviolet absorbency ratios have been used.
Partition Chromatography
The original partition column, developed by Martin and
Synge and intended for the separation of acetylated amino
acids, consisted of a column of silica gel on which the
stationary phase, water, was distributed; the mobile phase was
a water-immiscible solvent saturated with water (chloroform
with 1 per cent of n-butanol). The individual partition
coefficients of the components of the mixture are usually the
determining factors in this type of fractionation and under
standardized conditions the behaviour of each component of a
mixture is summarized in the equation:
where a = partition coefficient; AL = cross-sectional area of

solvent phase; AS = cross-sectional area of water phase. Thus
components of the mixture that are more soluble in the
stationary
phase will move slowly down the column. Those components
that are very soluble in the moving phase will move more
rapidly down the column. Modifications of the stationary and
mobile phases and of the support for the stationary phase have
397
led to the application of this technique to a wide range of
mixtures.
Types of Partition Column
It appears that to avoid displacement from the support by the

mobile phase, the stationary phase must be the more polar. As
a consequence, water, buffers or aqueous solutions of acids
and bases are most frequently utilized as the stationary phase
and a water-immiscible solvent as the mobile phase; other
systems, notably reversed-phase systems, are occasionally
used. Silica, kieselguhr, starch, powdered cellulose, charcoal
and powdered glass are efficient supports for the stationary
phase of partition columns. Of these, selected grades of
kieselguhr (Hyflo Super Cel and Celite 545) are probably the
most generally useful.
The apparatus and experimental techniques employed with

adsorption columns are used with partition columns. The
stationary phase is mixed with the supporting solid by stirring
with a rod in a beaker; trituration in a mortar should not be
employed. In addition to the methods for the detection of the
zones applicable to adsorption columns, suitable indicators
may be incorporated in the stationary phase, particularly
when mixtures of acids or bases are being examined.
Adsorption on the supporting material of a partition column
usually leads to a reduction in the operating efficiency of a
column.
398
Paper Chromatography
In this process, which was also developed by Martin and
Synge, a small spot of solution containing one to several
milligrams of a mixture is placed near the top of a strip of
filter paper, the end of the paper near the spot is inserted in a
trough containing a solvent saturated with water, and the
whole is suspended in a suitable chamber whose atmosphere
is saturated with the vapours of water and of the solvent.
When the solvent has flowed a suitable distance down the
paper, the position of the solvent front is marked and the
paper is dried. The components of the fractionated mixture
are then treated with an appropriate reagent, usually applied
by spraying, and finally characterized by comparison of their
RF values with the simultaneously determined values for
authentic materials. Caution must be exercised in the
characterization of compounds solely on the basis of their RF
values.
In developing a two-dimensional paper chromatogram, the
spot of solution is placed near one corner of a square sheet of
filter paper and one edge of the sheet is inserted in the solvent
trough. After the solvent has flowed nearly to the opposite
edge of the sheet, the paper is removed, dried and developed
at 90°C to the direction of flow of the first solvent with a
second solvent in the trough. By using two solvents, the
degree of fractionation is greatly enhanced. This is illustrated
in Fig. 8.3 for a hypothetical mixture of five components; at
stage 2 the components are partially fractionated, and at stage
3 complete fractionation has been effected.
399
Fig. 8.3 Two-dimensional paper chromatogram of a
hypothetical mixture of A, B, C, D and E.
The relative importance of partition and adsorption in

effecting fractionation in paper chromatography is doubtful in
many cases.
Whatman No. 1 filter paper is normally used with solvents

usually partially miscible with water and of relatively low
volatility, such as n-butanol, collidine, lutidine, piperidine,
liquefied phenol, although all types of solvent have been used
and good results have been obtained with water-miscible
solvents.
The scope of this method may be extended by impregnation
of the paper with various substances to modify the properties
of the stationary phase. The fractionation of water-insoluble
substances, e.g. steroids, digitalis glycosides, has been
achieved by impregnating filter paper with formamide or
glycols and developing with a suitable immiscible solvent.
Among the numerous ingenious modifications of the original
experimental techniques, the most important involves
development by capillary ascent. For this purpose, the paper
strip can be hung from a glass rod fixed in the lid of a tall,
400
glass-stoppered museum jar; the end of the strip adjacent to
the spot of the mixture dips into a shallow layer of solvent at
the bottom of the jar. The solvent movement is slower than in
the descending method and improved resolution of the
components is often obtained.
After separation on paper, the components of the original
mixture can be eluted without loss and determined
quantitatively if a sufficiently sensitive analytical process is
known.
Location of Zones
For the detection of colourless substances on a paper

chromatogram, a sensitive colour test revealing a number of
different substances is most valuable. Ninhydrin is most
commonly employed for amino acids; iodine in ethanolic
solution or as vapour is useful for most bases, including
alkaloids; carbohydrates can be detected by ammoniacal
silver nitrate. Certain substances, such as antibiotics and
growth factors, can be detected by their biological effect
when the paper is incubated in contact with agar seeded with
a selected organism. Radioactive materials can be detected by
placing the paper in contact with X-ray film to produce an
’autoradiograph’.
Thin-Layer Chromatography (TLC)

Instead of using filter paper strips as the supporting media,
glass plates are coated with a thin layer of silica gel
containing a suitable binding agent. This is achieved by
making a slurry of the silica gel with about 13 per cent of
plaster of Paris as a binder. This is poured into a spreading
401
device which is drawn across a series of glass plates about
20cm square. A uniform coating is applied in this way which
sets within a few minutes and the plate, after air drying for
about an hour, is heated at 50°C overnight. The plates can
then be stored over a desiccant until required for use. The
sample to be chromatographed is applied in the usual way to
one end of the plate and the sample solvent allowed to
evaporate. The plate is placed in a glass jar with developing
solvent to cover the bottom of the plate to a depth of about
1cm. The developing solvent ascends by capillarity and the
run is usually stopped when the solvent front has moved
about three-quarters of the length of the plate. Chloroform,
benzene, and mixtures of these with methyl alcohol, are
commonly used as developing solvents. For the separation of
alkaloids, suitable buffer solutions can be incorporated in the
silica gel slurry prior to spreading the plates. The technique is
not limited to partition chromatography as it is just as
convenient to coat plates with adsorbent powders such as
alumina. The advantages of thin layer chromatography over
paper chromatography are that separations can be obtained in
about 30 minutes, the resolution is often better and a wider
range of spray reagents can be used without decomposing the
inert support. For instance, corrosive solutions such as
hydrochloric or sulphuric acid reagents, unsuitable for use
with filter paper, can be used satisfactorily.
Gas Chromatography (Vapour Phase

Chromatography)
This method was introduced by James and Martin in 1952 for
the separation and analysis of volatile materials, i.e. materials
402
that boil below about 300°C. The moving phase is an inert gas
such as nitrogen and the stationary phase is generally a
nonvolatile liquid, e.g. silicone oil, mineral oil or
polyethylene glycols mixed with kieselguhr. Kieselguhr is a
porous, inert material which holds the stationary phase in the
column. A constant flow of nitrogen is passed through the
column which is several feet long, and which is maintained at
a temperature above the boiling points of the components to
be separated (Fig. 8.4). The mixture is injected into the gas
stream where it enters the column and immediately vaporizes.
The vapour is carried forward and is distributed between the
stationary phase and the moving gas phase (cf. partition
chromatography), so that materials which are less volatile
and/or more soluble in the stationary phase will tend to move
slowly through the column. Different rates of movement of
the components will result in their separation. The gas
emerging from the end of the column passes through a
suitable detector whose function is to produce an electrical
current which is proportional to the concentration of vapour
present in the carrier gas. A cathetometer is commonly used
as a detector. It consists of a thin wire heated by an electric
current. The temperature of the wire and hence its resistance
varies with the thermal conductivity of the gas surrounding it.
The change in electrical resistance can be followed by a
suitable potentiometer of the recording type so that the
components, as they emerge from the column, are recorded
automatically in graphical form. Fig. 8.5 represents a result
for a mixture of two components A and B.
403
Fig. 8.4 Apparatus for gas chromatography (diagrammatic).
Fig. 8.5 Gas chromatography of mixture of two components:

A and B. RA = retention time of A. RB = retention time of B.
404
The time taken for a particular substance to pass through a
gas–liquid column operated under standard conditions is a
characteristic property of that substance. This retention time
can be used to aid identification of a substance in the same
way that RF values are used in partition chromatography. The
area under the peak is proportional to the amount of substance
present so that quantitative analysis is possible from
examination of the graph. The advantages of gas
chromatography are that separations can be achieved in about
20 minutes and the same column used repeatedly. The method
has been used for the identification of components of
essential oils, separation of fatty acid esters and
hydrocarbons, etc.
Applications
A comparison of chromatography with other important
general methods for the separation of mixtures, such as
distillation, sublimation, fractional crystallization, partition
and chemical separations, shows that it possesses two
extremely valuable features; it is applicable to small
quantities of material and the conditions of operation
normally cause no change in the components of the mixture
being separated. Its applications to pharmacy are now so
extensive that no more than a general indication of its uses
can be given.
Pharmaceutical Analysis
Chromatographic methods are of particular value in three

types of analytical problem:
405
1. Tests for homogeneity of substances liable to
contamination with chemically similar substances, such as
alkaloids, cardiac glycosides and steroids. Pharmacopoeial
test for the absence of related foreign steroids in
betamethasone valerate is performed by paper
chromatography.
2. The identification of pharmaceutical substances and
preparations, for example ergot alkaloids can be identified by
paper chromatography of the amino acids liberated on
hydrolysis of the alkaloids.
3. The determination of the individual components of
complex mixtures or of substances in dilute solution.
Anthraquinone-containing drugs can be assayed by isolation
of the hydroxyanthraquinones on a magnesium
oxide–kieselguhr column; these are then eluted and
determined spectrophotometrically. Hyoscine and
hyoscyamine in solanaceous drugs can be easily determined
after separation on a partition column.
Vitamins
Chromatographic methods have been used in the isolation,

characterization and determination of many vitamins and
allied substances. Vitamin D is separated from other steroids,
vitamin A and carotenoids on a column of magnesium oxide
and kieselguhr. A method for the determination of the B12
vitamins in fermentation liquors and liver extracts involves
resolution of the vitamins on paper strips and a
microbiological assay.
406
Antibiotics
Chromatography has been exploited in the isolation of many

antibiotics, both on the laboratory and industrial scales. In one
method for the assay of penicillins, filter paper is soaked in 30
per cent potassium phosphate buffer of pH 6–7 and dried in
air; a spot of solution of the mixed sodium salts is then
developed on the strip with wet ether and the zones are
located by placing the strip on agar inoculated with Bacillus
subtilis; mixtures of pure penicillins are used as reference
standards in the quantitative interpretation of the results.
Radioisotopes
The absence of radioactive sodium iodate in sodium iodide

(131I) Injection BP is checked by autoradiograph technique
after paper chromatography of the solution. The iodide and
iodate ions have different RF values; the entire radioactivity
should reside in the iodide ion.
Ion Exchange
A substance that can be usefully employed for ion exchange
should be insoluble and have the capacity to absorb ions in
such a way that they can be reversibly replaced by other ions
of the same charge. Thus the reaction can be represented:
407
where A represents a porous insoluble matrix containing the
labile ions B− which are capable of exchanging with anions,
in this case, D– in the surrounding solution. The ions D–
initially distributed throughout the solution must reach the
surface of the ion exchange material and then diffuse into the
porous matrix so that an equivalent number of B– ions are
released and diffuse out. The exchange proceeds by diffusion
throughout the porous material until eventually an
equilibrium distribution of B– and D– ions is reached. The
rate-limiting factor in this exchange reaction is therefore the
diffusional process, and this results in the overall rate of
reaction being much slower than a chemical reaction in
homogeneous solution.
Cation Exchange in Silicates
The natural zeolites were among the first materials to be used

for water softening. They are capable of removing unwanted
magnesium and calcium ions from hard water and replacing
them with sodium ions. The zeolites belong to the class of
clay minerals which can be regarded as being built up from an
‘aluminosilicate’ skeleton together with a sufficient number
of cations such as Li+, Na+, K+, Mg2+, Ca2+ to neutralize any
excess charge on the skeleton. Some or all of these cations are
exchangeable for others of equivalent charge provided they
can penetrate the pores of the network. The zeolite analcite
(NaAlSiO6.H2O) can be quantitatively converted into
KAlSiO6.H2O by prolonged leaching with potassium chloride
solution. The synthetic aluminosilicates are analogous to the
zeolites but their structure consists of irregular pores unlike
the perfectly uniform interstices of the zeolite crystals.
408
Many clay minerals consist of stacks of flat aluminosilicate
sheets with the cations attached to the surface of the sheets.
The sheet to sheet distance in clays such as mica is about 1nm
so that
the exchangeable cations are largely confined to the edges of
the sheets. The montmorillonite group of minerals, which
includes clays of pharmaceutical importance, e.g. bentonite,
attapulgite, has a different layer structure when swells in
water due to the penetration of at least two monolayers of
water. Swollen sodium bentonite has a multiple sandwich
structure with 1 nm layers of water between 1 nm layers of
aluminosilicate, which enables monovalent and divalent ions
to diffuse along the water filled planes. This accounts for the
high exchange capacity of sodium montmorillonites
compared with the nonexpanding minerals such as illite. The
cation exchange capacities of some typical silicates are shown
in Table 8.1.
Table 8.1 Cation-exchange capacities of some typical silicates
(after Kitchener, 1957) (mEq/100g at ph 7)
Kaolinite Al2O32SiO2.2H2O (natural mineral is kaolin) has a

nonexpanding lattice and from its structure would appear to
have no cations to exchange. However, in practice it takes up
3–15mEq or even more after prolonged grinding in a mill.
This exchange capacity is likely to arise from the broken
409
edges of the silica sheets where the Si–O–Si–O–Si planes are
terminated by 5–OH groups. These are only weakly acidic,
dissociating as –S–O– + H+. Additional cation exchange
capacity may be due to isomorphous replacement within the
sheets, e.g. Al3+, in place of Si4+ or Mg2+ for Al3+, which
leaves a net negative charge on the sheet.
Carbonaceous Exchangers
The sulphonation of certain soft coals produces a dark

insoluble granular mass with mainly –SO3H units attached to
the aromatic matrix of the coal. These exchangers replace
cations by hydrogen ions and are used in the processing of
water for chemical plant.
Ion Exchange Resins
The first synthetic ion exchange resins were invented by

Adams and Holmes in 1935, whose target was to ’tailor
make’ resins for anion and cation exchange. The cation
exchange resins were prepared by condensation of dihydric
phenols with formaldehyde so that the OH groups were free
and still retained their acidic nature. To introduce stronger
acidic groups (–SO3H) the resin was sulphonated after
preparation, or phenylsulphonic acid was substituted for the
phenol in the preparation of the resin. Anion exchange resins
were made in a similar way by condensation of amines such
as m-phenylenediamine with formaldehyde.
Most present day ion exchange resins are prepared by
emulsion polymerization techniques which result in
well-defined composition of the early condensation resins. An
example of this reaction is the polymerization of the
410
unsaturated monomer of the type CH2 = CHX which
undergoes a chain reaction leading to the structure:
This chain polymer is still soluble in certain solvents and in

order to produce an insoluble resin it is necessary to
incorporate a bifunctional monomer, generally a divynyl
compound:
This produces cross linking of the polymer chains and renders

the product insoluble. An example of a cation exchange resin
prepared by copolymerization is the reaction between styrene
C6H5—CH = CH and divynyl benzene CH2 = CH—C6H4.CH
= CH2. The resultant copolymer is sulphonated with
concentrated sulphuric acid.
The –SO3H groups attached to an insoluble polymer matrix

are ionizable so that the H+ is capable of exchanging with
other cations in the solution which is in contact with the resin.
The polymerization of an emulsion or coarse suspension of
the monomer produces a resin in the form of beads of
411
controlled size which are convenient for handling both in the
processing operation and in the final usage of the product.
The synthesis of anion exchange resins follows a similar
procedure, starting with a cross-linked polystyrene resin and
then treating with CH2ClOCH3 in the presence of a catalyst
(Friedel–Crafts reaction) so that –CH2Cl groups are attached
to the benzene rings in the polymer. A quaternary ammonium
resin is then produced by treatment with a tertiary amine:
Other resins can be similarly synthesized where the functional

groups vary in basic strength; amino groups attached to
aromatic nuclei are weak bases but when they are attached to
the macromolecular skeleton in the same manner as aliphatic
amino groups they give relatively strong bases. Resins
containing quaternary ammonium hydroxide functional
groups behave as very strong bases.
Cation exchange reactions are reversible and the portion of
the equilibrium depends on the proportion of the resin and the
electrolyte. When the functional group is –SO3H, the resin
RSO3H is in effect a strong acid and exchange will occur
when cations in the ambient solution are combined with the
conjugate base of a weak or strong acid, e.g. CI− is the
conjugate base of the strong acid, HCl, and the following
exchange reaction will occur:
412
With the weakly acidic –COOH as the group responsible for
the exchange, only cations combined with the conjugate base
of a weak acid will undergo exchange:
Phenolic groups are so weakly acidic that exchange occurs

only in alkaline solution:
These differences can be exploited for selective exchanges.

The cation taken up by the exchanger can be displaced by
washing the resin with mineral acid, whereby the exchanger is
converted into its original form and if desired the displaced
cation can be recovered.
These synthetic resins are stable in strongly acid or alkaline
solutions and can be repeatedly regenerated without
decomposition.
413
Anion exchange reactions with resins containing quaternary
ammonium groups –N± show reversible anion exchange:
The resins containing primary, –NH2 or secondary, =NH

amino groups do not act as exchangers but can combine with
acids as follows:
The anion fixed by the resin can be displaced by an alkali

such as sodium hydroxide. Weak base resins can be
regenerated with sodium carbonate.
Behaviour of Ion Exchangers

No reliable theoretical treatment of ion exchange has yet been
developed; an experimental determination of the behaviour of
an exchanger is often required. The exchanger is stirred with
a series of solutions of the exchanging ion; the equilibrium
concentrations in the ambient solution of the two ions
undergoing exchange are determined and an exchange
414
isotherm summarizing the properties of the exchange can then
be plotted.
Exchange Capacity
The capacity of exchangers is usually stated in terms of the

uptake of an ion per gram of dry exchanger; the units used for
expressing the quantity of the ion are thousandths of its
chemical equivalent (mEq). Approximate capacities are given
in Table 8.2.
Table 8.2 Approximate capacities of exchangers
Exchange usually takes place fairly rapidly but some

aluminosilicates may require 2–3 days to attain equilibrium.
Within the temperature range at which exchangers are stable,
temperature has little effect on the position of equilibrium. It
is probable that with many exchangers some surface
415
adsorption and occlusion of solutes occurs simultaneously
with exchange.
Exchange equilibria are controlled by a number of factors not
directly related to the nature of the exchangers. For cations of
the same charge, the size of the hydrated ion in solution is the
determining factor; for cations of roughly the same size, e.g.
Cs+, Ba2+, La3+, the uptake increases with ionic charge.
Correlations of this type have not been detected for anions but
the following order of affinity of acids has been found
experimentally: H3PO4 > H2SO4 > HNO3 > HCl; salicylic >
citric> acetic> formic> oxalic > benzoic. These differences in
the affinities of ions can be exploited for their separation by
procedures essentially similar to those employed in
chromatography.
Use of Ion Exchangers
Since ion exchange proceeds to a definite equilibrium, a

single contact of the ion exchanger with the solution will not
give efficient ion exchange. By flowing the solution through a
column of ion exchanger, the reaction will go to completion
as follows:
The apparatus used is essentially similar to that used in

chromatography. In a typical exchange of a cation by the
hydrogen ion, the cation exchanger, in bead or coarse powder
form, is soaked for an hour, with occasional stirring, in 2
volumes of 2m hydrochloric acid to allow for swelling and to
convert the resin into its hydrogen form. It is then transferred
416
to a chromatogram tube of about twice the volume of the
resin. To displace air and fine powder, water is passed
upwards through the bed of resin until the effluent is free
from suspended matter and the excess of supernatant water is
drained down to the level of the bed. A volume of 2m
hydrochloric acid equal to the volume of the column of resin
is then slowly drained downward through the column; the
effluent should be strongly acid. Excess acid is then removed
by thorough washing with water. The solution for ion
exchange is then passed through the column; if the acidity of
the effluent begins to fall before all the solution has passed
through, the column is backwashed with water and
regenerated by down flow of one resin-column volume of 2m
hydrochloric acid.
Applications
Deionization
All the ions can be removed from a solution by using both an

anion and a cation exchanger in series or as a mixed bed. For
the deionization of water, the mixed bed method is most
effective. The bed consists of a mixture of the bead forms of a
strong acid exchanger that removes cations (Ca2+, Mg2+) and
a strong base exchanger that removes anions ( , Cl−,
, ). The electrical resistance of the effluent can be
used to assess the quality of the water. Using a mixed bed
column, water of specific resistance of 10MΩ/cm is readily
obtained, which is comparable with conductivity water
prepared by repeated distillation in quartz still. For
regeneration the two components are separated by
417
backwashing with water; the less dense anion exchanger is
then segregated as the upper layer above the denser cation
exchanger. The upper and lower layers are separated,
regenerated with alkali and acid respectively, rinsed and
remixed by passing an air stream through the column. By this
means, a 2.5-cm column, 1m high, will yield 22.5L per hour
of water purer with regard to ionic components than distilled
water. Purified Water BP may be prepared by ion exchange
methods, as an alternative to distillation.
In deionization, by means of a cation and an anion exchanger
in series, the effluent from the cation exchanger column is
acid:
The mixed bed technique does not suffer from this

disadvantage and can therefore be used in place of dialysis for
the removal of ions from solutions of acid-sensitive colloids.
Both methods can be usefully applied to the deionization of
an impure solution of any nonelectrolyte. Examples of such
deionizations are provided by the purification of sucrose,
glucose, glycerol, penicillin and enzymes. Iron is removed
from lactic acid solutions by passage through a cation
exchanger and formaldehyde solutions are deacidified by an
anion exchanger.
418
Exchange of Ionic Constituents
In water softening, calcium and magnesium Ions are replaced

by sodium ions from a cation exchanger. Potassium salts of
penicillins can be converted into sodium salts by cation
exchange and streptomycin sulphate is converted into the
chloride by anion exchange.
Potassium salts of penicillins can be converted into sodium
salts by cation exchange and streptomycin sulphate is
converted into the chloride by anion exchange.
Separations of ionic compounds have been achieved by
exchangers, which take up only one component or group of
components of a mixture, e.g. the absorption of basic amino
acids in a protein hydrolysate on a carboxyl exchanger, or by
chromatographic separation when all the components are
absorbed. In the separation of a mixture of amino acids on a
sulphonic acid resin, the components of the mixture are
absorbed at the top of the column in an order depending on
the basic strength of their amino groups; the column is then
eluted with a solution of a stronger base and the amino acids
pass out of the column in order of their affinities for the resin.
Streptomycin can be absorbed on Decalso and, after elution of
impurities which are not absorbed, the streptomycin is
recovered by washing with sodium chloride solution. Ionic
materials can be removed from penicillin solutions by means
of columns of anion and cation exchangers in series; the
penicillin is not absorbed. Ion exchangers have found
extensive applications in the separation of rare earth metals
and isotopes.
419
Recovery Processes
Ion exchangers are extremely useful for the recovery of small

quantities of valuable ionic substances from large volumes of
solutions containing nonionic waste products, for example
aneurine can be simply recovered from brewery and yeast
wastes.
Medicinal Uses of Ion Exchange

Resins
Prolongation of Drug Action
Ion exchange resins are used to form chemical complexes of

acidic and basic drugs which are administered by mouth in
order to prolong drug action. Basic drugs such as ephedrine
and amphetamine have been combined with cation exchange
resins, and to a limited extent acidic drugs, e.g. barbiturate,
have been used in combination with anion exchange resins.
The rate of release of the drug from the resin beads depends
on the diameter of the beads and the degree of cross linking of
the polymer. Both these factors will influence the rate of
diffusion of ions through the resin. The acid or basic strength
of the resin will also affect the rate of release of basic or
acidic drugs in the presence of electrolyte. In the formulation
of basic drugs, generally strong acid resins are used, e.g.
RSO3H
in order to obtain a reasonably slow rate of release in the acid
environment of the stomach. Weak acid types, e.g. RCOOH
release the base too rapidly. Amphetamine combined with a
420
cation exchange resin undergoes the following reactions when
administered orally:
Any unchanged drug resin passing from the stomach into the
intestine will undergo the following reaction:
The released amphetamine chloride or bicarbonate is then

absorbed through the wall of the intestine and the insoluble
resin RSO3Na+ is excreted. The rate of release of
dexamphetamine and ephedrine in vitro has been studied by
Chaudhry and Saunders (1956).
Resin complexes are also useful in disguising the taste of
bitter ionic drugs although in these cases, prolonged action
may not be required and a weak acid or basic resin would
then be necessary. Ion exchange resins for prolonging drug
action are in fine bead form and have a gritty texture when
taken by mouth so that it is usual to administer them in tablet
form.
421
Antacids
Weak anion exchange resins have been used as antacids for

the relief of symptoms in the treatment of peptic ulcer. The
resin combines with the hydrochloric acid in the stomach
which is later released in the alkaline conditions of the
intestine. The resin is thus excreted unchanged so that there is
no ionic disturbance of the ionic content of the body fluids.
The reaction can be represented as:
The resin is usually finely powdered and flavoured to make it

palatable.
Control of Electrolyte Balance
Cation exchange resins administered by mouth exchange their

cations with those present in the gut and hence effect changes
in the electrolyte balance in the plasma. Abnormal
physiological conditions in which there is retention of sodium
and water, as for instance in cardiac failure, renal disease and
toxaemia of pregnancy can be treated by these resins (Payne,
1956). The resin is usually the ammonium form, part of which
is replaced by the potassium form to prevent undesirable
potassium depletion. A side effect of this treatment is the
production of acidosis due to the liberation of NH+ ions
which on metabolism in the liver produce H+. It is of course
essential that laboratory facilities are available so that a
constant check can be kept on the electrolyte balance of the
patient being treated by ion exchange resins. An additional
422
hazard of this treatment would be the depletion of essential
ions such as Ca2+ and Mg2+.
Height Equivalent to Theoretical Plate

(HETP)
In the mid-1950s, a group of Dutch chemical engineers began
a study of the processes that cause band broadening in
chromatography. They derived an expression commonly
called van Deemter equation, relating the height equivalent to
a theoretical plate (HETP) to a number of experimental
parameters, including the diameter of stationary phase
particles, the diffusion coefficients of the solute in the
stationary and mobile phases, and the flow rate of the mobile
phase. For descriptive purposes, the original, complicated
equation is frequently given in the simplified form.
where μ is the linear velocity, in cm/sec, of the mobile phase

and A, B and C are coefficients that describe the various
diffusion processes occurring in the chromatography that lead
to band broadening.
Coefficient A is called the eddy diffusion or multiple path
coefficient and is concerned with the different paths travelled
by the molecules of a particular solute during their passage
through the column. The particles of the stationary phase,
whether irregularly or spherically shaped, are packed as
tightly as possible, and the solute molecules must pass around
them to proceed along the column. Because of the large
423
number of possible paths, some molecules of the same kind
will reach the end of the column before others. Faster
molecules are found in the leading edge of the peak, and
slower ones form the trailing edge. The net effect of this
distribution is band broadening. In a modern chromatographic
column that is packed with small, uniformly sized particles,
the value of A is minimal and the contribution of this term to
increasing the HETP is negligible. In a capillary GC column
that contains no solid particles, the value of A is zero.
Coefficient B in the van Deemter equation is termed the
coefficient of longitudinal diffusion. Because the
concentration of solute is lower at the edges of the band than
in the centre, a gradient exists and during the travel of the
band through the column, solute is diffusing continually
through the mobile phase away from the centre of the band.
This phenomenon occurs at both the leading and trailing
edges of the peak and contributes further to band broadening.
Because the equation predicts that the contribution to the
HETP of this term is inversely proportional to the mobile
phase velocity, the effect is more pronounced at low flow
rates. Diffusion effects are more severe in gas
chromatography than in liquid chromatography because
diffusion coefficients are several orders of magnitude higher
in a gas. The contribution of longitudinal diffusion to band
broadening can be lessened by the proper adjustment of flow
rate and by increasing the viscosity of the mobile phase.
Coefficient C, the coefficient of mass transfer, is concerned
with the transfer of the source between the two phases.
Because the mobile phase is moving rapidly, equilibrium
between the two phases may not be attained. Therefore, some
solute molecules in the mobile phase are not transferred to the
stationary phase quickly enough, and as a result, are carried
ahead of the centre of the band. Those in the stationary phase
424
are retained too long and, hence, lag behind. In contrast to
longitudinal diffusion, the contribution to the plate height of
this term is directly proportional to flow rate, thus to
minimize the overall effect, a compromise in flow rate is
necessary. Mass transfer effects also may be lessened by
using a very thin coating of stationary phase so that the area
in contact with the mobile phase is maximized while diffusion
deep into the stationary phase is reduced.
In Fig. 8.6, a graph of the simplified form of the van Deemter
equation, as well as the contributions of each of the terms
throughout a range of flow rates, is shown. A distinct
minimum corresponding to a narrow range of flow velocities
can be seen. Although this ideal curve may not be achieved in
practice, it is possible to optimize a gas chromatographic
analysis by running the test compound at various flow rates,
determining the respective values for HETP and plotting the
van Deemter curve. In this manner, the HETP for any solute
under a particular set of experimental conditions can be
minimized. For a more detailed treatment of the applicability
of the van Deemter equation to both gas and liquid
chromatography, the review by Hawkes is recommended.
425
Fig. 8.6 Graph of the van Deemter equation, showing the
contribution of each of the terms throughout a range of flow
rates.
High-Performance Thin-Layer
Chromatography (HPTLC)
HPTLC is a form of thin-layer chromatography (TLC) that
provides superior separation power using optimized coating
material, novel procedures for mobile-phase feeding, layer
conditioning, and improved sample application. It promotes
for higher separation efficiencies, shorter analysis time, lower
amounts of mobile phase, and efficient data acquisition and
processing. HPTLC is a sophisticated instrumental technique
based on the full capabilities of TLC. The advantages of
automation, scanning, full optimization, selective detection
principle, minimum sample preparation, hyphenation, etc.,
enable it to be a powerful analytical tool for chromatographic
information of complex mixtures of inorganic, organic and
biomolecules. TLC, among various chromatographic
techniques, scores high over other chromatographic
techniques where altogether a new problem, one might not
have encountered or solved. It is a valuable tool for reliable
identification providing chromatographic fingerprints.
The feature that distinguishes TLC from other physical and
chemical methods of separation is that two mutually
immiscible phases are brought into contact while one phase is
stationary and the other mobile. A sample is loaded on the
stationary phase and is carried by the mobile phase. Species
in the sample undergo repeated interaction between the
mobile and stationary phase. When both phases are properly
426
selected, the sample components are gradually separated into
bands or zones.
HPTLC allows fast, inexpensive method of analysis in the
laboratory as well as in field. Modern quantitative HPTLC,
when properly performed by well-trained analysts, can be
advantageous compared to high-performance liquid-column
chromatography in many analytical situations. The modern
HPTLC technique, combined with automated sample
application and densitometric scanning, is sensitive and
completely reliable; it is suitable for use in qualitative and
quantitative analysis. HPTLC is a valuable tool for reliable
identification because it can provide chromatographic
fingerprints that can be visualized and stored as electronic
images. To take full advantage of this unique feature inherent
to HPTLC, reproducible results and images must be ensured.
Special advantages of HPTLC include high sample
throughput and low cost per analysis; multiple samples and
standards can be separated simultaneously, and sample
preparation requirements are often minimal because the
stationary phase is disposable. Other advantages include
static, offline detection of zones using a great variety of
complementary postchromatographic universal and selective
detection methods that are often applied sequentially, and
storage of the separation, containing all sample components,
on the layer for identification and quantification at a later time
by in situ or elution methods. The use of highly sensitive
(CCD) cameras has enabled the chromatographer to
electronically store the images of chromatograms for future
use and for direct entry into reports at a later date. The
comparison between HPTLC and TLC on the basis of
parameters is shown in Table 8.3.
427
Table 8.3 Comparison between HPTLC and TLC on the
basis of parameters
Parameters HPTLC TLC

Technique Automated/instrumental Manual
Mean particle 5–6 10–12
size (μm)
Layer 100 250
thickness
(μm)
Plate height 12 30
(μm)
Efficiency high due to smaller particle size Less
generated
Separations 3–5 10–15
(cm)
Analysis time Shorter migration distance; the Slower
analysis time is greatly reduced
Solid support Wide choice of stationary phases Silica gel,
like silica gel for normal phaseand alumina
C8, C18 for reversed-phase and
modes kieselguhr
Development New type that requires less More
chamber amount of mobile phase amount
Sample Autosampler Manual
spotting spotting
428
Sample 0.1–0.5 1–5
volume (μL)
Starting 1–1.5 3–6
spot’s
diameter
(mm)
Separated 2–5 6–15
spot’s
diameter
(mm)
Sample tracks ≤ 36 ≤ 10
per plate
Scanning use Scans the entire chromatogram Not
of UV/ qualitatively and quantitatively possible
visible/ and the scanner is an advanced
fluorescence type of densitometer
scanner
Separation 3–20 20–200
time (min)
Detection 100–500pg 1–5ng
limits
(absorption)
Detection 5–10 50–100
limits
(fluorescence,
pg)
The major parameters that influence separation of the
constituents within a mixture are the partition coefficients,
retention factor (RF) and capacity factor of the individual
constituents on the plate, selectivity of the mobile and
429
stationary phase to the solutes, the plate height that decides
the separation efficiency and resolution of the individual
constituents within a mixture. The partition coefficient is
defined as the molar concentration of the analyte in the
stationary phase to that in the mobile phase. RF, a
fundamental qualitative value, is expressed as the ratio of
migration distances of an individual component of a mix
relative to the mobile phase. Capacity factor (k) is a
fundamental characteristic of a substance that determines its
qualitative chromatographic behaviour. It can be expressed as
the ratio of the retention time of the substance in the
stationary phase to that in the mobile phase and is influenced
by the chemical nature of the two phases. The separation
number (SN) that influences separation power of HPLC is
defined as the highest possible number of components that are
completely separated in a mixture under a gradient-free
isocratic TLC. The efficacy of separation of two components
of a mixture in a chromatogram is termed as resolution and is
influenced by the selectivity of the components between the
stationary and the mobile phases, mobile phase flow rate
influenced by particle size and solvent strength that influence
capacity factors (Kitchener, 1957).
To which extent various components of a formulation are
separated by a given HPTLC system is the important factor in
quantitative analysis. It depends on the following factors:
1. Type of stationary phase
2. Type of precoated plates
3. Layer thickness
4. Binder in the layer
5. Mobile phase
6. Solvent purity
7. Size of the developing chamber
8. Saturation of chamber
430
9. Sample’s volume to be spotted
10. Size of the initial spot
11. Solvent level in the chamber
12. Gradient
13. Relative humidity
14. Temperature
15. Flow rate of solvent
16. Separation distance
17. Mode of development
HPTLC is the fastest chromatography method, since
chromatography of samples is done in parallel. Being offline,
i.e. each step of the procedure is performed independently,
makes TLC/HPTLC not only faster but flexible enough for
one HPTLC system to analyze different samples in parallel.
Consumption
of stationary and mobile phase is directly proportional to the
number of samples being analyzed. Cost per analysis is very
low. One 20 × 10cm plate can accept about 20 samples and
requires 15ml of mobile phase. Disposable stationary phase in
TLC/HPTLC has two distinct advantages in sample
preparation. One, it is possible to do sample cleanup on the
plate itself. The other is that sample cleanup may not be that
critical as residue left behind is inconsequential. Fatty matrix
can be cleaned up on the plate itself, after sample application.
Investment in equipment is another feature of TLC/HPTLC
where it scores. One can start with a simple basic set-up and
invest in phases to an ultrasophisticated fully automatic
HPTLC gradient system with multiple detectors. Visibility of
the sample throughout the chromatographic analysis, i.e. after
sample application and chromatograph development, in situ
derivatization is unique to HPTLC. Postchromatography
derivatization (PCD) is very simple and routinely possible in
any lab. After recording data, a plate can be derivatized to get
431
additional information. PCD is done for several reasons, viz.
to detect compounds with a specific functional group or to
lower detection limits by up to several orders of magnitude of
target fractions or for universal detection of all organic
compounds present or to visualize the sample by our eyes.
Although silica gel is by far the most widely used adsorbent
(stationary phase), many other adsorbents have been used as
the separation medium, e.g. reverse phases, bonded phases,
alumina, Kieselguhr, etc. Most solvents can be used in the
mobile phase, as the layer is disposable. Gas phase too plays
an important role in TLC/HPTLC in the developing
chamber’s vapour saturation, its pH and humidity. TLC and
HPTLC can be used for qualitative, semiquantitative and
quantitative analysis. It can also be used for the identification
of industrial fractions after chromatographic separations as
well for the identification of herbal extracts, complex
mixtures by ’HPTLC fingerprint’. Most labs use TLC/HPTLC
for impurity analysis, assay or comparison with similar
samples and screening of unknown samples or of a large
number of samples.
Quality control, analytical R&D, process monitoring and
environmental laboratories find TLC/HPTLC as a useful tool
for everyday analysis. Chromatogram development in TLC/
HPTLC can be done with the plate in vertical or horizontal
position. It can also be done by linear, circular or anticircular
movement of the mobile phase. Development can also be
done in one dimension, with one mobile phase (isocratic), or
repeatedly in the same direction, with differing mobile phases
(gradient). 2D chromatography is very useful for
high-resolution separations using a different mobile phase in
each direction. Chromatographic stability of samples can be
studied by 2D technique. However, isocratic linear
432
development in vertical mode is practiced more than 95% of
the time.
Protocol for HPTLC
Preparation of Plate
Precoated layers: TLC plates can be made in any laboratory

with suitable apparatus. However, such layers do not adhere
well to the glass support. Precoated plates that use small
quantities of very high-molecular-weight polymer as binder
overcome most limitations of a home-made layer. Precoated
layers are reasonably abrasion resistant, very uniform in layer
thickness, reproducible, preactivated and ready to use. They
are available with glass or aluminium or polyester support.
Aluminium foil plates are cost effective and can be cut
(therefore easy to carry around or transport or mail). Glass
plates are the best for highest quality of results. Most often,
layers containing a fluorescent indicator F254 are used. This
enables the visualization of samples in an UV cabinet very
simply, instantly and in a nondestructive manner. Commonly
used size of plates in TLC is 20 × 20cm, while in HPTLC 20
× 10cm or 10 × 10cm is widely used. For reproducible results,
conditions for chromatography need to be standardized.
Plate Size
• 20 × 10cm or 10 × 10cm
• Plate support: glass or aluminium with florescent indicator
Sample Application Position
433
• Distance from left and right side edges: 15mm
• Distance from bottom edge: 8mm
• Length of bands: 6mm
• Centre to centre distance between bands: 10mm
Chromatogram Development
• Chamber saturation: 20min in a chamber lined with filter

paper on three sides
• Chamber type: twin-trough chamber
• Grease for sealing: not to be used
• Opening the lid for plate insertion: slide the lid; do not lift it
• Layer saturation: 5min (keep an aliquot of the mobile phase
in one trough)
• After 15min of chamber saturation, keep the plate in the
second trough for 5min
• Layer facing the chamber, not the wall
• Development distance: 70mm
• Mobile-phase front detection: by CCD
Derivatization
• Scan speed: 20mm/s

• Centre of scan beam and of sample band should overlap
• Always record spectra of all samples, except when not
required in method
• By immersion technique
• Dip speed
• Dip time: 1s
• Image documentation
• With an industrial camera
434
Auto Spray Loading
The main requirements of sample application are precise

sample volumes, precise positioning for accurate volumes,
and sharpest-possible ’bands’ by spray-on method using an
inert gas. Circular spots have numerous disadvantages while
’line’ or ’band’ application is advantageous. TLC/HPTLC is
an ’open’ chromatography method. An automated developing
chamber that uses a normal twin-trough chamber for
chromatographic development but automates all other steps
such as plate insertion, addition of conditioning and mobile
phases, monitoring saturation and humidity inside the
chamber, drying the plate uniformly after development, etc.,
is very desirable.
Software-Induced Scanning
An ’entry-level’ HPTLC system is already very advanced and

can do most of the routine jobs. It can scan for quantification
in absorbance and fluorescence modes and record
ultraviolet–visual (UV–Vis) absorbance spectra, in situ.
Depending on end-user requirements, gradient chamber and/
or a photo documentation device and a bioluminescence
detector may be added or a fully automatic system could be
procured. Hyphenation with mass spectrometry (MS) or
infrared (IR) or NMR can be achieved with a suitable
commercially available interface. A recently available device
interfaces HPTLC with MS. This interface enables the
extraction of the chosen fraction from the layer and feeds it
directly into the MS. This opens great new possibilities for an
analytical laboratory. The analysis output from liquid
chromatography–mass spectrometry (LC–MS) can be greatly
435
increased, when compiled to TLC/HPTLC. Any specified
fraction from a plate can be analyzed. Other fractions present
can be ignored. Optimization of MS parameters for a
particular molecule can be optimized using TLC. LC–MS and
thin-layer chromatography–mass spectrometry (TLC–MS) are
complimentary techniques.
The various steps having potential for the advancements on
the TLC are methods to provide a constant and optimum
mobile-phase velocity, video densitometry for recording
multidimensional chromatograms, in situ scanning, and
monitoring for selective detection. These improvements
dramatically increased the use of TLC in the form of HPTLC.
Today, TLC has been successfully hyphenated with HPLC,
MS, Fourier transform infrared (FTIR) and Raman
spectroscopy to give far more detailed analytical data on
separated compounds (Ahuja, 1992; Shrivastava, 2011). Even
the UV–visible diode array technique has been utilized in
TLC to determine peak purity or the presence of unresolved
analytes (Table 8.4).
Table 8.4 Various features of HPLC/HPTLC
Feature HPLC HPTLC

Stationary phase Liquid/solid Solid
Mobile phase Liquid Liquid
Conditioning phase None Gas
Samples should be – Nonvolatile
Results By detector Detector + eyes
Analysis Online Offline
Resolution Very high Moderate to high
436
Chromatography Closed Open
system
Separating medium Tubular column Planar layer (plate)
Analysis in parallel No, only one at a Yes, up to 100
time samples
High pressure Yes No
required?
Time per sample 2–60min 1–3min
Data obtained from Little to very high High to very high
chromatography (detector (detector
dependent) dependent)
Postchromatography Limited Simple, possible
derivatization possibilities for every sample,
Cumbersome gives additional
information
Fraction collection/ Requires Simple, no special
micropreparative preparation scale requirements
chromatography chromatograph
and fraction
collector
Sensitivity High to ultra high Moderate to
ultrahigh
Fluorescence data Possible, optional Possible, built-in
Abs. spectra for Yes (PDA) Yes
identification
Detectors UV, fluorescent, UV–Vis,
electrochemical bioluminescence,
MS
437
light scatter, MS,
etc.
Chromatogram No Yes, at 254 and
image 366nm and visible
documentation
Sample clean-up Thorough column Not so imp
reusable Layer disposable
Chromatographic Yes, but limited Yes,
fingerprint comprehensive
Cost per analysis Very high Low
Equipment Very high Low
maintenance
Analyst’s skills High to very high Low (TLC) to
required high (HPTLC)
Liquid Chromatography–Thin-Layer
Chromatography (LC–TLC)
The most general interface for coupling column LC–TLC is

based on different modifications to the spray-jet applicator.
Flow rates typical for mobile phase can be applied to the
layer. A splitter in the transfer line to the spray-jet applicator
is required to accommodate higher flow rates from wider-bore
columns. The column eluent is nebulized by mixing with
nitrogen gas and sprayed as an aerosol onto the layer. The
spray head is moved horizontally on one line within a defined
bandwidth. Contemporary interest in LC–TLC remains weak.
The main problems are more on the detection and data
handling side than separations. It is simpler to obtain mass
spectral information from the solution phase using liquid
438
chromatography–mass spectrometry (LC–MS) than to either
quantify or identify separated bands by TLC–MS.
Chromatography–Mass Spectrometry
(HPTLC–MS)
The combination of chromatographic separations with mass

spectrometric detection is considered an indispensable tool
for problem solving in analytical chemistry and increasingly
for routine analytical methods. Mass spectrometric detection
brings an added level of information, complementary to the
chromatographic process that improves the certainty of
identification and the specificity of detection. Mass spectral
information can generally be obtained from sample sizes
typical of common analytical methods. HPTLC–MS is mainly
a research tool available to a small number of research
groups. The evolution of HPTLC–MS has been slow
compared with LC–MS. The challenge was to develop an
automated system for in situ acquisition of mass spectral data
directly from layers, with retention of the spatial integrity of
the chromatographic separation. This is certainly not a simple
problem, but a problem of some importance, since it restricts
the range of applications where HPTLC is considered
suitable. Scientists developed an interface (ChromeXtractor)
that allows such HPTLC–MS hyphenation. Dr Morlock
modified ChromeXtractor and demonstrated the performance
of this versatile interface in comparison to other technical
solutions for hyphenation. The substance of interest is eluted
directly from the HPTLC plate and is transferred online into
the mass spectrometer. Component mixtures, even with heavy
matrix load, can be separated cost effectively on HPTLC
439
plates. If the target zone is not visible, it can be marked either
under UV 254 nm or UV 366 nm, by extrapolation of the
adjacent zone made visible by derivatization. The
HPTLC–MS interface is operated in semiautomatic mode,
which means that after manual positioning of the zone, the
piston is lowered at the push of a button. Moving a lever
starts the solvent flow through the layer and extracts the zone.
Previously, data acquisition has to be started by flow injection
analysis/direct flow infusion/placebo injection or the direct
data acquisition window, followed by the cleaning procedure,
and the HPTLC–MS interface can be used for next analysis.
Hyphenating HPTLC with MS appears to hold considerable
promise for those analysts who previously have had
reservations towards the use of planar chromatography. The
hyphenation opens a new dimension for the technique and
makes it more prestigious from the scientific view. Recently,
HPTLC–MS has been successfully used for the identification
and quantification of amino acid in peptides, fast
identification of unknown impurities, problem-solving
technique in pharmaceutical analysis, identification of
botanicals, screening for bioactive natural products in
sponges, determination of ginkgolides A, B and C and
bilobalide in Ginkgo bilodes, and identification of Hoodia
gordonii, a popular ingredient of botanical slimming
products.
Chromatography–Infrared Spectroscopy
(HPTLC–IR)
Another advancement in HPTLC is the coupling of HPTLC

with spectrometric methods. It is because of the robustness
440
and simplicity of use of HPTLC and the need for detection
techniques that provide identification and determination of
the sample. Infrared (IR) is one of the spectroscopic methods
that have been coupled with HPTLC. IR spectroscopy has a
high potential for the elucidation of molecular structures and
characteristic absorption bands. Almost all chemical
compounds yield good IR spectra, which are more useful for
the identification of unknown substances and discrimination
between closely related substances. The HPTLC and FTIR
coupling can be divided into two groups – indirect and direct
methods. Indirect coupling involves either the transfer of the
substance from a TLC spot to a nonabsorbing IR material
(KBr or KCl) or in situ measurement of excised HPTLC spots
when the spectra are recorded directly from the plate. The
direct methods are based on the direct hyphenated
HPTLC–FTIR technique introduced in 1989 by Glauninger
and coworkers. Until then, the combination of HPTLC and
UV–Vis spectroscopy was the only online coupling method
available in planar chromatography. The information content
of UV–Vis spectra is rather poor and rarely enables
unambiguous identification of a substance; furthermore, a
chromophore is needed for UV detection. The HPTLC–FTIR
spectra make possible the detection and quantification of even
non-UV absorbing substances on HPTLC plates. These
reasons make this hyphenated technique more universally
applicable. The direct online coupled HPTLC–FTIR offers
advantages relative to other hyphenated techniques
(HPTLC–Raman spectroscopy, HPTLC–PA and
HPTLC–MS), such as the ease of operation and the optimized
operational aspects of online coupling. The HPTLC–FTIR
coupled method has been widely used in modern laboratories
for qualitative and quantitative analyses. The potential of this
method is demonstrated by its application in various fields of
441
analysis such as drug, forensic, food, environmental,
biological, etc. The hyphenated HPTLC–FTIR technique will
continue to be developed in the future, with the aim of taking
full advantage of this method’s capabilities.
High-Performance Thin-Layer Chromatography:

Laser
For the purpose of investigation, atmospheric pressure

matrix-assisted laser desorption/ionization is chosen for a
certain applications depending on the analytes. Combination
of laser desorption and atmospheric pressure chemical
ionization (APCI) was recently developed in which
desorption (laser) and ionization (APCI) were well decoupled.
This combination was easily incorporated into HPTLC/MS
system. Such a system benefits from the high spatial
resolution of the laser, simple transfer of analyte molecules,
compatibility with modern mass spectrometric systems and
less fragmentation under atmospheric pressure. One drawback
of such a system is that the cost for a traditional pulsed laser
system is relatively high, which somehow counteracts the
advantage of TLC in the low costs. The size of the laser
system is also not ideal for a miniaturization of the whole
analytical system. The initial efforts were carried out on a
graphite plate (photon-absorbing material). A continuous
wave diode laser replacing traditional pulsed lasers was
employed for this purpose. The thermally desorbed analyte
was ionized in the gas phase by a corona discharge device at
atmospheric pressure and detected mass spectrometrically.
Both essential processes, desorption and ionization of analyte
molecules, are separated. The technique was subsequently
applied to TLC to realize the combination of TLC and mass
442
spectrometry. Thus, a graphite suspension was employed to
couple the laser energy and improve the desorption
efficiency. The power density for desorption was decreased
by two orders of magnitude. In addition, a TLC
plate-scanning device was developed, by which the
chromatography on a TLC plate can be recovered and rapid
screening for numerous analytes on a TLC plate was
obtained. The device can also be applied for the identification
of unknown compounds and overlapping sample spots.
Finally, a quantification method for this system was
developed. An internal standard was added into the mobile
phase to yield a ’background’ signal, which was used as a
reference signal for the quantification. If TLC plates with
embedded graphite particles would become commercially
available in the future, laser diode desorption–APCI–MS
analysis would be facilitated and the pretreating time
shortened.
High-Performance Thin-Layer Chromatography:

Multidimensional Applications
HPTLC is now frequently used in the identification of

hydrocarbons, alcohols, phenols, carbohydrates, ethers,
epoxides, organic acids and lipids, organic peroxides,
steroids, steroid glycosides, saponins, terpenoid glycosides,
alkaloids, nitro and nitroso compounds, amino acids and
peptides, proteins, enzymes, nucleic acids, organic sulphur
and phosphorus compounds, organometallic compounds,
vitamins, growth regulators, antibiotics, pesticides and
agrochemicals, synthetic and natural dyes, plastics and their
intermediates and also in pharmaceutical, environmental,
toxicological, forensic and food chemical applications. TLC
443
is a routine tool in the monitoring of synthesis processes.
HPTLC offers several advantages over the present methods,
such as fast, simple, and inexpensive analysis of many
samples simultaneously; a disposable stationary phase;
possibility to use a number of nondestructive detection
methods; and cost-effective reagents. In recent years, HPTLC
research has entered the chiral-separation field using a
number of chiral selectors and chiral-stationary phases.
High-Pressure Liquid
Chromatography (HPLC)
High-pressure liquid chromatography is frequently called
high-performance liquid chromatography (both are
abbreviated as HPLC or, simply, LC), because it offers
improved performance over classical liquid chromatography.
HPLC is the premier analytical technique in pharmaceutical
analysis, which is predominantly used in the pharmaceutical
industry for a large variety of samples. It is the method of
choice for checking the purity of new drug candidates,
monitoring changes or scale ups of synthetic procedures,
evaluating new formulations and scrutinizing quality control/
assurance of final drug products. It is generally a technique
that can separate a mixture of compounds and is used in
biochemistry and analytical chemistry to identify, quantify
and purify the individual components of the mixture. HPLC
typically utilizes different types of stationary phases, a pump
that moves the mobile phase(s) and analyte through the
column, and a detector that provides a characteristic retention
time for the analyte. The detector may also provide other
characteristic information (i.e. UV–Vis spectroscopic data for
444
analyte if so equipped). Analyte retention time varies
depending on the strength of its interactions with the
stationary phase, the ratio/composition of solvent(s) used, and
the flow rate of the mobile phase. It is a form of liquid
chromatography but has smaller column size, smaller beads
inside the column and higher pressures. With HPLC, a pump
(rather than gravity) provides the higher pressure required to
propel the mobile phase and analyte through the densely
packed column. The increased density arises from smaller
particle sizes. This allows for a better separation on columns
of shorter length when compared to ordinary column
chromatography (Ahuja & Alsante, 2003; Meyer, 1998;
Ahuja & Dong, 2005).
The sample must be soluble; for separation, analytes must be
retained and have differential migration in the column. The
mobile phase controls the HPLC separation. The final analyte
solution should be prepared in the mobile phase. Few terms
and definitions of HPLC are given in Table 8.5 (Patel et al.,
2008; Partridge, 1952; Payne, 1956).
Table 8.5 HPLC terms and definitions
445
Organic Solvent Strength and Selectivity
The solvent strength or percentage of organic solvent content

in the mobile phase controls the retention time of the analyte
and that different organic solvents (MeOH, ACN, THF) can
have a dramatic effect on selectivity. THF is stronger than
ACN, which in turn is stronger than MeOH in reverse phase
liquid chromatography (RPLC). Consequently, a much lower
percentage of THF is needed (vs. percentage of MeOH) to
attain the same k′ (capacity factor) for a given solute. While
THF yields different selectivity in reverse phase liquid
chromatography
(RPLC), its use is not very popular (except in gel-permeation
chromatography) due to its toxicity and tendency to form
peroxide (unless a preservative is added). Another ether,
methyl t-butyl ether (MTBE), is often used instead of THE
MTBE, however, it must be used at low levels or with a
cosolvent due to its low miscibility with water. The UV
cut-offs of various solvents used in HPLC are given in Table
8.6.
Table 8.6 UV cut-offs of various solvents
446
Buffers
Many drugs have either acidic or basic functional groups and

can exist in solutions in ionized or nonionized forms. The
ionic state and degree of ionization greatly affect their
chromatographic retention in RPLC.
Typically, the ionic form does not partition well into the
hydrophobic stationary phase and, therefore, has significantly
lower k′ than the neutral, unionized form. Buffers are
commonly used to control the pH of the mobile phase for the
separation of acidic or basic analytes. Since a buffer is
effective only within ±l pH unit from its pKa, judicious
selection of the proper buffer within its buffering range is
paramount.
Acidic Mobile Phase
A mobile phase at acidic pH of 2.5–3 is a good starting point

for most pharmaceutical applications because the low pH
suppresses the ionization of most acidic analytes resulting in
their higher retention. Common acids used for mobile-phase
preparations are phosphoric acid, formic acid and acetic acid.
Low pH also minimizes the interaction of basic analytes with
surface silanols on the silica packing (because silanols do not
ionize at acidic pH). Also, the lifetime of most silica-based
columns is excellent in the pH range of 2–8. However, basic
analytes are ionized at low pH and might not be retained
unless ion-pairing reagents are used.
447
Ion-Pairing Reagents
Ion-pairing reagents are detergent-like molecules added to the

mobile phase to provide additional retention or selectivity for
the analytes with opposite charge. Long-chain alkyl
sulphonates are commonly used for the separation of
water-soluble basic analytes. Hexanesulphonate binds with
basic analytes such as pyridoxine and thiamine to form ion
pairs. These neutral ion pairs are now more hydrophobic than
their unassociated protonated amines resulting in higher
retention times. An ion-pairing reagent provides an additional
parameter to facilitate resolution of basic analytes from other
components in the sample. Note that amine modifiers such as
triethylamine (TEA) are often added in the mobile phase to
reduce peak tailing caused by the strong interaction of basic
analytes with acidic surface silanols. For acidic analytes,
ion-pairing reagents such as tetra alkylammonium salts are
often used.
HPLC Solvent Delivery Systems
A modern HPLC solvent delivery system consists of one or

more pumps, solvent reservoirs and a degassing system.
HPLC pumps can be categorized in several ways—by flow
range, by driving mechanism or by blending methods. A
typical analytical pump has flow range of 0.001–10mL/min,
which handles comfortably the flow rates required by most
pharmaceutical assays (e.g. 0.5–3mL/min). Preparative
pumps with flow ranges of 30mL/min up to litres/min are
discussed elsewhere. Most pumps use a reciprocating driving
mechanism. The exceptions are screw-driven syringe pumps
for capillary LC applications. Another way to classify
448
pumping systems is by the way solvent blending is
achieved—under either low-pressure or high-pressure mixing
conditions.
The main components of an HPLC system are a high-pressure
pump, a column, an injector system and a detector. The
system works as follows: eluent is filtered and pumped
through a chromatographic column, the sample is loaded and
injected onto the column and effluent is monitored using a
detector and recorder as peaks.
Analytical Pump (Solvent Delivery System)
The requirements for HPLC pumps are as follows: they must

be able to generate high pressures, have a pulse-free output,
deliver flow rates ranging from 0.1 to 10mL/min, have flow
reproducibilities of 0.5 per cent relative or better and be
resistant to corrosion by a variety of solvents. Various types
of pumping systems exist. These include the following:
1. Direct gas–pressure systems: This system consists of a
cylinder gas pressure, which is applied directly to the eluent
in a holding coil. Advantages of this pump are that it is
reliable and economical although solvent changing is found to
be tedious.
2. Syringe-type pumps: In these pumps, an electrically driven
lead screw moves a piston, which is able to pressurise a finite
volume of solvent, and thus delivers a pulseless constant flow
of solvent to the system. These pumps are found to be reliable
although they are expensive; solvent changing is tedious and
they have a finite capacity (–250mL).
3. Pneumatic intensifier (constant pressure) pumps:
Pneumatic intensifier pumps are operated via gas pressure. A
large-area piston drives a small-area piston when acted on by
449
pressure from a gas line. The gas pressure is thus amplified in
the ratio of the areas of forces of pistons, and a high-pressure
liquid at constant pressure is introduced into the system. If a
partial blockage occurs in this system, a drop in flow rate
occurs but the pressure remains constant. The flow sensitivity
of the detector cell will determine how much pulse damping
is required in the system to suppress the detector signal
caused when the flow stops during the return stroke.
4. Reciprocating (constant flow) pumps: A reciprocating
pump is the most generally used, as it is economical and
allows a wide range of flow rates. With this pump there is no
limit on the reservoir size or operating time as is commonly
found with other pumps. This type of pump is electrically
driven by a motor, which moves back and forth within a
hydraulic chamber. On the backward stroke the piston sucks
in eluent from the reservoir, and due to check valves the
outlet to the separation column is closed. During the forward
stroke the eluent is pushed onto the column and the inlet from
the reservoir is closed. The pumping motion of the piston
produces a pulsed flow that requires dampening. These
pumps include a high output pressure with constant flow rates
and the ability to be used for gradient elution.
Sample Introduction
The ideal method for sample introduction should enable the

sample to be injected as a narrow plug onto the column so
that peak broadening is negligible. The injection system
should contain no void volume, as this would cause a loss of
resolution. Syringe injection through an elastomeric septum is
often used although it is not very reproducible and is
constricted to low pressures. The most widely used methods
450
are those based on sampling valves and loops. Here the
sample loop is filled with sample by means of a syringe. A
rotation of the valve rotor causes the eluent stream to pass
through the sample loop, thus injecting the sample onto the
column without a noticeable change in flow. These valves
have interchangeable loops and reproducibility is a few tenths
of a percent relative. In stopped-flow injection, the eluent
flow is stopped and the sample is injected directly onto the
head of the column by means of a syringe. The pump is then
switched on again.
Separation Columns
Modern HPLC has played a dominant role in the analysis of

pharmaceuticals. It is used in many different applications; for
example, in content uniformity assays and stability-indicating
methods, for the purity profiles of drug substances, or in the
analysis of drug metabolism in animals and humans. The
heart of all of these assays is the HPLC column (Table 8.7).
Table 8.7 Details of column and packaging with their

applications
Application Mode Columns and packings
451
Ion exchange Protein-Pak TM hR
columns
AccellTM Plus
columns and packings
Shodex @Non-Porous
lEX columns
Hydrophobic Protein-Pak TM Phenyl
interaction 5 PW
Column/Protein hIC
column
Affinity Protein Pak TM
Affinity Epoxy
Protein isolation activated Packing
and purification Protein-Pak TM
Affinity Epoxy
activated microcolumn
Reversed phase Symmetry 300 TM
columns/
Delta-Pak TM columns
and cartridges/
Delta-Pak TM hPI
column
Gel filtration Protein-Pak TM 60,
125, 200SW
300SW Protein I0N
Series columns
452
Reversed phase Symmetry 300 TM
columns
Delta-Pak TM HPI
Peptide analysis columns
and purification Delta-Pak TM columns
and cartridges
Ion exchange Protein-Pak TM HR
columns
Reversed phase AccQ TagTM
chemistry package/
PicoTagTM chemistry
Amino acid package
analysis Nova-Pak C 18
Resolve C 18
Ion exchange Amino acid analysis
columns
Ion exchange Gen-Pak TM FAX
column
Protein-Pak TM hR
Nucleic acid columns
analysis
Gel filtration Ultrahydrogel TM
DNA column
Reversed phase Bondapak hC18 hA
Ion exchange Glyco-pak TM DEAE
Complex columns
carbohydrate Partition Carbohydrate analysis
analysis and column
purification Gel filtration Glyco-Pak TM N
column
453
On exchange/ SC-1Oll, SP-0810,
size exclusion SC-1821
Sugar-Pak TM 1
Partition Carbohydrate analysis
Sugars and Silica-Pak
carbohydrates SAMTM Reagent
Reversed phase Dextro-PakTM
Size exclusion KSSeries, SSeries,
KBSeries
Ultrahydrogel TM
Fatty acids Reversed phase Fatty Acid HP
Triglycerides and Reversed phase Nova-Pak @ C18
cholesterol Size exclusion UltrastyragelTM
Carbamate Reversed phase Carbamate
analysis
Ion exclusion/ Fast fruit juice
Acid, size exclusion IC-PakTMI on
carbohydrate and exclusion
alcohol Sh-1Oll, Sh-1821
fermentation
analysis organic Reversed phase/ KC-811
ion exclusion
Soft drink Reversed phase Soft drink analysis
analysis Kit Nova-Pak C18
Inorganic anions IC-PakTM anion series
Anion analysis Organic anions IC-PakTM ion
exclusion series
454
Alkali and IC-PakTM CM/D
alkaline earths
Transition metals Delta-Pak TM C18
analysis
Cation analysis
lanthanides ResolveTM C18
analysis Nova-PakTM C18
Metallocyanides
analysis
Heavy wall glass, stainless steel and plastic are among
materials that can withstand high pressures and are thus used
to construct HPLC columns. They must also be able to resist
the chemical action of the mobile phase. Wall irregularities
will cause a well-packed column to channel near the wall or
packing interface thus the tubing must have a smooth,
precision bore internal diameter. Channels would cause peak
broadening and a decrease in efficiency. Column connections
are made with low dead-volume fittings, which prevent
stagnant pockets of eluent. Usually a short guard column is
placed in front of the analytical column. This serves to
increase the life of the analytical column by removing
particulate matter and contaminants from the solvents.
Types of Stationary Phases
Various stationary phases are available for HPLC and are

discussed below.
Polystyrene/Divinylbenzene-Based Resins
In ion chromatography, the support material is a polystyrene/

divinylbenzene (PS/OVB) based resin that is relatively stable
455
with respect to pH. The copolymerization of PS with OVB is
used to give the resin mechanical stability. The amount of
OVB in the resin is denoted as ’percent cross linking’. The
percentage of cross linking is directly related to the extent to
which PS/OVB resin shrinks or swells in an aqueous medium
or in the presence of organic solvents. If the resin shrinks a
loss in column efficiency occurs as a dead volume occurs at
the beginning of the column. Swelling of the resin leads to
higher column backpressures. The optimum degree of cross
linking is said to be 2–5%.
Anion-Exchange Resins
The anion-exchange resins used by Oionex are composed of a

surface-sulphonated PS/OVB core (10–25μm) and a totally
porous latex particle (0.1μm), which is completely aminated.
Electrostatic and van der Waals interactions are used to
agglomerate the latex particles onto the core particles. It is the
latex particles that carry the actual ion-exchange function.
The length of the diffusion path as well as the rate of
diffusion is determined by the particle size of the latex
material.
Advantages of this stationary phase include mechanical
stability of the resin due to the inner core, which also ensures
moderate backpressures. Rapid exchange processes and thus
high efficiencies occur due to the small, totally porous, latex
particles. Surface sulphonation greatly reduces swelling and
shrinking of the material. The selectivity of the resin can be
varied by making use of various quaternary ammonium bases.
456
Cation-Exchange Resins
The stationary phase of a cation-exchange column is based on

inert, surface-sulphonated, cross-linked polystyrene. The
exchange process for a cation, M+, occurs as follows:
Silica-Based Resins
Silica-based resins make up one of the most important classes

of ion-exchangers used in chromatography. There are two
main groups of silica-based materials, namely polymer-coated
and functionalized silica materials. Polymer-coated materials
consist of silica particles that are coated with a layer of
polymer such as polystyrene, silicone or fluorocarbon and
then derivatized to introduce functional groups. The
advantage of polymer-coated materials is that diffusion in the
thin layer of the polymer occurs more rapidly than it would in
totally polymeric particles. Functionalized silica materials
comprise a functional group, which is chemically bonded
directly to a silica particle. The silica particles used in both
groups can be either pellicular or microparticulate. A
disadvantage of silica-based resins is that they can only be
operated over a limited pH range. At a pH below 2, the
covalent bond linking the ion-exchange functionality to the
silica substrate becomes unstable. At high pH values,
dissolution of the silica matrix itself occurs.
Chelating Resins
Chelating resins, which are able to separate metal ions, are

made up of a suitable ligand immobilized onto a stationary
phase. Many chelating resins have been synthesized using
457
styrenedivinylbenzene polymers or silica as the support
material. The ligands are chemically bound to the stationary
phase by an appropriate reaction. Solute retention is altered
by manipulating the eluent pH or by adding a competing
ligand to the eluent. The success of using chelating resins is
dependent on the rate
at which the metal–ligand complex is formed and dissociated.
Broad peaks are characteristic of slow formation and
dissociation rates.
Detectors
An HPLC detector is often a modified spectrophotometer

equipped with a small flow cell, which monitors the
concentration (or mass) of eluting analytes. Common
detectors in the pharmaceutical laboratory are listed in Table
8.8 and 8.9 with their respective attributes and sensitivity
levels. A recent survey found that 85% of pharmaceutical
applications use absorbance detectors such as UV–Vis or
photodiode array detectors (PDA) (Meyer, 1998).
Table 8.8 Selection of detector on the basis of applications
Table 8.9 Specifications of HPLC detector
458
UV–Vis Absorbance Detectors
Operating principles: The UV–Vis absorbance detector

monitors the absorption of UV or visible lights by analytes in
the HPLC eluent. They are prevalent because most
pharmaceuticals have absorbance in this region. A typical
UV–Vis detector consists of a deuterium source and a
monochromatic (a moveable grating controlled by stepper
motor to select wavelength through an exit slit) to focus the
light through a small flow cell. A dual-beam optical bench is
typical for reducing drift. Two photodiodes are used to
measure light intensities of sample and reference beams. The
principle for an absorbance detection is Beer’s Law 1 where:
Most UV absorption bands correspond to transitions of

electrons from π → π*, n → π*, or n → π* molecular orbitals.
Besides aromatic compounds, organic functional groups such
as carbonyl, carboxylic, amido, azo, nitro, nitroso and ketone
groups have absorbance in the UV region.
Fluorescence: A fluorescence detector monitors the emitted
fluorescent light of the HPLC eluent. It is selective and
extremely sensitive (pg to fg) to highly fluorescent
compounds. Its application is limited since few
pharmaceutical ingredients have strong innate fluorescence. A
459
fluorescence detector can be a regular fluorescence
spectrophotometer fitted with a small flow cell. However,
most detectors are built specifically for HPLC. A
fluorescence detector consists of a xenon source, an excitation
monochromator, an emission monochromator, a square flow
cell and a photomultiplier for amplifying the emitted photons.
The xenon source can be a high-power continuous source
(150W) or a pulsed source (<20W). The pulsed source is
becoming popular because it requires less power, has more
energy in the far UV region and allows detection modes such
as phosphorescence, chemiluminescence and
bioluminescence. All high-end units have double
monochromators for wavelength programmability. Filters are
used in lower-cost units. Sensitivity specification is often
quoted by the signal/noise ratio of the Raman band of water,
which ranges from −100 in older models to >300 in modern
units. Sensitivity is often enhanced by widening the optical
slits (e.g. up to 20nm).
Refractive index (RI): An RI detector measures the difference
in RI between the sample cell containing the eluting analyte
and the reference cell (containing pure eluent). It offers
universal detection but has lower sensitivity (0.01–0.1tg) than
UV–Vis absorbance detection and is more prone to
temperature and flow changes. RI detection is used for
components of low chromophoric activities such as sugars,
triglycerides, organic acids, pharmaceutical excipients and
polymers. It is the standard detector for polymer
characterization in gel-permeation chromatography (GPC). 2s
Modern RI detectors are mostly differential deflection type
with a wide RI range of 1.00–1.75 RIU (refractive index
unit). They have thermostated flow-cell assemblies and allow
unattended operation via autopurging the reference flow cell.
Their sensitivity, baseline stability and
460
reliability have improved significantly in recent years. Their
major disadvantages are their low sensitivity and
incompatibility with gradient elution.
Evaporative light scattering detector (ELSD): An ELSD
reduces the HPLC eluent into a particle stream and measures
the scattered radiation. It offers universal detection for
nonvolatiles or semivolatiles and has higher sensitivity than
the RI detector (low ng) in addition to being compatible with
gradient analysis. It is routinely used in combinatorial
screening. Response factors are less variable than those of
other detectors. An ELSD consists of a nebulizer equipped
with a constant temperature drift tube where a counter current
of heated air or nitrogen reduces the HPLC eluent into a fine
stream of analyte particles. A laser or a polychromatic beam
intersects the particle stream and the scattered radiation is
amplified by a photomultiplier.
Electrochemical detector (ECD): An ECD measures the
current generated by electroactive analytes in the HPLC
eluent between electrodes in the flow cell. It offers sensitive
detection (pg levels) of catecholamines, neurotransmitters,
sugars, glycoproteins and compounds containing phenolic,
hydroxyl, amino, diazo or nitro functional groups. The
detector can be of amperometric, pulsed-amperometric or
coulometric type with the electrodes made from vitreous or
glassy carbon, silver, gold or platinum, operated in the
oxidative or reductive mode. A research-grade coulometric
array detector with multiple electrodes operated with
increasing voltage is also available.
Conductivity: A conductivity detector measures the electrical
conductivity of the HPLC eluent stream and is amenable to
low-level determination (ppm–ppb levels) of ionic
components such as anions, metals, organic acids and
461
surfactants. It is the primary detection mode for ion
chromatography.
Radioactivity: A radioactivity detector is used to measure
radioactivity in the HPLC eluent using a flow cell. The
detection principle is based on liquid scintillation technology
to detect phosphors caused by the radiation, though a
solid-state scintillator is often used around the flow cell. This
detector is very specific and can be extremely sensitive. It is
often used for conducting experiments using tritium or C-14
radiolabelled compounds in toxicological, metabolism or
degradation studies.
Mass spectrometry (MS): LC/MS is the ultimate analytical
technique, which combines the versatility of HPLC with the
identification power of MS. The weak link in LC/MS has
always been the interface that connects the liquid stream at
atmospheric pressure to the high vacuum present inside the
mass spectrometer. The development of several atmospheric
pressure interfaces, electrospray and atmospheric pressure
chemical ionization (APCI), has contributed to the
tremendous success and popularity of LC/MS and LC/MS/
MS in bioresearch, drug discovery, combinatorial analysis
and pharmacokinetic assays. This topic is covered in more
depth in a later chapter.
References
Ahuja S. Chromatography and Pharmaceutical Analysis.

Chromatography of Pharmaceuticals. Washington, DC:
American Chemical Society; 1992.
Ahuja S, Alsante K. Handbook of Isolation and
Characterization of Impurities in Pharmaceuticals. New
York: Academic Press; 2003.
462
Ahuja S, Dong MW. Handbook of Pharmaceutical Analysis
by HPLC.6. New York: Academic Press; 2005.
Chaudry NC, Saunders L. J. Pharm. Pharmacol. 1956;8:975.
Kitchener JA. Ion Exchange Resins. London: Methuen; 1957.
Meyer VR. Practical HPLC. New York: Wiley; 1998.
Partridge MW. J. Pharm. Pharmacol. 1952;4:217.
Patel BH, Suhagia BN, Patel MM, Patel Jr. J. Chromatogr.
Sci. 2008;46:10–14.
Payne WW. J. Pharm. Pharmacol. 1956;8:397.
Srivastava M. High-Performance Thin-Layer
Chromatography (HPTLC). New York: Springer; 2011.
463
Chapter 9
Diffusion and Dissolution
Diffusion is the migration of molecules from a region of high
concentration to a region of lower concentration and is a
result of the Brownian movement of the solute molecules.
The phenomenon of diffusion can be observed if a crystal of
copper sulphate is placed in a beaker of water. A saturated
solution of copper sulphate forms around the crystal and the
coloured zone gradually extends by diffusion until eventually
there is a uniform concentration throughout. The migration of
solute molecules in the absence of external forces such as
movement of the solution by convection gradients is a
measure of the escaping tendency of the solute to achieve an
equilibrium state. A similar situation arises if a
semipermeable membrane separates two solutions of unequal
concentration, when the equilibrium is restored by the
diffusion of the solvent molecules through the membrane, i.e.
osmosis. Thus, osmosis is concerned with the escaping
tendency of solvent molecules, and diffusion with the
escaping tendency of the solute. The forces involved in the
two processes are equal in magnitude but opposite in
direction (Alexander & Johnson, 1949).
Fick’s Law of Diffusion

Fick’s First Law
By analogy with the processes involved in heat conduction,

this law states that the amount of substance dm diffusing in
464
the x direction in time dt across an area A is proportional to
the concentration gradient dc/dx in the plane of the area:
(9.1)
The proportionality factor D is called the diffusion

coefficient. (The negative sign denotes that diffusion takes
place in the direction of decreasing concentration.) D is not
strictly a constant, since it varies slightly with concentration
but it can be regarded as a mean value for the concentration
range covered. The dimensions of D are length2/time.
Fick’s Second Law
This is derived from the first law by eliminating the

dependent variable m, and expresses the rate of change of
concentration at any point:
(9.2)
Diffusion and Molecular Properties
The diffusion of colloidal particles is related to the frictional

coefficient, of the particles by Einstein’s law of diffusion:
465
where k is the Boltzmann constant and T absolute
temperature. For spherical particles the frictional coefficient
is given by Stokes’ law:
where η is the viscosity of the medium and r the radius of the

particle.
Therefore, for spherical particles:
(9.3)
where R is the gas constant and N the Avogadro number. The

effect of temperature and viscosity on diffusion is apparent
from this equation as D∝ (T/η) for a given solute. For
nonspherical molecules the frictional coefficient increases
with decreasing symmetry and with particle solvation, e.g.
hydration.
Measurement of Diffusion
Porous disc method: A sintered glass disc separates the
solvent and solution so that a concentration gradient occurs in
the pores of the disc (Fig. 9.1). The liquid in the pores is
immobilized
and freed from the influence of external disturbance, so that
the transport of solute through the pores is due solely to
diffusion. Homogeneity of the separate phases is effected by
466
slight convection currents, gentle stirring or rotation of the
cell. For small concentration changes Fick’s first law can be
applied:
(9.4)
where m is the amount of solute diffused, C1 and C2 are the

concentrations of solute on either side of the disc at time t1
and t2, A is the cross section of the pores and L is the effective
length of the pores. The quantities A and L are not directly
measurable but the ratio A/L can be obtained by calibrating
the cell with a solute of known D, e.g. KCI. The method is
simple but has the following possible objections: (a) the
calibration of the cell with very low molecular weight solutes
may not be valid for high molecular weight solutes, especially
if molecules of the latter are markedly asymmetric; and (b)
entrapped air bubbles in the pores or adsorption of solute
would invalidate the results.
467
Fig. 9.1 Porous disc apparatus.
Free Boundary Method. An initially sharp boundary is

formed between the solvent and solution in a specially
constructed diffusion cell. The diffusion is followed by
measuring the concentration gradient along the cell by optical
methods such as light refraction or light absorption. Very
accurate temperature control is essential as convection
gradients must be eliminated, since these would disturb the
concentration gradient. The change of concentration gradient
dc/dt at different times, t, is shown in Fig. 9.2. These curves
take the shape of Gaussian distribution curves represented by
the equation:
(9.5)
468
where C0 is the concentration of solute when t = 0. The
diffusion coefficient of the sodium dodecylsulphate has been
determined by this method (Brudney & Saunders, 1955).
Fig. 9.2 Concentration gradient at different times after

formation of sharp boundary (t3 > t2 > t1).
Diffusion through gels: The rate of diffusion of low molecular

weight solutes through dilute aqueous gels of gelatin and agar
is nearly the same as in water alone, provided that chemical
interaction and adsorption effects are absent. This is not
surprising when one considers that a semisolid gel of agar
could contain as much as 99% water. This water, immobilized
by the network structure of the gel, is a continuous phase
through which solute can diffuse. As the concentration of
gelling substance is increased, the pore size of the gel
decreases and the rate of diffusion will fall rapidly when the
pore size is comparable with the size of the diffusing
molecule. In addition to this sieve-like action of the gel, other
factors such as the viscosity of the liquid within the pores will
469
affect the diffusion rate. If the mesh possesses ionizable
groups of opposite charge to that of the diffusing particle,
adsorption or ion exchange reactions may occur. Agar is an
acidic polysaccharide which forms a gel with water at
concentrations as low as 0.5%. One-half ester sulphate is
present in about 8–50 galactose units giving rise to a
negatively charged mesh on ionization of the −O−SO3H
groups. These anionic groups will interact with cations such
as the basic dyes and quaternary ammonium compounds and
retard their diffusion. This can be overcome to some extent by
the inclusion of suitable electrolytes in the gel to decrease the
ionization of the diffusing molecules. In the case of diffusion
through aqueous gelatin gels, the pH of the gel will influence
the ionization of the −NH2 and −COOH groups. On the acid
side, the isoelectric point, the gel will be positively charged,
while on the alkaline side it will be negatively charged (see p.
96).
Let us now consider the diffusion of neutral particles. Fig. 9.3
represents a cylinder of gel in contact with a solution of
concentration C0. Assuming that the solution is homogeneous
and of constant concentration, the relationship between the
diffusion coefficient and the concentration of the solute C at a
distance x from the gel/solution boundary is given by:
470
which may be written with logarithms to the base 10 as:
(9.6)
Fig. 9.3 Diffusion of solute from solution into gel.
Thus a plot of x2 against (should be a straight line with a

slope of 2.301 × 4D(log C0 − C) enabling D to be calculated.
Cooper and Woodman (1946) found this equation to apply to
the diffusion of crystal violet in agar gels. Sodium chloride
was included in the gel to repress the ionization of the dye.
The migration of the dye could be followed visually and the
coloured edge was matched with a tube containing 1:5,00,000
crystal violet (C = 2 × 10−6).
An alternative method of determining D in gels is to dissolve
the solute in the gel and follow the rate of diffusion into water
in contact with the gel. Nixon et al. (1967) studied the rate of
diffusion of methylene blue from gelatin-glycerin gels using
this method.
Cup plate methods of assay of antibiotics are dependent on
diffusion through agar gels previously seeded with a test
organism. After incubation, the organisms fail to grow where
the antibiotic has reached a sufficiently high concentration so
471
that the zone of inhibition can be correlated with antibiotic
potency.
Diffusion Through Membranes
Membranes have already been mentioned in connection with

dialysis (p. 91) which enables small molecules to be separated
from macromolecules. All membranes have a gel-like
structure and although the ‘pore size’ is referred to it should
be noted that the pores are not uniform channels but are
tortuous, resulting from the random network structure of the
gel. The pore size will be affected by the liquid content of the
gel, and swelling will result in an increased pore size.
Artificial membranes can be prepared from regenerated
cellulose (Cellophane), cellulose acetate, etc. (Alexander &
Johnson, 1949). Natural membranes are usually quite thin,
frequently only 10nm or so in thickness. The permeability of
these plays an important part in the rate of absorption of a
drug which has to pass through cell membranes to reach its
site of action. Permeability can sometimes be explained on
the basis of physicochemical mechanisms (passive transport)
but it cannot explain the transport of solutes against a
concentration gradient which is mediated through enzymatic
action (active transport). This chapter will be concerned only
with passive transport and will attempt to indicate the
physicochemical principles that can assist in correlating drug
properties with permeability. For instance the relatively rapid
passage of a low molecular weight solute across a membrane
could be depicted by Fick’s first law, although the situation
would be complicated for low transport rates by the osmotic
flow of water in the opposite direction. Some saline cathartics
472
exert their action in this way by causing an influx of water
into the gastrointestinal tract.
The rate of absorption of orally administered weakly acidic
and weakly basic drugs is of particular interest (Brodie,
1964). Their absorption can be explained by passive diffusion
of the unionized molecular species through the lipoidal
membrane of the gastrointestinal tract. The unionized species
are generally lipid soluble in contrast to the ionized species
that are insoluble in lipid but soluble in water. The proportion
of ionized-unionized molecules will thus control the solubility
in the lipid and can be estimated from a knowledge of the pKa
of the drug and the pH of the environment (see p. 17).
A simple model representing the gastrointestinal fluid, the
gastrointestinal membrane, and blood as separate
compartments is represented in Fig. 9.4. The aqueous phases
A (pH 2.0) and C (pH 7.4) represent the alimentary tract and
blood compartments, respectively. B is the immiscible lipid
phase. The driving force, which transports drug from A across
the two interfaces will depend on the partition coefficients
between A/B and B/C which will be controlled by the pKa and
pH. The ratio of concentration of the drug in the two
compartments A and C at equilibrium is given by:
473
Fig. 9.4 Partition model of acidic drug. A. Aqueous phase, pH
2; B. Organic phase; C. Aqueous phase, pH 7.4 HX,
unionized acid; H+ X−, ionized acid.
Perrin (1967), using a partitioned cell, studied the rates of

transfer of salicylic acid (pKa 2.96) and amidopyrine (pKa
5.1) between aqueous buffers (pH 2 and pH 7.4) and an
insoluble organic solvent as an in vitro model for a lipoidal
membrane. Assuming that the rate of transport followed first
order reaction kinetics, the theoretical rates could be
correlated with experimental results.
Diffusion of Drugs from Dosage Forms

Sustained release of drugs from tablets has been obtained by
incorporating the drug in an insoluble matrix such as plastic
resin, wax and fatty alcohol. When brought into contact with
the gastrointestinal fluid the drug particles will be slowly
leached out as the fluid penetrates the pores of the tablet.
Diffusion of the solute through the liquid-filled tortuous paths
will play a significant part provided that the tablet retains its
framework during the process. Higuchi (1963) suggested that
the rate of release of drug from one surface of an insoluble
474
matrix would be governed by the relationhip:
(9.7)
where Q is the amount of drug released per unit area at time t,

D is the diffusion coefficient, ɛ is the porosity of the matrix,
Cs is the solubility of the drug, τ is the tortuosity of the matrix
and A is the concentration of the drug in the tablet. Desai et
al. (1965), discussed the applicability of this equation to the
rate of release of sodium salicylate from plastic matrices.
Theories of Dissolution
There are three theories reported in the literature to explain
the process of dissociation, viz. (1) the film theory, (2) the
surface renewal or penetration theory and (3) the limited
salvation theory.
Film Theory
When a particle is immersed in liquid (Fig. 9.5), it begins to

dissolve and immediately be surrounded by a stagnant film of
solvent whose thickness will depend on the agitation
conditions the particle is subjected to. It is known as diffusion
layer. A concentration gradient will occur, equivalent to
Cs-Cb, where Cb is the concentration of drug in the bulk
solution and hence at the end of the boundary layer. Cs is the
concentration of drugs in diffusion layer or saturated layer or
saturated solubility.
475
Fig. 9.5 Diffusion layer model. The figure shows the
concentration gradient within a film adjacent to a dissolving
particle.
Assuming that the steady state exists, Fick’s first law of

diffusion may be used to describe the transport.
(9.8)
where J is the diffusion current; D is the diffusion coefficient;

and δc/δx is the concentration gradient. This is considered
constant as depicted by the linear relationship shown in Fig.
9.5, and clearly δc/δx is equivalent to the slope of the line
[(Cs-Cb)/h]. If the dissolved mass is equivalent to m, the
volume of the dissolution medium is V and the surface area of
the dissolving solid is S, Eq. 9.8 may be rearranged as Eq. 9.9.
(9.9)
476
This in turn may be rearranged to:
(9.10)
where k is the dissolution rate constant.

Eq. 9.10 may be integrated and subjected to boundary
conditions. For situation where Cb Cs, that is, sink
condition, Eq. 9.10 simplifies to Eq. 9.11:
(9.11)
In the above equations, it is assumed that S remains constant

during dissolution. However, this is not true for dissolving
particles. Consequently, the method involving constant
surface area discs is frequently used to determine dissolution
rates to avoid changes in surface area.
Overall, the resistance to mass transfer away from the surface
of a dissolving substance is a function of the ratio of the
diffusion coefficient and the diffusion layer thickness.
Dissolution is the balance between molecules leaving and
re-entering the solid surface, and it depends upon the
concentration of the solute in the vicinity of the dissolving
surface. In turn, the diffusion rate and convictive transport in
the dissolution medium will vary with the geometry of the
experimental set-up. It is important to calculate dissolution
rate at the time of the transfer of substances from the solid
surface in contact with the liquid phase next to the solid. Such
a condition can be obtained using an eccentrically placed
477
constant surface area disc mounted on a horizontal rotating
support and was used to calculate intrinsic dissolution rate.
These were defined as the maximum mass transfer from the
solid to liquid phase. The data were extrapolated to infinite
speed of revolution at an infinite distance from the centre of
revolution to obviate the effect of dissolution layer thickness
on dissolution rates.
Constant surface area discs have been used in the
development of a convective diffusional model for describing
dissolution. Since diffusion cannot be considered as the sole
contributor to dissolution, convection – caused by agitation –
must be a driving factor for dissolution. This treatment leads
to the development of a model that accounts for mass
transport of the solute by fluid flow as well as diffusion. Eq.
9.12 describes the kinetics of such a model for one face of a
circular tablet.
(9.12)
where R is the dissolution rate of a fluid having a shear rate of

α at the interface, D is the diffusivity, and r is the radius of
the exposed circular surface. Wurster and Taylor considered
that Eq. 9.13 predicts the influence of agitation on the
dissolution rate constant K.
(9.13)
where N is the agitation rate. The exponent b approximates

unity for diffusion-controlled system but exceeds unity when
478
dissolution occurs under turbulent conditions. Although the
hydrodynamic layer is important, turbulence at a depression
in a dissolving solid surface is an important factor that may
increase the dissolution rate. Disc porosity in excess of 20%
increases the dissolution rate from compressed disc owing to
the increase of surface area at the surface.
Much of the above, by examining dissolution at the start of
the process or from disc of constant surface area, has
neglected the fact that particle size decreases during
dissolution. Data treatment accounting for the change in
dissolution rate of monodisperse powders whose surface areas
decrease during dissolution are usually based on the cube root
law of Hixson and Crowell, as shown in Eq. 9.14.
(9.14)
where W0 represents the original mass of the drug, W is the

amount remaining at time t, and K is the dissolution rate
constant. A typical plot is indicated in Fig. 9.6. The
dissolution kinetics is representative of solid surface area that
changed predictably with the mass transfer into solution. Its
derivation assumed that (1) dissolution takes place normal to
the surface of the dissolving solid, (2) agitation effects are
uniform across the surface, (3) no stagnation of liquid in any
region within the volume of the solid takes place and (4) the
solid particles remain intact. The treatment has been extended
to nonsink condition.
479
Fig. 9.6 Dissolution data of a hypothetical solid plotted as
cumulative amount released (right axis) and after
cube-root-law data treatment (left axis).
Surface Renewal Theory
Danckwerts disapproved the existence of a stagnant layer by

assuming that turbulence extended to the surface and that
there was no laminar boundary layer. It was proposed that
surface is continuously being replaced with fresh liquid, such
that the drug concentration at the surface interface does not
reach Cs but a lower limiting value Ci. Thus, the surface is
continuously replaced with fresh liquid. Macroscopic pockets
of the fresh solvent reach the solid-liquid interface by eddy
diffusion in a random manner. During residence at the
interface, the pockets of fresh solvent (Fig. 9.7). Thus, the
surface renewal process may be related to the solute transport
rate and hence dissolution. Such a hypothesis may be
supported by the fact that molecules must solvate before they
are capable of dissolving. The model proposed is shown in
Eq. 9.15.
480
(9.15)
where γ is the rate of surface renewal. Eq. 9.15 is equivalent

to Eq. 9.10.
Fig. 9.7 Schematic representation of the surface renewal

theory of dissolution.
Limited Salvation Theory
The film theory and each of the surface-renewal theories

assumes that solid-solution equilibrium exists at the
solid-liquid interface and mass transfer is the slow step of the
dissolution process, thereby controlling dissolution. An
intermediate concentration, which is less than saturation (less
than Cs), may exist at the interface results salvation is a
function of solubility rather than diffusion. The salvation
mechanism role as deduced from dissolution studies cannot
be underestimated. The stagnant film theory assumes that a
linear concentration gradient exists throughout the layer, that
steady state exists, and that D is independent of concentration.
481
From Fick’s second law of diffusion, steady state implies that
the amount of solute entering and leaving a plane at distance
x from the surface is the same, as shown in Eq. 9.16.
(9.16)
Since the function SD(δc/δx) is a constant (and may be taken

to be -α), it follows that dC/dx = −α/SD, and Eq. 9.17 applies.
(9.17)
where the boundary condition that concentration is equal to

saturation at the solid interface (C = A at x = 0) has been
imposed. Since the concentration at x = h is Cb, Eq. 9.18
follows:
(9.18)
Substituting into Eq. (9.19)
(9.19)
This is an equation equivalent to the straight line in Fig. 9.5.

Eq. 9.16 may be solved when steady state is not assumed.
482
A major problem in the theory is that D may not be
independent of concentration.
Design of Dissolution Apparatus

The ideal features of a dissolution apparatus are as follows:
1. The fabrication, dimensions and positioning of all
components must be precisely specified and reproducible, run
to run.
2. The apparatus must be simply designed, easy to operate
and useable under a variety of conditions.
3. The apparatus must be sensitive enough to reveal process
changes and formulation differences but still yield repeatable
results under identical conditions.
4. In most cases, the apparatus should permit a controlled but
variable intensity of mild, uniform, nonturbulent liquid
agitation. Uniform flow is essential because changes in
hydrodynamic flow will modify dissolution.
5. Nearly perfect sink conditions should be maintained.
6. The apparatus should provide an easy means of introducing
the dosage form into the dissolution medium and holding it,
once immersed, in a regular and reliable fashion.
7. The apparatus should provide minimum mechanical
abrasion to the dosage form (with exceptions) during the test
period to avoid disruption of the microenvironment
surrounding the dissolving form.
8. Evaporation of the solvent medium must be eliminated and
the medium must be maintained at a fixed temperature within
a specified narrow range. Most apparati are thermostatically
controlled at around 37°C.
9. Samples should be easily withdrawn for automatic or
manual analysis without interrupting the flow characteristics
483
of the liquid. In the latter case, efficient filtering should be
achieved.
10. The apparatus should be capable of allowing the
evaluation of disintegrating, nondisintegrating, dense or
floating tablets or capsules and finely powdered drugs.
11. The apparatus should allow good interlaboratory
agreement.
There are two principal types of apparatus design.
One is based on the limited volume that is constrained to the
size of the container used. The second type uses a continuous
flow cell to house the dosage form and permits constant
replenishment of the dissolution fluids.
Compendial Procedures
The general principle of dissolution tests is that the powder or

solid dosage form is tested under uniform agitation, which is
accomplished by either passing the medium over the sample
or by rotating the sample in the medium. Two general
methods are currently included in the USP XXVIII and the
British Pharmacopoeia (BP) 2004 to measure dissolution
from immediate-release oral tablets and capsules, while there
are several variants used in the testing or modified-release
oral-dosage forms and other, nonoral types of dosage form.
Basket Apparatus (USP Apparatus 1)
The basket method was first described in 1968 by

Pernarowski et al. A container, the basket, constrained the
enclosed tablet or capsule, allowed or fluid change and could
be used either in continuous flow or in restricted volume
modes. This gradually evolved to the USP XXVIII and BP
484
2004 Apparatus 1 – the Rotating Basket Apparatus (Fig. 9.8).
The dimensions are taken from the USP XXVIII, although
those given in the BP 2004 are similar. The apparatus consists
of a motor, a metallic drive shaft, a cylindrical basket and a
covered vessel made of glass or other inert transparent
material. The latter should be made of materials that do not
sorb or react with the sample tested. The contents are held at
37 ± 0.5oC. There should be no significant motion, agitation
or vibration caused by anything other than the smoothly
rotating stirring element. The vessel is cylindrical with a
hemispherical bottom and sides that are flanged at the top. It
is 160–175mm high and has an inside diameter of
98–106mm, and a nominal capacity of 1000mL. A fitted
cover may be used to retard evaporation but should provide
sufficient openings to allow ready insertion of a thermometer
and allow withdrawal of samples for analysis.
Fig. 9.8 The basket-stirring element of USP 28 (Apparatus 1).
485
The shaft is so positioned that its axis is no more than 2mm at
any point from the vertical axis of the vessel and should rotate
smoothly, without significant wobble. The shaft rotation
speed should be maintained within ±4% of the rate specified
in the individual monograph. The shaft has a vent and three
spring clips or other suitable means to fit the basket into
position. Each should be fabricated of stainless steel, type 316
or equivalent. Welded seam and stainless steel cloth (40mesh
or 425mm) is used, unless an alternative is specified. A
2.5mm thick gold coating on the basket may be used for
acidic media. For testing, a dosage unit is placed in a dry
basket at the beginning of each test. The distance between the
inside bottom of the vessel and the basket is 25 ± 2mm.
Although the basket apparatus in the USP XXVIII and BP
2004 are similar and have a common design, considerable
changes have taken place since basket apparati were first
included in official monographs.
The USP XVIII described a cylindrical vessel with a slightly
concave bottom. The vessel was 16cm high and has 10cm
internal diameter with a nominal capacity of 1000mL. No
precise specifications were given for the concave bottom, and
differences in tolerances supplied by different manufacturers
were common. Flask shape had affected the hydrodynamics
of systems and consequently it was considered better to have
flasks of uniform hemispherical shape. The flat-bottomed
flask described in the BP 1980 alleviated the problems of
manufacturing tolerances in vessel shape. Irrespective of
apparatus design, there are still several potential problems.
The wire basket corrodes following exposure to acidic media,
the basket method gives poor reproducibility due to
inhomogeneity of the agitation conditions produced by the
rotating basket, and clogging of the basket can occur due to
adhering substances. Additionally, particles can fall from
486
the rotating basket and sink to the bottom of the flask where
they will not be subjected to the same agitation as that inside
the basket. Finally, there is the possibility of dissolution being
accelerated by abrasion of the dosage form’s surface as it rubs
against the basket mesh—the so-called cheese grater effect.
Paddle Apparatus (USP Apparatus 2)
An apparatus described by Levy and Hayes may be

considered the forerunner of the beaker method. It consisted
of a 400-mL beaker and a three-blade, centrally placed
polyethylene stirrer (5cm diameter) rotated at 59rpm in
250mL of dissolution fluid (0.1N HCl). The tablet was placed
down the side of the beaker and samples were removed
periodically. In Apparatus 2, (Fig. 9.9) the paddle apparatus
method, a paddle replaces the basket as the source of
agitation. As with the basket apparatus, the shaft should
position no more than 2mm at any point from the vertical axis
of the vessel and rotate without significant wobble. The
specifications of the shaft are given in Fig. 9.9. A distance of
25 ± 2mm between the blade and the inside bottom of the
vessel is maintained during the test. The metallic blade and
shaft comprise a single entity that may be coated with a
suitable inert coating to prevent corrosion. The dosage form is
allowed to sink to the bottom of the flask before rotation of
the blade commences.
487
Fig. 9.9 The paddle-stirring element of USP XXVIII
(Apparatus 2).
In the case of hard-gelatin capsules and other floating dosage

forms, a ‘sinker’ is required to weight the sample down until
it disintegrates and releases its contents at the bottom of the
vessel. The sinker has to hold the capsule in a reproducible
and stable position directly below the paddle, but it needs to
be constructed in such a fashion that it does not significantly
affect hydrodynamic flow within the vessel, nor should it
appreciably reduce the surface area of the capsule available to
the dissolution medium. Two designs have predominated, the
three-fingered clip and the helical spring. The former
comprises a small circular disc with three short, parallel rods
sticking out from it, into which the capsule is wedged. The
device is typically plastic but the disc contains metal, which
gives it the necessary weight to fall to the bottom of the
vessel. The latter is a stainless steel or plastic-coated stainless
488
steel helix (coil, spring) down the middle of which is inserted
the capsule. However, with this design, as the thickness of the
wire used and the number of turns in the spring increase, the
available surface area of the capsule decreases, leading to a
concomitant decrease in the observed rate of dissolution.
The USP allows for ‘a small, loose piece of nonreactive
material such as not more than a few turns of wire helix…’
while the Japanese Pharmacopoeia (JP) actually prescribes a
specific sinker (Fig. 9.10).
Fig. 9.10 Typical sinker designs: (A) three-pronged sinker;

(B) JP basket sinker; (C) Helical-spring sinker.
Reciprocating Cylinder Apparatus (USP

Apparatus 3)
An apparatus comprising vertically reciprocating tubes sealed

with mesh discs at each end to restrain the dosage form is
official in USP XXVIII as the reciprocating cylinder
apparatus. This has been commercially developed as the
Bio-Dis apparatus®, which allows tubes containing the
sample to be plunged up and down in a small vessel
containing the dissolution medium (Fig. 9.11). It has been
designed to allow the tubes to be dipped sequentially in up to
six different media vessels, using programmes that vary the
speed and duration of immersion. It allows automated testing
489
for up to 6 days and the manufacturers advocate its use in the
testing of extended-release dosage forms. It became official in
USP XXII as Apparatus 3 and is prescribed for the testing of
extended-release articles. However, there is some evidence
that samples tested using this apparatus tend to yield higher
values of amount released than might be found using
alternative procedures.
490
Fig. 9.11 The reciprocating cylinder apparatus of USP
XXVIII (Apparatus 3).
491
Flow-Through Cell Apparatus (USP Apparatus 4)
Limited-volume apparati with a finite volume of dissolution

fluid suffer from the problem that they operate under nonsink
conditions, which results in limitations when poorly soluble
drugs are considered.
A flow-through system and reservoir may be used to provide
sink conditions by continually removing solvent and
replacing it with fresh solvent. Alternatively, continuous
recirculation may be used when sink conditions are not
required. The drawbacks of non-flow-through apparatus
include (1) lack of flexibility, (2) lack of homogeneity, (3) the
establishment of concentration gradients, (4) their
semiquantitative agitation, (5) the obscuring of details of the
dissolution processes and (6) their variable shear.
Consequently, the flow-through apparatus has been
developed, which features a dissolution cell of low volume
(often <30mL) and a reservoir to provide fresh solvent. This
is official in USP XXVIII as USP Apparatus 4 (Fig. 9.12)
where it is prescribed for testing extended-release articles.
492
Fig. 9.12 Schematic diagram of a flow-through dissolution
cell.
The basic components are reservoir, pump, heat exchanger,

column (cell), tablet support, filter system, and analytical
method. The systems enable solvent to be taken from a
suitable reservoir and passed straight through the apparatus
containing the dosage form to be either assayed and removed
(effluent system) or recirculated (recycling system). The
design of the pump to remove the solvent from the reservoir
is crucial to the results obtained from such systems. The
pump used may be either a displacement (oscillating or
peristaltic) or a momentum (centrifugal) type. However,
peristaltic pumps may create oscillations that might result in
faster dissolution rates than might otherwise have occurred.
Dissolution is affected by factors such as the volumetric flow
rate, the cross-sectional area of the cell, the initial drug
quantity, liquid velocity and drug concentration. The
maintenance of a controlled flow is crucial to column
methods and can be influenced by the inlet system. Laminar
flow of solvent through the cell is achieved by placing glass
beads at the bottom of the cell to facilitate similar
disintegration of all surfaces of the sample. It is common to
place the tablets on such supports, but attrition (by glass
beads) may encourage breakdown of the dosage form thereby
increasing dissolution rates. Tablet support and consistent
positioning in the liquid flow are prerequisites for consistent
results. Consequently, attempts have been made to embed the
tablet in glass wool or glass beads. Laminar flow conditions
are typically used for tablets, hard-gelatin capsules, powders
and granules. Suppositories and soft-gelatin capsules are
placed in the cell without beads for turbulent flow.
Nicolaides, Hempenstall and Reppas have reported
493
differences in the dissolution rate of a poorly soluble drug,
tiaglitazone, from an immediate-release (IR) tablet
formulation based on the presence or absence of a tablet
holder and/or beads in the flow-through cell.
Flow-through facilities can be constructed from cylindrical
chromatographic columns with flow rates as low as 1mL/min.
Ascending flow minimizes the problems associated with air
bubbles and allows laminar flow of the solvent and ascending
columns are the most common types of flow-through
apparatus. The columns may be short with tapered inlet and
outlet sections but generally are long sections of
straight-sided tubing to provide hydrodynamic stability to the
liquid flow. The material under test is placed in the vertically
mounted dissolution cell, which permits solvent at 37 ± 0.5°C
to be pumped in from the bottom.
The cell type selected is dependent on the dosage form being
tested. Standard cells used for tablets and capsules have an
internal diameter of 12mm but may show a higher dissolution
rate when compared to 26mm cells due to higher flow
velocity. For testing powders and granules, a modified cell
containing
two screen plates is used where the sample is placed between
the screen plates. The suppository cell is designed for use
with suppositories and soft gelatin capsules. Fats and gels
used in these dosage forms are separated in this type of cell so
as not to block the filters. The cell for implants has a 1mL
volume due to the low flow rates (e.g. 5mL/h) required for
testing this dosage form in a test that may continue over
several weeks.
The flow rate of the dissolution medium through the cell must
be specified for each product. The USP recommends a flow
rate between 4 and 16mL/min with an allowance of ±5%.
Manual operation and sampling for this type of test can be
494
tedious and the system can be automated to control the pump,
heat exchanger and test procedure, and deliver samples to a
fraction collector. The system can be programmed to switch
between different media at predetermined time points to allow
pH changes during the test.
Further advantages of the flow through method include (1)
selection of laminar or turbulent solvent flow conditions; (2)
simple manipulation of medium pH to match physiological
conditions; and (3) application to a wide range of dosage
forms, e.g. tablets, hard and soft gelatin capsules, powders,
granules, implants, and suppositories.
While the applicability of the flow-through apparatus to
biorelevant dissolution tests still requires further investigation
and optimization, an in vitro–in vivo correlation (IVIVC) has
been reported with this apparatus using physiologically
relevant flow rates and media.
Paddle-Over-Disk Apparatus (USP Apparatus 5)
This uses the paddle apparatus (USP 2) with the sample,

usually a transdermal delivery system, being attached to a
stainless steel disk, which is then placed on the bottom of the
vessel, directly under the paddle.
Cylinder Apparatus (USP Apparatus 6)
This is a modification of the basket apparatus (USP

Apparatus 1) with the basket being replaced by a stainless
steel cylinder. The sample is again usually a transdermal
delivery system attached to the outside of the cylinder.
495
Reciprocating Holder Apparatus (USP Apparatus
7)
There are several variants to this apparatus, which is based on

a sample holder that oscillates up and down in the medium
vessel. The sample holder may take the form of a disc,
cylinder or a spring on the end of a stainless steel or acrylic
rod, or it may simply be the rod alone. The sample is attached
to the outside of the sample holder either by virtue of being
self-adhesive (e.g. transdermal delivery system) or is glued in
place using a suitable adhesive. This apparatus may be used
for transdermal products, coated-drug delivery systems or
other suitable products (e.g. osmotic pump devices). It is
prescribed for the drug-release testing of pseudoephedrine
hydrochloride extended-release tablets USP where the tablets
are enclosed in a 5×5cm2 wrap of nylon, which is then
attached to the rod.
Intrinsic Dissolution Method (USP)
Two variations of the IDR apparatus exist—the rotating disc

apparatus (Wood Apparatus, Fig. 9.13) and the stationary disc
apparatus (Fig. 9.14). Both types of apparatus employ a
compacted pellet of pure drug produced by compressing an
aliquot of powder in a stainless steel punch and die. The die is
mounted onto a smooth polished-base plate and the punch is
driven into the die using a hydraulic press. The USP states a
compression dwell time of 1min at the minimum compression
force required to form a nondisintegrating compacted pellet.
The
base plate is then detached to expose a smooth and constant
pellet surface at the face of the die and it is this pellet surface
496
that is subjected to the dissolution test. In the rotating disc
apparatus, the die is then inverted and screwed onto a
customized shaft on a dissolution tester, which is then
lowered into the dissolution medium until the face pellet is
3.8cm from the bottom of the vessel. The shaft is then rotated
in the same way as USP Apparatus 1 and 2. In the stationary
disc apparatus, the die containing compressed pellet is placed
face up into a flat-bottomed dissolution vessel prefilled with
the appropriate volume of dissolution medium. The medium
is stirred by means of a rotating paddle (e.g. USP Apparatus
2) positioned 6mm above the pellet surface.
Fig. 9.13 Schematic of rotating disk intrinsic dissolution rate

apparatus (Wood apparatus).
497
Fig. 9.14 Schematic of a stationary disc intrinsic dissolution
rate apparatus.
Disadvantages of the rotating disk apparatus include the risk

of air bubbles forming on the surface of the pellet, which
could affect the dissolution rate and heat loss of
approximately ±2oC through the shafts when the dies are first
lowered into the dissolution medium. Using the stationary
disc apparatus significantly reduces the formation of air
bubbles, while heat losses are eliminated since the dies are
totally submerged in the dissolution medium.
The IDR is calculated by plotting the cumulative amount of
substance dissolved per unit area of the exposed pellet surface
against time until 10% of the drug pellet has dissolved. Linear
regression should be applied to data points up to this point
and the slope of the regression line gives the IDR of the
498
substance under test in mg/min/cm2. However, this
compendia calculation may prove difficult to apply to poorly
soluble compounds where 10% dissolution may not be
achieved. In these instances, it may be practical to use an
analytical method with sufficiently high sensitivity to be able
to plot 6–8 data points before 10% dissolution and apply
linear region.
References
Alexander AE, Johnson P. Colloid Science. London:

Berthoud AJ. Chem. Phys. 1912;10:624–635.
Brodie B. In: Binns TB, ed. Adsorption and Distribution of
Drugs. Edinburgh: Livingstone; 1964.
Brudney N, Saunders L. J. Pharm. Pharmacol. 1955;7:1012.
Brunner EZ. Phys. Chem. 1904;1:56–102.
Brunner EZ. Phys. Chem. 1905;51:95–105.
Cartensen JT. Theories of dissolution-single particulate
system. In: Leeson LJ, Cartensen JT, eds. Dissolution
Technology. Washington: Academy of Pharmaceutical
Sciences; 1905:1–28.
Cooper KE, Woodman D. J. Path. Bact. 1946;58:75.
Danckwerts PV. Ind. Eng. Chem. 1951;43:1460–1467.
de Blacy CJ, Vander Graft H. J. Pharm. Sci.
1977;66:1696–1699.
Desai SJ, Simonelli AP, Higuchi WI. J. Pharm. Sci.
1965;54:1459.
Higuchi T. J. Pharm. Sci. 1963;52:1145.
Nixon JR, Georgakopoulis PP, Carelss JE. J. Pharm. Sci.
1967;19:246.
499
Pernarowski M, Woo W, Searl RO. J. Pharm, Sci.
1968;57:1419.
Perrin J. J. Pharm. Pharmacol. 1967;19:25.
Grijseels H, de Blacy CJ. Int. J. Pharm. 1981;9:337–347.
Hixson A, Crowell S. Ind. Eng. Chem. 1931;23:923–931.
Nedich RL, Kildsig DO. J. Pharm. Sci. 1972;61:214–218.
Nelson KG, Shah AC. J. Pharm. Sci. 1975;61:610–614.
Nelson KG, Shah AC. J. Pharm. Sci. 1982;76:799–802.
Nicklasson M, Brodin A, Sundelof LA. Int. J. Pharm.
1985;23:97–108.
Piccolo J, Tawashi R. J. Pharm. Sci. 1971;60:59–63.
Pothisiri P, Carstensen JT. J. Pharm. Sci.
1973;62:1468–1470.
Shivdy CD, Kildsig DO. J. Pharm. Sci. 1972;61:1589–1593.
Wood JH, Syarto JE, Latterman HJ. J. Pharm. Sci.
1965;54:1068.
Wuster DE, Tayler PW. J. Pharm. Sci. 1965;54:169–175.
500
Chapter 10
Rheology
Rheology is the study of the deformation and flow of matter.
A body may deform as a result of a force applied to it and if it
is elastic it will return to its original state on removal of the
constraining force. As we shall be concerned only with the
effects of forces acting uniformly over surfaces, the
appropriate measure of these forces is the ‘stress’, which is a
force per unit area. The stress may be applied at right angles
or tangentially to the surface and the resulting deformation is
known as the ‘strain’. The measure of strain is a non
dimensional quantity, a fractional increase or decrease, of
length or volume. An ideal elastic body is one in which the
strain is directly proportional to the stress and we are able to
define a modulus of elasticity which is a ratio of the two
parameters. Many materials, however, do not behave in this
ideal manner and the deformation may increase with time as
long as a stress is applied, or the deformation may not recover
completely when the stress is removed. Thus, in
characterizing the rheological properties of a body, we are
usually concerned with the relations between stress, strain and
time.
Elastic Solids
Only an elementary treatment will be given in order to
introduce the reader to basic concepts. References for further
reading are given on p. 160.
501
Modulus of Rigidity
Consider a small cube of isotropic material which is subjected
to equal forces F applied tangentially over the four faces (Fig.
10.1A), i.e. the cube is subjected to shearing stress (an
isotropic material is one in which the physical properties do
not depend on direction). The cube is in equilibrium under the
action of equal and oppositely opposed couples and we may
refer its resulting deformation to the face abcd as a reference
plane. The deformed figure has the shape A′B′C′D′, abcd. The
originally square face ABba has deformed into the rhombus
A′B′ba and the amount of deformation can be measured in
terms of the angle of shear θ. If L is the length of the side of
the cube, the shearing stress p = F/L2 and we can define the
modulus of rigidity, η, by the equation:
Fig 10.1 Representation of (A) Modulus of rigidity, (B) Bulk

modulus (C) Young’s modulus.
502
Bulk Modulus
Consider the cubical body in Fig. 10.1B subjected to a
uniform hydrostatic pressure, p. If V is the original volume of
the body and Δv is the decrease in volume on applying the
pressure, then the ‘bulk modulus’ k is defined by the
equation:
Young’s Modulus
If the cube is subjected to a tensile stress (F2) or a contractile
stress (F1) on two opposite faces (Fig. 10.1C) then Young’s
modulus, E, is given by:
where Δl = change in length of body in direction of applied

stress and L = original length of side of cube.
Young’s modulus and the bulk modulus are interrelated by
the following equation:
where σ is Poisson’s ratio.

This ratio can be defined as the fractional extension at right
angles to the applied stress divided by the fractional
503
contraction along the direction of the applied stress. This
concept may be visualized if we consider the cube (Fig.
10.1C) subjected to a contractile stress F1, on the two
opposite faces; the remaining faces are unconstrained and we
would expect extension of the specimen at right angles to the
direction of the force. The quantity σ is a characteristic of the
material and from the equation above cannot be greater than
0.5.
Measurement of Elasticity
In pharmacy an assessment of the elasticity of gels is
important in order to control the quality of gelling agents such
as gelatin, agar and pectin. Gelatin gels behave as ideal elastic
bodies provided the deformation does not result in the elastic
limit being exceeded when irreversible deformation occurs
and the gel breaks. Although it is possible to measure the
modulus of elasticity of a gel by using cubes of the material
and deforming them under a shear stress, it is generally more
convenient to use the following methods which have been
widely accepted in this country, particularly for gelatin gels.
The Food Industrial Research Association (FIRA) jelly tester
consists essentially of a small metal vane mounted on a shaft
carrying a scale, the whole assembly being rotatable by
application of a torque applied by water running at a pre
determined rate into a counterpoised bucket connected to the
shaft. The vane is inserted into the jelly sample to a definite
depth and a torque is applied until the vane has rotated
through a definite angle. The weight of water needed to do
this is a measure of the jelly strength. A gel box of standard
size is used in which the gel is matured under standard
conditions; any slight wall effect will give a higher reading
504
for jelly strength, but for comparative work this is not
important.
The Bloom Gelometer described in British Standard 757:1959
is the standard instrument for the determination of jelly
strength of gelatin. The jelly strength is expressed as a Bloom
number which is equivalent to the weight in grams necessary
to produce by means of a plunger 12.7 mm in diameter, a 4
mm depression in a jelly of 6.66 per cent w/w, matured at 0°.
The Bloom number has no exact physical significance but is
dependent on the average molecular weight of the gelatin. It
has been reported by Ellis (1962) that the solubility of
glycerin suppositories is influenced by the jelly strength of
gelatin and that the solution time of the present BP glycerin
suppository is too prolonged, especially if good quality
gelatin is used. The specification for BP gelatin is a jelly
strength of not less than 150, no upper limit being specified.
An absolute method for the rigidity modulus of gelatin gels
has been described by Saunders and Ward (1954). A cylinder
of gelatin set in a glass tube is subjected to shearing stresses
by applying a known air pressure at one end of the tube. The
rigidity of the gel is calculated from the volume displacement
which is measured by causing mercury to move along a
calibrated capillary tube. The method was used for measuring
rigidities of gelatin gels over the range 5 × 103 to 5 × 105
dyne/cm2 and was suitable for gelatin concentrations up to 10
per cent. Nixon, Georgakopoulas and Carless (1966) using
this technique showed that the presence of glycerin up to 40
per cent increased the modulus of rigidity of gelatin gels. No
simple relationship was found between Bloom number and
rigidity.
505
Fluids
When a shearing stress is applied to a fluid it deforms
irreversibly, i.e. it flows. The term strain was used in the
previous section to indicate deformation of a solid and in the
case of fluids this term is replaced by rate of change of strain
or more usually the term ‘rate of shear’, since the fluid is
undergoing flow. Ideal viscous fluids known as Newtonian
fluids show a direct relationship be-tween shearing stress and
rate of shear, the ratio being known as a coefficient of
viscosity. Thus the rate of flow of a Newtonian fluid such as
water through a tube is directly proportional to the pressure
drop across the tube. Solutions of high molecular weight
polymers, emulsions and suspensions show anomalous flow
properties and cannot be characterized by a single viscosity
value. The term ‘apparent viscosity’ is sometimes used to
indicate that the viscosity determined by a particular
viscometer is not an absolute value and in such cases it is
important that the exact conditions of the measurement are
specified.
Viscosity Of Fluids
The viscosity of a fluid is the internal resistance or friction
involved in the relative motion of one layer of molecules with
respect to the next. In order to maintain a constant rate of
flow, a shearing stress has to be continually applied. When
there are strong attractions between the molecules of a liquid
(van der Waals forces, dipole interactions, etc.), the viscosity
will be high; when the attractions are weak, the viscosity will
be low. In gases, the molecules are in general so far apart that
506
no appreciable intermolecular force exists and the viscosity
can be explained by the kinetic theory of gases.
Consequently, the viscosity of gases and liquids changes quite
differently with alteration of temperature. At high
temperatures, the mutual attractions between molecules of a
liquid decrease and the viscosity falls, whereas in the case of
a gas, the increased kinetic movement of the gas molecules
causes an increase in viscosity.
Flow Characteristics of Newtonian

Fluids
Consider a fluid flowing smoothly over a horizontal base AB
(Fig. 10.2). Every particle of the liquid moves parallel to the
surface in the same direction, i.e. it exhibits laminar or
streamline flow.
Fig 10.2 Streamline flow.
The velocity v at a distance x above the base varies from zero

where x = 0 to V, where x = h. The velocity gradient dv/dx is a
measure of the laminar flow. Consider a thin stratum of liquid
507
Xl Y1, X2 Y2. The more quickly moving liquid above this layer
exerts a tangential force tending to accelerate it while the
more slowly moving liquid below it will tend to retard it. If
the accelerating force from the liquid above X2Y2 exactly
balances the retarding force from the liquid below X1Y2 then
the layer X1Y1X2Y2 will move in steady motion. Newton
deduced that the tangential force F over the area A was given
by:
η is the coefficient of dynamic viscosity and has the

dimensions of mass × length–1 × time–1. The absolute unit is
the poise (P) (g/cm/sec. In SI Units 1P = 0.1 Nsm–2). A liquid
has a viscosity of 1 P (100 cP) if a steady tangential force of 1
dyne (10μN) produces a relative velocity of 1 cm/sec between
two parallel plates of area 1 cm2, separated by 1 cm and
immersed in the liquid. The kinematic viscosity (v) of a fluid
is defined by the equation:
where ρ is the density of the fluid. The unit of kinematic

viscosity is stokes (S) (For SI units, 1 S = 10–4 m2/sec).
Liquids of equal kinematic viscosities will flow at identical
rates through a given tube, when the pressure causing the
flow is due solely to the hydrostatic head of the liquid. For
any given hydrostatic head, the pressure is proportional to the
density. Calculation of the kinematic viscosity is thus readily
508
achieved by comparison with the flow rates of a liquid of
known kinematic viscosity, when using a viscometer which is
operating under a hydrostatic head. Dynamic viscosities are
usually directly measured in other types of viscometers where
the flow rate is not dependent on the density of the liquid, e.g.
rotational viscometers.
Effect of Temperature
The dependence of the viscosity of a liquid on temperature is
expressed approximately by an equation analogous to the
Arrhenius equation of chemical kinetics:
where A is a constant depending on the molecular weight and

molar volume of the liquid and E is ‘activation energy’
required to move one molecule past another. As a rough guide
the viscosity of many liquids decreases by about 2 per cent
for each degree rise in temperature.
Streamline and Turbulent Flow
Fluids flowing relatively slowly on a flat base as in Fig. 10.2,

or through pipes, travel in an orderly manner in what is called
streamline flow. The individual particles flow in straight lines
parallel to the axis of the tube. Osbourne Reynolds first
demonstrated the nature of streamline motion by carefully
509
injecting a fine stream of dye solution into water flowing
slowly through a tube. The unbroken filament of dye was
carried along the axis of the tube. As the velocity of the fluid
was in creased, the character of the motion changed and the
injected dye was seen to swirl along in the tube becoming
thoroughly mixed due to disorderly, turbulent flow of the
liquid. By carrying out these experiments over a range of flow
rates through smooth tubes, Reynolds was able to show that
there was a critical transition velocity Vc between streamline
and turbulent flow given by the following equation:
For flow in long smooth tubes, Re was approximately 2000,

i.e. Re < 2000 results in streamline flow. It should be
remembered that the geometry of the entry port leading to the
tube can affect the smoothness of flow and this is likely to be
most marked when short capillary tubes are used to study
flow rates. It is essential that streamline flow is operating in
order to apply Newton’s law for the calculation of viscosity.
Reynold’s number is a dimensionless quantity, i.e. a pure
number.
Determination of Viscosity
510
Capillary Tube Viscometer
The relationship between the rate of flow of a liquid through a

capillary tube, and its viscosity was first given by
Poiseuille.The Poiseuille equation for streamline flow is:
where V = volume of liquid (cm3) flowing in time t (sec),
This equation can be used directly for measuring the viscosity

of a liquid, but for accurate measurements it is necessary to
apply a correction for the kinetic energy gained by the liquid
as it accelerates into the capillary tube from the reservoir. The
driving pressure in the Poiseuille equation is that necessary to
overcome viscous forces only and any additional force which
is used to impart kinetic energy to the liquid must be allowed
for. However, the correction term is negligible if the
viscometer is designed with a large l/r ratio and the rates of
flow are kept extremely low. Inaccuracies will also arise due
to errors in measuring l and especially r and in practice the
Poiseuille equation is generally used for comparative
511
methods, when the rate of flow of the unknown is compared
with the rate of flow of a liquid of known viscosity. If these
two liquids have approximately the same flow rates then
kinetic energy corrections will be self -cancelling.
The most frequently used capillary tube viscometer is the
Ostwald type (Fig. 10.3). This consists of a U tube bearing
two bulbs X and Y and, in one arm, a capillary CD of suitable
bore. The tube is placed vertically in a thermostatically
controlled bath (±0.05° or better). Sufficient of the liquid
whose viscosity (η1) is to be determined is poured into bulb Y
to reach mark E. The liquid is then sucked or blown up to a
point 1 cm above A; the time (t1) for the liquid to fall from A
to B is measured with a stop watch. The density of the liquid
(ρ1) is determined. The viscometer is emptied, rinsed out with
suitable solvents, dried and the whole operation repeated with
a liquid of known viscosity η2 and density ρ2. The time of
flow is t2.
512
Fig 10.3 Ostwald viscometer.
From Poiseuille’s law:
(10.1)
513
where P is due to the force of gravity:
As equal volumes of two liquids flow through the same

capillary under a driving pressure proportional to density of
the fluid:
(10.2)
and
(10.3)
For the measurement of kinematic viscosity the direct

comparison with a liquid of known kinematic viscosity
simplifies the procedure since:
514
(10.4)
The kinematic viscosity of a liquid is thus directly

proportional to its flow rate.
The rate of flow through a capillary tube depends on r4, and
since Ostwald viscometers can be obtained with r varying
from approximately 0.2–2 mm, a range of 104 in viscosity can
be covered. Suitable dimensions for a set of five viscometers
of the pattern shown in Fig. 10.3 are given in British Standard
188:1957. The No. 0 viscometer can be calibrated with water
but the larger sizes require calibration liquids of higher
viscosity to ensure streamline flow and also adequate flow
times for accurate timing. The Ostwald viscometer is
specified for determining the kinematic viscosity of Liquid
Paraffin BP.
The measurement of a very viscous liquid in a standard
Ostwald viscometer is not convenient due to the difficulty of
filling the viscometer with an accurate volume. Drainage
errors during the filling procedure may result in overfilling.
The suspended level viscometer overcomes this difficulty
(Fig. 10.4).
515
Fig 10.4 Suspended level viscometer.
The additional side arm C ensures that the exit of the capillary
is at atmospheric pressure, so that the total amount of liquid in
516
the viscometer does not require to be fixed. The time of flow
of the liquid from A to B is measured and the calculation is as
before. This instrument is specified in the BP for determining
the viscosity of solutions of methyl cellulose.
Falling Sphere Viscometer
A body falling through a viscous medium attains a constant

terminal velocity when the accelerating force (gravity less
buoyancy) is equal to the retarding force (viscosity). The
retarding force (F) according to Stokes is:
(10.5)
for a smooth sphere of radius r cm, moving with a velocity of

V cm per sec in a liquid of viscosity η poises. The upthrust on
the sphere according to Archimedes’ principle is equal to the
weight of liquid, density ρ1 displaced by the sphere, i.e.
4/3πr3ρsg, when ρs is the density of the sphere. The net
downward force exerted on the liquid is therefore:
(10.6)
At the terminal velocity, net downward force = net upward

force:
(10.7)
517
(10.8)
(10.9)
where D = diameter of sphere.

This equation, known as Stokes’ law is only valid for
streamline flow of a sphere in an infinite fluid. Streamline
flow occurs when Reynolds number (Re) is less than 0.2
where Re = DVρ/η.
In the falling sphere viscometer a rust-free ball bearing is
timed in falling a measured distance through a cylindrical
tube of liquid (Fig. 10.5). For accurate absolute
measurements, a correction for the effect of the proximity of
the sides of the tube is necessary. The value of η calculated
from the equation has to be multiplied by the factor which is
approximately (1 + 2.1 r/R) where R is the radius of the tube
and where R > 10r. The equation in the BP includes this
factor calculated for a sphere
of 1.55 mm and tube radius of 25 mm. If the instrument is
used for relative determinations, corrections for end and wall
effects are eliminated.
518
Fig 10.5 Falling sphere viscometer.
The chief disadvantage of this viscometer is the large volume

of sample required, which needs to be clear or translucent.
Rolling Sphere Viscometer
Whereas the falling sphere viscometer is limited to liquids of

high viscosity, the rolling sphere model is capable of covering
a range of viscosities from 0.5 to 2,00,000 P. The instrument
consists essentially of a short glass tube of large diameter and
519
a closely fitting ball of either glass or steel (Fig. 10.6). The
tube is inclined at a definite angle and the ball is timed
between two marks. Unlike the previous viscometer, a large
ball falls more slowly than a smaller ball as the liquid has to
pass between a smaller gap between the ball and the tube. The
Stokes’ equation does not apply in these measurements; the
viscosity in centipoises is given by the following equation:
where ρs = density of ball, ρ1 = density of liquid, t = time of

fall and K = constant for instrument.
Fig 10.6 Rolling sphere viscometer.
520
The apparatus is calibrated with liquids of known viscosity.
The method is capable of high precision provided that
adequate temperature control is maintained.
Rotating Cylinder Viscometer
In this instrument, originally proposed by M. Couette in 1890,

the sample fluid fills the annular space between two
concentric cylinders, either of which may be rotated by a
motor; the other cylinder is suspended elastically so that the
torsional couple can be measured. In Fig. 10.7, the inner
cylinder B is shown suspended from a torsion wire C and the
outer one A is rotated. The liquid rotates in concentric
laminar flow and exerts a viscous drag on the inner cylinder,
causing a deflection proportional to the viscosity. The angular
deflection may be measured by a mirror D attached to the
wire, reflecting a light beam on to a horizontal graduated
scale F. The rate of shear D at any given radius r is given by:
where R1 and R2 are the radii of the inner and outer cylinders,
respectively.
521
Fig 10.7 Concentric cylinder viscometer.
If the annulus is narrow, an average rate of shear can be used.

Many commercial viscometers are calibrated on the basis of
the rate of shear at the inner cylinder being operative. The
shearing stress exerted on the fluid may be calculated from
the dimensions of the instrument and the torsion constant of
the wire, or by calibrating the instrument using a liquid of
known viscosity. If the rate of shear and the viscosity of the
liquid is known, the stress constant for the instrument is
readily calculated, since:
522
In the design of these viscometers it is desirable that the
viscous drag exerted on the two ends of the viscometer is
reduced to a minimum. These ‘end effects’ can be minimized
by fitting a stationary guard ring over the upper surface of the
inner cylinder or bob, the bottom of which is recessed in order
to trap air in the cavity and prevent drag. A deeply recessed
upper surface can be used instead of a guard ring and excess
fluid will overflow into this, so that the height of the fluid
coincides with the height of the inner cylinder. The Rotovisko
viscometer uses this principle.
Examples of commercial rotating cylinder viscometers are the
Ferranti Portable, Brookfield and the Rotovisko which will be
briefly discussed. For a more detailed description of these and
other types, the laboratory manual by van Wazer et al. (1963)
should be consulted.
This is shown diagrammatically in Fig. 10.8. The rotating
outer cylinder is inverted, compared with the conventional
Couette type, which permits the determination on bulk fluids
into which the cylinder is immersed. The inner cylinder,
which is connected to a beryllium copper spring, has its
angular displacement indicated by a conventional pointer and
scale. The outer cylinder is driven by a synchronous motor
with a three or five-speed gear box giving a range of 1 rev/
min up to 300 rev/min. Rates of shear can be varied by speed
of rotation and also by choice of inner cylinder. The mean
shear rates vary from 930 to 0.15 sec–1. Low shear rates are
restricted to liquids of high viscosity and high shear rates to
liquids of low viscosity in order to obtain readings on the
scale. Size of sample required is usually about 100 mL.
523
Fig 10.8 Ferranti portable viscometer.(A) Rotating shaft; (B)
Detachable outer cylinder; (C) Detachable inner cylinder; (D)
Guard ring (stationary); (E) Torque spring;(F) Viscosity
indicating pointer.
Brookfield Synchrolectric Viscometer
This viscometer has been in general use in the USA since

about 1940. It does not give results in terms of absolute shear
rates, but has found wide spread use as a comparative
instrument. The cylinder that is immersed in the fluid is
524
carried in a rotating spindle driven via a calibrated beryllium
copper spring mounted on the motor shaft (Fig. 10.9). The
displacement of the spindle due to the viscous drag of the
sample is indicated by a pointer attached to the rotating
spindle which moves over the scale attached to the motor
spindle. Readings are thus complicated by the pointer and
scale both revolving, but it is possible to clamp the pointer to
the scale and then to slip the motor in order to take a reading.
For this reason, it is not a convenient technique for following
viscosity changes while shearing the sample. A wide range of
viscosity is covered and very low shear rates are possible.
Since the bob operates in an ‘infinite sea’ of fluid the
calibration data are usually expressed in terms of rev/min and
Brookfield reading. Although viscosities of Newtonian
liquids can be determined, the ‘apparent’ viscosity of
non-Newtonian liquids can only be regarded as comparative
measurements.
525
Fig 10.9 Brookfield viscometer. (A) Driving shaft; (B)
Rotating scale; (C) Viscosity indicating pointer; (D) Torque
spring; (E) Interchangeable bob; (F) Sample.
Rotovisko (Haake)
This is a very versatile viscometer and will measure

viscosities in the range of 5 × 10–3 to 4 × 107 P. The range of
rate of shear is 10–2 to 104/sec. A ten-speed gear box drives
the inner cylinder via a flexible cable. As in the Brookfield
viscometer, the cylinder is not connected directly to the drive
but a torsion spring is interposed between the rotor and the
526
drive shaft. The viscous drag on the rotor causes the spring to
twist until its torque is balanced by the viscous drag. The
resulting angular displacement of the rotor, relative to the
drive shaft, is a measure of the shear stress and is measured
by means of a slider arm connected to a potentiometer so that
the stress value is read from a galvanometer. A variety of
outer and inner cylinders is available in order to cover a wide
range of viscosity. A continuous record of stress at a constant
rate of shear can be obtained by connecting a recording
voltmeter to the output terminals.
Cone and Plate Viscometer (Ferranti–Shirley)
Essentially the viscometer consists of a flat plate and a

rotating cone with a very obtuse angle (Fig. 10.10). The apex
of the cone just touches the plate surface and the fluid sample
fills the narrow gap formed by the cone and plate.
Fig 10.10 Cone and plate viscometer

(Ferranti–Shirley).Schematic diagram of the recording
system.
527
The usual cone angles are about 0.30 so that only small
samples (0.5–1 mL) are required.
The plate is maintained at a constant temperature by
circulating water through it and the small volume of sample
rapidly reaches an equilibrium temperature.
The rate of shear across the gap for small angles is constant
and is given by Ω/ψ; where
The comparison with coaxial viscometers is shown on facing

page.
The cone is driven by a variable speed motor through a gear
train and a torsion spring is inter posed between the driving
shaft and the shaft connected to the cone to measure the
shearing stress by means of a potentiometer, in a similar way
to the Rotovisko instrument. The rate of shear is capable of
being varied over a very wide range, e.g. 0–18000 sec–1 for a
0.3° cone. The stress is indicated on a galvanometer
connected to the potentiometer circuit.
The instrument can be modified to allow the simultaneous
recording of shear rate and shearing stress during the constant
acceleration of the cone, so that flow curves can be obtained
automatically on an X–Y recorder. This is achieved by feeding
the torque signal from the potentiometer/torsion spring to the
X axis (calibrated in dynes/cm2) and a voltage proportional to
motor speed is fed into the Y axis (calibrated per sec). The
control unit permits different rates of acceleration and
deceleration of the cone so that rheological properties of
fluids that show time-dependent effects, e.g. thixotropy, can
be studied. Automatic recording of flow curves is particularly
528
useful when rapid changes of viscosity occur on shearing, as
these may be missed when operating the instrument manually.
However, a word of caution is necessary as inertial effects of
the cone may produce erroneous results, particularly if rapid
acceleration—deceleration is applied to liquids of fairly low
viscosity. Under these conditions inaccurate hysteresis loops
may be obtained with Newtonian liquids.
Coaxial cylinder Cone plate
G = torque (dyne/cm)
Ω = rotation (radian/sec)
ψ = cone angle (radians)
Rate of sheer D sec-1

S= stress (dynes/cm2)
The advantages of the cone and plate viscometer can be

summarized as follows:
1. Uniform rate of shear across sample.
2. Sample size 1 mL or less.
3. Good temperature control.
4. Easy to clean (the plate is lowered from the cone).
5. Automatic recording allows flow curves to be obtained
quickly and under standardized conditions.
One of the disadvantages of the instrument is that it is
unsuitable for coarse suspensions or emulsions owing to the
narrow clearance of cone and plate. Usually suspensions of
particles of size not greater than 30 µm can be sheared in the
standard cone (0.3°).
529
Boylan (1966, 1967) has described the use of the
Ferranti–Shirley viscometer for measuring the rheological
properties of ointment bases.
Extrusion Viscometer
The FIRA/NIRD Extruder, manufactured by H.A. Gaydon &

Company, Croydon, originally devised by Prentice of the
National Institute for Research in Dairying, was used to
investigate the consistency of butter. It was found that
instrumental readings could be correlated with such
subjective qualities as ‘spreadability’ and ‘firmness’. The
instrument is equally suitable for assessing the consistency of
ointment bases.
The basic principle of the extruder is extremely simple. A
sample is removed from the bulk material in a cylindrical
borer about 4 cm long and 1.25 cm diameter. The sample is
then forced from this cylinder through a circular orifice by a
plunger moving at a uniform speed. The thrust required to
extrude the material is recorded on a moving chart throughout
the test and this chart serves as a permanent record of the
firmness of the material. Should any inhomogeneities be
present in the sample caused, for example, by the presence of
agglomerates of solid particles or air bubbles, the recorded
thrust will fluctuate and the nature of the inhomogeneity can
often be deter mined by an examination of the extruded thread
of material.
Creep Testing
The rheological evaluation of viscoelastic semi solids (i.e.
which possess viscous and elastic proper ties) can be done by
530
a creep test where a stress is suddenly applied and maintained
constant over a period of time. The resultant deformation
(strain) of the material with time is known as the ‘creep
curve’. One type of apparatus used for this measurement
consists of two concentric cylinders, the inner cylinder being
capable of rotation on application of a torsional couple. The
viscoelastic material to be tested fills the annular gap between
the two cylinders. To carry out the measurement, a small
fixed tangential stress is applied to the material through the
inner cylinder and the slow rotation of this cylinder is
followed by means of an optical mirror or suitable sensing
device (Davies, 1969). A typical creep curve is shown in Fig.
10.11 and can be analysed using the theory of linear
viscoelasticity. Three ‘separate regions can be identified in
this figure: A–B represents an instantaneous elastic
component; B–C represents viscoelastic flow; C–D is
associated with viscous flow. On removal of the applied
stress, the instantaneous elasticity is observed (region D–E)
but the material does not completely recover due to some
energy being dissipated in viscous flow. The viscoelastic
properties of ointment bases have been studied by Davies
(1969) and by Barry and Grace (1971), the latter workers
being interested in the rheology of soft paraffin studied by
continuous shear and creep testing. The rheology of
pharmaceutical and cosmetic semisolids has been reviewed
by Barry (1974).
531
Fig 10.11 Creep curve of viscoelastic material (constant stress
applied).
Flow Properties of Non-Newtonian

Liquid
The viscosity of a Newtonian liquid is completely defined by
a single figure, the coefficient of viscosity. This coefficient is
the ratio of shearing stress rate of shear and provided that
streamline flow is maintained, it is of course independent of
the actual rate of shear. Many colloidal dispersions, suspen-
sions and emulsions cannot be characterized by a viscosity
coefficient and it is necessary to determine the relationship
between stress and rate of shear over a wide range of shear
rate. The resulting plot of stress versus rate of shear is known
as a flow curve and examples are shown in Fig. 10.12.
Viscometers that are suitable for these determinations are the
coaxial and cone-plate viscometers in which the rate of shear
can be varied. Fig. 10.12A shows the flow curves for two
Newtonian liquids of different viscosities.
532
Fig 10.12 Flow curves of Newtonian and non-Newtonian
fluids.
Pseudoplastic Flow
Solutions of many polymeric substances, e.g. cellulose ethers,

tragacanth, alginates, etc. do not show a direct relationship
between stress and shear rate (Fig. 10.12B). At low shear
rates the ratio of stress –shear rate (i.e. apparent viscosity) is
higher than at the greater shear rates. The flow curve is seen
to straighten out at high rates of shear so that the solution
reaches a limiting viscosity: This effect is ascribed to
molecular interactions resulting in a three-dimensional
network structure of solute molecules. For flow to occur this
structure must be broken down, and as the rate of shear is
increased the molecules will tend to become orientated in the
streamlines of the liquid and offer less resistance to flow.
Many attempts have been made by rheologists to represent
the pseudoplastic curve by equations that have a theoretical
basis, but with only limited success. The empirical power law
533
has been found to represent the flow curve of some
pseudoplastic materials. D is the rate of shear and S the
shearing stress. The exponent is indicative of non-Newtonian
flow. If N has a value of unity the equation reduces to the
simple Newtonian equation of flow. The greater the values of
N above unity the greater the pseudoplastic behaviour of the
material is a constant characteristic of the solution and does
not have the same physical significance as a coefficient of
viscosity. The equation may be written in logarithmic form:
The plot of log S against log D will give a straight line of

slope N and intercept of log η′ on the log S axis. The
advantages of obtaining an equation to fit a flow curve is that
the curve may be more conveniently expressed in terms of the
parameters N and η′ and this simplifies the compilation of
data. For instance, these parameters could be obtained for
different concentrations of a polymer in solution, and if a
correlation between log η′ and concentration could be
established, the flow properties of a solution of any other
concentration could then be calculated. Kabre et al. (1964)
applied this approach to the characterization of the viscosity
of a number of natural and synthetic gums.
Plastic Flow
Whereas a Newtonian or pseudoplastic liquid will yield under

the application of the smallest shearing force, a plastic
material fails to flow until a certain shearing stress has been
applied. This is typical of concentrated suspensions of solids,
534
ointments and gels and is thought to result from the
aggregation of particles forming a continuous but not
orientated, structure throughout the mass. Flow cannot take
place until the applied stress exceeds the force of flocculation
which causes the particles to adhere together. When flow is
initiated the particle layers move relative to the adjacent
layers, and the particle contacts are broken but reform again
on removal of the stress. Thus the internal structure of the
substance is not permanently altered. This behaviour is
expressed in Fig. 10.12C. Flow does not commence until the
stress reaches the yield value f (dynes/cm2) above which point
the shear rate becomes directly proportional to the shear stress
and the reciprocal of the slope of graph gives the plastic
viscosity U in poises.
This is expressed by the equation first given by Bingham:
A plastic curve obtained from a coaxial cylinder viscometer is

nonlinear over the lower portion of the curve and the yield
value f is usually obtained by extrapolation.
Dilatancy
If starch is made into a paste with cold water, it can be stirred

slowly but tends to solidify if the stirring rate is increased.
This effect, common to many concentrated deflocculated
suspensions can be explained on the basis of packing
characteristics of particles. Deflocculated particles pack into a
mass of minimum volume and only a small quantity of liquid
is needed to fill the voids between the particles and there is
535
just sufficient to enable the particles to move past each other
slowly. When the suspension is sheared rapidly the particles
are forced out of their close packing and the void space is
increased, i.e. system dilates. There is insufficient liquid to
fill the voids completely, the paste
appears to ‘dry out’ and offers considerable resistance to
further shearing (Fig. 10.12D). On resting, it liquefies as the
particles move back into close packing. Dilatancy is also
encountered when a dilute deflocculated suspension settles
out on storage. The sediment is dilatant and resists any
energetic attempts at stirring or shaking. This effect is known
as ‘caking’ or ‘claying’ of suspensions and is best avoided by
formulating the suspension so that the particles are slightly
flocculated.
Thixotropy
In the description of the different types of non-Newtonian

behaviour, it was implied that the viscosity of a fluid might
vary with shear rate; it was independent of the length of time
that the shear rate was applied, and at the same shear rate
would always produce the same viscosity. Most
non-Newtonian materials, e.g. particles or macromolecules
are colloidal in nature; they may not immediately adapt to the
new shearing conditions. Therefore, when such a material is
subjected to a particular shear rate, shear stress and
consequently viscosity will decrease with time. Furthermore,
once the shear stress has been removed, even if the structure
that has been broken down is reversible, it may not instantly
return to its original structure (rheological ground state).
Because of this reason, a characteristic ‘hysteresis loop’ is
formed, which shows that a breakdown in the structure has
536
occurred after applying the shearing stress, and the area
within the loop may be used as an index of the degree of
breakdown. This phenomenon, i.e. breaking and rebuilding of
the structure after applying and consequently withdrawing the
shear stress, is termed thixotropy.
Thixotropy is defined as a reversible isothermal transition
from gel to sol. The word comes from Greek words thixis
(from thinganein, which means ‘to touch’) and tropy (from
tropos, which means ‘of turning’, ‘changeable’, ‘to turn’, or
in simple word ‘to change by touch’). Thixotropy may only
be applied to shear thinning system, i.e. plastic and
pseudoplastic system. In the case of plastic and pseudoplastic
materials, the down curve will be displaced to the right of the
up curve, while in case of Newtonian system, the resultant
curve is identical with and superimposed on the up curve and
Fig. 10.13 illustrates the flow diagrams of such systems.
Fig 10.13 Thixotropy in plastic and pseudoplastic flow

system.
It is believed that thixotropic systems are usually composed

of asymmetric particles or macromolecules, which are
537
capable of interacting by numerous secondary bonds to
produce a loose three-dimensional structure, and confer some
degree of rigidity on the system, which resembles a gel. The
energy imparted during shearing disrupts these bonds, which
causes the interparticle links to be broken; the network
therefore disintegrates and the viscosity falls, and a gel–sol
transformation occurs. When the shear stress is eventually
removed, the structure will tend to reform, although the
process is not immediate and will increase with time as the
molecules return to the original state under the influence of
Brownian motion. For such cases, the rheogram depends on
the rate at which shear is increased or decreased and the
length of time a sample is suggested to any one rate of shear.
It was seen that a thixotropic material is similar to a
pseudoplastic material in one manner; it exhibits lower
viscosity as shear increases. However, the thixotropic profile
differs substantially from the pseudoplastic profile in the
manner in which viscosity recovers from the release of shear.
Where viscosity in a pseudoplastic material recovers
immediately on release of shear, in a thixotropic material
there is a measurable delay in the recovery of viscosity. This
delay allows for a period of flow and levelling or film
consolidation to occur. Such a delay also allows the graphing
of a hysteresis loop in which the viscosity is plotted as a
function of both as shear is applied and released. This
hysteresis loop allows to display number of properties that are
of a system’s rheology, which includes the degree of
thixotropy, the absolute viscosity values at a given shear rate,
and the speed of viscosity recovery.
538
Applications of Thixotropy
Thixotropy is a desirable property in liquid pharmaceutical

system; ideally it should have a high consistency in the
container yet pour or spread easily. If emulsion or suspension,
it implies low viscosity, which causes either rapid settling of
solid particles in suspension or rapid creaming of emulsion.
As we know, according to Stock’s equation (Eq. 10.9) the rate
of sedimentation is proportional to viscosity. Frequent settling
of solid produces sediment difficult to redisperse, whereas
creaming is the first step towards coalescence. Addition of
thixotropic agents, i.e. bentonite magma, clay, colloidal
silicon dioxide, microcrystallin cellulose, etc. into suspension
or emulsion provides a high viscosity. High viscosity retards
sedimentation or creaming as well as flow below the yield
stress. When other applicant is desired to pour some of the
suspension or emulsion from container, it is shaken well at
sufficient shear stress, which breaks the thixotropic structure
and lowers the apparent viscosity. Back on shelf the viscosity
again slowly increases again and the structure is rebuilt
because of the Brownian motion. A similar pattern is required
with lotion, cream, ointment and parenteral suspensions for
intramuscular depot therapy.
Concentrated parenteral suspension containing about 40–70%
w/v of procaine penicillin G in water has a high inherent
thixotropy. Breakdown of the structure occurred when the
suspension was caused to pass through the hypodermic
needle. Consequently, rheological structure was rebuilt and a
depot of drug formed at the site of injection in the muscles
from which drug was slowly released and made available for
absorption.
539
Measurement of Thixotropy
Thixotropy can be quantitatively represented by the area of

the hysteresis loop by a coefficient of thixotropic breakdown
or by the decay of shearing stress or apparent viscosity as a
function of time at constant rate of shear. Structural
breakdown or thixotropy can be determined by two
approaches. In the first approach, thixotropy is determined by
the structural breakdown with time at a constant rate of shear.
The shear rate of a thixotropic material is increased in a
constant manner from point a to point b and is then decreased
at the same rate back to point e. This forms the hysteresis
loop abe. If sample was taken to point b and the shear rate
held constant for a certain period of time, i.e. for t1 second,
the shearing stress and the consistency would decrease to an
extent depending on the time of shear, the rate of shear and
the degree of structure in the sample. This would lead to
hysteresis loop abce. If the sample has been held at the same
rate of shear for t2 second, this will give abcde loop (Fig.
10.14). On the basis of such rheogram, a thixotropic
coefficient B, the rate of breakdown with time at constant
shear rate, is calculated as:
540
Fig 10.14 Structural breakdown with time of a plastic system
possessing thixotropy when subjected to constant rates of
shear with different time values.
In which U1 and U2 is plastic viscosity of two down curves

obtained after shearing at a constant rate for t1 and t2 sec,
respectively. The choice of rate is arbitrary. A more
meaningful though time-consuming method for characterizing
thixotropic behaviour is to measure the fall in stress with time
at several rates of shear.
The second approach is to determine the structural breakdown
due to increasing shear shown in Fig. 10.15, in which two
hysteresis loops are obtained having different maximum rates
of shear, V1 and V2. In this case, a thixotropic coefficient M,
the loss in shearing stress per unit increase in shear rate, is
obtained from
541
where U1 and U2 are the plastic viscosities for two separate
down curves having maximum shearing rates of V1 and V2,
respectively. With this technique, the rates of shears V1and V2
are chosen arbitrarily. The value of M will depend on the rates
of shear chosen since these shear rates will affect the down
curves and hence the value of U that are calculated.
Fig 10.15 Structural breakdown of a plastic system possessing

thixotropy when subjected to increasing shear rates.
Bulges and Spurs: In some cases different type of thixotropic

rheogram is obtained for examples bulges and spurs type
rheogram. A concentrated aqueous bentonite gel (10–15% by
weight) produces a characteristic bulge in the up curve of a
hysteresis loop. This is due to the presence of crystalline
plates in a pattern of ‘house-of-cards’ structure, which causes
the swelling of the bentonite magmas (Fig. 10.16A). In
another case—procaine penicillin gel formulation for IM
injections, the hysteresis loop is in the form of spur-like
protrusion. The structure showed a high-yield value, Y, which
traces out a bowed up curve due to sharp breakdown of
542
three-dimensional structure at slow shear rate, as shown in
Fig. 10.16B. It was found that penicillin gels having definite
Y values were very thixotropic, forming intramuscular depots
on injection that afforded prolonged blood level of the drug.
Fig 10.16 Rheogram of a thixotropic material showing (A)

Bulge and (B) Spur in the hysteresis loop.
Negative Thixotropy: Negative thixotropy, also known as

antithixotropy. It is a rheological phenomenon that represents
an increase rather than a decrease in consistency on the down
curve. This increase in thickness or resistance to flow with
increased tie of shear was observed by Chong et al. (1960).
This effect can be observed in a wide range of polymers and
solvents. In case of negative thixotropy, e.g. when magnesium
magma was treated alternatively with increasing and
decreasing rates of shear,
the magma continuously thickened and then finally reached
an equilibrium state in which further cycles of increasing and
decreasing shear rates no longer increased the consistency of
the magma (Fig 10.17). The equilibrium system was found to
be gel like and providing great suspendability, yet it was
readily pourable. In this case the equilibrium state is the sol.
543
Fig 10.17 Rheogram of magnesia magma showing
antithixotropy behaviour.
The origin of negative thixotropy is the tendency of a polymer

to aggregate in a solvent, giving rise to temporary link
aggregates or crystallites or, in other words, it results from an
increased collision frequency of dispersed particles or
polymer molecules in suspension, which increased
interparticle bonding with time. This tendency to aggregate is
usually considered to vary along the polymer chain and it is
also a change of the small to large number of big particle or
floccules, while at rest large floccules break and gain their
original structure.
Phenomenon of negative thixotropy is quite different from the
dilatant flow in a manner as dilatant systems are deflocculated
and contain more than 50% by volume of solid dispersed
phase, whereas antithixotropy systems consist of 1–10% solid
contents and are flocculated.
544
Rheopaxy
Once the links among suspended particles or the

entanglements among dissolved polymer chains have been
broken by shear, their restoration by Brownian motion is slow
if the suspension or solutions are viscous. In such cases,
slow-flow gentle agitation or moderate and rhythmic
vibration may accelerate the rebuilding of the structure, i.e.
the restoration of the links between particles or
macromolecules by Brownian motion. Low shear rates hasten
the regaining of the apparent viscosity or onset of gelation in
thixotropic sols. Increase in apparent viscosity or the advent
of a yield value by gentle agitation is called rheopaxy and it is
well known that in a rheopectic system gel is the equilibrium
form.
Selection of Viscometer
Newtonian Liquids
For the accurate measurement of liquids of low viscosity, the

capillary tube or the Hoeppler viscometer are suitable. These
are simple instruments to use and to calibrate. They provide
only one shear rate (i.e. single-point instrument) and this is
adequate as the viscosity of a Newtonian liquid is
independent of shear rate.
Non-Newtonian Liquids
The majority of emulsions and suspensions are

non-Newtonian and, therefore, the limitations of single point
measurement should be appreciated. This aspect has been
545
emphasized by Martin et al. (1964). Fig. 10.18 shows the flow
curves for two emulsions, A and B, where a measurement at
shear rate D1 would indicate that B had a higher viscosity
than A, while the opposite result would be obtained at shear
rate D3. At shear rate D2, the emulsions would apparently
have the same viscosity. This shows that even for
comparative work single point instruments can be misleading,
particularly if no information is available on the type of flow
behaviour. Where a simple test for ‘viscosity’ is required for
quality control, it may be sufficient to measure the
‘apparent viscosity’ at a rate of shear which approximates to
the rate of shear to which the product is subjected during
usage. Henderson et al. (1961) have calculated the
approximate rates of shear encountered in such operations as
milling, pouring from bottles and extrusion from orifices
(Table 10.1).
546
Fig 10.18 Effect of shear rate on viscosity determination of
emulsions A and B.
Table 10.1 Approximate rates of shear for various processes

(after Henderson et al., 1961)
Process Rate of shear (sec–1)

Rubbing on ointment tile 150
Roller mill 1000–12000
Hypodermic needle Up to 10000
Nasal spray (plastic squeeze bottle) 2000
Pouring from bottle Less than 100
547
The assessment of thixotropic products requires rotational
viscometry in order to plot up and down curves. Lack of
reproducibility may be due to lack of standardized
pretreatment of samples before measurements.
A comprehensive treatise on commercial viscometers is given
by van Wazer et al. (1963). There is no single viscometer that
is likely to be satisfactory for pharmaceutical products that
may vary in consistency from water to stiff gels. In selecting a
viscometer the following points should be studied:
1. If low shear rates are required, is the instrument sensitive
enough to measure the corresponding stress?
2. Are the units of rate of shear and shearing stress measured
in absolute units or comparative units?
3. Size of sample available, e.g. a cone and plate may require
only a 1 mL sample, while a coaxial viscometer may require
several hundred millilitres.
4. Can the sample be easily maintained at a constant
temperature?
5. Can the instrument be easily cleaned? This is essential
when a large number of samples are to be examined.
Rheology of Suspensions
The addition of a disperse phase (solid or liquid) to a liquid
increases the viscosity due to the disturbance of the stream
lines of the liquid around the particles. Einstein (1906–1911)
developed a theoretical expression relating the viscosity of a
suspension η, to the volume fraction ϕ of the particles present:
548
where η0 is the viscosity of the vehicle. This equation is
strictly applicable only to very dilute suspensions of rigid
spherical particles. In order to extend the equation to higher
concentrations, equations of the type:
have been developed where k1 and k2 are constants for the

system.
These equations are of little application to pharmaceutical
suspensions as the theoretical treatments have been largely
confined to Newtonian flow. The effects of particle shape,
particle size distribution and in particular the degree of
flocculation of the particles, playa predominant role in
determining the flow properties of pharmaceutical
suspensions, particularly if the concentration of disperse
phase is high. The more uniform the particles, the greater the
viscosity of the suspension for a given concentration of solid.
Flocculation gives rise to plastic flow properties often
combined with thixotropy. If deflocculating agents are added,
e.g. surface-active agents, peptizing electrolytes,
the yield value is reduced or disappears altogether and the
flow becomes pseudoplastic, or even Newtonian, depending
on the extent of deflocculation. Fig. 10.19 shows the variation
of flow properties of suspensions such as kaolin and barium
sulphate in water as the concentration is increased. Curve D
shows how the viscosity is reduced in the presence of sodium
citrate which deflocculates the suspension.
549
Fig 10.19 Flow curves of kaolin suspensions in water. (A) 20
per cent w/v; (B) 30 per cent w/v; (C) 40 per cent w/v; (D) 40
per cent w/v + 10 per cent sodium citrate.
A similar result is observed with dispersions of zinc oxide in

liquid paraffin, where the addition of a little oleic acid
produces a similar deflocculation effect.
Rheology of Emulsions
When droplets of one liquid are emulsified in an immiscible
liquid, the viscosity of the emulsion is greater than that of the
vehicle, as one would expect from the Einstein equation. This
equation is obeyed by very dilute emulsions of small globule
size, indicating that the globules are behaving like solid
particles. The factors that have been discussed under the
section Rheology of Suspensions apply to emulsions except
that the particle shape factor is unlikely to play an important
part, since the globules are mainly spherical.
550
Fig. 10.20 shows the variation of apparent viscosity with
volume concentration of disperse phase in a water-in-oil
emulsion. The emulsion may invert to an unstable oil-in-
water emulsion of low viscosity when the water is increased
above a critical amount. The point of inversion depends on
the concentration and nature of the emulsifying agent.
Fig 10.20 Variation of apparent viscosity with volume

concentration (per cent) of water in a water-in-oil emulsion.
Maximum viscosity at X-inversion beyond this point.
The theoretical maximum volume of uniform spheres that can

be packed into a given volume is 74 per cent v/v but emulsion
droplets are not uniform so that small drops can pack between
the larger ones. They can also distort so that emulsions
containing as much as 90 per cent v/v internal phase are
possible. The viscosity of the internal phase has little or no
effect on the viscosity of the concentrated emulsions. The
important factors influencing the viscosity of emulsions are:
1. Phase volume ratio.
2. Viscosity of continuous phase.
551
3. Nature and proportion of emulsifying agents.
4. Globule size and distribution of size.
5. Aggregation of the globules.
The review by Sherman (1964) should be con sulted for
detailed information.
Oil-in-water emulsions stabilized by cetyl and stearyl
alcohols and water-soluble surface agents have been studied
by Axon (1956) who showed that increasing quantities of
cetyl alcohol produced an increase in both the yield value and
the plastic viscosity of some emulsions. Talman et al. (1967)
studied the rheology of similar emulsions and suggested that
the large increase in viscosity as the cetostearyl alcohol was
increased, was due to the formation of a gel in the aqueous
phase due to the interaction of the alcohol with sodium lauryl
sulphate. It seems likely that such gel formation would play a
dominant role in the viscosity of emulsions containing
emulsifying waxes. Baqy and Shotton (1967) have studied the
thixo tropic and viscoelastic properties of the sodium lauryl
sulphate–ethyl alcohol–water gel system in the absence of an
emulsified phase.
Rheology of Suspending Agents

The majority of these produce pseudoplastic solutions and
have definite advantages over Newtonian liquids such as
glycerin or syrups. The high viscosity of pseudoplastics at
low rates of shear enables them to stabilize insoluble particles
against rapid sedimentation and the shear thinning charac
teristics enable easy pouring from the bottle. These agents
include methyl cellulose, hydroxyethyl cellulose, sodium
carboxy cellulose, alginates and clays such as bentonite.
Meyer and Cohen (1959) re ported that permanent
552
suspensions could be prepared using carboxyvinyl–polymer
(Carbopol 934 BF, Goodrich Chemical Co.), which exhibits
plastic flow properties. Provided a certain minimum yield
value was present, suspensions were observed to be
permanent. However, such suspensions should be examined
critically since the ‘permanency’ may be affected by
deterioration of suspending efficiency due to chemical
deterioration, pH changes, etc. Hiestand (1964) refers to
suspending agents that possess yield values, as ‘structured
vehicles’ on account of the structure of the suspending or
gelling material. Particles may also remain in sus pension due
not only to the structure in the vehicle but also to the
flocculation of the particles which produces a scaffold
structure that extends throughout the suspension. Many long
chain polymers induce flocculation of particles—due to
adsorption of segments of the polymer on to them, the
remaining segments being free to project into the vehicle and
adsorbing on to adjacent particles. Thus polymer bridge
flocculation may be as least as important as the structure of
the vehicle itself in preventing suspensions from sedimenting.
Martin et al. (1964) have reviewed the properties of
suspending agents and also the effect of processing on the
rheology of gums and suspensions.
References
Axon A. J. Pharm. Pharmacol. 1956;8:762.

Barry BW, Grace AJ. J. Pharm. Sci. 1971;60:1198.
Barry, B.W. & Shotton, E. (1967) 19, 121S.
Barry BW. In: Beckett, Bean, Carless, eds. Advances in
Pharmaceutical Sciences Vol. 3. London: Academic Press;
1974.
553
Boylan JC. J. Pharm. Sci. 1966;55:710.
Boylan JC. J. Pharm. Sci. 1967;56:1164.
Chong GW, Erikson SP, Swintosky JU. J. Am. Pharm. Assoc.
Sci., Ed. 1960;49:547.
Davis SS. J. Pharm. Sci. 1969;58:412.
Ellis MA. Pharm. J. 1969;189:177.
Henderson NL, Meer PM, Kostenbauder HB. J. Pharm. Sci.
1961;50:788.
Hiestand EN. J. Pharm. Sci. 1964;53:1.
Kabre SP, DE Kay HG, Banker GS. J. Pharm. Sci.
1964;53:492–495.
Martin A, Swarbrick J, Cammarata A. In: Physical Pharmacy.
3 Bombay: K.M. Varghese Company Indian edition; 1991.
Martin A, Banker GS, Chun AHC. In: Beckett, Bean, Carless,
eds. Advances in Pharmaceutical Sciences.3. London:
Academic Press; 1964:1. 1
Meyer RJ, Cohen L. J. Soc. Cosmet. Chem. 1959;10:143.
Nixon JR, Georgakopoulas PP, Carless JE. J. Pharm.
Pharmacol. 1966;18:283.
Ober SS, Vincent HC, Simon DE, Frederick KJ. J. Am.
Pharm. Assoc., Sci. 1958;47:667.
Reiner M, Scott-Blair GW. In: Eirich FE, ed. Rheology.4.
New York: Academic Press; 1967:461.
Saunders PR, Ward AG.Proc. 2nd Int. Congr. Rheol. Oxford
1954:284.
Sherman P. J. Pharm. Pharmacol. 1964;16:1.
Talman FAJ, Davis PJ, Rowan EM. J. Pharm. Pharmacol.
1967;19:417.
Van Wazer JR, Lyons JW, Kim KY, Colwell RE. Viscosity
and Flow Measurement- A Laboratory Handbook of
Rheology. New York: Intersciences; 1967.
554
Chapter 11
Drug Stability
A study of the stability of pharmaceutical products and of
stability testing techniques is essential for three main reasons.
Firstly it is important from the point of view of the safety of
the patient. The present trend in the pharmaceutical industry
is towards production of highly specific, chemically complex,
potent drugs. It is important, therefore, that the patient
receives a uniform dose of drug throughout the whole of the
shelf life of the product. In addition, although a drug may
have been shown to be safe for use, this is not necessarily true
of the decomposition product(s). It is the duty of the
manufacturer to minimize, or if possible prevent,
decomposition of the product. This is of particular importance
when preparing parenteral solutions, since injection
frequently involves a greater risk than other forms of drug
administration.
Secondly consideration must be given to the relevant legal
requirements concerned with the identity, strength, purity and
quality of the drug, and finally such a study is important to
prevent the economic repercussions of marketing an unstable
product. The sale of such a product is hardly the best
advertisement for a manufacturer, and subsequent withdrawal
and reformulation of the drug may lead to considerable
financial loss.
This chapter concerns the chemical and physical factors
causing deterioration of drugs, the application of chemical
kinetics to determine the rate of decomposition, and methods
of reducing the amount of decomposition. Later sections deal
555
with the use of accelerated storage tests to predict the shelf
life of the product.
Chemical Degradation of
Pharmaceutical Products
Pharmaceutical products differ considerably in their
composition, so naturally they are subject to different forms
of chemical degradation, and in addition there may be several
simultaneous decomposition reactions occurring in a product.
For example, vitamin A undergoes both isomerization and
oxidation, and the alkaloid ergometrine is susceptible to these
and also to hydrolysis. Nevertheless, by obtaining information
on each isolated degradation process, it is possible to establish
reliable methods of reducing, or even eliminating, the causes
of instability.
Hydrolysis
Hydrolysis is considered to be the major cause of

deterioration of drugs, especially for those in aqueous
solution. It may be defined as the reaction of a compound
with water, and one may distinguish between ionic and
molecular forms of hydrolysis. Ionic hydrolysis occurs when
the salts of weak acids, e.g. potassium acetate, and bases, e.g.
codeine phosphate, interact with water to give alkaline and
acidic solutions respectively. As has been discussed in
Chapter 2, this is an instantaneous equilibrium process. On
the other hand, molecular hydrolysis is a much slower,
irreversible process involving cleavage of the drug molecule.
This form of hydrolysis is mainly responsible for the
556
decomposition of pharmaceutical products. Esters, e.g. the
local anaesthetics amethocaine and benzocaine, and amides,
e.g. the sulphonamides, and nitriles, are all substances that are
liable to decompose by hydrolysis. The reaction is frequently
catalysed by hydrogen (H+) or hydroxyl (OH−) ions, and is
therefore said to be specific acid- or specific base-catalysed.
In many instances, hydrolysis is specifically acid–base
catalyzed, and the rate of decomposition is then critically
dependent upon the pH of the system. Esters, for example the
local anaesthetic procaine, generally exhibit this type of
catalysis (Higuchi et al., 1950).
In many other cases, however, hydrolysis may be catalysed

by acidic and basic species other than the hydrogen and
hydroxyl ions. According to the Lowry–Bronsted theory, an
acid is defined as a species, ionic or molecular, that is capable
of donating a proton, while a base is a species capable of
accepting a proton. For example, the antibiotic
chloramphenicol, as well as exhibiting specific acid–base
catalysis, undergoes general acid–base catalyzed hydrolysis
(Higuchi et al., 1954). The monohydrogen phosphate ion,
mono- and dihydrogen citrate ions, and undissociated acetic
acid, all catalyse the reaction (See Reaction I, below).
557
The drug molecule undergoing hydrolysis may carry a charge
or be uncharged. From the preceding discussion, it is evident
that a drug may undergo several simultaneous catalytic
reactions, all of which are hydrolytic in nature. A prime
example of this phenomenon is the decomposition of aspirin
558
into salicylic and acetic acids. Over the pH range of 1–12, it
has been predicted that six simultaneous reactions (See
Reaction II, above) occur (Edwards, 1950):
Although hydrolysis will occur principally with drugs in
aqueous solution, suspensions and solid dosage forms are also
susceptible to hydrolytic attack. Leeson and Mattocks (1958)
have shown that moisture is rapidly absorbed on to the
surface of aspirin particles causing solution of a portion of the
drug in the water layer around the particles. As the aspirin in
solution hydrolyses, more of the solid material dissolves and
decomposition continues.
Oxidation
The decomposition of pharmaceutical preparations due to

oxidation is nearly as prevalent as that due to hydrolysis.
Neoarsphenamine, morphine, adrenaline, fixed oils, fats,
oil-soluble and water-soluble vitamins, volatile oils and
phenols, are some of the many examples of products that
oxidize.
Oxidation of a compound can be defined as the removal of an
electropositive atom, radical or electron, or the addition of an
electronegative atom or radical. One may make a distinction
between those oxidation processes that proceed slowly under
the influence of atmospheric oxygen, and those that involve
the reversible loss of electrons without the addition of
oxygen. The latter type of oxidative change is less frequently
encountered than those involving atmospheric oxygen, but is
nevertheless important. For example, adrenaline, ferrous salts
such as ferrous phosphate, riboflavin, and ascorbic acid are all
prone to this form of oxidation. In some instances, it is
possible to predict the susceptibility of the compound to
559
oxidation from a knowledge of its standard
oxidation–reduction potential, E0. As has been discussed in
Chapter 2, the oxidation–reduction potential, Eh, is related to
the proportion of oxidized and reduced forms of the
compound and its standard oxidation–reduction potential by
the equation:
(11.1)
where n is the number of electrons transferred per ion. Since

E0 is a measure of the oxidizing or reducing tendency of a
compound, a compound with a high E0 is more resistant to
oxidation than one that has a low E0 value. When two
potentially oxidizable compounds are present together, as is
the case with many pharmaceutical products, the compound
with the lower E0 will be oxidized in preference to that with
the higher E0 value. This relationship is utilized in the
stabilization of an oxidizable drug by incorporation of a
compound of lower E0 value in the
formulation. For example, ascorbic acid has been used to
protect adrenaline from oxidation in solution. In acid solution
(pH range 4–7), ascorbic acid undergoes the following
reversible oxidation process (von Dolder, 1952). (See
Reaction III, p. 166).
560
At pH 4.7, the E0 value for ascorbic acid has been found to be
+014 V.
Oxidation of adrenaline results ultimately in the loss of
activity of the drug and the production of a red-coloured
solution. In acid solution, the first stage of this process
involves the formation of adrenaline-o-quinone.
The E0 value for this reversible reaction at pH 4.7 is + 0.52 V.

Hence, when the two compounds are present in solution at pH
4.7, the ascorbic acid will be oxidized whilst the adrenaline
will be protected from attack by oxidizing agents.
Autoxidation is the term applied to those oxidation processes
that proceed slowly under the influence of atmospheric
561
oxygen (Ostendorf, 1964). Oils and fats containing
unsaturated linkages in the molecules are particularly
susceptible to autoxidation. Volatile oils, e.g. clove and
cinnamon, change colour, consistency and odour. Fixed oils,
e.g. the oily injection vehicles ethyl oleate and arachis oil,
develop an unpleasant odour and taste, and are said to be
‘rancid’. In the majority of cases, the oxidation process is a
chain reaction involving the formation of free radicals, and
comprises three distinct steps: initiation, propagation and
termination.
An organic compound (RH) is converted into an active free
radical (R) during the initiation step as a result of the
influence of some factor such as heat, light, presence of trace
metals or other free radicals.
The propagation step is the chain reaction during which the

free radical absorbs a molecule of oxygen to form a peroxy
radical (ROO). The peroxy radical then abstracts hydrogen
from another molecule of RH to form a hydroperoxide
(ROOH) and a new free radical R. R will absorb a molecule
of oxygen and thus continue the reaction.
The primary products of autoxidation are the odourless and

tasteless hydroperoxides. They, however, break down to yield
aldehydes, ketones and short-chain fatty acids that are
responsible for the rancid nature of the oil or fat.
In theory, the propagation step can continue until either all of
the organic compound, or the oxygen, has been consumed.
However, in practice, a termination step intervenes since
562
certain of the free radicals can combine to form inactive
products which break the chain reaction.
It has been shown, using compounds containing unsaturated

linkages, that the initial attack causing formation of a free
radical is on the methylene group which is in the α;-position
to a double bond (Farmer, 1942). The complete autoxidation
sequence, e.g. for a long-chain unsaturated fatty acid, can be
represented thus:
If the hydroperoxide content of a compound undergoing

oxidation is determined (the ‘peroxide value’) at various time
intervals, the result typically obtained is as shown in Fig.
11.1.
563
Fig. 11.1 Oxidation rate of an organic compound as shown by
peroxide value determination.
Three distinct stages of oxidation may be identified. Initially,

there is an induction period during which oxidation is slow,
and the rate at which the chain reaction is terminated is as
great as the rate of initiation of the process. There follows a
stage where oxidation increases very rapidly at a logarithmic
rate. During this period, there are many more free radicals
formed than are removed by the termination step. Finally, the
rate of oxidation
begins to decline. There are fewer and fewer free radicals
formed as the chain reaction slows down. It is normally
during the latter period that the rancid nature of the oil
becomes evident. Several factors can affect the rate of
autoxidation as outlined below.
564
Factors Affecting the Rate of Autoxidation
Degree of unsaturation of the organic compound: Highly

unsaturated compounds are more susceptible to autoxidation,
and therefore oxidize at rates greater than shown by
compounds having a lower degree of unsaturation. With
compounds containing an unconjugated double bond system,
the reactivity of the α-methylene group is enhanced.
Consequently, initiation of the process is much easier than is
the case when the a-methylene group is flanked by one double
bond. For example, linoleic acid is much more rapidly
oxidized on exposure to air than oleic acid.
Presence of free fatty acids: The presence of a free carboxylic

acid group also enhances the reactivity of the organic
molecule. Hence free fatty acids oxidize more rapidly than,
for example, esters. For instance, methyl linoleate is more
stable to air oxidation than linoleic acid. Thus, if unsaturated
free fatty acids are produced during oxidation, or are present
as impurities in a vitamin, oil or fat, the material becomes
more susceptible to autoxidation because of the greater
number of free radicals formed from these fatty acids.
565
Dilution: Dilution of an oxidizable compound with an inert
solvent will decrease the rate of oxidation. This follows from
the Law of Mass Action (see p. 15). However, a limit will be
reached when the concentration of oxidizable material is
similar to the concentration of oxygen dissolved in the solvent
system. Under these conditions: the proportion of oxidizable
material decomposed is very high, although a chain reaction
process does not appear to operate. This situation may arise
when formulating oily vitamin solutions where the vitamin is
present in very low concentrations.
Temperature: The rate of oxidation of an organic compound
is increased with increase in the temperature of storage. In
addition, the rate at which the hydroperoxides break down
into aldehydes, ketones and fatty acids is also accelerated at
temperatures in excess of 50°C. Thus it is possible for an
oxidizable material to have a low peroxide value after storage
at an elevated temperature. This, of course, does not signify
that there has been a low rate of oxidation, rather that
decomposition has advanced to the stage where the secondary
products of oxidation predominate.
Presence of pro-oxidants: Pro-oxidants, by definition,
accelerate the rate of autoxidation. The hydroperoxides
formed during the autoxidation process are themselves
pro-oxidants. The addition of hydro peroxides to an
oxidizable compound will shorten or even eliminate the
induction period.
Heavy metals, e.g. copper and iron, also have a pro-oxidant
effect since their variable valency state causes them to act as
catalysts for the initiation step. Their mode of action is
expressed by the following equations:
566
where M reperesents the heavy metal.
Heavy metals also influence the propagation and termination
steps of the autoxidation process.
Physical state of the oxidizable compound: The oxidation rate
of a solid fat is normally very slow in comparison with that
occurring in the liquid state. This is primarily due to the fact
that there are large quantities of relatively stable, saturated,
fatty materials present which act as a diluent for the
oxidizable material. In addition, the physical state of the
material precludes rapid diffusion of oxygen through the bulk
of the material.
When an oxidizable compound, e.g. methyl oleate, is
dispersed in water, the rate of oxidation may be profoundly
affected, especially if surface-active agents are present to
emulsify the system. This phenomenon will be discussed
further when dealing with methods of reducing autoxidative
degradation of pharmaceutical materials.
Isomerization
In the present context, isomerization means the conversion of

an active drug into a less active, or inactive, isomer having
the same structural formula but differing in stereochemical
configuration. One may make a distinction between
isomerization involving optically active compounds
containing one or more asymmetric carbon atoms, and
geometrical Isomerization. The latter refers to changes in the
567
relative spatial configuration of groupings around a double
bond (or bonds) in a molecule.
Optical isomerization
Optical isomerization as a cause of drug deterioration may be

further divided into the processes of racemization and
epimerization.
Racemization
Racemization in solution involves the conversion of an

optically active form of a drug into its enantiomorph. The
process continues until there are equal concentrations of the
two optically active forms present. At this point, the solution
no longer rotates the plane of polarized light. Frequently, it is
the laevo-rotatory form of the drug, e.g. (–)–adrenaline,
(–)–phenylephrine, that has the greater biological activity.
When racemization is complete, the drug will still retain a
certain degree of potency since 50 per cent of the active form
is still present, and the enantiomorph may not be completely
inactive. For example, (–)–hyoscyamine is readily converted
by the action of heat or alkali to atropine which is the racemic
mixture of (+) and (–)–hyoscyamine. As a mydriatic
(–)–hyoscyamine acts with greater intensity than the racemic
mixture. The ease with which an optically active compound
can racemize depends upon its chemical structure, and
especially upon the type of groupings attached to the
asymmetric carbon atom. For example, the presence of an
aromatic grouping increases the susceptibility of the
compound to racemization. The rate of racemization often
depends upon such factors as the presence of catalytic
568
hydrogen and hydroxyl ions, heat and light. The racemization
of (–)–adrenaline is catalysed by hydrogen ions, and hence
only becomes a significant factor in the decomposition of the
drug at low pH values, i.e. pH 0–3 (Schroeter & Higuchi,
1958).
Epimerization
Epimerization can occur with a compound having more than

one asymmetric carbon atom in the molecule. There is
selective racemization of an asymmetric centre that possesses
a hydrogen atom and is adjacent to a carbonyl grouping. An
equilibrium between the two epimers is attained which does
not necessarily correspond to a 50 per cent conversion of the
active form of the drug. For this reason, and also because the
two epimers do not exhibit equal and opposite optical
rotations, the optical activity of the equilibrium system will
not be zero, unlike the case of a racemic mixture. For
example, upon prolonged storage, solutions containing the
alkaloid ergometrine (the 2–amino–1–propanol derivative of
–(+)–lysergic acid) are decomposed by hydrolysis and
undergo isomerization to ergometrinine (Foster et al., 1949).
569
The D–(+)–lysergic acid portion of the ergometrine molecule
contains asymmetric carbon atoms at C5 and C8.
Epimerization occurs at the C8 carbon atom to produce the
D–(+)–isolysergic acid derivative ergometrinine which has
little physiological activity.
Geometrical Isomerization
Loss of activity produced by geometrical isomerization is due

to the difference in potency exhibited by cis and trans isomers
of some organic compounds. For example, the most active
form of the vitamin A molecule has the all-trans
configuration. However, in aqueous solution as a component
of a multivitamin preparation, in addition to oxidation,
vitamin A palmitate isomerizes and forms the 6-mono-cis and
2, 6-di-cis isomers, both of which have much lower potencies
(Lehman et al., 1960).
570
Polymerization
Degradation of pharmaceutical products by polymerization

involves the combination of two or more identical molecules
to form a much larger and more complex molecule. Such a
reaction is not often the initial cause of drug decomposition,
but does occur as a further degradation process of primary
decomposition products. Polymerization however, is the
prime cause of degradation of the antiseptic formaldehyde.
On standing, particularly in the cold the aldehyde forms
paraformaldehyde which is thrown out of solution as a white
deposit.
In order to prevent polymerization, 10–15 per cent of methyl

alcohol is added as a stabilizer.
The straw-coloured solution produced at acid pH values upon
autoclaving dextrose injection has been attributed to the
polymerization of the major decomposition product
5-hydroxymethylfurfural. Similarly, adrenochrome, the
primary oxidation product of adrenaline in acid solution,
undergoes further oxidation and is finally converted into
black and brown polymeric pigments.
Decarboxylation
As the word implies, decarboxylation is the elimination of

carbon dioxide from a compound. This problem is most
commonly
encountered when parenteral solutions of sodium bicarbonate
are autoclaved. In order to minimize the decomposition of
sodium bicarbonate, carbon dioxide is passed into the solution
for one minute and the containers are sealed so as to be
571
gas-tight prior to autoclaving. Decarboxylation also occurs
when autoclaving the tuberculostatic agent sodium
aminosalicylate, and has been identified as a secondary
degradation process of procaine. Hydrolysis of procaine
yields p-aminobenzoic acid which, in weakly acidic solution,
decarboxylates slowly with the production of aniline. Aniline
darkens on exposure to light, and this could explain the
development of colour in old procaine injections.
Absorption of Carbon Dioxide
The absorption of carbon dioxide from the atmosphere by a

pharmaceutical product is a more frequent occurrence than
the loss of carbon dioxide by decarboxylation. Solutions of
potassium hydroxide, sodium hydroxide, calcium hydroxide
and lead subacetate become turbid due to the formation of
insoluble carbonates. They are therefore stored in well-filled,
well-closed, containers. Magnesium oxide and the two
volatile nasal decongestants, amphetamine and
propylhexedrine, also absorb carbon dioxide from the
atmosphere. More important, however, is the effect that
carbon dioxide has upon the stability of solutions of the
sodium salts of barbiturates. For example, the short-acting
intravenous barbiturate sodium hexobarbitone, since it is the
salt of a strong base and a weak acid, hydrolyses to give an
alkaline solution in water. The solution can absorb carbon
dioxide, and this results in precipitation of hexobarbitone.
This is a serious problem in the preparation of intravenous
572
solutions of soluble barbiturates. They are therefore
distributed as sterile powders in ampoules with instructions to
dissolve immediately before use in Water for Injections free
from carbon dioxide.
Physical Factors Influencing Chemical

Degradation
Temperature
The rates of most chemical reactions increase with rise in

temperature. It is, therefore, important to be aware of this
when formulating pharmaceutical products for use in tropical
areas, or when a product has to be heat sterilized before use.
Auto-claving aqueous injections, e.g. dextrose injection, or
sterilizing oils, e.g. ethyl oleate, and powders, e.g.
sulphanilamide, by dry heat methods can cause
decomposition problems when the drug is thermolabile. The
observed variation of reaction rate with temperature is an
important aspect of the collision theory of chemical reaction.
According to this theory, a chemical reaction only takes place
when molecules collide: The thermal energy of the colliding
molecules is converted into energy which is necessary to
break chemical bonds and enable the reaction to take place.
However, the number of molecular collisions greatly exceeds
the number of molecules reacting per second. It has been
postulated that reaction only occurs upon collision of
molecules possessing a certain minimum amount of energy
(the energy of activation). As the temperature of the system is
raised, the proportion of molecules having this minimum
energy increases. It follows that, at higher temperatures, a
573
greater number of the collisions will result in reaction of the
molecules, and it is this that gives rise to the observed greater
rate of reaction. The precise relationship between temperature
and reaction rate is discussed in the later section dealing with
chemical kinetics.
As a result of this phenomenon, it is possible to reduce the
rate of decomposition of thermolabile drugs by storing them
in a cool place. This technique is particularly useful for
biological products such as insulin, oxytocin and vasopressin
injections, and also for penicillin and its preparations, which
may all be stored in a refrigerator.
There are however, a few instances where low temperature

storage may have a tendency to accelerate decomposition.
The increased rate of polymerization of formaldehyde at
temperatures below 15° has already been mentioned. In
certain oxidation processes where the oxygen content of the
solution is a critical factor in the reaction, low temperatures
can also have an adverse effect on stability. Although a
reduction in temperature tends to reduce the rate of oxidation,
it also produces an increase in the solubility of oxygen in
solution. The increase in oxygen concentration will usually
promote the rate of reaction, with the net result that low
temperature storage reduces decomposition but not to the
extent predicted by application of the rate of
reaction–temperature relationship.
Moisture
Moisture absorbed on to the surface of a solid drug will often

increase the rate of decomposition if it is susceptible to
hydrolysis. This is particularly true of aspirin, the penicillins,
574
and other antibiotics such as streptomycin and tetracycline.
The presence of moisture may in some instances also increase
the rate of oxidation of a susceptible product, since oxygen is
dissolved in the water layer surrounding the drug particles.
For example, ferrous sulphate crystals are more rapidly
oxidized in moist air than in dry surroundings. It is therefore
important that such drugs should be stored in as dry a
condition as possible. When manufacturing solid dosage
preparations from drugs whose chemical stability is affected
by moisture, it may be necessary to work in an environment
of controlled humidity. This technique has to be used when
processing sodium ampicillin and potassium propicillin (Gore
& Ashwin, 1967). It is equally necessary to ensure that the
excipients chosen for the product have moisture contents low
enough to prevent transfer of moisture to the active drug.
Light
Numerous references in the pharmaceutical literature refer to

the instability of many products when exposed to strong
sunlight. Although, in some instances, the instability is due to
the heat accompanying the sun’s rays, light is a form of
energy that can initiate and accelerate decomposition. It is
important to distinguish between these heat and light effects
in order to determine whether a preparation must be stored
below 20°, or protected from light. In the same way that
increased temperature can accelerate a thermal reaction,
exposure of a light-sensitive drug (photolabile drug) to
sunlight supplies sufficient energy of activation to enable
decomposition to take place. Only the light radiation absorbed
by the drug is effective in producing photochemical reaction.
Since a portion, or all, of the light energy may be converted
575
into heat, it should be borne in mind that absorption of light
by a compound does not necessarily indicate that a
photochemical reaction is proceeding. However, if a
photochemical reaction is taking place, the rate will be
independent of the temperature of the system.
The relationship between the amount of light absorbed and
the amount of reaction taking place was proposed by Einstein
in the ‘Law of Photochemical Equivalence’. This states that
each molecule can only undergo chemical reaction as a direct
result of absorption of light, if one quantum of radiant energy
causing the reaction is taken up. The unit of radiant energy
equivalent to one quantum is called the photon. The energy of
the photon is directly proportional to the frequency of the
absorbed radiation (inversely proportional to the wavelength).
It follows therefore that there is more energy in a photon of
short wavelength, than in a photon of light of longer
wavelength. For this reason photochemical destruction of
pharmaceutical products is usually due to absorption of
sunlight of the visible blue and violet and ultraviolet
wavelengths (500 to 300nm). Table 11.1 shows the energy
available on absorption per g-mol of substance for different
portions of the ultraviolet and visible spectrum.
Table 11.1 Energy available (kJ/g⋅mol) at various

wavelengths
Wavelength (nm) Colour region Energy (kJ/g mol)

700 Red 171.6
600 Yellow–orange 200.9
500 Blue–green 238.6
576
400 Violet 297.2
300 Ultraviolet 357.7
Since there is a relationship between the amount of light
energy and the number of molecules undergoing reaction, it
follows that a dilute solution of a photolabile drug may be
completely inactivated when exposed to light, whereas a more
concentrated solution will be only partially destroyed under
similar conditions.
Many types of chemical reaction are induced by exposure to
light of high energy. For example, amyl nitrite and ethyl
nitrite undergo hydrolysis, and many autoxidation processes,
e.g. volatile oil oxidation, are initiated. In other cases
substances become coloured, e.g. morphine, codeine, and
quinine become yellow–brown, while others fade, e.g. the
water-soluble dyes indigo carmine and tartrazine incorporated
in tablets. There is often a relationship between the structure
of the drug and its sensitivity towards light. For example,
phenolic substances such as phenol, thymol and salicylates
tend to develop colours, while the presence of a conjugated
double bond system in the molecule, as in vitamin A and
many unsaturated oils, can also induce photolability.
Halogenated drugs such as potassium iodide, iophendylate,
and the anaesthetics chloroform, tribromomethanol and
trichloroethylene are also susceptible to degradation in the
presence of light.
Photochemical reactions are rarely simple, since products of
reaction are often subsequently involved in thermal reactions,
and it is then difficult to distinguish between the primary and
secondary processes. For instance, light may initiate the
complex autoxidation chain process whose subsequent steps
are controlled by factors such as temperature, presence of
oxygen, chemical structure of the compound, or the presence
577
of prooxidants. Perhaps it is for this reason that, although
there are many references to the instability of compounds in
the presence of light, relatively few studies have been made
of the mechanisms of the decomposition processes.
Nevertheless, the photochemical decomposition of
cyanocobalamin (vitamin B12) has been well documented. In
aqueous solution, in the pH range 3.5–6.5, cyanocobalamin is
converted to hydroxocobalamin by the action of light. This is
a reversible process involving the liberation of the cyanide
ion. Hydroxocobalamin is less active than its precursor and is
itself susceptible to degradation.
Demerre and Wilson (1956) investigated the effect of both

intensity and wavelength of light upon the decomposition of
the vitamin in neutral solution. They found that exposure to
diffuse daylight (intensity about 100 lm/m2), or daylight of
intensity up to about 3000 lm/m2 produced no noticeable
destruction of the solution. When exposed to sunlight at a
brightness of about 80,000 lm/m2, the vitamin lost 10 per cent
of its potency for every 30minutes of direct exposure. Upon
exposing the solution to ultraviolet light, a similar amount of
decomposition was observed, whereas with light of longer
wavelengths (600–700nm) no degradation was evident.
Radiation
As is discussed in Chapter 35, ionizing radiation can be a

useful technique for the sterilization of certain pharmaceutical
578
products, especially those that are thermolabile.
Unfortunately, radiation
treatment can also produce deleterious changes in the
products since the procedure also causes ionization in the
irradiated material. The ions formed in the initial stage of the
process are subsequently converted into atoms and free
radicals which become involved in chemical reactions. In
1960, a preliminary investigation was undertaken to assess
the stability of a wide range of pharmaceutical products to
γ-irradiation from a 60Co source (ABPI Report, June 1960,
The Use of Gamma Radiation for the Sterilization of
Pharmaceutical Products). Antibiotics, e.g. polymyxin
sulphate and streptomycin sulphate, alkaloids, e.g. atropine
sulphate, steroids, e.g. progesterone, sulphonamides and
biological products, e.g. insulin and heparin, were all
irradiated at dose levels of 2.5 Mrad (sterilizing dose) and
also 25 Mrad in order to identify possible decomposition
products. The amount of decomposition observed varied from
one product to another, and ranged from changes in colour,
e.g. with progesterone, to almost complete loss of activity,
e.g. insulin injection. The mechanisms of decomposition were
not determined for any of the preparations, but it is probable
that they differ from those occurring in normal thermal
reactions. Irradiation of a drug in aqueous solution produces
greater changes than irradiation of the pure material. This is
believed to be due to the fact that irradiation of water
produces hydrogen peroxide and free radicals such as OH,
HO*2 and H, which have an additional oxidative effect on the
drug. Fletcher and Davies (1968) have investigated the
stability of 0.5 per cent w/v physostigmine sulphate solutions
towards γ-irradiation emitted from a 60Co source. Using dose
levels up to 7 Mrad, decomposition was found to be
independent of pH in the range 1.5–7. This is in contrast to
579
the normal decomposition process which shows a maximum
stability in the region of pH 2.2–3.0. In addition, the
incorporation of 0.5 per cent w/v sodium metabisulphite
reduced the amount of decomposition upon irradiation,
whereas it had no effect upon the normal decomposition
process.
Application of Chemical Kinetics to

Decomposition of Pharmaceutical
Products
A study of the reaction kinetics of decomposition enables a
quantitative assessment to be made of the rate at which the
drug is destroyed. In addition, information concerning the
number and type of intermediate steps which eventually
produce the decomposition products can often be obtained.
The application of kinetics also helps us to understand how
such factors as concentration of reactants, temperature,
composition of solvent system, and the presence of catalysts
may affect the rate of reaction.
Chemical kinetic theory is based upon the Law of Mass
Action propounded by Guldberg and Waage in 1863.
According to this law, the rate of a chemical reaction is
proportional to the molar concentrations of the reacting
substances each raised to a power equal to the number of
g⋅moles of that substance involved in the reaction. Therefore,
for a reaction of the general form:
(11.2)
580
the law may be expressed as:
(11.3)
where [A] is the molar concentration of reactant A,

[B] is the molar concentration of reactant B,
[C] is the molar concentration of reactant C, u, v and w are the
numbers of molecules of A, B and C, respectively, involved
in the reaction as expressed by Eq. 11.2, k is variously known
as the rate constant, reaction velocity constant or specific
reaction rate.
Definitions
Rate of Reaction
The rate (velocity or speed) of a reaction can be expressed

either as the decrease in concentration per unit time of any of
the reacting substances, or as the increase in concentration per
unit time of one of the products. Thus, if the initial
concentration of a reactant is a g⋅mol/litre, and, after time t, x
g⋅mol/litre have reacted, the rate of reaction may be written as
either:
581
Molecularity of Reaction
The molecularity of a chemical reaction is equal to the

number of molecules or atoms that must collide
simultaneously to give the reaction products. If one molecule
or atom undergoes change, the reaction is unimolecular. If
two molecules or atoms react together, then the process is
said to be bimolecular. The stoichiometric Eq. 11.2 would be
trimolecular if u, v and w each had a value of one, since the
reaction would depend upon the simultaneous combination of
the three molecules A, B and C.
Since molecularity is determined by postulating a mechanism
for the reaction, it must be a small number which cannot have
fractional or zero values.
Order of Reaction
Since many reactions are complex, experiment often shows

that the rate of reaction depends upon a smaller number of
concentration terms than indicated by either the molecularity
or the stoichiometric equation for the reaction. Order of
reaction expresses the experimentally determined dependence
of the rate upon the reactant concentrations. The order of
reaction with respect to a single reactant is equal to the power
to which the concentration term of the reactant is raised in the
experimental rate equation. By way of example, if experiment
shows that in Eq. 11.3, u, v and w have values of 2, 1 and 0,
respectively, the reaction is said to be second-order with
respect to A, first-order in B, and zero-order in C. In this
instance, the experimentally determined rate is only
dependent upon the concentrations of reactants A and B. The
overall order of reaction is the sum of the powers of the
582
concentration terms affecting the experimentally determined
rate. In the above example, the reaction would be third-order
overall.
It is evident that, in contrast to molecularity, it is possible for
the order of reaction to assume fractional or zero values.
Half-Life
The rate of a chemical reaction may also be expressed in

terms of the time taken for 50 per cent of the reaction to
occur. This time is called the half-life of the reaction, t1/2, and
depends, in general, upon both the initial concentrations of
the reactants and the reaction velocity constant. The exact
relationships between these three parameters will be
discussed in the following section.
Derivation of the Simpler Orders of Reaction
First-Order Reactions
By definition, the rate of a first-order reaction is proportional

to the concentration of the reactant. This may be written in the
form:
(11.4)
where a is the initial reactant concentration,

x is the amount reacted in time t,
k is the first-order reaction velocity constant.
583
Rearrangement of Eq. 11.4 gives:
(11.5)
and, upon integration of Eq. 11.5:
(11.6)
when t = 0, x = 0, and the integration constant = – lna.

Substituting for the integration constant in Eq. 11.6 we
obtain:
(11.7)
It is more convenient to use common logarithms rather than

natural logarithms, Hence:
(11.8)
If the change in reactant concentration is followed with

respect to time, a plot of the common logarithm of
concentration against time will be a straight line whose slope
is –k/2.303. The first order reaction velocity constant can then
be calculated, and will have dimensions of time–1.
584
Half-Life of a First-Order Reaction
If the initial reactant concentration is a, at time t1/2 the

concentration of reactant remaining will be a/2. Hence, the
first-order kinetic equation becomes:
(11.9)
(11.10)
Thus, for a first-order reaction, the half-life is independent of

the initial reactant concentration, and depends solely upon the
reaction velocity constant.
Pseudo-First-Order Reactions
When defining the order of a chemical reaction, it was stated

that the reaction rate often depends upon fewer concentration
terms than indicated by the stoichiometric equation for the
process. This state of affairs can arise for one or more of the
following reasons. Firstly, one or more of the reactants may
be present in such large excess that there is no measurable
change in its concentration during the course of the reaction.
Secondly, if the reaction has several component steps, and if
one of these is considerably slower than the rest, it will be the
rate-determining step. In this event the kinetics and order of
reaction of the process will be those of the rate-determining
step. Finally, if one of the reactants is acting as a catalyst in
585
the reaction, its concentration will not change as the reaction
proceeds.
A chemical reaction obeys pseudo-first-order kinetics when
the rate of the process is proportional to the concentration of
only one of the reactants, even though the reaction involves
several reactant species. This situation is frequently
encountered with drugs that are susceptible to hydrolytic
decomposition. Water, although it may participate in the
reaction, is in great excess and thus its concentration is
essentially constant throughout the process. The hydroxyl
and/or hydrogen ions may act as catalysts for the hydrolysis,
and thus their concentrations also remain constant. The rate of
degradation will then depend solely upon the concentration of
the drug.
Procaine hydrochloride undergoes hydrolysis which obeys
pseudo-first-order kinetics. A graph of the logarithm of the
percentage of the local anaesthetic remaining against time
yields a straight line (Fig. 11.2). From the slope of this line,
the reaction velocity constant for the decomposition at 50°C
in ammonium chloride–hydrochloric acid buffer of pH 9.7 is
calculated to be 0.25 h–1.
586
Fig. 11.2 Pseudo-first-order kinetic plot for the decomposition
of procaine hydrochloride in ammonium
hydroxide–hydrochloric acid buffer, pH 9.7 at 50°C.
Pseudo-first-order reaction velocity constant (k) – 0.25/h.
Second-Order Reactions
The rate of a second-order reaction is proportional to the

concentrations of two reacting species. The rate of reaction is
given by:
(11.11)
where a and b are the initial concentrations of reactants A and

B. x is the decrease in the concentrations of A and B after
time t. Integration of Eq. 11.11 by the method of partial
fractions, and evaluation of the integration constant yields:
(11.12)
The value of k may be determined by plotting the function:
when the slope of the straight line will be equal to k/2.303.

The reaction velocity constant for the second-order process
will have dimensions of concentration-1 time-1.
587
If the initial concentrations of the reactants are equal, or if the
rate of reaction depends upon the square of the concentration
of a single reactant, the rate equation takes the form:
(11.13)
which upon integration gives:
(11.14)
In this instance, a plot of x/(a – x) against time t, will produce

a straight line whose slope is ak.
Anderson and Slade (1966) have shown that the hydrolysis of
chlorbutol, in the presence of sodium hydroxide, follows
second-order kinetics, since the rate of decomposition
depends upon both the concentrations of chlorbutol and
hydroxyl ions. The plot for this decomposition process is
shown in Fig. 11.3. One molecule of chlorbutol yields three
chloride ions. In this particular case where there are unequal
initial reactant concentrations, to obtain the second-order
reaction velocity constant, it is necessary to plot the function:
588
Fig. 11.3 Second-order kinetic plot for the decomposition of
chlorbutol in sodium hydroxide at 25°C (Anderson & Slade,
1966).
The slope of the graph will then be equal to k.

Hal-life of a second-order reaction: For second-order
decompositions that obey Eq. 11.14, substitution of a/2 for x
at time tl/2 shows that:
(11.15)
Hence, it is evident that, unlike first-order reactions, the

half-life is dependent upon both the reaction velocity constant
and the initial reactant concentration. As the initial
concentration increases, the half-life decreases.
For second-order processes where there are unequal initial
reactant concentrations, it is not possible to derive a simple
relationship between t1/2 and initial reactant concentration.
589
However, it is still the case that the half-life decreases with
increase in initial reactant concentration.
Zero-Order Reactions
Zero-order reaction kinetics are obeyed when the rate of

reaction is independent of the concentrations of any of the
reactants and does not alter with time. This may be expressed
mathematically in the form:
(11.16)
Integrating Eq. 11.16, we obtain:
(11.17)
(11.18)
when t = 0, x = 0, and the integration constant = 0. Therefore,

for a zero-order kinetic process:
(11.19)
A plot of the amount of drug decomposed (or of the amount

remaining) against time will yield a straight line whose slope
is k. The dimensions of the zero-order reaction velocity
constant are concentration time–1.
590
Half-Life of a Zero-Order Reaction
When t = t1/2, x = a/2, and from Eq. 11.19
(11.20)
The half-life is directly proportional to the initial reactant

concentration, and inversely proportional to the zero-order
reaction velocity constant.
The factor governing the rate of a chemical reaction
exhibiting zero-order kinetics might possibly be the
concentration of a catalyst, or the amount of light absorbed if
the reaction is photo-chemical. When considering
pharmaceutical systems, zero-order processes are most likely
to be encountered when investigating the stability of drugs in
suspension. For example, let us assume that a sparingly
soluble drug decomposes in aqueous solution according to
first-order kinetics. The rate of decomposition will, therefore,
be expressed by Eq. 11.4. In the case of a suspension of the
drug, as decomposition proceeds in solution, some of the
suspended material will dissolve to maintain the
concentration of drug in solution constant. Eq. 11.4 must then
be modified:
(11.21)
where as is the initial drug concentration, and is equal to its

solubility in the solvent system.
591
Under these conditions the rate of decomposition is
independent of the drug concentration and hence will obey
zero-order kinetics. Kornblum and Zoglio (1967) have shown
this to be the case for the hydrolysis of aspirin suspensions in
combination with tablet lubricants.
Third-Order Reactions
If a reaction appears to obey third-order kinetics, this infers

that there is collision of three molecules having sufficient
energy to cause reaction. This is an unusual occurrence, and
the kinetic equations expressing the rates of reaction are
complex and will not be considered further.
Complexity of Kinetic Relationships

Occurring in Some Pharmaceutical
Products
Thus far, an outline has been given of the simple kinetic
relationships that may be obeyed in pharmaceutical systems.
However, it should be appreciated that certain drugs can
exhibit decomposition pathways of considerable kinetic
complexity. A brief reference was made earlier to the fact that
the overall decomposition reaction may consist of several
intermediate steps even incorporating reversible and/or
parallel processes. If one of the intermediate steps is slower
than the rest, the rate of decomposition will be dependent
upon the rate of this step.
As an example of the complexity of some of these processes,
the decomposition of the diuretic chlorothiazide will be
considered. The final product of decomposition is
592
4-amino-6-chloro-m-benzene disulphonamide. However, this
is produced by a series of parallel consecutive first-order
reactions as outlined in Fig. 11.4 (Yamana et al., 1968).
Fig. 11.4 Kinetic processes leading to the decomposition of

chlorothiazide (Yamana et al., 1968) k1, k1’, k3 and k3’ are the
the first-order reaction velocity constants for the forward
reactions k2, k’2 are the first-order reaction velocity constants
for the reverse reactions. (A) Chlorothiazide; (B)
N-(2-Amino-4-chloro-5-sulphamoyl phenyl sulphonyl)
formamide; (C) 5-Chloro-2,4-disulphamoyl formanilide; (D)
4-Amino-6-chloro-m-benzenedisulphonamide.
Influence of Temperature Upon the Rate of

Decomposition
As a general rule, the rate of decomposition increases as the

temperature is raised. It has long been recognized that the rate
of a chemical reaction increases by a factor of between two
and three-fold for every 10°C rise in temperature in the region
of room temperature. By way of example, experiment has
shown that the pseudo-first-order reaction velocity constant
for the hydrolysis of procaine hydrochloride in pH 9.7 buffer
593
at 40°C has a value of 0.11 h, while at 50°C the value rises to
0.25/h.
Arrhenius, in 1889, proposed an equation which related the
reaction velocity constant and temperature. The equation was
derived from a consideration of the variation of the
equilibrium constant of a reversible chemical reaction, K,
with temperature, and the relationship between K and the
reaction velocity constants of the forward and reverse
reactions.
The equation takes the form:
(11.22)
where k is the reaction velocity constant,

T is the absolute temperature,
R is the gas constant,
E is the energy of activation which molecules must possess
before they will interact.
Integration of Eq. 11.22 gives:
(11.23)
A more useful form of Eq. 11.23 is:
(11.24)
where A is a constant which is termed the frequency factor.
594
The logarithmic form of Eq. 11.24 can be written:
(11 25)
Thus the common logarithms of the reaction velocity

constants at the various temperatures, plotted against the
reciprocals of the absolute temperatures will yield a straight
line whose slope will be E/2.303R.
Factors Influencing, and Methods of

Reducing Chemical Degradation
When the nature of chemical decomposition of a drug has
been established, it is possible to develop formulations that
minimize the instability by determining those factors that
influence the rate of decomposition.
Hydrolysis
Adjustment of pH
It will be recalled that when hydrolysis is catalysed by

hydrogen and/or hydroxyl ions, the rate of decomposition is
critically dependent upon pH. Often this can be shown by
plotting the relationship between the logarithm of the reaction
velocity constant for decomposition, and pH. If the reaction
exhibits specific acid–base catalysis, a minimum in the curve
is observed. For example, Fig. 11.5 shows the general form of
the curve obtained for the hydrolysis of atropine sulphate.
595
Maximum stability of the drug therefore occurs at pH 3.8.
Similarly, a minimum is observed at pH 3.6 for procaine
hydrochloride, pH 4.9 for benzocaine, and pH 5 for
cinchocaine. It follows that a useful method for reducing
hydrolysis of a drug exhibiting specific acid–base catalysis is
to adjust the pH to the point corresponding to the minimum in
the relationship. In many instances, however, pH affects the
solubility and the therapeutic activity of the drug as well as its
stability. It is necessary to take all three factors into account
when attempting to limit decomposition.
Fig. 11.5 General relationship between log k and pH for the

hydrolytic decomposition of atropine sulphate.
For example, the ophthalmic drugs physostigmine, atropine

and pilocarpine are weakly basic in character and show
maximum stability in acid solution. Unfortunately, the basic
forms of these drugs exhibit the greatest therapeutic activity,
probably due to their enhanced lipid solubility in comparison
with their salts. Thus neutral solutions of the drugs are more
effective than acidic solutions when instilled in the eye.
Under alkaline conditions, the drugs precipitate from solution.
It is evident that the pH selected in formulating the solutions
has to be a compromise. For instance, the basic form of
pilocarpine is present to the extent of 99 per cent at pH 9.0,
596
whereas at pH 4.0 (the point of maximum stability) only 0.1
per cent of the drug exists as the base. One successful
formulation of pilocarpine eyedrops involves adjusting the pH
of the solution to 5.0 with boric acid. A stronger buffer
system is not used since, upon instillation into the eye, the pH
of the solution is able to rise to that of the tear secretions (pH
7.4) with consequent formation of the more active, basic form
of the drug. Prior to use, storage at pH 5.0 enables a
reasonable degree of stabilization to be achieved.
Choice of Solvent
Nonaqueous solvents, e.g. alcohol and propylene glycol, have

often been used to replace a portion, or all, of the water in a
solution in order to reduce hydrolysis of a drug. For example,
an elixir of pentobarbitone sodium contains considerable
quantities of glycerin and alcohol, while aspirin, which is
very unstable in aqueous solution, has been formulated in an
alcohol– propylene glycol solvent (Schwartz et al., 1958).
The assumption is widespread that replacement of water by a
nonaqueous solvent automatically enhances the stability of
the product. Although this is true in many instances, there are
cases where a nonaqueous solvent may increase the instability
of a product. For example, cyclamic acid in aqueous solution
hydrolyses at a very slow rate, whereas in alcoholic solution
the compound degrades at markedly faster rates (Talmage et
al., 1968). Only with a knowledge of the chemical kinetics of
the process, and the reactant species involved, is it possible to
make a valid prediction of the effect that a nonaqueous
solvent system will have. It has been shown that the effect
depends upon the solubility of the drug in relation to the
solubility of its decomposition products, upon the dielectric
597
constant of the solvent system, and upon the chemical nature
of the reactant species.
Firstly, let us consider relative solubilities of the drug and the
decomposition products in the solvent. In general a reaction
will proceed more rapidly if the products of the reaction have
a higher affinity for the solvent than the reactants. The
quantitative relationship between the reaction velocity
constant of the decomposition process and solubility is given
by the equation:
(11.26)
where k is the observed reaction velocity constant,

k0 is the reaction velocity constant for the reaction proceeding
in an infinitely dilute solution exhibiting ideal behaviour,
V is an approximation for the molar volumes of the reactants
A, B and the activated complex formed during the reaction
and prior to the formation of the product,
ΔδA, ΔδB and ΔδA* and are mathematical functions that
represent the difference in ‘polar’ characteristics of the
solvent
and reactant A, reactant B, and the products of the reaction
respectively,
R is the gas constant,
T is the absolute temperature.
It follows that if the products of decomposition have polar
characteristics similar to that of the solvent (i.e. Δδ* ≈ 0)
while the reactants have polar characteristics unlike the
solvent (i.e. ΔδA and ΔδB > 0), then the term V/2.303RT (ΔδA
+ ΔδB – Δδ*) will have a positive value and the observed
reaction velocity will be greater than that occurring in an ideal
598
solution. If, on the other hand, the reactants have similar polar
characteristics to the solvent (ΔδA and ΔδB ≈ 0), and the
products have polar characteristics unlike that of the solvent
(ΔδB ≈ 0), then the term v/2.303RT (ΔδA + ΔδB – Δδ*) will
be negative and the rate of decomposition will be lower in
this particular solvent. Generally speaking, highly polar
solvents, e.g. water, will accelerate decomposition reactions
which form products having greater polar characteristics than
the reactants. If the products are less polar than the reactants,
the rate of reaction will be slower than expected. When
dealing with solvents of low polarity, e.g. alcohol, the reverse
argument will apply.
The presence, or absence, of an electrical charge on the drug
molecule governs the way in which the dielectric constant of
the solvent influences the rate of hydrolytic decomposition. If
the process involves a charged drug molecule as well as
another ionic species in the system, i.e. H+ or OH–, the
equation which relates the reaction velocity constant to the
dielectric constant of the solvent is:
(11.27)
where k is the observed reaction velocity constant for the

decomposition in a solvent of dielectric constant D,
kD = ∞ is the reaction velocity constant for the decomposition
in a solvent of infinite dielectric constant,
N is Avagadro’s number,
ZA and ZB are the charges on the two ionic species,
e is the value of the charge on the electron,
r is the distance between the ionic species in the activated
complex.
599
It is evident that by plotting ln k against 1/D a straight line
relationship will be obtained. The slope of the line will be
negative if the charges ZA and ZB are of like sign. Thus, as
the dielectric constant of the solvent is decreased, the rate of
hydrolytic decomposition will decrease. In this instance,
replacement of a portion, or all, of the water (high dielectric
constant) with a solvent of lower dielectric constant e.g.
alcohol, will decrease the rate of hydrolysis. On the other
hand, if the charges ZA and ZB are of opposite sign, then the
slope of the line will be positive, and decreasing the dielectric
constant of the solvent will only serve to increase the rate of
decomposition.
If the drug is a dipolar molecule carrying no charge, then the
relationship between dielectric constant and the reaction
velocity constant is given by:
(11.28)
where ZA is the charge of the ionic hydrolytic species,

ra is the radius of the ionic species,
r* is the radius of the activated complex.
As before, upon plotting ln k against the reciprocal of the
dielectric constant, a straight line will be obtained. Since r*
must always be larger than ra, the slope of the line will have a
positive value whether the hydrolytic species has a negative
or positive charge. In this instance, decreasing the dielectric
constant of the solvent system will only increase the rate of
decomposition. Marcus and Tarazka (1959) investigated the
hydrogen ion-catalysed hydrolysis of chloramphenicol in the
presence of high concentrations of perchloric acid and
600
varying proportions of propylene glycol. They found that the
rate of hydrolysis of the drug was increased with increasing
concentrations of propylene glycol due to the fact that
decomposition involved the dipolar chloramphenicol and
hydrogen ions.
Production of an Insoluble Drug form
Hydrolysis only occurs with that portion of a drug which is in

aqueous solution. Therefore, if the majority of the drug is
present as a suspension with a minimal amount in solution,
there will be a reduction in the amount of hydrolysis. The
solubility of a drug may sometimes be reduced by adjustment
of the pH of the aqueous vehicle. This has been achieved with
β-cyclopentylpropionyl salicylic acid which hydrolyses in
suspension by only 1 per cent a year at pH values less than
3.5 (Garrett, 1957). In other instances, solubility may be
reduced by a careful selection of the drug vehicle or by
producing an insoluble salt of the drug. This latter technique
has been successfully used to produce the insoluble procaine
salt of benzylpenicillin. Only a small proportion of the salt
exists in solution as undissociated procaine penicillin and the
penicillin ion (Swintosky et al., 1956).
Presence of Surface-Active Agents
Surface-active agents are widely used in pharmacy as

solubilizing and emulsifying agents. Hence it is important to
determine the effect they may have upon drug hydrolysis,
especially when present in concentrations in excess of their
critical micelle concentrations. The presence of surface-active
agents can often result in a significant improvement in
601
stability, but this is by no means the general rule. Their effect
is dependent upon a variety of factors including the water
solubility of the drug, the type, chain length and concentration
of the surface-active agent, and the type of hydrolytic species,
i.e. H+ or OH– ions, present.
Riegelman (1960) investigated solubilized solutions of the
relatively water-insoluble drug benzocaine, which is subject
to base catalysed hydrolysis. He found that increasing the
concentration of the surface-active agent resulted in greater
partition of the drug in favour of the micellar pseudophase.
With ionic surface-active agents, the rate of hydrolysis
steadily decreased as the concentration of the surface-active
agent increased. The anionic agents afforded greater
protection than the cationic agents, presumably due to the fact
that the negatively charged anionic micelles produced a
definite barrier to the attack by OH– ions. The protective
effect of nonionic surface-active agents was not as great as
that obtained with the ionic agents. The drug was present in
the hydrated palisade layer of the nonionic micelles, where
attack by OH– ions could take place to a limited extent.
A more complex situation arises when we consider the effect
that surface-active agents have upon the hydrolytic
decomposition of highly water soluble drugs. Since these will
not be preferentially soluble in the semiprotective
environment of the micellar pseudophase, it might be thought
that surface-active agents would have little or no effect upon
the stability in aqueous solution. In fact, as Nogami et al.
(1960, 1962, 1963) have shown, using methantheline
bromide, this is only true to a limited extent. The hydrolysis
of this cationic, highly water-soluble compound is specific
acid–base catalysed. Cationic and nonionic surface-active
agents had little effect upon the base-catalysed hydrolysis of
the drug, whereas anionic agents produced a high degree of
602
stabilization. This latter phenomenon was attributed to the
formation of a water-insoluble complex between the drug and
a proportion of the surface-active agent. The complex was
preferentially soluble in the micellar pseudophase produced
by the remainder of the surface-active agent. The drug was
further protected from hydroxyl ion attack because of
repulsion of the ions by the negatively charged micelles.
When drug hydrolysis was catalysed by H+ ions, the drug
surface-active agent complex showed increased susceptibility
to attack, presumably due to the fact that H+ ions were
attracted to the micelles.
The general conclusions of Nogami and Awazu (1962) and
Riegelman (1960) can be seen to be complementary when we
consider the stability of solutions of a drug whose solubility
in water changes with pH. Nogami and Awazu (1962)
examined the stability of aspirin in solutions of nonionic,
cationic and anionic surface-active agents. Unionized aspirin
is only sparingly soluble in water, whereas the acetyl
salicylate ion is very water soluble. With change in pH, the
composition and hence total water solubility of the drug will
change. As mentioned previously, the hydrolysis of aspirin is
catalysed by both H+ and OH– ions, and six contributory
reactions are known to occur over a range of pH. Fig. 11.6
shows the general shape of log k–pH profile for the
pseudo-first-order hydrolysis of the drug in the presence and
absence of a 5 per cent w/v concentration of the cationic
surface-active agent cetylethyldimethylammonium bromide.
603
Fig. 11.6 General relationship between pseudo-first-order rate
constant and pH for aspirin in the presence (broken line) and
absence (solid line) of 5 per cent w/v
cetylethyldimethyl-ammonium bromide.
In the pH range 1–5, Nogami found that the nonionic, cationic

and anionic surface-active agents all reduced the rate of
hydrolysis. This can be ascribed to the fact that the drug was
present almost entirely in the form of the undissociated
species, and therefore was preferentially soluble in the
semiprotective micellar pseudophase. Both hydrogen and
hydroxyl ion-catalysed attack was inhibited. From pH 5 to
7.5, however, the drug was increasingly in the ionized form,
and anionic and nonionic surface-active agents had little
effect on its stability. The cationic agents reduced the rate of
hydrolysis because of the formation of a water-insoluble
complex with the ionized drug which was preferentially
soluble in the micellar pseudophase. Close to pH 1, the drug
was undissociated and hydrolysis was due to hydrogen
ion-catalysed attack. The rate of decomposition was reduced
when using cationic and nonionic surface-active agents, but
was promoted when an anionic agent was utilized. The drug
604
present in the negatively charged micelles was subjected to
increased attack by H+ ions attracted to the micelles.
The rate of hydrolysis of emulsified systems of a
water-insoluble compound has been found to be affected by
the ability of the surface-active agent to solubilize the
material. Since the bulk of the drug is present in oil globules
and is inaccessible to hydrolytic attack, the rate of
decomposition is normally slow. However, an investigation of
the stability of ethyl benzoate emulsions, using the cationic
surface-active agent cetrimide, has shown that increasing the
concentration of cetrimide increased the rate of
decomposition to a maximum (Mitchell, 1962). At this point
the quantity of surface-active agent present was sufficient to
solubilize all the compound. The observed increase in rate of
hydrolysis was due to the increasing proportion of drug in
solution (partitioned between the true aqueous phase and the
micellar pseudophase) relative to that in the emulsion
droplets. As one might expect, upon increasing the
surface-active agent concentration beyond the point where
complete solubilization was achieved, there was a decrease in
the rate of decomposition as more of the material was
partitioned in favour of the semiprotective micellar
pseudophase.
Presence of a Complexing Agent
The concept of protecting a drug from hydrolysis by the

addition of a chemical stabilizer was introduced by Higuchi
and Lachman in 1955. They postulated that adding a
compound which would form a water-soluble complex with
the drug might in some measure decrease the rate of
decomposition. To this end they determined the effect that
605
caffeine has upon base-catalysed hydrolysis of the local
anaesthetics benzocaine, procaine and amethocaine. In all
cases caffeine was found to decrease the rate of
decomposition. As the concentration of caffeine was
increased, the degree of stabilization also increased. Higuchi
and his coworkers showed that, as more caffeine was added, a
greater proportion of the drug existed in the complexed form
and was protected from attack by OH– ions. For example,
with benzocaine the complex was found to be of
stoichiometric ratio 1 : 1, viz:
The observed first-order reaction velocity constant for the

system could be represented by the equation:
(11.29)
where k is the observed reaction velocity constant for the

decomposition of benzocaine in the presence of caffeine, kf is
the reaction velocity constant for the decomposition of free
benzocaine,
kc is the reaction velocity constant for the decomposition of
benzocaine in the caffeine–benzocaine complex,
Ff is the fraction of free benzocaine in solution,
Fc is the fraction of benzocaine in the caffeine– benzocaine
complex.
By calculation, it was determined that the rate of
decomposition of the local anaesthetic in the complex was
insignificantly small (approximately one hundredth of the rate
606
of the free benzocaine), and that for all practical purposes the
complexed form does not contribute to the decomposition.
Thus:
(11.30)
The molecular structure and forces involved in the formation

of the complex are unknown, and it is surprising that this type
of mild molecular action can result in such efficient
stabilization. The effect may be due to steric factors, since the
relatively large size of the complexing molecule could
prevent the approach of OH– ions to the drug. Alternatively,
the presence of the complexing agent may alter the electrical
charge distribution over the drug molecule and reduce the
tendency for OH– ions to interact with it. Whatever the exact
mechanism of the phenomenon, it has been shown that
caffeine will also protect the more complex drug riboflavin in
a similar manner. Polyvinylpyrrolidone, desoxycholic acid
and 1-ethyltheobromine all have a similar, but less marked,
stabilizing effect upon local anaesthetics.
The technique of reducing hydrolysis by addition of a
complexing agent has been of practical value in the
stabilization of procaine in an injection containing 3.42 per
cent w/v of an equimolecular compound of procaine and
caffeine in a sodium chloride vehicle.
607
Oxidation
Presence of Antioxidants
The decomposition of many readily oxidizable materials, e.g.

fats, may be reduced by adding a small quantity of a
substance that will retard the autoxidation process. Such
substances are known as antioxidants, and the ideal
antioxidant has the following properties:
1. Effective in low concentrations.
2. Adequately soluble in the oxidizable products.
3. Nontoxic and nonirritant at the effective concentration,
even after prolonged storage.
4. Odourless, tasteless and should not impart colour to the
product.
5. Decomposition products should be nontoxic and
nonirritant.
6. Stable and effective over a wide range of pH.
7. Neutral, and should not react chemically with other
constituents present.
8. Of low volatility to ensure that loss does not occur during
storage.
The term ‘antioxidant’ embraces several classes of chemically
unrelated compounds which may possess different modes of
action. However, it is possible to make a broad distinction
between compounds acting as primary antioxidants and those
acting as synergists.
Primary antioxidants (antioxygens) act by interfering with the
propagation step of the autoxidation process. To maintain the
propagation chain process, an R or ROO free radical is
required. The antioxidant molecule (AH) has the ability to
react with such radicals, and this results in the formation of
608
free radical A which is not sufficiently reactive to sustain the
chain process:
Antioxidant Fee radical
Subsequently, the antioxidant radical is annihilated by

combination with another antioxidant radical or some other
free radical:
It follows that for effective stabilization against autoxidation,

the A–H chemical bond of the antioxidant should be weaker
than the R–H bond of the autoxidizable substance. However,
if the bond is too weak, then the antioxidant will be destroyed
rapidly by reaction with atmospheric oxygen:
It is evident that a primary antioxidant is used up by taking

part in the chain process instead of the drug. It only retards
609
the onset of autoxidation of the drug, which proceeds
normally when all of the antioxidant has been destroyed. The
antioxidant will be rapidly used up if it is added to a product
which has already undergone partial oxidation, since there
will be many free radicals present. It is therefore important
that the antioxidant be added at the earliest possible stage in
the preparation of the product. The overall antioxidant effect
is to increase the length of the induction period of the
autoxidation process. The ‘protection factor’, defined as the
ratio of the length of the induction period in the presence of
the antioxidant to that in the absence of any antioxidant, is a
measure of the relative efficiency of primary antioxidants in
protecting a product. The concentration level at which the
antioxidant is incorporated in the product can often be critical.
Within a certain range, efficiency increases with
concentration until an optimum concentration is reached. In
the presence of an excess concentration of antioxidant, there
may be a pro -oxidant effect due to the reaction of
hydroperoxides with the antioxidant molecules to form free
radicals:
The classes of primary antioxidants more commonly used to

retard autoxidation in pharmaceutical products are outlined
below.
Tocopherols: Tocopherols are naturally occurring substances
often present in vegetable oils. They are considered to be the
major class of natural antioxidants, and are present in
optimum concentrations, i.e. in the range 0.01–0.1 per cent.
Addition of an antioxidant to a vegetable oil already
610
containing tocopherols may accelerate the decomposition.
The processes used for refining vegetable oils tend to remove
these antioxidants, and subsequent readdition does not usually
produce the same level of stabilization. Concentrates of the
tocopherols have been added to liquid paraffin to prevent
flavours caused by oxidation of the small amounts of
aromatic compounds present.
Gallic acid and the gallates: Gallic acid is soluble in water

and nearly insoluble in fats. Esterification of the carboxylic
acid group with fatty alcohols produces esters which become
progressively less soluble in water and more soluble in fats as
the molecular weight of the alcohol increases. The gallates are
widely used in the preservation of oils, fats, cosmetics and
perfumes. The most commonly used esters are propyl, octyl
and dodecyl gallates:
Rancidity in most oils is prevented by the addition of up to

0.1 per cent of propyl gallate (or higher alkyl gallate). The
amount required depends upon the degree of unsaturation of
the oil. The addition of 0.002–0.01 per cent to ether retards
611
the formation of peroxides, and 0.01 per cent reduces the
decomposition of paraldehyde. For essential oils and
emulsions, concentrations of 0.2–0.5 per cent of propyl
gallate may be employed.
The alkyl gallates are effective antioxidants, but discolour in
the presence of iron and its salts. The octyl and dodecyl esters
are heat-resistant and nonvolatile with steam.
Butylated hydroxyanisole: Butylated hydroxyanisole (BHA)
is the monomethyl ether of hydroquinone containing a tertiary
butyl side chain to increase its fat solubility. Chemically, it is
a mixture of two isomers. It is most effective in stabilizing
animal fats, and its antioxidant activity increases with
concentration up to about 0.01 per cent while remaining
approximately the same at higher levels.
Butylated hydroxytoluene: The antioxidant properties of

butylated hydroxytoluene (BHT) are similar to those of BHA.
In pure fats it is less effective than propyl gallate but better
than BHA. BHT does not have an optimum concentration; the
stability of products to which it is added continues to increase
with concentration, although the rate of increase is less at
higher levels. The mode of action of primary antioxidants can
be clearly seen using BHT as the example:
612
Nordihydroguaiaretic acid: Nordihydroguaiaretic acid
(NDGA) is extracted from a desert plant, and is effective in
preventing oxidation in animal fats and fat emulsions. It is
much less effective in vegetable oils than animal fats. It has a
slightly bitter taste even in low concentrations.
The synergist class of antioxidants have little inherent

antioxidant activity. However, when used in conjunction with
a primary antioxidant, they have the ability greatly to enhance
antioxidant efficiency. Organic and inorganic compounds,
containing several hydroxyl and/or carboxylic acid groupings,
have been used as synergists, e.g. adipic, tartaric, phosphoric
and sulphuric acids, phospholipids, and ascorbic acid. Since
they are acidic in character they are sometimes referred to as
‘acid-type’ antioxidants. Synergists are commonly employed
with phenolic antioxidants for the preservation of fats and
oils: Table 11.2 shows some of the primary
antioxidant–synergist combinations in common use.
613
Table 11.2 Some commonly used primary
antioxidant–synergist combinations
Primary antioxidant Synergists

Propyl gallate + Citric and phosphoric acids
NDGA and BHA + Ascorbic, phosphoric and citric
acids
BHA with BHT and + Citric and phosphoric acids,
NDGA lecithins
The mode of action of synergists is not fully understood, but
there are two plausible explanations. Firstly, it is thought that
the synergist may provide a supply of hydrogen for
regeneration of the inactivated antioxidant radical.
Alternatively, it may be that the synergist forms chelates or
complexes with the trace quantities of heavy metals that act as
pro-oxidants of autoxidation.
Metal complexing agents such as ethylenediaminetetra-acetic
acid (EDTA) and N,N-di(2-hydroxyethyl) glycine also have a
protective effect by removing heavy metal contaminants.
EDTA in combination with an antioxidant has been used to
retard the coloration of adrenaline solutions.
Presence of Reducing Agents
In some instances, oxidation of pharmaceutical products may

be retarded by the addition of a reducing agent. In contrast to
antioxidants, reducing agents are effective against oxidizing
agents as well as atmospheric oxygen, and act by being
oxidized in preference to the drug they are protecting. The
reducing agents most commonly used in pharmacy are the
614
potassium and sodium metabisulphites, bisulphites and
sulphites (Schroeter, 1961). Sodium metabisulphite is used in
aqueous solutions of phenolic drugs such as adrenaline,
sodium salicylate, morphine and apomorphine. It is often
employed at a concentration of 0.1 per cent, but
concentrations in the range 0.01–1 per cent have been used.
The minimum concentration that gives the desired protective
effect should be chosen. Metabisulphites are normally
employed in acid solutions, the bisulphites at intermediate pH
levels, and the sulphites are the reducing agents of choice
where the solution is unbuffered or alkaline in nature.
Although widely used, sodium metabisulphite has several
disadvantages. It decomposes in air, especially on heating,
and an appreciable amount may be lost before it is able to
exert its effect when autoclaving an aqueous product. Its
reaction with oxygen and oxidizing agents results in a fall in
the pH of the preparation. Solutions of sodium metabisulphite
may also react with the rubber closures of multidose
containers, and this will cause depletion of the reducing agent
in solution. Under certain conditions, sodium-metabisulphite
may react with adrenaline and other derivatives of ortho- and
para-hydroxybenzyl alcohol, with dyes and flavouring agents.
The action of sodium bisulphite is inhibited by mannitol,
hydroquine and many phenols. Drugs containing aldehyde
and ketone groupings react with bisulphite to give
hydroxysulphonic acids. However, bisulphites have been
shown to be effective in stabilizing dextrose, streptomycin
and dihydrostreptomycin, sulphadiazine, sodium
aminosalicylate, morphine and neomycin solutions.
615
Adjustment of pH
Many of those oxidative decompositions involving a

reversible oxidation–reduction process are influenced by the
hydrogen ion concentration of the system. For example, this
has been shown to be true of the decomposition of aqueous
solutions of ephedrine salts, ascorbic acid and riboflavin. It
follows that the oxidation–reduction potential, E, and
therefore the stability of these preparations will be affected by
the pH of the system. In many instances, decreasing the pH
(increasing the hydrogen ion concentration) results in an
increase in the value of E, and hence an increased resistance
to oxidation. This technique has been used for stabilizing
adrenaline solutions whose pH– relationship is shown in
Fig. 11.7 ( is the standard oxidation– reduction potential at
a given pH value). By adjusting the pH of the solution to 4.0,
adrenaline has been found to be twice as stable as at pH 6.0.
Fig. 11.7 Relationship between oxidation–reduction potential

and pH for adrenaline solution.
616
Removal of Oxygen
By limiting contact of the drug with the atmosphere, those

oxidative decompositions dependent upon atmospheric
oxygen may often be minimized. In some instances, it is only
necessary to store the drug in well-filled, air-tight, containers,
e.g. codeine phosphate. More stringent precautions are
required for neoarsphenamine, sulpharsphenamine and
calciferol which have to be packed in sealed containers under
vacuum. With single-dose injections it is often possible to
reduce oxidation
by displacing the air with an inert gas. Nitrogen is frequently
used for this purpose, e.g. injections of ergometrine maleate,
chlorpheniramine maleate and chlorpromazine hydrochloride.
Carbon dioxide may also be employed, e.g. injection of
apomorphine hydrochloride. Since the gas is approximately
one and a half times as heavy as air, it has the advantage that
it does not escape as easily from the container as nitrogen.
Unfortunately, carbon dioxide is appreciably soluble in water,
and this often results in a lowering of the pH of the solution.
Presence of Surface-Active Agents
Oxidizable materials, such as oil-soluble vitamins, essential

oils and unsaturated oils, have been formulated as solubilized
and emulsified products. It is necessary to determine the
effects that surfaceactive agents may have upon the stability
of such systems. In general, the rate of autoxidation of a drug
in solubilized and emulsified systems is dictated by the
concentration of drug in the oil and/or micellar pseudophase.
As was pointed out when discussing hydrolysis of drugs in
the presence of surface-active agents, the exact effect will
617
depend upon the water solubility of the drug, the type and
concentration of the surface-active agent, and the nature of
the phase in which the drug is preferentially soluble. For
example, the water-insoluble oil methyl linoleate exhibits a
low rate of oxidation when dispersed in water, since very
little of the material is soluble in the continuous phase. When
potassium laurate is added to the system, emulsions are
formed. Upon increasing the concentration of the
surface-active agent, more of the oil becomes solubilized until
ultimately only a homogeneous solution is present.
Carless and Nixon (1960) showed that the rate of oxidation in
the emulsified systems was greater than that occurring in
dispersions of the oil. As the concentration of the
surface-active agent was increased, the rate of oxidation
increased until the point was reached where the compound
was completely solubilized. Beyond this point, addition of
more surface-active agent resulted in a decrease in the rate of
decomposition. From these results it appeared that the higher
rate of oxidation in emulsified systems was due to the
presence of solubilized methyl linoleate. Initiation of the
autoxidation process was thought to occur in the micellar
pseudophase, and the free radicals were subsequently
transferred to the oil droplets where the propagation rate was
higher because of the presence of large numbers of oil
molecules. The reduced rate of oxidation in completely
solubilized systems was attributed to the fact that there were
relatively few oil molecules per micelle. Increasing the
surface-active agent concentration further only served to
increase the proportion of micellar pseudophase and lower the
number of methyl linoleate molecules per micelle. Thus there
was a greater and increasing probability of termination of the
autoxidation process in the micelles. With solubilized systems
of linoleic acid, it has been found that maximum stability was
618
achieved when the highest possible concentration of
surface-active agent was present (Swarbrick & Rhodes,
1965).
Investigation of the autoxidation of the more water-soluble
compound benzaldehyde in the presence of potassium laurate
or cetomacrogol showed that the initial high rate of oxidation
in aqueous dispersion gradually fell with increasing
concentration of surface-active agent. This paralleled the
gradual transformation from the emulsified to the solubilized
state of the material (Carless & Nixon, 1957).
The oxidation of benzaldehyde in betaine–water systems was
studied by Swarbrick and Carless (1964a, b), who examined
decomposition in the isotropic aqueous (L1) phase, the
isotropic ‘oily’ (L2) phase, the anisotropic liquid crystalline
(Lc) phase, and also the multiphase systems L1 + L2
(conventional emulsion system), Lc + L1, Lc + L2, and L1 + L2
+ Lc. In the separate phases, the rate of oxidation was found
to be in the order L2 > L1 > Lc, and this phenomenon was
thought to be due to increasing difficulty with which the
propagation could take place in the increasingly structured
systems. With multiphase systems, the oxidation rate varied
with the proportion and number of phases present. Thus
before making a valid prediction of the influence that a
surface-active agent may have upon the stability of such a
system, it is necessary to take account of these factors.
Photochemical Degradation
The photochemical degradation of a sensitive material can be

reduced by protecting it from light. This may be achieved by
storing the product in a clear glass container, and then either
placing it in the dark or enclosing it in an opaque wrapper.
619
Alternatively, light-resistant containers may be used. Since
degradation is chiefly due to the absorption of light of shorter
wavelength, the British Pharmaceutical Codex defines a
light-resistant container as one that does not transmit more
than 15 per cent of incident radiation between 290 and
450nm. The amount of light transmitted through a glass
container depends upon the composition and thickness of the
glass. The light transmission characteristics of several types
of glass container have been reported by Dimbleby (1953),
and Fig. 11.8 shows some of the results plotted in terms of
percentage transmission per millimetre thickness against
wavelength. It can be seen that the yellow–green and amber
glasses are satisfactory since they transmit very little light
below 400nm. Medium green containers are less effective,
while colourless and blue glass transmit high percentages of
the ultraviolet wavelengths. The inspection of
solutions for any sign of precipitation or discoloration is
difficult in coloured containers, and for this reason many
parenteral solutions are packed in clear glass containers and
placed in a light-proof enclosure.
620
Fig. 11.8 Light transmission characteristics of coloured glass
(Dimbleby, 1953).
Physical Degradation of
Pharmaceutical Products
Loss of Volatile Constituents
A wide range of materials, e.g. iodine, camphor, menthol,

alcohol and anaesthetic ether, are volatile at ambient
temperatures and may be lost from pharmaceutical
preparations. Even tablets containing nitroglycerin may lose
potency because of volatilization of the drug (Banes, 1968).
In all cases, deterioration may be prevented by placing such
products in well-closed containers. Since the rate of
volatilization increases with temperature, volatile substances
should also be stored in a cool place.
Loss of Water
Evaporation of water from liquid and semisolid oil-in-water

emulsions may cause cracking of these systems. Loss of water
from aqueous solutions will give rise to concentration, and
possibly crystallization, of the solute. In addition, some salts,
e.g. borax, caffeine, sodium sulphate, quinidine sulphate and
sodium carbonate, are efflorescent. The tendency for these
materials to lose water will depend upon the humidity and
temperature of the environment. The result will be a decrease
in weight with a corresponding increase in potency of the
materials. Water loss may be prevented by storing the
products in well-closed containers.
621
Absorption of Water
Absorption of moisture from the atmosphere is a common

cause of deterioration of a variety of products. For example,
glycerin suppositories will absorb moisture and become
opaque, while gelatin capsules will soften. Some salts, e.g.
calcium chloride, potassium citrate, potassium hydroxide and
potassium carbonate, are deliquescent. Their tendency to
deliquesce will depend upon the humidity and temperature of
the atmosphere. Other materials, such as glycerin, dehydrated
alcohol, sulphuric acid and most dry extracts are hygroscopic.
Effervescent tablets and granules will react prematurely in a
moist atmosphere. Storage of all such materials in well-closed
containers will prevent this form of deterioration.
Crystal Growth
The deposition of crystals from aqueous solution occurs when

the vehicle becomes supersaturated with respect to the solute.
This usually results from a fall in temperature with a
consequent decrease in solubility of the solute. A classic
example of the phenomenon is often seen with injection of
calcium gluconate. Concentrated solutions, containing 10 per
cent w/v calcium gluconate, are commonly used. At 20°C
such solutions are supersaturated and relatively stable
provided they are free of suspended particles of solid matter.
In order to reduce the risk of crystallization, the British
Pharmacopoeia allows not more than 5 per cent of the
gluconate to be replaced by other harmless calcium salts.
Calcium saccharate is usually employed as a stabilizer,
although calcium lactobionate has also been used.
622
In suspensions of finely divided solids, growth of the crystals
is also undesirable. There is a tendency for the crystals to bind
together to form a hard cake which is difficult to redisperse.
Large particles produce a gritty texture which is unacceptable
in topical and ophthalmic preparations. When present in
suspensions for injection, there is a danger that large crystals
may block the hypodermic needle. Higuchi (1958) has
discussed the causes of crystal growth in suspensions, and
these may be summarized as follows:
1. Temperature fluctuation; a rise causing increased solubility
and a fall causing supersaturation and crystallization.
2. The presence of a metastable form of the crystals which has
a greater solubility than the stable form. The solution will be
supersaturated with respect to the stable form.
3. Small crystals have a greater solubility than large crystals
so that the solution is supersaturated with respect to the latter.
4. Change of crystal structure due to the presence of
dispersing solvent.
Prevention, or reduction, of crystal growth may be achieved
by avoiding the use of the metastable form of a drug, and by
storing in an environment which exhibits the minimum of
temperature fluctuation. A narrow size range of crystals
should be used, and incorporation of a surface-active agent,
which is adsorbed on to the crystal surfaces, also inhibits the
rate of deposition of solute molecules. Diffusion of solute
molecules to the crystal surfaces may also be hindered by
increasing the viscosity of the suspending medium. A stable
aqueous suspension of cortisone acetate powder for use as eye
drops has been produced by grinding the material with
aluminium hydroxide and including methyl cellulose in the
suspending medium (Flitcroft & Birchall, 1957).
In order to minimize the effect of temperature fluctuations,
suspensions should ideally be confined to insoluble solids, or,
623
at least, to solids whose solubility does not increase greatly
with rise in temperature.
Polymorphic Changes
As has been discussed in Chapter 3, many substances are

known to exist in two or more polymorphic forms. Upon
storage in the dry state or in suspension there is the possibility
of interconversion of these forms. Since such changes may
cause alteration in solubility and possibly crystal growth in
aqueous suspension, it is essential that the formulated product
should contain a stable crystalline form of the drug.
Colour Changes
A change in colour of a pharmaceutical product is usually just

a visual indication that some form of chemical or
photochemical decomposition is occurring. It is thus
necessary to investigate and remove the cause of chemical
instability. Medicines are often coloured for aesthetic reasons,
and colour fading is a fairly common source of instability.
Certain water-soluble dyes. e.g. indigo carmine, tend to fade
rapidly in the presence of reducing substances such as lactose
and dextrose (Kornblum et al., 1958). The process is also
affected by the pH of the solution. Scott et al. (1960) showed
that nonionic surface-active agents, e.g. Tween 20 and Myrj
52, also accelerated the fading of indigo carmine, tartrazine
and orange G in aqueous solution. They attributed this
phenomenon either to an interaction of the dyes with the
polyoxyethylene groupings of the surface-active agents, or to
the presence of impurities in these materials. Dyes also tend
to fade when present in tablets exposed to light. An attempt
624
has been made to reduce the amount of fading by
incorporating an ultraviolet light-absorbing compound in the
tablet formulation.
Lachman et al. (1962) found that tablets coloured with
brilliant blue or tartrazine were more stable when the
compound 2,4-dihydroxybenzophenone was present. The
problem of colour development in pharmaceutical products is
also often encountered. For example, solutions containing
physostigmine or adrenaline become red on exposure to air,
while apomorphine hydrochloride solutions turn green. Solid
dosage forms can also show colour development, e.g. aspirin
tablets may become pink, ascorbic acid tablets will gradually
age from white to a yellowish brown colour. The colour
stability of ascorbic acid tablets is particularly affected by the
presence of lubricants such as magnesium or calcium stearate
(Wortz, 1967).
Stability Testing
In the past, before a product is marketed, it has been the
practice to assess its stability by placing it on storage test. The
test, which involves examining for quality and potency at
suitable time intervals, is conducted for a period
corresponding to the normal time that the product is likely to
remain in stock or in use. Since this period can be as long as
two years, a storage test of this nature is time consuming and
expensive. It has, therefore, become essential to devise a
technique for use during the product development stages that
will enable rapid prediction of the long-term stability of a
product. It is then possible to identify the most stable and
suitable formulation without resorting to the lengthy,
conventional, storage testing process. A prediction of the life
625
of the product may be made by accelerating the
decomposition process and extrapolating the results to normal
storage conditions. Nevertheless, accelerated storage tests
cannot be expected to replace the conventional stability
testing programme for the product finally marketed, although
they do minimize the effort and expense of testing new
formulations.
Accelerated Tests for Chemical Stability
When determining the chemical stability of a pharmaceutical

product, it is essential that the assay employed should be
sufficiently specific to distinguish between the drug and its
decomposition products. This is particularly important where
the degradation process involves isomerization. Identification
of the product (or products) of decomposition is a more
sensitive approach than assaying for the undecomposed drug.
However, this can be time-consuming when there are several
pathways of decomposition. If data are available on the
relative toxicity of the decomposition products, analysis can
be restricted to assays for the most toxic product, and for the
undecomposed drug.
Acceleration of chemical decomposition is achieved by
raising the temperature of the preparations. Application of the
principles of chemical kinetics to the results of accelerated
storage tests carried out at three or more elevated
temperatures enables prediction to be made of the effective
life of the preparation at normal temperatures. The order of
reaction for the decomposition process is determined by
plotting the appropriate function of concentration against time
and obtaining a linear relationship. As has been discussed in
the section dealing with chemical kinetics, the reaction
626
velocity constant, k, for the decomposition at each of the
elevated temperatures can be calculated from the slope of the
line. The Arrhenius relationship (Eq. 11.24) is then employed
to determine the reaction velocity constant for the
decomposition at room temperature. This is obtained from the
linear plot of the logarithms of the determined reaction
velocity constants against the reciprocals of absolute
temperatures, which is extrapolated to room temperature
(25°C). The value of k at 25°C may then be substituted in the
appropriate rate equation, and an estimate obtained of the
time during which the product will maintain the required
quality or potency (shelf-life). By way of example, the
hydrolysis of allopurinol has been found to obey pseudo
first-order kinetics in alkaline solution (Gressel & Galleli,
1968). At pH 10.8, from the slopes of the first-order plots
(Fig. 11.9), the reaction velocity constants were calculated to
be 1.22×10–2, 1.09 × 10–3 and 1.38 × 10–4/h at 76, 52 and
37°C, respectively. The Arrhenius plot of these results is
shown in Fig. 11.10 and the extrapolated value of k at 25°C is
estimated to be 2.92 × 10–5/h. The potency or quality level
below which a product is no longer acceptable will vary from
product to product depending upon the form of
decomposition. For example, the level is often taken to be 90
per cent of the initial potency of the product. Alternatively, it
could be the level at which a toxic breakdown product can no
longer be tolerated, or at which a certain degree of odour or
colour change is evident. Assuming that the allopurinol
preparation is acceptable until the drug content is 90 per cent
of the initial concentration, substitution in the first-order rate
equation shows that the shelf-life will be 150 days.
627
Fig. 11.9 First-order kinetic plot for the decomposition of
allopurinols at pH 10.8 (Gressel & Galleli, 1968).
Fig. 11.10 Arrhenius plot for allopurinol decomposition at pH

10.8.
628
The results of an accelerated test are obtained using
comparatively short periods of storage which are known with
accuracy. When the bulk or low heat conductivity of the
product prevents rapid temperature equilibration with the test
environment, the
exact times of storage at elevated temperature may be subject
to considerable error. There may be a considerable time lag
before the product sample reaches the equilibrium storage
temperature and also before it returns to room temperature
upon removal from the test environment. These two sources
of error do not necessarily cancel each other out. It has been
shown (Eriksen et al., 1958) that the magnitude of the errors
introduced by ignoring heating and cooling times is related to
the heating and cooling rate coefficients of the product, the
storage time, the difference between room and storage
temperature, and the energy of activation of the
decomposition process. With the exception of accelerated
stability tests of tablets, powders and other solid dosage
forms, the problem is not normally of great significance.
Nevertheless, where it is essential to determine accurately the
amount of decomposition, rather than obtain an estimate of
the change of concentration with time, it is possible to correct
for the errors by employing the concept of equilibrium
temperature-time equivalents. These are the storage periods
corrected for the heating and cooling times encountered in the
accelerated storage test. Eriksen et al. (1958) have been able
to calculate equilibrium temperature-time equivalents from a
knowledge of the order and energy of activation of the
chemical decomposition, and the heating and cooling rate
coefficients of the product.
Apart from the normal accelerated storage test procedure
described, techniques have been devised that enable both the
energy of activation and the decomposition reaction velocity
629
constant at room temperature to be determined from a single
experiment (Rogers, 1963; Eriksen & Stelmach, 1965). Such
methods involve raising the temperature of a product under
test in accordance with a predetermined temperature-time
programme. Samples are withdrawn and assayed at suitable
time intervals in the usual manner. The programme devised
by Rogers (1963) is so arranged that the reciprocal of
temperature varies logarithmically with time, i.e.
(11 31)
where T0 is the initial temperature (°A) of the programme.

Tt is the temperature (°A) of the programme at any time t,
b is the programme constant which enables the length of the
experiment and the temperature range to be chosen at will.
Using Eq. 11.31 in conjunction with the Arrhenius
relationship (Eq. 11.23) and the rate equation for the relevant
order of reaction of the decomposition process, the following
general equation is obtained:
(11.32)
where the function f corresponds to (c0 – ct) for a zero-order,

(2.303 log(c0 – ct) for a first-order, and [(1/ct) – (1/c0)] for a
second-order process.
630
c0 and ct are the concentrations initially and at time t,
respectively,
k0 is the reaction velocity constant at the initial temperature of
the programme,
kt is the reaction velocity constant at time t,
E is the energy of activation of the process,
R is the gas constant.
Although the term log[1 – (k0/kt)1+R/Eb] varies with time, it
rapidly tends to zero as kt becomes substantially greater than
k0, i.e. at approximately 10°C above the initial programme
temperature. Thus, after this period, a plot of log f against
log(1 + t) will be a straight line. The slope of the line is (1 +
Eb/R), while the intercept value at log(1 + t) = 0 is log I0 –
log(1 + Eb/R). Measurement of these two values enables k0 to
be calculated. With a knowledge of k0 and E, substitution into
the Arrhenius equation will produce a value for the reaction
velocity constant at room temperature.
The programmed temperature rise technique has the
advantage that only a single experiment is performed to
obtain all the necessary information for the prediction of
shelf-life. The fact that a straight line graph is produced
provides a check that the correct order of reaction has been
assigned to the decomposition process. The temperature-time
programme may be chosen according to experimental
convenience and selected to fit into the working day.
However since the predicted shelf-life is calculated using the
slope and intercept values from the graph, it may be subject to
considerable error unless care is taken in the measurement of
these quantities. Where the decomposition process exhibits a
substantial reverse reaction, it may not be possible to produce
a linear equation as easily as has been indicated with the
simple rate equations (Carstensen et al., 1968).
631
Limitations of Accelerated Storage Tests for Chemical
Stability
The predicted shelf-life of a preparation will only be valid if

the accelerated test is carried out on the final packaged
product. This is an essential prerequisite because the pathway
or rate of decomposition may depend in some measure upon
the container used for storage, e.g. the use of an air-tight
container will reduce the rate of oxidation in a drug.
It is not possible to extend the prediction to all climatic
conditions, especially those encountered in tropical regions
where there are large diurnal variations in temperature. Such
conditions have been simulated using temperature cycling
ovens which repeatedly cycle the product through a
temperature range, e.g. –10 to 37°C. Interpretation of the data
in terms of normal storage conditions is very complex.
The accelerated testing technique can only be applied to those
forms of decomposition which increase with rise in
temperature. Before valid conclusions can be drawn from
such tests, it is necessary to determine that the elevated
temperatures do not alter the order of chemical reaction from
that occurring at room temperature. For example, it is
possible for the zero-order decomsposition of a drug in
suspension to become first order at higher temperatures
because of complete solution of the drug in the vehicle. When
the decomposition process is complex, involving a series of
simultaneous and/or consecutive reactions each having a
characteristic energy of activation, storage of the product at
elevated temperatures may produce a change in the relative
contributions of the component reactions. This could result in
an inaccurate prediction of shelf-life. For example, the fact
that determination of peroxide value gives a misleading
632
estimate of the rancidity of an oil stored at high temperature
has already been referred to. It is also possible that elevated
temperature may induce a decomposition process that is not
normally significant at ambient temperatures. This is true of
autocatalytic reactions which are accelerated by the products
of decomposition.
The shelf-life prediction only applies to the product
formulation investigated. One cannot expect the prediction to
be valid for different formulations of the same drug.
Although accelerated chemical stability tests are not
infallible, if the above limitations are taken into consideration,
the prediction of shelf-life may be accepted with confidence.
Such tests have a secondary function in that they may be used
as a quality control method for the manufactured product. In
this way it is possible to ensure that no change has occurred
during the manufacturing process that alters the previously
obtained stability pattern of the product.
Accelerated Tests for Photochemical Stability
Accelerated tests for photochemical stability induce rapid

decomposition by means of an intense artificial light source
simulating the effects of sunlight and room illumination.
Extrapolation of the results obtained to predict the effect of
normal storage conditions is often very difficult. Although
there is a relationship between reaction rate and intensity of
illumination, it is a unique function of the product under test
and is not of general application. Thus it is necessary to
determine the correlation between normal and accelerated
storage conditions for every individual product. The artificial
light source used should have a radiant energy distribution
similar to that of the sun. It has been found (Lachman et al.,
633
1960) that daylight fluorescent tubes have the most suitable
spectrum. Fig. 11.11 shows the spectral energy distributions
for natural sunlight plus daylight and a daylight fluorescent
lamp. Correction has been made for the difference in intensity
of the two sources. Fluorescent lamps are cool sources of
illumination and do not promote thermal reactions in the
product under test. Lachman and Cooper (1959) calculated
that a bank of eighteen 60-W fluorescent tubes placed at a
distance of 1m from the product sample give a light intensity
of about 12000 lm/m2. This is of the order of twenty times the
intensity of light found in many storage areas. Such a system
has been used in the investigation of the accelerated
photodecomposition of dyes incorporated in tablet
formulations (Lachman et al., 1960).
Fig. 11.11 Spectral energy distributions of natural sunlight

plus sky light and a daylight fluorescent lamp of equal
intensities (Jones & Grimshaw, 1963).
As was pointed out, the relationship between the intensity of

light and rate of photodegradation is a unique function of the
product formulation. In order to determine this relationship, a
quantitative method of measuring photochemical
decomposition is required. To this end an instrument has been
634
designed which provides radiant energy of the required
wavelength and of sufficient intensity to make such studies
possible (Price & Osborne, 1964). The quantity of light
absorbed by the drug sample is determined by measuring the
difference in the intensity and quantity of light incident upon
and transmitted by the product. In the future, the use of
similar equipment may provide a more rational approach to
the design and evaluation of accelerated photochemical
stability tests.
Accelerated Tests for Physical Stability
As a result of the many and varied causes of physical

instability in pharmaceutical products, it is not possible to
devise a single universal test that will accelerate the
breakdown of all preparations. This is in contrast to
accelerated tests for chemical and photochemical stability
where exaggerated conditions of heat and light are employed,
respectively. It follows that there are as many accelerated
physical stability tests as there are types of product.
Furthermore, our knowledge of the relationship between
physical degradation under a high degree of stress and
stability under normal storage conditions is very limited.
Generally speaking, one has to be content with applying a
high degree of stress and assume that the product is stable on
normal storage if it withstands the stress. The discussion of
accelerated storage tests for physical stability will be confined
to an outline of tests that have been applied to assess stability
towards moisture. Some specific test techniques for emulsions
and suspensions will also be discussed.
635
Accelerated Tests for Moisture Absorption
The deterioration of products due to the absorption of

moisture is normally accelerated by placing them in an
environment of high relative humidity and controlled
temperature. In order to obtain as much information as
possible, it is preferable to employ a range of humidities. This
is achieved by using a number of small cabinets each
containing a different saturated salt solution that produces the
desired humidity conditions. The final packaged product must
be tested in this manner, but it is also useful to apply the test
beforehand to the unpackaged material. It is then possible to
determine rapidly whether the product is susceptible to
moisture, and also whether the final container needs to
provide a high degree of protection.
Another approach has been adopted by Carstensen et al.
(1966) for the accelerated testing of unpack aged products.
They determined the effect of moisture upon the stability of
vitamin A acetate tablets by incorporating various quantities
of water into the predried granules prior to tabletting. They
thus produced tablets having various moisture contents which
were stored in well-sealed containers at a series of elevated
temperatures.
Accelerated Tests for Emulsion Stability
Elevated temperature storage and centrifugation have both

been employed to accelerate the breakdown of emulsions.
Storage of an emulsion at a temperature between 45 and 70°
is a technique that is often used, since raised temperature
causes increased thermal agitation and decreased viscosity of
the continuous phase (Levius & Drommond, 1953). Both
636
factors facilitate increased frequency of collision of the oil
globules and accelerate the tendency for the emulsion to crack
(Colburn, 1951). If the emulsion withstands such treatment, it
is normally correct to assume that it will be stable at normal
temperatures. However, the reverse argument does not always
apply. There are cases where an emulsion has been found to
be perfectly stable under normal conditions even though it
cracked during high temperature storage. This phenomenon
can be caused by a change in the relative solubility of the
emulsifying agent in the two phases at high temperature, and
is likely to happen when the emulsifier is a nonionic surface
active agent. It may also be due to the fact that elevated
temperature may accelerate chemical decomposition of one or
more of the emulsion constituents and contribute to the
deterioration. Both factors can give rise to an inaccurate
estimate of the susceptibility of the product to decomposition.
Centrifugation of an emulsion greatly exaggerates the effect
of gravity, and therefore predominantly accelerates the rate of
creaming. The degree of acceleration of creaming will
obviously depend upon the speed of centrifugation. If it is
assumed that the rate of creaming is directly proportional to
the strength of the gravitational field, it is theoretically
possible to establish a direct relationship between speed of
centrifuging and normal storage conditions. Indeed, Garret
(1962) successfully used an analytical ultracentrifuge,
running at speeds up to 60,000 rev/min, to predict the shelf
life of an intravenous oil-in-water emulsion. Unfortunately, it
is unlikely that such a simple correlation holds for the
majority of highly stable pharmaceutical emulsions. Since
centrifugation exaggerates the value of g in Stokes’ Equation,
the results of the accelerated test can give rise to some
misleading conclusions when several emulsion formulations
are being compared. For example, it is possible for a stable
637
emulsion, whose disperse and continuous phases have
dissimilar densities, to appear inferior to a product that is
inherently less stable but which has a smaller difference in
density between the two phases.
Accelerated Tests for Suspension Stability
The most common form of physical instability occurring in

suspensions is the settling out of the solid phase with the
formation of a sediment which is difficult to redisperse on
shaking. One might expect centrifugation to be a suitable
method for accelerating such a change, but the technique is of
little value because the majority of pharmaceutical
suspensions are flocculated systems. The centrifugal force is
great in comparison with the forces of flocculation, and this
will result in destruction of the structure of the suspension.
The net effect of such an accelerated test would be to produce
a close-packed sediment regardless of the stability of the
product. However, low speed centrifugation producing an
effect equivalent to about four times that of gravity may be of
value in some cases (Jones & Grimshaw, 1963).
Crystal growth is also a cause of physical deterioration in
some suspensions. Acceleration of crystal growth may be
achieved by simulating the temperature fluctuations occurring
under normal storage conditions, but at greatly increased
frequency. Such a test has more significance than attempting
to increase the degree of stress (Carless & Foster, 1966). The
daily variations of temperature have been reproduced by
cycling suspensions between 23 and 33°C using a cycling
time of 16minutes. Cycling sulphathiazole suspensions one
hundred times produced significant crystal growth with a
consequent broadening of the particle size distribution. The
638
degree of acceleration of growth produced by such a test, and
its relationship to normal storage conditions, depends upon
the particle concentration, the bulk particle solubility, the
slope of the solubility curve, the temperature fluctuation
range and the frequency of fluctuation (Varney, 1967).
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641
Chapter 12
ICH Guidelines for Stability Testing
Stability testing aims at providing evidence on how the
quality of a drug substance or drug product varies with time
under the influence of a variety of environmental factors, such
as temperature, humidity and light, and to establish a shelf life
and recommended storage conditions for the drug substance
or drug product. When a pharmacist or manufacturer plans to
design, manufacture and market a drug product, it is his
responsibility to provide an assurance that the said drug
product would meet all the labelled claims and would be
stable till the expiry date to the regular authorities. The
International Conference on Harmonisation of Technical
Requirements for Registration of Pharmaceuticals for Human
Use (ICH) is unique in bringing together the regulatory
authorities and pharmaceutical industry of Europe, Japan and
the US to discuss scientific and technical aspects of drug
registration. Since its inception in 1990, ICH has evolved,
through its ICH Global Cooperation Group, to respond to the
increasingly global face of drug development, so that the
benefits of international harmonisation for better global health
can be realized worldwide. The ICH guidelines describe the
stability data for a drug substance or drug product that is
sufficient for registration within various countries. The ICH
guideline seeks to exemplify the core stability data for drug
substance or drug products but leaves sufficient flexibility to
encompass the variety of different practical situations that
may be encountered due to specific scientific considerations
and characteristics of the materials that are being evaluated.
642
History of ICH
Need to Harmonize
It was realized at various times in different regions to have an

independent evaluation of medicinal products before they are
allowed to market. However, in many cases, the realization
was driven by tragedies, such as that with thalidomide in
Europe in the 1960s. In most countries, irrespective of
whether or not they had initiated product registration controls
earlier, the 1960s and 1970s saw a rapid increase in laws,
regulations and guidelines for reporting and evaluating the
data on safety, quality and efficacy of new medicinal
products.
The need to rationalize and harmonize regulation was
impelled by concerns over rising costs of health care, research
and development, and the need to meet the public expectation
that there should be a minimum delay in making safe and
efficacious new treatments available to patients in need.
Birth of ICH
Harmonization of regulatory requirements was initiated by

the European Community (EC) in the 1980s, as the EC (now
the European Union) moved towards the development of a
single market for pharmaceuticals. The success achieved in
Europe proved that harmonization was feasible.
Simultaneously there were bilateral discussions between
Europe, Japan and the US on possibilities for harmonization.
It was, however, at the WHO Conference of Drug Regulatory
Authorities, in Paris, in 1989, that specific plans for action
began to materialize. Soon afterwards, the authorities
643
approached IFPMA to discuss a joint regulatory– industry
initiative on international harmonization, and ICH was
conceived. The birth of ICH took place at a meeting in April
1990, which was hosted by EFPIA in Brussels.
Representatives of the regulatory agencies and industry
associations of Europe, Japan and the US met, primarily, to
plan an international conference, but they also discussed the
wider implications and terms of reference of ICH. At the first
steering committee meeting of ICH, the terms of reference
were agreed, and it was decided that the topics selected for
harmonization would be grouped into Safety, Quality and
Efficacy to reflect the three criteria that are the basis for
approving and authorizing new medicinal products.
Evolution of ICH
ICH process has gained much success in the past two

decades. This success is attributed not only to a process of
scientific awareness developed between industry and
regulatory experts but also to the commitment of the
regulatory parties to implement the ICH Tripartite
Harmonized Guidelines and recommendations. After ICH’s
inception in 1990, the ICH process has gradually evolved. In
first decade ICH’s saw significant progress in the
development of tripartite ICH guidelines on safety, quality
and efficacy topics. Work was also undertaken on a number
of important multidisciplinary topics, which included
MedDRA (Medical Dictionary for Regulatory Activities) and
the Common Technical Document (CTD). As ICH entered
into a new millennium, the need to expand communication
and dissemination of information on ICH Guidelines with
non-ICH regions became a key focus. Attention was also
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directed towards facilitating the implementation of ICH
Guidelines in ICH’s own regions. Throughout the second
decade, the development of ICH Guidelines continued, but
with more attention given on the need to maintain already
existing Guidelines as science and
technology continued to evolve. The need to influence with
other organizations was also acknowledged, particularly for
the development of electronic standards. The SC recognized
the profits afforded by collaboration with standards
development organizations, not only from the perspective of
having a larger available pool of technical expertise but also
the opportunity to progress ICH standards as global standards.
In third decade of activity, ICH’s attention is directed towards
extending the benefits of harmonization beyond the ICH
regions. Training as well as active participation and
co-operation of non-ICH regions in guideline development
are observed as key in this effort.
Organization of ICH
The organizational structure of the ICH consists of the
following components (Fig. 12.1):
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Fig. 12.1 The organizational structure of ICH.
Steering Committee (SC)
Steering committee (SC) is the governing body that observes

the harmonization activities. Since its establishment in 1990,
each of its six co-sponsors (EU, EFPIA, MHLW, JPMA,
FDA and PhRMA) had two seats on the SC. Other parties
have a significant interest in ICH and have been invited to
nominate observers to the SC. The three observers are the
WHO, Health Canada and the European Free Trade
Association (EFTA). The IFPMA hosts the ICH secretariat
and participates as a nonvoting member of the SC.
Global Cooperation Group
The Global Cooperation Group (GCG) was originally formed

as a subcommittee of the SC in 1999 in response to a growing
interest in ICH guidelines beyond the three ICH regions. A
few years later, recognizing the need to engage actively with
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other harmonization initiatives, representatives from five
regional harmonisation initiatives (RHIs) were invited to
participate in GCG discussions, viz., APEC, ASEAN,
PANDRH, GCC and SADC. A further expansion of the GCG
was agreed upon in 2007 and regulators were invited from
countries with a history of ICH guidelines implementation
and/or where major production and clinical research is done.
The MedDRA Management Board
The MedDRA management board, appointed by the ICH

steering committee, is responsible for overall direction of
MedDRA, an ICH standardized dictionary of medical
terminology. The board observes the activities of the
MedDRA Maintenance and Support Services Organisation
(MSSO), which serves as the repository, maintainer,
developer and distributor of MedDRA. The management
board consists of the six ICH parties (EU, MHLW, EFPIA,
FDA, JPMA, and PhRMA), the Medicines and Healthcare
products Regulatory Agency (MHRA) of the UK, the Health
Canada and the WHO (as observer). The IFPMA acts as a
nonvoting observer on the management board. It also chairs
the board.
Secretariat
The ICH secretariat is situated in Geneva, Switzerland,

operating from the IFPMA offices. The secretariat staff is
responsible for day-to-day management of ICH, namely
preparations for, and documentation of, meetings of the
steering committee and its working groups. The ICH
secretariat also provides administrative support for the ICH
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Global Coordination Group and the ICH MedDRA
management board.
ICH Working Groups
Fundamental to the smooth running of ICH has been the

designation, by each of the six co-sponsors, of an ICH
Coordinator to act as the main contact point with the ICH
Secretariat. Coordinators ensure proper distribution of ICH
documents to the appropriate persons from their party (SC
members, Topic Leaders, Experts) and are responsible for
proper follow up on actions by their respective party within
assigned deadlines. Due to the structural differences within
the European Union (EU) and the Ministry of Health, Labour
and Welfare (MHLW), ICH Technical Coordinators are also
designated from the European Medicines Agency (EMA) and
Pharmaceuticals and Medical Devices Agency (PMDA),
respectively. They support the ICH Coordinator who
facilitates every action of the Steering Committee members in
the region, mainly by applying their scientific knowledge.
Their roles include acting as a contact point between the
experts within the EMA or PMDA and the ICH Coordinator
at the main regulatory body, and as a contact point with the
ICH Secretariat.
Each party establishes a Contact Network of experts within
their own organization or region in order to ensure that, in the
discussions, they reflect the views and policies of the
co-sponsor to whom they represent. The way in which this
network operates differs according to the administrative
structure of the party concerned. For each of the technical
topics which have been
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selected for harmonization in the first phase of activities, the
SC appointed a Working Group to review the differences in
requirements between the three regions and develop scientific
consensus required to reconcile those differences. Working
groups do not have a fixed ‘membership’ but each of the six
parties have nominated a Topic Leader (and, frequently, a
Deputy Topic Leader) as the single point of contact for the
topic. The Observers to ICH, the Pharmacopoeial authorities,
representatives from the self-medication industry and the
generic industry have been invited to participate in various
working groups.
There are several different types of ICH working groups that
can be identified as follows:
• EWG: Expert Working Group is charged with developing a
harmonized guideline that meets the objectives in the Concept
Paper and Business Plan.
• IWG: Implementation Working Group is asked to develop
Q&As to facilitate implementation of existing guidelines.
• Informal Working Group: It is formed prior to any official
ICH harmonisation activity with the objectives of developing/
finalizing a concept paper, as well as developing a business
plan.
• Discussion Group: It is a group established to discuss
specific scientific considerations or views, i.e. Gene Therapy
Discussion Group (GTDG), ICH and Women Discussion
Group.
One of the working principles agreed by the SC was that an
EWG could only meet in its official ICH capacity if there was
at least one nominated expert from each of the six ICH
co-sponsors.
The Qsem Concept
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Quality Guidelines
Hormonizing achievements in the Quality area include the

conduct of stability studies, defining relevant thresholds for
impurities testing and a more flexible approach to
pharmaceutical quality based on Good Manufacturing
Practice (GMP) risk management.
Safety Guidelines
ICH has produced a comprehensive set of safety guidelines to

uncover potential risks like carcinogenicity, genotoxicity and
reprotoxicity. A recent breakthrough has been took place a
nonclinical testing strategy for assessing the QT interval
prolongation liability: the single most important cause of drug
withdrawals in recent years.
Efficacy Guidelines
The work carried out by ICH under the efficacy heading is

concerned with the design, conduct, safety and reporting of
clinical trials. It also covers new types of medicines derived
from biotechnological processes and the use of
pharmacogenetics/ genomics techniques to produce better
targeted medicines.
Multidisciplinary Guidelines
These are the cross-cutting topics which fit uniquely into one
of the Quality, Safety and Efficacy categories. It includes the
ICH medical terminology (MedDRA), the Common
Technical Document (CTD) and the development of
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Electronic Standards for the Transfer of Regulatory
Information (ESTRI).
Zone-Wise Distribution of Countries

According to Ich Guidelines
In general, a drug substance should be evaluated under
different storage conditions (with appropriate tolerances) that
test its thermal stability and, if applicable, its sensitivity to
moisture. The selected storage conditions and the lengths of
studies should be sufficient to cover storage, shipment, and
subsequent use. The long-term testing should cover a
minimum of 12months duration on at least three primary
batches at the time of submission and should be continued for
a period of time sufficient to cover the proposed retest period.
Additional data accumulated during the assessment period of
the registration application, should be submitted to the
authorities if requested. Data from the accelerated storage
condition and, if appropriate, from the intermediate storage
condition can be used to evaluate the effect of short-term
excursions outside the label storage conditions (such as might
occur during shipping). Long-term, accelerated and where
appropriate, intermediate storage conditions for drug
substances are detailed in the sections below. The general
case should apply if the drug substance is not specifically
covered by a subsequent section. Alternative storage
conditions can be used if justified.
WHO has issued guidelines for the division of world into four
zones based on the prevailing annual climatic conditions for
the purpose of stability testing. According to WHO
guidelines:
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Zone I: Temperate
Zone II: Subtropical with possible high humidity
Zone III: Hot/dry
Zone IV: Hot/humid
Zone-wise distribution of various countries of the world is
given in the Table 12.1.
Table 12.1 Zone-wise distribution of various countries of the

world
Zone Continent Countries

I and Europe All countries
II America Argentina, Bolivia, Chile, Peru, USA,
Uruguay and Canada
Asia Afghanistan, Armenia, China, Georgia,
Turkey, Iran, Israel, Japan, Korea (north
and south), Lebanon, Nepal and Syria
Africa Egypt, Algeria, Libya, Morocco, Namibia,
Rwanda, Zambia, Zimbabwe, South Africa
and Tunisia
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III America Bahamas, Barbados, Belize, Brasilia, Costa
and Rica Ecuador, Guatemala, Colombia and
IV Nicaragua
Asia Bahrain, Bangladesh, India, Indonesia, Iraq,
Cambodia, Qatar, Kuwait, Laos, Malaysia,
Myanmar, Pakistan, Philippines, Singapore,
Thailand, UAE and Vietnam
Africa Angola, Ethiopia, Benin, Botswana and
Burkina Faso
Oceania Fiji, Marshall Islands, Micronesia and
Papua New Guinea
Stability Programme for a New Drug

ICH guidelines divide the world into four zones and specify
the temperature and relative humidity conditions to be
maintained by each zone for stability studies. For example, if
a manufacturer plans to sell his products in Zone III he has to
submit stability data of the batches of product maintained at
the temperature and relative humidity suggested by ICH for
Zone III. The storage requirements and the sampling times are
very clearly specified by the ICH guidelines of each particular
zone.
In the early stage of drug designing, studies are performed to
find out what sort of decomposition is possible, what is the
mechanism, sensitivity to moisture and oxygen interaction
probabilities (compatibilities), optimum pH and polymorphic
information. Drug excipient interactions, physical as well as
chemical interactions are extensively studied.
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Let us discuss the spirit and text of guidelines performed
during stability testing. Stability testing is done in five
different occasions when an NDA is being contemplated.
Pre-Formulation and Compatibility
Keeping the data from the pre-formulation studies in mind

formulations are designed and manufactured for use in
Phase-I trials. More than the one or two formulations being
used in Phase-I studies are manufactured and started on
stability studies. This is because even a supposedly stable
formulation may get fail in Phase-I with respect to some
stability issue, then you must have something to fall back
upon.
Preclinical Formulation
When a product has passed Phase-I, its dosage level,

interactions and stability profile are known to some degree
and armed with this knowledge the ‘Clinical manufacturing
group’ of the company manufactures several batches of the
product and keeps some products from every batch for
stability. The required stability aspects of clinical studies are
simply to ascertain that each batch is within specifications
during the length of the trail.
Clinical and NDA Formulation
The ICH stability guidelines require that three substantial

batches, made in the same type production equipment
intended for the final product, be made and that at least
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12months stability be in place at the time of NDA
submission.
Commitment and Product Monitoring
At the time the NDA is filed, the large clinical and scale-up
batches are only about a year old, and the stability data on
them is not yet complete. So at this time, the company asks
for an expiry date based on extrapolation of the existing
stability data. The FDI (Foreign Direct Investment) will take
all facts into consideration and grant an expiry date based on
a commitment from the company that the company will
continue to do stability studies on different batches.
Steps of Analytical Development and

Stability Testing
The design of the formal stability studies parameters for the
drug product should be based on knowledge of the behaviour
and properties of the drug substance, results from various
stability studies on the drug substance, and experience gained
from clinical formulation studies. The likely changes on
storage and the rationale for the selection of attributes to be
tested in the formal stability studies should be stated. The
stability testing procedure is little huge and little cumbersome
since it involves lot of checks and balances in the
development of product formulation. The stability testing
guidelines are intended to explain what stability data package
for a new drug substance or drug product is adequate for a
registration of new drug application. According to the ICH
guidelines, there are six steps of analytical development of a
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product and various stability testing conditions to be met
during each step. These steps are summarized in Table 12.2.
Table 12.2 Six steps of development of product
Steps Analytical development and stability testing

1 Stress- and accelerated testing with the drug
substance.
2 Preformulation and formulation finding for:
toxicological samples
clinical trial samples
final dosage form
3 Stress and accelerated testing with selected
formulations:
toxicological samples
clinical trial samples
final formulation
registration batches
Selection of container closure system
up-scaling, pilot plant
4 Accelerated and long-term stability testing with
registration batches up to registration application:
drug substance
drug product
Transfer of analytical procedures to quality control
5 Ongoing stability testing with registration and
production batches:
drug substance
drug product
6 Follow-up stability testing:
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continuous production
variations and changes during continuous production
ICH has issued guidelines in six important areas, all of them
regarding stability testing of new drugs or dosage forms.
Stability testing provides data throughout a product’s
development life cycle and beyond. ICH guidelines help you
to tailor your stability programme to meet the requirements of
the appropriate regulations for your particular product. The
guidelines explain the requirements for long-term and
accelerated stability studies in support of product license
applications, describing the conditions, duration, and number
of batches, selection of batches, testing frequency,
specification and evaluation.
ICH Q-Guidelines (Quality)

Harmonization achievements in the Quality area include the
conduct of stability studies, defining relevant thresholds for
impurities testing and a more flexible approach to
pharmaceutical quality based on Good Manufacturing
Practice (GMP) risk management. ICH Q-Guidelines broadly
explained in the six important areas like stability, analytical
validation, impurities, Pharmacopoeias, quality of
biotechnological products and specifications under the
following headings:
Stability
• Q1A(R2): Stability Testing of New Drug Substances and

Products
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• Q1B: Stability Testing: Photostability Testing of New Drug
Substances and Products
• Q1C: Stability Testing for New Dosage Forms
• Q1D: Bracketing and Matrixing Designs for Stability
Testing of New Drug Substances and Products
• Q1E: Evaluation of Stability Data
• Q1F: Stability Data Package for Registration Applications in
Climatic Zones III and IV
Analytical Validation
• Q2(R1): Validation of Analytical Procedures: Text and

Methodology Q2A
• Q2 (R1): Validation of Analytical Procedures:
MethodologyQ2B
Impurities
• Q3A (R2): Impurities in New Drug Substances Q3A(R)

• Q3B (R2): Impurities in New Drug Products Q3B(R)
• Q3C (R4): Impurities: Guideline for Residual Solvents Q3C
Pharmacopoeias
• Q4: Pharmacopoeias.
• Q4A: Pharmacopoeial Harmonization
• Q4B: Evaluation and Recommendation of Pharmacopoeial
Texts for Use in the ICH Regions.
• Q4B: Annex 1(R1) Evaluation and Recommendation of
pharmacopoeial Texts for Use in the ICH Regions on Residue
on Ignition/Sulphated Ash General Chapter.
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Pharmacopoeial Texts for Use in the ICH Regions on Test for
Extractable Volume of Parenteral Preparations General
Chapter.
Particulate Contamination: Sub-Visible Particles General
Chapter.
• Q4B Annex 4A(R1) Evaluation and Recommendation of
Pharmacopoeial Texts for Use in the ICH Regions on
Microbiological Examination of Non-Sterile Products:
Microbial Enumeration tests General Chapter.
• Q4B Annex 4B(R1) Evaluation and Recommendation of
Microbiological Examination of Non-Sterile Products: Tests
for Specified Micro-organisms General Chapter.
• Q4B Annex 4C(R1) Evaluation and Recommendation of
Microbiological Examination of Non-Sterile Products:
Acceptance Criteria for Pharmaceutical Preparations and
Substances for Pharmaceutical Use General Chapter.
• Q4B Annex 5(R1) Evaluation and Recommendation of
Disintegration Test General Chapter.
Uniformity of Dosage Units General Chapter.
Dissolution Test General Chapter.
Sterility General Chapter.
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Pharmacopoeial Texts for Use in the ICH Regions on Tablet
Friability General Chapter.
Polyacrylamide Gel Electrophoresis General Chapter.
• Q4B Annex 11 Evaluation and Recommendation of
Capillary Electrophoresis General Chapter.
Analytical Sieving General Chapter.
Pharmacopoeial Texts for Use in the ICH Regions on Bulk
Density and Tapped Density of Powders General Chapter.
Bacterial Endotoxins Test General Chapter.
• Quality of Biotechnological Products.
• Q5A(R1) Viral Safety Evaluation of Biotechnology
Products Derived from Cell Lines of Human or Animal
Origin Q5A.
• Q5B Quality of Biotechnological Products: Analysis of the
Expression Construct in Cells Used for Production of r-DNA
Derived Protein Products.
• Q5C Quality of Biotechnological Products: Stability Testing
of Biotechnological/Biological Products.
• Q5D Derivation and Characterisation of Cell Substrates
Used for Production of Biotechnological/Biological Products.
• Q5E Comparability of Biotechnological/Biological Products
Subject to Changes in their Manufacturing Process.
• Specifications
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• Q6A Specifications: Test Procedures and Acceptance
Criteria for New Drug Substances and New Drug Products:
Chemical Substances (including Decision Trees).
• Q6B Specifications: Test Procedures and Acceptance
Criteria for Biotechnological/Biological Products.
Good Manufacturing Practice
• Q7 Good Manufacturing Practice Guide for Active

Pharmaceutical Ingredients Q7A.
Pharmaceutical Development
• Q8(R2) Pharmaceutical Development.

• Quality Risk Management.
• Q9 Quality Risk Management.
Pharmaceutical Quality System
• Q10 Pharmaceutical Quality System

• Q8/9/10 Q&As (R4) Q8/Q9/Q10—Questions & Answers
document.
Glossary
The following definitions are provided to facilitate
interpretation of the guidelines.
Accelerated testing
Accelerated testing studies designed to increase the rate of
chemical degradation or physical change of a drug substance
or drug product by using exaggerated storage conditions as
part of the formal stability studies. Data from these studies, in
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addition to long-term stability studies, can be used to assess
longer term chemical effects at nonaccelerated conditions and
to evaluate the effect of short-term excursions outside the
label storage conditions that might occur during shipping.
Results from accelerated testing studies are not always
predictive of physical changes.
Bracketing
The design of a stability schedule such that only samples on
the extremes of certain design factors, e.g. strength, package
size, are tested at all time points as in a full design. The
design assumes that the stability of any intermediate levels is
represented by the stability of the extremes tested. Where a
range of strengths is to be tested, bracketing is applicable if
the strengths are identical or very closely related in
composition (e.g. for a tablet range made with different
compression weights of a similar basic granulation, or a
capsule range made by filling different plug fill weights of the
same basic composition into different size capsule shells).
Bracketing can be applied to different container sizes or
different fills in the same container closure system.
Chemical development studies
Studies conducted to scale-up, optimise, and validate the
manufacturing process for a new drug substance.
Climatic zones
The four zones in the world that are distinguished by their
characteristic prevalent annual climatic conditions. This is
based on the concept described by W. Grimm.
Commitment batches
Production batches of a drug substance or drug product for
which the stability studies are initiated or completed post
approval through a commitment made in the registration
application.
Container closure system
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The sum of packaging components that together contain and
protect the dosage form. This includes primary packaging
components and secondary packaging components, if the
latter are intended to provide additional protection to the drug
product. A packaging system is equivalent to a container
closure system.
Fig. 12.2 ICH quality guidelines and drug regulatory bodies.
Confirmatory studies
Confirmatory studies are those undertaken to establish
photostability characteristics under standardized conditions.
These studies are used to identify precautionary measures
needed in manufacturing or formulation and whether light
resistant packaging and/or special labeling is needed to
mitigate exposure to light. For the confirmatory studies, the
batch(es) should be selected according to batch selection for
long-term and accelerated testings which is described in the
patent guideline.
Dosage form
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A pharmaceutical product type (e.g. tablet, capsule, solution,
cream) that contains a drug substance generally, but not
necessarily, in association with excipients.
Drug product
The dosage form in the final immediate packaging intended
for marketing.
Drug substance
The unformulated drug substance that may subsequently be
formulated with excipients to produce the dosage form.
Enantiomeric impurity
A compound with the same molecular formula as the drug
substance that differs in the spatial arrangement of atoms
within the molecule and is a nonsuperimposable mirror
image.
Excipient
Anything other than the drug substance in the dosage form.
Expiration date
The date placed on the container label of a drug product
designating the time prior to which a batch of the product is
expected to remain within the approved shelf life
specification, if stored under defined conditions, and after
which it must not be used.
Extraneous contaminant
An impurity arising from any source extraneous to the
manufacturing process.
Forced degradation testing studies
Forced degradation testing studies are those undertaken to
degrade the sample deliberately. These studies, which may be
undertaken in the development phase normally on the drug
substances, are used to evaluate the overall photosensitivity of
the material for method development purposes and/or
degradation pathway elucidation.
Formal stability studies
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Long-term and accelerated (and intermediate) studies
undertaken on primary and/or commitment batches according
to a prescribed stability protocol to establish or confirm the
re-test period of a drug substance or the shelf life of a drug
product.
Herbal products
Medicinal products containing, exclusively, plant material
and/or vegetable drug preparations as active ingredients. In
some traditions, materials of inorganic or animal origin can
also be present.
Identified impurity
An impurity for which a structural characterisation has been
achieved.
Identification threshold
A limit above (>) which an impurity should be identified.
Impurity
Any component of the new drug substance that is not the
chemical entity defined as the new drug substance.
Impurity profile
A description of the identified and unidentified impurities
present in a new drug substance.
Intermediate
A material produced during steps of the synthesis of a new
drug substance that undergoes further chemical
transformation before it becomes a new drug substance.
Immediate (primary) pack
Immediate (primary) pack is that constituent of the packaging
that is in direct contact with the drug substance or drug
product, and includes any appropriate label.
Impermeable containers
Containers that provide a permanent barrier to the passage of
gases or solvents, e.g. sealed aluminium tubes for semisolids,
sealed glass ampoules for solutions.
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Intermediate testing
Studies conducted at 30°C/65% RH and designed to
moderately increase the rate of chemical degradation or
physical changes for a drug substance or drug product
intended to be stored long term at 25°C.
Ligand
An agent with a strong affinity to a metal ion.
Long-term testing
Stability studies under the recommended storage condition for
the re-test period or shelf life proposed (or approved) for
labeling.
Marketing pack
Marketing pack is the combination of immediate pack and
other secondary packaging such as a carton.
Mass balance
The process of adding together the assay value and levels of
degradation products to see how closely these add up to 100%
of the initial value, with due consideration of the margin of
analytical error.
Matrixing
The design of a stability schedule such that a selected subset
of the total number of possible samples for all factor
combinations is tested at a specified time point. At a
subsequent time point, another subset of samples for all factor
combinations is tested. The design assumes that the stability
of each subset of samples tested represents the stability of all
samples at a given time point. The differences in the samples
for the same drug product should be identified as, for
example, covering different batches, different strengths,
different sizes of the same container closure system, and,
possibly in some cases, different container closure systems.
Mean kinetic temperature
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A single derived temperature that, if maintained over a
defined period of time, affords the same thermal challenge to
a drug substance or drug product as would be experienced
over a range of both higher and lower temperatures for an
equivalent defined period. The mean kinetic temperature is
higher than the arithmetic mean temperature and takes into
account the Arrhenius equation.
New drug substance
The designated therapeutic moiety that has not been
previously registered in a region or member state (also
referred to as a new molecular entity or new chemical entity).
It can be a complex, simple ester, or salt of a previously
approved drug substance.
New molecular entity
An active pharmaceutical substance not previously contained
in any drug product registered with the
national or regional authority concerned. A new salt, ester, or
non-covalent-bond derivative of an approved drug substance
is considered a new molecular entity for the purpose of
stability testing under this guidance.
Pilot scale batch
A batch of a drug substance or drug product manufactured by
a procedure fully representative of and simulating that to be
applied to a full production scale batch. For solid oral dosage
forms, a pilot scale is generally, at a minimum, one-tenth that
of a full production scale or 100,000 tablets or capsules,
whichever is the larger.
Primary batch
A batch of a drug substance or drug product used in a formal
stability study, from which stability data are submitted in a
registration application for the purpose of establishing a
re-test period or shelf life, respectively. A primary batch of a
drug substance should be at least a pilot scale batch. For a
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drug product, two of the three batches should be at least pilot
scale batch, and the third batch can be smaller if it is
representative with regard to the critical manufacturing steps.
However, a primary batch may be a production batch.
Production batch
A batch of a drug substance or drug product manufactured at
production scale by using production equipment in a
production facility as specified in the application.
Polymorphic forms
Different crystalline forms of the same drug substance. These
can include solvation or hydration products (also known as
pseudopolymorphs) and amorphous forms.
Potential impurity
An impurity that theoretically can arise during manufacture or
storage. It may or may not actually appear in the new drug
substance.
Qualification
The process of acquiring and evaluating data that establishes
the biological safety of an individual impurity or a given
impurity profile at the level(s) specified.
Qualification threshold
A limit above (>) which an impurity should be qualified.
Reagent
A substance other than a starting material, intermediate, or
solvent that is used in the manufacture of a new drug
substance.
Reporting threshold
A limit above (>) which an impurity should be reported.
Reporting threshold is the same as reporting level in annexes
Q2B.
Re-test date
The date after which samples of the drug substance should be
examined to ensure that the material is still in compliance
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with the specification and thus suitable for use in the
manufacture of a given drug product.
Re-test period
The period of time during which the drug substance is
expected to remain within its specification and, therefore, can
be used in the manufacture of a given drug product, provided
that the drug substance has been stored under the defined
conditions. After this period, a batch of drug substance
destined for use in the manufacture of a drug product should
be re-tested for compliance with the specification and then
used immediately. A batch of drug substance can be re-tested
multiple times and a different portion of the batch used after
each re-test, as long as it continues to comply with the
specification. For most biotechnological/biological substances
known to be labile, it is more appropriate to establish a shelf
life than a re-test period. The same may be true for certain
antibiotics.
Semipermeable containers
Containers that allow the passage of solvent, usually water,
while preventing solute loss. The mechanism for solvent
transport occurs by absorption into one container surface,
diffusion through the bulk of the container material, and
desorption from the other surface. Transport is driven by a
partial-pressure gradient. Examples of semipermeable
containers include plastic bags and semi-rigid, low-density
polyethylene (LDPE) pouches for large volume parenterals
(LVPs), and LDPE ampoules, bottles, and vials.
Shelf life (also referred to as expiration dating period)
The time period during which a drug product is expected to
remain within the approved shelf life specification, provided
that it is stored under the conditions defined on the container
label.
Specification–release
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The combination of physical, chemical, biological, and
microbiological tests and acceptance criteria that determine
the suitability of a drug product at the time of its release.
Specification–shelf life
The combination of physical, chemical, biological, and
microbiological tests and acceptance criteria that determine
the suitability of a drug substance throughout its re-test
period, or that a drug product should meet throughout its shelf
life.
Storage condition tolerances
The acceptable variations in temperature and relative
humidity of storage facilities for formal stability studies. The
equipment should be capable of controlling the storage
condition within the ranges defined in this guideline. The
actual temperature and humidity (when controlled) should be
monitored during stability storage. Short term spikes due to
opening of doors of the storage facility are accepted as
unavoidable. The effect of excursions due to equipment
failure should be addressed, and reported if judged to affect
stability results. Excursions that exceed the defined tolerances
for more than 24 hours should be described in the study report
and their effect assessed.
Stress testing (drug substance)
Studies undertaken to elucidate the intrinsic stability of the
drug substance. Such testing is part of the development
strategy and is normally carried out under more severe
conditions than those used for accelerated testing.
Stress testing (drug product)
Studies undertaken to assess the effect of severe conditions on
the drug product. Such studies include photostability testing
(see ICH Q1B) and specific
testing on certain products, (e.g. metered dose inhalers,
creams, emulsions, refrigerated aqueous liquid products).
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Supporting data
Data, other than those from formal stability studies, that
support the analytical procedures, the proposed re-test period
or shelf life, and the label storage statements. Such data
include (1) stability data on early synthetic route batches of
drug substance, small scale batches of materials,
investigational formulations not proposed for marketing,
related formulations, and product presented in containers and
closures other than those proposed for marketing; (2)
information regarding test results on containers; and (3) other
scientific rationales.
Solvent
An inorganic or an organic liquid used as a vehicle for the
preparation of solutions or suspensions in the synthesis of a
new drug substance.
Specification
A list of tests, references to analytical procedures, and
appropriate acceptance criteria which are numerical limits,
ranges, or other criteria for the tests described. It establishes
the set of criteria to which a drug substance or drug product
should conform to be considered acceptable for its intended
use. ‘Conformance to specifications’ means that the drug
substance and/or drug product, when tested according to the
listed analytical procedures, will meet the listed acceptance
criteria. Specifications are critical quality standards that are
proposed and justified by the manufacturer and approved by
regulatory authorities.
Specified impurity
An impurity that is individually listed and limited with a
specific acceptance criterion in the new drug substance
specification. A specified impurity can be either identified or
unidentified.
Specific test
671
A test which is considered to be applicable to particular new
drug substances or particular new drug products depending on
their specific properties and/or intended use.
Starting material
A material used in the synthesis of a new drug substance that
is incorporated as an element into the structure of an
intermediate and/or of the new drug substance. Starting
materials are normally commercially available and of defined
chemical and physical properties and structure.
Unidentified impurity
An impurity for which a structural characterisation has not
been achieved and that is defined solely by qualitative
analytical properties (e.g. chromatographic retention time).
Unspecified impurity
An impurity that is limited by a general acceptance criterion,
but not individually listed with its own specific acceptance
criterion, in the new drug substance specification.
Universal test
A test which is considered to be potentially applicable to all
new drug substances, or all new drug products; e.g.
appearance, identification, assay and impurity tests.
Abbreviations
APEC
Asia Pacific Economic Cooperation
ASEAN
Association of South East Asian Nations
CTD
Common Technical Document
EFPIA
672
European Federation of Pharmaceutical Industries and
Associations
EFTA
European Free Trade Association
EMA
European Medicine Agency
ESTRI
Electronic Standards for the Transfer of Regulatory
Information
EU
European Union
EWG
Expert Working Group
FDA
Food and Drug Regulatory Authorities
GCG
Global Cooperation Group
GMP
Good Manufacturing Practice
GTDG
Gene Therapy Discussion Group
IFPMA
International Federation of Pharmaceutical Manufacturers and
Associations
IWG
Implementation Working Group
JPMA
Japan Pharmaceutical Manufacturers Associations
MedDRA
Medical Dictionary for Regulatory Activities
MHLW
Ministry of Health Labour and Welfare
MSSO
673
Maintenance and Support Services Organization
PhRMA
Pharmaceutical Research and Manufacturers of America
PMD
Pharmaceutical and Medical Devices Agency
SC
Steering Committee
WHO
World Health Organization
References
Arab Guidelines on Stability Testing of Pharmaceutical

Products 1995 by the Arab Union of the Manufacturers of
Pharmaceuticals & Medical Appliances (AUPAM).
Carstensen JT. Wiley-Interscience. 1977.182–185.
Chen JJ, Ahn H, Tsong Y. Drug Inf. Journal.
1997;31:573–587.
Fairweather W, Lin TD, Kelly R. J. Pharm. Sci.
1995;84:1322–1326.
Grimm W. Drug Development and Industrial Pharmacy.
1998;24:313–325.
Grimm W. Drug Development and Industrial Pharmacy.
1993;19:2705–2830.
Guidance for Industry – ICH Q1A (R2) Stability Testing of
New Drug Substances and Products. International Conference
on Harmonization (ICH) harmonized Tripartite Guidelines,
November, 2003.
Guidance for Industry – ICH Q1B Photostability Testing of
New Drug Substances and Products, November, 1996.
674
Guidance for Industry – ICH Q1D Bracketing and Matrixing
Designs for Stability Testing of New Drug Substances and
Products, January, 2003.
Guidance for Industry – ICH Q1F Stability Data Package for
Registration Applications in Climatic Zones III and IV, June,
2004.
Guidance for Industry – ICH Q3A (R) Impurities in New
Drug Substances, February, 2002.
Guidelines for stability testing of pharmaceutical products
containing well established drug substances in conventional
dosage forms. In: WHO Expert Committee on Specifications
for Pharmaceutical Preparations. Thirty-fourth report.
Geneva, World Health Organization, 1996, Annex 5 (WHO
Technical Report Series, No. 863). This guideline was revised
at the thirty-seventh and fortieth meetings of the WHO Expert
Committee on Specifications for Pharmaceutical
Preparations: WHO Technical Report Series, No. 908, p. 13
(2003) and WHO Technical Report Series, No. 937, p. 12
(2006).
Haynes JD. J. Pharm. Sci. 1971;60:927–929.
Murphy JR, Weisman D. Association of the
Biopharmaceutical Section. 1990.196–202.
Ruberg SJ, Hsu JC. Technometrics. 1992;34:465–472.
Ruberg SJ, Stegeman JW. Biometrics. 1991;47:1059–1069.
Shao J, Chow SC. Biometrics. 1994;50:753–763.
www.ich.org
Yoshioka S, Aso Y, Kojima S. Chem. Pharm. Bull.
1997;45:1482–1484.
675
Section II Pharmaceutical Operations
676
Chapter 13
Extraction
The process of solvent extraction is involved in the
preparation of most drugs. Synthetic drugs or those produced
by fermentation are often purified, or separated from the
mother liquor by liquid–liquid extraction. Constituents
contained within plant or animal tissues are also extracted by
means of solvents, but a preliminary leaching process is
usually necessary. Fixed oils may be obtained in this way, but
are also removed by direct expression of the tissues, and
volatile oils are separated by steam distillation. (See Chapter
16.)
With the advent of numerous synthetic drugs, the demand for
drugs of natural origin is diminishing. Some plant and animal
products still remain important, however, including alkaloids,
glycosides and other sugar derivatives, spices, fixed and
volatile oils, proteins and polypeptides. Separation of the
active constituents is desirable for the following reasons:
1. Potency is more readily controlled.
2. Deterioration, e.g. by enzyme action, is diminished.
3. Preparations of the drug are more easily formulated, more
stable, more palatable and more elegant.
4. Tabletting of the crude material may not be possible.
5. Injection of the crude material may be undesirable or
dangerous.
6. Smaller bulk facilitates storage and transport.
Often a single chemical, such as hyoscine or reserpine, is
isolated by the extraction process, and is obtained as a
crystalline solid. Sometimes, however, the active principle
consists of a number of chemical compounds each of which is
677
desired in the final product. The extraction process may then
be stopped short of isolating the pure substances and the drug
is used as a dry extract, a viscous soft extract, a concentrated
infusion or a tincture. These crude extracts are known as
galenicals. They were once used much more extensively than
they are at present and included also simple infusions and
decoctions made by extraction of the raw material with hot or
boiling water. They were intended for extemporaneous
dispensing and were required to be freshly prepared, because
they rapidly produced a deposit due to coagulation of inert
colloidal material and readily supported microbial growth
because they lacked preservatives. Suitable assays could not
be applied to them, and they were therefore usually prepared
from materials whose constituents had little pharmacological
activity. Galenicals are now rarely made extemporaneously;
their preparation is usually time consuming and uneconomical
for small quantities, and they also need to be subject to
adequate quality control.
Leaching Processes
The process of leaching has been discussed by Peck (1936).
Two main methods are employed, termed maceration and
percolation, both being operated as batch processes. The
choice of method depends upon the physical characteristics of
the raw material and upon economic considerations and is
designated in the monographs of the official preparations. On
an industrial scale, however, there is often little difference
between the operations of the two methods.
678
Maceration
The general process, on a small scale, consists of placing the

solid material to be extracted in a closed vessel with the
whole of the menstruum, or extraction solvent, and allowing
them to stand for seven days, shaking occasionally. The liquid
is strained off and the marc, or solid residue, is pressed to
remove as much solution as possible. The liquids so obtained
are mixed and clarified by subsidence or filtration.
The solids must be in a suitable state of subdivision, either
crushed or cut small, or in moderately coarse powder. Fine
powders are not used because subsequent clarification would
be difficult. Sufficient time is then allowed for the menstruum
to penetrate the plant tissues and for the soluble components
to diffuse out. Diffusion may be assisted by shaking, or on a
large scale by stirring, in order to disperse the concentrated
solution which would otherwise accumulate round the
particles of solid material. A closed vessel is essential to
prevent evaporation and batch variation.
At the end of the maceration process there should be a
uniform concentration of active constituents in both the plant
debris and in the solution surrounding it. The solution,
sometimes called miscella, is then strained off through cloth
or other suitable material and the maximum yield of liquid is
obtained by expressing the marc; special presses are used for
this purpose. The solution so obtained may be cloudy and
may contain small particles of debris, and time must be
allowed for any colloidal material to coagulate. Sometimes
several weeks are needed for this purpose. Precipitated matter
is then removed by filtration through a filter press or other
suitable filter. If filtration is carried out too soon, the initially
679
clear solution will become cloudy again due to further
coagulation of colloidal material.
Solutions made by maceration of organized drugs are
generally prepared by adding a definite volume of solvent to a
definite weight of raw material. Provided that equilibrium has
been attained, the potency of the resulting solution will
remain the same regardless of the efficiency with which the
marc is pressed. These solutions are therefore not adjusted to
volume since the potency would then depend on the amount
of liquid expressed from the marc. With unorganized drugs
such as benzoin, however, the residue cannot be pressed, and
so the solution is filtered from the marc and the latter is rinsed
by passing more solvent through the filter to produce a
definite volume. In the case of Aromatic Cardamom Tincture,
other oils are added to the expressed solution and in order that
the concentration of these should not vary, the solution is
adjusted to volume.
Modifications of the general process of maceration
Repeated maceration may be more efficient than a single

maceration, since an appreciable amount of active principle
may be left behind in the first pressing of the marc. Double
maceration is used for concentrated infusions which contain
volatile oil, e.g. Concentrated Compound Gentian Infusion.
Where the marc cannot be pressed, a process of triple
maceration is sometimes employed. The total volume of
solvent used is however large and the second and third
macerates are usually mixed and evaporated, before adding to
the first macerate. This precludes the use of the process for
preparations containing volatile ingredients.
680
In a few cases it is desirable to change the physicochemical
nature of the solvent during a single maceration process.
Thus, opium tincture is prepared by first pouring boiling
water over the sliced opium to disintegrate it. Then, after
macerating for 6 hours, 90 per cent alcohol is added to the
cold mixture and maceration is continued for a further 24
hours. The addition of the alcohol during the second period of
maceration prevents the solution of much of the gummy
material in the final tincture.
Percolation
In this process the raw material is packed into a column and

the solvent is allowed to percolate through it. Although some
materials may be packed into a percolator in the dry state, e.g.
Ginger, most drugs require preliminary moistening. The solid
material is mixed with sufficient solvent and the moist mass is
allowed to stand for 4 hours in a well-closed vessel. This
preliminary moistening is important because the dried tissues
may swell on contact with the solvent and, if packed in the
dry condition; subsequent swelling might reduce the porosity
of the material and choke the column. This swelling would be
particularly marked with solvents which are mainly aqueous,
and the greater the swelling the larger the volume of solvent
required for preliminary moistening. Subsequent packing into
the percolator is also assisted, since the solvent displaces
occluded air and enables the material to be more evenly
distributed. If the material is not packed evenly, the
percolating solvent will run mainly through the largest
channels, resulting in inefficient extraction. Preliminary
moistening also makes the fine particles less liable to be
washed out of the column during percolation.
681
After allowing the moist mass to imbibe the liquid, it is
packed evenly into the percolator. Fig. 13.1 illustrates a type
of percolator used on a commercial scale. The drug is
supported on a perforated metal plate covered with sacking or
straw. The top of the apparatus is removable for charging the
column with raw material and is provided with portholes for
inspection and running in of solvent. At the base the outlet is
fitted with a tap, and a pipe leads the percolate away for
subsequent treatment or to the top of a second percolator in
order to use the solvent more efficiently. On a small scale
glass percolators can be used and the raw material is
supported in a loose plug of tow or other suitable substance
which has been previously moistened with solvent. In order to
achieve even packing the moist material is introduced layer
by layer, each one being lightly tapped with a rod or other
suitable implement, to give even compression. The pressure
to be exerted depends on the nature of the swollen material
and its permeability. To prevent disturbance of the packed
solids, a piece of filter paper may be place on top of them and
weighted down with sand. If there is a risk of further swelling
of the raw material, it is preferable to use a percolator that is
slightly conical, as the sloping sides allow better expansion of
the bed than would cylindrical columns. The latter have the
added disadvantage that solvent often fails to permeate
through material near the sides at the bottom.
682
Fig. 13.1 Commercial scale percolator (approximately 1 ton
capacity).
After packing the column, sufficient menstruum is poured

over it to saturate it and when liquid begins to drip from the
bottom of the percolator the tap at its base is closed. Enough
of the menstruum is then added to maintain a layer above the
drug, since the column must not under any circumstances be
allowed to become dry, which would produce cracks in the
bed. The closed column is then allowed to stand for 24 hours.
This period of maceration allows time for complete
penetration of the tissues by the solvent and a considerable
amount of leaching of the soluble material. It makes for more
683
efficient use of the menstruum than if percolation were
allowed to proceed continuously from the start of operations.
After this preliminary maceration, the outlet is opened
sufficiently of produce a controlled slow rate of percolation.
The volume of percolate to be collected for a given weight of
raw material depends upon the nature of the final product. For
some tinctures prepared on a small scale, about three quarters
of the volume of the finished product is collected and the
marc is pressed, giving about 80–90 per cent of the final
volume. If no assay is available for the extractive, the mixed
products of percolation and expression are made up to volume
with more of the menstruum. In some cases additional
ingredients, e.g. glycerol, are added before the final
adjustment is made. In the case of more potent tinctures the
percolate is assayed and the calculated amount of menstruum
required to give a product of the required strength is added. In
this process the assumption is made that the marc will be
exhausted of the active principles which are to be extracted
and adjustment to volume is therefore justified. The marc is
pressed only to avoid wastage of solvent. This is in contrast to
the maceration process where the liquid expressed from the
marc is assumed to be of equal strength with that separated by
straining.
Reserved Percolation
Liquid extracts are more concentrated preparations than

tinctures, and percolation to exhaustion will produce a
preparation that is too dilute. It is therefore necessary to
reduce the volume of the percolate by evaporation. In certain
instances, e.g. Liquorice Liquid Extract, the whole of the
percolate may be concentrated by evaporation, but in others
684
thermolability of the active principle may preclude this.
Moreover, evaporation of a dilute alcohol would remove
alcohol at a faster rate than water with the result that the
concentrated extract would be largely aqueous and probably
incapable of retaining the extracted matter in solution.
This is overcome by reserving the first portion of the
percolate, which contains the bulk of the active constituents,
owing to the preliminary maceration. The rest of the percolate
is collected separately, percolation being continued until some
simple test shows that no more active principle is being
leached out. This second, dilute, percolate is then evaporated
by means of, for example, a climbing film evaporator or
vacuum still. The percolate is evaporated to the consistency of
a soft extract, so that almost all the water is removed. It may
then be dissolved in the reserved portion, which is usually
strongly alcoholic, without risk of precipitation.
On a commercial scale, percolation and evaporation of the
percolate may be carried out simultaneously; sometimes, with
simple solvents such as acetone, the condensed vapour from
the evaporator may be returned to the top of the percolator to
continue the extraction.
Choice of Leaching Process
Although percolation usually results in a more rapid and

complete extraction than does maceration, it is not a suitable
process for treating all raw materials. Many tissues are readily
compressible when wet, for example, squill and animal
tissues, while resinous materials form sticky masses. The
permeability of a bed of such material is too low for the
percolation process to be practicable. With a few materials
(e.g. ground calf’s stomach from which rennet is extracted
685
using strong salt solution) the porosity of the bed is increased
by mixing the raw material with an inert, relatively coarse
substance, which prevents colloids like mucin from blocking
the column (Placek et al., 1960). Alternatively, it may be
possible to increase the rate of percolation by increasing the
pressure gradient through the bed of raw material, but this is
not often done because an increased pressure on the bed is
likely to compress it and render it less permeable.
Occasionally, a restricted volume of solvent must be used to
leach a large amount of raw material, because of the small
amount of active principle contained therein. In such a case
the proportion of solvent to raw material is too low to permit
effective percolation.
Operation of the process of percolation requires skill, care and
frequent attention. On the other hand maceration requires
little skill and is economical in time; it is efficient for drugs
that are easily extracted and in such cases is the method of
choice, provided that the product obtained is satisfactory.
Because of the inevitable wastage of rectified spirit, the
manufacture of tinctures on a commercial scale frequently
departs from the official procedures, and a method is used
which combines maceration and percolation techniques. This
follows what is called a ‘cover and run down’ technique,
whereby the raw material is moistened with suitably diluted
industrial methylated spirit, packed into a percolator and
macerated for a few hours, after which the liquid is run off.
The partially extracted material may then be covered with
more solvent, macerated as before and a second volume of
liquid collected. This process may be repeated several times,
but the later, weaker, percolates may be used to start the
extraction of a fresh batch of drug. Belladonna, ipecacuanha,
senega and squill, may be extracted in this way. Since no
preparation for internal use must contain methanol, the
686
percolate is evaporated under reduced pressure until tests
show the absence of this toxic substance (Sergeant, 1950).
After assay for alkaloid or total solid content, the
concentrated extract is diluted with water and ethanol to
produce a liquid extract or tincture containing the correct
concentration of alcohol and active principle. This process
cannot be used for materials which contain volatile material
or which undergo change during the evaporation stage.
Cocillana, for example, would become resinous if evaporated
to a soft extract, and it is extracted by reserved percolation,
which also retains the characteristic odour of the product.
Factors Affecting the Efficiency of the Leaching

Process
Pretreatment of The Raw material and the Mechanism of

Leaching
Some preliminary treatment of the raw material is nearly

always necessary in order to facilitate extraction of the active
principles. Where these are contained in cells near the
epidermis, drastic comminution is unnecessary, and bruising
or slicing thinly is adequate before maceration. Further
treatment could, indeed, lead to an inferior product due to loss
of volatile constituents. Occasionally, the raw material needs
to be freshly prepared; thus cardamom seed must be freshly
removed from the fruit and used immediately after being
bruised or coarsely powdered.
Tissues which yield their active principles less readily must
be reduced to a powder before extraction and it is very
important that this should produce material of the right
particle size. The smaller this is, the greater will be the
687
surface area exposed to the solvent, and the shorter will be the
distance through which this must diffuse to reach the solute
and extract it. Increasing the degree of comminution will
therefore lead to a faster rate of extraction. The most suitable
particle size, however, is not necessarily the smallest, and it
will depend on the physical nature of the raw material and of
the solvent employed. Hard, woody, materials that are
leached by a solvent which causes little swel1ing of the
tissues, can be reduced to a fine powder, e.g. ipecacuanha,
which is extracted with 80 per cent alcohol. Tissues that swell
in the solvent, however, would produce a bed of low
permeability if similarly treated. Also, although the cell walls
of organized drugs retard the leaching of active constituents,
they perform a useful function in preventing the extraction of
unwanted high molecular weight constituents. Rupture of a
considerable proportion of the cells by reduction to a fine
powder may therefore yield an excessive amount of inert
material which could hinder subsequent purification of the
active principle or render difficult the clarification of a
galenical (Bull, 1935; 1936). Fine dry grinding may also
affect the chemical properties of plant constituents and
thereby initiate chemical reactions in which the active
principle forms complexes with other cell constituents from
which the pure compound becomes difficult to separate (Pirie,
1956).
If the cell walls remain intact, diffusion through them may be
the rate determining step and this will be in accordance with
Fick’s first law of diffusion (see Chapter 9). Extraction is not,
however, always governed by molecular diffusion since
dialysis and slow dissolution may be controlling factors
(Karnofsky, 1949a). Other factors may also be important; for
example, Othmer and coworkers (1955, 1959) demonstrated
that, when soybean flakes are shaken with solvent, the oil
688
extraction rate is controlled by capillary action within the
broken cells. They showed the dependence of this upon the
surface tension, density and viscosity of the solvent.
Hydrostatic pressure, particle cohesion and convection
currents are also important.
Dean et al. (1953) observe, however, that the rate of leaching
finally depends upon the permeability of the cell wall. They
suggest that Belladonna and Stramonium Tinctures may be
rapidly prepared by passage of the drug suspended in the
solvent through a colloid mill followed by clarification in a
centrifuge. Another method which, on a small scale, might
increase the efficiency of extraction of plant tissue is to
subject the macerating material to ultrasonic vibration.
Thompson and Sutherland (1955) postulated that this
decreased interfacial resistance to mass transfer, increased the
interfacial area by reducing particle size, and increased the
rate of dispersion of active principle away from the interface
into the bulk of the solvent. As has been said above, however,
such methods may lead to the extraction of unwanted
material.
Since the raw material must form a bed of adequate
permeability the particle size distribution should be
sufficiently narrow to achieve this. A wide distribution would
lead to a low porosity, because the smaller particles would
tend to fill the voids between the larger particles. For this
reason the monographs of the official preparations indicate a
suitable degree of comminution and reference should be made
to the official classification of powders.
689
The Nature of the Solvent
The ideal solvent should be selective in dissolving only the

wanted constituents, but is rarely if ever met. The commonest
solvent, water, is almost nonselective and alcohol is often
insufficiently so. In practice dilute alcohols are used for many
extractions but in some cases stronger a1cohol may be
necessary to avoid solution of unwanted substances of high
molecular weight, such as gums.
Additional processing is occasionally needed in order to
remove undesirable constituents. Thus, before extracting
ergot alkaloids with acid alcohol, the powdered ergot must
first be defatted with low-boiling-point petroleum. In other
cases the extract may be defatted. Thus on a small scale, in
making Nux Vomica Liquid Extract, a liquid–liquid
extraction may be used; the percolate, after concentration, is
heated and shaken with hard paraffin, which retains the fat on
cooling. Nux Vomica can also be extracted by a ‘cover and
run down’ process using boiling water. Several of these
extractions, each lasting about a day, may be needed to
extract an economical amount of alkaloid. The aqueous
extract can then be separated from the oil, concentrated by
evaporation and re-extracted with strong alcohol to remove
unwanted colloidal material. Further evaporation gives a soft
extract which, after assay, can be suitably diluted with alcohol
to make the tincture.
Aqueous extracts are subject to degradation by enzyme
action. This can be inhibited by including alcohol to give a
concentration of 25 per cent or more, but the enzyme is not
destroyed and care must be taken to avoid subsequent
conditions in which the enzyme activity can be restored.
Water also supports the life of microorganisms which may
690
degrade the drug constituents and it is therefore usually
necessary to include preservative to prevent this. For most
purposes alcohol is used, as it inhibits microbial activity at
about the same concentration as is required to inhibit the
isolated enzymes. Chloroform Water is used for the cold
extraction of liquorice on a small scale, but it is lost when the
extract is concentrated by evaporation, and preservation is
maintained by addition of alcohol.
It has already been pointed out that some tinctures may need
to mature for some time before being finally clarified. Undue
deposition of inactive constituents may sometimes be
prevented by enhancing the solvent power of the final
product, e.g. glycerol is included in Compound Rhubarb
Tincture as a solvent for tannins. Alternatively, precipitation
of the unwanted material may be ensured by adjustment of the
solvent; thus ammonia added to Senega Liquid Extract
produces a slight alkalinity which precipitates inert matter and
a bright product is obtained after filtration. With liquorice,
however, a bright extract of nearly neutral pH can be obtained
without the addition of ammonia and so a check for its
absence is included in the official monograph. An increase in
pH above neutrality considerably enhances the colour
intensity and a variable product would be obtained if
unspecified amounts of ammonia were present (Oakley &
Stuckey, 1949). The colour intensity of Liquorice Liquid
Extract is also influenced by its trace metal content (Collett,
1950; 1953). The equipment used for making it must
therefore be carefully chosen.
If the solvent is to remain in the final product, it must be
nontoxic. A number of liquids which are good solvents for the
principles to be extracted may therefore be unsuitable for use.
If, however, the solvent is to be removed by evaporation,
freedom from toxicity is less important, provided that there is
691
no hazard in its use. It must be completely volatilized during
the evaporation process, but its boiling point should not be so
low as to cause difficulties during the leaching process, which
might necessitate the use of specially constructed equipment
operating under pressure. The solvent should also be plentiful
and cheap and have a low specific heat in order to reduce the
cost of its removal. Preferably it should also be
noninflammable. It should also have a low viscosity, for this
facilitates the leaching of solute from the tissues, the
percolation of solvent through the bed of the material and the
pressing of the marc and subsequent handling of the solution.
Concentration of the solution by evaporation is also
influenced by the viscosity, since a high viscosity reduces the
rate of heat transfer and increases the risk of overheating
thermolabile solutes. A high solution viscosity also restricts
the design of suitable evaporators.
For the solvent extraction of oils, such solvents as benzene,
light petroleum, or trichloroethylene can be used, while ether
is used for the extraction of Male Fern. Where traces of water
might interfere with the extraction process, a water-miscible
solvent, such as acetone, may be preferred. Acetone is used
for the extraction of spices and Ginger Oleoresin. For
Capsicum Oleoresin, however, alcohol may be preferred on
an industrial scale, since a liquid–liquid extraction may be
used later to get rid of water-soluble material. This is an
alternative to percolation with acetone and removal of this,
followed by cold extraction of the residue with alcohol.
Besides alcohol, hydrocarbons are also used to extract
alkaloids. The raw material must, however, first be moistened
with water or an alkaline solution to liberate the free
alkaloidal base. This technique can be used to obtain
reserpine, the moistened rauwolfia powder being extracted
with hot benzene in a Soxhlet apparatus (Boehringer et al.,
692
1957). Purification of an alkaloid may be facilitated by such a
procedure. The extract as first obtained will consist of a
mixture of compounds, often chemically related but of
differing pharmacological activity. One or more of the
alkaloids will need to be further extracted from this mixture,
perhaps by a change of solvent. An alkaloid may be
partitioned from solution in a hydrocarbon into acidified
water. By careful adjustment of the pH of the aqueous extract,
separation of closely related compounds can be achieved by
further liquid–liquid extraction. Final purification of alkaloids
may also be assisted by careful choice of the acid used to
make a crystalline salt (Svoboda & Shahovsky, 1953).
Careful selection of solvent may be necessary, not only to
achieve a maximum extraction of active principle, but also to
prevent undue destruction during the extraction process
(Campo & Gramling, 1953). Racemization may also be an
undesirable result of poor choice of solvent (Carkhuff &
Gramling, 1952).
Various workers have investigated the effect of adding
surfactants to the solvent (Helman, 1969). Nonionic
compounds in alcoholic solvents may improve the extraction
of alkaloids and, by enhancing the imbibition of solvent by
the vegetable tissue, lead to a more rapid extraction with
increased selectivity for alkaloid (Butler & Wiese, 1953;
Srivastava & Chadha, 1963). In comparing the different
classes of surfactants however, Brochmann–Hanssen (1954)
concluded that nonionic surfactants had little or no effect on
the yield of alkaloid. He demonstrated that salts of cationic
surfactants gave the best extraction, whereas anionic
compounds were unsuitable due to solubilization and an
increased permeability of the cell wall, although an ion
exchange mechanism was postulated for cationic surfactants,
many alkaloids being combined with cellular constituents
693
such as acids, proteins and cell wall components (Witt et al.,
1953). Such adjuvants can only be used where the alkaloids
are to be further purified, otherwise they would be present in
the final product.
Temperature
The use of elevated temperatures is often precluded by the

thermolability or volatility of the active principle, or by an
increased extraction of unwanted constituents. For the
isolation of a pure thermostable compound, however, raising
the temperature of the solvent has the effect of hastening the
leaching process, owing to the increased rate of diffusion,
stronger convection currents and better solubility of the active
principles. An enhanced solvent action is also assisted by loss
of the integrity of cell walls and membranes.
Obsolete processes involving the use of hot solvents include
the preparation of fresh infusions and decoctions. Fresh
infusions were prepared by macerating the drug in a covered
vessel for periods ranging from 15minutes to 2 hours,
followed by straining. Generally the water was boiling when
first added, but occasionally cold water was used either to
prevent too much leaching or to avoid gelatinization of starch.
Fresh infusions were not adjusted to volume. Decoctions were
prepared by boiling the drug with water, the process being
restricted to drugs whose active principles were not volatile in
steam. After straining, the volume was adjusted by passing
water over the contents of the strainer.
Both maceration and percolation processes are amenable to
the use of hot solvent. Maceration is accomplished by heating
the drug and solvent in a closed vessel, this modification
694
being known as digestion. Hot solvent is sprayed over the bed
of raw material in some industrial processes.
Hot water is used for extracting liquorice and cascara, as a
precursor to the official processes, but apart from
thermolability or volatility of active principle, many drugs are
not amenable to such treatment since inert extractive may
tend to precipitate for months afterwards. An additional
advantage with cascara, however, is that the elevated
temperature reduces enzymatic degradation (Fairbairn &
Simic, 1970). Hot extraction is also used for nonofficial or
nonmedicinal products: thus quassia is extracted with hot
water and buchu with hot alcohol.
Occasionally it is necessary to subject the raw material to the
action of hot solvent for an extended period of time,
particularly when the solute is not readily soluble, or
penetration of cellular tissue is slow. Such cases include the
extraction of fixed oils from seeds and of alkaloids by means
of such solvents as hydrocarbons, chloroform or methanol,
and of ginger oleoresin with acetone.
A small scale extraction apparatus is shown in Fig. 13.2. It
consists of a flask, a Soxhlet extractor and a reflux condenser.
The raw material is usually placed in a ‘thimble’ made of
filter paper and inserted into the wide central tube of the
extractor. Solvent is placed in the flask and boiled, its vapour
passing up the large right hand tube into the central space
above the drug and thence to the condenser. The condensate
then drops back on to the drug, through which it percolates,
leaching solutes in the process. When sufficient of the
solution has collected to raise its level to that of the top of the
siphon tube, shown on the right hand side, the whole of the
collected percolate siphons over into the flask. The suction
effect of the siphoning assists permeation of solvent through
the drug. A limited amount of hot solvent is thus made to
695
percolate repeatedly through the raw material, the solutes
from which are transferred to the flask.
Fig. 13.2 Small-scale extraction apparatus.
696
This principle of continuous hot extraction is sometimes used
to extract a drug for the purposes of assay. A simple form of
apparatus is described in the British Pharmacopoeia. It is
shown in Fig. 13.3 and has the advantage that the hot, rising
vapours encircle the material to be extracted, though the short
period of maceration undergone in the Soxhlet apparatus is
sacrificed.
Fig. 13.3 Apparatus for continuous extraction of drugs.
A large-scale plant has also been designed based on this

principle.
697
Enzyme Activity
Enzyme action may increase solvent penetration of tissues,

for example autolysis of lung tissue facilitates the extraction
of heparin. Sometimes, fermentation may alter the
composition of the soluble constituents, but occasionally the
actual yield of an
active principle is increased. The sapogenin content of
Dioscorea, for example, is increased if the tubers are
homogenized with water and allowed to ferment before
extraction.
Generally, however, enzyme activity needs to be minimized.
The use of strong alcohol and elevated temperatures has been
mentioned previously. Protein precipitation may also be used.
In the Stoll process for the extraction of Digitalis glycosides,
for example, hydrolytic enzymes are inhibited by
precipitation with ammonium sulphate added directly to the
homogenized tissues. The glycosides can then be extracted by
maceration with 70 per cent alcohol with minimum loss.
Equipments for Leaching Coarse

Solids
Open tanks and drag classifiers are two main classes of
devices used for leaching coarse solids. The earliest and the
simplest form of extraction apparatus, and one that is still
used to an appreciable extent, is an open tank, containing a
false bottom or filter of some sort. Into this tank, solid
materials charged, the solvent is applied at the top and is
allowed to percolate down through the charge, and is drawn
off below the false bottom. In such tanks, the solvent is not
698
simply distributed over the solid, but the entire tank is flooded
with solvent. Filter bottoms are constructed in an endless
variety of forms. Fig. 13.4 shows a few constructions. In A,
perforated boards are laid on notched bearer strips on the
bottom of the tank. In B, triangular pieces are laid on top of
notched bearers, and the space between them is filled with
gravel to act as a filter medium. In C, simple strips are used,
spaced closely enough to retain the average lump of solid. In
D, there is shown a method of constructing a cloth filter
bottom that is often convenient. Notched bearer strips are laid
on the bottom of the tank at intervals of a few inches. A band
and or hoop is fastened to the bottom of the tank from half an
inch to an inch inside the wall. The filter cloth is cut large so
that it lies over the space between this hoop and the side of
the tank and is then made tight by caulking a hemp rope into
the groove. In some cases, the rate of solution is sufficiently
higher so that one passage of the solvent down through the
material gives a satisfactory extraction. After a wash with
fresh solvent to remove adhering solution, the solid can be
discarded. Such tanks have often been built for manual
discharge, but it is more satisfactory to provide either side or
bottom doors through which the solid can be flushed with a
hose.
699
Fig. 13.4 Tank filter-bottom construction: (A) perforated
boards on bearers; (B) support for gravel filter; (C) support
for coarse material or filter cloth; and (D) method of securing
filter cloth.
In the one-tank method of extraction, the most concentrated

solution that can usually be made is relatively dilute. If it is
necessary to prepare a stronger solution than this,
counter-current operation is used. In counter-current
operation, there is a series of tanks, each such as the one
described above, containing solid in various stages of
extraction. This arrangement is called extraction battery.
Fresh water is introduced into the tank containing the solid
that is most nearly extracted, flows through the several tanks
in series, and is finally withdrawn from the tank that has been
freshly charged. The material in any one tank is stationary
until it is completely extracted. By means of suitable piping
connections, the fresh solvent can be fed to any tank and
strong solution drawn off from any tank, it is possible to
charge and discharge one tank at a time. The remainder of the
battery is kept in strict counter-current by advancing the inlet
and draw-off tanks one at a time as the material is charged
700
and removed. Such a process is sometimes called the Shanks
process and was first applied to the leaching of black ash in
the LeBlanc soda process. An important representative at
present is the extraction process used in the Chilean nitrate
fields, although it is often used in many other cases, such as
the production of tanbark extracts and the leaching of copper
ores.
The Dorr classifier may be used for leaching granular
materials that are not fine enough to remain in suspension in
the solvent and that contain the solute in such a form that it
may be extracted by surface washing. When used for this
purpose, several decks in series are usually employed and the
solid and liquid flow in counter current.
Leaching Intermediate Solids
In most cases in practice, these happen to be vegetable

materials. The substance to be extracted is contained in the
plant structure itself; and therefore, to bring it in contact with
the solution, one must (1) grind the solids so fine that all cells
are ruptured or (2) give enough time for the diffusion of the
solute to the surface, where it can come into contact with the
solvent. When it is considered that crushing to 200mesh is
about as fine as can usually be accomplished on vegetable
materials without excessive costs, it will be seen that the idea
of bursting all the cells is impossible, because a fragment of
solid passing a 200-mesh sieve will still have many hundreds
or thousands of
cells unbroken. In some cases, the breaking of the cell
releases undesirable material; and, if the solute desired can be
obtained by diffusion through the cell wall or through
capillaries, it can be obtained in a higher state of purity.
701
Operations in this field can be visualized in terms of the
extraction of sugar from sugar beets and the extraction of oil
from oil-bearing seeds. In the case of sugar beets, when the
cossettes are kept as a fixed bed, the length of path of the
water over the cossettes must be so long that this produces a
considerable frictional resistance, and therefore the apparatus
is closed so that enough pressure can be developed to force
the liquid through this long column of chips. In the case of oil
seeds, the solvent is usually a volatile solvent and here again
the apparatus must be closed to prevent loss of solvent. The
equipment for the two kinds of work outlined above has
developed more or less empirically and consequently does not
seem to be at all uniform in design.
Robert Diffusion Battery (Fixed Bed)
This was developed primarily in the beet sugar industry, but

is also used for the extraction of tanning extracts from
tanbark, for the extraction of certain pharmaceuticals from
barks and seeds, and similar processes. It consists of a row of
vessels filled with the material to be extracted and through
which water flows in series. The piping is so arranged that the
fresh water comes in contact with the most nearly extracted
material, and the strongest solution leaves from contact with
the fresh material. Since each cell is filled and discharged
completely, one at a time, each cell in the battery changes its
position in the cycle, and therefore the piping must be so
arranged that water can be fed to any cell and the thick liquor
drawn off from any cell, as circumstances may dictate. The
arrangement of valves and piping became standardized in the
beet industry and is generally found in all forms of diffusion
battery, no matter in what field they are used.
702
Fig. 13.5 is a diagrammatic illustration of the principle of a
diffusion battery. It will be discussed on the basis of the
extraction of beet chips, but the operation is the same on any
substance. For every vessel or cell, there is a heater, as the
diffusion process takes place more rapidly at higher
temperatures. In some cases, the heater may be dispensed
with and a simple pipe takes its place. Two main heaters are
necessary. One handles water and the other handles solution;
and for every cell, there must be three valves. In Fig. 13.5, the
valves that are open are shown as circles and the valves that
are closed are shown in solid black.
Fig. 13.5 Diagram of diffusion battery: (A) Filling period and

(B) Drawing period.
Cell 1 is nearly exhausted and cell 3 has just been charged

(Fig. 13.5A). The space between the cossettes in cell 3 is
therefore filled with air. Water is introduced into cell 1 and
flows down through the cell, up through the heater, down
through cell 2, and up through its heater. It would not be
convenient to pass the solution down through cell 3 because
of the air that would be entrapped, and the charge is cold,
therefore additional heating is desirable. Consequently, the
liquid flows from the heater of cell 2 through the solution
line, down through the heater of cell 3, and up through cell 3.
703
A vent at the top of this cell discharges air. When liquid
appears at this vent, the valves are quickly changed to the
position (Fig. 13.5B). Liquid now flows down through cell 3,
up through its heater, and out to the process. The operation
shown in Fig. 13.5B is continued until cell 1 is completely
extracted. By this time another cell to the right of those shown
has been filled; cell 1 is 18 dumped; water is introduced to
cell 2; and the process continued. In diffusion battery for beet
cossettes, there may be 10–15 cells. The actual arrangement
of a diffusion battery is shown in Fig. 13.6, in which the
valves and pipelines may be identified by reference to Fig.
13.5. Sometimes the cells are arranged in a circle. In case the
battery is built in a straight line to save floor space, there must
be a third pipeline, called return line, to carry solution from
one end of the battery to the other when the first and last cells
are in various intermediate positions.
704
Fig. 13.6 Diffusion battery.
The construction of the bottom of a cell is shown in Fig. 13.7.

The door is made tight after latching by inflating a tubular
gasket by hydraulic pressure. A number of chains are hung
across the cell at several levels to prevent the cossettes
packing.
705
Fig. 13.7 Bottom of diffusion cell.
Continuous Diffusion Batteries
For a number of years attempts have been made to replace the

Robert diffusion battery with a battery that requires less
labour and produces a higher concentration in the juice or
extracts the cossettes more completely. All the proposed
designs have been based on a continuous movement of the
beets through the battery by mechanical means instead of
leaving them as a fixed bed as in the Robert battery. Some of
these batteries have been successful in both Europe and the
United States, and the present tendency is entirely in this
direction. One of the accepted designs in the United States is
the Silver continuous diffuser (Fig 13.8).
706
Fig. 13.8 Silver continuous diffuser: (A), (A′), and (A″),
extraction troughs; (B) Conveyor for moving cossettes; (C)
Feed chute; (D) transfer wheel; and (E) transfer chute for
chips.
The figure shows only three units, but actually the battery
consists of 20–24 units arranged in two tiers, one above the
other. The battery consists essentially of a series of closed
troughs A, A′, A″, each provided with a helical screw B.
Cossettes are introduced into the battery through chute C and
are carried together with the liquid in the direction indicated
by the arrows. At the end of the first trough is a wheel D with
inclined perforated buckets on the inside. It is so arranged that
the screw B discharges the cossettes into this wheel, where
they are picked up by the buckets, drained free from juice,
lifted, and discharged through chute E, which takes them into
the second trough A. Here the helix carries them in the
opposite direction (i.e. towards the reader), discharges them
from this to another wheel, which in turn forwards them to
707
another trough A″, and so on until they are exhausted and
leave the battery.
The flow of liquid is not strictly counter current. Water is
introduced as shown into the first trough (A″) and flows with
the cossettes until they are discharged into the wheel. The
buckets on the wheel act as paddles and lift the liquid up over
a weir, from which it is discharged into the corresponding end
of trough A′ to flow towards the reader in parallel current
with the chips. Thus the flow through the Silver battery (as is
indicated by the arrows) is partly parallel current (through the
troughs) and partly counter current, in that the cossettes are
advanced from trough to trough in one direction while the
solution is advanced from trough to trough in the other
direction. The first few troughs in the series are steam
jacketed, so that the cossettes may be quickly heated to
diffusion temperature. The troughs are covered, not because
the liquid is under pressure, but simply for cleanliness. The
troughs are about 5 ft in diameter and 20 ft long, and the
wheels are about 12 ft in diameter.
Oil-Seed Extraction
The extraction of oil from oil-bearing seeds is a process of
relatively recent development, and the equipment has not yet
been standardized. A number of widely different types of
apparatus are found at present, and only experience will
decide which types will survive.
In the extraction of oil from oil seeds a certain amount of
preliminary treatment is necessary. The seeds must be
crushed to a certain extent (some seeds can be extracted
nearly whole), and the seeds may or may not first be
subjected to a pressing process to remove a part of the oil.
708
This is not only to lighten the load on the extraction
equipment. Pressed oil usually has different characteristics
than extracted oil and commands a different price. After
crushing (with or without pressing), the seeds have to be very
frequently steamed or pretreated in some manner to be
rendered more receptive to the extraction treatment. The seeds
are then usually flaked by running between two smooth
rollers. The type of flake produced (which, of course, varies
with the different seeds and with different methods of
milling) is extremely important in the operation of the
extractor, so that the mass of flakes in any given unit of the
extractor shall be porous enough to let the solvent drain
through and yet not so porous as to permit channelling that
would allow solvent to go through without properly extracting
the seeds.
Very little is known about the mechanism of the extraction
except that it is fairly certain that it is not a problem of the
diffusion of oil from the inside of oil-bearing cells into the
solvent, but rather probably a diffusion of oil out of, and of
solvent into, the many capillaries produced by the crushing
action. Even with the design of an extractor that has proven
successful in certain operations, variations in the behaviour of
different seeds, the different physical properties, and the
different amounts and purities of oils have so much effect on
the performance of the process that any transfer of a given
piece of equipment from one industry where it is successful to
another industry where it has not been used must be very
carefully investigated.
One type of extractor consists of a number of half-round
horizontal troughs side by side. Each trough has a set of
paddle wheels that lift the flakes from one compartment to the
next while solvent flows counter current. This has been used
709
in limited cases in the United States, particularly on flax seed
and cocoa beans.
Another method, widely used in Germany, depends on a
series of screw conveyors arranged in the general form of a
vertical U. Seeds are charged into one end of the U, conveyed
downwards by one screw conveyor, across the bottom by a
second, and up the other vertical leg by a third conveyor.
Solvent flows strictly in counter current. This has not been
accepted in the United States. Another design of extractors
consists essentially of a vertical column with a considerable
number of horizontal plates across the column. These plates
have apertures in varying positions so that the meal gradually
works down the column. Solvent is pumped up through the
column, and a central shaft, with scrapers or agitators on each
plate, keeps the flakes moving. There are at least three
modifications of this in use in the United States, differing
only in slight mechanical details. They are possibly more
limited in their application than the two types which will be
described next.
Basket Extractor
This is sometimes called the Bollman type (Fig. 13.9). It

consists of a vertical chamber in which a number of baskets A
with perforated metal bottoms are carried on a chain running
over two sprocket wheels B. As the buckets rise at the end of
their travel, fresh solvent is added into each bucket as it nears
the top of the column as at C, so that the solvent, with the oil
it contains, percolates down through the seeds in the rest of
the buckets in the rising column. The resulting dilute solution
collects in the bottom of the apparatus at D. It is called half
710
miscella. The word miscella is used in this particular industry
to designate the solution of oil in solvent.
Fig. 13.9 Basket-type oil-seed extractor: (A) Baskets; (B)

Chain sprockets; (C) Solvent-feed position; (D) Collection
trough for half miscella; (E) discharge chute for extracted
seeds; (F) half-miscella-feed position; and (G) Collection
trough for final miscella.
At the top of their travel, the buckets are inverted, and the
exhausted meal is discharged into a chute E, from which it is
711
removed by a screw conveyor. The buckets then come under
a feed hopper and are filled with fresh meal by an
earnoperated device actuated by the buckets. As they descend
they are sprayed with the dilute solution near the top of the
column as at F, which then percolates down through the
buckets in the descending column and collects in the bottom
at G as the fully concentrated miscella, which is withdrawn
for further treatment. It will be noted that this operation is
partly counter current (in the ascending column of buckets)
and partly parallel current (in the descending column of
buckets). A truly counter-current operation would be highly
desirable, but it does not seem feasible to work out the
equipment of this type in which the operation is truly counter
current.
Rotocel Extractor
The Rotocel extractor (Fig. 13.10) consists of a short cylinder

with its axis vertical, enclosed in a vapour-tight housing. This
cylinder is divided into a considerable number of
wedge-shaped compartments with hinged, perforated
bottoms. As the cylinder rotates on its vertical axis, a given
compartment first comes under a chute A where it is filled
with meal and then passes on to be treated with solvent in
various stages of concentration. After extraction is completed,
the cell passes over discharge chute B where the hinged
bottom C drops and discharges the exhausted meal.
712
Fig. 13.10 Rotocel oil-seed extractor: (A) Feed opening; (B)
discharge opening; (C) hinged bottom of cells; (D) Stage
pumps; and (E) Sprays.
There is a series of pumps, called stage pumps, D, which

pump the solvent out of the compartment at one position and
discharge it into the compartment at the previous position
through sprays E. This gives a true counter-current extraction.
The machine has a flexibility that cannot be equalled in the
basket extractor.
The radial compartments shown are not the rotating
compartments filled with seeds, but are compartments in the
liquid reservoir under the rotating member. Compartment 7 is
large to provide ample time for drainage of the flakes before
discharge. Miscella is not withdrawn from compartment 1,
because here it may contain suspended solids. These are
filtered out by passing through a bed of seeds in compartment
2, and finished miscella is removed here. The solvent used is
almost invariably hexane. Chlorinated solvents, such as
713
trichloroethylene, have been proposed, but in general the cost
of such solvents is too great to make them practical. Whether
the solvent be hexane or chlorinated solvent, the danger of
explosion or of excessive solvent loss makes it necessary that
the extractor be in a completely vapour-tight housing. This
complicates all problems of feed and discharge to a
considerable degree. The operation of Rotocel extractor is
diagramatically shown in Fig. 13.11.
Fig. 13.11 Operation of Rotocel extractor.
Extraction of Fine Material

When the solid to be extracted can be ground so fine that it
can be kept in suspension in the solvent by reasonable
agitation and separated from the solvent reasonably easily,
extraction apparatus becomes quite simple. In practice, this
usually requires that the solid be ground to approximately
200mesh. This can be accomplished only on relatively hard
714
materials, and therefore such methods as are to be described
may be employed for the leaching of ores or precipitates.
Typical processes are the extraction of gold by cyanide
solutions, the preparation of alum solutions from bauxite by
leaching with sulphuric acid, the leaching of caustic soda
from calcium carbonate precipitate and similar operations. All
the methods to be described under this heading originated in
the cyanide process for the extraction of gold and were long
used in that process before they were applied to other
chemical operations.
These extraction processes require only (1) an apparatus in
which the finely divided solid may be kept suspended in the
liquid, (2) apparatus for washing the solution from the surface
of the solid particles, and (3) apparatus for separating the
washed solids from the wash solution. The latter two steps are
usually (but not necessarily) accomplished in the same
apparatus. Any type of tank or other container provided with
agitators in the form of paddles, propellers, or air jets may be
employed for the solution stage. Only one special
construction has found sufficiently wide use to warrant
specific description.
The Dorr Agitator
It consists (Fig. 13.12) of a flat-bottomed tank with a central

air-jet lift. This tube also serves as a shaft and carries a set of
arms both at the top and at the bottom. The bottom arms are
provided with scraper blades set at an angle so that they carry
any settled material towards the central air-jet lift: the upper
arms are in the form of launders and receive the discharge
from the air-jet lift. They have a number of perforations so
that they distribute the suspension over the surface of the tank
715
as they rotate. The lower arms are usually hinged and
provided with means for lifting them from the bottom of the
tank when the power is interrupted, so that they may not be
blocked with settled material that would prevent their starting
again. Any type of agitator used for extraction may operate
either continuously or discontinuously. The simplest method
is to charge a batch of solid and solvent into the agitator,
agitate this batch until solution is complete, and then remove
the entire batch. In large-scale operations, it is more desirable
to operate continuously. In this case, the agitator is provided
with inlet and outlet pipes at opposite sides, as indicated in
Fig. 13.12.
Fig. 13.12 Dorr agitator.
Continuous Leaching of Fine Solids

Extraction processes, involve two cases both of which can,
fortunately, be handled in the same equipment. The first is the
dissolving of one soluble constituent from a mixture, more or
less intimate, with another inert constituent. Examples are the
dissolving of gold from ores, soluble copper from oxidized
ores, sugar from the cells of the beet, oil from the cells of oil
seeds, soluble pharmaceutical products from bark or roots,
716
and so on. In such cases, the desired material must not only be
put into solution but the solution must also be washed off the
solid. A second case is where there is no dissolving action to
be performed but a solid suspended in a solution must be
freed of that solution. This latter can sometimes be
accomplished by filtration alone but is also often handled by
processes discussed in this section. These processes may be
so incorporated in the equipment that it is impossible to say,
for any particular point in the system, whether the action is
solution or washing. This is particularly true with the
diffusion battery and the oil-seed extractors. In many cases a
chemical reaction produces a precipitate that must be washed
free from solution. In this case, there is no soluble constituent
of a solid to be dissolved. It is merely a case of decreasing the
concentration of the solute in the film of solution adhering to
the solid particles, and thus accomplishing a more or less
complete separation of the soluble and insoluble materials.
Such operations may be carried out by stirring up the
precipitate with solvent, allowing it to settle, draining off the
supernatant solution, and repeating the process as many times
as may be desirable.
This may be done with a fresh batch of solvent each time, or
it may be done in counter current, that is, fresh solvent may
be used only for the last wash on the precipitate that is about
to be discarded. The resultant solution is saved and used for
the next to the last wash on the next batch, and so on. On a
small scale, this operation may be carried out intermittently in
the same agitator tank that was used for the main extraction.
In large-scale operations, where it is desirable to operate
continuously, a modification of the apparatus is necessary and
the resulting system is known as counter-current decantation.
717
The Dorr Thickener
The most widely used settling apparatus is the Dorr thickener

(Fig. 13.13). This consists of a flat-bottomed tank of large
diameter compared to its depth and having a central shaft on
which is a set of slowly revolving arms. A mixture of liquid
and finely divided solid is fed into a central well with as little
disturbance of the liquid in the tank as possible. The diameter
of the tank is made such that the time any particular quantity
of liquid is in the tank is sufficient for the solids to settle from
it. Clear liquid overflows into a launder around the
circumference of the tank, and the slowly moving arms at the
bottom gradually scrape the settled solids to the centre, where
they are withdrawn. The Dorr thickener is merely a device for
separating solids from liquids, but it is extremely useful in the
washing processes.
Fig. 13.13 Dorr thickener.
718
Moving-Bed Leaching
In the machines (Fig. 13.14), the solids are moved through the
solvent with little or no agitation. The Bollman extractor (Fig.
13.14) contains a bucket elevator in a closed casing. There are
perforations in the bottom of each bucket. At the top
right-hand corner of the machine, as shown in the drawing,
the buckets are loaded with flaky solids such as soybeans and
are sprayed with appropriate amounts of ‘half miscella’ as
they travel downwards. Half miscella is the intermediate
solvent containing some extracted oil and some small solid
particles. As solids and solvent flow concurrently down the
right-hand side of the machine, the solvent extracts more oil
from the beans. Simultaneously, the fine solids are filtered out
of the solvent, so that clean ‘full miscella’ may be pumped
from the right-hand sump at the bottom of the casing. As the
partially extracted beans rise through the left side of the
machine, a stream of pure solvent percolates countercurrently
through them. It collects in the left-hand sump and is pumped
to the half-miscella storage tank. Fully extracted beans are
dumped from the buckets at the top of the elevator into a
hopper, from which they are removed by paddle conveyors.
The capacity of typical units is 50–500 tons of beans per
24-hour day.
719
Fig. 13.14 Bollman extractor (front and side views).
The Hildebrandt extractor, shown in Fig. 13.15, consists of a

U-shaped screw conveyor with a separate helix in each
section. The helices turn at different speeds to give
considerable compaction of the solids in the horizontal
section. Solids are fed to one leg of the U and fresh solvent to
the other, to give countercurrent flow.
720
Fig. 13.15 Hildebrandt extractor.
Another moving-bed leaching unit is the Rotocel extractor,

which has been discussed earlier in this chapter. It contains
several compartments moving over a perforated horizontal
disc. The compartments are successively charged with solids,
passed
under sprays of solvent and emptied through an opening in
the stationary disk. This device bears the same relation to a
stationary-bed leaching tank as a continuous horizontal
vacuum filter bears to a vacuum nutsche. Single-deck and
multiple-deck rake classifiers are also used for leaching
coarse solids.
Liquid– Liquid Extraction

Liquid–liquid extraction is used for some commercial scale
procedures and is chosen when a pure compound is required.
721
Thus, the production of bacitracin involves partitioning from
the bacterial growth medium into butanol (Inskeep et al.,
1951). To obtain a satisfactory distribution between solvents
it is necessary to select these so that there is as large a
difference as possible between the partition coefficients of the
various constituents of the crude extract. The distribution
between water and an organic solvent will depend on the
hydrophilic and hydrophobic groups present in the molecule,
and if the hydrophilic groups are ionizable, pH will be an
important factor (Newton & Abraham, 1950). If the ionization
constants of isomers are appreciably different, then separation
of these can be achieved (Walker, 1950).
The properties of a liquid–liquid interface affect the rate and
energy of mass transfer across it. Decreases in interfacial
tension in some cases greatly increase liquid–liquid extraction
rates (Chu et al. 1950). This may be due to an increase in
interfacial area permitted by the lower tension (Garner &
Skelland, 1956). West et al. (1952) suggest that impurities
adsorbed at the interface between immiscible solvents may
retard the transfer of solute. This may be overcome by the
addition of short-chain (C6)alcohols which replace the
impurities at the interface and destroy the interfacial barriers.
Oils
The method of removal of oils from vegetable and animal

tissues depends on the nature of the oil and of the tissues
containing the oil. Vegetable fixed oils are removed by
expression or by leaching, whereas animal oils are obtained
by a process known as rendering. Such oils generally need to
be refined. Steam distillation, on the other hand, affords a
means of obtaining volatile oils in a form which requires little
722
or no further processing. One other process of very limited
application is enfleurage, used to collect some perfume oils.
Vegetable Fixed Oils
Fixed oils are contained in seeds or fruits and, when removed,

provide a valuable by-product of protein-rich meal for feeding
livestock. The processing of seeds is therefore designed not
merely to obtain a good quality oil, but also a useful residue.
Expression
Two main techniques are employed in expression. Hydraulic

pressing is a batch process in which the oil is squeezed out by
hydraulically exerting pressure on a mass of the material. The
other process involves continuous mechanical screw pressing,
in which the material is conveyed through a gradually
decreasing aperture and the oil is squeezed out by the
resulting pressure. In either case, cold or hot expression may
be used. Equipment used in these unit operations has been
described by Hutchins (1949) and by Dunning (1950, 1956).
The efficiency of pressing is largely determined by
pretreatment of the feed material. Seeds may need to be
sorted from foreign material, dried and (as for example with
peanuts) dehulled by passage through rollers having grooves
or cutting edges. Cottonseed also requires delinting. The
resulting undamaged seeds are then known as ‘meats’ and are
generally further processed immediately before pressing.
Linseed is crushed by passage through rollers; olives are
ground to a paste, and peanuts are broken in a hammer mill.
Where cold expression is necessary in order to preserve the
723
quality of the oil, as with castor and olive oils, the meats are
fed directly to the press.
A more complete extraction is, however, achieved by using
hot expression. The meats, containing a controlled amount of
moisture, are first cooked in order to coagulate protein and
phosphatides and to rupture the cellular tissue, thereby
making the oil more readily available. Most of the moisture is
then removed by evaporation and the dried cooked meats are
fed to the press while still hot.
Storage of seeds, particularly if they are moist, leads to
fermentation. This, together with cooking, tends to increase
the fatty acid content of the expressed oil. Hot pressing may
also impair the flavour and colour by increasing the amount
of aldehydes, ketones and colouring matter, owing to their
higher oil solubility at elevated temperatures. The stability of
the oil may by be diminished, since the higher temperatures
may affect the natural antioxidants, initiate autoxidation, or
increase the proportion of substances which accelerate
fermentation.
The oil that flows from the press will still contain some solids
even though the meat has been cooked to coagulate proteins
and phospholipids. These solids, known as ‘foots’, are
allowed to settle and are removed by filtration.
Solvent Extraction
In order to achieve an efficient rate of leaching and to

minimize the liberation of fines into the miscella, the seeds
need to be rolled into flakes of about 0.25mm thickness.
Preliminary cooking before rolling may also be advantageous,
for example with soybeans. When seeds are prepressed,
granulation of the cake may produce a more uniform leaching
724
of the residual oil and enable solvent to be more readily
removed from the meal.
Both maceration (‘immersion type’) and percolation
processes are used; various types of extractors have been
described by Karnofsky (1949b). Percolation requires a
porous bed and carefully prepared flakes, but has the
advantage over immersion– extraction of producing clear
miscella by the filtering action of the solids and in permitting
adequate drainage of miscella within the flakes. In order to
achieve a continuous maceration process, a
filtration–extraction technique is commonly employed.
Reynolds and Youngs (1964) cite a number of references to
the
processing of various seeds by this technique. For example,
cottonseed flakes are mixed with hexane, agitated, and the
oil-laden solvent is removed using a horizontal rotary vacuum
filter. The cake may then be washed by more solvent and the
washings used to process fresh feed (D’Aquin et al., 1953).
The quality of the oil and the residual cake will depend to a
large extent upon the type of solvent chosen. Solvents suitable
for glycerides include the straight-chain hydrocarbons.
Pentane has too low a boiling point but hexane can be readily
condensed and, being plentiful and cheap, is widely used.
Where an elevated temperature is necessary in order to
increase oil solubility, heptane may be suitable.
Trichloroethylene is also used, but while it is stable and
noninflammable, it has a high specific gravity making it
difficult to separate from solids, and it is toxic and may
sometimes extract unwanted constituents. Aromatic
hydrocarbons are not generally used because they extract too
much colour and yield dark oils. Water-miscible solvents
such as alcohols and ketones have the disadvantage that traces
of water reduce their limited solvent powers for the oil and
725
increase the extraction of water-soluble constituents such as
sugars. Their use does, however, assist in the refining of the
oil (Parkin, 1950).
Clarification of the miscella, which may contain up to 30 per
cent oil is achieved by straining or filtration, or by
centrifugation if a finely ground material was extracted by
immersion. The solvent may then be removed by passage
through a series of evaporators operating at atmospheric or
reduced pressure (Hutchins, 1968). Removal of the last traces
of solvent is achieved by steaming followed by vacuum
drying and rapid cooling before contact with air.
Refining
This has been reviewed by Rini (1960). Contaminating

components in a crude oil are free fatty acids, phosphatides,
colour, moisture and solids. Although olive oil may need little
or no refining, most oils require fairly drastic treatment in
order to improve their flavour, colour and stability.
While the phosphatides are soluble in dry oil, hydration
causes them to precipitate, and they must be removed in order
to make the oil palatable. Caustic soda solution may be added
in order to neutralize free fatty acids present and to achieve
some degree of discoloration. Careful selection of alkali
strength, mixing conditions and temperature is very
important, since too much caustic soda would saponify an
appreciable amount of glyceride. Saponification of the oil can
be prevented by employing Clayton’s soda ash process which
uses a concentrated sodium carbonate solution instead of the
caustic soda. The soaps formed from the free fatty acids also
entrain phosphatides, proteins, sugars, pigments and resinous
substances and are removed by centrifuging, after first
726
dehydrating the oil–soap mixture, followed by careful
rehydration just sufficient to cause the soap stock to break out
from the oil without forming an emulsion or entraining too
much oil. Although arachis oil may need no further alkali
treatment, cotton and linseed oils require further refining with
caustic soda in order to remove pigments (Thurman, 1949).
Bleaching may also be accomplished by treating the hot oil
with a suitable adsorbent such as Fuller’s earth, kieselguhr or
charcoal (Baldwin, 1949; Crossley et al., 1962).
An oil processed in the above manner may still not be
properly bland and a deodorization process may be necessary.
This consists essentially of fractional distillation of the minute
amounts of odoriferous materials from the oil with the
minimum of injury to the oil itself. Volatile constituents such
as peroxides and aldehydes are removed by heating the oil to
about 230° in a tank operating at only a few mmHg and
injecting steam-free air or oxygen. Rapid cooling before
contact with air is necessary in order to prevent deterioration
of the oil.
Traces of metallic soaps formed from processing equipment
can cause rapid deterioration of oils, but the soaps may be
inactivated by residual amounts of phosphatides in the oil.
Naturally occurring antioxidants include the tocopherols,
while the addition of butylated hydroxyanisole and butylated
hydroxytoluene is also permitted. Antioxidants suitable for
highly unsaturated oils are reviewed by Thompson and
Sherwin (1966).
Animal Oils
A process called rendering is used to separate fat such as lard

or tallow from the fatty tissues of animals (Vibrans, 1949;
727
Dormitzer, 1956). This process consists essentially of freeing
the oil by careful heating of the tissue, either under vacuum or
by treatment with live steam or warm alkali. The production
of fish liver oils also involves such treatment.
A good-quality cod liver oil is obtained by ‘cooking’ the fresh
livers with low pressure steam at a temperature not exceeding
85°C. After allowing separation to take place, the oil is
removed from the water, refined, and chilled to remove high
melting point components. The use of high temperatures is
desirable since this destroys lipase. Halibut liver oil may be
obtained by treatment of the livers with weak alkali. This
process may remove some of the natural antioxidants from
the oil, but the vitamin A stability does not seem to be
impaired (Hartman, 1950).
Volatile Oils
As the name implies, the components of these oils are all

sufficiently volatile for a distillation process to be used.
Occasionally, while the greater proportion of an oil is volatile,
it may be desirable to have much less volatile components
present as well, and collection by distillation would yield an
inferior product. Such is the case with lemon oil, which is
therefore obtained by expression.
A process of steam distillation is normally used, the
temperature of distillation being close to 100°. The vapour
pressure is largely that of the steam, thus enabling the oil to
distil at temperatures well below its normal boiling point.
Destructive distillation, on the other hand involves much
higher temperatures. For thermolabile oils steam distillation
under reduced pressure may be employed.
728
Alternatively, a process of limited application known as
enfleurage, involves the natural volatility of oils at ambient
temperatures (Trease & Evans, 1966).
Steam Distillation
Prior treatment of the raw material will depend on the

accessibility of the steam to the oil containing tissue. Flowers
and leaves may be processed whole, whereas woody materials
are chipped or cut small and seeds such as caraway are
crushed. The distillation is carried out in stills specially
constructed for the purpose, the raw material being placed in
baskets or trays through which steam is made to pass from
underneath. The distillate is collected and the oil separated
from the aqueous layer. Some oils such as turpentine oil may
require to be rectified in order to obtain an oil free from
resinous materials. This may be accomplished by further
steam distillation.
Proteins and Polypeptides
Proteins and polypeptides of pharmaceutical importance are

derived mainly from animal sources. With a few exceptions,
such as gelatin, most are required in a highly purified state.
The conversion of skin and bone collagen to gelatin by
treatment with lime or dilute acid and its subsequent warm
water extraction has been described by Ward and Saunders
(1958). The physicochemical behaviour of gelatin depends
largely upon its method of preparation, alkaliprecursor gelatin
having a much lower isoelectric point than acid-precursor
gelatin.
729
Extraction of other proteins and polypeptides prior to their
purification generally involves mincing the animal tissue with
a suitable solvent followed by filtration. The choice of solvent
depends largely upon the physicochemical nature of the
extractive and the need to reduce the loss of active principle
by denaturation or hydrolysis to a minimum. For example,
insulin is extracted using cold acid alcohol, the alcohol
content, after addition to the minced pancreas, being about 60
per cent. Use of a stronger alcohol would render the insulin
insoluble.
Isolation and purification of a particular protein or
polypeptide involves adjustment of the physicochemical
conditions of the crude solution in order to precipitate the
active principle while keeping impurities in solution. The
solubility of a protein depends upon its molecular weight and
conformation, the presence of other proteins, the ionic
strength, temperature, pH and the proportion of
water-miscible nonsolvent such as alcohol or acetone which
may be present. Further, susceptibility to solvent precipitation
is greatest at the isoelectric point, which varies from one
protein to another according to the amino acid composition.
Careful control of the conditions may therefore be used for
the precipitation of proteins. These can then be redissolved in
aqueous buffer and reprecipitated to achieve greater
purification. By using different solvents at successive stages,
a variety of impurities can be removed and finally different
protein components themselves can be separated. A good
example of this is the fractionation of plasma proteins.
Careful adjustment of the ethanol or ether concentration, pH,
temperature and ionic strength, enables crude separation into
several main fractions, which are then further purified by
altering the conditions of precipitation (Nance, 1950; Revol,
1956). By using aseptic precautions, commercial quantities of
730
purified fibrinogen, thrombin, albumin and various globulin
fractions may be obtained in solution, which may be used as
such or may be freeze dried.
The hydration of proteins is also affected by the addition of
electrolytes, which compete for the water of hydration. Since
the susceptibility to precipitation varies with different
proteins, salting out with ammonium sulphate is commonly
used. Such a procedure is employed to purify and concentrate
the specific tuberculoprotein produced in the culture medium
of the tubercle bacillus. The precipitated protein is then
separated, dialysed and redissolved in an aqueous solution of
suitable pH. Addition of graded amounts of ammonium
sulphate to blood plasma can also be used to effect a crude
separation of various proteins, particularly the globulin
fraction with which antibodies are associated.
The formation of insoluble complexes with heavy metal ions,
or with compounds such as Reinecke salt, picric acid, or
trichloroacetic acid, is also used in the purification of
polypeptides. Picrate precipitation, for example, is used in the
isolation of insulin, subsequent crystallization being
accomplished by the use of zinc chloride. Occasionally,
highly specific reactions are possible. Thus correct admixture
of a solution of a bacterial toxin with the appropriate antitoxin
will precipitate the toxin–antitoxin complex. This affords a
highly selective means of purification.
Equipments for Liquid–Liquid Extraction
In liquid—liquid extraction, as in gas absorption and

distillation, two phases must be brought into good contact to
permit transfer of material and then be separated. In
absorption and distillation the mixing and separation are easy
731
and rapid. In extraction, however, the two phases have
comparable densities, so that the energy available for mixing
and separation—if gravity flow is used—is small, much
smaller than when one phase is a liquid and the other is a gas.
The two phases are often hard to mix and harder to separate.
The viscosities of both phases, also, are relatively high, and
linear velocities through most extraction equipment are low.
In some types of extractors, therefore, energy for mixing and
separation is supplied mechanically.
Extraction equipment may be operated batchwise or
continuously. A quantity of feed liquid may be mixed with a
quantity of solvent in an agitated vessel, after which the
layers are settled and separated into extract and raffinate. This
gives about one theoretical contact, which is adequate in
simple extractions. The operation may of course be repeated
if more than one contact is required, but when the quantities
involved are large and several contacts are needed, continuous
flow becomes economical. Most extraction equipment is
continuous, with either successive stage contacts or
differential contacts. Representative types are mixer settlers,
vertical towers of various kinds which operate by gravity
flow, agitated tower extractors and centrifugal extractors.
Mixer Settlers
The mixer and settler may be the same unit for batchwise
extraction. A tank containing a turbine or propeller agitator is
most common. At the end of the mixing cycle the agitator is
shut off, the layers allowed to separate by gravity, and extract
and raffinate drawn off to separate receivers through a bottom
drain line carrying a sight glass. The mixing and settling
times required for a given extraction can be determined only
732
by experiment; 5min for mixing and 20min for settling are
typical, but both shorter and much longer times are common.
The mixer and settler must be separate pieces of equipment
(Fig 13.16A) for continuous flow. The mixer may be a small
agitated tank provided with inlets and a draw-off line and
baffles to prevent short circuiting; or it may be a centrifugal
pump or other flow mixer. The liquids which emulsify easily
and which have nearly the same density it may be necessary
to pass the mixer discharge through a screen or pad of glass
fibre to coalesce the droplets of the dispersed phase before
gravity settling is feasible. For even more difficult separations
tubular or disc-type centrifuges are employed. If, as is usual,
several contact stages are required, a train of mixer settlers is
operated with countercurrent flow, as shown in Fig. 13.16B.
The raffinate from each settler becomes the feed to the next
mixer, where it meets intermediate extract or fresh solvent.
733
Fig. 13.16 (A) Single-stage mixer-settler extractor; (B)
diagram of a three-stage countercurrent mixer-settler
extractor.
The feed and solvent flow continuously through the mixer, in

which the rotating agitator disperses one of the liquids into
small droplets immersed in the other. The size of this vessel
must provide sufficient residence time for the liquids that the
desired diffusional transfer occurs. The degree of agitation
must be intense without, however, producing so fine
dispersion that subsequent settling is difficult. The dispersion
flows to the settler, most simply a drum, in which low
velocity and lack of agitation promote gravity settling and
coalescence of the drops to provide clear effluents.
Since in such single-stage apparatus the extractable substance
approaches concentration equilibrium in the effluents, nearly
complete extraction requires a multiplicity of stages. An
arrangement for counter-current interstage flow of the liquids
reduces the amount of solvent needed (Fig. 13.16B).
Spray and Packed Extraction Towers
These tower extractors give differential contacts, not stage

contacts, and mixing and settling proceed simultaneously and
continuously. In the spray tower, for example, drops of one
liquid are dispersed into, and rise through, a slowly falling
continuous phase of the other liquid. In some extractions the
dispersed phase may be the heavy liquid. In either case each
drop is constantly being ‘mixed,’ i.e. brought into fresh
contact with the other phase, and is constantly being separated
from it. There is continuous transfer of material between
phases, and the composition of each phase changes as it flows
734
through the tower. At any given level, of course, equilibrium
is not reached; indeed, it is the departure from equilibrium
that provides the driving force for material transfer. By using
a tall tower, however, a number of ideal contacts can
theoretically be obtained. In actual spray towers the contact
between the drops and continuous phase is not highly
effective except where the drops are initially dispersed. As
much as 40–45 per cent of the total transfer may occur at the
point of dispersion. Thus while spray towers are simple to
build and easy to operate, they are not highly effective.
Adding more height does not always help much; it is much
more effective to redisperse the drops at frequent intervals
throughout the tower. This may be done by filling the tower
with packing, such as rings, saddles, crushed coke, or wood
grids. The packing causes the drops to coalesce and re-form
and, appreciably increases the effectiveness of the tower.
Packed towers approach spray towers in simplicity, and can
be made to handle almost any problem of corrosion or
pressure at a reasonable cost. Their chief disadvantage is that
solids tend to collect in the packing and cause channelling.
Perforated-Plate Towers
Redispersion of liquid drops is also done by transverse

perforated plates like those in the sieve-plate distillation
tower. The perforations in an extraction tower are 1/16 to 3/8
inch in diameter. Plate spacings are 6–24 inch. Usually the
light liquid is the dispersed phase, and downcomers carry the
heavy continuous phase from one plate to the next. As shown
in Fig. 13.17A, light liquid collects in a thin layer beneath
each plate and jets into the thick layer of heavy liquid above.
In many perforated-plate towers the plates are made as shown
735
in Fig. 13.17B, with the perforations in vertical sections of the
tray. In this design the light liquid jets horizontally into the
continuous phase.
Fig. 13.17 Perforated-plate extraction towers: (A)

Perforations in horizontal plates and (B) Perforations in
vertical sections.
Bubble-cap towers may be used for extraction, though with

low plate efficiencies of 5–10 per cent. They offer no
advantages over perforated-plate towers, however, and are
rarely if ever used industrially.
Baffle Towers
These extraction towers contain sets of horizontal baffle

plates (Fig. 13.18). Heavy liquid flows over the top of each
baffle and cascades to the one beneath; light liquid flows
under each baffle and sprays upward from the edge through
the heavy phase. The most common arrangements of baffles
are the ‘disc-and-doughnut’ baffles of Fig. 13.18A and the
segmental, or ‘side-to-side,’ baffles of Fig. 13.18B. In both
types, the spacing between baffles is 4–6 in. Baffle towers
contain no small holes to clog or be enlarged by corrosion.
They can handle dirty solutions containing suspended solids;
one modification of the disc-and-doughnut towers even
736
contains scrapers to remove deposited solids from the baffles.
Because the flow of liquid is smooth and even, with no sharp
changes in velocity or direction, baffle towers are valuable for
liquids that emulsify easily. For the same reason, however,
they are not effective mixers, and each baffle is equivalent to
only 0.05–0.1 ideal stage.
Fig. 13.18 Baffie extraction towers: (A) disk-and-doughnut

baffles and (B) Side-to-side baffles.
Agitated Tower Extractors
York–Scheibel Extractor: Mixer settlers supply mechanical

energy for mixing the two liquid phases, but the tower
extractors so far described do not. They depend on gravity
flow both for mixing and for separation. In some tower
extractors, however mechanical energy is provided by internal
turbines or other agitators, mounted on a central rotating
shaft. Sets of agitators are often separated by partitions or
calming sections to give, in effect, a stack of mixer settlers
one above the other. The York– Scheibel tower illustrated in
Fig. 13.19 is an example. Here the calming sections between
the agitators are packed with wire mesh to encourage
737
coalescence and separation of the phases. Most of the
extraction takes place in the mixing sections, but some also
occurs in the calming sections, so that the efficiency of each
mixer-settler unit is sometimes greater than 100 per cent.
Typically each mixer settler is 1–2 ft high, which means that
several theoretical contacts can be provided in a reasonably
short column. The problem of maintaining the internal
moving parts, however, particularly where the liquids are
corrosive, may be a serious disadvantage.
Fig 13.19 York–Schiebel extraction tower.
Pulse Columns
Agitation may also be provided by external means as in the

pulse column (Fig. 13.20). A bellows or other reciprocating
pump ‘pulses’ the entire contents of the column at frequent
intervals, so that a reciprocating motion is superimposed on
the usual flow of the liquid phases. The tower may contain
ordinary packing or special sieve plates. In a packed tower the
pulsation thoroughly disperses the liquids and eliminates
738
channelling, and the contact between the phases is greatly
improved. In sieve-plate pulse towers, the holes are smaller
than in nonpulsing towers; they range from 1/16 to 1/8 inch in
diameter, with a total open area in each plate 6–23 per cent of
the cross-sectional area of the tower. No downcomers are
used. Ideally the pulsation causes light liquid to be dispersed
into the heavy phase on the upward stroke and the heavy
phase to jet into the light phase on the downward stroke.
Under these conditions the stage efficiency may reach up to
70 per cent. This is possible, however, only when the volumes
of the two phases are nearly the same and where there is
almost no volume change during extraction. In the more usual
case the successive dispersions are less effective, and there is
back mixing of one phase in one direction. The plate
efficiency then drops to about 30 per cent. Nevertheless, in
both
packed and sieve-plate pulse columns, the height required for
a given number of transfer units or theoretical contacts is
often less than one-third that required in an unpulsed column.
Fig. 13.20 Schematic layout of pulse extraction tower.
739
Centrifugal Extractors
The dispersion and separation of the phases may be greatly

accelerated by centrifugal force, and several commercial
extractors make use of this. The Luwesta extractor contains
three mixer settlers, one above the other, in separate
compartments in a tall centrifuge bowl. As the bowl turns at
high speed, the liquids are sprayed outward into each
compartment from a hollow central shaft; there they separate
and flow to the next spray distributor or to the outlet. Solids
thrown down by the centrifugal force collect inside the bowl,
from which they are periodically removed.
In the Podbelniak extractor (Fig. 13.21), a perforated spiral
ribbon inside a heavy metal casing is wound about a hollow
horizontal shaft through which the liquids enter and leave.
Light liquid is pumped to the outside of the spiral at a
pressure between 50 and 200 lb force/in2 to overcome the
centrifugal force; heavy liquid is pumped to the centre. The
liquids flow counter currently through the passage formed by
the ribbon and the casing walls. Heavy liquid moves outward
along the outer face of the spiral; light liquid is forced by
displacement to flow inward along the inner face. The high
shear at the liquid—liquid interface results in rapid mass
transfer. In addition, some liquid sprays through the
perforations in the ribbon and increases the turbulence. Up to
20 theoretical contacts may be obtained in a single machine,
although 3–10 contacts are more common. Centrifugal
extractors are complex, expensive devices and find relatively
limited use. They have the advantages of providing many
theoretical contacts in a small space and of very short hold-up
times—about 4 sec. Thus they are valuable in the extraction
of sensitive products such as vitamins and antibiotics.
740
Fig. 13.21 Podbielniak centrifugal extractor, featuring low
residence time of liquid.
Podbielniak extractor consists primarily (Fig. 13.22) of a steel

cylinder A that contains a number of concentric rings of
perforated plate B. This rotating member is attached to
trunnions carried on ball bearings C and provided with a drive
pulley D. The heavier liquid is introduced at E, passes
through channel F, and enters the rotating plate assembly at
G. Since the whole rotating element is turning at
2000–5000rpm, centrifugal force drives the heavier liquid out
through the perforations in the plates to collect in the space H,
to be taken off through channels J, and finally to leave by
connections K. The lighter liquid is introduced at L, passes
through channels M, and is discharged near the outside of the
rotating section in space H. Since the heavier liquid is being
driven outward by centrifugal force; it displaces the lighter
liquid, which flows downward through the perforated plates,
collects in the space N, and passes out through channels O to
leave at connection P. The position of the principal interface
741
between the lighter and heavier liquids is controlled by
regulation of the discharge pressure of the lighter liquid. If
either liquid contains suspended solids; they may have to be
washed out by a stream of wash water, which is introduced at
Q and after passing down through the plates, leaves by the
same channels J as the lighter liquid. A number of
connections R are provided as cleanouts, but they are
normally closed at the outside with tight-fitting plugs.
Fig.13.22 Podbielniak extractor: A, rotor; B, perforated

plates; C, main bearing; D, drive pulley; E, inlet for heavy
liquid; F, G, ports for heavy liquid; H, collecting space for
heavy liquid; J, exit ports for heavy liquid; K, heavy-liquid
exit; L, light-liquid inlet; M, N, O, path of light liquid; P,
light-liquid exit; Q, inlet for wash water; R, clean out plugs;
S, main stationary housing; T, stationary member carrying
pipe connections; and V, mechanical seals.
The stationary housing S, which carries the bearings that

support the rotating member, also carries stationary members
T
742
into which the various connections E, K, L, P, and Q are
made. The stationary members T with their various pipe
connections are sealed to the rotating member by mechanical
running seals at V, whose detailed construction is not shown.
The rotating member may be from 4 in to 1 ft wide and from
18 in to 3 ft in diameter. The contact between the two liquids
is intimate, so that extraction of a soluble constituent from
one liquid into the other is quite complete. One great
advantage of the equipment is that the residence time of the
liquids is short (a matter of a few seconds), and this has made
possible extraction of unstable substances.
Auxiliary Equipment
The dispersed phase in an extraction tower is allowed to

coalesce at some point into a continuous layer from which
one product stream is withdrawn. The interface between this
layer and the predominant continuous phase is set in an open
section at the top or bottom of a packed tower; in a sieve-plate
tower it is commonly near the middle. The interface level is
most often automatically controlled by a vented overflow leg
for the heavy phase, as in the continuous gravity decanter. In
large columns the interface is sometimes held at the desired
point by a level controller actuating a valve in the
heavy-liquid discharge line.
In liquid—liquid extraction the solvent which is added to
separate one component from another nearly always must be
removed from the extract or raffinate or both. Thus auxiliary
stills, evaporators, heaters, and condensers form an essential
part of most extraction systems and often cost much more
than the extraction device itself. As mentioned at the
beginning of this section, if a given separation can be done
743
either by extraction or distillation, economic considerations
usually favour distillation. Extraction provides a solution to
problems that cannot be solved by distillation alone but does
not usually eliminate the need for distillation or evaporation
in some part of the separation system.
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Bull AW. Q. Jl Pharm. Pharmacol. 1935;8:378.
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Butler WJ, Wiese GA. J. Am. Pharm. Ass. (Sci. Edn).
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Campo JM, Gramling LG. J. Am. Pharm. Ass. (Sci. Edn).
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Chu JC, Taylor CC, Levy DJ. Ind. Engg. Chem.
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D’Aquin EL, Vix HLE, Spadaro JJ, Graci AV, Evaves PH,
Retuther CG, Molaison LJ, McCourtney EJ, Crovetto AJ,
Gastrock EA. Ind. Engg. Chem. 1953;45:247.
Dormitzer HC. J. Am. Oil Chem. Soc. 1956;33:471.
Dunning JW. J. Am. Oil Chem. Soc. 1950;27:446.
Dunning JW. J. Am. Oil Chem. Soc. 1956;33:462.
Fairbairn JW, Simic S. J. Pharm. Pharmacol. 1970;22:778.
Garner FH, Skelland AHP. Ind. Engg. Chem. 1956;48:51.
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Newton CGF, Abraham EP. Biochem. J. 1950;47:257.
Oakley JH, Stuckey RE. J. Pharm. Pharmacol. 1949;1:714.
Othmer DF, Agarwal JC. Chem. Engg. Prog. 1955;51:372.
Othmer DF, Jaatinen WA. Ind. Engg. Chem. 1959;51:543.
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Sergeant GA. J. Pharm. Pharmacol. 1950;2:434.
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Srivastava GP, Chadha TN. J. Pharm. Sci. 1963;52:299.
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Thompson D, Sutherland DG. Ind. Engg. Chem.
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Thurman BH. J. Am. Oil Chem. Soc. 1949;26:580.
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Vibrans FC. J. Am. Oil Chem. Soc. 1966;26:575.
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746
Chapter 14
Drying
In the preparation of medicinal chemicals, drying is usually
the final stage of processing and is designed to yield a stable
homogeneous product which is easy to manipulate in
subsequent operations of packing or formulating. In some
cases, this involves converting a wet filter cake into a
free-flowing solid; in others, such as spray drying or drum
drying, a solution is both evaporated and dried in a single
operation. Vegetable drugs are dried prior to extraction, partly
in order to avoid deterioration on storage and transport and
partly to facilitate grinding. Drying is also an important stage
in some formulating operations, notably during tabletting by
‘wet granulation’. Various methods and equipments are
available, the choice being dependent on such factors as listed
below:
1. The heat sensitivity of the product
2. Its physical characteristics prior to drying
3. The nature of the solvent to be removed
4. The need for asepsis
5. The scale of operating
6. available sources of heat
Theory
When a material is exposed to air a definite temperature and
humidity, it will either gain or lose moisture until an
equilibrium is established. The moisture content at
equilibrium varies with the nature of the material and with the
747
temperature and humidity of the air. Thus, starch exposed to
air at a relative humidity of, say, 60 per cent at room
temperature, may contain at equilibrium up to 15 per cent of
water. Conversely, a nonporous insoluble solid such as talc
has a very low equilibrium moisture content at all
temperatures and humidities. It is possible to distinguish
progressive stages in the drying of moist material. Consider
for example, a slab of material of sufficiently high moisture
content so that its surface is wet. In contact with a current of
warm air, superficial water diffuses through the surrounding
stationary air film and is carried away rapidly by the moving
air stream. The rate of evaporation is determined by the
temperature and the humidity of the air when the air is
moving at constant velocity. Provided that water can move
freely from the interior of the slab to the surface to replace
that lost by evaporation, the rate of evaporation proceeds at a
constant rate as shown by the line AB in Fig. 14.1. At this
stage, the rate of drying is controlled by the rate at which the
vapour can diffuse through the surface air film. As drying
continues, the surface is no longer completely wetted and the
drying rate falls; line BC represents this ‘falling-rate period’
which will vary according to the thickness of the slab. The
limiting factor is now the rate of movement of water from the
interior to the surface; water molecules may diffuse through
the solid or capillary forces may be responsible for this
movement. The point B at which the falling rate occurs is
known as the critical moisture content. As drying proceeds
further, the curve eventually approaches zero rate at point C,
which corresponds to the water content in equilibrium with
the air. Thus, in order to dry a material, two processes are
necessary; firstly, heat must be supplied to provide the latent
heat of vaporization, and secondly, the liberated vapour must
be removed, generally by a moving air stream. The rate of
748
mass transfer of water from the solid to the moving air during
the constant-rate period is directly proportional to the
difference between the humidity of the air at the liquid
surface of the solid and the bulk of the air, and the area of
surface exposed to the air. Thus, the rate of mass transfer =
A(H – h) K, where A = area of interface, H = humidity of
saturated air, h = humidity of air stream, K = mass transfer
coefficient.
Fig 14.1 Rate of drying curve.
The rate of heat transfer from the air to the wet solid can be
expressed as follows:
Rate of heat transfer = UAΔt, where U = overall coefficient of
heat transfer, Δt = temperature difference between the air and
surface of the solid.
Combining these equations for rates of mass transfer and heat
transfer, the following expression is obtained:
UAΔt = A(H − h)KL
where L = latent heat of vaporization, then:
749
During the constant-rate period, the surface of the material
resembles a wet bulb hygrometer since heat transferred from
the warm air is used to evaporate water at the temperature of
the surface of the slab. During the falling-rate period, the
amount of heat input is unchanged, but, since the rate of
evaporation is less, the temperature at the surface rises and
care must be taken with thermolabile materials to avoid
decomposition. Air velocity cannot affect the rate of drying in
this falling-rate period. During the constant-rate period, the
thickness of the surface air film will influence the rate of
diffusion of vapour through it; high air velocities will reduce
this film thickness and increase the rate of drying.
Equipments
All drying processes involve evaporation; of the solvent by
heat, but the design of equipment varies considerably
according to the way in which the heat is applied. For
efficient working, it is necessary to establish a balance
between (1) removal of solvent vapour from dryer, (2)
evaporation of solvent from the exposed surface and (3)
diffusion of remaining solvent to the surface. Equipment may
be described according to whether it is designed to cope with
damp solids or with slurries and solutions.
Damp Solids
750
The Tray Dryer
This is essentially a hot air oven in which the material is

placed in thin layers in trays. There are many variants of
design according to the source of heat used and also as a
result of added modifications such as vacuum, forced air
circulation and thermostatic control. In small laboratory
dryers the material is placed on trays which slide into the
drying cabinet while in large installations the interior may be
designed for the wheeling in of trolleys containing the trays.
The simplest form of heating places the source of heat (e.g. a
steam coil) at floor level and relies on natural convection.
Most modern equipment, however, uses fans to provide a
forced circulation of air across the trays. In small ovens there
may only be provision for a single passage of heated air while
in larger units thermal efficiency is improved by recirculation
of air which is reheated after its passage over each shelf as
shown in Fig. 14.2.
Fig 14.2 Tray dryer with air recirculation.
751
In order to appreciate the relationship between temperature
and drying conditions in the dryer under ideal conditions it is
necessary to consider some of the basic concepts of humidity,
and the terms that are commonly used will first be defined.
Absolute humidity is the weight of water vapour present in
unit volume or unit mass of moist air.
Relative humidity is the ratio of the actual vapour pressure to
the saturation pressure at the same temperature and usually
expressed as a percentage.
Dew point is the temperature at which the saturation vapour
pressure equals the actual (partial) pressure of the water
vapour in the air.
Wet bulb temperature is the dynamic equilibrium temperature
attained by a water surface when exposed to air under
adiabatic conditions so that the sensible heat transferred from
the gas to the liquid is equal to the latent heat of evaporation
of the liquid. The rate at which the temperature is reached
depends upon the initial temperatures and the gas flow rate.
The wet bulb temperature is the same as the adiabatic
saturation temperature.
The relations between absolute humidity and temperature
under equilibrium conditions can be seen in Fig. 14.3, which
represents a section of a humidity chart. The 100 per cent
relative humidity is the ‘saturation curve’ and represents the
humidity– temperature relation for saturated air, and is
equivalent to the
wet bulb temperature plotted against absolute humidity. The
group of lines to the right of this curve are the adiabatic
cooling lines. These serve two very useful purposes. Firstly
they can be used to determine humidity from a knowledge of
wet bulb and dry bulb temperatures. From a point on the
saturation curve corresponding to the wet bulb temperature
one follows the adiabatic cooling line until the coordinate
752
corresponding to the dry bulb temperature is reached, at
which point the absolute humidity is read off from the scale
on the left. Secondly, the adiabatic cooling lines show the
change in humidity in drying under adiabatic conditions. If
the humidity of the air in contact with the damp solid is
shown by point Z in Fig. 14.3 and this air is then heated to
point X the passage of air over the damp solid follows the
adiabatic cooling line to meet point Y.
Fig 14.3 Humidity chart (diagrammatic).
Now consider the humidity chart in relation to the conditions

during reheating of the air in a recirculating tray dryer (Fig.
14.2). If air of humidity and temperature at A (Fig. 14.4) is
passed over heating coils to a temperature of t1, the absolute
humidity remains constant and the air reaches point B. This
air on passing over a tray of moist material will leave at near
saturation point, say 95 per cent relative humidity so that the
753
adiabatic cooling line BC represents the condition of the air
during this process. The air is reheated, represented by line
CD, and passes over the second tray resulting in a further pick
up of moisture leading to point E. A further cycle of heating
and passage leads to point G. The original air humidity H1
has thus been increased to H2 after a total of three air
circulations. If the dryer operated on a single passage of air,
and the same amount of drying was to be achieved, the
temperature of the inlet air would need to be raised to t2. HG
is the adiabatic cooling line. The recirculation method thus
has two obvious advantages:
1. Given weight of air takes up more water than is possible in
a single pass.
2. Drying air of lower temperature can be used to obtain the
same reduction of moisture.
Fig 14.4 Temperature–humidity relations during recirculation

of air in tray dryer.
754
Vacuum drying may be performed in ovens in which a
quantity of material is spread on trays placed on steam-heated
shelves in an oven which can be evacuated. The
disadvantages are (1) that even though most materials swell
and dry as a friable mass, a grinding process is necessary to
get a powdered product; (2) the danger of finely powdered
material being drawn off by the vacuum pump is
considerable, and filters that require frequent cleaning have to
be provided; and (3) the material is subjected to heat for the
period required to dry the whole. If the shelves of the oven
are steam heated, they will be at a temperature of 100–110°C,
or even more, depending on the steam pressure. While the
material is wet it will not much exceed the temperature of the
boiling point of water at the reduced pressure of the oven, but
as the moisture is evaporated and the absorption of heat, as
latent heat of vaporization, no longer keeps the temperature
down, there will be nothing to prevent the material reaching
the same temperature as that of the shelves. This may not
matter in some cases, and as a general rule it is less
objectionable for the material to reach this temperature when
dry. If there is a real objection to the material being so heated,
a source of heat of lower temperature must be used. Hot water
circulation can be used, but special precautions must be taken
to see that the flow of water is arranged evenly through all the
shelves of the oven, and that sufficient water is circulated to
supply the necessary amount of heat at the lower temperature.
As there is very little air present in these ovens, transmission
by air convection between the shelf and the product is
practically nonexistent. Most of the heat passes by
direct-contact conduction between the tray and the shelf and
to a less extent by radiation, although radiation will be small
if low temperature heating is used. Early types of vacuum
ovens had shelves consisting of a tube bent in the form of a
755
grid; on such a shelf the trays are only in contact along the
lines of the pipe, a very small part of their area. Modern ovens
have flat steam shelves in which steam is admitted to a space
between the upper and lower surfaces of the shelf. The
bottom of the tray is in contact with the shelf over its whole
surface so that heat transmission by conduction is greatly
improved. Trays on such shelves should be carefully handled
in order to prevent denting of the under surface. The degree of
‘vacuum’ (i.e. the reduction in pressure) is usually shown on a
gauge of the Bourdon type graduated in inches of mercury,
reading from 0 to 30; a reading of 27 or 28 is quite good for
ordinary practice. The ‘vacuum’ as shown on the gauge is not
always strictly accurate; the reading will be affected by the
externally, barometric pressure. When the barometric pressure
is high a much better ‘vacuum’ will be shown on the gauge
than when it is low. The actual pressure inside the apparatus
is unaffected by external changes in atmospheric pressure and
is given by the difference between the external barometric
pressure and the reading on the gauge.
The Tunnel Dryer
This is a modification of the tray dryer in which the oven is

replaced by a tunnel which receives damp material at one end
and discharges the dried product at the other. It may be
operated in batches or continuously. One arrangement is that
the trays are carried on trucks which move slowly along the
tunnel. Another replaces trays by a belt conveyor, either
single or multiple. In the latter, partially dried material having
completed one circuit spills over the end of the first conveyor
on to a second travelling in the opposite direction. In this
756
way, the product may make as many as five successive
passages along the tunnel before it is discharged (Fig 14.5).
Fig 14.5 Tunnel dryer.
The Rotary Dryer
This was originally designed for handling large quantities of

chemicals, since it can cope with an input of several tonnes
per hour. More recently, small rotary dryers have been
introduced for sterile processing. Essentially, the equipment
comprises a horizontal tube, slightly inclined, so that material
fed in at one end will gradually work its way to the other as
the tube slowly rotates. Heating is either applied directly, by a
hot air current within the tube, or indirectly via an outer shell
containing steam tubes or heated gases. As the tube rotates,
the charge is raised by lifting vanes fitted to the walls of the
tube, whence it falls into the path of the hot gases, thus
producing a tumbling effect (Fig 14.6). A recent advance in
design is the Rotary Louvre Dryer in which hot air is fed into
the tube through vents or louvres. In this way, the material to
be dried continuously meets fresh streams of air and is
maintained as a semifluidized bed.
757
Fig 14.6 Rotary dryer
When recovery of the solvent is important, a rotary vacuum

dryer may be used. This has a stationary steam-jacketed
cylinder fitted with a rotating agitator carrying spiral mixing
blades which perform the same function as the lifting vanes of
the rotating tube model. Small rotary vacuum dryers have
been adopted for aseptic work, such as the removal of
solvents from antibiotics. These dryers are of stainless steel
and all parts can be sterilized. A further type of rotary vacuum
dryer is the Apex ‘Rotacone’ which is essentially a jacketed
double-cone mixer.
One of the hollow trunnions on which the dryer is mounted
supplies steam or hot water to the jacket while the other acts
as a vacuum connection. It is claimed that the continuous
758
tumbling action maintains a uniform temperature in the batch
and avoids prolonged contact with the hot surfaces.
Infrared Heating
Infrared rays have been used as a source of heat in drying and

evaporating in the pharmaceutical industry. Infrared rays of
wavelengths between 2.4 and 3.6μm can be used for
evaporation at temperatures of 55–30°C or even lower.
The term ‘infrared’ is misleading as it is possible for all the
electromagnetic spectrum to generate heat as its ultimate form
of dispersion. By using the middle infrared band, heat is
available in useful quantity with the added advantage that
infrared rays can (1) pass through certain materials without
being absorbed, (2) be reflected 95–100 per cent from suitable
surfaces, and (3) be absorbed in most industrial products of a
heterogeneous nature with generation of heat within the
substance. Its properties of absorption and reflection from
different substances vary with the wavelength. With any fresh
material, tests should be made with different wavelengths to
ascertain the temperature which will be generated by
adsorption. Sources of heat are used which combine a high
proportion of infrared radiation with control over the
wavelength of the rays emitted. The most common forms of
heat source are specially designed gas burners, electric lamps
or electric heating elements.
Kay (1951) describes a dryer which uses 54 bartype 0.5 kW
infrared emitters suspended at equal distances in pairs over
the surface of the material and fitted with parabolic reflectors.
Provision is made for exhaust connection to the top of the
dryer casing, so that water vapour is removed by a gentle flow
of air over the material. With such an arrangement sodium
759
bicarbonate, for example, can be heated to 50°C at the rate of
750kg/h, with a consumption of 12 kW. Among the
advantages of this type of plant, the author lists (1) ease of
control (both of heat and flow of material), (2) small space
requirements, and (3) suitability for connection to a
continuous-flow system in which materials are fed from
storage bins dried, cooled, weighed and mixed continuously.
Fowler (1952) gives an account of the pharmaceutical uses of
infrared heating and concludes that drying by this method
appears to be satisfactory for certain types of pharmaceutical
preparations when using a peak wavelength of about 3.9μm.
The method was used successfully, with shorter drying times,
for fresh drugs, granular preparations, wet precipitates and
lozenges. The author found infrared heating unsuitable for
extracts and soft pastille masses. The report suggests that the
method does not harm the majority of substances commonly
used in tablets and that it appears to offer a means of drying
tablet granules quickly.
Fluidized Bed Dryer
Fluidized bed dryers operate by the passage of heated air

through a fine mesh which supports the bed of powder. The
aeromatic dryer shown diagrammatically in Fig. 14.7 consists
of a conical vessel of either plastic or stainless steel with a
perforated bottom, into which the material to be dried is
placed. Filtered air, drawn in by the induction fan is heated
and filtered and then passes through the powder bed. An air
filter above the bed retains any airborne particles. The
temperature of drying can be controlled by regulating both the
inlet air temperature and the flow rate of air. As the velocity
of the air is increased, the pressure drop of the air through the
760
bed becomes at a certain point equal to the net effective
weight of the solid per unit area and the bed begins to expand.
Further increase beyond this point known as ‘onset of
fluidization’, where the particles are supported by the air,
causes rapid expansion of the bed and particles begin to show
turbulent motion. The particles are not in direct contact with
each other and efficient heat exchange occurs between the
particles and the flowing air, the moist air being carried away
rapidly (Fig 14.8). The drying cycle of tablet granules can be
as little as 30 minutes compared with the 24-hour cycle of
conventional tray dryers. The intense agitation of the granules
may cause attrition but the use of suitable binders for making
the granules can overcome this. Many organic powders
develop electrostatic charges during the fluidization
particularly near the end of the drying process so that efficient
electrical earthing of the drying chamber and the cloth filters
is necessary. Machines are available with capacities from a
few kilogrammes to several hundred kilogrammes. The floor
space for a given capacity is small compared with a tray
dryer.
761
Fig 14.7 Fluidized bed dryer
Fig 14.8 Correlation of air velocity and pressure drop in the

fluidized bed dryer
762
Slurries or Solutions
If a solution will not crystallize readily, or if it is desirable to

minimize the period of contact with the heating surface,
methods are available for converting a slurry or solution into
the dry state in a single operation.
The Drum Dryer
This comprises a horizontally mounted steel cylinder heated

from within by steam. The liquid to be dried is run on to the
hot surface where it forms a thin film which dries rapidly. As
the drum slowly rotates, the film approaches a knife which
then pares or flakes off the dry solid in the same manner as
the doctor blade operates on a rotary filter. Since many solids
are extremely adhesive, the correct adjustment of the knife is
very important. Different methods are used for applying the
liquid to the drum; the original process made use of a shallow
pan or trough into which the drum dipped. Alternative
arrangements are to splash the liquid on the drum from
beneath or to run it on from the top, the latter method giving
the thickest layer. Twin drums are sometimes set up in
parallel, rotating in opposite directions and with a common
feed line but separate knives. A vacuum drum dryer encloses
both drums and teed line in a vacuum chamber.
The Spray Dryer
Solutions or slurries may be dried in one operation by

spraying into heated air, the very large surface of contact
between the drops and the air making possible a very high
rate of vaporization. This rapid evaporation keeps the
763
temperature of the droplets low, allowing high air
temperatures to be used. The important steps in the spray
drying operation are the atomization of the liquid, the drying
process and the recovery of the product. Atomization may be
achieved by a centrifugal disc atomizer or a pressure type
nozzle. The former has the advantage of high capacity and has
little tendency to clog. In general, nozzle atomization
produces larger particles.
A laboratory model Niro Spray Dryer is shown
diagrammatically in Fig. 14.9. Air is drawn through the
electric (or gas) heater a by means of A fan B, and is heated
to a maximum of 350°C. The liquid is fed by gravity to the
atomizer D, the disc of which is driven by an air turbine and
spins at 35,000 rev/min (max). The sprayed droplets come
into contact with the hot air introduced just below the disc at
C. The droplets rapidly evaporate as they are carried in the
eddy currents in the drying chamber E. The dry powder is
separated from the exhaust gas in the cyclone separator F, and
is discharged into container G. Inlet and outlet temperatures
are controlled by the heater A and also by the valve H which
controls the flow rate of air. The evaporative capacity is from
1 to 6.5 litres of water per hour depending on drying
temperatures applied. Too high a temperature can result in
drying and case hardening of the outer surface of the droplet
before the liquid in the interior has evaporated. Under these
circumstances, the rapid heat transfer causes the liquid in the
particle interior to vaporize, causing the outer shell to expand
forming a hollow sphere. Sometimes the rate of vapour
generation is sufficient to disrupt the particle. The particle
size of the product depends on the solids content, liquid
viscosity, feed rate and disc speed of the atomizer.
764
Fig 14.9 Spray dryer
Spray dryers can be designed for drying under sterile

conditions. Other modifications include operation under
closed cycle conditions, which allows feed solvent to be
recovered and would also enable drying to proceed under
oxygen free conditions.
Riegelman et al. (1950) investigating the characteristics of
spray dried powders, found that the rate of solution of boric
acid and methyl cellulose powders was substantially
increased by the process. Spray drying of sulphur resulted in a
free flowing, more easily wetted dispersible powder.
Spray-dried lactose, because of its good flow properties can
be tabletted by direct compression, unlike conventional
lactose which requires granulation. However, it suffers the
disadvantage of being less pure than crystallized lactose, the
impurity 5(hydroxymethyl) 2-furaldehyde causing browning
of the tabletted material on storage. Newton (1966) has
provided an excellent review wherein the physical
characteristics of spray-dried powders are discussed, as well
as specific practical consideration for operating spray dryers.
765
Freeze Drying
The removal of water vapour from a frozen solution by

sublimation forms the basis of freeze drying. The process of
drying from the frozen state is carried out by subjecting the
material to be dried to low absolute pressures, after it has
been frozen at temperatures below –40°C. Under these
conditions the frozen water will sublime, i.e. pass from the
solid to the gaseous state without becoming liquid. The water
vapour is removed from the system by condensation in a cold
trap maintained at a lower temperature than the frozen
material. The principles of the process can be appreciated by
referring to the phase diagram of water which shows the
relation between the temperature and vapour pressure of ice,
water and water vapour (Fig. 14.10). Vapour, liquid and solid
exist in the areas so indicated in the diagram. TA is the
vapour pressure curve of ice. Above TA, vaporization of ice
is taking place and it exhibits in vapour. Below TA only ice
exists. The line TB is the vapour pressure curve of water.
Above this line only water vapour exists, and below this line
only liquid water exists. Along TB liquid water and water
vapour are in equilibrium. P refers to 760mmHg when water
boils at 100°C, shown as t. The line TC represents the effect
of pressure on the melting point of ice. Since the line TC
slopes slightly to the left, it is seen that the melting point is
only slightly decreased as the pressure is increased. At point
T, solid, liquid and vapour are in equilibrium with one
another. This point where three phases are in equilibrium is
termed the triple point. Since the melting point varies very
little with pressure, the triple point is very near to the melting
point, the two being 0.0075°C and 4.6mmHg.
766
Fig 14.10 Solid–liquid–vapour equilibria (atmospheric
pressure). The figure is not to scale.
The first consideration in freeze drying of any solution is the

temperature at which it must be held for sublimation from the
solid state. From Fig. 14.10, it can be seen that it is necessary
to cool the solution below the triple-point temperature and
reduce the pressure in the drying chamber below 4.6mmHg.
Under conditions represented by temperature t2 where the
equilibrium vapour pressure is P2, the direct change of solid
to vapour can occur without conversion to a liquid phase.
Freeze drying will not take place if these equilibrium
conditions are maintained, so it is necessary to remove the
vapour by a refrigerated condenser operating at a lower
temperature than t2. Alternative methods for removing water
vapour include the use of chemical desiccants and mechanical
pumping of the vapour. Heat must be supplied to provide the
767
latent heat of evaporation of ice (approximately 2.9MJ/kg
over the range –30 to 0°C).
The principles outlined above have been restricted to the
simplest case where ice is sublimed in the absence of any
dissolved solid. When a solution of solids is dried, the
depression of freezing point of water by the solutes must be
considered. It is essential that the temperature is brought
below the eutectic point so that no liquid phase is present.
Failure to achieve a sufficiently low temperature would result
in severe frothing of the product under high vacuum.
Greaves (1946) has emphasized that the rate of drying (dr)
depends solely on the rate at which heat can be supplied to the
material. The factors that limit this rate include (1)
maintenance of low condenser temperature, (2) the rate of
heat transfer through the frozen material and (3) the highest
safe temperature at which the material can be dried. Since the
vaporization of ice can only occur at the surface, it is
necessary to expose a large surface area to the source of heat.
When large volumes are to be dried, rotation of the vessel
during the freezing stage has been used to get a frozen layer
around the periphery of the vessel. For efficient vapour flow
to the condenser, the freeze-drying apparatus should be so
designed and operated that the water vapour is not obstructed
by high partial pressure of noncondensable gases (i.e. should
be leak free) or by long narrow paths that arise from badly
designed manifolds or the use of narrow-necked vials.
Greaves (1946) reported the following conditions for the
production of dried plasma: condenser temperature –40°C
(equivalent to vapour pressure of 0.1mm) and drying
temperature of the frozen serum –21°C (equivalent to vapour
pressure of 0.7mm). The pressure difference is 0.6mm and
this results in rapid evaporation. The freeze drying of
biological materials has been reviewed by Davies (1968).
768
It is impossible to remove all traces of moisture under
conditions of freeze drying alone. Lowering the condenser
temperature will result in lower moisture content of the
sample, but there are obvious limits to their values. Under the
conditions stated by Greaves, the freeze-dried serum contains
a minimum of 5mg of water per g of dried serum. This is
reduced by 3–4 days’ exposure to phosphorous pentoxide.
A freeze-dried powder differs considerably in physical
properties from a solid prepared by evaporation of a liquid
under reduced pressure or by spray or roller drying (p. 220).
This is readily seen by comparing samples of human serum
dried by different methods. If water is removed by distillation
under reduced pressure, there is a general concentration of the
solution of the serum solids into a glue-like scale, which
ultimately contains 5–10 per cent of moisture. This scale is
not completely soluble in water, which indicates some
denaturation
of the proteins. Spray-dried plasma also shows evidence of
slight denaturation; here again the solution passes through
similar stages of concentration during evaporation but over a
much shorter interval of time. In freeze drying, evaporation
takes place from the solidified solution; no concentration
occurs and the evaporated solid occupies practically the same
volume as that of the original frozen solution. In these
circumstances no denaturation of plasma proteins occurs.
Similar conditions are obtained in freeze drying of penicillin.
The production of freeze-dried material may be considered in
three stages: primary drying, secondary drying and
packaging.
Primary drying removes about 99% moisture from the sample
while secondary drying can remove last traces of moisture
present in the sample, which remains after primary drying
769
(i.e. 0.5–1%). The secondary drying is the ordinary vacuum
drying process.
Primary drying: It involves freezing, vacuum, primary drying
(evaporation) and vapour removal.
1. Freezing: There are a number of methods involved in
effecting freezing. The freezing method which is used should
produce large surface area.
a. Preliminary freezing. The definite quantity of solution of
the material is introduced into a final containers. The covered
containers are first cooled to 2°C in the cold room and then
transferred to the deep-freeze cabinet, where they are rapidly
cooled to –50°C. The more rapid the rate of freezing, the
smaller the crystals and the more amorphous and more readily
soluble is the final product. The frozen containers are then
loaded into the vacuum desiccators.
b. High-speed vertical-spin freezing. Greaves (1942)
introduced this method of drying of serum or plasma. The
bottles containing the plasma are spun on their vertical axes at
750–1000 rev/min. The liquid is thereby distributed uniformly
inside the bottle, round the periphery, leaving a conical air
space in the centre reaching to the bottom of the bottle. The
liquid after super cooling freezes suddenly in this position,
giving small crystals and a very soluble product. If this is
done in the vacuum chamber, frothing is avoided and both
evaporation and freezing occur. Thus prefreezing is abolished
and the freezing becomes the first stage of the drying process.
Small ice crystals are preferred for products such as blood and
blood plasma.
The shelf freezing is another method where solution can be
frozen in the dryer of shelf and is used with trays of bulk
materials or for small containers such as antibiotic vials. It is
convenient and reduces handling, while the squat drying of
the vials gives a reasonable surface area.
770
The centrifugal evaporation freezing method can also be used
for freezing the sample. It freezes liquids in small containers
without refrigeration. Vacuum is applied to liquid system,
when boiling occurs, but foaming is prevented by spinning
the containers in a centrifuge. Rapid vaporization under the
low pressure removes so much heat as latent heat of
evaporation that the liquid freezes, and about 20% of the
water is removed before freeze drying, as such, begins. The
advantage of this method is that it shortens the primary drying
stage, simultaneously obviating the need for refrigeration.
Ampoules are usually frozen in this way, a number being
spun in a vertical position in a special centrifuge head so that
the liquid is thrown outwards and freezes in a wedge shape.
2. Vacuum evaporation: The pressure in the container is
reduced sufficiently below to the triple point using efficient
vacuum pumps, usually two-stage rotary pumps on the small
scale and ejector pumps on the large scale. The maintenance
of the contents in the solid, frozen condition during the
application of the vacuum is vitally important. If liquid is
formed as a result of partial thawing, a considerable amount
of degassing would occur with probable loss of the material,
which would froth over the sides of the container. Air is
exhausted by double-stage, high-vacuum pumps until a
suitable vacuum is obtained (a vacuum of 0.01mmHg is
possible). During evaporation, some water vapour must be
carried over into the oil of the pump from which it must be
removed either by heating or centrifuging. A condensing coil
at the bottom of the chamber is maintained at –50°C by
means of a special refrigerating plant. When the pressure is
sufficiently low, ice evaporates and condenses on the coils.
As ice forms on the condenser, it acts as an insulator and the
heat interchange becomes less efficient.
771
3. Heat requirement for evaporation: In primary drying, the
latent heat of sublimation is provided and vapours are
removed. The apparatus may resemble the vacuum oven or
containers may be attached individually to outlets on a
manifold. Latent heat being required for evaporation, the
solution would cool still further; a small source of radiant heat
is therefore placed in the chamber head and evaporation takes
place rapidly with the frozen material remaining at –20°C
until all the ice has evaporated.
In this stage, the heat transfers is critical. The insufficient heat
prolongs the process, which is already slow and excess heat
will cause melting.
The prefrozen bottles (e.g. blood) are placed in individual
heated cylinders or are connected in a manifold when heat can
be taken from the atmosphere. Shelf-frozen materials are
heated from the dryer shelf while ampoules may be left on the
centrifuge head or may be placed on a manifold, but in either
case heat from the atmosphere is sufficient.
In all cases, the heat transfer must be controlled, since only
about 5 W/m2k is needed and overheating will lead to
melting.
4. Vapour removal: The vapour formed must be controlled
to avoid a pressure rise that would stop sublimation. On the
small scale, vapour is absorbed by a small condenser with
solid carbon dioxide.
Condensation may be used on the large scale, but
mechanically refrigerated condensers are used. Accumulation
of ice decreases heat transfer, and for very large installations
the condenser can be scraped. The ice is compressed to a solid
block and ejected through a special pressure lock.
On the large scale, the vapour is commonly removed by
pumping but the pumps must be of large capacity and must be
772
affected by moisture. The extent of the pumping capacity
needed will be realized from the fact that, under the pressure
conditions used during primary drying, 1g of ice will form
1000 litres of vapour. Ejector pumps are most satisfactory for
this purpose.
Secondary drying: The primary drying process leaves
products with about 0.5% moisture in the solid and this is
removed in secondary drying process. The usual method is to
raise the temperature, often as high 50–60°C. The secondary
drying period is ordinary vacuum drying, the product is
virtually free from moisture and the risk of hydrolysis is
negligible.
Packaging: Attention must be paid to packaging freeze-dried
products to ensure protection from moisture. Containers
should be closed without contacting the atmosphere, if
possible, and ampoules for examples are sealed on the
manifold while still under vacuum. Otherwise, closing must
be carried out under controlled atmospheric condition.
Lyophilization equipment: A lyophilizer consists of a vacuum
chamber that contains product shelves capable of cooling and
heating containers and their contents. A vacuum pump, a
refrigeration unit and associated controls are connected to the
vacuum chamber.
Cooling elements within the shelves freeze the product. Once
the product is frozen, the vacuum pump evacuates the
chamber and the product is heated. Heat is transferred by
thermal conduction from the shelf, through the vial, and
ultimately into the product.
Construction of lyophilizer (Figs. 14.11 & 14.12):
• Cold trap and drying chamber are made of polished stainless
steel and fusion welded for fail-proof vacuum.
• Refrigeration cooling coils are on exterior of the cold trap
and insulated.
773
• Top and front outer frames are made of stainless steel and
other sides are made of mild steel.
• All facilities except the drying chamber are concealed for
highly compact appearance.
• Lid made of thick gauge acrylic sheet provided.
• Air-cooled refrigeration system.
• Vacuum is provided by built-in double-stage, direct,
heavy-duty vacuum pump.
• Control panel contains temperature indicator, control
switches for refrigeration and vacuum.
Fig 14.11 Diagrammatic representation of lyophilizer.
774
775
Fig 14.12 Photographs of different lyophilizers (@Labconco
corporation. Used with permission).
The most important aspects related to construction of

lyophilizer are listed below:
• Separated drying chamber and ice condenser to reduce cross
contamination.
• Provision of an isolation valve between chamber and ice
condenser to allow for endpoint determination and
simultaneous loading and defrosting.
• Construction of the chamber and ice condenser as pressure
valves to allow for steam sterilization at 121°C or higher.
• Cooling and heating of the product-support shelves by a
circulating intermediate heat-exchange fluid to give even and
accurate temperature.
• Additional instruments to control, monitor and record
process variables.
• Movable product-support shelves to close the slotted bungs
used in vials and to facilitate cleaning and loading.
• Automatic control system with safety interlocks and alarms,
duplicate vacuum pumps, refrigeration systems and other
moving parts to enable drying to proceed without endangering
the product in the event of mechanical breakdown.
References
Davies JD. Process Biochem. 1968;3:11–48.

Fowler HW. J. Pharm. Pharmacol. 1952;4:932.
Greaves RIN. J. Hyg., Camb. 1942;41:489.
Greaves RIN. Medical Research Council Spec. London:
HMSO; 1946. Report Series No. 258
Kay AW. Chem. Trade J. Chem. Engg. 1951;128:741.
776
Newton JM. Manuf. Chem. & Aerosol News. 1966;37(4):33.
Riegelman S, Swintosky JV, Higuchi T, Busse LW. J. Am.
Pharm. Assoc. (Sci. Edn). 1950;39:444.
777
Chapter 15
Evaporation
The vaporization of a portion of solvent from a solution of a
solid is termed evaporation. This process is distinguished
from distillation in that the volatile component, which is
usually water and thus of little value, is not condensed and
collected separately. In distillation, the volatile components
are required and the term is frequently applied to the
separation of components that have different boiling points.
Evaporation is employed in the isolation of a nonvolatile
solute from solution, or for the concentration of such a
solution. The term evaporation when used in its widest sense
implies the free escape of vapour from the surface of a liquid
below its boiling point. In industrial practice, evaporation is
generally carried out at the boiling point of the liquid in order
to obtain rapid removal of the vapour. In principle, it is
difficult to distinguish between evaporation and drying,
although the latter operation is mainly concerned with
removal of relatively small amounts of water from a solid,
while evaporation is concerned with the removal of large
amounts of water or other solvent.
General Principles of Evaporation

Vapour Pressure
Liquids and solids exert a vapour pressure which measures

the tendency of the substance to evaporate. The vapour
pressure of a liquid increases with rising temperature. In a
778
closed system evaporation of the liquid takes place till an
equilibrium is set up between the molecules leaving and
molecules re-entering the liquid. The vapour above the liquid
is then saturated and exerts a maximum vapour pressure;
before equilibrium is attained, or if insufficient liquid is
present to saturate the gas space by evaporation, the vapour is
said to be unsaturated. The pressure is usually stated in terms
of the height of a column of mercury (in cm or mm) which
exerts an equivalent pressure.
Boiling Point
The temperature at which the vapour pressure of a liquid is

equal to the pressure applied externally is called the boiling
point of the liquid. Thus at 100°C the vapour pressure of
water is 760mm and in an atmosphere at this pressure, the
water boils. At the boiling point, vapour is formed in the body
of the liquid as well as at the surface and drives off the vapour
from the surface; below the boiling point, vapour is liberated
by diffusion mainly from the surface layers of the liquid.
The boiling point varies with the externally applied pressure;
at lower external pressures, there is a reduction in the boiling
point and at higher external pressures, an elevation in the
boiling point. The following values for boiling points at
different pressures illustrate this point: water 100°C/760mm;
0°C/4.6mm; glycerin 290°C/760mm, 130°C/1.5mm;
eucalyptol 176°C/760mm, 20°C/1.3mm. An average organic
compound may exhibit the following values: 350°C/760mm,
220–250°C/20mm; 170–200°C/0.1mm, 40–60°C/0.001mm. A
pressure of 20mm is attainable on a water pump, 0.1mm on a
good oil pump and 0.001mm on a mercury diffusion pump
backed by an oil pump.
779
Because of the pressure exerted by the hydrostatic head of
liquid, the lower layers boil at a higher temperature than the
upper layers so that the average temperature of the boiling
liquid is higher than that which would correspond to the
external pressure in the vapour space. This effect is
significant in large evaporators in which the hydrostatic head
may be several feet.
Effect of Dissolved Substances
The vapour pressure of a liquid is lowered when a substance

is dissolved in it and consequently the boiling point of the
liquid is raised. For dilute solutions of nonvolatile solutes
equimolecular quantities of different substances dissolved in
equal volumes of the same solvent lower the vapour pressure
by an equal amount (Raoult’s law). This relationship forms
the basis of the ebullioscopic method of molecular weight
determination. The effect of volatile solutes is considered
under ‘Fractional distillation’ (p. 243).
Heat Supply and Vapour Removal
In both evaporation and distillation, heat must be supplied to

the liquid and the vapour above the liquid surface must be
continuously removed. If the vapour space above the liquid is
saturated, no evaporation can take place. The vapour from
boiling liquids is most conveniently removed by a condenser
so that the equilibrium between liquid and vapour is never
attained. Evaporation of liquids below their boiling point can
be expedited by the passage of a current of air across the
surface. In considering the principles of evaporation and
distillation, attention must be paid to (1) heat transfer from
780
the heating medium to the liquid and (2) separation of vapour
from liquid.
Heat Transfer
The function of an evaporator is to transfer heat to the

evaporating liquid so as to provide the latent heat of
vaporization. When steam is used as a source of heat there are
three obstructions to the transfer of heat from the steam to the
substance being heated: (1) the wall of the evaporator, (2) the
film of condensed steam on the steam side of the wall and (3)
the liquid film of the substance being heated on the other side
of the wall. The significance of these factors will now be
discussed in more detail. Consider the simple case of heat
transfer to a liquid flowing through a tube which is
surrounded by steam; the temperature gradient across a
section of the wall is shown diagrammatically in Fig. 15.1.
On the steam side, saturated steam at temperature t1 will
condense when it comes into contact with the cooler surface
of the wall, resulting in a film of condensate coating the
surface. This film offers a considerable resistance to the
passage of heat since heat can only be transmitted through
this film by conductivity. Most liquids and gases are poor
conductors of heat. By calculation from coefficients of
conductivity it will be found that a film of water 0.003 inches
thick will offer a far greater resistance than a wall of copper
0.125 inches thick. A considerable temperature drop occurs
across this film (t3–t2). The obstruction caused by the wall
itself is proportional to its coefficient of conductivity but for
copper, iron and stainless steel the differences are negligible
when compared with the film resistances. In practice there are
also obstructions due to corrosion, encrustations and
781
deposited solids on the wall of the evaporator. These coatings
or scale have a much lower conductivity than the wall itself
and in addition their surface roughness will increase the
effective thickness of the liquid films in contact with them.
The temperature drop across the wall is t4–t3 and is seen to be
small compared with the drop across the films. Inside the
tube, next to the wall, a relatively slow-moving film of liquid
will be present even though the liquid towards the centre of
the tube may be flowing in a turbulent manner. The thickness
of this streamline layer depends on the viscosity and velocity
of the fluid and on the surface roughness of the wall. As heat
can only be transferred through this film by conduction the
temperature drop t5–t4 is relatively large. Finally, the heat
passes to the bulk of the liquid which reaches an
approximately uniform temperature t6 due to mixing by
turbulence.
Fig. 15.1 Temperature distribution across the wall of an

evaporator.
The amount of heat which must be transmitted through the

wall of the vessel varies with the liquid to be evaporated. If
782
the liquid is aqueous with a low solid content then the latent
heat of vaporization, 540×4.2J/g, will be provided by the
condensation of an equal weight of steam in the jacket. If
benzene is being evaporated, with a boiling point of about
81°C and a latent heat of vaporization of 90×4.2J/g, then the
condensation of one part of steam will provide the heat to
vaporize about six parts of benzene. These comparative
figures of course, do not take into account differences in heat
transfer across the films of the two liquids: Benzene which
has the lower viscosity would have a relatively thin
streamline layer in contact with the wall, resulting in better
transfer of heat.
The general equation for heat transfer can be expressed as
follows:
where q is the rate of heat transfer, A is the area of heating

surface, Δt is the mean temperature difference between the
heating surface and the evaporating liquid, U is the overall
heat transfer coefficient. The heat exchange element may be
either a jacket, e.g. steam-jacketed pan, or a series of tubes,
e.g. calandria unit.
The overall heat transfer coefficient, U, for an evaporator can
be regarded as the reciprocal of the sum of the individual
thermal resistances. Thermal resistances, like electrical
resistances, are additive and the reciprocal of resistance is a
measure of conductance. The greatest thermal resistances are
those caused by the fluid films next to the wall of the
evaporator; the resistance of the metal wall can usually be
neglected since this is small in comparison. Thus to obtain
783
high values for the overall heat transfer coefficient, under
specified temperature conditions, special attention should be
paid to those factors that reduce the thickness of the stagnant
film, e.g. use of high liquid velocities. In practice, the overall
coefficient may be seriously lowered by the corrosion of the
surface or by the deposition of solid material from the
evaporating liquid. Another barrier to heat flow may result
from the presence of uncondensable gases in the heating
steam; air, if present in the steam, will tend to become
concentrated next to the wall surface as the steam condenses.
Removal of this air by adequate venting is necessary.
Film Coefficients
Rate of flow of heat for steady conduction = temperature

difference/resistance (cf. flow of electrical current = potential
difference/resistance). Flow of heat through a solid can be
represented by the equation:
where q is the rate of heat flow across cross-sectional area A,

Δt is the temperature difference across length L and k is the
thermal conductivity. For flow of heat through a fluid film,
the equation is expressed:
784
where h is the film coefficient. In Fig. 15.1 the overall
temperature difference across the wall of the evaporator is
t6–t1. The total resistance per unit of cross-sectional area is
the summation of the fluid film resistances and the wall
resistance and equals:
where h1 and h2 are the film coefficients of the steam film

and the liquid film, respectively.
The reciprocal of this resistance can be treated as a
conductance U so that:
and the rate of heat flow from the steam side to the liquid is:
U is the overall heat transfer coefficient.

In the general equation for heat transfer, q is proportional to
Δt. This relationship is valid for the heat transfer to boiling
liquids provided that Δt is not increased above a certain upper
limit. If the heating surface is very much hotter than the
boiling liquid, the increased vaporization will result in the
heating surface being insulated by a nearly continuous film of
vapour and the rate of heat transfer will be greatly reduced.
785
This effect can be observed when a drop of water is heated on
a hot plate. At a temperature of about 110°C the drop wets the
surface and evaporates rapidly. At a temperature of, say,
160°C the drop dances about on a cushion of steam and
evaporates more slowly than at the lower temperature. This
effect is likely to be encountered in the evaporation of low
boiling point solvents especially if pressure steam is used for
heating. Generally, a temperature difference of 20–30°C is
ample for rapid evaporation of solutions.
To provide a large heating surface many evaporators are made
up of a number of tubes in parallel. The tubes are mounted
together to form a unit known as a calandria. The boiling
liquid is generally contained within the tubes and the heating
steam outside. The rapid evolution of vapour within the tube
carries the liquid upwards at high velocity reducing the
thickness of the fluid film next to the heating surface and so
increasing the amount of heat transferred per unit area of wall
surface. Long tube evaporators promote high liquid velocities
without the aid of auxiliary pumping equipment.
Separation of Liquid and Vapour
In small vertical tube evaporators the separation of vapour

and liquid usually takes place by gravity since the liquid
droplets which are carried some way upwards with the vapour
eventually fall back into the boiling liquid. At high vapour
velocities and particularly when operating under reduced
pressure, fine drops may be carried along by the vapour to the
condenser. To prevent this entrainment, there are usually
special separators through which the vapour must pass. An
example is a cyclone separator to which the vapour is
introduced tangentially to its periphery causing a circular
786
motion of the vapour. The centrifugal force so produced
causes the suspended droplets to be deposited. The separation
of vapour from foaming liquids often presents difficulties;
loss of product may be serious in spite of the use of
entrainment separators. In these instances, the use of long
tube evaporators to give high liquid velocities is often
effective in breaking up the foam.
Small-Scale Methods
Small quantities of liquids may be evaporated in a shallow
porcelain or glass basin. In general, direct heating from a
Bunsen flame on a wire gauze should not be employed, since,
as the solution becomes more concentrated, its boiling point
rises and serious overheating of the solute is likely to occur;
removal of the last portions of solvent at a high temperature
causes spurting. For aqueous solutions, a water bath or steam
bath is used as a source of heat; higher temperatures may be
attained on a sand bath or oil bath. The last traces of a solvent
may be incompletely volatilized at a temperature well above
the boiling point of the solvent owing to the high
concentration of the solution. In such cases, evaporation is
completed in vacuo. Evaporation of large volumes of liquid or
solutions having expensive solvents is effected by distillation
at atmospheric pressure or in vacuo.
787
Large-Scale Methods
Heat Transfer Considerations
When a liquid is heated on a laboratory scale there is no

necessity to consider the efficiency of the process as the
operation is usually completed quite quickly. On a
manufacturing scale however, the problem of scale-up from
small scale is very important. In order to make a comparison
consider the following cases: (1) 100mL of water in a
hemispherical basin and (2) 500 litres of water in a
hemispherical steam-jacketed pan.
As we are more interested in the relative rates of heating and
cooling rather than the absolute rates, the calculation can be
simplified as follows:
The volume V of a sphere of radius R is proportional to R3
while the surface area is proportional to R2. It follows that the
ratio of surface to volume for a sphere (or hemisphere) is 1/R.
Considering the 100 and 5,00,000mL hemispherical vessels
the ratios of the surface to volume are proportional to 1/100–3
(1/4.64) and 1/5,00,000–3 (1/79.35), respectively. As the
passage of heat to the liquid must take place through the
hemispherical surface of the vessel it can be seen that the
larger vessel will only heat up at approximately
one-seventeenth the rate of the smaller for the same amount
of heat passing per unit area of surface. Evaporation which
takes place from the surface of the liquid will also be reduced
by the same proportion. This scaling up calculation applies to
many of the operations which the pharmacist has to conduct
and may be a serious matter if
the heat of reaction liberated in a chemical process has to be
controlled.
788
Heating by Steam
Most evaporators use steam as a source of heat. Heating is

uniform over the whole wall of the evaporator and the
temperatures which are obtainable depend on the pressure.
Table 15.1 shows the relative pressure and temperature of
steam to the nearest degree centigrade.
Table 15.1 Properties of saturated steam
Pressure of gauge Temperature (°C)

2 2
lb/in kg/cm
0 0 100
5 0.35 109
10 0.70 116
15 1.05 121
20 1.40 126
30 2.10 134
40 2.80 142
50 3.50 148
75 5.25 160
100 7.00 170
120 8.40 173
Higher temperatures than those shown in Table 15.1 are
obtainable by superheating, but as will be shown,
superheating is of little value when steam is required as a
source of heat. Superheated steam is used to improve the
economy of steam engines, but this is not a matter for
789
consideration here. A slight degree of superheat is of
advantage to prevent condensation in the steam lines and is
easily obtained by throttling so as to have a pressure in the
boiler slightly higher than that of the steam mains.
When steam is used a study of heat transmission is of great
importance. Gases and vapours are very bad conductors of
heat and give up their heat very slowly. Liquids give up their
heat much more quickly.
The specific heat of water is 4.2kJkg−1.
The latent heat of steam is, 2.2MJkg−1.
The specific heat of steam at constant pressure is, 2.0kJkg−1.
The first two of the above are given up when saturated steam
condenses on a surface. The specific heat of the steam must
be given up before condensation takes place; this does not
take place easily because gases are bad conductors of heat.
When steam is superheated the additional heat is in the form
of specific heat of the steam as a vapour. Suppose we wish to
distil xylene with a boiling point of l36°C and we use
saturated steam at 30lb/in2 (2.1kg/cm2), which has been
raised by superheating to something above 136°C. We shall
be able to use only the specific heat of the steam. Steam will
come away from the jacket of the still at 136°C and very little
xylene will be distilled. If we use steam at 100lb/in2 (7.0kg/
cm2), the temperature of which is 170°C, in cooling to 136°C
condensation will take place and we shall be able to use the
latent heat in addition to the specific heat given up in cooling
from 170 to 136°C. The steam trap will void water at 136°C,
which coming into atmospheric pressure will immediately be
cooled at 100°C by a part of it flashing into steam, the heat
represented by the 36°C of temperature difference being
converted to latent heat in the steam produced. This loss
cannot be avoided.
790
Evaporation at Atmospheric Pressure
Evaporation Pans
On a manufacturing scale, aqueous extracts are evaporated in

open pans or in vacuum evaporators; the final stage of
evaporation from soft extract to dryness is done in vacuum
ovens, alcoholic solutions or extracts are evapor ated in stills
so that the alcohol may be recovered. The still is usually
incorporated in the extraction plant. Evaporation in open pans
is usually confined to the final stages of the process in the
preparation of soft extracts, because (1) the amount of water
to be evaporated is small, (2) it is easy to stir the pan by hand
and (3) it is easy to remove the product. If the extractive is
liquid or remains liquid while hot, evaporation in vacuum
pans is to be preferred, because the water is removed much
more rapidly at a lower temperature, and there is economy of
time, heat and labour.
Open evaporating pans are simple in construction. The pan
may be made of copper, stainless steel, aluminium, enamelled
iron or other metal. They vary in the proportion of depth to
diameter, depending on whether they are required simply as
heating and mixing vessels or for evaporation. Fig. 15.2
shows sections of two typical pans. The shallow pan where
the jacket
covers only the lower part of the pan, in spite of its limited
heating area, will give rapid evaporation by reason of the
large surface of the liquid exposed; it also provides for easy
stirring in the final stage of the preparation of soft extracts.
Shallow copper or stainless steel pans are, for the same
capacity, more expensive to construct because the metal of
791
the pan must be thicker than that of a hemispherical pan in
order to withstand the steam pressure in the jacket.
Fig. 15.2 Section of steam-jacketed pans.
Pans up to about 90L capacity may be made to tilt on

trunnions by the use of a hand lever; above this capacity, the
weight of the pan plus contents becomes too great for hand
operation and mechanical tilting gear is fitted. In tilting pans
the steam inlet and exhaust is made through the hollow
trunnions by means of glands. The jacket is cast iron and the
pan itself is of stainless steel.
In open evaporating pans, a usual rate of evaporation is about
2gal/ft2 (100L/m2) of surface per hour with steam at a
pressure of 40lb/in2 (2.8kg/cm2) in the jacket and the liquid in
a state of ebullition. This figure is reduced as the liquid
becomes concentrated and circulation retarded.
792
In any room in which open pans are used for evaporation
there must be efficient ventilation to remove the vapour.
Unless this is done the room quickly becomes filled with a
dense fog of condensed vapour and water falls from the roof
and runs down the walls. Hoods and electric fans fitted over
the pans not only remove the steam and prevent condensation
in the room but also accelerate the rate of evaporation by
quickly removing saturated air from above the surface of the
liquid.
Calandria
In order to get sufficient heating surface, tubes are generally

employed, with steam on the outside and the liquid inside. In
order still further to increase the capacity, the tubes are
multiplied forming a calandria (Fig. 15.3), or are lengthened
as in the climbing film type of evaporator (Fig. 15.5). The
size and length of the tubes is subject to careful calculation
and the form of the heating element is most important. The
tubes may be about 1.2m long and 5cm in diameter, but the
size varies with the nature of the substance to be evaporated.
There is a space below, often containing a steam coil to give
extra heating capacity, and large enough to afford room for
rapid circulation of the liquid; there is a larger space above to
allow for spray to separate from the vapour before it leaves
the evaporator. The height of the liquid in the evaporator is
arranged so that the tubes of the calandria are only partly
immersed and the liquid boils up the tubes, floods over the
top and goes down the large central tube, thus ensuring rapid
circulation. Fig. 15.4 shows in diagram a type of inclined tube
evaporator which has the advantage that by opening the
793
bottom of the inclined calandria the tubes are easily reached
for cleaning.
Fig. 15.3 Evaporator with calandria heat exchanger.
794
Fig 15.4 Inclined-tube vacuum evaporator.
795
Fig. 15.5 Climbing film evaporator.
Climbing Film Evaporators
For this type of evaporator numerous advantages are claimed.

It differs essentially from the ordinary calandria type in
having a small number of long tubes encased in a steam
jacket instead of a large number of short ones. The liquor,
previously heated, is led through a pipe into a number of
tubes fitted into upper and lower tube plates and surrounded
by a steam jacket. Steam is admitted to the jacket at the inlet
valve causing ebullition to take place inside the tubes and this
releases a volume of vapour which must find its way to a
796
region of lower pressure by passing up the tube. As this
volume of vapour ascends, it
forms itself into a core in the centre of the tube, carrying with
it the liquor as a film round the inner surface of the tube, the
vapour passing at a higher velocity than the liquor itself. On
reaching the top of the tubes, the vapour and liquid pass into a
separator, where separation of the concentrated liquor and
vapour take place. Advantage is taken of the velocity of the
liquid to bring about separation by centrifugal action. The
vapour emerging at the outlet may be used to preheat the
liquid before admission to the evaporator or may become the
source of heat for another effect.
The tubes in a climbing film evaporator are about 6.9m long
with an internal diameter of 5cm. The vapour and liquor leave
the tubes and enter the separator at a speed of about 27m per
sec; it will therefore be seen that the liquor is in contact with
the source of heat for such a short time that there is little
chance of injury to the product even though a much higher
temperature is used than is customary for the same liquor
undergoing evaporation in an ordinary type of evaporating
pan. All the conditions for good heat transmission are
fulfilled. The amount of vapour leaving the evaporator
throughout its operation is constant, and this enables the
separator to be so designed that entrainment is reduced to a
minimum. The high velocity of the liquor reduces scaling
(McCabe & Robinson, 1924) in the tubes.
Horizontal Film Evaporators
The evaporator consists of four or six pairs of horizontal

concentric tubes placed one above the other, and connected
by butt ends so that a horizontal hairpin coil is formed (Fig.
797
15.6). The liquor passes through the inner tubes, entering at
the bottom and passing upwards; the steam enters at the top
and passes downwards between the inner and outer tubes of
each pair, so that the transference of heat is on the
counter-current principle. On leaving the top element, the
concentrated liquor and vapour pass into a centrifugal
separator from which the liquor is withdrawn by a pump and
the vapour passes to a jet condenser and wet pump. Provision
is made for preheating the liquor by passing it through a
jacketed tube situated below the evaporator tubes. All the
parts that come into contact with the liquor are usually made
of stainless steel, but in special cases the tubes can be made of
glass and the other parts of Keebush, so that all metallic
contact is eliminated. Cleaning of the tubes is made easy by
the removal of the butt ends which are held in place by means
of a stirrup fitted with a single eye bolt.
798
Fig. 15.6 Horizontal film evaporators.
The capacity of these evaporators varies greatly, depending

on the nature of the liquid, the degree of concentration, the
steam pressure and the vacuum. The horizontal tube
evaporator described above, working under suitable
conditions with a cascara extractive, has a capacity of
135–155L per hr when the feed liquor is concentrated from 5
to 25 per cent. Larger evaporators of this type are available,
with capacities of three to four times this amount. The
climbing and falling film evaporators have larger capacities,
averaging about 450L per hr, the smallest standard size
having a capacity of 225L per hr when concentrating an
aqueous extract of liquorice. The calandria type are made in
very large sizes, calandria 4m in diameter with tubes 1.5m
long being not unusual.
Forced-Circulation Evaporator
The tubes are longer and narrower than in the standard

vertical (usually 3/4 in inside diameter and 8ft long) and are
contained
in a heating element A between two tube sheets (Fig. 15.7).
This tube bundle projects part way into the vapour head B. A
return pipe C leads from the vapour head to the inlet of a
pump D and this pump delivers the liquid to the tubes with a
positive velocity. As the liquid rises through the tubes; it
becomes heated and begins to boil, so that vapour and liquid
issue from the tops of the tubes at a high velocity. This
material strikes against a curved deflector E that throws the
liquid downward in a sheet or curtain and makes an effective
separation of liquid and vapour. The steam connection is near
799
the bottom of the tube bundle. Just inside the shell of the tube
bundle is a cylindrical baffle F that extends nearly to the top
of the heating element. The steam rises between this baffle
and the wall of the heating element and then flows downward
around the tubes. This displaces noncondensed gases to the
bottom, where they are removed at G. Condensate is removed
from the bottom of the heating element at H. This evaporator
is especially suited for foamy liquids, for viscous liquids, and
for those that tend to deposit scale or crystals on the heating
surfaces (Badger & Banchero, 2002).
Fig. 15.7 Forced-circulation evaporator.
800
Forced-Circulation Evaporators with External Heating
Surface
In the larger sizes, the above forced-circulation evaporator is

not always convenient, and the construction in Fig. 15.8 is
very commonly employed. The heating surface is an ordinary
two-pass heater entirely separate from the evaporator body
itself. The pump takes liquid from the evaporator body,
pumps it through the heater and returns it by a tangential inlet
to the main body. The evaporator body now becomes nothing
but a flash chamber. The tangential inlet serves to keep the
whole mass of material in rotation, and this assists in
liberating the vapour bubbles from the liquid surface without
excessive entrainment. Such evaporators are widely used for
the concentration of materials that deposit crystalline solids
on evaporation, such as the evaporation of salt brines and of
electrolytic caustic solutions (Badger & Banchero, 2002).
801
Fig. 15.8 Forced-circulation evaporator with external
horizontal heating surface.
Multiple-Effect Evaporator
Multiple-effect evaporatoris the method of increasing the

steam economy over single-effect evaporators. The total
pressure difference between the steam and the condenser is
spread across two or more effects in the multiple-effect
system. The pressure in each effect is lower than that in the
effect from which it receives steam and above that of the
effect to which it, supplies vapour. Each effect itself, acts as a
single-effect evaporator, and each has a temperature drop
across heating surface corresponding to the pressure drop in
that effect. Arranging a series of evaporator bodies into a
802
multiple-effect system is a matter of interconnecting piping,
and not of the structure of the individual units.
Principles of multiple-effect operation: Fig. 15.9 shows
multiple effect evaporator made up of three short-tube
natural-circulation evaporators. Connections are made so that
the vapour outlet from one effect serves as the heating
medium for the next. A condenser and air ejector establishes a
vacuum in the third effect in the series and withdraws
noncondensables from the system. The first effect of a
multiple-effect evaporator is the effect to which the steam is
fed and in which the pressure in the vapour space is the
highest. The last effect is that in which the minimum vapour
pressure. In Fig. 15.9 dilute feed enters the first effect, where
it is partly concentrate and flows to the second effect for
additional concentration, and then to the third effect
for final concentration. Thick liquor is pumped out from the
third effect.
803
Fig. 15.9 Multiple-effect evaporator. I, II and III, respectively
the first, second and third effects. Dl, D2 and D3, condensate
valves. F1, F2 and F3, feed- or liquor-control valves. S1, steam
valve. T1, thick-liquor valve. V1, V2 and V3, vent valves. Ps,
P1, P2 and P3, pressures. ts, t1, t2 and t3, temperature.
Suppose that the whole system is cold and at atmospheric

pressure and that each effect is filled to an appropriate level
with the dilute liquid to be evaporated. All the valves are not
opened. Imagine that the ejector is turned on and that most of
the air and other noncondensable gases are pumped out from
the unit. Air flows through the vent lines and vapour lines
until the whole apparatus is evacuated.
Now assume that the steam valve S1 and the condensate valve
D1 are opened until the desired pressure Ps is built up in the
steam chest of evaporator I. Let ts be the temperature of
saturated steam at pressure Ps. The steam will first displace
any residual air from the steam chest of evaporator I through
the vent line. Since the liquid in the tubes is cold, steam will
condense on the outside of the tubes. The trap allows
condensate to escape as fast as it collects. The liquid in the
evaporator body becomes warmer until it reaches the
temperature at which it boils. The vapour so generated will
gradually displace air from the upper part of evaporator I,
from the vapour line, and from the steam chest of evaporator
II. The displaced air flows through the vent lines to the
ejector.
The steam that is coming off from evaporator I will transmit
latent heat to the liquid in evaporator II and be condensed.
Condensate valve D2 will be opened so that this condensate
will be removed as fast as it is formed. In condensing,
however, it gives up its heat to the liquid in evaporator II,
which becomes warmer. As the liquid becomes warmer, the
804
temperature difference with steam becomes smaller, the rate
of condensation diminishes and therefore the pressure in the
vapour space of evaporator I gradually builds up, increasing
t1 (the boiling point of the liquid in evaporator I) and cutting
down the temperature difference ts–t1. This continues until
the liquid in evaporator II reaches its boiling temperature.
The same process will be repeated in evaporator III. As the
liquid in evaporator III becomes warmer and finally begins to
boil, the temperature drop between it and the steam from the
second effect becomes smaller, pressure begins to build up in
the second effect and raises t2, the boiling point there, so that
the temperature difference t1–t2 decreases. This decreases the
rate of condensation and builds up the pressure in the vapour
space of the first effect still more, until finally the evaporator
comes to a steady equilibrium with the liquid boiling in all
three bodies.
The result of boiling will be to lower the liquid level. As soon
as the level begins to come down in body I, the feed valve F1
will be opened enough to keep the level constant. As body II
begins to boil, feed valve F2 will be adjusted, and as body III
begins to boil, feed valve F3 will be adjusted. A change in
anyone valve obviously involves a resetting of the others, but
they will be so set that the liquid levels in all three bodies are
kept constant. Liquid in body III is becoming more and more
concentrated, however, and when it reaches the desired
finished concentration the thick-liquor valve T1 will be
opened the proper amount and the thick liquor pump will be
started. Thus when evaporation is proceeding in a steady
manner, there will be a continuous feed to the first body, from
the first to the second, from the second to the third, and a
continuous withdrawal of thick liquor from the third effect.
The evaporator is now in continuous operation
805
with a continuous flow of liquid through it, and all the various
temperatures and pressures are in equilibrium.
The heating surface in the first effect will transmit per hour an
amount of heat given by the equation
(15.1)
If the part of this heat that goes to heat the feed to the boiling
point is neglected for the moment, it follows that practically
all of this heat must appear as latent heat in the vapour that
leaves the first effect. The temperature of the condensate
leaving through connection D2 is very near the temperature t1
of the vapour from the boiling liquid in the first effect.
Therefore, practically all of the heat that was expanded in
certain vapour in the first effect must be given up when this
same vapour condenses in the second effect. The heat
transmitted in the second effect, however, is given by
equation
(15.2)
As has just been shown, q1and q2 are nearly equal, and

therefore
(15.3)
This same reasoning may be extended to show that, roughly,
806
(15.4)
It should be expressly understood that Eqs. 15.3 and 15.4 are

only approximate equations that must be corrected by the
addition of terms which are, however, relatively small
compared to the quantities involved in the expressions above.
In ordinary practice the heating areas in all the effects of a
multiple-effect evaporator are equal. This is to obtain
economy of construction. Therefore, from Eq. 15.5 it follows
that
(15.5)
From this it follows that the temperature drops in a

multiple-effect evaporator are approximately inversely
proportional to the heat transfer coefficient.
A reference to the mechanism by which this imaginary
evaporator was started up, as given in the preceding pages,
will show that the temperatures t1 and t2 were determined as
the result of the evaporator’s automatically reaching its own
equilibrium. Since ts and t3 are fixed, this automatically
determines Δt1, Δt2 and Δt3. In other words, the equilibrium
described by Eqs. 15.4 and 15.5 is automatically and
continuously maintained, and cannot be regulated or
controlled except by altering U1, U2 and U3.
Capacity of multiple-effect evaporators: Although the use of
the multiple-effect principle increases the steam economy, it
must not be thought that there are no compensating
disadvantages. Coordinate in importance with the economy of
an evaporator system is the question of its capacity. By
807
capacity is meant the total evaporation per hour obtained.
Since latent heats are nearly constant over the ranges of
pressure ordinarily involved, capacity is also measured by the
total heat transferred in all effects. The heat transferred in the
three effects of Fig. 15.9 can be represented by the following
equations:
and the total capacity will be found by adding these

equations, giving:
Assume, now, that all effects have equal areas and that an
average coefficient Uav can be applied to the system. Then
above equation can be written as:
However, the sum of the individual temperature drops equals

the total overall temperature drop between the temperature of
the steam and the temperature in the condenser, and therefore
808
Suppose, now, that a single-effect evaporator of area A be
operated with the same overall temperature difference, viz.,
with steam at 227°F and a vapour temperature of 125°F.
Assume also that the overall coefficient of the single-effect is
equal to the Uav of the triple effect. The capacity of the single
effect will be
This is exactly the same equation as that for the triple effect.
No matter how many number of effects uses, provided the
average overall coefficients are the same, the same equation
will be obtained for calculating the capacity of any
evaporator. The number of effects of an evaporation system is
varied and the total temperature difference is kept constant,
the total capacity of the system remains substantially
unchanged.
If the cost of one sq ft of heating surface is constant,
regardless of the number of effects, the investment required
for an N-effect evaporator will be N times that of a
single-effect evaporator of the same capacity. The choice of
the proper number of effects will be dictated by an economic
balance between the savings
in steam obtained by multiple-effect operation and the added
investment costs brought about by the added area. Fig. 15.10
shows these relationships. The annual fixed charges may be
taken as a percentage of the first cost of the evaporator. Since
the cost per square foot of heating surface increases
809
somewhat in small sizes, the curve for first cost is not a
straight line except in the upper part of its range. The costs of
steam and water fall off rapidly at first but soon show the
effect of the law of diminishing returns. Labour costs may be
considered constant, since only one operator is needed except
with a very large number of effects. The total cost of
operating an evaporator is the sum of all these curves and
usually shows a marked minimum (in small or moderate size)
for the optimum number of effect (Caldwell Kohlins, 1946;
Perry, 1950).
Fig. 15.10 Optimum number of effects in a multiple-effect

evaporator.
810
Evaporator Accessories
There are various devices that have to be attached with every

evaporator in addition to the evaporator body. These devices
are useful in many field of chemical engineering.
Condenser: If an evaporator is to operate under vacuum,
some device must be used for condensing the vapours.
Condenser may be classified into several groups such as:
In a surface condenser the vapour to be condensed and the

liquid (used for cooling it) are separated by a metal wall,
while in a contact condenser the vapour and cooling liquid
are mixed directly. A parallel-current condenser is one in
which the noncondensed gases exist at the temperature of the
exit cooling water, while a counter-current condenser is one
in which the noncondensed gases exists at the temperature of
811
the entering cooling water. In a wet condenser noncondensed
gases and cooling water are removed by the same pump,
whereas a dry condenser they are removed by separate
pumps. A barometric condenser is one that is placed high
enough so that the water escape from it by a barometric leg,
while in a low-level condenser water is removed by a pump.
The above classifications are coordinate and theoretically are
applicable for both surface condenser as well as contact
condenser but in practice parallel-current condenser are
almost always wet condenser, while counter-current
condenser are always dry.
Surface condensers: A surface condenser is similar to a
tubular heater, the vapour usually outside the tube, and the
water inside. The heat-transfer coefficient (and therefore the
capacity of the apparatus) is improved by increasing the water
velocity by making them multipass. In the case of a surface
condenser the vapour is usually at a pressure below
atmospheric, and therefore vacuum pump must employ to
remove the air. Evaporators are usually evaporating an
aqueous solution so they produce water vapour but in case of
solvent other than water, practical considerations eliminate all
types of contact condensers and only surface condensers can
be used. If the vapour to be condensed is water vapour, the
contact type of condenser is practically always used (unless
there is need for the condensed vapour) because the surface
condenser is much more expensive to build.
Contact condensers: A counter-current dry-contact condenser
is shown in Fig. 15.11. It consists of a vertical cylinder with
shelves or baffles part way across it. In Fig. 15.11 the water
rises behind the collar A, over flows the notched weir E, and
cascades to the surfaces C, D, E and F as showed by dashed
lines. Vapour is introduced near to bottom and must pass up
through the cascades of water until condensed, so that, finally,
812
noncondensed gases saturated with water vapour at the
temperature of the inlet cooling water leave from the top of
the condenser for the vacuum pump. Fig. 15.11 shows only a
typical arrangement of trays and baffles, and there are many
variants of this construction. If such a condenser is set 34ft or
more above the hot well, it is barometric and if not elevated
and water pump is attached to the bottom to remove hot
water, it is a low-level condenser.
Fig. 15.11 Coullter-current dry-contact condenser: A, inlet

water collar; B, weir to distribute water; and C, D, E and F,
cascade surfaces.
813
The parallel-current wet condenser is shown in Fig. 15.12.
Vapour to be condensed enters at the top and mixes with
high-velocity jets of cold water from the nozzles. The throat
below the condenser is constricted so that if sufficient water is
used the velocity head at this point is high enough to reduce
the static pressure to the vacuum desired, and therefore both
cooling water and noncondensed gases leave together. In
some cases parallel-current condensers are not operated with
a constricted throat, and in such cases they must be mounted
on a wet vacuum pump that removes both air and water.
Fig. 15.12 Parallel-current wet-contact condenser.
Counter-current vs. parallel-current condensers: The choice

between a counter-current and a parallel-current condenser is
based on considerations involving the temperature of the
water with which air is in contact at the point of removal. In
the counter-current condenser this is the incoming (coldest,
814
water); and in the parallel-current condenser this is the
outgoing (hottest water). This point has a bearing on the
displacement of the air pump to be used, or on the
air-handling capacity of the venturi throat if a condenser of
the type of Fig. 15.12 is used, but it has an even more
important bearing on the amount of water that needs to be
used.
In the counter-current condenser, the amount of water fed to
the condenser can be decreased until it leaves from the bottom
of the condenser almost at steam temperature. This has no
effect on the volume of air to be pumped out, because the air
is substantially in equilibrium with the coldwater entering.
However, in the case of a parallel-current condenser, the air
leaves in contact with the hottest water, and, as the above
calculations show, if the temperature of the exit water
approaches that of the steam, the volume of the air pumped
becomes enormous.
Vacuum pumps: The pumps generally used to remove hot
water and noncondensed gases from a parallel-current wet
condenser may be similar to ordinary reciprocating pump.
The displacement is made large enough so that it will suffice
for both water and air. The steam jet ejector is a form of
vacuum pump that is rapidly gaining in favour (Fig. 15.13).
High-pressure steam is admitted to a nozzle (A) that sends a
jet of very high velocity into the throat of a venturi-shaped
tube. The noncondensable gas to be removed enters as shown.
By properly proportioning the throat of venturi and volume,
and velocity of the steam used, the steam can be made to
entrain the non condensed gases from the space under
vacuum. For a very high vacuum (low absolute pressures) the
steam–air mixture from these jet goes to an auxiliary
condenser (B), where the water vapour is condensed by a jet
of cold water
815
and the residual air passes to a second nozzle (C). The
discharge from a second nozzle can usually be made to reach
atmospheric pressure and is therefore discharged at (D) to the
air. This two-stage ejector can be designed to produce quite
high vacuum, and a three-stage ejector may be designed to
produce vacua of the order of 0.5mm abs. For a vacuum of 26
in or over, the steam jet ejector uses less steam than a
steam-driven vacuum pump, and for vacua over 28.5 in it is
practically the only air-removal device possible. The main
advantage of the steam jet over reciprocating vacuum pumps
is that it has no moving parts and so reduced repairs to a
minimum.
Fig. 15.13 Two-stage steam-jet ejector.
816
Steam traps: Under ideal conditions live steam, i.e. steam that
has not been condensed and given up its latent heat should
never leave the jacket or coil of a vessel that is being heated.
In order to control the discharge the outlet of the heating
element should always be fitted with a steam trap. There are
many different types available. An older pattern consists of a
bucket which floats until the amount of condensate in the trap
swamps it, causing it to sink and open a valve. The
condensate is blown out of the trap, emptying the bucket
which again floats and closes the valve. This trap has an
intermittent or blast discharge (Fig. 15.14). There is no
provision for air to pass this type of trap. A modern type of
trap is operated by a thermostatic device depend ing on the
expansion of a liquid sealed in a flexible metal capsule. As
this type of trap depends on temperature for opening and
closing, both air and water will be voided. A thermostatic trap
is shown in Fig. 15.15. A strainer is shown combined with the
trap to keep back grit and particles of scale which would get
on the valve seat and prevent proper closing. A filter can be
used with advantage in conjunction with any form of trap.
The trap operates in the following way. A closed vessel,
which we will call ‘A’, made of copper alloy corrugated like a
concertina so that it will expand and contract, can be seen in
the right-hand half of Fig. 15.15. At the bottom of the element
is a valve which is free to enter a valve seat. The part, A’ is
held rigidly at the top and is filled with a spirit mixture which
usually has a boiling point lower than that of water. When ‘A’
is heated to the boiling point of water at any pressure a greater
pressure will be developed inside than the steam pressure on
the outside. The element will then expand and close the valve.
As water collects in the trap it cools and the pressure in ‘A’ is
reduced, ‘A’ contracts, the valve opens, the water is blown
out and the cycle is repeated. The temperature at which the
817
trap operate can be arranged by selecting the boiling point of
the liquid in ‘A’ so that condensate can be voided at nearly
steam temperature or at considerably below that tempera ture.
The makers will advise on the temperature of discharge and
also on the distance between jacket and trap; this distance has
an effect on the temperature of the condensate in the trap.
These traps have the advantage of being small and easily
installed; they do not hold water when not in use so that they
can be fixed outdoors without danger of freezing, and since
the valve is wide open on starting up, air is easily swept out.
Their disadvantage is that· the thermostatic element can be
damaged by water hammer, and they are therefore unsuitable
where there is a large and variable amount of condensate.
Fig. 15.14 Bucket steam trap (from The Making of a

Chemical Lewis & King).
818
Fig. 15.15 Thermostatic steam trap in section (Spirax
Manufacturing Co. Ltd.)
The cost of steam on a manufacturing scale is a very

important consideration and every effort should be made to
conserve heat, not only by the use of efficient traps, but also
by lagging pipes, the outside of steam heated vessels, and any
part from which heat may be lost. The water voided by the
steam traps will be hot. It should be kept free from
contamination and returned to a hot well to be used as boiler
feed.
Salt Removal
In many cases during evaporation, solid material precipitates

or crystallizes from the solution. There are various methods of
removing it, and some of them are as follows:
• Dumping the charge
• Salt receivers
• Salt elevators
• Continuous removal by a pump
When the solution is evaporated in batches, and especially
when the batch becomes extremely viscous toward the end, if
819
crystals are formed they may be held in suspension and
discharged with the batch. The batch of mother liquor mixed
with crystals is sent to a filter or centrifuge for separating the
crystals. This practice is regularly followed in sugar boiling
but is not general in other fields. A more common method,
where small amounts of salt are to be removed, is to attach to
the bottom of the evaporator one or more receivers such as
are shown in Fig. 15.16. These may be merely receivers in
which the salt collects and from which it is pumped at
intervals to filters. More commonly, however, they are salt
filters. Each filter is provided with a filtering medium, usually
wire gauze, supported between two fairly heavy, perforated
metal plates. A manhole is provided, with its bottom even
with the top perforated plate, so that the salt may be raked
out. The salt filter must be provided with an equalizing line
connecting it to the vapour space of the evaporator, so that a
vacuum may be put on it before it is connected to the
evaporator. It is usually provided with connections for steam
or air for displacing mother liquor from the salt as completely
as possible before dumping.
820
Fig. 15.16 Continuous salt settling and removal system.
In those cases where a salt separates on evaporation and this

salt is to be removed from the evaporator without interrupting
operation, it is usual to provide the evaporator with a conical
bottom. As the salt crystals grow, they finally become large
enough to settle out of the circulating liquid and accumulate
in this cone. If the amount of salt formed is small enough, one
salt filter can be attached to the cone and the salt merely
accumulates in the cone while the filter is being emptied. For
larger production, two salt filters can be used alternately, as
shown in Fig. 15.16. This method of salt removal should be
used only where less than 1 ton of salt per hour is to be
removed.
821
In the common salt industry, it was considered good practice
for many years to extend the cone of the evaporator
downward and have it discharge to a bucket elevator. This
method is now obsolete.
When the quantities of salt to be removed from the evaporator
are too large to permit the use of salt filters, continuous
pumping is the best practice. In this method, a centrifugal
pump is attached to the cone of the evaporator and
continuously pumps a slurry of salt and solution out of the
evaporator into a settler, the liquor overflows from the settler
and is returned to the evaporator, and the salt is withdrawn
from the settler to centrifuges or continuous filters. Such an
arrangement is shown in Fig. 15.16. A baffle B spreads the
stream somewhat, and as the incoming stream of slurry flows
across the settler its velocity is lowered so that the coarser
crystals fall into the cone of the settler. The major part of the
stream, with fine crystals in suspension, is removed by an
internal launder C and returned to the evaporator. If solution
withdrawn in the thickened salt slurry is not sufficient in
amount to keep the concentration in the evaporator at the
desired value, additional concentrated solution may be
withdrawn by connection D. The amount of mother liquor
withdrawn by the thick-slurry pump is regulated to give a
slurry not too dense, or there will be danger of slurry lines
plugging. Two parts mother liquor to one of salt can usually
be handled. One part liquor to one part salt is probably the
maximum.
Entrainment Separators
When a bubble of vapour rises towards the surface of a liquid

and bursts, the liquid film that forms the top of the bubble is
822
usually projected, as it bursts, as very fine drops along with
the stream of vapour. If at the same time the liquid has a high
velocity in the same direction as the vapour coming from the
bursting bubble, the velocity of these droplets of liquid will
be increased. These drops of liquid vary greatly in size. Some
of them drop back quickly into the liquid; some settle more
slowly; and some will not settle at all, at any vapour velocity
that it is practicable to maintain. Such finely divided liquid
carried along with the stream of vapour is called entrainment,
and it can be the cause of (1) serious losses from the liquid
being evaporated, and (2) contamination of the condensate
when this condensate is desired for other purposes.
A certain amount of separation is made first by making the
diameter of the vapour head of the evaporator such that, the
rising velocity of the vapours is kept down to a reasonable
figure. Each designer has his own idea as to what a reasonable
figure
is. Further, with a given rising velocity of the vapour stream,
as the vapour space is made higher, more of the mediumsized
droplets can settle back into the liquid in the time that is
available while the vapour is still in the evaporator. Those
that are once carried out into the vapour pipe must be
separated by some other method.
Because of the momentum of liquid particles, if there is
sudden change in the direction of the vapour stream, the
particles of liquid will not follow that change at once. It has
long been customary to place baffles either in the vapour
space in the evaporator or in special chambers inserted in the
vapour pipe in the hope that the particles of liquid would
impinge on the surface of the baffle while the vapour went
around it. It is the principle of all entrainment separators that
if the liquid droplets can be made to impinge on a solid
surface, they coalesce into a sheet and are not easily picked
823
up again by even extremely high vapour velocities. It would
also seem that, if the mixture of vapour and entrained liquid
were given a rotary motion, centrifugal force would tend to
throw the droplets out against the side of the vessel, where
they would coalesce and run down as sheets of liquid. Such
an entrainment separator, commonly used on many types of
evaporators, is shown in Fig. 15.17. The vapour is led into the
entrainment separator by a tangential inlet so that it starts a
whirling motion at once. The presence of a spiral vane of
sheet metal emphasizes this whirling motion so that most of
the entrained liquid is thrown out against the wall of the
separator, where it runs down, to be returned to the
evaporator. In the lower part of the separator the vapours turn
through 180° to rise through the central vapour off take pipe,
and this again projects some particles of liquid down into the
bottom of the separator. Still another type of vapour separator
often used in evaporators is the centrifugal separator shown in
Fig. 15.18. The outlet from the evaporator body is somewhat
restricted so that the vapour enters the opening A in the centre
of a horizontal baffle with a relatively high velocity. Mounted
above this opening is a circular cage containing spiral vanes B
and closed with a cover plate on top. The vapours must
escape through the spiral vanes and are thereby given a very
strong whirling motion. This tends to throw out the drops of
liquid against the wall C, from which they run down to be
returned to the evaporator through the trap D. By means of
baffles above this cage, the vapours are sent through certain
other turns, and any liquid that is thrown out against the outer
surface of the vapour dome runs down through trap E to be
returned. Such vapour separators take up very little space in
the evaporator setup, but if not carefully designed they may
cause too much pressure drop.
824
Fig. 15.17 Entrainment separator.
Fig. 15.18 Centrifugal separator.
Foam: In many cases, the two subjects ‘foam’ and

‘entrainment’ are confused, and the two words are used
825
interchangeably. So, for instance, the apparatus of Fig. 15.17,
which are properly entrainment separators, are often called
foam catchers. Foam is an entirely different phenomenon and
means the formation of a stable blanket of bubbles that lies on
the surface of the boiling liquid. This is familiar to everyone
who has seen milk boil on the kitchen stove. The cause of it is
relatively obscure, but it is known that it depends on (1) the
formation at the surface of the liquid of a layer whose surface
tension is different from that of the bulk of the liquid, and (2)
the presence of finely divided solids or colloidal material that
stabilizes the surface layer. Such factors are so intimately
connected with the general nature of the liquid being handled
that foam can rarely be prevented from forming by a previous
treatment of the liquid. The practical methods to combat
foam, therefore, amount to methods to prevent the foam from
rising and passing over into the vapour pipe. If the blanket of
foam ever reaches the vapour pipe, no separator will prevent
its going on over into the condenser.
Practical methods are more or less makeshifts. The liquid may
be carried at a level below the top of the heating surface, so
that the bubbles of foam come in contact with a hot surface
and are thereby burst. Steam jets are sometimes directed
against
the layer of foam to break it. Another method is to eject the
liquid carrying foam at a high velocity against a baffle, where
the bubbles of foam are broken mechanically. This happens in
the forced-circulation evaporator with an internal heating
element and in the long-tube vertical evaporator. The addition
of a surprisingly small amount of sulphonated castor oil,
cottonseed oil, or other vegetable oils, or some of the
silicones will often control or completely eliminate foam.
Foam, however, is a serious problem when it does occur, and
826
no completely satisfactory methods of eliminating it have yet
been found.
References
Badger WL, Banchero JT. Introduction to chemical

engineering. New Delhi: Tate McGraw Hill Publishing
Company Limited; 2007. Sixteen Reprint
Caldwell HB, Kohlins WD. Trans. Am. Inst. Chem. Eng.
1946;42:495.
McCabe WL, Robinson CS. Ind. Eng. Chem. 1924;42:478.
Perry JH. 3 Chemical Engineers’ Handbook. McGraw Hill;
1950:517–518.
827
Chapter 16
Distillation
Distillation is a method of separating substances which differ
appreciably in their vapour pressures. It is used in pharmacy
either to extract volatile active principles from vegetable
drugs or to separate volatile substances from their less volatile
impurities; it also provides a method of recovering volatile
solvents, notably alcohol, for further use. With the exception
of ‘destructive distillation’, the term is normally applied to
liquid–solid systems; the following qualifications are used.
Simple distillation is the process of converting a liquid into its
vapour, transferring the vapour to another place, and
recovering the liquid by condensing the vapour, usually by
leading it into contact with a cold surface. The apparatus used
consists essentially of three parts; the still in which the
volatile material is vapourized; the condenser in which the
vapours are condensed; and the receiver in which the
distillate is collected. Simple distillation can produce partial
separation of components with different boiling points in a
liquid mixture, the more volatile component being obtained in
increased concentration in the vapour. The process is
generally used for the separation of liquids from nonvolatile
solids, e.g. preparation of distilled water and recovery of
alcohol in the preparation of dry extracts.
Fractional distillation (or rectification) is the process
employed to separate miscible volatile liquids having
different boiling points. It differs from simple distillation in
that partial condensation of the vapour is allowed to occur in
a fractionating column, through which the vapour must pass
before reaching the condenser. This column enables the
828
ascending vapour from the still to come in contact with the
condensing vapour returning to the still, and this results in the
enrichment of the vapour in the more volatile component.
Steam distillation is used for the distillation of
water-immiscible liquids of high boiling points, e.g.
turpentine, aniline. By bubbling steam through the liquid, the
mixture boils at below the normal boiling point of either
component. The distillate consists of the two liquids in the
same proportions as in the vapour.
Destructive distillation is the term used to describe the
decomposition of a substance, usually a natural product, by
heat followed by the condensation and collection of the
volatile products of decomposition. It is not a pharmaceutical
process but is used in the manufacture of some substances
used in medicine, examples being the destructive distillation
of wood and of coal to produce tars.
Simple Distillation Under Atmospheric

Pressure
Small Scale
For simple distillations in the laboratory, a distillation flask

with side arm sloping downwards is used. The temperature at
which the vapours distil is observed on a thermometer,
inserted through a cork, and having its bulb just below the
level of the side arm. The flask should be of such a size that it
is one-half to two-thirds full of the liquid to be distilled.
Bumping, due to superheating, is avoided by adding a small
chip of porous pot before distillation; if the distillation is
interrupted, a fresh pot chip should be added. Pot should not
829
be added to the superheated liquid, otherwise an
instantaneous evolution of a large volume of vapour will
occur.
When large quantities of water are to be condensed, a spray or
jet condenser is frequently used, which brings the vapour in
direct contact with the cooling water. The condenser is used
in conjunction with a wet vacuum pump or a barometric leg.
Condensers
A condenser is fundamentally a heat exchanger. Almost every

type of condenser embodies a surface which is kept cold by a
stream of water on one side, the vapour to be condensed
impinging on the other side. A large volume of cooling water
is required on account of the latent heat of vaporization,
which is evolved on condensing the vapour. For example, in
cooling 1g of water from 100 to 15°C, approximately 360J
are evolved; in condensing 1g of steam to water at 100°C,
2.27kJ are evolved; the latent heats of vapourization of
alcohol and ether are 8.48kJ and 3.78kJ, respectively. For the
condensation of liquids which boil at from about 120–150°C,
a stream of cooling water may cause the condenser walls to
crack, owing to the high temperature gradient across the
walls; stationary water in the jacket is usually used in these
cases. For liquids boiling above about 150°, simple air
cooling is used.
The main points in condenser construction are as follows:
1. The condenser must be so constructed as to be easily
cleaned.
2. The cooling surface must be large because the rate of
condensation is proportional to the area of condensing
surface.
830
3. The condensing surface must be a reasonably good
conductor of heat because the rate of condensation is
proportional to the rate at which the surface conducts away
the heat. For this reason, metal, when suitable, is preferable to
glass.
4. The film of condensed liquid is a bad conductor and must
be removed quickly in order to avoid serious impairment of
the efficiency of the condenser.
5. The warmer water in contact with the condensing surface
must be quickly carried away and its place taken by fresh cold
water. The cooling water is arranged to move on the
countercurrent principle, i.e. its direction of flow is opposite
to that of the flow of vapours to be condensed.
In carrying out a distillation on the laboratory scale, the
contents of the still are heated gradually and, as the liquid
begins to boil, the temperature recorded on the thermometer
rises rapidly as the rising ring of condensate ascends the neck
of the flask. If the liquid is pure, the temperature recorded
when the condensate passes down the side arm remains
steady when the uncondensed vapours follow. Heating is then
continued at such a rate that a drop of liquid every 1 to 2 sec
falls from the condenser. When inflammable liquids are
distilled, the distillate is collected in a second distillation flask
attached to the condenser; on the side arm of this receiver is
attached a length of rubber tubing to lead inflammable vapour
on to the floor away from the vicinity of flames.
Large Scale
When it is only necessary to separate a volatile constituent,

such as alcohol or acetone from a nonvolatile extract, a
simple form of still such as that shown in Fig. 16.1 may be
831
used. A still of this kind has a limited heating surface and
functions perfectly with volatile solvents, but it is useless for
concentrating watery solutions.
Fig. 16.1 Steam-jacketed still.
Operations which are in frequent or continuous use often have

specially designed stills suited to one product or group of
products. In pharmacy the best-known example is the
continuous water still for producing distilled water for various
purposes including Water for Injection (WFI).
On a manufacturing scale, distilled water is required in large
quantities as a component of many preparations, and for the
aqueous extraction of drugs, where the accumulated residues
from the use of tap water would be objectionable. The steam
condensate from the heating jackets and coils of the plant is
quite unsuitable, because it may contain traces of chlorine,
derived from the public supply, and will certainly be
contaminated with iron from the surfaces of the pipes, etc.
The distilled water required should be specially prepared.
832
Manesty Automatic Water Still
A steam heated form of this continuous action water still, of

the size often used in manufacturing laboratories, is shown in
section in Fig. 16.2. Ordinary water from the public supply or
condensed steam from the plant enters at the base of the still
and surrounds the condenser tubes, which are vertical and
open at both ends. As the water rises in the jacket around the
condenser tubes, it condenses the steam descending the tubes.
By a suitable adjustment of the rate of flow, the condensing
water is heated almost to boiling point at the top of the jacket
where dissolved gases are released and are allowed to escape
into the air. Much of the heated water from the jacket flows to
waste, but the remainder passes into the bowl-shaped still
head, where it is boiled by steam circulating under pressure
through a copper coil. The steam from the boiling water is
unable to escape except through the condenser tubes, the
upper ends of which protrude into the still head. The
descending steam is condensed into distilled water, which
flows from the lower ends of the tubes.
833
Fig. 16.2 Manesty steam-heated automatic water still: internal
structure.
The heat generated by the condensation of the steam is

therefore used to preheat the water entering the head, not only
driving off dissolved gases but also economizing in the
amount of steam used in the coil.
Fig. 16.3 shows a smaller, electrically heated form of the
Manesty automatic water still, the principle of which is the
same as that of the steam heated type.
834
Fig. 16.3 Manesty electrically heated automatic water still:
internal structure.
Simple Distillation Under Reduced

Pressure
Small Scale
The effect of pressure on boiling point has already been

discussed. From this it is clear that liquids, which are unstable
at their boiling point under atmospheric pressure, may be
distilled at a much lower temperature under reduced pressure
with less likelihood of decomposition. Similar considerations
apply in the concentration of solutions of thermolabile
substances. Distillation under reduced pressure is very
835
commonly used for the evaporation of the menstruum in the
preparation of extracts (Chapter 13). Evaporative distillation
in high vacuums is of great importance in the purification of
vitamins.
Vacuum distillation is most conveniently carried out in a
Claisen flask (Fig. 16.4). The second neck prevents splashing
of the violently agitated liquid. Bumping occurs very readily
during vacuum distillation, but is easily prevented by means
of a stream of air bubbles from a tube drawn out to a very fine
capillary dipping in the boiling liquid. The capillary should be
sufficiently fine to permit only a slow stream of bubbles to be
blown by mouth through a little ether in a test tube. It is usual
to use apparatus with interchangeable ground glass joints.
Heating with a naked flame requires considerable practice, so
it is advisable to use a water bath or oil bath maintained at
about 20°C higher than the boiling point of the liquid under
reduced pressure. In all vacuum distillations, a small pressure
gauge (manometer) should be inserted between the pump and
the receiver. In carrying out the distillation, heating is not
commenced until the required vacuum is attained; evacuation
of all apparatus. Containing hot liquid will almost invariably
result in the liquid frothing over into the receiver. Thin walled
glass apparatus, such as that bottomed flasks and conical
flasks, should never be used for vacuum distillation.
Fig. 16.4 Vacuum distillation apparatus.
836
For the evaporation of extracts under reduced pressure at
below 60°C, the apparatus shown in Fig. 16.5 is very
convenient for laboratory scale work. Two water pumps, one
of which is used intermittently, are required. The apparatus is
evacuated and a suitable quantity of liquid is allowed to flow
into the still by opening screw clip A. Screw clip B is closed
and the second pump is turned off. The liquid is heated by
means of a water bath up to 50–60°C and the distillate is
collected in the Buchner flask. During distillation, screw clip
A is adjusted so that the extract enters the still at the same rate
as it distils. When the Buchner flask is nearly full, stopcocks
C and D are closed, screw clip B is opened and the receiver
may be detached and emptied; in the meantime the distillate is
collected in E. The receiver is replaced and then evacuated by
the second pump, clip B is closed, cock D opened and the
distillate from E is run into the Buchner flask by opening C.
The whole process is then repeated.
Fig. 16.5 Evaporation under reduced pressure.
In some instances persistent foaming occurs during vacuum

distillation. This may be overcome by adding capryl alcohol
to the liquid to be distilled, or by inserting a second air
capillary in the thermometer neck of a Claisen flask; the
stream of air drawn through breaks the rising foam.
837
Antifoaming still heads have been devised and are very
effective for dealing with this problem.
Vacuum Stills
These are employed for distilling substances that have a high

boiling point at atmospheric pressure, or for substances that
are damaged by a high temperature, or for removing the last
traces of a volatile solvent. Fig. 16.6 shows the arrangement
of a vacuum still. To facilitate the collection and removal of
the distillate, without stopping the distillation, two receivers
are fitted. By a suitable arrangement of cocks they may be
used alternately, the distillate being run off from one while
the other is connected to the still under vacuum. Stills vary in
design more than any other plant; usually they are specially
made to do a particular class of work. A vacuum still with
column is shown in Fig. 16.7.
838
Fig. 16.6 Vacuum still.
839
Fig. 16.7 Vacuum still with column.
The vacuum used for distilling should be the best possible,

especially if fractional distillation is to be done. For pressures
of 3–5mmHg with a large-vacuum fractionating still, a
double-stage dry pump of good capacity, is necessary. To
produce pressures of 1mmHg and less on anything larger than
laboratory scale plant requires special design of plant and is
only attempted for very special purposes. The wet type of
pump and the type of dry pump giving a vacuum of about
68cm are quite unsuitable for use with vacuum stills, although
the dry pump may be used for the removal of the last traces of
volatile solvents from nonvolatile extracts. It is possible to
use more than one oven or evaporator with one pump,
provided that the capacity of the pump is big enough, but
when working vacuum stills the aim should be to use a
separate pump to each still. If two or more stills are working
at the same time with only one pump, then the vapour
840
pressure of a substance which is being distilled in one still
will probably hinder obtaining a good vacuum in the others.
The volume occupied by the vapour of a substance in
the high vacuum used in distilling is very great. At a pressure
of 5mmHg the vapour is expanded 152 times. It is important
that the swan neck of the condenser and the fractionating
column if present, are of adequate size to prevent back
pressure caused by the friction due to the high velocity of the
vapour in restricted tubes.
With the high vacuum required for distilling, the prevention
of leaks assumes great importance. They frequently arise in
the packing of the glands of valves and the bottoms and tops
of plug cocks. Leaks in the bottoms of plug cocks can be
eliminated by using those specially designed for vacuum
work; the bottoms of the cocks are closed and glands are
fitted to the spindles. Another common source of leak is in the
bottom outlet of the still. This valve or cock fitted to a pipe
which must pass through the steam jacket, gets hard wear and
strain due to the quick and extreme changes of temperature. If
other means such as a dip pipe can be used for emptying the
still, it is a good plan to dispense with this outlet, but very
often the final residue is too viscous to be easily removed
except through a bottom outlet. It will be economical to use
only the very best quality of valves and cocks on vacuum
stills.
841
Fractional Distillation
Theoretical Considerations and Small-Scale
Methods
Fractional distillation is the process employed to separate

miscible volatile liquids having different boiling points. In a
mixture of two liquids, each may be regarded as dissolved in
the other, and the possibility of separating the two liquids by
fractional distillation depends on the effect each has on the
vapour pressure of the other.
Vapour Pressure of Miscible Liquids
When the two components of a binary mixture are completely

miscible, the vapour pressure of the mixture is a function of
the composition as well as the vapour pressures of the two
pure components. In an ideal solution where the relation of
vapour pressure and composition is given by Raoult’s law, the
partial vapour pressure of each volatile component is equal to
the vapour pressure of the pure component multiplied by its
mole fraction.
Thus for a mixture of A and B:
where PA and PB are the partial vapour pressures of the

components when the mole fractions are XA and XB,
842
respectively. The vapour pressures of the pure components
are and The total vapour pressure P of the system is
then PA + PB (Fig. 16.8).
Fig. 16.8 Vapour pressure and composition of miscible

liquids.
Binary mixtures that follow Raoult’s law are those where the
attraction between A and B molecules is the same as those for
the pure components, e.g. benzene/toluene and paraffin
mixtures. When the interaction of A and B molecules is less
than that between the molecules of the pure constituents, the
presence of B molecules reduces the A–A interaction, and
similarly the A molecules reduce the B–B interaction. The
partial vapour pressure is now greater than expected from
Raoult’s ideal solution law and the system is said to exhibit
positive deviation, e.g. benzene/ethyl alcohol, chloroform/
ethyl alcohol. Negative deviation occurs when the A–B
attraction is greater than the A–A or B–B attraction and the
vapour pressure is less than expected, e.g. chloroform/
acetone.
843
Referring to the ideal system (Fig. 16.8), the partial vapour
pressure of the more volatile constituent B is higher so that
the vapour phase will contain more of this component. By
removing and condensing this vapour a liquid richer in B is
obtained. This aspect is more readily seen from the curves
relating to the boiling points of the/various compositions
rather than the vapour pressures.
Boiling Point Diagrams and Fractional

Distillation
The boiling point diagram for an ideal mixture corresponding

to Fig. 16.8 is shown in Fig. 16.9. The lower curve shows the
manner in which the boiling point of the mixture changes
with composition; the upper curve relates the composition of
the vapour in equilibrium with the liquid at the same
temperature. Hence the boiling point of the mixture X is T.
The vapour at T will have a composition fixed by point Y,
which corresponds to a mixture richer in B than in A. If this
vapour is condensed, a liquid having the same composition
(X1) will be obtained. The boiling point of the mixture X1 is
T1 and when it is boiled, vapour having the composition Y1,
which yields a liquid X2 on condensation, is obtained. X2 is
nearly pure B. Hence in this example, extensive fractionation
has been achieved by boiling the mixture and condensing the
vapour in equilibrium with the liquid and repeating the
process with the condensed vapour. The volume of distillate
(composition X2), obtained will be small, since as the vapour
is drawn off, the liquid remaining in the still
gradually becomes poorer in component B and its boiling
point rises. Fractional distillation is based on these principles.
844
Fig. 16.9 Boiling point and composition of miscible liquids.
The difference in composition between X and X2 is equal to

that produced in a fractionating column of two theoretical
plates. Many laboratory columns bring about separations
equivalent to ten or more theoretical plates so that efficient
separation of the two components is possible. The change
from X to X1 is the composition difference corresponding to
one theoretical plate and under ideal conditions this would
occur in simple distillation.
Azeotropic Mixtures
An azeotropic mixture or constant boiling mixture is one in

which the composition of the liquid and the vapour in
equilibrium with it is the same. Thus the mixture behaves like
a pure liquid in so far as it distils without change in
composition or boiling point. Miscible binary liquids form
azeotropic mixtures when the vapour pressure curve of the
845
mixture exhibits a maximum or minimum. Such mixtures
cannot be separated into their pure components by distillation.
It is possible to separate them by distillation only into one
component and a constant boiling mixture. Their behaviour
on distillation is most easily followed by referring to the
boiling point versus composition curves as shown in Fig.
16.10; (A) represents a mixture which possesses a maximum
vapour pressure, i.e. low boiling point azeotrope; (B)
represents a mixture with a minimum vapour pressure, i.e.
high boiling point azeotrope. In this figure the concentration
changes arising during distillation using a fractionating
column equivalent to two theoretical plates are shown, i.e. X
to Z. From (A) it can be seen that repeated fractionation will
produce a distillate tending to the composition of the
azeotropic mixture represented by point C. The material left
in the still will be richer in B than it was originally; eventually
pure B will be left after the whole of A has been distilled off
in the form of the azeotropic mixture. If the original
composition lies to the right of C, then by similar reasoning A
will be left in the still. Mixtures of minimum boiling point are
more common than mixtures exhibiting a maximum boiling
point, e.g. alcohol and water, alcohol and benzene, alcohol
and chloroform. Alcohol, boiling point 78.3°C, and water
boiling point 100°C form a mixture of minimum boiling point
78.15°C, containing 95.57 per cent w/w alcohol. The
composition of mixtures of minimum boiling point varies
with pressure as, for example, water and alcohol can be
completely separated by distilling at 28°C under 7cm
pressure.
846
Fig. 16.10 Boiling point composition graphs; (A) Minimum
boiling azeotrope; (B) Maximum boiling azeotrope. (C) is the
composition of the constant boiling mixture.
On distilling a mixture of maximum boiling point, the

distillate will be richer in the component A or B depending on
whether the original concentration lies to the right or left of C.
Fig. 16.10 (B) shows the original concentration X lying to the
left of C and the distillate thus becomes richer in B.
Ternary Mixtures
Mixtures of three components, which do not form azeotropes,

may be separated by fractional distillation in the same way as
binary mixtures. Azeotropic ternary mixtures of maximum
vapour pressure (minimum boiling point) are important.
Water,
boiling point 100°C, alcohol, boiling point 78.3°C and
benzene, boiling point 80.2°C, form a ternary azeotropic
mixture, boiling point 64.85°C, containing 18.5 per cent of
alcohol, 7.4 per cent of water and 74.1 per cent of benzene;
847
the boiling point of this mixture is lower than the boiling
point of any binary mixture of any of the components.
Fractionation of this ternary mixture is used on the large scale
for the production of absolute alcohol. Absolute alcohol
cannot be obtained by normal fractionation of dilute alcohol
since a constant boiling mixture of 95.57 per cent w/w is
formed. Benzene is added to the alcohol–water azeotrope and
when distilled the mixture yields first the ternary
water–alcohol–benzene azeotrope, boiling point 65.85°C,
until all the water is removed from the system. Next a binary
alcohol–benzene azeotrope, boiling point 68.2°C distils over
and finally absolute alcohol, boiling point 78.3°C.
Trichloroethylene may be used instead of benzene in this
process. Solutions in a solvent such as benzene may be dried
by azeotropic distillation; benzene forms a constant boiling
mixture with water, boiling point 69.3°C. All the water
present in the benzene is removed when about 10 per cent of
the solvent has been distilled.
Fractionating Columns
If a mixture of chloroform, boiling point 61.2°C and benzene,

boiling point 80.2°C, is distilled, the vapours first evolved
will be richer in the more volatile component, chloroform; as
this is distilled off, the vapours will become gradually richer
in benzene, and the temperature of distillation will gradually
rise. By changing the receiver when the temperature recorded
on the thermometer in the head of the still has risen from 61
to 63°C, a fraction is obtained which is richer in chloroform
than in benzene. Other fractions, which are increasingly rich
in benzene, may be collected over the ranges 63–68°C,
68–73°C, 73–78°C, 78–80°C. Repeated separate distillations
848
of the intermediate fractions, fractions of the same boiling
range being combined, will ultimately result in a separation of
the liquid into two main fractions, boiling point 61–63°C and
78–80°C, which represent a rough separation of the two
constituents of the mixture. This process is very tedious and
the same or a better effect can be achieved in a single
distillation through a fractionating column. It should be
remembered that complete fractionation by distillation is
possible only with liquids which do not form azeotropic
mixtures.
A fractionating column, which is inserted between the still
and the condenser, acts by bringing about repeated
distillations throughout the length of the column. The action
of the column is partially to condense the vapours rising from
the boiling liquid; this condensate will be richer in the more
volatile component than the original liquid and it is
vapourized again by the condensation of more ascending
vapours; the vapours so produced will be still richer in the
more volatile component, and when condensation and
vapourization takes place further up the column, further
enrichment in the more volatile component will be effected.
Under ideal conditions this will result in the lower boiling
point component arriving at the top of the column and the
higher boiling point component being left at the bottom of the
column. Thus a temperature gradient will be established along
the column when distillation is in progress, and ultimately the
vapour passing out of the column will be very rich in the low
boiling point component. This series of events may be easily
visualized by considering the action of a bubble-cap column
which is used in large-scale distillation plant. The column
consists of a number of plates mounted above one another,
over which flows the condensed liquid (reflux) and through
which the ascending vapour is made to bubble. Fig. 16.11
849
shows three bubble-cap plates in section. If we assume that at
each plate the vapour and liquid reach equilibrium conditions,
i.e. each plate is theoretically perfect the change in
composition of liquid on passing from plate A to plate C will
be equivalent to that produced by three theoretical plates.
Ascending vapour from the still passes through the bubble
caps on plate A and the vapour rising from it will be richer in
the more volatile component. This vapour passes through the
liquid on B, condenses, and the heat of condensation partially
vapourizes the liquid. The process of condensation and
vapourization will be repeated at C and so on, all the way up
the column. In this simplified consideration of column action,
each bubble-cap plate has the same effect as a separate still.
The changes in composition at each plate can be estimated
from the boiling point versus composition curves.
850
Fig. 16.11 Section of distillation column (bubble-cap type).
Design of fractionating columns: The purpose of a

fractionating column is to achieve an extensive liquid–vapour
interface so that equilibrium between ascending vapour and
reflux can be rapidly attained. In the laboratory, packed
columns are frequently used; the packing may consist of
single turn helices (spirals) of wire or glass, glass rings,
cylindrical glass beads, stainless steel rings, etc. The Vigreux
column which in the best types has indentations in the walls,
spirally arranged and occupying most of the interior, acts as a
packed column. In the Widmer column (Fig. 16.12)
fractionation occurs in the central spiral which is kept warm
by the vapour around it. Condensed liquid is returned to the
still by a trap.
851
Fig. 16.12 Widmer column.
The separation of a mixture in a column depends upon the

proportion of vapours traversing the column which are
condensed and returned to the still—the reflux ratio. A
column operating under total reflux will not yield distillate; a
state of dynamic equilibrium is reached and a maximum
degree of separation of the components is obtained along the
length of the column. If the quantity of distillate removed at a
time is small, this will minimize disturbance of equilibrium
conditions and the concentration gradient along the column
will remain reasonably stable. For columns operating above
about 60°C, heat loss should be prevented by insulation, e.g.
asbestos cord, silver vacuum jacket. For temperatures above
100°C the column is surrounded by a heating jacket which is
generally adjusted to the temperature of the vapour that
emerges from the top of the column. Heat loss will cause
excessive condensation within the column which may result
in flooding and also will disturb the steady temperature
gradient along the column. Under adiabatic conditions the
temperature gradient is determined by the vapour–liquid
equilibria in the column. For efficient separation it is essential
to use a high reflux ratio and collect distillate slowly so that
the column is operating under equilibrium conditions the
reflux ratio is con veniently controlled by means of a suitable
still head. Fig. 16.13 shows a total condensation variable
take-off still head. In operation the vapours are refluxed with
the tap closed until equilibrium and the resulting optimum
separation are attained; the tap is opened and a small quantity
of distillate is taken off; the tap is closed, the column again
operated under total reflux and more distillate is then run off.
By this means very sharp separations are achieved both at
atmospheric and under reduced pressure. Heat input to the
852
still should be controlled—if too little, the packing is
insufficiently wetted by reflux and if too much, the vapour
velocity may be too great for equilibrium to be attained.
Fig. 16.13 Total condensation variable take-of still head.
Efficiency of fractionating columns: The efficiency of a

column is commonly measured by the height equivalent to a
theoretical plate (HETP). At a theoretically perfect plate, the
vapours are brought into equilibrium with the liquid through
which they pass; the length of a column required to achieve
this is defined as the HETP, and vapour drawn off from the
top of such a length of column is in equilibrium with the
liquid at the bottom. The HETP value is obtained by analysis
of the liquid in the still, the vapour at the head of the column
853
and from data for the composition of liquid and vapour in
equilibrium with one another.
Fractional Distillation Under Reduced Pressure
Any of the apparatus described for fractionation at

atmospheric pressure may be used for fractionation in vacuo.
In some instances a short fractionating column is made to fit
into the neck of the still. The most convenient receiver for
vacuum fractionation is one of the forms of the Perkin
triangle (Fig. 16.14). By suitable manipulation of the taps, the
receiver may be changed without interrupting the distillation.
Azeotropic mixtures may be separated by vacuum
fractionation. Vacuum fractionation has found extensive
application in the separation of the mixed fatty acids derived
from oils and fats.
854
Fig. 16.14 Simple form of Perkin triangle.
Molecular Distillation
In molecular distillation or evaporative distillation the

pressure of the vapour above the liquid is much lower than
the pressure of a saturated vapour in equilibrium with the
liquid. The distance between the evaporating surface and the
condenser is about equal to the mean free path of the vapour
molecules at that very low pressure. Molecules leaving the
surface of the
liquid are therefore more likely to hit the condenser surface
than to collide with other molecules and little or no
recondensation at the surface of the liquid takes place. In
ordinary distillation at atmospheric pressure and under
855
reduced pressure, conditions approaching equilibrium are
maintained and a considerable amount of recondensation
(refluxing) occurs. Molecular distillation is usually carried out
at 0.001–0.00001mm pressure. There is no well-defined
temperature at which distillation commences, unlike ordinary
distillation procedures. An extensive review of the principles
and techniques has been given by Hickman (1944). This
technique has been applied with great success to the
purification of vitamin A. For this purpose the fish liver oil is
fed continuously as a thin film on to heated discs rotating in a
high vacuum.
Distillation in Steam
Theoretical Considerations and Small-Scale
Methods
Vapour Pressure of Immiscible Liquids
In a pair of immiscible liquids each liquid exerts its own

vapour pressure and neither liquid has any appreciable effect
on the vapour pressure of the other. The vapour pressure of
the mixture at a given temperature is equal to the sum of the
vapour pressures of the two pure components at that
temperature. Completely immiscible liquids are not known,
although the miscibility of mercury and water, for instance, is
very low indeed. For practical purposes, the miscibility of
many organic liquids, e.g. turpentine or toluene, and water is
negligible and calculations of the relative volatilities of such
mixtures from their vapour pressures yield approximately
correct results.
856
Distillation of Immiscible Liquids
A mixture of immiscible liquids begins to boil when the sum

of their vapour pressures is equal to the atmospheric pressure.
Thus in the case of water and a liquid which boils at a much
higher temperature than water, the mixture boils below the
boiling point of pure water. The boiling point of turpentine is
about 160°C, but when it is mixed with water and heated, the
mixture boils at about 95.6°C. At this temperature the vapour
pressure of water is 647mm and that of turpentine, 113mm;
the sum 647 + 113 = 760mm which is the normal atmospheric
pressure. From these facts, it will be seen that a high boiling
substance may be distilled with water at a temperature much
below its boiling point. For substances which are insoluble in
water and not decomposed by it, this provides an alternative
to distillation under reduced pressure. Certain volatile solids,
e.g. camphor, may be distilled in the same way.
For volatile substances which are miscible with water,
distillation in steam would involve the same principles as
fractional distillation.
The composition of the vapour over a pair of immiscible
liquids may be calculated approximately from the vapour
pressures and molecular weights of the components. Since in
distillation this vapour is condensed, this also represents the
composition other distillate. If the vapour pressures of the two
components at the boiling point of the mixture are p1 and p2,
by Avogadro’s hypothesis, the number of molecules present
in the vapour is proportional to the vapour pressures, p1 and
p2. The weights of the components in the vapour will
therefore be in the ratio p1M1: p2M2, where MI and M2 are
their respective molecular weights. Hence the proportion by
weight, w1, w2, of the two components in the distillate is
857
given by the equation:
For turpentine, which contains a high proportion of pinene,

C10H16, molecular weight 136, and water, molecular weight
18, the vapour pressures at the boiling point of the mixture,
95.6°C, are 113 and 647mm, respectively and the distillate
will contain turpentine and water in the ratio,
113×136:18×647 or 1.32:1. For camphor, C10H16O,
molecular weight 152, boiling point at 760mm 206°C, the
vapour pressures at the boiling point of the mixture, 99°C, are
24.6 and 735mm and the distillate will contain camphor and
water in the ratio 24.6×152:735×18 or 1:3.54.
From these calculations, it can be seen that a substance of low
volatility can be satisfactorily distilled in steam provided its
molecular weight is considerably higher than that of water.
Water is particularly suitable for the special case of
codistillation, termed steam distillation on account of its low
molecular weight and high boiling point. Other compounds of
similar molecular weight to water, e.g. hydrogen sulphide,
ammonia, methane, are gases at ordinary temperatures.
Liquids other than water have
been used for codistillation, e.g. paraffins for the
codistillation of indigo. Substances which are only very
slowly distilled with steam at about 100°C may be distilled
with superheated steam.
858
Small-Scale Apparatus
A suitable apparatus for steam distillation on the laboratory

scale is shown in Fig. 16.15. The safety tube in the steam
generator permits the expulsion of some water if excessive
pressure is developed. The distillate separates into two layers,
water and the other component; these are separated in a
separating funnel. The actual yield is often somewhat greater
than the calculated yield since minute particles of the
substance are carried over mechanically by the steam.
Fig. 16.15 Steam distillation apparatus.
Steam distillation is used for the determination of volatile oils

in drugs and, conversely, distillation with toluene is used for
the determination of moisture in drugs.
Large-Scale Apparatus
Steam distillation is used to extract most of the volatile oils,

such as clove, aniseed, eucalyptus and so on. When the
859
distillation is done in the locality where the material grows,
special forms of stilt axe used often quite primitive, and
arranged to meet local conditions. A common form of water
still is shown diagrammatically in Fig. 16.16. A still of this
kind has a jacket and, in addition, live steam is sometimes
injected below the material, which is supported on a
perforated false bottom. Means of charging and discharging
the still are provided by manholes in the top and side.
Fig. 16.16 Still for steam distillation of volatile oils.
Most volatile oils are lighter than water and will separate
from the distillate as an upper layer. If a Florentine receiver,
shown between the still and condenser in Fig. 16.16, is used
the water can be run off from the spout on the left and can be
returned to the still, as shown in the diagram, or run to waste.
The oil which collects on the surface is run off from the upper
spout. Some volatile oils are heavier than water, in which case
the operation is reversed. Where the specific gravity of the oil
is so near 1.0 that separation does not take place, it may be
necessary to collect the whole of the distillate and extract it
860
with a volatile solvent, subsequently distilling off the solvent
from the oil.
861
Chapter 17
Centrifugation
Centrifuging provides a convenient method of separating
either two immiscible liquids or a solid from a liquid; it finds
several applications in drug manufacture where it may be
used either as a batch process or continuously. Essentially
centrifuge comprises a bowl or ‘basket’ capable of being
rotated at high speed; for small batchwise operations, it is
mounted vertically whereas larger centrifuges designed for
continuous working have their axes horizontal. Apart from
the angle of mounting, the main difference in design relates to
the ‘basket’ itself. For the separation of crystals from mother
liquor, it is perforated and lined with filter cloth. Spinning
forces the liquid through the cloth and leaves a cake of
crystals on the inner surface of the basket. The alternative
design is a nonperforated basket, and this may be used for
separating solid–liquid or liquid–liquid systems. With the
former, spinning causes the solid to build up on the walls of
the bowl while the liquid is removed through an overflow.
For the latter, the effect is to create an outer layer of the
denser liquid and an inner layer of the lighter; separate
overflow points can be arranged so as to remove the
components continuously.
Theoretical Considerations
The force acting upon a particle compels it to move in a
circular path around an axis which is given by the Eq. 17.1:
862
(17.1)
where F is centrifugal force, M is the mass of the particle, R

the radius of curvature, ω the angular velocity and v the
peripheral velocity. It can be seen that for any given
peripheral velocity, the force varies inversely as the radius of
curvature. The equation gives the total centrifugal force due
to the mass of the rotating body and has to be taken into
account in the design of centrifuges, so that the centrifuge
basket is not subjected to excessive strains. In comparing
relative performances of centrifuges, it is useful to express the
centrifugal force as a relative force. The relative centrifugal
force (RCF) or centrifugal effect is defined as the ratio of
centrifugal force to gravitational force acting upon a given
body. Thus:
(17.2)
A more practical form of the equation can be derived in

which the centrifugal effect is related to the rate of revolution.
Thus,
(17.3)
where R is radius in cm and N the velocity inrev/min.
863
The main method of increasing the RCF is to increase the
speed of operation but a limit is set upon the peripheral
velocity by the maximum safe strain in the basket wall.
Increasing its thickness above a certain amount, in order to
get additional strength, does not help because it adds to the
weight and increases the strain. For the same peripheral
velocity, a larger centrifugal effect is obtained with a smaller
basket (see Eqs. 17.1 and 17.2).
The rate of settling, V, of a particle diameter D, at a given
distance from the axis of rotation, may be calculated from
Stokes’ Law (see p. 149) in which g has been substituted by
Rω2.
Thus,
(17.4)
where ρ1 and ρ2 are densities of the solid and liquid

respectively; η is the dynamic viscosity of the liquid. When
using a continuous type centrifuge of the solid basket type
such as the Sharples, the rate of flow of the feed must be
considered in relation to the rate of settling of the particle.
The simplest form of this type of centrifuge can be considered
to be a rotating cylinder through which the feed material is
passed. If the liquid lies in such a bowl in a thin layer of
thickness S, and is fed continuously at one end and discharged
at the other, the time t, during which the liquid is in the bowl
is X/Q, where X is the volume of liquid in the bowl at a given
time and Q is the rate of flow of liquid through the bowl. If S
is small, then the velocity of the particle will be nearly
uniform and the distance x settled in time t can be calculated
864
from Eq. 17.4. Thus:
(17.5)
Particles at a distance less than x from the wall will therefore

be removed from the liquid. Thus the rate of flow Q can be
calculated in order that particles of the desired size settle out
before the liquid leaves the centrifuge. This example only
applies to ideal conditions and is given merely as a guide to
the correct operation of a continuous centrifuge of the solid
basket type.
The critical speed of a centrifuge is that corresponding to the
natural period of vibration of the basket. It may be better
understood from the following experiment. If a weight is
suspended from elastic held in the hand and made to vibrate
up and down, it does so at a definite rate, which is the same
whatever the amplitude of the vibration. This is the critical
speed. If the hand moves up and down slower than this the
weight follows, but if the speed of movement is increased the
length of the up and down motion of the weight increases, and
when the rate approaches that of the natural vibration (or
critical speed) of the weight, the motion of the weight
becomes so violent that the elastic will be broken. If the speed
is increased so quickly that the critical speed is passed before
the weight can build up this violent motion, the motion of the
weight will be reduced less and less, and when the motion is
very rapid the weight will hardly move at all. In a centrifuge,
the basket corresponds to the weight, the buffer bearing to the
elastic, the out-of-balance weight to the amplitude of
vibration of the hand, and the speed of the machine to the rate
865
of vibration of the hand. A centrifuge has a critical speed of
vibration which is slower than the running speed; it is
therefore important that the full speed is attained quickly, so
that the machine does not run long enough at the critical
speed to build up vibration and become dangerous.
Conversion Between Times Gravity

(×G) and Centrifuge Rotor Speed
(RPM)
Certain procedures necessitate precise centrifugation
conditions, which must be specified in terms of relative
centrifugal force (RCF), which is expressed in units of gravity
(times gravity or ×g). Many microcentrifuges only have
settings for speed (revolutions per minute, rev/min or RPM),
not relative centrifugal force. Consequently, a formula for
conversion is required to ensure that the appropriate setting is
used in an experiment. The relationship between RPM and
RCF is as follows:
g = (1.118 × 10–5)RS2
where g is the relative centrifugal force, R the radius of the

rotor in centimetres and S the speed of the centrifuge in rev/
min. Values of RCF in units of times gravity (×g) for
common
microcentrifuge rotor radii appear in Table 17.1. As an
example, centrifugation of a sample at 5000 RPM in a
microcentrifuge that has a rotor with a radius of 7cm will
deliver a centrifugal force of 1957 ×g. Centrifugation speed
866
and time often are not critical factors in routine
sample-handling procedures involving a benchtop
microcentrifuge. Usually, as long as speed and time are
sufficient to ensure that cells, debris or resin are pelleted
effectively, it does not matter if the speed is faster or the time
longer than necessary. For this reason, many protocols do not
specify a particular centrifugal force to be applied but instead
indicate some general guidelines such as ‘centrifuge at high
speed for 1 minute’.
Table 17.1 Conversion of RCM to RCF with different radii of
rotors
Laboratory Equipment
Centrifuges for laboratory use are generally of the horizontal
swinging arm type. The glass tubes holding the liquid are
867
supported in metal buckets which are free swinging from the
rotor head. When the rotor revolves, the tubes swing out in a
horizontal position so that the particles sediment along the
length of the tube. If the centrifuge tubes are held at a fixed
angle, about 45–50°C to the vertical axis, both while at rest
and while rotating, the sedimenting particles have only a short
path to traverse to the sides of the tube. This type of
centrifuge is known as the angle centrifuge and is useful for
the rapid sedimentation of particles provided that they do not
adhere to the sides of the tube. The RCF obtained in small
centrifuges of the types mentioned is about 2000 at
approximately 5000 rev/min. In making comparisons between
centrifuges, it is, of course, important to specify whether the
RCF is measured at the free surface of the liquid or at the tip
of the tube. High-speed centrifuges can be used to separate
bacteria from aqueous fluids at 10,000g. The ultracentrifuge
which is capable of causing sedimentation of protein
molecules may operate at speeds up to 85,000 rev/min
resulting in an RCF of up to 2,50,000 (Fig. 17.1). The size of
the rotating head of this type is limited to a few inches in
diameter.
868
Fig. 17.1 Ultracentrifuges: (a) Line diagram of
ultracentrifuges; (b) Photograph of ultracentrifuges. Courtesy:
Hitachi Koki Ltd.
High-speed centrifuging is always accompanied by heat

generation due to air friction. This can be disregarded for the
majority of centrifuging processes but if controlled
temperature conditions are required, refrigeration of the
centrifuge chamber and operation under vacuum may be
necessary.
Zonal Centrifugation
This allows high resolution separation of biological cells and
viruses due to the differences in density and size. In an
ordinary centrifuge tube, particles in the initially
homogeneous suspension settle in the centrifugal field
resulting in a distribution of particles of different sizes along
the tube (Fig. 17.2). There is no clear-cut separation of
869
particles of different size because the large particles that have
settled out will also contain smaller particles that were
initially present near the bottom of the tube. Similarly as the
intermediate particles sediment they form a layer above the
large particles which is contaminated with still smaller
particles. By repeated sedimentation fairly clear-cut fractions
can be obtained, but generally with considerable loss of
material. In zonal centrifugation, the centrifuge tube is filled
with a liquid whose density increases towards the bottom and
a small sample of particles in suspension is layered over it
(Fig. 17.3). This technique gives zones of sedimenting
particles, the rate of movement depending on size and density
of the particles.
Zonal centrifuges are designed to eliminate swinging buckets
or centrifuge tubes and provision is made for sedimentation to
occur in special rotors. The zones are recovered by displacing
them by a denser fluid which is pumped into the outer
periphery of the rotor while it is rotating at low speed, the
stability of the gradient being maintained by centrifugal force.
The effluent is then recovered as a series of discrete samples.
This technique has been used to separate glycogen particles
present in liver cells and the
870
Fig. 17.2 Diagrammatic presentation of sedimentation of
particles in conventional centrifuge tube: (a) all particles are
uniformly suspended in centrifuge tube; (b) Sedimentation of
particles starts; (C) all large particles have been sedimented;
(D) Medium particles are sedimenting; and (E) all large and
medium particles have sedimented (anderson, 1964).
Fig. 17.3 Zonal centrifugation (in conventional centrifuge

tube).
871
Supercentrifuge
This consists of a relatively long hollow cylindrical bowl of
small diameter suspended from a flexible spindle at the top
and guided at the bottom by a loose fitting bushing. The speed
of rotation is up to 22,000 rev/min with a standard motor
drive or up to 50,000 rev/min with an air turbine. Fig. 17.4
shows the supercentrifuge fitted with a bowl for separating
two immiscible liquids. The feed is introduced into the
bottom of the bowl by gravity feed and the heavier liquid is
thrown out against the wall, with the lighter liquid forming an
inner layer. The separated liquids are taken off from the top of
the bowl through separate outlets as shown in Fig. 17.3. For
the clarification of liquids the separating bowl is replaced by
the clarifier bowl which has one outlet at the top through
which the clarified liquid passes, leaving the deposited solids
on the wall of the bowl. This centrifuge is limited to the
clarification of suspensions of low solid content due to the
limited dimensions of the bowl. This restriction does not
apply to the separation of liquid–liquid dispersions as there is
a continuous take-off of both components.
872
Fig. 17.4 Supercentrifuge fitted with bowl for separation of
two immiscible liquids.
Large-Scale Equipments
Vertical Centrifuges
With Perforated Basket
These may be used for separating crystalline drugs, such as

aspirin, from their mother liquors. If the basket is mounted
above the driving shaft, the centrifuge is described as
‘under-driven’; conversely, if suspended from the shaft, it is
‘over-driven’. A common type of centrifuge for the separation
of crystals, or a precipitate when the quantity of solid is large
873
in proportion to the total volume of the slurry, is shown in
Fig. 17.5. The important part is the ‘basket’, which may be
made of steel, sometimes covered with vulcanite or lead, or of
copper, monel or other suitable metal, according to the nature
of the material for which it is to be used. It may be plain or
perforated.
Fig. 17.5 Electrically under-driven centrifuge. Thomas

broadbent and Sons, Ltd.
When a fully loaded basket is rotating at its maximum speed

the centrifugal force puts a great strain on the shell. Corrosion
and wear can reduce the strength of the shell beyond a safe
working limit causing the basket to burst with disastrous
results.
It is of the greatest importance, therefore, that the basket be
well constructed from suitable materials which offer the
greatest resistance to corrosion, and it must be examined
874
carefully and frequently. Any bulging of the wall is a sign that
it requires immediate attention. Perforated baskets are usually
employed. For fine crystals the perforations may be 3mm in
diameter, but for finer grained material which would tend to
pass through these holes the basket is lined with a
fine-meshed gauze, or with a cloth supported on a coarse
gauze. Fig. 17.5 shows an electrically under-driven centrifuge
with a perforated basket. The whole machine is suspended
from flexible joints two of which can be seen. The lever
attached to the side operates the brake which stops the
machine when the power is switched off. This type is made
with baskets from 90 to 180cm in diameter. The 90cm basket
has a capacity of 0.085m3, runs at 1000 rev/min, and requires
about 5 kW for starting and 2 kW for running.
Centrifuges may be driven by belt pulleys and shafting, by
water turbines or electric motors operating through a friction
clutch. The power required for running is small compared
with that required for starting and bringing it up to full speed.
The loading of the material into the basket must be done to
give even distribution, as an unbalanced basket running at
high speed causes great strain and vibration. After starting,
the top speed must be attained quickly, so that the machine
quickly passes, and does not run at, the critical speed.
With Nonperforated Basket
When the deposited solid offers a high resistance to the flow

of liquid through it, the nonperforated basket is the method of
choice. The suspension is fed continuously into the basket and
the resulting clarified liquor is removed over a weir or
through a skimming tube (Fig. 17.6) The operation is stopped
when a suitable depth of solid has been deposited on the walls
875
of the basket. The solids are then scraped off by hand or by a
scraper blade. The supercentrifuge discussed previously is
also an example of a nonperforated basket centrifuge.
Fig. 17.6 Nonperforated basket centrifuge.
The machine runs continuously, the clear liquid being

discharged from the spout and the solids collected on the
inside of the bowl (Fig. 17.7). The process can be continued
until it is necessary to stop to remove the accumulated
deposit. Fig. 17.8 shows a section of the bowl used for
clarifying in which there are a number of cones separated by
narrow spaces. The liquid enters down the centre of the bowl
and passes out by ascending the spaces between the cones.
The high-gravity solids are thrown outwards, travel down the
undersides on the cones and the lighter liquid finds its way
out over the rim of the bowl. Referring to the diagram it can
be seen that the spaces between the cones are very narrow.
The impurities therefore have to travel only a very short
distance before they are removed from the liquid. This feature
allows a slower speed to produce a high degree of
clarification. By regulation of the speed it is possible to
876
separate a coarse sediment from a mixture containing a fine
powder in suspension.
Fig. 17.7 Solids-ejecting type separator.
877
Fig. 17.8 Section of bowl of De Laval clarifier. Alfa-Laval
Co. Ltd.
Horizontal Centrifuges
It has already been pointed out that vertical centrifuges can be

designed for the continuous separation of two immiscible
liquids. For the continuous removal of solids, however, a
horizontal centrifuge is normally employed. The conical
centrifuge provides a well-known example. Here the
solid–liquid suspension is fed into a horizontally mounted
basket through a hollow shaft and the solid is spun to the
periphery in the normal way. Inside the basket, there is
mounted coaxially a spiral scraper which rotates at a slower
speed than the basket itself. As the scraper rotates, it removes
most of the solid cake, apart from a slight ‘clearance’, and
forces it along to a point where it first receives a spray of
wash liquid and is then dried and discharged.Fig. 17.9
illustrates a centrifuge of this type.
878
Fig. 17.9 Horizontal centrifuge: the Sharples Super-D-Canter.
Sharples Centrifuges, Ltd.
879
Chapter 18
Filtration
This may be defined as a process whereby a solid is separated
from a liquid or gas by means of a porous medium which
retains the solid but allows the fluid to pass. When solids are
present in small proportions the process is usually spoken of
as clarification.
Mechanism of Filtration
The retention of particles by a filter can be due to:
1. Sieving action where the particles are larger than the pores
of the filter and the solid is retained at the surface of the filter
medium and eventually builds up a thick layer. This is
commonly referred to as cake filtration.
2. Capture of particles in the depth of the filter where the
particles retained are always smaller than the average size of
the voids in the solid bed through which the fluid flows. This
is called depth filtration.
The mechanism of sieving action of a filter is self-explanatory
but in depth filtration the particles can only be removed by
capture at the solid surface by van der Waals forces or by
electrical forces, both of which can only operate at short
distances from the solid surface. What is the mechanism by
which particles in suspension are brought close to the solid
surface? For particles less than 1μm, diffusion plays a major
role but for particles larger than say 20μm, diffusion could be
insignificant compared with inertial and gravitational forces.
For instance particles may be captured by impact where their
880
trajectories cause them to strike a filter fibre without crossing
a fluid strain line or by inertia when their mass is such that
they have sufficient inertia to cross the streamlines and so
touch the fibre surface.
In depth filtration, which is used exclusively for the removal
of small amounts of contaminants from relatively large
volumes of liquid, the filter medium is made up of fibrous or
particulate solids arranged in such a manner that the length of
travel of the liquid is large in comparison to the size of
particles being removed. A special case of depth filtration is
the socalled sheet filtration where the material to be clarified
is passed through a series of pads mounted edgewise to the
flow of fluid. The pads commonly consist of a mixture of
asbestos fibres embedded in cellulose.
Factors Affecting the Rate of

Filtration
A typical filter operation is shown in Fig. 18.1.
Fig 18.1 Diagram of a simple filter.
The suspension of solids in liquid, often referred to as the

slurry, is poured on to the medium and the formation of a
layer of solid (filter cake) is shown. The resistance to flow of
liquid thus increases progressively throughout the operation
881
as the cake increases in thickness. The factors affecting rate of
filtration are:
1. The area of filter surface.
2. The resistance of the filter cake + filter.
3. The viscosity of the filtrate.
4. The pressure difference across the filter.
The effects of these variables will now be discussed:
The rate of flow will be greatest at the beginning of the
process since the resistance is at a minimum, and will be
proportional to the filter area. Once the filter cake forms, its
surface acts as the filter medium and solids are continually
deposited adding to the thickness of the cake. This cake is
composed of a bulky mass of particles and the liquid flows
through the interstices. If it is assumed that these interstices
correspond to a multiplicity of capillary tubes, the flow of
liquids through these may be expressed by Poiseuille’s law as
indicated by the equation:
where V is the volume of liquid of viscosity η flowing

through a tube length l, radius r under pressure P, in time t.
For a given set of circumstances, V is directly proportional to
P, and inversely proportional to l; the length of the pores is
unknown but we may assume that it is proportional to the
thickness of the cake. The radius r (average) will remain
constant for rigid non compressible cakes. When the solid
consists of salt, easily deformable particles, e.g. magnesium
hydroxide, increased pressure may cause closer packing of
the particles and the resistance to flow is increased, this rate
882
of flow may be only slightly increased, or even decreased, by
an increase in pressure. The flow rate is inversely
proportional to the viscosity of the filtrate. Viscosity is
reduced by a rise in
temperature and the filtration of viscous oils, syrups, etc., is
often expedited by filtering while hot.
An extension of the Poiseuille equation to make it applicable
to porous bed based on a capillary type structure leads to the
Kozeny–Carman equation, which is the most widely used
filtration equation:
where Q is the rate of flow, A the cross sectional area of bed,

P the pressure drop across bed, ε the porosity of bed, S the
specific surface of bed, L the depth of bed and K the Kozeny
constant, usually taken as 5. The effect of compressibility of
the cake on flow rate can be appreciated from this equation
since the flow rate is proportional to ε3/(1 – ε)2. A 10 per cent
change in porosity can produce almost a three-fold change in
Q.
In ordinary gravity filtration, P will be due to the head of
liquid above the filter. P may be increased by positive
pressure or by applying a vacuum to the receiving vessel. In
vacuum filtration the greatest vacuum that can be applied will
be equal to the vapour pressure of the filtrate. Vacuum
filtration is undesirable for very volatile liquids owing to the
loss of vapour into the vacuum system. By application of
direct, pressure to the liquid, the maximum pressure is
determined solely by the construction of the apparatus.
883
Another advantage of positive pressure filtration is the ease of
filtration of liquids which foam under reduced pressure.
Filter Media
The selection of a suitable filter medium depends upon the
purpose of filtration and the quantity to be filtered. In general,
it is desirable that a medium should:
1. be inert, e.g. no chemical interaction and little physical
change such as shrinking of solution in the fluid,
2. allow the maximum passage of liquid while retaining the
solid,
3. sufficient mechanical strength to withstand filtration
pressure and
4. adsorb negligible amounts of dissolved material.
Filter Aids
When clarifying liquids containing slimy compressible
materials, e.g. colloidal sludges, the filter medium is soon
clogged and it may be necessary to incorporate a material
known as a filter aid. This functions by building up a porous
rigid structure which can retain the solid particles and allow
the fluid to pass through. A filter aid thus lends to counteract
unfavourable characteristics of badly filtering material. In
practice, a filter aid may be used in two ways:
1. adding to the suspension and the mixture handled in the
usual way or
2. making a suspension of the filter aid in a suitable liquid and
then filtering so that the filter medium receives a precoat of
filter aid.
884
The important characteristics of filter aids are that they should
be chemically inert of low specific gravity, porous rather than
dense and preferably recoverable. Examples include
kieselguhr, talc, charcoal, asbestos, paper pulp, bentonite,
Fuller’s earth. Materials such as activated charcoals will
adsorb to a greater or lesser extent inorganic and organic
compounds from solution. Alkaloids are very readily
adsorbed by charcoal, and a filter aid such as kieselguhr is
preferable for the clarification of alkaloidal solutions.
Pretreatment of Materials
Some materials which are practically nonfilterable may be
modified by suitable pretreatment.
Heat treatment: The collection of materials precipitated from
solution may be facilitated if the precipitate is made up of
coarse particles. Precipitation from concentrated solutions at a
raised temperature results in coarser particles than from dilute
cold solutions. Unwanted proteins in aqueous vegetable drug
extracts may be removed by heating the solution and the
coagulated protein then filtered off. Waxes which soften
when warm are not easily filtered unless they are chilled to
make the particles more rigid.
Filter aids: These may be added to suspensions to render the
filter cake more open and less compressible so that the flow
through the filter is not blocked. Their use in the clarification
of turbid liquids has been discussed previously.
Removal of tannins: When the turbidity of alcoholic
preparations is due to the tannin content it may be removed
by the addition of gelatin or isinglass which combine with the
tannin to form an insoluble complex and this can be filtered
off.
885
pH effects: A protein in solution is least soluble at its
isoelectric point and is easily precipitated in a filterable form.
Methods of Filtration
In pharmaceutical operations filtration is used chiefly as a
method of separating and rejecting small amounts of
extraneous matter (including bacteria) from relatively large
volumes of liquid. This contrasts with chemical processes
where the objective is usually to isolate a crystalline
precipitate and to discard the filtrate. This distinction affects
both the design of the equipment and the choice of filtering
medium.
Filter Funnels
These can be fitted with either paper, sintered glass, sintered

metal or asbestos according to the type of filtration required.
The most commonly employed filtering medium on the small
scale is filter paper, which consists of spongy, absorbent
paper (‘bibulous’ paper) that has not been ‘dressed’ or glazed.
Filter papers differ considerably in porosity and texture. The
porosity is usually tested by precipitating barium sulphate
from a solution of barium chloride and filtering off the
precipitate, afterwards washing it on the filter paper. A fair
quality paper
should be capable of preventing the passage of this salt.
Papers of finer texture are tested in a similar manner by
suspensions of the oxides of antimony and tin. Filter paper is
purified commercially by frequent washing with hydrochloric
and hydrofluoric acids, and further washing to remove the
acids. Poor quality paper sometimes gives a distinct reaction
886
for chloride. The amount of ash left on ignition of the paper is
of importance in gravimetric analysis, but not as important in
pharmaceutical operations, where the chief qualities required
are freedom from soluble impurity together with rapid
filtration.
Funnels for taking filter paper may be of glass or porcelain,
the latter being usually modified to take a flat disc of paper
supported on a perforated plate. These are known as Buchner
or Hirsch funnels and the supporting plate permits the paper
to withstand the strain of vacuum filtration.
Buchner and similar funnels (Fig. 18.2) are employed in
conjunction with a pressure flask of stout glass (Fig. 18.3) the
funnel passing through a rubber bung in the mouth of the
flask and the outlet on the left being connected to the pump. If
for any reason the water pressure falls, the pressure in the
flask may be momentarily less than that within the pump
itself, so that water in the pump may be drawn via the
connecting tube into the flask and contaminate the filtered
liquid that it contains. The same may occur if the tap is turned
off at the conclusion of the process before the flask is
disconnected from the pump. To obviate the risk of ‘back
suction’, a second pressure flask is interposed between the
pump and the receiver through the rubber bung of which
passes a glass tube, reaching to the bottom of the flask. This
tube is connected directly to the pump and the outlet of the
interposed flask is connected to the outlet of the receiver, any
water sucked back from the pump will be caught in the
intermediate flask instead of passing into the receiver.
887
Fig 18.2 (A) Buchner funnel; (B) Hirsh funnel.
Fig 18.3 Pressure flask.
Hot filtration is sometimes necessary, particularly for syrups

or oils which are viscous at room temperature. For this
888
purpose a conical glass funnel may be surrounded by a water
jacket or heating coil.
Sintered Glass Filters
These consist of a filtering medium composed of particles of

Jena or Pyrex glass powdered and sifted to produce granules
of uniform size which are moulded together into the form of
flat or convex plates.1 The plates maybe fused into glass
apparatus of any required shape (Fig. 18.4) which may then
be used in the manner of Buchner funnels for filtration under
reduced pressure, or, in the case of the coarser grades as
ordinary funnels. The porosity of the filter depends upon the
size of the granules used in its preparation, and is indicated by
a number. The number is preceded by a letter which indicates
the kind of glass employed and the letter is preceded by a
number which represents the size and shape of the apparatus
into which the plate is fused. Sintered glass filters are useful
for filtering such liquids as parenteral injections, official
solutions of potent substances, and solutions of salts used in
dispensing, For use in the preparation of injections, eye
lotions, etc., they may be
sterilized in an autoclave. For the filtration of viscous liquids,
such as glycerins, syrups, etc., it may be necessary to
surround the filter by a lead tube through which hot water or
steam is passed. The filters are also useful for filtering
substances such as corrosive liquids and oxidizing agents. In
dealing with a large volume of liquid it is useful to employ a
coarse grade to remove most of the suspended matter and
afterwards to filter through a finer grade. Sintered glass filters
may be cleaned by scrubbing gently with a soft brush and
889
sending a stream of water through in the reverse direction, or
by chemical means.
Fig 18.4 Sintered glass filters.
Seitz Filters
For use with small quantities of liquids the form shown in

Fig. 18.5 is probably the most successful. In this case an
asbestos filter sheet is supported by a burnished stainless steel
disc which is perforated and lies between the upper and lower
parts of the glass funnel. In use the pad is placed on the disc
and acts as a gasket between the glass flanges of the funnel.
The glass parts are held by two chromium plated metal
clamping rings which are drawn together by screws with
milled heads.
890
Fig 18.5 Filter holder for clarification and sterilization.
If desired the apparatus may be used in conjunction with a

sterilizing grade of asbestos filter sheet. After assembly the
whole apparatus is wrapped and autoclaved and its stem fitted
aseptically into a sterile filter flask. The liquid comes only
into contact with Pyrex glass and a disc of stainless steel so
that there is no risk of contamination by toxic metals. The
apparatus is easily cleaned and sterilized and is simple in
operation.
891
Membrane Filters
These are thin porous membranes produced from cellulose

esters or similar polymeric materials. The pores are uniform
in size and pass directly through the entire thickness of the
membrane and are virtually nonconnecting. The filtration
action is mainly sieve like and the particles are retained on the
surface. The membranes are produced in more than 20
distinct pore sizes from 0.01 to about 14μm, in discs ranging
from approximately 1.5 to 30cm in diameter. The porosity or
pore volume is estimated as 80 per cent of the total filter
volume, and this results in flow rates about 40 times faster
than with conventional filter media such as sintered glass or
unglazed porcelain with the same particle size retention
properties. In operation the membranes need to be clamped on
a porous grid such as sintered glass or stainless steel mesh
and special holders are commercially available for this
purpose. Because of the small pore size, the filters are
invariably operated under pressure, either positive or
negative. Due to the absence of fibres or particles in the
membrane, these filters are particularly useful for the
preparation of ‘particulate free’ solutions for parenteral or
ophthalmic use.
Cellulose ester membranes are suitable for aqueous solution
of drugs, dilute acids, alkalies, aliphatic and aromatic
hydrocarbons or nonpolar liquids. They are not suitable for
use with ketones, esters, ether–alcohols or strong acids and
alkalis, in which case they can be replaced by Nylon or
Teflon membranes. A wide range of different membrane
materials is available and the technical information of the
manufacturer should be consulted. The major producers of
892
membrane filters are Millipore Filter Corporation, Sartorius
and Gelman.
For filtration on a factory scale, disc filters are available up to
29.3cm diameter and are mounted in a filter holder as shown
in Fig. 18.6. For the production of very large volumes of
filtrate, multiplate units are available which may contain up to
60 disc
filters, all acting in parallel (Fig. 18.7). The assembly consists
of a bell housing containing a vertical stack of perforated
screen filter support plates between which the individual
filters are clamped under pressure. Whatever type of disc
filter unit is used it is always necessary to ensure that the
liquid is being pumped under steady pressure since pressure
fluctuations may rupture the membrane. A more obvious
disadvantage of membrane filters is their brittleness when dry
thus making handling difficult. This can be overcome by the
use of filters in cartridge form. One commercial product has
the membrane material held between two sheets of meshed
synthetic fabric which is supported on a hollow tube of
polypropylene suitably perforated for the flow of liquid
through it.
893
Fig 18.6 Millipore filter holder.
894
Fig 18.7 Assembly of the multiplate disc filter housing
showing the flow path (Millipore (UK) Ltd.).
Membrane filters by virtue of their sieve-like action tend to

become clogged by particulate matter and their useful life can
be extended by the use of a prefilter such as a depth filter.
This type of filter can remove large quantities of contaminant
from the fluid and prevent the membrane filter from
becoming clogged prematurely. Filter cartridges are available
which combine prefilter and membrane filter in the same unit.
The advantage of the cartridge type unit is that ‘in-line’
continuous filtration can be carried out which reduces
handling of the solutions and thus minimizes the chance of
contamination. A series of ‘in line’ filters shown in Fig. 18.8
illustrates a possible combination of filters suitable for the
production of a pharmaceutical product sterilized by filtration.
895
Fig 18.8 A typical train of filters used to produce a
pharmaceutical product such as a vaccine. Mean pore size of
filters: prefilter 0.5μm; HA 0.45μm; PH 0.3μm; GS 0.22μm
(Millipore (UK) Ltd.)
Glass Fibre Paper
Glass fibres are straight and have uniform cross-section; they

do not swell and are available in well-defined ranges of
diameter. ‘Paper’ manufactured from these fibres is available
in a range of pore sizes, the finer pore sizes being produced
from fibres of smaller diameter. The advantage claimed for
these filters is that the retention efficiency and flow rates are
greater than for
membrane filters. The mechanism of filtration is not a surface
sieving action but is due to trapping of particles in the depths
of the filter. For this reason it is not possible to give a
significant value for pore size of these filters as the retention
property of fibrous filters is dependent upon flow rate, fluid
viscosity, type and concentration of the contaminant, together
with the complexity or the spatial arrangement of the fibres.
Efficiency of particulate contamination can only be
realistically determined by direct measurement. It should be
noted that the filtration efficiency of fibrous filters increases
during their life and can be explained by the increase in
surface area brought about by the deposited contaminant. At
the same time the resistance to flow of fluids increases with
volume of flow through the filter and the useful life of the
filter may be relatively short if clogging of the pores occurs.
The filtration performance of glass fibre paper in terms of
flow rates during the building up of retained solids would
896
appear to be much better than membrane filters or cellulose
filter paper, which tend to clog (Fig. 18.9).
Fig 18.9 Comparison of filtration performance of glass fibre

paper, cellulose paper and cellulose acetate membranes. Data
for filtration river water (suspended solids 7 ppm). A,
Whatman glass fibre (GF/B); B, Whatman glass fibre (GF/A);
C, Cellulose ester membrane (1.2μm D, Whatman paper (42)
(from Whatman Technical Information B71/2).
Filter Press
This is widely used in industry since it is compact and

economical, and can be adapted to most filterable materials
either for clarification or for the removal of a solid phase as a
filter cake. Filter presses vary in design and in materials of
construction but the basic principle is the same throughout. A
897
series of square filter units are mounted on bars and are held
in position between a fixed head and a moving head. The
filter cloth is supported on the two faces of each plate which
are compressed together by means of a thrust screw applied to
the moving head so as to make a hermetic seal. These plates
are arranged alternately with the filter cloth clamped between
them. The feed channel is through one corner of the frame,
the slurry entering the space formed by the frame. The plates
have ribbed surfaces of such a form that the filter cloth will
not be forced to the bottom of the ribs by the pressure used,
thus leaving channels for the filtrate to reach the exit ports.
Filtration can be continued until the filter cake fills the
compartment or until the build-up reduces the efficiency of
filtration. Delivery from the press may be either separately
from each plate or united into a common channel. As a
general rule, it is advisable to have a tap on each plate, giving
control over each filter unit, and then if a filter cloth fails, that
unit can be cut off avoiding the necessity of stopping filtration
to open the press and find the fault. If it is necessary to force
the filtrate to a higher level than the outlet of the press, a
combined outlet gives the means of doing so, the pressure
being supplied by the filter pump. It is an advantage in such a
case to fit a short length of glass tubing into the outflow, so
that the condition of the filtrate can be observed.
Washing the filter cake free from mother liquor is not done by
passing the wash water through the same channels as for
filtration, since the water would take the easiest path and pass
through the cake in the region of the outlet port, but with the
filtrate outlet of the washing plate closed so that the water
passes through the inlet port on the washing plate and then
through the whole thickness of the cake to the grooves of the
filter plate.
898
When the runnings from the press are free from the impurity
of the mother liquor the cakes are removed and dried. When
the deposit is of no value it is usual to add kieselguhr or some
other filter aid to the first portion of the liquor. This forms a
coating on the filter cloth, giving a better filtering surface, and
when cloth is used without filter paper it enables the deposit
to be easily scraped off when the press is opened for cleaning.
Fig. 18.10 illustrates a type of filter press that is used in
pharmaceutical production departments. The plates and
frames are usually made of aluminium alloy and lacquered or
protection against weak corrosive chemicals and steam
sterilization. A wide range of filter media is available
including filter sheets, woven fabrics (Nylon, Terylene, etc.),
diatomaceous earth and plastics. Synthetic fabrics have
greater chemical resistance than wool or cotton which are
affected by alkali and acid respectively. Filter sheets
composed of a blend of asbestos and cellulose are capable of
retaining bacteria so that sterile filtrates can be obtained
provided that the whole filter press and filter medium have
been previously sterilized. This is usually done by passing
steam through the assembled unit.
Fig 18.10 A modern filter press (Floor model with pump

unit).
899
The manner of feeding the liquid to the press is of great
importance. It must be supplied under pressure, which must
be as steady as possible; any surging caused by the pump will
tend to drive sediment through the filtering medium. As the
solids are deposited the resistance to the passage of the liquid
becomes greater and increased pressure must be applied until
either the space in the press is filled with solid or the
resistance has reached the maximum pressure for which the
press is constructed. Presses
will generally work up to a pressure of 75–100 lb/in2
(0.525–7.0kg/cm2). The rate of filtration can be increased in
some cases by increasing the pressure, but very often the use
of too high a pressure will result in the deposition of a
compact cake which will quickly slow the rate of filtration.
Lower pressures and a smaller feed often result in a more
open cake and an increased amount of liquid filtered over a
longer period.
The output of filter presses varies with the size and number of
the plates, the nature of the solid to be collected, the viscosity
and temperature of the liquid and the pressure applied.
Relative rates for different sizes of presses for the same liquid
can be calculated from the area of their filtering surfaces.
The main features of the filter press may be summarized as
follows:
Advantages
1. It is simple in construction, can be made from a variety of

materials, and has no moving parts.
2. It is compact, i.e. provides a large filter area in a small
floor space.
3. It is flexible and can be adjusted easily to different batch
sizes.
900
4. It has low maintenance costs.
5. It produces a dry cake in slab form.
Disadvantages
1. Operating costs are high (preparing plates and discharging

cake).
2. Washing is not very efficient.
3. Frequent dismantling increases wear and tear of filtering
media.
Metafilter
For some manufacturing processes the filter presses just

described are frequently not convenient, because presses are
generally adapted to filter large volumes and work
continuously on one particular product. When it is necessary
to change from one preparation to another and the batches are
moderate in size, the volume of the residual liquor which is
finally left in the pump and press may be large in proportion
to the batch. In such cases some other form of filter is more
advantageous. A useful form of clarifying filter which can be
built up in units adapted to the size of the batch is the
metafilter. The permanent filter support is made up of rings
on a grooved column. The rings (Fig. 18.11) are 22mm in
external diameter and have raised portions, shown shaded.
The height of these raised portions may be made to vary from
0.025 to 0.2mm, to suit requirements. The raised parts are
only on one side of the rings, so that when the rings are
threaded on the column, as shown in Fig. 18.12, channels are
formed between the raised parts of one ring and the flat side
of the next. The columns of rings are used as units to build up
a filter in which they are the permanent base on
901
which a filter bed of kieselguhr, charcoal, decolorizing carbon
or other filter aid is deposited.
Fig 18.11 Rings used in a metafilter (Metafiltration Co. Ltd.).
902
Fig 18.12 Assembly of rings on column for metafilter
(Metafiltration Co. Ltd.).
These pressure filters may also be fitted with a steam jacket

for the filtration of very viscous liquids such as syrups or oils
which can be rendered less viscous by warming.
This type of filter can easily be cleaned by back flushing with
water or steam, which because of the shape of the pores in the
rings, will wash away the filter bed completely.
Drum Filter
The modern drum filter (Fig. 18.13) is a metal cylinder

mounted horizontally, the curved surface being a perforated
plate supporting a filter cloth. Internally, it is divided into
several segments in which a vacuum is created independently
as they enter the slurry and is discontinued when they are no
903
longer immersed. The speed of rotation varies with the
material to be filtered, but is usually less than 1 rev/min. As
the segment leaves the slurry, the filter cake on its surface
may be washed with a water spray and consolidated by means
of a ‘cake compressor’. It is then removed either by a doctor
knife or a string discharge. The latter is particularly useful for
products which yield a firm cake. Some rotary filters include
a hot air drying zone and are capable of producing a cake with
less than 1 per cent moisture.
Fig 18.13 The Paxman rotary vacuum filter (Davey, Paxman

and Co. Ltd.) (Courtesy: FLSmidth).
Air Filtration
Filtration is an important part of the system of air
conditioning which is a normal feature of the pharmaceutical
factory. Its purpose may be to produce either a dust free
atmosphere where products can be handled under clean
working conditions, or a sterile atmosphere for aseptic
processes (Sykes & Carter, 1953). (See also Chapter 35.)
Air filters must be of open construction to ensure high flow
rates and thus the openings are large compared with the size
904
of particles that are filtered out. The removal of a particle is
due to a chance collision with the filter material rather than by
any positive sieving action. The most important factors
governing the removal of particles are impingement forces at
high velocities and diffusion it low velocities. Small particles
striking any surface will tend to adhere because of van der
Waals forces, and if electrical charges are present the forces
of adhesion may be increased.
Impingement: This can occur when the particles follow the
streamlines of air close to the individual fibres of the filter,
allowing the particle to come into contact with the fibre. The
air streamlines bend round the fibre and small particles in the
outer streamlines will miss the fibre. Larger particles,
however, especially at high velocities, will not follow the
curve of the streamline around the fibre but will continue on a
straight course and collide with the fibre. This inertial effect
is effective for particles of 5μm upwards especially at high
velocities of air flow (Stairmand, 1950).
Diffusion: Inertial effects for particles less than 1μm are
unimportant. Filtration of these particles is, however,
effective at low flow rates, and may be explained on the basis
of increased Brownian movement resulting in increased
particle–fibre collisions. The efficiency of an air filter may be
at a minimum when flow rates are too fast for diffusional
movements to be effective and too slow for impingement.
Methods of Air Filtration
Two general methods are available, the first being based on

the use of oiled metal plates or mesh, and the second (‘dry
type’) on fibrous or granular material such as cotton wool,
slag wool
905
or glass wool. A third method, although sometimes described
as filtration, actually involves the separation of solid particles
by electrostatic precipitation.
Oil or viscous filters are designed so that the air passes over a
large area of oil-coated metal either in the form of corrugated
plates or wire mesh. Larger models have a rotary metal screen
which passes through an oil trough. Dry filters comprise
frames packed with asbestos, glass wool, slag wool, or
various mixtures of these. Normally, they are discarded at the
end of their time cycle, but some can be cleaned for reuse.
The electrostatic method is more expensive than the foregoing
but is extremely efficient. Incoming air passes through an
electric field of high potential gradient thus causing dust
particles to become ionized. A series of wires carry a
potential of about 12 kV and a corresponding series of
‘Collector’ plates are at about 7 kV. The charged particles are
thus attracted to and held by the ‘Collector’ plates of opposite
charge; these are periodically cleaned by spraying with water.
An efficiency of 98 per cent against dust has been claimed for
this method.
The correct working of an air filter may be checked
photometrically by passing filtered and unfiltered air
simultaneously through standard areas of chemical filter
paper. The relative discoloration is a measure of efficiency.
Bacteria-proof filters are checked by using a standard
‘infected’ air and testing by slit sampler and after filtration.
References
Dickey GD. Filtration. New York: Reinhold; 1961.

Green HL, Lane WR. Particulate Clouds: Dusts, Smokes and
Mists. New York: Spon.; 1957.
906
Stairmand GJ. Trans. Inst. Chem. Eng.28. 1950:130.
Sykes G, Carter DV. J. Pharm. Pharmacol.5. 1953:945.
Wylie DM. Fundamentals of Filtration. 1959. Congr. Proc.
Cosmet. Sci. J. Cosmet. Chem.
1. The term ‘sintered’ is applied to these filters on account of
the similarity in appearance and other physical properties
which they bear to siliceous sinter. ‘Sinter’ is a German name
for a porous mineral precipitated in crystalline form from
mineral waters; there are various kinds of sinter, such as
calcareous sinter (a variety of calcium carbonate), pearl sinter
or fluorite, etc.
907
Chapter 19
Comminution, Sizing and Handling of Powders
Size Reduction
Size reduction or comminution is the process of reducing
substances to small particles, an operation that has to be
applied in greater or lesser degree to most drugs for the sake
of easy administration and so that they present a large surface
to the action of a solvent, thus aiding solution in the case of
chemical substances and, in the case of crude drugs, allowing
rapid penetration of the liquid used to extract their active
constituents.
It is an important preliminary stage in the preparation of
compressed tablets, where granular material has to be
prepared for the tabletting process. Relatively few drugs can
be compressed alone into satisfactory tablets; in general other
ingredients have to be added—excipients, disintegrants,
diluents and lubricants— and their particle size characteristics
have a major influence on the properties of the finished
tablets. Comminution is very relevant to the preparation of
pharmaceutical dispersions, pastes and fluids, where
properties such as consistency, tendency to sediment,
appearance and general storage characteristics again depend
on the particle size of the solid ingredients.
For sustained release preparations such as testosterone and
oestrone, the drug must be within a particular size range if its
effects are to be prolonged over a period and if it is not to be
excreted too rapidly from the body.
908
Finally, the reduction of materials to a fine state of
subdivision is an essential preliminary to the preparation of
pharmaceutical capsules, insufflations (i.e. preparations
inhaled directly into the lungs), suppositories, pessaries and
ointments, where the requirement is that the solid constituents
should be impalpable, i.e. less than about 60μm in diameter.
General Principles
The main object in most size reduction operations is to obtain

a product smaller than a certain specified size. Drugs which
are to be dispensed in some vehicle for oral or parenteral
administration must be in the form of a very fine powder
(usually less than 20μm). Where a coarse product is required,
e.g. vegetable drugs in a form suitable for extraction, a
minimum proportion of fine particles is usually required. The
type of size reduction apparatus plays an important part in this
respect.
Machinery used for size reduction may be divided into three
classes, depending on the size of the product required. Coarse
crushers usually accomplish breaking by the application of a
continuous pressure, and they yield a product generally
greater than 1000μm in diameter.
Intermediate machines employ blow or impact methods and
produce powders in which the majority of particles are
between about 100 and 1000μm in diameter.
Finally there are the machines which employ grinding or
abrasion methods and which are used for preparing the finest
powders down to 1μm diameter or below. No sharp dividing
line can be drawn between the three classes of machines, but
for pharmacists generally the intermediate and fine machines
are of greater interest than the crushers.
909
Mechanism of Size Reduction
The mechanisms involved in size reduction are very complex

(Bickle, 1961) and, as they vary with the nature of the
material, no comprehensive treatment is generally available.
Theory is of limited use in the choice and operation of
machines, and art and experience are still required in order to
produce a desired result, since some drugs require individual
treatment.
When a solid particle is struck, or is loaded with a force
greater than its breaking strength, it generally breaks to form
a few relatively large particles and a number of fine particles,
but relatively few particles of intermediate size. Increasing the
energy of the blow usually increases the number of both large
and small particles and decreases the size of the former, but
not of the latter. This indicates that the size and number of the
large particles is determined by the energy and nature of the
breaking process, but that of the smaller particles by the
internal structure, nature and presence of fissures in the
material concerned.
The energy supplied during comminution is distributed in
elastic and plastic deformation of particles, in lattice
rearrangements within crystals, and in the increased energy of
the material associated with the new surfaces that have been
formed. These are produced by fractures which occur along
lines of weakness in the material and which open up under
pressure or impact, but a very large proportion of the energy
supplied is dissipated in the form of heat without achieving
any useful result. It has been estimated that in most machines
less than 2 per cent of the energy actually supplied is used for
producing new surfaces, the rest going in overcoming friction
910
and inertia of the machine parts, in friction between particles
and deformation of particles without breaking them.
Many attempts have been made to develop equations for the
useful work required to effect a given size reduction (Dobie,
1952;
Carey & Stairmand, 1952). Rittinger’s law assumes that the
energy consumed is proportional to the fresh surface
produced. Kick’s law assumes that the energy required for the
subdivision of a definite amount of material is the same for
the same fractional reduction in size of the individual
particles. Thus, if 1.5kW is required to crush a given weight
of a substance from 2–1cm pieces, the energy required will be
the same for crushing 1–0.5cm or 0.5–0.25cm pieces. For
crushing large particles this appears to give better results than
Rittinger’s law, which can be applied more satisfactorily to
fine grinding.
A law combining both the above is due to Bond and can be
expressed by:
where L1 is the initial diameter of the material in microns L2

is the final diameter of the material in microns, and Ei is the
so-called work index, i.e. the amount of energy required to
reduce unit mass of the material from a very large size down
to a size of 100μm. Work indices for many drugs and
excipients are now available.
911
Size Distribution During Comminution
At all stages during a comminution process there will be a

size distribution of particles; no machine can produce a
completely uniformly sized product though some, which
combine comminution with classification, very nearly do so.
Fig. 19.1 shows schematically the change in particles size
distribution which occurs as comminution proceeds (Herdan
et al., 1960).
Fig 19.1 Frequency distribution during milling.
At the start, when particles of many sizes are present, the

distribution curve is rather flat and bell shaped, but in a short
while a secondary peak develops and gradually moves to the
left. At the same time its height rises indicating increasing
production of small sized particles. The height of the
secondary peak continues to rise at the expense of the
912
primary, while its width decreases. The final stage is
represented by the topmost curve.
By taking samples from a machine after different periods of
comminution, and plotting the histograms, it is possible to
establish the most satisfactory and economical milling
conditions.
Comminution Machinery
Five main types of equipment are in regular use for size

reduction of drugs and other pharmaceutical materials and
they may be summarized briefly as hand-operated or
mechanical pestles and mortars, impact or hammer mills, pin
mills, ball mills and vibration mills, and micronizers (Cremer
& Davies, 1957; Neuman & Axon, 1961).
In addition there are the techniques of spray and freeze
drying, crystallization and precipitation, which are being
increasingly used for producing drugs in a fine state of
division without grinding.
Mortar and Pestle Types
The hand mortar and pestle has for centuries been the
standard equipment for achieving size reduction, and is still
very widely used for small scale purposes. Its mechanical
counterparts are the end runner mill (Fig. 19.2) and the edge
runner mill.
913
Fig. 19.2 End runner mill.
The end runner mill consists of a weighted pestle mounted

eccentrically in a ceramic, granite or metal mortar, which is
rotated by a motor. The pestle rotates by friction and is free to
rise and fall in the mortar so that its grinding action involves
both impact and shear, the material being crushed and rubbed
between it and the rotating mortar. Spring loaded scrapers
ensure that material is constantly returned to the grinding area
and at the end of the operation the pestle can be swung clear
of the mortar to facilitate emptying and cleaning.
The edge runner mill consists of one or two heavy steel or
granite rollers mounted on a horizontal shaft and turned round
a central vertical shaft on a bed of steel or granite. The stones
may vary from 0.5 to 2.5m in diameter, the larger size
weighing up to about 6 tonnes. The material to be ground is
kept in the path of the runners by scrapers. The reduction is
partly due to crushing: by the weight of the stones, but more
to friction between the surfaces of contact between the
runners and the bed stone. Although edge runner mills are
gradually being replaced by more sophisticated machines they
914
are still used, particularly for reducing extremely tough and
fibrous materials—roots and barks—to the form of powder.
Impact and Hammer Mills
There are numerous commercially available types of impact

mills, all working at high speed. The material is fed into the
body of the machine and ground between rapidly rotating
fixed or swinging blades and the corrugated mill casing. It
passes out through screens round the circumference of the
mill chamber. The Apex comminuting mill is an example of
this type of machine. Basically it consists of a stainless steel
grinding chamber (Fig. 19.3) the lower part of which holds
interchangeable screens. A rotor carrying a series of blades is
fitted to a shaft passing through the chamber and like the
screens, the blades are interchangeable. For pulverizing, a
hammer blade is used, while for cutting or dicing, a blade
with a concave edge is the most effective. The Type 1141
blade has a hammer face on one side and a cutting edge on
the other. A number of other types of dual faced blades and
hammers have been developed, each having a special
usefulness for certain operations or products.
915
Fig. 19.3 Apex comminuting mill (Courtesy: AARON
Process).
The material to be processed is led via a feed pan to a throat

or chute, the design of which may be modified to suit the
physical nature of the product concerned. Pulverized material
falls through the screen and is collected in drums or other
suitable receivers. The speed of the mill may be adjusted,
usually between 1000 and 5000 rev per min, and when
temperature control is important, as for example, when
dealing with thermolabile drugs, the grinding chamber may
be water jacketed. For aseptic processing, a model is available
which can be dismantled easily for cleaning and sterilizing.
The Apex mill and Fitzmill (Fig. 19.4) are suitable for
producing coarse to ultrafine powder (>1μm diameter) from
such varied materials as drugs, roots, herbs glands livers
soaps, etc. They can also be listed for size enlargement or
granulation of powders as a preliminary to tabletting (see
Chapter 21).
916
Fig. 19.4 Manesty Fitzmill.
Pin Mills
These rely on the high speed rotation of a series of pins

located on a plate which revolves against a similar plate
leaving a small clearance for the passage of the drug being
comminuted. Typical is the ‘Reddrop-Periflo’ mill.
The upper disc is fitted to the cover while the lower disc
rotates, driven by a vertical spindle and gearing. The material
is fed in through the centre of the upper disc and is thrown
outwards by the centrifugal force of the rotating disc and
broken down to fine power by the series of impacts as it
passes outwards between the revolving and stationary pins.
The maximum pulley speeds of the ‘Reddrop-Periflo’ mill are
1450 on the smaller and 1000 rev per min on the larger sizes.
917
The top cover is removable for cleaning and for changing the
discs, which can be supplied in different forms to suit
different materials. Discharge is form the bottom of the casing
which is connected to a bag, or by a sleeve to a box. Two or
three filter sleeves allow the escape of air which is drawn in
by the centrifugal action. These mills are adapted for the fine
grinding of substances with low melting points, such as resin,
soap, sugar, etc. The mill described is the smallest size and
has an output of up to 100kg per hr, with a power
consumption of 1.5kW. Larger sizes are made with outputs up
to 6 tonnes per hr and power consumptions of 30kW.
Ball Mills
In ball mills the material is ground by the impact and friction

of a large number of balls in a rotating vessel. Different
models vary greatly in size and form. They produce fine
powders; the fineness depending on a number of operating
variables such
as the speed of the mill, the size, nature, path and load of the
balls and the charge of material being handled. A great deal of
work has been done on all these aspects over the last few
years (Hukki, 1959; Riley, 1965). Steel balls are often the
most efficient, but they may produce deterioration or
contamination of certain acidic products and porcelain, flint,
steel, nylon or rubber balls can be employed instead: mills
can be of steel or porcelain or may be rubber-lined. There are
considerable variations in the recommendations for ball load.
With steel balls, a load of about 33 per cent of the mill
volume is often used, but for porcelain or nylon balls it may
be as high as 55 per cent. Overloading causes the mill to
‘choke’.
918
The mill speed should usually be between about 50 and 65
per cent of the critical centrifugal speed, i.e. the speed at
which, the balls stick to the inner walls of the rotating vessel.
This ensures that their motion is that of cascading, i.e.
slipping smoothly over each other, rather than being thrown
cataracting—or sliding en masse round the walls of the
vessel. Generally, the balls should be as small as practicable,
consistent with the size of the feed and the arrangements
available for straining them from the product; commonly they
are 12mm or less in diameter and spherical in shape, though
for some purposes ‘cylpebs’ (cylindrical pebbles) are
preferred. There appear to be no particular advantages in
using balls of mixed sizes, though it has been claimed that
they sometimes help to maintain the charge mobility in the
mill.
A modification to the conventional ball mill is the Hardinge
mill. This has a conical centre section and as the charge
rotates, differential centrifugal forces cause the finer particles
to move to the discharge end. In this way, the mill operates
simultaneously for size reduction and classification. It may be
connected also to an air classifier in which a stream of air is
passed through the mill, the fines being transported upwards
and recovered in a cyclone separator. The principle of closed
circuit grinding, thus outlined, is widely used in the
pharmaceutical industry, and has the advantages of
accelerating the grinding process by continuously removing
the fines which otherwise tend to cushion the larger particles,
eliminating problems of dust and overheating, and producing
a closely graded product free from oversized and undersized
material.
919
Vibration Mills
Vibration mills are similar to ball mills in that particles of the

material are crushed between porcelain or metal balls and the
mill body. Here, however, the energy is supplied by vibrating
the mill body. The mill is supported on a spring base and is
subjected to forced vibrations induced either by rotating out
of balance weights or by electromagnetic means.
Laboratory models are usually restricted to one frequency and
amplitude of vibration. Fig. 19.5 shows details of the GEC
VM25 electromagnetic vibration mill which has been
successfully employed on a semiproduction scale. Drugs and
excipients are readily ground to less than 5mm diameter, the
grinding time being considerably less than is required in
normal ball milling. As a result the efficiency of the
comminution process in vibration milling is a good deal
greater than it is in ball milling (Rose & Sullivan, 1961).
920
Fig. 19.5 Vibration mill.
Micronizing
The process of micronizing or jet milling is now frequently

employed in the pharmaceutical industry and involves
grinding particles upon themselves (Dotson, 1962).
Coarse particles are fed into a flat cylindrical grinding
chamber of highly resistant stainless or alloy steel; air, or
superheated steam at high pressure, is then injected through
the jets spaced round the periphery of the chamber, causing
the material to circulate at high speed. The violent impacts,
which occur rupture the particles and, as a result of the
centrifugal motion, classification takes place into different
sizes. The larger particles move to the outer grinding zone
and the finer ones towards the centre of the chamber, being
eventually expelled in the exhaust gas, from which they are
recovered with a cyclone collector, which may or may not be
an integral part of the equipment.
Commercial micronizers range in size from about 5cm to 1m
in diameter and have throughputs of up to 2000kg per hr
depending on their size, the characteristics of the product and
the size range required. When operated at relatively low jet
pressures, e.g. 20–40lb per in2 (1.4–2.8kg/cm2) their main
action is in breaking up aggregates of particles without
rupturing the individual crystals and at these pressures
therefore, there is little change in the surface area of the
powder as measured for example, by nitrogen adsorption. But
at higher pressures, 60–80lb per in2 (4.2–5.6kg/cm2), the
individual crystals are ruptured and there is a large increase in
surface area. On the whole, micronized drugs are smoother
and less irregular in shape than those which have been ground
921
by other methods; particles become increasingly spherical in
shape as the period of micronizing is increased.
The mills described in the above section are only a selection
of the available types. All have their particular advantages
and no one mill will do all that is required in pharmaceutical
practice.
The art of milling requires much experience to be able to
select the right kind and size of mill to give the required
result. While flour milling has been reduced to a practically
automatic process, drug milling cannot be done in this way,
since each different material has its own distinctive properties
and requires special treatment. A powdered drug produced in
a ball mill differs from that produced in a micronizer even
though both powders may be screened to the same fineness,
the difference being due to the shape of the particles, their
roughness and their internal pore structure. A fibrous material
ground in an Apex mill will give a much more fluffy powder
than the same material ground in a ball mill. Substances of a
resinous or oily nature should not be subjected to heavy
pressures or much heat, as a pasty mass may result; they are
better treated in a micronizer or hammer mill, than in a heavy
edge runner mill Much heat is produced in the grinding
process and this is particularly noticeable in high speed mills,
when a current of air passes through the mill, as in closed
circuit grinding, the material often loses considerably in
weight due to the evaporation of moisture. Powders that have
lost weight in this way usually tend to regain it on storage.
In the British Pharmacopoeia, the degree of comminution of
materials varies according to the purpose for which they are
required, from crushed, e.g. gentian for the preparation of
tincture, to very fine, e.g. calomel in injections of mercurous
chloride.
922
Particle size characteristics, particularly in the case of
sparingly soluble drugs, have a profound influence on their
rate of absorption in the stomach or gastrointestinal tract, and
hence on their efficiency when administered orally, Penicillin
in a medium of aluminium monostearate plus arachis oil,
appears to be most effective when 90 per cent of the particles
are smaller than 5μm. The relatively insoluble sulphonamides
attain their maximum antibacterial activity at crystal sizes of
about 1μm or below (Neuman & Axon, 1961). For
insufflations the drug should usually be smaller than about
5μm.
For the preparation of extracts of vegetable drugs, the grade
varies from coarse to fine powder, the components of
compound powders are all finely powdered and in the
preparation of tinctures, bruised to moderately coarse
powders are used. Powders used for extraction by percolation
should not contain a large proportion of fines, as this would
result in uneven extraction of the material. Coarse and
moderately coarse powders, with a minimum of fine powder
are most easily obtained by using a high speed impact mill.
Materials such as cascara, liquorice, belladonna leaf and root,
and ginger are all easily broken down in such mills. When
fine powders are required, many drugs can still be broken
down in high speed impact mills by fitting finer screens; the
finer the screen the slower the process becomes, and with
very tough materials the process is very slow.
Fine powders of tough or fibrous materials such as nux
vomica or ipecacuanha are often produced in two stages, a
preliminary treatment in an Apex mill and a final grinding to
the required grade in a ball mill or edge runner mill.
Substances which are hygroscopic such as potassium
carbonate, or very poisonous such as triturations of the
alkaloids, are most easily prepared in closed porcelain ball
923
mills. The fineness of grinding of some drugs produces
changes in their properties. For example, the viscosity of
mucilage of tragacanth prepared from No. 60 powder will be
greater than that prepared from No. 120 powder, both
powders having been prepared from the same sample of gum.
Tragacanth should therefore never be ground to a finer
powder than is necessary. The industrial grades of acacia
which sometimes tend to give ropy solutions are often
improved by fine grinding. Powders used as absorbents have
that property enhanced by fine grinding. Spontaneous
combustion sometimes occurs in finely powdered resins and
hard soap since the greatly increased surface area accelerates
oxidation and produces heat. In the case of soap, it can
generally be traced to the quality of the olive oil used in its
manufacture, unrefined oil often being the cause.
The colour of powders is affected by the degree of
comminution and also by the proportion of particles which
are finer than the designated grade. As previously stated,
there is a difference between powders of the same grade
produced in different mills. Powders produced in ball mills
and particularly in edge runner mills usually contain a high
proportion of fines which tend to cause a ‘white’ powder to
appear ‘whiter’ and affects the tint of a coloured powder.
Other Techniques for Producing Fine Particles
Mention will be made elsewhere in this book of certain other

techniques for producing materials in the form of fine
particles, but for completeness it will be convenient to give
brief details of them here also, since they are widely
employed in industry in the preparation and purification of
drugs and other pharmaceutical powders.
924
Precipitation
Precipitation occurs when solutions of materials which react

chemically are mixed to form a product which is but sparingly
soluble in the liquid, and therefore deposits out. Precipitation
is a convenient method for producing solids in a very fine
state of subdivision down to 0.1μm in diameter. It is also
widely used as a method of purifying powders since the
required product and its impurities will generally be soluble
to different extents in the liquid medium that has been
employed. Examples of pharmaceutical substances commonly
prepared by precipitation are calcium and magnesium
carbonates made by treating the respective chlorides with
sodium carbonate solution, ammoniated mercury made by
adding a solution of mercuric chloride to a solution of
ammonia, and yellow mercuric oxide made by adding a warm
solution of mercuric chloride to a solution of sodium
hydroxide.
Hot, concentrated solutions usually produce heavy, coarse
precipitates which can be fairly readily freed from
contaminating salts by washing. But the precipitates from
cold dilute solutions are usually much finer and it may be
difficult to free them from impurities adsorbed on to their
very large surface area. In many cases the order of mixing the
solutions can influence the type of precipitate obtained. For
example when a solution of an iron salt is poured into an
excess of a solution of sodium carbonate, iron carbonate
Fe2(CO3)3 is produced, but if the procedure is reversed the
product will also contain basic salts such as Fe(HCO3)3,
Fe(OH)(CO3)2, etc., which may be difficult to remove.
925
Crystallization
Crystallization differs from precipitation in that the product

deposits from a supersaturated solution rather than from a
liquid in which it is insoluble. The basic steps in
crystallization are first to achieve a supersaturated solution,
then to provide nuclei on to which the material can deposit in
the form of microcrystals, a few hundredths or even
thousandths of a micron in size and finally to allow these
microcrystals to grow up to normal crystal dimensions so that
they settle to the bottom of the containing vessel and can be
separated from the supernatant liquid. Crystals will only grow
if the solution is supersaturated and the rate of growth is
proportional to the degree of supersaturation (Dunning,
1961).
The shapes and sizes of the crystals formed are markedly
dependent on the conditions under which the crystallization is
carried out. For example, griseofulvin crystallized from
acetone has a different form from the same drug crystallized
from benzene or chloroform. A derivative of an organic acid
used in an insufflation has large needle shaped crystals when
precipitated from hot alcohol and cubic crystals when
precipitated from acetone—alcohol mixtures. Crystallization,
like precipitation, is also widely used as a method for
removing impurities from pharmaceutical products before
they are incorporated in capsule or tablet formulations. The
need for lengthy grinding in machines can often be avoided
by correctly choosing the conditions of the crystallization
itself to produce the drug directly in the state of fineness that
is required.
Crystallization equipment is most readily classified according
to the method employed for producing the supersaturated
926
solution. Supersaturation can be achieved by cooling, by
evaporation of the solvent, by a combination of cooling and
evaporation and by salting out, i.e. adding another solute to
the solution to reduce the solubility of the substance in
question. Equipment in commercial use includes tank
crystallizers, agitated batch crystallizers, the Svenson Walker
Crystallizer, the Krystal and other vacuum crystallizers and
details of their design and operation will be found in
textbooks of chemical engineering (Badger & Banchero,
1955).
Sieving and sifting
A feature of the modern pharmaceutical industry is the

increased use that is being made of materials in a fine state of
subdivision. Numerous methods have been developed for
sifting powders and determining their particle size. Of these
sieving is undoubtedly the most common, being applicable to
practically all powders from about 40μm upwards.
Sieving
In the UK, the British Standard Sieve is extensively used both

for scientific work on powders and for separating them into
fractions on a commercial scale. In Europe the German DIN
(Deutsche Industrie Normen) is widely used. But different
standards are used for German, American and other sieves.
To state that a sieve has a certain mesh is meaningless unless
the diameter of the wire constituting the mesh is also
specified. This will determine the size of the opening. Clearly
the opening will always be smaller than the measurement
suggested in the ‘mesh designation’ (Tables 19.1 and 19.2).
927
Table 19.1 Wire mesh sieves as per BP
Table 19.2 Perforated plate test sieve
Sieves for pharmacopoeial testing are of wire cloth woven

from brass, bronze, stainless steel or other suitable wire and
are not coated or plated. The wires are of uniform circular
cross section. There must be no reaction between the material
of the sieves and the substance being sifted.
928
According to IP 2007, sieves conform to the specifications
given in Table 19.3.
Table 19.3 Specification of various sieves as per IP
Sieve specifications according to BP and IP are similar in

certain denominations like sieve number, tolerance for
average aperture size and approximate sieving area except
that in BP a sieve is also specified in terms of preferred
average wire diameters whereas in IP nominal mesh aperture
929
size is mentioned. Along with that, the measures of the sieve
number in both BP and IP are different, as shown above in
Tables 19.1 and 19.3.
To obtain reproducible results in a particle size analysis it is
necessary to adhere closely to the detailed procedure given in
British Standards 410 (1969). The powder under test is passed
through a number of sieves of increasingly smaller mesh size
and the weight remaining on each sieve is measured. The
method of shaking the sieves is important; for rapid sieving it
is usual to use a mechanical shaker that imparts gyratory and
vibratory movement to spread the material over the whole of
the mesh. Errors can arise if the sieves are overloaded or if
insufficient time is allowed for the particles to pass through
(Heywood, 1963).
The Alpine Airjet Sieve
In recent years the Alpine Airjet Sieve has been developed to

extend the range of conventional sieves which tend to block at
particle sizes below about 80μm. The action of the sieve
depends on a jet of air instead of mechanical vibration. Its
purpose is to fluidize the powder, thereby preventing blocking
of the mesh and at the same time cushioning the particles
from impact with the mesh which, in the case of soft powders,
artificially produces fines.
The apparatus shown in Fig. 19.6 consists essentially of a
metal housing into which the sieve mesh is fitted. Powder is
placed on the mesh which is then covered by a close fitting lid
and is fluidized by an upward jet of air directed on to its
lower surface through a rotating slit. A vacuum is
simultaneously created in the interior of the housing so that
930
the undersized powder is sucked through the sieve into a
paper filter from which it can be recovered if required.
Fig. 19.6 Alpine Airjet Sieve.
Having checked that the upper edge of the rotating slit is level
with the upper edge of the housing, the finest sieve is fitted
into the machine and the plastic sealing ring drawn
downwards until an airtight seal is obtained.
About 10g of the material under examination is carefully
weighed and spread onto the sieve and the cover placed in
position. The slit is set into rotation and the suction adjusted
until the manometer reads 200mm. Sieving is continued for
2min, the residual powder is weighed, transferred to the next
sized mesh with a fine brush and the process continued until
the sieve analysis is complete.
Airjet sieving has a number of advantages over the more
conventional method. It is rapid, produces closer and more
reproducible size cuts, is not subject to the clogging which
occurs in hand or vibration sieving at small sizes in particular,
and probably gives a truer result since there is less tendency
for fines to be formed as a result of the sieving itself. Against
these advantages, however, must be set the fact that Airjet
931
sieves have a relatively small capacity which makes them
unsuitable for handling large quantities of powders. They are
thus primarily used for determining the particle size range of
a powder rather than for classifying it.
Classifiers and Sifters
Most commercial classifiers and sifters are based on the

principle of sieving (Cremer & Davies, 1957). Thus in the
Pascal turbine sifter there is a cylindrical screen which is
divided into two or three compartments, in each of which
there is a turbine beater, which drives an air current through
the screen and carries the fine powder with it. This is drawn
off from the base of the machine, the air is recirculated and
the coarse material is discharged from a spout at the side.
Brush sifters employ brushes to separate the fine and coarse
particles on the sieve mesh and are useful for greasy or sticky
powder such as waxes and soaps. One design has three
circular brushes mounted on a triangular structure. The sieves
are mounted on a delivery funnel of stainless steel or enamel
and the whole unit (Fig. 19.7) is supported on a wheeled
trolley for ease of movement.
932
Fig. 19.7 Brush sifter.
In recent years there has been an increasing demand for

pharmaceutical powders like griseofulvin, and aspirin in an
extremely fine state of subdivision, i.e. less than 10μm and
this has necessitated the use of what are essentially
centrifugal classifiers. One example is the Cutrock classifier
(Goodridge et al., 1962). It consists of three rotating discs
mounted in a cylindrical chamber. The drug flows from a
buffer along a vibrating feeder and is drawn into the classifier
by a stream of air passing along an axial inlet. It then flows
radically outwards between discs.
The rotation of the discs causes the air stream to spin with the
result that the larger particles circulate in an annular gap
between the edge of the discs and the casing of the chamber,
while the smaller ones are expelled through the exit and can
be collected in a bag. By appropriately choosing the speed of
operation of the machine, it is possible to collect only the
933
particles smaller than a particular size and return the rest for
further grinding until they meet the specification that has been
set.
For larger scale classification the Alpine Mikroplex and the
Hosokawa types are useful. These again employ the
centrifugal principle and have rotating blades which can be
set at different angles to achieve separations ranging from 3
up to about 50μm diameter. Depending on the material being
handled and the particle size of the fraction to be collected,
the outputs from these machines are between about 50 and
5000kg per hr.
Determination of Particle Size
There are a number of methods available for measuring the

sizes of particles in a powder (Edmundson, 1967) and in
principle all would yield the same result if the particles were
uniform in size, spherical, smooth and nonporous and of
equal density. In fact, however, real powders contain particles
of a range of sizes, shapes, densities and porosities and the
value obtained thus depends to a considerable extent on the
method of measurement and on the conventions used for
defining particle size. The particle size may be defined in
terms of the dimensions and shape of the particle, e.g. a mean
diameter based on direct observation, or one may refer to a
mean diameter calculated from the volume of the particle or
its surface area (Heywood, 1963). Particles having similar
shapes may be compared for size by microscopic examination
or sieving; particles with similar hydrodynamic properties by
sedimentation or elutriation and particles with similar
porosities and surface characteristics by gas permeability or
934
gas adsorption. The size ranges covered by some of these
different methods are indicated in Table 19.4.
Table 19.4 Size ranges covered by different methods for

measuring particle size
Method Useful range (μm)

Sieving Above 33
Optical microscopy 0.2–100
Electron microscopy 0.005–1
Sedimentation and elutriation 2–50
Gas permeability 5–100
Gas adsorption 0.005–20
Coulter counters 1–100
Microscopy
A representative portion of the powder is placed in a glass

slide and viewed through a microscope. The images are
compared with reference circles of known size inscribed on a
graticule and in this way the relative number of particles of
each size present in the sample may be determined. In most
powders the frequency of occurrence of particles increases
rapidly as their size diminishes and it is therefore necessary to
measure large numbers of particles—200 to 300—to ensure a
representative count. The actual procedure to be adopted has
now been standardized and is described in British Standards,
the standard graticule being illustrated in Fig. 19.8.
935
Fig. 19.8 Diagrammatic standard graticule (approximately to
scale).
The percentage by weight of particles in each size range, i.e.

between consecutively numbered circles on the graticule, is
denoted qr, thus:
where Nr is the number of particles of this size per unit area

of the graticule, dr is their mean diameter and the symbol Σ
denotes the summation of all the products of
.
936
In cases where the powder contains particles of irregular,
nonspherical shape, double image microscopy is useful. The
microscope is fitted with a beam splitting device (Timbrell,
1959), which is situated between the objective lens and the
eyepiece. This forms two identical images of any particular
particle which is in the field of view. The images are brought
into edge to edge contact along different diameters, as
illustrated in Fig. 19.9 and the length of each diameter d1, d2
and d3 is obtained in turn by reading off the shear that has
been applied to the beam splitting device to get the two
images into edge to edge contact.
Fig. 19.9 Beam-splitting device.
Sedimentation Method
This is based on the measurement of the rate at which

particles of the powder settle out from a liquid in which they
have been dispersed. The technique is widely employed and
can be extended down to sizes of about 0.5μm under special
circumstances by using a centrifuge to accelerate the
settlement.
In the incremental method (British Standards, 1963) the
powder is suitably dispersed in the liquid contained in a tall
vessel, as shown in Fig. 19.10. Ten ml samples are withdrawn
937
at predetermined times from a known depth below the surface
and the weight of powder present in each sample is
determined either by evaporating the liquid and weighing the
residue, or by some suitable assay method.
Fig. 19.10 Andreasen apparatus.
In order to calculate the range of particle sizes present in each

sample, use is made of Stokes’ law. This applies strictly only
to dilute dispersions where the concentration of solid is less
than 2 per cent (w/w).
938
This can be written as:
where V is the velocity of fall of a particle, h is the depth in

cm below the surface from which the sample is withdrawn
after t s, d is the diameter of the particle in cm, ρ is the density
of
the material in g per ml, ρ′ is the density of the liquid in g per
ml, g is the gravitational constant 981cm s−2, η is the
viscosity of the liquid in poise.
Knowing all the terms in this equation, d, the diameter of the
largest particles present at the depth h cm after t s can be
calculated and this sets the upper limit of size in each 10-ml
sample of liquid that has been withdrawn.
For the calculation it is convenient to write:
where η and t are now expressed in centipoise and minute,

respectively.
The cumulative percentage W of material smaller than size d
is given by:
939
where w is the weight of the solid in the withdrawn sample, V
is the total volume of the sedimentation vessel (usually about
1 litre), Ws is the weight of the withdrawn sample (usually
about 10g), Vρ is the volume of the pipette in ml, and is
plotted against particle size to give a cumulative distribution
curve in the usual way.
The cumulative method of sedimentation analysis is carried
out with a sedimentation balance (Stairmand, 1947).
As before, the powder is uniformly dispersed in a liquid but
now a continuous record is kept of the weight that settles on a
balance pan which is immersed in the liquid column. For the
purpose of computation:
where w is the weight of particles that settle in time (seconds)

and W is the fraction by weight of particles greater than a
particular diameter in microns, which is calculated by Stokes’
law from a knowledge of the height of the suspension above
the balance him, the density of the particles and the density
and viscosity of the medium. For accurate results it is
necessary to observe a number of precautions when using a
sedimentation balance. These include ensuring its freedom
from vibration, accurate temperature control to eliminate
convection currents and the employment only of dilute
suspensions less than about 2 per cent w/w.
Gas Permeability
The gas permeability of a powder provides a measure of its

surface area and if it is assumed that the particles are all of
940
equal size and spherical in shape, then their mean diameter
can be evaluated.
In the Lea and Nurse method (Orr & Dallavalle, 1959), dry
air is forced at constant pressure through a bed of the powder
under investigation. In the Rigden method, which has been
adapted from it, air is allowed to escape from a reservoir
through the powder bed and the time for the pressure to fall
from one specified level to another is measured.
The Rigden apparatus is shown schematically in Fig. 19.11.
The two ends of the cell E containing the powder are
connected to the two ends of a U tube containing a
nonvolatile oil. The equilibrium level of the oil is at C. The
oil is sucked into one arm Y of the manometer by means of
the bulb F and as it returns to the equilibrium level, it forces
air through the powder bed, The time taken for a given
volume of oil to travel between the starting line to mark A or
B on the manometer is measured and the specific surface is
calculated from the Kozeny equation, This can be written:
where S is the specific surface in cm2g−l, ε is the porosity, A

is the cross-sectional area of the powder bed, η is the gas
viscosity in poise, L is the length of the powder bed, β is the
atmospheric pressure in cm of liquid of density ρg cm−3, g is
the gravitational constant in cm s−2, V is the volume of the
reservoir, h2 is the final reservoir pressure in cm of liquid, h1
is the initial reservoir pressure in cm of liquid, d is the density
of the powder sample in g cm−3, t is the time in s for the air
pressure to fall from h1 to h2.
941
Fig. 19.11 Rigden apparatus (schematic).
For a given apparatus and porosity the equation reduces to:
where K is a constant.
A convenient, semiautomatic piece of equipment employing
the same principle, is the Fisher subsieve sizer in which air at
a constant pressure is forced through the powder bed. The
pressure drop is read off from a water manometer and by
means of a calculator chart is converted into an average value
of particle size.
942
Gas Adsorption
The amount of gas that will be adsorbed by a powder also

provides a means of determining its total surface area, and
this type of measurement is conveniently carried out with the
Perkin–Elmer shell sorptometer (Fig. 19.12). Basically the
apparatus consists of two valves for controlling the flow of
nitrogen and helium gas.
Fig. 19.12 Perkin–Elmer sorptometer.
These flow through a cold trap then through the reference arm
of a detector unit, then through an adsorption tube containing
a known weight of the sample which has previously been
freed from adsorbed gas by subjecting it to a high vacuum,
and finally through the measuring arm of the detector. The
amount of nitrogen adsorbed by the powder at a series of
different partial pressures of nitrogen is obtained by
continually measuring the thermal conductivity of the
emergent gas stream, and the surface area per g of the sample,
is then obtained from the BET equation.
943
Coulter Counter
This apparatus is coming increasingly into use in pharmacy

for determining the particle size of powders (Edmundson,
1967) and depends on the ability to prepare a suspension of
the sample free from floccules or aggregates. The suspension
is made up in a suitable electrolyte solution, e.g. NaCl, and is
then drawn through a small orifice, having an electrode on
each side, Fig. 19.13. As each particle passes through, it
displaces its own volume of electrolyte within the orifice and
momentarily increases its electrical resistance. The resulting
voltage pulses are proportional to the particle volume; they
are amplified, scaled and counted and yield a particle size
distribution curve extending, under ideal circumstances, down
to about 0.2μm. On the whole the results agree fairly well
with those obtained by sedimentation. But on occasions there
can be considerable discrepancies with the microscopic
results. This is probably due to the difficulty encounted in
some cases in achieving complete dispersion of the particles.
944
Fig. 19.13 Coulter counter.
Particle Shape
Even to describe a moderately irregularly shaped body in

exact mathematical terms is a matter of great complexity and
in practice it is more usual to simplify the procedure by
assuming that all particles can be considered as ellipsoids,
whose axes are al > a2 and a3 such that al > a2 > a3. The ratio
a1/a2 is defined as the elongation ratio and a2/a3 as the
flatness ratio. If a1 is similar to a2 and a2 a3, the elongation
ratio is about unity, the flatness ratio is large and the particle
is described as disc shaped. If a1 a2 and a2 is similar to a3,
the elongation ratio is large, the flatness ratio is about unity
and the particle is described as acicular (needle-shaped). If a1
945
a2 a3, then both the flatness and the elongation ratios are
large and the particle is described as ribbon shaped
(Neumann, 1967).
A more refined way of defining shape (Heywood, 1963) is to
include in these ratios a term which also takes into account
the geometrical form, e.g. a prism, ellipsoid, tetrahedron, to
which the particle most closely approximates, but even this
procedure breaks down in the case of complex shaped
particles, for example, those containing bends, re-entrant
angles or cavities.
In order to specify the ‘shape’ of a powder, it is necessary to
examine a large and representative number of particles,
usually under the microscope, and calculate an average value
for the
elongation and flatness ratios. Alternatively, the shape may be
defined simply as the ratio of the average particle diameter, as
determined in some direct way, like sieving or microscopy, to
the average particle diameter determined in an indirect way
like sedimentation or gas permeability. Each pair of methods
will give rise to a different shape factor.
The shape of particles is often affected by the method
employed for preparing them. Spray dried products; for
example, tend to be spherical in shape, as do micronized
products. The angularity of products seems to increase with
the type of mill used for reducing them to powder form in the
order micronizer, ball mill, pin mill and hammer mill (Rose,
1961).
As in the case of particle sizes, the shapes of particles have an
important influence on certain of their properties which are
relevant in pharmaceutical practice. In the dry state, irregular
particles tend to be less free flowing than spherical particles,
but may be able to pack together more closely giving a higher
bulk density. The rheological properties of pharmaceutical
946
suspensions are also affected by the shapes of the particles
that they contain.
Handling Properties
Sliding and Flow
With the increasing employment of materials in powder form,

not only in pharmacy, but also in many other branches of
technology, it has become necessary to examine what, for a
better term may be designated the handling properties of
powders. This means the way in which powders slide in pipes
or chutes, pack down when stored in silos, flow from hoppers
and form into heaps when tipped or dumped. Pharmacists
have long recognized that some powders are inherently more
cohesive than others, that fine’ grade griseofulvin, for
example, is less free flowing than spray dried lactose, so that
it cannot be sieved through a 30μm sieve even when its
individual particles, as measured by gas adsorption or
sedimentation, may be as small as 5μm.
If one separates a powder or granular mass into its different
sizes and then measures the rate at which these flow through a
particular size of orifice, one finds that a graph can be plotted
between flow rate and particle size, as shown schematically in
Fig. 19.14.
947
Fig. 19.14 Flow rate versus particle size.
There are two regions where the orifice blocks, one where the
particle diameter exceeds about one fifth of the diameter of
the orifice, the other at the very small particle size, below
about 100μm. Here they form into a dome over the orifice,
rather like bricks over a doorway.
This sort of behaviour is characteristic of virtually all
materials, though the position and height of the, maximum in
the curve, and the position where blocking occurs, vary from
one material to another, being dependent on such properties
as the density, shape, roughness of the particles concerned.
It is convenient to label material that will pass through an
orifice as free flowing, but material which will not, even
though its particles are very much smaller than the orifice, as
cohesive. A number of techniques are available for studying
powders in both the free flowing and in the cohesive size
range.
Methods for Free Flowing Powders and Granules
948
1 The angle of friction α may be defined as the angle to which
a particular surface must be elevated from the horizontal
before the powder begins to slide upon it. It is measured
conveniently by placing the material on a chute, which is
pivoted at one end and raised at the other by means of a
screw. Clearly the value obtained for a will depend on the
roughness of the surface. But it also depends on the thickness
of the powder bed. In general, the thicker the bed and the
more it has been packed down during preparation the greater
the value of α (Jones & Pilpel, 1966).
2 The so-called angle of repose of a powder, θ, is the angle of
elevation to the horizontal at which the powder commences to
slide upon itself. Numerous methods have been devised for
measuring it (Pilpel, 1965; Neumann, 1967). Thus the powder
may be allowed to flow out of a funnel to form a conical heap
and θ calculated from the base radius r and hypotenuse h of
the cone by substituting into the expression: cos θ = r/h.
Alternatively, the cone may be formed by placing an
open-ended cylinder on a base of the same radius, filling it
with powder and then raising it slowly to leave a conical heap
behind. Both these methods yield a so-called
three-dimensional angle of repose. The two-dimensional
angle of repose can be obtained with similar equipment to that
used for the angle of friction, but noting this time the angle of
elevation when the surface layer of powder begins to slide on
the rest of the bed. For this purpose it is clearly necessary to
use a chute with a rough surface to prevent the whole powder
bed sliding off it.
The angle of repose varies within about ± 2° depending on the
experimental method employed; other factors affecting its
value are the since of the particles in the powder, their shape
and roughness. The angle decreases fairly regularly with
949
particle size in the range 200–2000μm and can be expressed
by:
where A and B are constants for any particular material and

DP is the particle size concerned.
The presence of fines, additives and moisture can produce
considerable changes in the value of the angle of repose and
for this reason its measurement is usefully employed as a
means of monitoring the quality of powders being produced
in batch or in continuous processes. For example, if one
observes an increase in the angle of repose, the powder may
have become damp or may now contain an increased
proportion of fine sizes.
3 The most direct method for free flowing powders is simply
to measure the rate at which they emerge through the orifice
of a suitable container or hopper. A large number of
investigations of this type have been reported (Pilpel, 1965;
Neumann, 1967). One rather unexpected finding is that
whereas the rate of flow of a liquid through an orifice is
directly proportional to the head of liquid, in the case of a
powder, the head height has practically no effect on the rate.
This arises in part because of the complex movement of the
powder in the immediate vicinity of the orifice, as shown in
Fig. 19.15.
950
Fig. 19.15 Flow contours in a hopper (schematic).
Outside the trumpet-shaped region above the hole, denoted E,

the powder is at rest. In region A the particles are sliding
rapidly over region B, which in turn is sliding slowly over
region E. Particles from A and B slide into C down slopes
which are inclined to the horizontal at angles greater than the
angle of repose and then move rapidly downwards and
inwards into D. Once in D they accelerate and emerge in a
stream which is noticeably narrower than the orifice. This
phenomenon is referred to as the vena contracta.
The most important single factor controlling the rate at which
a powder emerges from a circular horizontal orifice appears to
be the orifice diameter Do and one can therefore write:
951
where W is the flow rate in g/s, Do is the orifice diameter in
cm and n is a numerical term, which for many materials lies
between 2.5 and 3.2. Other factors controlling the flow rate
include the particle shape, size, density and roughness and the
geometry of the containing vessel. The equation:
where A and 1/n are functions of these factors and g is the

acceleration due to gravity, has been successfully used for
predicting the flow rate of different materials, not only when
they have been sieved into close size cuts, but also when they
contain a range of sizes in the free flowing region, In this case
one employs a geometrical mean particle diameter for the
purpose of evaluating the terms A and 1/n (Jones & Pilpel,
1966). Some typical figures illustrating the agreement
between flow rates as measured and those predicted from the
equation are shown in Table 19.5.
Table 19.5 Ternary mixtures of magnesia granules
952
Methods for Cohesive Powders
The problem of expressing in quantitative terms the handling

properties of nonfree flowing materials is more difficult and
has recently been reviewed in detail (Pilpel, 1971). One
earlier technique (Hawksley, 1947) is to mix into the powder
coarser particles of sand until the mixture just starts to flow
through a particular size hole and use the amount of sand
required as a measure of the cohesiveness of the powder but
the method is not very sensitive.
The split plate method (Dawes, 1952) involves dredging the
powder to form a loose bed on a split, roughened flat surface,
one half of which runs on ball bearings. On slowly tilting, the
bed separates and if one knows the cross-sectional area of the
bed A and the mass of it in the half that has separated, m, then
the tensile strength is given by:
β being the angle of tilt that has caused the bed to separate.
953
From both the theoretical and the practical point of view,
probably the most satisfactory method for measuring the
cohesiveness of fine pharmaceutical powders is the shear box
method (Jenike, 1961; Ashton et al., 1965). The apparatus
Fig. 19.16 consists of a cylindrical brass cell which is divided
horizontally into a base section, a centre section and a
moulding ring, the three being aligned and held in position
while filling with powder by means of three vertical pins.
Fig. 19.16 Jenike shear cell—schematic arrangements for

consolidation and shearing, respectively.
The base section can be moved along steel rails by a

motor-driven shaft at a constant speed of 1.25mm per min and
this causes the centre section of the cell to bear against a
device which records the shear stress.
Having filled the cell with powder and established the number
of twists that must be applied to the lid correctly to
consolidate the specimen, the tests consist of applying various
normal loads to the lid and measuring the shear stress needed
to split the bed horizontally. The results are plotted as shown
954
in Fig. 19.17 to give a series of yield loci, each appropriate to
the value of the bulk density achieved during the initial
consolidation of the specimen. The slope of the yield locus is
the internal angle of friction of the powder and its intercept on
the ordinate is its cohesiveness.
Fig. 19.17 Yield loci at different bulk densities.
Data of this type are useful for predicting the way in which
pharmaceutical powders are likely to behave during
manufacture and during such processing operations as
transportation, sieving, granulation, storage and tabletting. A
highly cohesive powder tends to compact on storage, flow
with difficulty and thus cause blocking of pipes and orifices.
It tends to be difficult to sieve in to fine fractions as it balls up
on the sieve mesh. It may also prove difficult to mix in the
dry state with excipients and other ingredients as the first
stage in compressing into tablets or filling capsules.
955
Mixing of Powders and Particulate Solids
Because of its antiquity and apparent simplicity, it was for a

long time assumed that the subject of mixing and blending
powders did not require scientific study. But in the last few
decades serious limitations in the empirical approach have
become apparent as a result of the increased speed of
industrial operations and the increased degree of automation
in many pharmaceutical firms.
Mixing is one of the commonest pharmaceutical operations
and occurs in the preparation of many types of formulations.
The simplest examples are compounded powders
administered as such, e.g. ipecacuanha and opium powder.
These may contain natural drugs and medicinal chemicals in
varying proportions according to their respective potencies.
Mixing is also an intermediate stage in most tablet making
processes.
The ease with which different substances will blend to a
reasonably homogeneous whole varies considerably, being
dependent on various physical properties of the individual
components and on their relative proportions. Obviously it is
easier to mix equal weights of two powders of similar
fineness and density than to incorporate a small proportion of
a fine powder in a large mass of a coarse, denser material.
Apart from density and particle size, the stickiness of the
additive is also important and it may require prolonged
mixing effectively to distribute lubricants, wetting agents,
etc., into tablet granules.
Mixing is sometimes achieved by feeding two or more
materials simultaneously to a mill, if both require grinding. In
other cases mixing is accomplished by kneading, and the
equipment modified accordingly. In pharmaceutical
956
operations, mixing is usually a batch wise process, although a
batch may be as large as 1 tonne. Equipment for continuous
mixing is available from the food and other industries, but has
only recently been used in pharmacy.
The simplest mixing machines are adapted from the old
manual method of heaping materials on the ground and then
repeatedly cutting and piling them. One method suitable for
materials the granular or crystalline structure of which might
be damaged by more vigorous agitation is the tumbling barrel.
It comprises a box or drum in which the powders are mixed
by slow rotation. A very simple method of mixing is to place
the drum on rollers so that the ingredients within perpetually
cascade over one another. Large bulks of mixed powders and
powdered drugs, e.g. nux vomica, jalap, etc., which need to
be sampled for assay and adjustment of strength, must be
thoroughly mixed if the samples taken are to be
representative. For quantities of powder of 500kg or more
mixing drums of the type illustrated in Fig. 19.18 are used.
957
Fig. 19.18 Drum mixer (Manesty Machines Ltd.).
A more efficient design is that of the double cone blender,

which is a shallow drum with conical ends which is rotated so
that the powder flows from one cone to the other. A further
advance on this design in the Y cone blender in which one
end is conical, while the other consists of two cylindrical
‘legs’. As the blender rotates, the moving mass of powder is
continually divided and recombined while entering and
leaving the ‘legs’. Conical blenders are made in stainless steel
or in transparent plastic, the smaller models take a charge of
about 20kg and rotate at 35 rev per min and the larger ones a
charge of about 1 tonne, rotating at about 15 rev per min.
958
For quite a range of pharmaceutical products, particularly
those containing cohesive ingredients which tend to ball up
into aggregates or ingredients which, as a result of their
differing flow properties, tend to segregate or demix, agitation
mixers are generally more satisfactory than tumbling mixers.
They consist essentially of a stationary shell with a horizontal
or vertical agitator moving inside it. The agitator may take the
form of blades, paddles or a screw.
The preliminary mixing of stiff pastes, such as toothpastes
requires slow speed mixers which must be very robust to
overcome the friction due to the viscosity of the mixture. The
mixer in Fig. 19.19 is a typical example, where two ‘Z’ blades
of polished steel revolve in opposite directions and at
different speeds to each other resulting in efficient kneading
of the paste.
Fig. 19.19 Stainless steel ‘Z’ blade mixer (Courtesy: AARON

Process).
959
A recent development in powder mixing is the employment of
compressed air or fluidization. The substances to be mixed
are introduced through a weight or volume dosimeter into a
conical vessel, fitted at the bottom with a distributor, through
which compressed air is introduced (Anon, 1966). Air
emerging from the distributor at a speed of several hundreds
metre per second, causes the powder or granules to spiral
upwards. Considerable turbulence occurs in the outer region
of each spiral and this is responsible for the mixing action.
Air mixers are fabricated in capacities up to about 50m3 and
achieve their action in a matter of a few minutes, in
comparison with up to several hours in more conventional
machines. On the other hand, such mixers are not very
suitable for sticky or cohesive powders, for very dense
substances or for mixtures which contain ingredients having
substantially different densities, which cause them to
segregate.
Ideally, perfect mixing could be said to have occurred when
each particle of one material was lying as nearly adjacent as
possible to a particle of another material. But in practice a
convenient definition of the degree of mixing of a powder is
its standard deviation σ. For a mixture of two components this
can be defined by:
where x and y are the proportions of the minor and major

constituents and N is the number of particles in the sample
taken. Mixing of pharmaceutical powders should be
continued
960
until the amount of the active drug that is required in a dose is
within ± 3 SD of that found by assay in a representative
number of sample doses. To achieve this it is clearly
necessary to make N large by milling the ingredients to a
sufficient degree of fineness (Train, 1960).
Granulation of Powders
In pharmaceutical practice, two main methods are used for

preparing tablets from powders which, in their original state,
are neither free flowing nor compressible. These are slugging
and wet granulation. Quite recently fluidized bed methods
have also been described. (See also Chapter 21.)
Slugging involves strongly compressing the powder between
rollers and then breaking it up. The resulting granules are fed
into a tabletting machine and because of the double
compression to which they have been subjected, now produce
satisfactory tablets.
Wet granulation can be done in several ways (Rumpf, 1962).
The drug, binder, excipients, etc., are mixed together with
sufficient water to produce a dough and this is then pressed
through a sieve mesh, either mechanically, or by hand.
Alternatively, the dough may be extruded through a multiple
spout extruder or ‘mincing’ machine. After drying, the
granules are lightly shaken on a B.S. No. 22 sieve, to free
them from adhering fine material that may still be present.
The Apex and similar mills, e.g. the Fitzmill, which have
already been described in connection with comminution of
solids, can also be applied to the granulation of powders by
feeding in the materials as a dough and using a slow operating
speed and a coarse grade of mesh during the breaking
process.
961
Another method of granulation by spray drying is to form the
powder into a slurry with water and then spray it downwards
against a rising current of hot air in the form of fine droplets.
The water evaporates and one is left with rounded, light and
porous granules which, when made in this way, generally
flow freely. They have a minimal tendency to block the
hopper or clog the dies of multipunch tablet making machines
(Reff et al., 1961).
Recently a bowl method has been developed for granulating
pharmaceutical powders which, though still in the
development stage, has commercial potentialities. The
materials to be granulated are placed in a large copper or
stainless steel bowl, which is mounted on the shaft of a
driving motor and tilted at an angle of about 30° to the
horizontal. They are made to tumble by revolving the bowl at
a speed of about 30 rev per min at the same time spraying in a
fine mist of water, or a dilute solution of a suitable binder,
such as polyvinyl pyrrolidone or gum. As the powder
becomes moist, the particles start to agglomerate and by
correctly choosing the speed of rotation, the amount of liquid,
and the processing time, they can be made to grow up to any
desired size. (In some cases, tumbling of the powder needs to
be assisted by fitting shallow baffles in the interior of the
bowl.) A stream of warm air is then directed into the bowl,
which dries off the granules and the final drying is done by
spreading them on flat trays in an oven and heating at about
80°.
Granules prepared by this method are generally smoother and
more uniformly spherical than those obtained by the other
methods that have already been described.
It is appropriate to conclude this chapter by referring briefly
to one or two other aspects of powder science that are
962
relevant in the practice of pharmacy, in the context of the
handling properties of powders.
Transport
The transport of materials in bulk by pneumatic methods,

employing air slides and pipelines, is coming into increasing
use because of its obvious advantages over the conventional
method of carrying in sacks, cartons or other containers.
Losses due to spillages or torn containers are reduced,
contamination and dust formation are minimized and savings
can be achieved by reduced labour costs and the lower freight
rates that apply to the transport of materials in bulk.
An air slide consists of a chute with a porous metal base
through which air is passed at about 1lb/in2 (0.07kg/cm2) and
5ft (1.5m)/min. This partly fluidizes a fine powder, reducing
its angle of friction very nearly to zero so that it can flow
down the slide even when this is almost horizontal. In this
way, the powder can be transported a long distance
horizontally.
In a pneumatic pipeline system on the other hand, a high
velocity stream of air is passed through the conveying line
and the powdered materials are fed into it from storage
hoppers or from mechanical conveyors, being delivered into
the appropriate receptacles which are vented to the
atmosphere through suitable dust filtration equipment.
For the design and satisfactory operation of pneumatic
conveying systems, it is necessary to know a good deal about
such properties of a powder as its density, particle size
distribution, cohesiveness, angles of friction and repose, and
fluidization characteristics. The same properties are clearly of
relevance to the pharmacist in the formulation of powdered
963
insufflations, where the patient has to inhale a fine powder
directly into the lungs.
Dust Control
The control of dust is an important aspect of modern

pharmaceutical practice, not only for the purpose of
maintaining the sterility of products, but also for preventing
the loss and widespread dissemination into the air of
powdered drugs, which might have an adverse effect on the
health of factory workers and other members of the
community. Dust is a potential hazard as a source of
explosions and fires and in reports from the Chief Inspector of
Factories, starch and dextrin dusts, in particular, have been
mentioned as dangerous in this respect.
The main methods used for controlling dust in the
pharmaceutical industry are filtration, inertial separation and
electrostatic precipitation (Green & Lane, 1957; Hammond,
1958).
In filtration, air which contains dust is sucked or blown
through some suitable material whose pores are sufficiently
small to retain the particles of solid. Materials used for the
purpose include paper, felt, wool, cotton wool and nylon.
Filters often take the form of pads or panels fitted to the walls
and windows of buildings. But there is also a large variety of
filter bags, stockings and cabinets, etc., which can be attached
to particular machines where dust is being produced, thereby
preventing it from escaping into the atmosphere.
Inertial separators are exemplified by cyclones, in which air is
caused to spiral through a coneshaped vessel. Due to
centrifugal force, any particles of dust that it contains are
thrown outwards to the walls of the cyclone and then slide
964
down to a hopper from which they can be subsequently
withdrawn.
Cyclones are particularly suitable for attaching to machines in
which large amounts of dust are being produced; they form an
integral part of the design of certain mills and mixers.
Finally, electrostatic precipitators consist of a number of
earthed tubes between which are stretched fine metal wires
charged to several thousands of volts d.c. The high potential
difference between the tubes and the wires ionizes any
particles of dust that are being carried by air streaming over
the precipitator and the dust is deposited on metal plates from
which it is collected periodically.
References
Anon. Br. Chem., Engng. 1966;11:725.

Ashton MD, Cheng DC, Farley R. Rheol. Acta. 1965;4:206.
Badger WL, Banchero JT. Introduction to Chemical
Engineering. London: McGraw Hill; 1955.
Bickle. W.H. (1961) Society of Chemical Industry
Monograph. No. 14. London.
British Standards (1963) 3406. Parts 2 and 4.
British Standards (1969) 410.
Carey WF, Stairmand CJ. Recent Developments in Mineral
Dressing 117. London: Institute of Mining & Metallurgy;
1953.
Cremer HW, Davies T, eds. Chemical Engineering
Practice.1–9. London: Butterworths; 1957.
Dawes JG. Safety in Mines. 1952. Research Establishment
Report, No. 36
Dobie WB. Recent Developments in Mineral Dressing.
London: Institute of Mining & Metallurgy; 1952.
965
Dotson JM. Ind. Engng Chem. 1962;54:62.
Dunning, W.J. (1961) Society of Chemical Industry
Monograph, No. 14, 29. London.
Edmundson IC. In: Beckett, Bean, Carless, eds. Advances in
Pharmaceutical Sciences.2. London: Academic Press;
1967:95.
Goodridge AM, Badzoick S, Hawksley PGW. J. Sci. Instrum.
1962;39:12.
Green HL, Lane WR. Particulate Clouds Dusts Mists and
Smokes. London: E. & F.N. Spoil; 1957.
Hammond R. Separation and Purification of Materials.
London: Heywood; 1958.
Hawksley. P.G.W. (1947) Institute of Fuel. Conference on
Pulverized Coal, p. 656. London.
Herdan G., et al. Small Particle Statistics. London:
Butterworths; 1960.
Heywood H. J. Pharm. Pharmacol. 1963;15:56T.
Hukki RT. Br. Chem. Engng. 1959;4:446.
Indian Phaomacopocia (2007).
Jenike AW. Bulletin. U.S.A.: Engineering Experimental
Station University of Utah; 1961. No. 108
Jones TM, Pilpel N. J. Pharm. Pharmacol. 1966;18:429.
182S
Neuman ACC, Axon A. Society of Chemical Industry
Monograph. 1961.291. No. 14
Neumann B. In: Beckett, Bean, Carless, eds. Advances in
Pharmaceutical Sciences.2. London: Academic Press; 1967.
Orr C, Dallavalle JM. Fine Particle Measurement. London:
Macmillan; 1959.
Pilpel N. Chem. Proc. Engng. 1965;46:167.
Pilpel N. In: Beckett, Bean, Carless, eds. Advances in
Pharmaceutical Sciences.3. London: Academic Press; 1971.
966
Raff AM, Robinson MJ, Svedres EV. J. Am. Pharm. Ass.
1961;50:76.
Riley RV. Chem. Process Engng. 1965;46:189.
Rose HE. Society of Chemical Industry Monograph.
1961.130. No. 14
Rose HE, Sullivan RME. Vibration Mills and Vibration
Milling. London: Constable; 1961.
Rumpf H. Agglomeration. London: Interscience; 1962.
Stairmand CJ. Suppl. Trans. Inst. Chem. Engs. 1947;25:131.
Timbrell V. Lab. Pract. 1959;8:66.
Train D. Pharmac. 1960.129. 6th August
967
Chapter 20
Coarse Dispersion
Biphasic preparations involving a dispersed phase and a
dispersion medium are necessitated because many drugs,
solid and liquid, are either insoluble in or immiscible with
water, which is almost always a vehicle. They probably
present the biggest problem to dosage form formulation of the
modern age because the present-day parameters required to
assess their stability, acceptability, elegance and efficacy are
much more rigid and involved than what they were in the
past. The preparation and presentation of such drugs in forms
in which they can be used or taken calls for newer
understanding and manipulated skill on the part of industrial
pharmacist because the application of physicochemical
principles to facts relating to properties of biphasic systems
have brought to the fore many new facts and ideas. Generally,
two-phase liquid dosage forms include emulsion and
suspension.
Emulsions
An emulsion has been defined by Becher (1965) as a
heterogeneous system, consisting of at least one immiscible
liquid dispersed in another in the form of droplets whose
diameters, in general, exceed 0.1μm. Such systems possess a
minimal stability, which may be accentuated by such
additives as surface-active agents, finely-divided solids, etc.
The liquid droplets, generally known as the emulsion
globules, form the disperse phase (or internal phase) while
968
the liquid in which they are dispersed is known as the
continuous phase (or external phase). If oil globules are
dispersed in water, the system is called an oil-in-water (o/w)
emulsion; conversely, the dispersion of water in oil produces
water-in-oil (w/o) emulsion. The ratio of internal phase
volume to the total volume is known as the phase volume or
the phase volume ratio.
It is not necessary to have an oil or indeed water to form an
emulsion. When a coacervate (Kruyt, 1949) first separates it
does so in the form of colloid-rich globules. Conversely, both
phases may be nonaqueous. Occasionally, a multiple emulsion
can be formed as when minute oil globules are dispersed in
the water globules of a w/o emulsion: this might then be
described as an o/w/o emulsion.
Globule sizes can vary enormously but are generally in the
range 0.25–25μm diameter. Emulsions with predominantly
large globules are sometimes referred to as coarse emulsions
while those with globules of mean diameter below about 5μm
are considered to be fine emulsions. Even finer emulsions can
sometimes be formed with globule diameters as small as
10nm; these are known as microemulsions. Unlike ordinary
emulsions which are generally ‘milky’, microemulsions may
be transparent having globules only a little larger than
micelles.
Except with some microemulsions, emulsification is generally
not spontaneous and certainly not in the thermodynamic
sense, and energy must be supplied in order to increase the
interfacial area between the phases. Considering a 1cm
diameter globule of liquid paraffin in water with an interfacial
energy (γow) of 55mJ m–2, the interfacial energy is:
Interfacial area × energy per unit area
969
If this globule is broken into globules of 10μm diameter then:
and the interfacial energy is then:
requiring an energy input of 17.28–0.017 = 17.26mJ.

Reduction of globule size to 1μm diameter would have
required an energy input of 172.8mJ or almost 330mJ for
each ml of liquid paraffin emulsified. Much less expenditure
of energy is required if the interfacial energy is decreased by
the addition of surface-active agents to, say, 1mJ m–2 when
only 330/55 = 6mJ would be needed for each ml of oil in
order to make a fine emulsion (assuming, highly
unrealistically, 100 per cent efficiency of the mechanical
process!).
The mechanical disruption of the disperse phase may be
achieved by shaking or stirring if γow is very small, otherwise
some kind of machine is required. Nonvigorous agitation
generally leads to polydisperse globules with a wide range of
sizes, so that the emulsion frequently needs further and more
vigorous treatment in a homogenizer. Homogenization can be
achieved by forcing the crude emulsion through a narrow
970
orifice under high pressure, which produces extremely large
shearing forces causing the globules to be strung out into high
speed liquid jets which are ruptured into minute globules by
the action of the interfacial tension on the perturbations.
Colloid mills are also used. Alternatively, a fine emulsion can
be achieved by means of an ultrasonic dispersator. Propellor
mixers and shrouded turbines are favourite instruments on a
small scale while the pestle and mortar may suffice for
extemporaneous dispensing. Some emulsifying equipment is
described at the end of this chapter.
Since there is a positive interfacial tension between the
internal and external phases, emulsions are
thermodynamically unstable. Collision of unprotected
globules will very probably result in their coalescence,
thereby producing a rapid coarsening of the emulsion. This
process is known as breaking or cracking. It follows that
some barrier to coalescence is needed and this is achieved by
the use of emulsifying agents otherwise known as emulgents.
Emulsifying Agents
There are basically three classes of these:

1. amphipaths such as soaps, long-chain amines and alcohols,
2. hydrophilic colloids such as acacia, sodium alginate,
gelatin and methylcellulose and
3. finely-divided solids such as magnesium and aluminium
hydroxide and bentonite.
All are surface-active in that they tend to congregate at an
oil–water interface, but a marked lowering of γow is found
mainly with amphipaths whereas hydrophilic colloids
generally produce only a moderate lowering. The mechanism
971
of adsorption of the latter has been discussed in Chapter 4
while that of fine particles is dealt with here.
The surface-activity and emulsifying power of single oil and
water-soluble surfactants and blends of these have been
classified semiempirically by Griffin (1949, 1954) in terms of
the hydrophile–lipophile balance (HLB). This has been
discussed by Becher (1965) and by Sherman (1968). HLB
numbers may be determined experimentally or calculated in a
manner similar to the parachor (see Chapter 5), and afford a
means of blending surfactants so as to achieve a desired type
of emulsion.
Oil soluble amphipaths have low HLB values whereas
water-soluble ones have high values. Thus sorbitan
mono-oleate has a value of 43 while polyoxyethylene sorbitan
mono-oleate has a value between 10 and 15 depending upon
the length of the oxyethylene chain. Blending of these
amphipaths gives an HLB of intermediate value. For an o/w
emulsion, an HLB value within the approximate range 8–18 is
required, while within the range 3–6 a w/o emulsion would be
produced. The HLB value of an individual surfactant is
correlated with its dielectric constant and, for o/w emulsions,
the more polar the oil, the more polar must be the emulgent.
This means that the more polar oils need emulgent blends of
higher HLB value. In connection with this, it is worth noting
that the spreading coefficients of an oil on aqueous solutions
of various surfactants, or of water on solutions in oil, have
been correlated with the HLB value.
Preparation and Properties of Emulsions
In the labelling of medicines the term ‘emulsion’ is generally

restricted to o/w emulsions intended for oral use, but it does
972
in fact cover all aspects of the dispersion of one immiscible
liquid in another and so includes creams and some lotions,
liniments and applications.
o/w Emulsions Containing Amphipaths
Reference was made in Chapter 5 to the work of Schulman

and Cockbain who demonstrated that molecular association
between an oil-soluble and a water-soluble surfactant was
necessary for good emulsion stability and that stability of the
film is a prerequisite for emulsion stability. These workers
concluded that this stability was conferred by a charged
liquid-condensed monolayer at the oil globule–water
interface. Since strength and compactness of the interfacial
film seemed important, ‘complex’ formation was considered
necessary (Chapter 5). This condition is achieved using
mixtures of the anionic surfactant sodium lauryl sulphate with
cetostearyl alcohol (as in aqueous cream) or of cationic
cetrimide with cetostearyl alcohol (as in cetrimide cream).
Since the Helmholtz double layer thickness is less than 10nm
in water, oil globules carrying an appreciable ξ-potential have
an appreciable potential energy barrier to surmount before
they can approach close enough to coalesce (see Chapter 6). It
is possible however for these globules to flocculate in the
secondary minimum and this is commonly observed
especially in concentrated emulsions such as many creams.
Stabilization due to the electrical charge is supplemented by
the Marangoni–Gibbs effect since close approach of two
potentially colliding globules causes deformation of the
opposing faces due to the resistance to ejection of the
intervening medium. The resulting localized increase in
interfacial area causes depletion in monolayer packing with a
973
concomitant increase in interfacial tension so that the
distorted faces act like stretched membranes. The tension
gradient which is produced then rapidly brings monolayer
molecules from behind the globules to fill the weakened gaps
and these molecules drag water with them thus opposing
further thinning of the aqueous lamella between the globules.
Delay in adsorption of more amphipath from the water allows
time for elastic rebound and the globules will then have
survived their encounter (Fig. 20.1).
Fig. 20.1 Elastic collision of mixed amphipath stabilized oil

globules in water (letters indicate time sequence in the
Marangoni–Gibbs effect).
A liquid-condensed monolayer is not necessarily a

prerequisite for good emulsion stability since dilute
monolayers of sodium oleate with oleic acid have been shown
to be effective. Nor is it necessary to use an ionic amphipath
since equally good emulsions can be obtained using the
nonionic surfactant cetomacrogol 1000 with cetostearyl
alcohol (as in cetomacrogol cream). Globules of such an
emulsion may still acquire an appreciable ξ-potential,
presumably by adsorption of contaminant ions and friction
with the aqueous medium. However, entropic stabilization
974
appears to be more important with nonionics (Elworthy &
Florence, 1969).
The three creams mentioned above may be prepared in two
slightly different ways. Commonly the water-soluble and
oil-soluble amphipaths are dissolved in their respective
phases with the aid of gentle heat; the two phases are mixed at
about 60–70° and then stirred gently till cool or passed, with
cooling, through an emulsifier. Alternatively an emulsifying
wax is used which consists of the two amphipaths intimately
mixed by melting and dissolution. This ‘wax’ is melted,
dissolved in the warm oil phase and mixed with the warm
aqueous phase. Emulsification
is then achieved as before since the water-soluble component
rapidly partitions out of the oil.
The consistency of the product and its appearance may be
influenced by the method of preparation. Since the
concentration of water-soluble surfactant is in excess of the
CMC, some of the cetostearyl alcohol partitions into the
aqueous phase to form mixed micelles. Low concentrations of
the alcohols give fluid emulsions but concentrations near or
above the saturation concentration in the oil produce
semisolid creams, i.e. they possess a yield stress (see Chapter
10) and will not flow under their own weight. This bodying
action as it is called is due to gelation of the aqueous phase,
probably as the result of the formation of liquid crystalline
structures (Lachampt, 1970) (see Chapter 5). The viscoelastic
gel network, which forms when the emulsion is first cooled, is
partially disrupted when sheared, resulting in a reduced yield
stress. However there may be some thixotropic recovery.
Evidence so far accumulated suggests that, for a given
amount of oil-soluble component, ionic water-soluble
surfactants produce stiffer creams than an equal molar
concentration of a nonionic one. The consistency however
975
depends largely on the rare of cooling of the cream during
manufacture and on the mechanical dispersion process since
this affects the degree of partitioning of the oil-soluble
component before the structures are ‘frozen’ in position. It is
possible that ionic surfactants behave rather differently from
nonionic ones. Structure build-up is rapid with the former and
occurs during the cooling process whereas structural changes
occur over a period of several hours in cooled nonionic
creams (Barry & Saunders, 1971c). In order to obtain a cream
with a smooth texture, the oil and water-soluble components
should be readily capable of forming a ternary liquid crystal
phase, otherwise granular textured creams may be produced
containing waxy particles in the aqueous phase. These latter
probably arise due to mechanical separation from the oil by
the action of the homogenizer and may result when a low
concentration of water-soluble component is used in
conjunction with a fatty acid instead of an alcohol. Using
cetrimide or cetomacrogol 1000, the optimal chain length of
saturated fatty alcohols for a bodying action is CI4 and C16 or
a mixture of CI6 and C18, but a marked viscoelasticity has
been noted using shorter chain alcohols.
Unsaturated alcohols such as oleyl alcohol have no bodying
action but do permit the production of stable creams.
Increasing the volume of oil (producing a larger phase
volume) has the effect of increasing the viscosity of the
emulsion. This effect is supplemented by raising the
proportion of oil-soluble component.
Details concerning the bodying action of mixed emulsifiers
may be found by reference to the work of Barry, Talman and
their coworkers (cited in Barry & Saunders, 1970–1971a,b,c;
Talman & Rowan, 1970a, b).
Stable emulsions may be produced in which the oil and
water-soluble components are not chemically distinct. Soaps
976
such as soft soap used in Turpentine Liniment partially
hydrolyse so that coadsorption of ionized and unionized
molecules at the o/w interface produces a complex film. The
soap may also be formed in situ (nascent soap method) as
when aqueous ammonia is added to oleic acid–paraffin oil in
the preparation of Ammonia Liniment BPC 1949.
w/o Emulsions Containing Amphipaths
Schulman and Cockbain concluded that loss of charge

together with rigidity in an interfacial monolayer leads to the
formation of an emulsion where the globules are formed from
the aqueous phase. Since an interfacial monolayer has two
sides, one attracted strongly to the water and the other held by
the oil, two different tensions, in effect, are operating and the
film will tend to curve towards the side of greatest tension.
Thus a reduction in water
attracting power, for example by reducing ionization, may
have the effect of causing an o/w emulsion to change or invert
to a w/o emulsion. A similar effect might be expected if the
film becomes more bulky on the oil side as when the carboxyl
groups of two fatty acids are joined by a divalent cation
leaving the two hydrocarbon chains free to move on the oil
side (Fig. 20.2). Thus, shaking the o/w Ammonia Liniment
with a little magnesium chloride causes complete inversion to
a w/o emulsion. During shaking the least abundant phase
would tend to be broken up but in the absence of the
magnesium the aqueous phase globules readily coalesce so
that the stable oil globules accumulate. Upon shaking the
liniment with the magnesium salt, it is the turn of the oil
globules to become unstable while the stabilized water
globules accumulate.
977
Fig. 20.2 Influence of hydrophilic and lipophilic groups on
interfacial curvature. (A) Sodium oleate. Tension low on
water side due to repulsion of ionized groups and ion–dipole
interaction. Result o/w. (B) Sodium oleate plus oleic acid.
Entropic repulsion on oil side predominates since ionization
on water side reduced. Result w/o. (C) Magnesium oleate plus
oleic acid. Charge neutralization and strong linking of polar
groups. Result w/o.
A similar process occurs during the preparation of White

Liniment. An o/w emulsion of turpentine oil is made using
ammonium oleate (formed in situ) and this is then inverted
upon shaking it with ammonium chloride dissolved in the rest
of the water. Both w/o emulsions mentioned here contain
emulgents whose water solubilities are low. In the first place,
addition of the magnesium salt would cause precipitation of a
magnesium oleate gel, while in the second ammonium
chloride has a salting-out effect also potentially leading to a
gel. Whether the film surrounding the water globules is a
monolayer is obviously questionable since a gelatinous
978
multilayer might well produce a suitable mechanical barrier.
However, a surfactant mixture, such as lecithin–cholesterol in
a ratio below 8:1, can form monolayer stabilized w/o
emulsions. Close approach of two water globules leads to the
formation of a lipid bilayer which, however, retains some oil
and complete thinning of the oil lamella with consequent
coalescence of the globules is resisted.
Water globules have been demonstrated to possess charges,
the effect of which is long ranging due to the low permittivity
of the intervening oil. In such instances, the Helmholtz double
layer thickness can exceed 1μm producing a considerable
energy barrier with respect to infinite separation of the
globules. The globules are, however, not separated by vast
distances so that geometric distribution of the globules
necessarily means that part of the barrier is already
surmounted and the net repulsion is considerably reduced.
Hydrophobic soaps produced by reaction between divalent
and trivalent cations and fatty acids are nearly always formed
in situ. Such is the case with zinc cream and oily calamine
lotion, both of which contain calcium oleate formed by the
interaction of calcium hydroxide solution and oleic acid. They
will also contain traces of zinc oleate from the zinc oxide and
calamine respectively. Emulsions prepared using these soaps
alone tend to break readily, therefore in each case wool fat is
added to enhance the stability. This contains long-chain
alcohols and hydroxy sterols such as cholesterol, which on
their own tend to produce w/o emulsions but may be used to
stabilize both w/o and o/w emulsions. By contrast, it should
be noted that calamine cream is an o/w emulsion utilizing
sodium lauryl sulphate, the corresponding divalent salts of
which are much more soluble in water than those of fatty
acids.
979
Multiple Emulsions
These may form when a system does not strongly favour one
particular emulsion type or when three phases are present.
Certain aspects of their formation have been discussed by
Mulley and Marland (1970).
Emulsions Containing Hydrophilic Colloids
Macromolecular films at the oil–water interface have been

described in Chapter 5. Since the emulgents used are nontoxic
and hydrophilic they are commonly employed in the
preparation of o/w emulsions for oral use. A mechanically
strong gel barrier forms around the outside of the oil globules
while a considerable viscosity is imparted to the intervening
aqueous phase thereby reducing the probability and energy of
encounter between oil globules. The mechanical strength of
the gel barrier largely determines the stability of the emulsion
and this may be enhanced by ensuring physicochemical
conditions for least solubility of the emulgent. Thus pH
control may be important as demonstrated by the fact that
gelatin is most effective at its isoelectric point. The rate of
coalescence of oil globules protected by anionic
hydrocolloids such as carboxy methyl cellulose is reduced at
low pH where the interfacial film strengths are high even
though the aqueous solution viscosities are reduced.
Since the interfacial energy of macromolecular film-stabilized
emulsions is generally fairly high, perhaps in excess of 20mJ
m–2, considerable energy needs to be expended in order to
achieve a fine emulsion. Generally, the oil is dispersed in an
aqueous solution of the hydrocolloid by means of a
homogenizer or other suitable mechanical mixer which does
980
not incorporate much air. For very small quantities of acacia
stabilized emulsions, a pestle and mortar technique may be
used where the oil–water–gum
proportions are initially carefully controlled so that the
relative viscosities of the two phases allow adequate shearing
of the interface. This is further described in Chapter 26.
Since globule size reduction involves an increase in
interfacial area, more hydrocolloid needs to be adsorbed. If
there is an excess of hydrocolloid, coverage of the extra area
need not be at the expense of the thickness of the interfacial
film. In the presence of very thick films (of the order of
100nm) such as occur in acacia stabilized liquid paraffin
emulsions, the effective phase volume increases as the
emulsion is made finer, resulting in an increased viscosity of
the emulsion (Shotton & White, 1963). Low viscosity grades
of cellulose derivatives are desirable in order that these may
be present in suitable concentration to produce a good
coverage of the globules without increasing the viscosity of
the external phase too much.
Emulsions Containing Solids
The extent of adsorption of solids, such as gelatinous

precipitates, at an o/w interface depends very largely upon
their physical state. Energy conditions for adsorption are
illustrated in Fig. 20.3, liquid paraffin and magnesium
hydroxide emulsion BPC being an example of C. This is also
illustrated in Fig. 5.45, where a necessary condition is a
nonzero angle of contact (θ) such that |cos θ| < 1. In order to
achieve this, the solids may be modified by the controlled
addition of amphipaths or by reaction with a component of
981
the oil in situ. The most stable emulsions are obtained when
cos θ ≈ 0.
Fig. 20.3 Interfacial energy considerations for adsorption of

solids at oil–water interfaces.
An extremely rigid interfacial film of closely packed particles

can be produced by capillary forces as illustrated in Fig. 20.4,
the effect being enhanced with most particles by the
irregularity of their surface. The phase having the greatest
affinity for the solid forms the external phase. Thus
magnesium and aluminium hydroxides may be employed,
where appropriate, in o/w emulsions for oral use, whereas
bentonite can be used in both o/w and o/w emulsions for
external application.
982
Fig. 20.4 Capillary forces cause similar particles to be drawn
together so that they cohere strongly. The closer the particles,
the more curved is the meniscus at b and the lower the
pressure there compared with that at a and c. (A) Solid
preferentially wetted by water; θ <90°: result o/w; (B) Solid
preferentially wetted by oil; θ > 90° result w/o.
These emulsions tend to be rather coarse but their stability

can often be enhanced by the addition of other surface-active
materials and these, together with the preparative technique,
may influence the emulsion type. Thus a bentonite stabilized
cream incorporating self-emulsifying Monostearin would be
o/w whereas that made with calcium oleate might well be
w/o.
It is probable that many w/o emulsions, whose stability is
commonly attributed to monolayers, are actually stabilized by
fine particles, probably with monolayers filling the gaps, and
a similar mechanism might be postulated for some w/o
emulsions where
983
gelatinous structures are known to exist in the aqueous phase
(Sanders, 1970; Davis, 1971). A necessary criterion is that the
solid particles shall be much smaller than the globules which
they are to protect. Since their desorption involves, at least
temporarily, an increase in interfacial energy, these emulsions
can be very stable. This stability may be enhanced if the
particles carry a charge, resulting in globules having a high
ξ-potential.
Spontaneous Emulsification and Microemulsions
If some nonequilibrated oil and water phases are brought

together, an emulsion may form near the interface without
mechanical agitation. One of three mechanisms may be
involved. Firstly, contact of an oily solution of a fatty acid
with aqueous alkali may lead to interfacial turbulence owing
to local variations in lowering of γow. Secondly, the diffusion
of oil-soluble acid or alcohol into the aqueous surfactant may
carry oil which then becomes stranded as the environment
becomes predominantly aqueous. At the same time, water
diffused into the alcohol laden oil becomes stranded as the
alcohol passes out into the aqueous phase. The result is an
o/w and a w/o emulsion on either side of the original
interface. Emulsions formed spontaneously in this way are
not thermodynamically stable.
The third mechanism leads to the formation of transparent or
faintly turbid o/w or w/o microemulsions with globule
diameters in the range 8–80nm; less than one order of
magnitude larger than micelles. Low molecular weight
hydrocarbons have been microemulsified probably due to the
formation of an interfacial duplex film of low tension which
is opposed by an imbalance of forces on either side of the
984
film, tending to produce a negative interfacial tension. A
nonnegative tension is then restored by the spontaneous
curvature of the interface (Prince, 1967). Such emulsions are
therefore unique in being thermodynamically stable.
Stability of Emulsions
Since pharmaceutical emulsions have a positive interfacial

energy they are thermodynamically unstable in the sense that
breaking is the spontaneous process whereby globules
coalesce to form larger globules and eventually separate
completely into another layer with a minimum interfacial
area. The rate of coarsening of an emulsion depends upon the
effectiveness of the interfacial barrier to coalescence and
upon the frequency and duration of globule encounter. The
latter is increased if the globules collect into a smaller volume
owing to a difference in density of the internal and external
phases. This phenomenon is known as creaming by analogy
with the concentration of oil globules at the top of a bottle of
milk. By similar analogy, it will be appreciated that the
process of creaming can be readily reversed by agitation
whereas breaking cannot so easily be reversed.
Creaming should be minimized or eliminated since it tends to
reduce the stability and elegance of an emulsion. Obviously,
if an emulsion possesses a yield stress, the globules will be
kept from moving by the structure of the external phase. In
the absence of a yield stress, the Stokes’ equation points to
the ways in which creaming may be controlled:
985
This shows that in a gravitational field of acceleration g, the
velocity v of a globule can be reduced by decreasing its
effective size (dst) and difference in density from the external
phase (Δρ) and by increasing the viscosity (η) of the external
phase. Reducing the effective globule size means not only
that the individual globules should be as small as possible but
that they should be kept from flocculating by means of a
suitably high ξ-potential. It is not usual to reduce Δρ but this
could be done by adjusting the oil density using a mixture of a
light and a heavy oil such as a paraffin or vegetable oil and a
brominated oil. The viscosity of the external phase may be
increased by incorporating more bodying agent, such as a
long-chain acid or alcohol in amphipath stabilized emulsions.
The emulsifying waxes have a self-bodying action, i.e. the
consistency of a cream may be controlled entirely by the
proportion of ‘wax’ added. Thus emulsifying wax BP is used
in both benzyl benzoate application and in aqueous cream but
whereas the former contains only about 2 per cent ‘wax’ and
is fluid and prone to creaming, the latter uses 9 per cent and is
semisolid. Emulsions intended for oral use may include
hydrocolloid thickening agent such as tragacanth or a small
quantity of high molecular weight methylcellulose.
Alternatively, sodium alginate may be thickened by the
addition of traces of a calcium salt.
Phase volume may influence emulsion stability. Obviously if
the internal phase volume is large, the mean distance between
globules will be small. A large phase volume may involve
considerable flocculation of globules and flattening of the
regions of contact which will increase the chances of
coalescence. The proportion of oil to water may occasionally
decide whether an o/w or a w/o emulsion is obtained but with
those emulgents where this is so the preparative technique
may be the overriding factor. Sometimes it pays to prepare
986
one type of emulsion, say a fine o/w emulsion, and then to
invert this to w/o by the addition of more oil or by cooling. In
this way, smaller water globules may be obtained than would
otherwise be possible. White Liniment affords an example
where the preparative technique involves inversion, in this
instance due to an alteration in the nature of the emulgent.
Occasionally, however, only incomplete emulsification may
be achieved. This might be due to a poor technique or to some
unsuspected change in the quality of an ingredient. Instead of
obtaining a white emulsion unsightly, immiscible, coarse
mixture of o/w and w/o emulsions is obtained. It may be
possible to break the emulsion by heating and then to make
another attempt at emulsification, perhaps using another
instrument, but usually it is best to start again. An example
where difficulty might be encountered is in the preparation of
Turpentine Liniment. If the soft soap is dispersed in the oil
and this is then shaken vigorously with the water, an o/w
emulsion may not be made successfully. However, o/w
emulsification is readily produced with only a few shakes if
about a one minute interval is allowed between each shake.
This allows time for redistribution of the ionized soap and
free fatty acid between the oil, the water and the interface
and results in a very thick stable o/w emulsion. Slight changes
in pH may also lead to emulsion instability. With soft soap,
this might result from the absorption of carbon dioxide.
Breaking of an emulsion during storage may be due to a
number of interacting factors. Temperature fluctuations
should be avoided. Elevated temperatures may lead to the
emulsifier favouring a different emulsion type since changes
in the interfacial film often become pronounced above 40°C.
With o/w emulsions particularly, warm conditions enhance
evaporation and chemical degradation processes such as
oxidation of oils. The use of well-closed containers is
987
therefore essential. The stability of most emulsions is also
diminished by cooling to near or below 0°. Besides alteration
of the emulgent properties, formation of ice crystals ruptures
the interfacial film, thereby breaking o/w emulsions. In order
to counteract loss of water from o/w dermatological creams, a
humectant is frequently added. This is commonly glycerin or
sorbitol. In sufficient amounts these compounds reduce the
evaporation rate from the container and the skin, but the
concentration is limited by their tendency to dry the skin.
Another source of instability is the growth of
microorganisms. o/w Emulsions prepared with materials of
natural origin such as gums, carbohydrates and proteins are
particularly prone to such spoilage, fungi, yeasts and bacteria
all being implicated. Synthetic compounds such as cellulose
and sorbitan derivatives are therefore to be preferred.
Preservation requires the addition of one or more compatible,
water-soluble, nontoxic compounds which have a
long-lasting, wide spectrum of activity against
microorganisms even in low concentration. Usually they
should be undetectable by the senses. For oral use, benzoic
acid is commonly employed, which may be supplemented
with chloroform as in Liquid Paraffin Emulsion. Esters of
p-hydroxybenzoic acid are used for both oral and topical use.
Sometimes, the emulgent itself has a preservative action as in
cetrimide cream but in others a compound such as
chlorocresol is a suitable additive. Since microbes grow in the
aqueous phase, a sufficient preservative concentration must
be found here and partitioning into the oil must be allowed for
(Bean, et al., 1969). Further aspects of preservation are
discussed in Chapter 40.
Instability of an emulsion is not associated merely with
flocculation, creaming or breaking. Emulsions used as bases
must not impair the activity of the medicament. Generally, an
988
ionic emulgent will be incompatible with medicaments whose
active ion is of opposite charge such as sodium lauryl
sulphate with neomycin sulphate. Ionic incompatibility is not
always obvious as for example the incompatibility of
hexachlorophene with quaternary ammonium surfactants due
to the anionic character of the phenolic group. Nonionic
emulgents may be used when ionic reactions are at risk but
even these are not immune from incompatibility due for
example, to their micellar adsorption of phenolic compounds.
Incompatibilities are not always visible although emulsion
breaking may ensue. Sometimes a colour change may be seen
as when proflavine hemisulphate is incorporated in an anionic
base, but discoloration may develop only slowly as when
hydrocortisone is incorporated in a cream stabilized with a
triethanolamine soap. It is important to choose a base which is
chemically unreactive and which gives the medicament the
desired degree of skin penetration and release to the body
tissues.
Another form of instability has been observed when the
medicament is suspended in an emulsion. Liquid paraffin and
phenolphthalein emulsion requires the phenolphthalein to be
very finely dispersed otherwise it settles out and cannot easily
be redispersed upon shaking.
Occasionally, emulsions are deliberately made with an
inherent instability. An o/w barrier cream may be used which
liberates a film of oil when applied to the skin. Sometimes,
emulsion breaking is an essential part of a manufacturing
process such as the separation of woolfat from wool scouring
wastes. Yet another application is the formation of foams
from emulsified aerosol propellants which vaporize on release
from the container.
989
Globule Size
Microemulsions having globule diameters below about 50nm

are transparent, while those with larger globules are decidedly
turbid. If the globules are above about 100nm extremely
white emulsions are produced but as the diameters increase
much above 10μm a greyish or cream colour is developed.
The whiteness of fine emulsions is due to the reflections and
refractions at the many interfaces. If, however, the two phases
have the same refractive index, a transparent emulsion is
produced except when they differ in optical dispersive power
and then a highly coloured chromatic emulsion results.
Globule size may be represented by any of the equivalent
spherical diameters, the mean size generally being weighted
by number. Although some size distributions may be
approximately Gaussian, they are usually skewed but often
capable of normalization by a logarithmic transformation in
which case the distribution parameters are simply related by
the equations of Hatch and Choate. Various other, largely
empirical, distribution functions have also been proposed.
Size distribution is influenced by: (1) method of preparation
of the emulsion, (2) temperature during mixing, (3) viscosity,
(4) type of oil and its phase volume and (5) type and
concentration of emulgent. Size reduction involves an
increased interfacial area and interaction between globules
resulting in appreciably higher viscosities only with the more
concentrated emulsions (phase volume greater than 0.5). A
more uniform size distribution also affords more resistance to
flow. Thus concentrated emulsions having the same mean
globule size may differ considerably in viscosity if they have
different standard deviations. Reference has already been
990
made to the increase in viscosity upon homogenizing
emulsions stabilized by thick hydrocolloid films.
Size reduction may also lead to enhanced flocculation. This
also increases emulsion viscosity. In the event of flocculation,
care has to be taken in interpreting size parameters especially
if nonmicroscopic methods of analysis are used.
Coarsening of an emulsion tends to follow first order kinetics
and is observed as an increase in mean globule size. This may
be accompanied by a broadening of the size distribution but
sometimes a more nearly monodisperse system of large
globules results.
Sherman (1964), Becher (1965) and Hamill and Petersen
(1966) have reviewed the literature concerning the influence
of globule size while Sherman (1968) has discussed its
determination.
Several methods are available for testing emulsion type. The
dilution method involves placing a little of the emulsion in
water. If the emulsion readily disperses it is o/w, otherwise a
w/o type is indicated. Thick o/w creams may require slight
agitation but usually emulsion type is readily observed
especially as lumps of o/w cream appear dull in water
whereas w/o creams are shiny and usually float to the top.
The dye solubilization method involves dusting a small
amount of a water soluble dye, such as methylene blue, on the
surface. Rapid dye diffusion indicates that water is the
external phase. It is often useful to supplement this by dusting
an oil-soluble dye such as scarlet red on another part of the
emulsion surface. Dye diffusion then indicates contact with
oil as in the case of w/o emulsions, but for this test to be valid
the top surface of the emulsion should first be removed
otherwise coloration may merely indicate a thin oil film on
top of an o/w emulsion due to contamination from
991
manufacturing equipment. Alternatively, it might indicate an
unstable o/w emulsion.
Electrical conductivity is another method relying on the poor
conductivity of oils compared with aqueous solutions. The
conductivity may be measured by standard low frequency a.c.
methods, and it will be low where oil is the continuous phase
as in w /o emulsions. Ionic emulgents used for the production
of the latter give higher conductivities than nonionic
emulgents.
If a drop of emulsion is placed on filter paper, the external
phase will tend to spread quickly if it is aqueous. The filter
paper wetting method however, is useless for thick o/w
creams or for emulsions of water in thin oils which
themselves spread.
The tests mentioned above may be applied rapidly but the
results must be interpreted with caution. They will, for
instance, not indicate whether a multiple emulsion has been
produced. This must be resolved by microscopy.
Emulsions in Pharmacy
Emulsions may be administered orally, rectally, parenterally

and topically. Occasionally, a medicament forms all or most
of one phase but generally, emulsions serve merely as
carriers.
Oil-in-water emulsions are used for oral administration
serving to mask the unpleasant taste of water-insoluble liquids
such as liquid paraffin. Fine emulsification may enhance the
absorption of lipid-soluble medicaments such as oil-soluble
vitamins but these must use an absorbable oil as carrier: liquid
paraffin would hinder their absorption. It should be noted that
liquid paraffin emulsions should not be too fine since fine
992
globules of paraffin can be absorbed. Hydrocolloids or
nonionic amphipaths such as polyoxyethylene sorbitan esters
are employed for oral use.
Emulsions used as enemas are also of the o/w type but may
use soaps. The incorporation of a surfactant in suppositories
has been reported to influence drug absorption either by
increasing its rate or by prolonging it. The choice of
surfactants for parenteral use is very limited and has already
been discussed in Chapter 4. Phytomenadione injection may
be in the form of a fine o/w emulsion.
By far the greatest use of emulsions is in dermatology.
Oilin-water creams and lotions form the washable variety
whereas w/o creams may be used to act as barriers to aqueous
solutions. Topical applications are common in the cosmetic
field while in the medical treatment of diseased skin,
emulsions are often used as carriers for a drug. Generally only
a superficial drug action is required and undue penetration of
the skin may need to be avoided as in the case of
corticosteroid creams. Percutaneous absorption is mainly a,
function of the drug itself and not of the vehicle containing it.
Where penetration does occur, the hair follicles, sweat ducts
and stratum corneum may all be implicated, absorption being
greatest for those substances which have both a water and
lipid solubility with the hydrophile–lipophile balance in
favour of lipid. Since drug action requires partitioning out of
the emulsion base, a base having a poor solvent action for the
drug should be used. Percutaneous absorption is greatly
affected by the condition of the skin such as its relative
hydration and greasiness. It may be modified by vasodilation
and by the accumulation of sweat during the use of occlusion
dressings which involve covering the treatment area with a
plastic film. Water-in-oil bases also may inhibit evaporation
of sweat, reduce heat radiation and increase skin temperature.
993
The skin is a natural barrier with a pH between 5 and 6.
Ideally, therefore, cream bases should have a neutral or
slightly acid pH. Buffered cream BPC is one such o/w
emulsion, this being similar to aqueous cream BP having the
pH adjusted to about 6 with sodium phosphate and citric acid.
The electrolyte content of the aqueous phase of a cream may
be an important consideration when treating hypersensitive
skins.
de Kay (1962) and Becher (1965) have surveyed much of the
literature relating to the topical use of emulsions.
Emulsifying Equipment
A wide variety of machines is available for finely dispersing

the internal phase of an emulsion. Among factors which
influence the suitability of a particular machine are (1) the
amount of emulsion to be processed, (2) the flow
characteristics, (3) the need to blend ingredients such as
powders, (4) the temperatures involved and (5) the desired
rate of cooling if elevated temperatures are used.
Large and small batches may often be made conveniently by
using propeller-mixers operating in suitable mixing vessels,
the latter being steamjacketed if initial heating is required. If
a thick emulsion or cream is produced, the propeller-stirrer
can be replaced by a gate-stirrer assisted by scraper arms.
Fluid emulsions may also be prepared by means of a shrouded
turbine such as a Silverson mixer-emusifier. Models are
available for batch processing quantities from a few ml up to
several thousand litres while continuous processing can be
achieved by incorporation into a pipe-line. Fig. 20.5 shows
the components of the working head of a large laboratory
scale model. The columns SC support the head in which
994
turbine blades RB are driven. These are powered by a motor
above the supporting columns which act via the drive RT.
Centrifugal forces expel the contents of the head through the
mesh M and on to the cover C when large shearing and
impaction forces produce a fine emulsion which emerges
from the openings OP. Circulation of material through the
head is maintained by the suction produced in the inlet I at the
bottom of the head.
Fig. 20.5 Exploded head of a Silverson mixer-emulsifier
Homogenization can also be obtained by forcing the crude

mix through a small annulus so that a high velocity jet is
made to impinge on an impact ring set at right angles to the
flow. One such instrument, the A.P.V. Gaulin homogenizer,
995
uses a high pressure pump and the shearing action is divided
between two independently adjustable stages (Fig. 20.6).
Ormerod Q.P. homogenizers work on the same principle, the
hand-operated model being commonly used for dispensing
purposes. The plate jet, illustrated in Fig. 20.7, is fitted into a
reciprocating piston which is filled with the crude mix (held
in the bowl) upon its downward stroke. The upward stroke
causes expulsion via the shearing and impaction surfaces, the
valve loading being controlled by rotation of the drip-cup.
Fig. 20.6 A.P.V. Gaulin two stage homogenizing valve

(A.P.V. Co. Ltd.)
996
Fig. 20.7 Q.P. laboratory emulsifier. (A) Emulsifier in
section; (B) Components of the plate jet (Omerod Engineers
Ltd.)
A premier colloid mill is shown in section in Fig. 20.8, side

and top loading models being obtainable.
997
Fig. 20.8 Premier colloid mill in section.
The rotor RS runs at several thousand rev/min with its

working surface WS in close proximity to the stator S, the gap
being adjustable from about 50μm upward. Crude mix is fed
via the funnel on to the centre of the rotor and is flung
outwards via the shearing surfaces to be discharged at VO.
Cavitation effects the break up of liquid in ultrasonic
equipment. In the Rapisonic homogenizer, a portable machine
made by Ultrasonic Ltd., crude mix is sucked into one end of
a long U-tube and ejected at the other end over a blade which
vibrates at its natural frequency of about 30kHz. The
emulsifier head is illustrated in Fig. 20.9.
Fig. 20.9 Interior of the Rapisonic homogenizer.
998
Suspensions
Suspension is a dispersion of finely divided solids in a liquid.
The lower limit of fineness of a solid particle in suspension
has been arbitrarily fixed at 0.1μm. Among the liquid
suspension used in pharmaceutical practice may be mentioned
mixtures or magmas for oral use, lotion or washes for external
use and injections for parenteral use. The basic characteristics
of such suspensions are:
• The rate of sedimentation of the dispersed particles should
be so low that no distinct layer of the sediment or any
appreciable separation of supernatant liquid on long storage
and shelf life is observed.
• Any sedimentation taking place is easily dispersible by
moderate shaking, i.e. the sediment does not cake or cement
on setting.
• The flow property of the suspension is so balanced as to
make it possible to pour easily from the container or to apply
on the skin or inject it through hypodermic needles in
suspension.
• The product must be chemically and physically stable, so as
to maintain maximum therapeutic efficiency.
• The suspension should be acceptable to the consumers
aesthetically, i.e. in regard to its taste, colors, smell and its
cosmetic properties.
• In case the suspension is meant for parenteral use, it should
not lose its efficacy when subjected to sterilization process.
To obtain a suspension with the above-mentioned
characteristics, the following physical and physicochemical
phenomena have to be taken into account:
• Surface properties of the suspended solid particles
999
• Electrokinetics of the system including particle–particle and
particle–vehicle interaction
• Rate of sedimentation
• Caking or cementation
• Micromeritics
• Flow property or rheology of the product
Surface Properties of the Suspended Solid

Particles
In accordance with the Stokes’ law, the rate of sedimentation

of a suspended particle is directly proportional to its size.
Hence, one way to reduce the rate of sedimentation or the
settling of particles is to reduce the particle size. Another
advantage of size reduction is that once the particles acquire a
size below 5μm in diameter, they start manifesting Brownian
movement, which helps to keep dispersed particles in
suspension. On the other hand, on subdividing the dispersed
solid into finer particles, their surface area increases
immensely and so also the free energy associated with it. This
increase in free surface energy energizes the particles greatly,
and hence they tend to coalesce, thus reducing the surface
area and the free energy. In this way the particle size
reduction originally intended to give greater stability to the
suspension by reducing the rate of sedimentation makes it
unstable from the thermodynamic point of view. The increase
in free surface energy, ΔF, is expressed mathematically as the
product of the interfacial tension (η), expressed in dyne
percentimetre, between the dispersed particles and the
dispersion medium, and the increase in surface area (ΔA) due
to reduction in particle size (ΔF = η × ΔA).
1000
In the above equation, the electrical forces acting on the
surface of the particle have been disregarded. The system can
be made thermodynamically more stable by reducing either
interfacial tension or the surface area. Reducing the surface
area would mean increasing the size of suspended particles,
which in turn would be detrimental to the stability of the
suspension. The interfacial tension (η) cannot be reduced to 0,
but its magnitude can be appreciably decreased by means of a
suitable surface-active agent (wetting agent). The
indiscriminate use of such agents is, however, beset with
another difficulty, i.e. increased deflocculation of the
particles, which reduces their settling but ultimately leads to
caking of the sediment. This
can be avoided by effecting partial occulation of the dispersed
particles, whereby they loosely adhere to one another
resulting into an open scaffold-like structure. The surface free
energy thus reduced gives the system greater thermodynamic
stability on the one hand and minimizes the risk of cake
formation on the other.
Electrokinetics of the System
The finely subdivided particles having acquired electrical

charge on their surface attract or repulse each other, which
contributes to the stability or otherwise of the suspension
system. The presence of electrical charge on the particle
surface may be due to (1) dissociation of ionizable groups at
the surface, (2) adsorption of some solute ions or solvent
molecules from the solution, (3) friction between the particles
and (4) the differential dielectric constant between the
dispersed phase and the dispersion medium. The particles
charged electrically due to any of the above reasons become
1001
surrounded by an ionic atmosphere of oppositely charged ions
and formed an electrical double layer around the particles: (1)
a stationary layer at the particle surface and (2) a mobile layer
next to the stationary one (Fig. 20.10).
Fig. 20.10 Diagram showing Helmholtz–Gouy double layer.
Because of the surface charge on the suspended particles, a

potential exists between the colloidal particles and the
solution. The suspended particles in such a charged
environment move when placed in an electrical field. The
difference in the electrical potential between the moving
positively charged particles in the surrounding medium and
the immobile cations absorbed on the surface from the liquid
is known as zeta potential (Fig. 20.11). It is a number and
measured in units of potential.
1002
Fig. 20.11 Diagram showing zeta potential.
When such a potential is high, the particles repel each other,

remain deflocculated. i.e. remain in suspension for a long time
and do not easily settle down. The addition to the system of
any surfactant, yielding ions having similar charge (+ or −) as
on the particle surface, helps to increase the zeta potential of
the suspended particles and thus increase the force of
repulsion between particles, causing still greater
deflocculation. On the other hand, introducing such a body
into the system possessing dissimilar charge will reduce the
zeta potential causing flocculation of the particles to varying
degrees.
This term can be more precisely understood by referring to
Fig. 20.10, which illustrates Helmholtz–Gouy double layer.
This theory explains the charge relationship at the surface of a
dispersed particle. The potential difference across all the ion
layers from the particle surface into the solution is known as
the Nernst electrothermodynamic or electrochemical or
epsilon (ε) potential, whereas the potential difference between
the immobile layer of ions and the mobile layer is termed as
the electrokinetic or zeta potential. The layer of adsorbed ions
is often called the Stern layer and the potential between the
1003
particle surface and the immobile layer is termed the Stern
potential. This is equal to the difference between the
electrochemical or epsilon (ε) potential and the electrokinetic
or zeta potential, mathematically represented as:
Therefore, electrochemical or epsilon potential is equal to the

sum of Stern potential and zeta potential.
The measurement of zeta potential is done with the help of
the electrophoresis cell, wherein the particles together with
the rigidly bound double layer move under the influence of
the applied direct current. The value of zeta potential, which
is the difference in potential between the dispersion medium
and the surface of the rigidly bound portion of the diffuse
double layer surrounding the particle, is obtained from the
electrophoresis experiments. And the directions in which the
particles migrate indicate the sign of the charge borne by
them. Zeta potential is mathematically expressed as under:
Wherein the zeta potential is expressed in volts, V is the

velocity of migration of the particle in cm/sec, E is the
potential gradient in volts/cm along the electrophoresis tube,
η is the viscosity of the dispersion medium in poises and e is
the dielectric constant of the medium.
1004
Rate of Sedimentation
The velocity at which a suspended particle settles down has

been expressed by the Stokes’ equation:
where V represents the velocity of settling of an average

particle, d the mean diameter of the particle, p the densities of
the dispersed phase and medium, g the gravitational force and
η the viscosity of the suspension medium. This law is
applicable only when the falling particles are perfectly and
uniformly spherical and settle down in a streamline fashion,
i.e. in an unhindered way. But the high concentration of the
dispersed phase and other conditions such as the want of
uniformity in shape and size of particles, the Brownian
movement and the forces of attraction and repulsion of
particles by particles, prevailing in the system, do not permit
the application of the unmodified Stokes’ law. Nevertheless,
the Law helps us to focus our attention on the factors that
affect the stability of the dispersed system. The three factors
most concerned are:
1. Gravitational force
2 Size of particles
2 Viscosity of the system including yield value and thixotropy
Increase in the first two factors accelerates sedimentation of
the particleswhile increase in the third, i.e. viscosity, retards
such tendency. Besides these above factors, the forces of
attraction and repulsion of the particles themselves accelerate
or prevent particle aggregation and consequent sedimentation.
1005
From the above it can be seen that we can stabilize a
suspension in the following three ways:
1. By decreasing the rate of sedimentation of dispersed
particles
2. By increasing the consistency or viscosity of the dispersion
medium
3. By preventing the particles from mutual aggregation
As we proceed further, it will become clear that the rate of
sedimentation of suspended particles is not of that importance
in suspension stability as are the phenomena of partial
flocculation of particles to form an open scaffold-like
structure and the bodying or structuring of the suspension
medium.
Measurement of sedimentation rate is made in terms of the
ratio of the ultimate height (Hu) of the sediment column to the
original height (Ho) of the system containing the suspended
particles dispersed all through, both readings taken from the
same container (cylinder). This ratio Hu/Ho is called
sedimentation ratio and its values against time have been
used as an index of the settling rate of dispersed particles. It
will be evident from the above that larger the Hu/Ho ratio
value, slower is the sedimentation rate and greater is the
degree of flocculation of the particles. This ratio assumes the
maximum value when the optimum concentration of the
flocculating agent has been reached.
In recent times, a device known as sedimentation kymograph
has been employed to determine the rate of sedimentation.
This is only a modification of the Oden’s balance and helps in
maintaining a continuous record of the settling rate on a
smoked drum rotating at a slow speed of about 0.1mm per
minute. The pointer attached to the disc on which particles
settle records the rate in terms of the height of the curve on
the kymograph.
1006
Caking of Suspensions
Caking or cementation of a suspension may be defined as the

formation of indispensable solid cake of the sedimented
particles. A caked suspension is a lost suspension, because it
gets damaged beyond repair so far as no force or agitation can
reconstitute it to the original system. Hence the phenomenon
of caking has been said to be a scourge for suspension
makers. For a clear understanding of this phenomenon, we
have to recall the electrokinetics or zeta potential of the
suspended particles, a mention of which has already been
made. A highly deflocculated suspension, i.e. the one having
dispersed particles with high value of zeta potential, may in
one sense be desirable because in such a suspension the
suspended particles remain discretely separate and thus
dispersed in the system for a very long time. But once such a
highly deflocculated suspension settles down, howsoever
slowly this may happen, it invariably leads to cake formation.
According to the present theory, there are two types of
opposite forces acting upon the dispersed particles in a
suspension:
1. Force of attraction of the London van der Waals type
2. Force of repulsion due to the like electrical charges borne
by the particles
The energy diagram shown in Fig. 20.12 depicts these forces;
the attraction curve, lying in the lower area of the diagram or
on the negative side of the potential energy, indicates that the
force of attraction increases as the particles approach each
other or as the distance between them decreases. On the other
hand, the repulsion curve, lying as it does in the upper part of
the diagram, i.e. on the positive side of the potential energy,
also indicates that the repulsive force increases as the distance
1007
between the particles decreases. The third curve represents the
resultant of the two opposing forces of attraction and
repulsion acting on the suspended particles. The maxima or
the peak of this curve lies in the upper part or the positive side
of the diagram and represents the maximum repulsive force
acting between the two particles, and indicates the maximum
potential or energy barrier. The potential or energy barrier
between two particles means the force of repulsion acting
between them due to similar electrical charges borne by them
and their diffuse layer of ions, the positive value of which
indicates attraction. This third curve shows two potential
minimas or energy wells.
Fig. 20.12 Energy diagram showing potential energy curve of

particle suspensions.
The primary potential minimum or energy well shows the

force of attraction of a much higher order, which exists when
the distance between very fine and highly deflocculated
particles is the minimum. At such a stage the potential or the
energy barrier between them has cracked or vanished. This
1008
happens because the particles have come too close together,
because of
• their settling down, howsoever it might happen,
• the smaller particles entering into the spaces caused between
• the larger ones where the particle-size distribution is wide
and
• the lowermost particles of the sediment being gradually
pressed together by the weight of those lying above.
Thus the potential or energy barrier, causing the particles to
repel each other and remain dispersed, is altogether overcome
causing the force of attraction between them become very
great. This is the state that exists in the primary energy well
and that leads the particles to adhere together so closely that
their redispersion becomes almost impossible. This is the
phenomenon that has been referred to as caking or
cementation.
The secondary minimum potential or energy well also lies in
the lower part, i.e. on the negative side of the diagram,
representing a state of attraction between the particles, but
here in this case the force of attraction is of much lower order
and operates when the particles are comparatively far apart.
Such a condition is brought about by the incorporation of a
flocculating agent, i.e. an electrolyte that can furnish active
ions carrying electrical charges opposite to that existing on
the particle surface. When such ions get concentrated in the
diffuse double layers of the dispersed particles, the force of
repulsion between them is reduced to a certain extent causing
an increase in the force of attraction even when they are at a
greater distance, which has been estimated to be of the order
of 1000–2000 Å. This condition prevailing in the secondary
potential or energy well results in the building up of flocs or
floccules, which are so structured with balanced forces of
attraction and repulsion that though they settle down
1009
comparatively more quickly, their discrete particles are, at no
stage, allowed to approach each other so close as to let the
potential barrier existing between them to be overcome
altogether, leading to the formation of a cake or a cemented
sediment. The phenomenon of floc formation is known as
flocculation, where the coarse and partially flocculated
particles undoubtedly coalesce but remain redispersible, or
reconstitute on gentle shaking because they have not actually
caked or cemented.
Fig. 20.13 shows a caking diagram of a bismuth subnitrate
suspension being flocculated by adding to the system a dilute
solution of dipotassium hydrogen phosphate as the
flocculating agent. Initially, the dispersed particles of bismuth
subnitrate have a
high positive zeta potential as indicated on the left-hand side
of the diagram. On adding the flocculating agent (K2HPO4),
the negative phosphate ions get adsorbed on positively
charged particles of the dispersed phase and the charge on
them is reduced; their zeta potential value is lowered to such
an extent that there is maximum flocculation. By working out
the sedimentation ratio, it is found that in the beginning
Hu/Ho ratio is low, showing none or little flocculation. By
introducing the flocculating agent into the system, one can
reach a point at which the ratio assumes the highest value
indicating the maximum flocculation. In other words, these
values constitute the noncaking zone shown in the diagram as
the middle region. Further addition of the flocculating agent
to the suspension causes greater adsorption of the negative
ions of the flocculants. Thus, the zeta potential is raised again
though with a changed sign of the charge from positive to
negative. The Hu/Ho ratio is also reduced because the
particles are once again deflocculated. This event is
accompanied by the shifting of the system again into the
1010
caking zone. Thus it can be concluded that both, the
sedimentation ratio and the zeta potential value, can provide
caking indices for suspensions. It is also concluded that
controlled flocculation of the particles of the dispersed phase,
caused by introducing a flocculating agent bearing electrical
charge of the sign opposite to that on the particles, helps a
good deal in preventing the cake formation or cementation.
Fig. 20.13 w Caking diagram showing controlled flocculation

of a bismuth subnitrate suspension using dipotassium
hydrogen phosphate as the flocculatingagent.
There are some other factors that cause caking such as:
1. Crystal growth: When crystals grow or change their form
or habit they do so in an interlocked fashion, which results in
an intertwined structure leading to caking.
2. Temperature cycling: During the shelf life of the product
when the environmental temperature changes take place, the
dispersed phase gets dissolved to some extent by the rise in
1011
temperature and when the temperature falls in the next cycle,
the dissolved substance reprecipitates or recrystallizes giving
rise to cake formation, because it does so in an interlocked
fashion.
3. Wide range of particle size distribution: In such an event
the smaller particles having higher intrinsic solubility get
dissolved and then get reprecipitated into bigger granules or
crystals, which cause cementation of the suspended particles.
4. Chemical reactions: These have also been known to cause
caking of suspension, for example, if a system contains
magnesium oxide and sodium bicarbonate, there occurs
conversion of magnesium oxide into magnesium carbonate
resulting in caked sediment.
Micromeritics in Suspension
The size of particles of the dispersed phase, as stated earlier,

is a very important factor in suspension making. The
smallness of the particle size minimizes the velocity of
sedimentation, firstly due to its lower magnitude and secondly
by increasing the velocity of the system and thereby
improving the quality of suspensions. This is explained by the
Einstein’s equation, which relates viscosity to the effective
volume fraction of the dispersed phase in the system.
Einstein’s equation is:
In which η is the viscosity of the suspension, η0 the viscosity

of the dispersion medium and θ the volume fraction* of the
dispersed phase.
1012
Reduction of the particle size also contributes to the
therapeutic usefulness of the product, because with reduction
in the size of the particles, the surface area and hence the
intrinsic dissolution rate increases leading to better and
quicker absorption of the drug into system. There are
numerous examples to prove this statement. For instance, it
has been experimentally shown that quicker and higher peak
of plasma level of spironolactone is reached when it is
administered as micronized powder than when it is given as
ordinary powder. There are a few exceptions also to this
general rule. Besides the average size of the particles, the
particle size distribution (p.s.d.) has its own effect on the
physical stability of the suspension system. In the above
narration, mention has been made of the wide range of
particle size distribution leading to cake formation. In the next
section, it will be shown how the particle size distribution
affects the viscosity of suspensions.
Particle Size Considerations
The mean particle diameter and the particle size distributions

of suspended insoluble drugs are important considerations in
formulating stable pharmaceutical suspensions. Hiestand
defines the lower limit of coarse suspensions as those
containing particles larger than 0.1mm. Except for a number
of clays, oxides, charcoal and pigments, the average particle
size of most drugs and pharmaceuticals rarely falls below
1mm. Although most submicron inorganic excipients appear
to behave like hydrophilic solids, most insoluble drugs and
pharmaceutical excipients are usually soft, organic,
essentially crystalline hydrophobic solids ranging in particle
size from several microns to several hundred or more. Drug
1013
particle size is an important factor influencing product
appearance, settling rates, drug solubility, in vivo absorption,
resuspendability and overall stability of pharmaceutical
suspensions. Insoluble drug particles are seldom uniform
spheres or cubes, even after size reduction and classification.
Wide distributions in particle size often lead to high-density
suspensions. Systems with widely differing particle shapes
(plates, needles, filaments and prisms) frequently produce
low-density slurries. The growth over time of unprotected,
slightly soluble drug solids and changes in their particle size
distribution in suspension are a serious problem. Crystal
growth of particles is usually attributed to one or more of the
following mechanisms:
Oswalt ripening or the growth of large particles at the
expense of smaller ones, because of a difference in solubility
rates of different size particles. For example, the increase in
the solubility rate of a 0.2-mm particle is 13%; for a 2-mm
particle, it is 1%; and for particles above 20mm, it is
negligible. Crystal growth due to temperature fluctuations on
storage is of minor
importance, unless suspensions are subjected to temperature
variations of 20°C or more.
A polymorphic form may change to another more stable
crystalline form; changes in crystal habit may be related to the
degree of solvation or hydration. Crystal growth may also
arise when the more energetic amorphous or glassy forms of a
drug exhibit significantly higher initial solubility in water
than the corresponding crystalline forms.
Size reduction by crushing and grinding can produce particles
whose different surfaces exhibit high and low solubility rates.
This effect can be related to differences in the free surface
energy introduced during comminution (grinding). Crystal
growth and changes in particle size distribution can generally
1014
be controlled by employing one or several of the following
procedures and techniques:
1. Selection of particles with a narrow range of particle sizes,
such as microcrystals between 1 and 10mm.
2. Selection of a stable crystalline drug form that usually
exhibits lower solubility in water. The crystalline form that is
physically most stable usually has the highest melting point.
3. High-energy milling should not be used during particle size
reduction. Microcrystals are best formed by controlled
precipitation techniques or shock cooling.
4. A water-dispersible surfactant wetting agent dissipates the
free surface energy of particles by reducing the interfacial
tension between the solid and the suspending vehicle.
5. A protective colloid, such as gelatin, gum or a cellulosic
derivative, is used to form a film barrier around the particles,
inhibiting dissolution and subsequent crystal growth.
6. The viscosity of the suspending vehicle is increased to
retard particle dissolution and subsequent crystal growth.
7. Temperature extremes during product storage (freeze–thaw
conditioning) must not occur.
8. Supersaturation favours the formation of needle-like
crystals and should be avoided.
9. Rapid or shock cooling and high agitation favour the
formation of thin, small crystals and should be avoided. Slow
crystallization by evaporation yields compact crystals.
10. Experimentation with different crystallizing solvents is
recommended to change crystal size and shape.
11. Impurities and foreign substances during crystallization
affect the reproducibility and aggregation potential of many
drug particle systems.
12. Constant crystallizing conditions are essential.
Batch-to-batch variation in crystal size and shape is often
1015
associated with poor control of processing and crystallization
procedures.
Variations in assay results can be avoided by the preparation
of homogeneous, well-mixed or nonsettling fine particle
suspensions (size 1–10mm). Particle size reduction results in
slow, more uniform settling rates.
The bioavailability of drugs is improved by reducing the size
of suspension particles. Furthermore, drug particles smaller
than 20mm produce less pain and tissue irritation when
injected parenterally. However, fine particles may have a
deleterious effect on chemical stability because of their high
dissolution rate.
Rheology of Suspensions
Dilute suspensions have higher viscosity values than the pure

medium and follow the Newtonian pattern of flow slightly
modified by the Einstein’s equation; on the other hand,
concentrated suspensions even without any bodying agent or
viscosity-increasing substance, show non-Newtonian
character of flow, mostly of the plastic nature. Further, if
suspended particles interact to form flocs, the suspension
acquires thixotropic quality. Evidently, therefore, flow of
such systems cannot be expressed in terms of one-point
viscosity or Newtonian viscosity.
Furthermore, when the suspending agents are added, the
system becomes complex and pseudoplastic with or without
thixotropy.
The study of rheology of suspensions has been helpful in their
formulation. Notable areas where rheology plays a significant
role in pharmaceutical formulations, particularly with
reference to suspensions, are (1) mixing, (2) particle size
1016
reduction of dispersed phase, (3) passage through orifices
including filling in or pouring out of containers and passage
through hypodermic needles and (4) physical and chemical
stability of disperse systems.
Thixotropy and yield value are intimately related to
suspension stability. These provide sufficient consistency to
the product when at rest, and thus prevent its physical and
chemical deterioration. While the product is at rest, the only
shear that is acting is due to the inherent tendency of the
suspended particles to fall and since the stress caused hardly
ever exceeds the yield value of the system, its mobility is
highly restricted. This explains the physical stability of the
system. The restricted diffusion of the drug particles
minimizes the chances of any chemical reaction and thereby
contributes to the chemical stability of suspensions. But when
the preparation is shaken and poured out of its container, the
yield value is far exceeded, shear thinning takes place, and it
becomes easily pourable or usable. Due to thixotropy the
building up process is slower, thus providing enough time for
use either orally or topically or parenterally. When the
container is set at rest, the system again assumes its structure
and becomes almost immobile to maintain its physical and
chemical character intact. Hence, only one-point viscosity
determination is not sufficient, but the study of total rheology
of the suspension is essential for making a good choice of a
suitable system.
With regard to caking, it has been observed that plastic and
pseudoplastic materials with thixotropy possess the property
of preventing or minimizing this phenomenon. However, in
such a system, if caking once starts, it is more accelerated
than retarded, and cakes formed in rheological systems are
much more formidable than those formed otherwise. Based
upon the above considerations, it has been possible to make
1017
permanent suspensions founded in rheological parameters like
yield value and thixotropy. Attempts have been made to make
stable suspensions by the use of a combination of both plastic
and pseudoplastic materials for giving body to the system. By
doing so, the suspension system enjoys both the advantages:
(1) of remaining pourable on the basis of its pseudoplasticity
and (2) of producing a permanent suspension on the basis of
yield value and thixotropy of the plastic material. For this
purpose, pseudoplastic materials like tragacanth, sodium
alginate and sodium carboxymethylcellulose could well be
combined with advantage with plastic substances like veegum
and bentonite.
Several workers have suggested that dispersed-phase particles
could be kept in suspension more permanently if a vehicle,
having molecular aggregates formed into a cell-like structure,
were to be used. Such vehicles have been called structured
vehicle. Carbopol 934, a carboxyvinyl polymer, has been
shown to provide such a structured vehicle in aqueous
solutions, having plastic flow with high yield value. The
cell-like structure can keep the dispersed particles or their
floccules entrapped and thus bring about their permanent
suspension in the medium.
Designing, Preparation and

Stabilization of Pharmaceutical
Suspensions
From the above discussions, it must have become clear that
the present-day designing of pharmaceutical suspensions is
not merely mixing a drug powder with a gum powder or the
so-called suspending agent and incorporating the mixture in a
1018
vehicle, but is a well-designed technique used to produce a
stable and acceptable suspension. Such technique is now
mainly based on three-pronged attack on the problem, viz. (1)
wetting with or dispersion into vehicle of finely powdered
drug in uniformly sized particles, (2) controlled flocculation
and (3) bodying or giving a structure to the system.
Dispersion
The first step in suspension making is the introduction of the

solid particles into the fluid, wherein comes the question of
their wettability and dispersion, i.e. whether the particles are
lyophilic or lyophobic. In the former case, there is not much
of difficulty but in the latter case, particularly if the particles
are light and lyophobic, their wetting, meaning the
replacement of the solid–air interface by the solid–liquid one,
becomes difficult because such particles clump together and
float on the surface of the liquid. Therefore, one has to look
for a suitable surface active agent that can reduce the angle of
contact and make the particles wettable and dispersible. For
this, the surface tension of the liquid has also to be reduced to
the critical surface tension value or below, because above this
value the liquid would fail to spread on the solid surface. For
selecting out the best surfactant for the particular powder, the
latter is placed at one end of a long trough, coated inside with
paraffin, while at the other end of the trough a solution of the
best surfactant is poured, and the rate of penetration of the
solution is noted and compared with data obtained with other
surfactants. The comparative data, so obtained, help in
choosing the best surfactant to act as dispersant or wetting
agent. Sometimes wettability of lyophobic powders may be
increased by passing them through a colloid mill in the
1019
presence of a wetting agent. Alcohol, glycerin and other
hygroscopic liquids may be used in the beginning for the
displacement of air from the surface of the particles and thus
makes them more dispersible.
In the act of dispersion, due to the presence of a surfactant,
the zeta potential of the particles is enhanced, which becomes
usually deflocculated leading to the formation of hard,
indispersible sediment known as cake.
Flocculation
Partial or controlled flocculation has been possible in case of

positively charged particles like those present in bismuth
subnitrate suspensions by adding a very small quantity of an
anionic flocculating agent like monobasic potassium
phosphate. The phosphate ions deposit on the positively
charged surface of bismuth subnitrate particles, bring about
controlled reduction of their zeta potential and thus cause
their partial flocculation. In the same way, when aluminium
chloride is added to a sulphonamide suspension of negatively
charged particles, the Al3+ cations deposit partially on the
surface, slightly reduce the zeta potential, and bring about
partial flocculation. In the latter case when the flocculant is a
cationic one, difficulty arises in the choice of the bodying
agent or the protective colloid, because most of them are
polyelectrolytes of anionic character. This causes
incompatibility by causing the precipitation of the protective
colloid. In the eventuality of the primary particles being
negatively charged, they have first to be given a coating of
positively charged ions and then flocculated by means of an
anionic flocculant and thus avoid the incompatibility with the
negatively charged protective colloid. Such positive coating
1020
has been possible by precipitating sodium sulphathiazole in
acid solution in presence of gelatin. The product, known as
microform sulphathiazole, when suspended yields positively
charged particles, which can be easily processed without any
difficulty of incompatibility with the bodying agent. Another
method of obtaining the primary dispersed particles with
positive charge on their surface is to coat them with some
fatty acid amines or quaternary amines and then flocculate
them with an anionic flocculating agent. Finally, the system is
given a body or structure by means of one or more protective
colloids. This technique of first coating the primary
suspension particles with positively charged substance
followed by flocculation with anionic flocculant and finally
stabilizing them with negatively charged polyelectrolytes is
illustrated in Fig. 20.14.
1021
Fig. 20.14 Sequence of steps involved in the preparation of a
stable suspension.
So far, suspensions have been made by using of electrolytes

like potassium phosphate and aluminum chloride for
controlled flocculation of suspension particles. These agents,
besides lowering the zeta potential of the particles, have also
been known to form chemical bonds between themselves and
1022
the suspension particles, which account for their flocculating
effect by forming bridges between particles. Besides
electrolytes, some anionic and nonionic detergents such as
polyoxyethylated nonyphenols have also been used as
flocculants.
Lyophilic polymers commonly used as suspending agents
also manifest the property of causing flocculation of
suspension particles. The polymers known as polyelectrolytes
have active groups spaced along their entire chain. Part of the
long-chain molecules get adsorbed on the particles leaving the
extended portion projected from the particles surfaces. The
protruding ends may get adsorbed on another particle,
bridging the two into floccules, or it may do so on the same
particles forming a loop. The latter may offer an avenue for
another polymer chain adsorbed on other particle to get
interwined resulting in the formation of particle flocs. The
hydrocolloids that are polyelectrolytes possess some definite
optimum for their flocculating and protective action.
Therefore, the reaction of the suspension medium becomes an
important factor in the formulation.
Bodying or Structuring of Suspensions
The final stage in the fabrication of suspension is of giving

higher viscosity or body or structure to the system. This is
necessary to support the dispersed phase and prevent it from
quick sedimentation. As shown in the Stokes’ equation, the
rate of sedimentation is inversely proportional to the viscosity
of the system, and hence, by raising the viscosity, the
sedimentation rate is lowered or minimized. During
discussion of rheology of suspensions, it was shown that the
function of natural or synthetic gums and polymers was not
1023
that of simply raising the viscosity of the system but also to
give the desired rheological character to the product, for
which the total product rheology had to be taken into account.
In addition to these functions, such substances build up strong
mechanical barrier or envelop
around the particles, which prevents them from agglomerating
or forming cakes.
It has been stated earlier that a flocculated or partially
flocculated suspension is better than a completely
deflocculated one from the point of view of its noncaking or
anticaking tendency. But this is also true that such suspension
settles down comparatively more rapidly leaving a clear
supernatant liquid at the top, which gives an unsightly or
unacceptable appearance to the product. This defect is
compensated by the use of bodying agent or hydrocolloids
like carboxymethylcellulose, tragacanth, carrageen (chondrus,
Irish moss), sodium alginate, carbopol, bentonite, veegum,
etc. These substances, while supporting the flocs in the
suspension, bestow desirable rheological properties to the
product.
In making the suspension, it is necessary to aim at producing
a uniform product of fine, well-dispersed floccules and
having easy pourability, i.e. any possible sediment can be
dispersed by simple inversion of the container or mild
agitation. A suspension having a very high consistency cannot
yield uniform doses, does not pour well from the container
and leaves a film in the mouth causing an unpleasant
after-feeling or taste. Therefore, it is best to have a partial
flocculation of the system blended with the use of a small
quantity of carefully chosen bodying agent.
In addition to the insoluble active ingredient or ingredients
and the suspension stabilizers, viz. dispersants, surfactants,
flocculants and protective colloids, the present-day
1024
suspension formulation also includes colouring and
flavouring substances, preservatives and in case of oral ones,
sweeteners also.
Various suspension stabilizers are effective only within a
certain pH range and hence the adjustment of pH by use of
buffers to obtain the optimum effect is necessary for all
suspensions. Further, the viscosity and keeping quality are
markedly influenced by pH variation.
The following outline of a scheme for the performance check
of suspension will show the modern trends in suspension
technology:
1. Shelf stability
Gross physical factors
Drug potency
2. Pharmacological evaluation
Toxicity
Therapeutic value (blood levels, etc.)
3. Patient acceptance
Oral suspension by taste panel
Parenteral (IM) suspensions (pain on injection and its
persistence thereafter)
4. Clinical reports
Increasing use of physical data is being made in fabrication of
suspension formulations, predicting the drug stability and
correlation of the physical characterization of the formulation
with its therapeutic usefulness. Such data may include (1)
extent of purity of drug, (2) its solubility in water and other
clinically usable solvents, (3) influence of pH on solubility
and (4) its general therapeutic pattern in the temperature range
of 5–75°C.
1025
References
Barry BW, Saunders GM. J. Colloid Interface Sci.

1970;34:300.
1971;35:689.
1971;36:130.
Barry BW, Saunders GM. J. Pharm. Pharmacol.
1971;23:2405.
Bean HS, Konning GH, Malcolm SA. J. Pharm. Pharmacol.
1969;21:173s.
Davis SS. J. Pharm. Pharmacol. 1971;23:161s.
De Kay HG. Am. Perfumer & Cosmetics. 1962;77(10):109.
Garrett ER. J. Pharm. Sci. 1965;54:1557.
Griffin WC. J. Soc. Cosmet. Chem. 1949;1:311.
Griffin WC. J. Soc. Cosmet. Chem. 1954;5:249.
Hamill RD, Petersen RV. J. Pharm. Sci. 1966;55:1268.
Hiestand EN. J. Pharm. Sci. 1964;53:1–18.
Kruyt, ed. Colloid Science. Vol. II. London: Elsevier;
1949:232.
Lachampt F. Am. Perfumer & Cosmetics. 1970;85(1):27.
Mulley BA, Marland JS. J. Pharm. Pharmacol. 1970;22:243.
Prince LM. J. Colloid Interface Sci. 1967;23:165.
Sanders PA. J. Soc. Cosmet. Chem. 1970;21:377.
Sherman P. J. Pharm. Pharmacol. 1964;16:1.
Sherman P. Emulsion Science. London: Academic Press;
1968.
Shotton E, White RF. In: Sherman P, ed. Rheology of
Emulsions. Oxford: Pergamon Press; 1963.
Talman FAJ, Rowan EM. J. Pharm. Pharmacol.
1970;22:417.
1026
Talman FAJ, Rowan EM. J. Pharm. Pharmacol.
1970;22:535.
* Volume fraction is the fraction occupied by the dispersed
phase in relation to the total volume of the dispersion.
1027
Chapter 21
Tablets and Capsules
Solid medicaments may be administered orally as powders,
pills, cachets, capsules or tablets. As these contain a quantity
of drug which is given as a single unit they are known
collectively as solid unit-dose forms even in the case of
sustained action preparations which, technically, contain the
equivalent of several normal doses of drug. The stringent
formulation requirements of modern medicaments, the many
advantages of tablet and capsule medication, coupled with
expanding health services and the concomitant need for
large-scale economic manufacture, have lead to a steady
decline in the prescribing of powders and pills. A few
medicaments such as the salts of para-aminosalicylic acid are
administered as cachets and the production of these dose
forms is described elsewhere in this volume. Tablets and
capsules, on the other hand, currently account for well over
half the total number and cost of all National Health
prescriptions issued in the UK.
Tablets
Tablets are solid masses made by the compaction of suitably
prepared medicament (granules) by means of a tablet
machine. Although it is possible to manufacture tablets in a
wide range of shapes, official tablets are defined as circular
discs with either flat or convex faces. The British
Pharmacopoeia 1973 includes monographs for over three
hundred tablets.
1028
Advantages of Tablet Medication
When correctly formulated and manufactured, tablets provide

an accurate, stable dose of drug with the necessary physical
and chemical properties for the required duration and
intensity of therapeutic action. Modern methods are capable
of large scale economic production with a high degree of
tablet uniformity both within and between batches. Suitable
formulations provide sustained release characteristics and
coatings can be applied to improve palatability or reduce the
incidence of gastric irritation. Of all dose forms, the tablet
presents the medicament in the highest practicable state of
compaction. This permits the use of light weight, low cost
containers for packaging, while emergency supplies of the
drug can be conveniently carried by the patient.
Disadvantages of Tablet Medication
Some patients, particularly children and the seriously ill, may

experience difficulty in swallowing tablets. If the tablet is too
large, reformulation as two smaller units each containing half
the required dose may minimize the problem in some cases.
Occasionally a particular property of a medicine, such as the
demulcent action of a linctus, cannot effectively be obtained
with a tablet. Absorbents are available which allow the
production of tablets containing a small amount of liquid, but
it is usually more satisfactory to formulate as a soft capsule.
Types and Uses of Tablets
To secure rapid release of drug the majority of tablets are

required to break down (disintegrate) rapidly in the stomach,
1029
but there are a number of exceptions to this general rule. If
the drug is inactivated at low pH, causes gastric irritation, or
intended to exert its effect on the lower part of the gut, an
enteric coating is applied to ensure that disintegration does
not take place in the stomach but readily occurs in the small
intestine. Examples are enteric coated tablets containing
erythromycin or the alkali metal halides. Only part of the
medicament in a sustained action tablet is released in the
stomach to obtain prompt therapeutic action while the
remainder is released at a controlled rate as the tablet
progresses along the gastrointestinal tract. As an alternative to
enteric coating for the minimization of gastric irritation, the
drug, e.g. aspirin, may be formulated as a soluble tablet to be
dissolved in water prior to administration; an effervescent
base, as in Effervescent Potassium Tablets BPC, improves
palatability. If the preferred site of absorption is the oral
mucosa the tablet is directed to be dissolved in the mouth
(isoprenaline), under the tongue (ethisterone) or chewed
(phenolphthalein). For lozenges slow solution in the mouth,
rather than disintegration, is required.
A number of preparations, not intended for oral
administration, are also prepared by compression, examples
being Mouth-wash Solution Tablets BPC, Testosterone
Implants BP and Acetarsol Pessaries BPC. Solution tablets
are dissolved in water and the solutions applied to mucous
surfaces or externally. A distinctive shape and colour is used
for solution tablets that contain a poison.
1030
Granulation
The Tablet Compression Cycle
Further processing, that is granulation, is usually required

before a drug can be tabletted. To a large extent the requisite
physical properties of the granules are determined by the
design of the tablet machine and the nature of the compaction
process. Details
of machine design are given later, but a brief discussion of the
compression cycle, specifically that of the single-punch tablet
press, is relevant at this point to a proper understanding of the
objectives to be attained by granulation.
Granules flow from the hopper (Fig. 21.1) into a feedshoe
which oscillates over the die to promote uniform flow of
material into the die cavity. For a given granule the volume of
the cavity, which is adjustable, governs the weight of the
tablet. At the end of the filling stage the toe of the feedshoe is
deflected so that it smooths the surface of the granules in the
die and cannot foul the top punch as it is lowered to compact
the granules. The penetration of the top punch into the cavity
can be adjusted to regulate the degree of compaction, that is
the tablet hardness. The top punch is then quickly raised and,
after a short delay, the bottom punch moves upwards to eject
the tablet. Finally, the bottom punch drops to the filling
position and the ejected tablet is pushed towards the
collection chute by the toe of the feedshoe as it moves
forward to commence the filling cycle of the next tablet.
1031
Fig. 21.1 The compression cycle for a single-punch tablet
machine.
Essential Granule Properties
From the foregoing it should be clear that for the successful

production of tablets the granules must fulfil a number of
requirements. With both single punch and rotary tablet
presses only about a fifth of a second or less is available for
filling the die cavity. Rapid, reproducible, flow of granules is
essential if the tablet weight is to remain constant throughout
the batch. Furthermore, particles of different size or density
must not separate in the hopper as a result of machine
vibration if both tablet weight and composition are to be
maintained. Granules of uniform size minimize difficulties
due to separation, but yield tablets with an inelegant pitted
surface. A broader size distribution, with a proportion of fines
to fill the intergranule spaces, avoids the latter problem. The
conflicting requirements for tablet uniformity and finish must
be carefully balanced by rigid control of the granulation
process.
During compaction intergranule bonds must be formed to
allow the production of a tablet which combines the required
1032
disintegration characteristics with sufficient firmness to
withstand damage due to packaging, transport and other
hazards. The volume of the granules may be several times
that of the tablet into which they are compacted. The
reduction in volume is due to removal of air and this must
readily escape for the proper development of the interparticle
bonds. Compaction also forces the tablet material into very
close contact with the wall of the die. Excessive die-bore
wear and damage to the edges of the tablet result if the
die-wall friction is not reduced, usually by the addition of a
lubricant to the granules.
In addition to the above it is, of course, essential that the
medicament in a tablet is stable and released at the required
rate. Primarily these are matters of correct formulation and
processing.
Granulation Processes
Three processes namely, moist granulation, preliminary

compression or slugging and dry granulation are in common
use and are described in the British Pharmaceutical Codex,
1973.
Moist Granulation
This is still the most widely used of the three processes. The
mixed, powdered, tablet constituents are converted to a moist
cohering mass by the incorporation of granulating fluid.
Granules formed by passing the moist mass through a screen
are dried, rescreened to break down agglomerates and blended
with other tablet adjuvants such as lubricant and disintegrant.
Although the majority of drugs are available as powders
1033
suitable for direct use in the moist granulation process, in a
few cases the particle size of the powder affects the eventual
compression characteristics of the granules. Smith (1950), for
instance, reports that a powder finer than 80mesh should be
used for the production of tablets containing either phenacetin
or phenobarbitone. Often the dose of the drug is very small
and an inert diluent
(bulking excipient) should be added before granulation to
give, as a minimum, a 50mg tablet. Some diluents will absorb
small quantities of liquids (absorbent excipients); others may
be used in the dry granulation process (see Table. 21.1).
Although the inertness of diluents is generally assumed, there
have been reports of their adverse effect on product
performance. Stephenson and Humphreys-Jones (1951)
examined a number of formulations for glyceryl trinitrate
tablets and demonstrated the superior stability of preparations
using a lactose base. Richman et al. (1965) noted that
microcrystalline cellulose permits dry granulation of this
during and yields a more stable product than that obtained
with a lactose–sucrose diluent. A carbonyl–amine reaction
causes darkening of tablets containing lactose or other
reducing sugars together with a primary amine (Duvall et al.,
1965). The BPC 1968 states that calcium phosphate may
interfere with the absorption of calciferol.
Table 21.1 Some diluents used in tabletting
Diluent Uses and comments

Calcium Absorbent diluent. Increases granule BPC
Phosphate BPC density but some grades are abrasive.
1034
Calcium Used for direct compression formulations.
Hydrogen
Phosphate USP
Colloidal silica Small proportion used as an absorbent
diluent or to improve granule flow by
glidant action.
Anhydrous Absorbs moisture at high relative
Dextrose BP humidity—see BPC.
Dextrose (spray Useful for direct compression formulations
dried) but absorbs moisture at high relative
humidity.
Lactose BP Inert, tasteless, odourless, inexpensive and
gives granules by moist granulation which
have good tabletting properties.
Incompatible with primary amines (Duvall
et al., 1965).
Lactose (spray Used for direct compression formulations
dried) but tablets may assume a brown tinge on
storage (Brownley & Lachman, 1963). Is
also incompatible with primary amines.
Lactose Used for direct compression formulations.
(anhydrous) Care should be taken to prevent moisture
uptake. Is also incompatible with primary
amines.
Mannitol BP Dissolves readily and has a ‘cooling’ effect
in the mouth.
Microcrystalline Mainly used for direct compression
cellulose formulations; has some lubricant and
disintegrant effect and may improve the
1035
behaviour of granules made by other
methods.
Sodium Oral tablets containing this substance must
Chloride BP be dissolved in water before administration
to avoid gastric irritation—see BP. Usually
reserved for the formulation of solution
tablets. To avoid binding during
compression, dry thoroughly and compress
while still Warm.
Starch BP Small proportion of dried starch may be
used as an absorbent excipient but its main
use is as a disintegrant.
Mixing: To ensure batch uniformity it is essential that the dry
powders are thoroughly mixed before moistening. It must be
stressed that mixing problems are particularly acute where
one or more of the constituents forms only a small proportion
of the tablet weight. Such minor components should, if
possible, be dissolved in the granulating fluid or other suitable
solvent and incorporated during the moistening stage. This
method is included in the British Pharmacopoeia 1973
monograph on tablets and was specified for Soluble
Paediatric Atropine Sulphate Tablets BPC 1968. Train (1960)
pointed out that solute migration during the drying stage,
analogous to separation on a chromatographic column, will
lead to unequal distribution of solute within the granule mass,
that is, to virtual demixing and this may be difficult to rectify
in subsequent processing. With soluble dyes the effect is
visually apparent in the uneven coloration of the dried
granules and the mottled appearance of the finished tablet.
Jaffe and Lippmann (1964) studied the migration of F.D. &
C. Blue No.1 dye in lactose and noted that tragacanth, acacia
1036
and talc tended to ‘fix’ the dye so reducing its migration. The
problem may be circumvented by the use of lake dyes, that is,
soluble dyes bonded to an inert base. Lake dyes usually
exhibit greater stability to light than the corresponding soluble
colorant and are now much used, particularly for tablet
coating.
A further mixing difficulty may arise if the drug is physically
adsorbed on to the surface of the granules and these have a
broad-size distribution. A large fraction of the drug will be
adsorbed on the fines since these make a disproportionately
large contribution to the total granule surface. Should
separation of fines occur, this again is equivalent to demixing.
The deliberate removal of fines to improve the tabletting
properties of the granules is particularly suspect in these
circumstances as this could lead to the production of low
potency tablets. Where solvent dispersion of the minor
components is not feasible a concentrated triturate may be
prepared and subsequently diluted, in steps, with the
remainder of the tablet ingredients. This should improve
mixing, as comparable quantities of materials are blended at
each stage of the process.
Batches up to a few hundred grams may be mixed in a mortar.
Larger quantities of powders require power driven mixers,
e.g. Y-cone, Rotocube or ribbon blenders. The transference of
large quantities of material from the mixing to the moistening
equipment may be obviated by the use of trough or
change-pan mixers (Fig. 21.2) which are capable of
performing both operations. The change-pan mixer is so
called because the mixing blades and pan are detachable.
Only one drive unit is required to service a number of blades
and pans in which separate products may be prepared
according to the needs of production. In this way the mixer is
utilized more efficiently, transport of granules for further
1037
processing is facilitated and cleansing of the blades and pan
simplified.
Fig. 21.2 The Beken change pan mixer with working capacity
of about 0.1m3. The machine is shown with the pan lowered
and the guard open (Beken Engineering Ltd.).
Moistening: This involves the gradual addition of granulating

fluid to the dry mixed powders. A pestle and mortar is
suitable
for small batches, but power driven equipment such as the
trough or change-pan mixer is essential for thorough blending
action on a larger scale. Initially most of the fluid is held by
capillary forces at the points where particles are in contact
(Fig. 21.3, Stage 1). Further liquid builds up a continuous film
on the external surfaces of the particles and at this second
stage the powder is obviously damp and is very coherent. A
quite small addition of fluid is now sufficient to produce a
1038
film of such thickness that the interparticle friction is lowered
to an extent that close packing of the particles can take place.
At this third stage of moistening, air in the voids is displaced
by fluid and a wet paste, technically a very concentrated
suspension, is formed. This can however be produced once
the second stage of granulation has been reached, by
prolonged or more efficient blending, without the further
addition of granulating fluid, owing to more uniform
distribution of existing moistening medium and the
mechanical removal of air from the mass. For production of
tablet granules the volume of granulating fluid, mixing time
and efficiency must be adjusted to give a second stage mass
which just coheres when lightly compressed in the hand.
Often, this condition may be anticipated by observing the
behaviour of the mass which breaks away from the walls of
the mixer, while the powder shows obvious signs of
aggregation as a result of the greater cohesiveness of the
particles.
1039
Fig. 21.3 Stages in the moistening of a powder.
In some cases moistening may be carried out with a solvent

which causes partial dissolution of one or more components.
With suitable materials the finished granules retain their
structure, as the individual particles have been cemented
together with solute deposited by the removal of solvent on
1040
drying. Reversion to the original powdered state will occur if
substances of low natural cohesiveness are solvent granulated
and a binding or adhesive granulating agent is required in
these circumstances. The adhesive may be added as a solution
or mixed with the tablet ingredients as a dry powder for
subsequent activation by moistening with solvent. The latter
method is sometimes less effective, as many binders are
hydrophilic colloids requiring for complete hydration more
solvent and mixing time than is normally used at the
moistening stage. Table. 21.2 lists some of the more
commonly used binders. Ethyl alcohol, isopropyl alcohol,
acetone, and chlorinated hydrocarbons are useful moistening
agents for water-sensitive drugs; a solvent soluble adhesive
may be needed to obtain firm granules. Due to their high cost,
the use of anhydrous solvents is usually restricted to those
situations where other methods are not feasible. Attention
must be given to fire and toxicity hazards and efficient vapour
extraction is mandatory.
Table 21.2 Adhesive granulating agents
1041
The most suitable granulating fluid, the volume to be used
and the optimum operating conditions are best selected by the
production of trial batches of granules. In the early stages of
developing a suitable process, when even an approximate
value for the volume of granulating fluid is not known, the
time taken for moistening may be unduly protracted.
Significant amounts of solvent may be lost by evaporation in
these circumstances and should be allowed for in subsequent
trials. Clearly, the volume
of fluid must be sufficient to produce a second stage
moistened powder mass and at the same time add sufficient
binder to ensure the production of suitable granules. Powdery
granules which do not compress well are obtained, if the
adhesive is too ‘weak’, is employed in too Iowa
concentration, or if the volume of granulating fluid is
inadequate. The converse conditions lead to hard granules
which produce excessive amounts of fines when dry screened.
Symptoms of overmoistening are clogging of the screen and
agglomeration of the wet granules. Scale-up calculations
based on data obtained from small trial batches often
overestimate the concentration and volume of granulating
fluid on account of the higher blending efficiency of
equipment used for large scale manufacture. Finally, granules
must be evaluated on a press of the type used for production
as their performance may to some degree be affected by
mechanical features such as the method for filling the die
cavity, speed of operation and compaction conditions.
Wet screening: Granules will not readily flow into a cavity
with which they are comparable in size due to crowding at the
entrance of that cavity. On the other hand very fine granules
often exhibit poor flow characteristics. Both conditions lead
to excessive weight variation in the manufactured tablets. In
addition, tablets which are too thin relative to their diameter
1042
are prone to breakage when handled. For these reasons the
screens used for granulation and the die size for compression
are selected (Table. 21.3) according to the final tablet weight.
The Table must be regarded as a guide only since, for
example, a smaller die size may be required if the material to
be tabletted is unusually dense, while screens somewhat
larger or smaller than those recommended may give granules
with better characteristics.
Table 21.3 A guide to the sieve number, punch size and
maximum punch load for the production of tablets
Small batches of moistened mass may be screened by hand,

the material being lightly rubbed, rather than forced, through
the screen. Too vigorous manipulation at this stage is
equivalent to highly efficient blending which, as already
explained, may result in the formation of a third stage pasty
mass and consequent difficulties due to screen clogging.
Hand screening is tedious for more than a few kilograms of
moist material, power driven
equipment such as the Apex comminutor or the Fitz mill
being employed for larger batches.
1043
The oscillating granulator (Fig. 21.4) also finds considerable
industrial use. The base of the hopper is closed by a
semicylindrical interchangeable screen just above which a
rotor oscillates about a horizontal axis. Blades parallel with
the axis and integral with the rotor push the moist mass
through the screen on to a receiver below. In a recent study,
Fonner et al. (1966) found that this type of granulator gave
smoother, more nearly spherical granules of a starch–lactose
formulation than either hand screening or three other
commonly used power-driven granulating machines.
1044
Fig. 21.4 The oscillating granulator.
Drying: The drying temperature for granules is usually about

60°C but may be lower if thermolabile substances are
involved. With tray dryers; air exchange is essential to
prevent saturation of the oven atmosphere with solvent
vapour. By spreading the granules as thin layers on the trays
and raking these layers over from time to time, agglomeration
1045
of granules and migration of solutes is minimized and even
drying of the granules promoted. If different products are to
be dried in the oven at the same time care must be taken to
avoid cross contamination. Up to 24 h may be required for the
drying of large batches of granules.
The fluid-bed dryer (Fig. 21.5) is now widely used in the
pharmaceutical industry because the drying time is only
20–30min, irrespective of batch size which may be 60kg or
more, The amount of granulated solvent to be evaporated
decreases as drying proceeds; thus the temperature of the air
leaving the fluidized bed rises until it is constant and
approximates to that of the input air stream. With experience
the effluent air temperature provides a convenient means of
establishing the optimum drying time. If drying is prolonged
beyond this point attrition of the granules leads to an increase
in the proportion of fines. The overdried granules have
inferior compressing characteristics and consequently
difficulties are encountered in the production of the tablets.
On large scale equipment an automatic timer is provided to
shut off the heaters and air flow at the end of the
predetermined drying time. Generally, less fluid is needed for
granules, which are
to be dried in fluidbed equipment as the amount of
granulating fluid suitable for tray-dried granules gives a moist
mass which is too dense and cohesive for correct fluidization
of the bed. On the other hand, undermoistening should be
avoided as fines may clog the output air filters and impede the
air flow.
1046
Fig. 21.5 The fluid-bed drier.
Dry screening: This breaks down agglomerates and reduces

them to a size compatible with the tablet diameter. Too
vigorous dry screening causes granule structure to be lost
with the production of excessive quantities of fines. Although
a proportion of these are required to fill the voids between
larger granules, giving a smooth surface to the tablet, excess
causes trouble at the compression stage.
Other methods or moist granulation: The conventional
process has a wide range of application but is time consuming
and involves a large number of separate operations.
Alternative methods of moist granulation have been
developed whereby granule manufacture can be carried out as
a single integrated process. Fluid-bed granulation (and
drying) stems from the work of Wurster (1959, 1960) who
had earlier patented a fluid-bed method for tablet coating.
One equipment in current use for moist granulation has a
downward-directed atomizer placed centrally above the
fluidization chamber. Correct circulation of material is
brought about by the special shape of the perforated base and
the progressive expansion of the upper part of the chamber.
1047
The powders are mixed, granulated by the spray of warm
granulating solution and dried while in a fluidized state.
Lubricant, disintegrant and any other necessary tablet
adjuvants are then added and blended by a further short
period of fluidization.
Granule size is controlled by the volume, temperature and rate
of addition of granulating fluid together with the air flow rate,
which determines the expansion and circulation of the bed.
Normally, these parameters are automatically controlled by
presetting a programming device on the basis of data obtained
from previous development batches. A granulator capable of
processing up to 60kg of material in under 2h with only
minimum supervision is shown in Fig. 21.6. Other methods
for moist granulation are discussed in Chapter 19. The
foregoing methods all show a considerable saving in time and
labour costs as compared with the conventional method: the
granules often possess superior flow properties due to their
greater smoothness and sphericity.
1048
Fig. 21.6 The Calmic fluid-bed granulator. The programming
panel may be seen top left. This controls application of
granulating agent from the pressure vessel (centre bottom) to
the material in the fluidizing chamber.
Preliminary Compression or Slugging
This method is used where the tablet ingredients react

chemically when moistened, degrade in the presence of water
or when heated, or yield granules with poor flow or
compression properties when made by other granulation
techniques.
Heavy-duty tablet presses are employed for the compression
of the dry, mixed powders. As these rarely flow well,
vibratory feed devices may be attached to the hopper while
die-cavity filling is facilitated by the use of large (2–5cm)
punches and slow speed operation of the press. Flat faced
1049
punches are necessary as the high compaction pressures
employed for slugging would splay the edges of a concave
faced punch: the clearance between the punch and die wall is
also larger than that used for ordinary tablets to allow rapid
escape of air entrapped in the powders. The compaction
pressure must be high enough to ensure that the rough tablets
(slugs) give material with a granular structure when forced
through a screen. It is usually advantageous to add some
lubricant and disintegrant prior to slugging, further quantities
of these being added to the granules before final compression.
Talc is frequently employed as lubricant, since powder flow
rather than die-wall friction is usually the major problem in
the preliminary compression stage. Adhesive-containing
granules, prepared by moist granulation, tend to retain their
structure for long periods in contact with aqueous media. The
absence of adhesives from tablets prepared by slugging
however usually results in good disintegration.
Paediatric Ampicillin Tablets BPC and the official soluble
analgesic tablets containing aspirin may be prepared from
granules made by preliminary compression.
Dry Granulation
This is the simplest of the three granulation techniques. The

material to be tabletted is screened if necessary, mixed with
any additional adjuvants and is then ready for compression.
Tablets made in this way are said to have been prepared by
direct compression.
Formerly, the alkali metal and ammonium halides, hexamine
and potassium chlorate were the only commonly used
medicinal substances which could be dry granulated. More
recently the list has been extended by the commercial
1050
production of suitably granular forms of Dried Yeast, Dry
Cascara Extract, Aspirin, some ferrous salts and a few other
substances. Provided an increase in the tablet weight can be
tolerated, the addition of spray-dried lactose or anhydrous
lactose to the medicament, together with lubricant and
disintegrant, will often yield granules which may be directly
compressed. As Lactose BP does not promote free powder
flow, act as a dry binder or possess good compaction
properties it would appear that these characteristics reside in
the spherical shape of the spray-dried sugar. The applications
of this material to tabletting technology have been reviewed
by Gunsel and Lachman (1963). Tablets containing
spray-dried lactose may assume a brown tinge on storage due,
it has been suggested, to the presence in the sugar of
5-hydroxymethylfurfural (Brownley & Lachman 1963). This
darkening should be distinguished from that resulting from
the reaction of primary amines and lactose. Other excipients
which may be used in direct compression formulae are listed
in Table. 21.1. Of these, microcrystalline cellulose is of
particular interest since, as reported by Reier and Shangraw
(1966), this material also possesses marked lubricating and
disintegrating properties.
In those cases where one or more ingredients are present in
low concentration, efficient mixing may be more difficult
with dry than with moist granulation. The problem has a
two-fold origin. Firstly, solvent dispersion cannot be used
and, secondly, fine powders are essential to secure efficient
mixing; but fine powders lack the good flow and compaction
characteristics essential to tablet manufacture. The magnitude
of the problem may be appreciated by applying the methods
described by Train (1960) to the example of 50mg tablets
containing 1 per cent by weight of drug. If the density of the
material from which the tablet is formed is 1.5g.cm−3, the
1051
particle size should not exceed 20microns and at least 107
particles per tablet are necessary to ensure that 99.7 per cent
of the tablets in the batch comply with a ± 10 per cent
tolerance in the content of the drug.
Dry granulation is the most economical of the three
granulation processes in terms of time, labour and equipment.
The availability of the drug for absorption should be good due
to the absence of adhesive granulating agents while the
elimination of drying and moistening stages obviates many of
the stability problems associated with the moist granulation
process. Against these advantages must be set the relatively
high cost of some diluents used in direct compression
formulae and the restricted range of materials manufactured
in a suitable granular form. It seems likely however that the
more widespread adoption of devices for promoting uniform
die filling with difficult materials will reduce the cost and
extend the applicability of the dry granulation process.
Flavours, Lubricants and Disintegrants
When moist granulation is employed, these adjuvants are

normally added to the dry, screened granules, but the
incorporation of internal lubricant or a proportion of
disintegrant prior to moistening, as described below, are
exceptions. For slugging and dry granulation the addition of
these adjuvants has been discussed in the relevant sections.
Flavours
Essential oils are included in a few official tablets. They may

be mixed with a small quantity of fines or absorbent excipient
and the triturate thoroughly blended with the rest of the
1052
granules. Dissolution in a volatile solvent aids dispersion if
the volume of flavouring agent is small or, alternatively, the
solution may be directly sprayed on to the granules. In both
cases solvent must be completely removed before
compaction. For nonofficial tablets a wide range of flavours
in powder form is available.
Flavours may not, of course, be added prior to an operation
involving the use of heat.
Lubricants
These may promote granule flow (glidants), minimize

die-wall friction (die-wall lubricants) or prevent the adhesion
of granules to the punch faces (antiadherents). Talc, for
example, is a good glidant but is inferior to magnesium
stearate as a die-wall lubricant. In addition to their mode of
action, lubricants may also be classified according to the way
in which they are added to the granules. External lubricants
are incorporated immediately before compression and
function by coating the granule surface while internal
lubricants are mixed with the dry powders prior to moistening
with granulating fluid. Granules prepared in this manner are
described as self-lubricating. One step in the moist
granulation process can be eliminated by the use of an
internal lubricant in conjunction with polyethylene glycol as
the binding agent. In suitable cases the water solubility of the
glycol permits the formulation of tablets with good
disintegration properties. Commonly used lubricants are listed
in Table. 21.4.
Table 21.4 Lubricants used in tabletting
1053
Disintegrants
These assist the disintegration of the tablet by swelling

(bursters), by improving the penetration of aqueous liquids
(Table. 21.5), or by the liberation of gas from an effervescent
base. For a number of medicaments, disintegration of the
tablet is improved if part of the disintegrant is added to the
powders prior to moistening; the disintegrant within the
granules assists the disruption of these in contact with
aqueous media. Powdered disintegrants, e.g. starch,
methylcellulose, etc., are normally employed in proportions
which significantly increase the fines content of the granules
and
in unfavourable circumstances this can give rise to
compression difficulties. Additionally, premature
disintegration of the tablet may occur in mouth if excessive
amounts of disintegrant are employed and, apart from
difficulty in swallowing the powdery mass, any unpleasant
taste due to the medicament may prove objectionable. In a
few cases an effervescent base is used to promote
disintegration. This consists of citric or tartaric acid together
with sodium bicarbonate, potassium bicarbonate or calcium
1054
carbonate. These react in contact with water to liberate carbon
dioxide which disrupts the tablet. A slight trace of moisture is
sufficient to initiate the reaction which produces further water
and is thus potentially self-perpetuating. For stability, very
dry materials, rigorous exclusion of moisture during
manufacture and efficient sealing of the packages are
essential—the material use of anhydrous citric acid in official
preparations of this type should be noted.
Table 21.5 Disintegrants used in tabletting
Concentration
in the
Material Uses and comments
granules per
cent w/w
Alginic acid 2–10 Burster which may prove
better than starch for
‘difficult’ materials (Berry
& Ridout, 1950). May be
incorporated prior to
moistening to improve
disintegration. If added to
the dry granules, avoid
finely powdered grades as
these form a coherent gel on
the tablet surface and may
prolong disintegration time.
Magnesium 1–10 Burster. Veegum is one
aluminium variety
silicate
1055
Methylcellulose 2–10 Burster. Use medium
viscosity grade in a not too
fine powder
Microcrystalline 1–10 Has some lubricant
cellulose properties, higher
concentrations used as
dry-binding diluent
Sodium lauryl 0.1–0.5 Wetting agent which
sulphate improves penetration of the
tablet pore system by
aqueous liquids. Will
counteract the
water-repellent effect of, for
example, phenothiazine and
the stearate lubricants. May
minimize the increase in
disintegration time which
often occurs as tablets age
Starch 2–10 Burster. Potato and maize
starch are usually
considered superior to the
other varieties. Part may be
incorporated prior to
moistening
Nowadays some newer disintegrants that are effective at
lower concentrations with greater disintegrating efficiency
and mechanical strength are used. These substances are called
superdisintegrants. The superdisintegrants on contact with
water hydrate swell, change volume or form/produce a
disruptive change in the tablet. These substances act by
swelling and due to swelling, pressure is exerted in the outer
1056
direction or radial direction that causes tablet to burst or the
accelerated absorption of water leading to an enormous
increase in the volume of granules to promote disintegration.
Three major groups of compounds that swell to many times
their original size when placed in water while contributing
minimal viscosity compared to the more traditional starch
have been developed. The newer disintegrants are effective at
much lower levels and comprise three groups: modified
starches, modified cellulose and cross-linked povidone
(Table. 21.6). Their likely mechanism of action is a
combination of proposed theories including water wicking,
swelling, deformation recovery, repulsion and heat of wetting.
Superdisintegrants are so called because of the relatively low
concentration required (2–4% w/w).
Table 21.6 List of superdisintegrants
The Compressing Weight
This is the weight of granules which must be fed into the die
cavity to give a tablet containing the nominal amount of drug.
The most direct method is to assay the granules and from the
1057
result calculate the compressing weight. Alternatively, this
may be derived from data obtained during the manufacture of
the granules and allows production of tablets to proceed
without the delay due to the time taken to assay the granules.
Whichever method is used, the finished tablets must be
examined for medicament content, weight uniformity, etc., as
discussed later.
Dry Granulation
The compressing weight is the sum of the weights of the

individual ingredients in each tablet:
Codeine phosphate 20.00mg
Stearic acid, in fine powder 0.06mg
Potato starch 0.60mg
Spray dried lactose 39.34mg
Compressing weight 60.00mg
As given, this formula would not be adopted for the
commercial production of large batches, due to the possible
darkening of the spray-dried lactose. It is suitable for the
extemporaneous preparation of small batches. If a specified
number of tablets must be supplied, an allowance must be
made for losses incurred when adjusting the machine for
correct tablet weight and hardness.
Preliminary Compression
Here, an allowance must be made for losses which occur

when slugging and rescreening. Consider typical production
data for 100,000 Soluble Aspirin Tablets BP:
1058
Per tablet For 100,000
(mg) tablets (kg)
Aspirin, in fine powder 300 31.00
Anhydrous citric Acid 30 3.10
Calcium carbonate 100 10.33
Saccharin sodium 3 0.31
Talc 4 0.41
Theoretical weight of ingredients 437 45.15
Weight of granules after – 44.30
slugging and rescreening
Weight of talc added prior to – 0.80
final compression
Total weight of granules for final 45.10
compression
Actual number of tablets which may be prepared from the
slugged and rescreened in material is:
Compressing weight
1059
Talc, rather than magnesium stearate, is used to avoid
hydrolysis of aspirin and to improve powder flow.
Disintegrant is not required as an effervescent base and finely
powdered aspirin ensures rapid dissolution when the tablet is
placed in water.
The use of anhydrous citric acid avoids premature reaction of
the ingredients.
Moist Granulation
When calculating the compressing weight of granules

prepared by this process it cannot be assumed that the starting
materials are perfectly dry or that all moistening solvent is
removed by drying. By keeping a record of the weight of the
product at each stage of the granulating process calculation of
the compressing weight is feasible. The following data might,
be typical for the manufacture of, say, about 200,000 tablets
each containing 0.5g of medicament:
Medicament 101.0kg
Adhesive granulating fluid 10.6kg
Theoretical weight of mass 111.6kg
Actual weight of moist granules 111.1kg
Weight of granules after drying 104.6kg
Weight of granules after screening 104.3kg
Formula of granules for compression:
Screened granules 104.3kg
Disintegrant 8.0kg
Lubricant 0.5kg
Weight of granules for tabletting 112.8kg
1060
Number of tablets which could be produced from 101kg of
medicament is:
Weight of moist mass per tablet:
Number of tablets that may be prepared from the actual

weight of moist granules:
After drying 104.6kg of material contains the medicament

present in 111.1kg of moist granules and 104.3kg of dried
material is available for tabletting after screening. The
number of tablets that may be produced from the screened
granules is:
The final compressing weight after addition of disintegrant

and lubricant is:
1061
In the previous two examples large quantities of materials are
being handled and losses can be kept to a minimum. Much
greater losses are incurred when the moist granulation
technique is applied to small batches; moistened mass which
cannot be recovered from the granulating screen and tablets
lost when adjusting the tablet press may represent a large
proportion of the total batch. A loss of up to 10 per cent is
possible in these circumstances and should be allowed for
when calculating the weights of materials required to produce
the batch.
Production of Tablets
The Single Punch Tablet Machine
Assembly
Clean the punches and die, set the machine by hand to the
filling position, insert the bottom punch in its holder (Fig.
21.7), making sure that the locking notch faces the locking
bolt, and lightly secure in position. Carefully fit the die, check
that the die face is flush with the table and then securely
tighten the locking bolt. The top punch may now be fitted,
lightly secured, and this operation followed by the assembly
of the feedshoe but not the connecting rod. Fill the feedshoe
with granules, adjust the weight regulating collar so that the
punch face is 0.5–1cm below the die table and then fill the
cavity with granules. Carefully lower the top punch into the
1062
die cavity and at the same time adjust the hardness control
such that the machine drive cannot be turned by hand past the
compression position; maintain the load on the punches while
their locking bolts are finally tightened. This procedure
ensures that the punches are firmly locked in their holders and
cannot work loose during tablet manufacture. Finally, reduce
the compression control and eject the compact.
Fig. 21.7 Main operating parts of the single-punch tablet

machine.
1063
Adjustments
Tablet weight: For the filling and compression stages the

lifting block pulls down the weight regulating collar and
holds it in contact with the main frame of the machine. The
position of the bottom punch face in the bore determines the
volume of the die cavity and hence the tablet weight. For
preliminary weight adjustment the collar is adjusted on its
thread so that a weighed quantity of granules just fills the
cavity. Final weight adjustment is made with the press
running normally, as die filling is affected by the dynamic
flow properties of the granules under operating conditions.
Ejection: After the compression stage the lifting block moves
to its top position and raises the lower punch assembly by
engagement with the ejection regulating collar. This is set to
bring the punch face flush with the upper surface of the die.
Too low a setting will cause part of the tablet to be sliced off
as the feedshoe moves forward, while the punch will foul the
base of the shoe if the setting is too high. The feedshoe is
fabricated from a soft metal to minimize damage in the event
of machine malfunction. A locking device is provided to
make sure that the regulating collars cannot move during
machine operation.
Tablet hardness: The top punch is locked in a holder which
moves in a guide to ensure accurate registration of the punch
and die bore. During operation of the press an eccentric cam
imparts a vertical movement to the punch holder. Since the
amplitude of the upper punch stroke and the centre of rotation
of the cam drive are fixed by the machine design, die
penetration is controlled by an adjustment which, effectively,
alters the distance between the centre of rotation of the earn
drive and the face of the upper punch at the bottom of its
1064
stroke. If this distance is increased the punch penetrates
further into the die cavity; thus, for a given fill, the granules
are more highly consolidated and a harder tablet is formed.
The mechanisms used to adjust tablet hardness vary
considerably and are best understood by examination of
actual equipment. One method is shown in Fig. 21.7; as the
holder is moved down, the adjusting thread punch penetration
is increased.
Feedshoe movement: A rod connects the shoe to its actuating
mechanism, transverse oscillation of the feedshoe relative to
the die cavity being controlled by the length of the rod. This
should be adjusted to ensure that the cavity is uniformly filled
with granules, the top punch does not foul the shoe and the
ejected tablet is pushed well away from the vicinity of the die.
Once correctly adjusted, little further attention is required for
successive production runs.
Operation
Once the machine has been assembled, trial tablets may be

made with the feedshoe and the press operated by hand.
When soft tablets of the correct weight have been obtained by
adjustment of the appropriate controls, the feedshoe operating
rod is connected and further tablets produced by hand.
If these are still rather soft, but otherwise satisfactory, power
drive may be applied. Make any final adjustments to the
controls bearing in mind that the press will ‘settle down’ after
20–30 tablets have been made. The production of soft tablets
during the preliminary stages of adjusting the machine is
necessary to obviate jamming due to the more efficient filling
of the die under power drive.
1065
The optimum tablet hardness depends on the material to be
compacted and the ultimate use of the tablets. Uncoated
tablets must be hard enough to withstand handling and yet not
so hard that the disintegration time is unduly prolonged.
Firmer tablets are required to resist the abrasion normal to the
film or pan coating processes, but cores for compression
coating must be somewhat soft to allow further consolidation
when the coating is applied. A crushing test is used to ensure
compliance with predetermined specifications for tablet
hardness.
There is, obviously, a limit to the compaction force which
may be safely developed by a given model of tablet press.
Some are fitted with an adjustable overload release whereby
the weight regulating collar rests on a spring loaded stop
which is deflected downwards should the preselected
compacting force be exceeded. In this way jamming and
machine damage is avoided. The medium duty press shown in
Fig. 21.8 is provided with means for varying the production
rate from 40 to 90 tablets a minute and overload release for
loads up to 4 tons (4000kg).
1066
Fig. 21.8 Power-driven single-punch tablet machine. The top
punch and the bottom punch holder are enclosed by a safety
screen. The value at which overload occurs is indicated by the
gauge bottom left.
It is essential that precautions are taken to preclude accidental

connection of the power supply during assembly and initial
adjustment of the press. As large compaction forces are
developed, even by hand tablet machines, it should not be
necessary to emphasize that the hands must be kept clear of
the compressing area during production. On some presses an
1067
interlocking switch isolates the power supply until the moving
parts are enclosed by a safety screen. The machine must never
be operated so that the punch faces come into contact: if it is
to be left for a short period the die cavity must be filled with
granules. Finally, the feedshoe connecting rod must be
removed and the shoe defected away from the die area, if it
becomes necessary to operate the press in the reverse
direction.
The Rotary Tablet Machine
The most important factor limiting the production capacity of

a tablet press is the rate at which the die cavity can be filled
with
granules. For the single punch machine the limit is probably
of the order of 8000 tablets/h but by mounting the punches
and dies in a rotating holder (turret) which passes them in
sequence through the filling, compression and ejection stages
much larger outputs are possible. This is the principle of the
rotary tablet machine (Fig. 21.9).
1068
Fig. 21.9 Medium duty 16-station rotary tablet press. The
upper turret and punches are visible beneath the plastic dust
screen. Manesty Machines Ltd.
The top and bottom punches move freely in guides bored in

the upper and lower sections of the turret (Fig. 21.10) while
the centre section forms the die table. Cam tracks govern the
positions of the punches by engaging with the head or the
under surface of the mushroom head of the punch. The die
cavity is overfilled with granules as it passes below a flat
1069
feedframes (Fig. 21.11) fed from a hopper. Tablet weight is
regulated by an adjustable section of the lower earn track
which, towards the end of the filling period, causes the
bottom punch to rise slightly. The excess granules are
removed by a scraper bar and retained in
the feed frame. The method gives a more consistent die fill
than would be obtained by setting the bottom punch at the
correct level for the whole of the filling period. Weight
adjustment is followed by a slight but sudden drop in the
bottom punch level both to remove air by tamping action and
lower the level of the granules in the die. This facilitates
subsequent compaction and at the same time obviates spillage
from the die cavity due to the centrifugal forces developed by
the rotating turret.
Fig. 21.10 16-station rotary tablet press. The perspex screens

and hopper and lower guard have been removed to show the
1070
upper and lower turrets and die table. The upper and lower
cam tracks and the upper pressure roller are also visible.
Fig. 21.11 Close-up view of rotary press. The outlet of the

hopper may be seen (left) feeding granules into the feed
frame. Ejected tablets are being directed towards the
collection chute bolted to the end of the feed frame. The
upper cam track for lifting the top punch clear of the feed
frame is also visible.
At the start of the compression stage the top punch is rapidly

lowered to penetrate the die cavity and then both punches
pass between pressure rollers which ‘squeeze’ the punches
towards one another. The position of the upper roller is fixed
and it is the adjustable lower roller that controls the separation
of the punch faces at the point of maximum compression, that
is, the tablet hardness. The lower roller is fitted with
adjustable overload protection. Following compression, the
top punch is raised rapidly to clear the feed frame and allow
the tablet to be ejected as the lower punch rides up the lower
cam track which may be adjusted to set the correct height of
the punch for tablet ejection. The lower punch is then pulled
1071
down for the filling stage on the next revolution of the turret.
A scraper bar directs the ejected tablet towards the collection
chute. Any granules which have seeped out of the feed frame
are carried round on the die table and returned to the frame
behind the scraper bar. With 16 punch and die positions
(16-station machines) the output is of the order of 50,000
tablets/h. Double rotary machines produce two tablets per
revolution of the turret: outputs in excess of half a million
tablets/h may be obtained with 69-station double rotary
machines (Fig. 21.12).
Fig. 21.12 69-station rotary tablet machine. Manesty

Machines Ltd.
It is inherent in the processing of particulate solids that dust

will be liberated into the environment, a problem which is
particularly acute with rotary tablet machines. With highly
potent medicaments toxicity hazards must be considered,
while interproduct contamination is an ever present problem
in all tablet production processes. Modern rotary machines
1072
are provided with clear plastic covers over the moving parts
and dust extraction. In difficult cases the only complete
solution may be the provision of individual dust-extracted
cubicles for each machine. Finally, as discussed earlier, it
should be remembered that granules which ‘run’ well on a
single punch machine may need reformulation for good
performance on a rotary machine (and vice versa) due to
differences in the modes of die feed and compression.
Developments in the Design of Rotary Tablet

Machines
Granule Flow
The flow of granules into the feed frame is controlled by the

height of the hopper outlet above the die table. A number of
materials flow erratically or may even block the hopper
outlet. Vibratory devices for attachment to the hopper offer a
partial solution to these problems but where a very high
flowrate is required—this may be as much as 2kg/min for
ultra high-speed presses producing half a million tablets/
h—more positive feeding is essential. The Stokes metering
hopper minimizes blocking by allowing the granules to flow
down a wide straight section at the base of the hopper on to
an inclined plate which in turn directs the granules on to a
metering wheel. The form of the latter, i.e. perforated disc,
mesh or paddle, its rotational speed and the height of the
baffle above the wheel, control the flowrate of the granules
out of the hopper and into the feed frame.
1073
Die Filling
Even flow of granules from the feed frame into the die cavity
is essential if tablets of uniform weight are to be produced.
Even at low operating speeds filling of the die with ‘difficult’
materials may be erratic with conventional feed frames. A
number of devices have been designed to give ‘forced’,
‘assisted’ or ‘induced’ feed of granules into the cavity. The
Manesty Rotaflow feeder employs contrarotating vaned rotors
in an enclosed feed frame to assist granules into the dies.
Some removal of air and slight compaction of the granules in
the die cavity is obtained by the use of this feeder which is so
designed that excess granules are automatically returned to
the die-feed area. Gold et al. (1968) have reported that with a
normal 16-station press the coefficient of weight variation for
500mg tablets was 0.7–2.4 per cent when a granule with good
flow properties was used and 3.4–3.9 per cent for a poor
granule. Using an ultra high speed machine with induced die
feed they found that the coefficient of variation fell to 2 per
cent or less irrespective of the type of granule, in spite of a
lower tablet weight of 200mg and a rate of production
(3000–4000 tablets min) at least five times that attained with
the conventional machine.
Removal of Air
The time taken for compression may not be sufficient for the
complete removal of air from the granules in the die cavity.
The air which remains hinders intergranule bonding and may
result in capping, lamination and other difficulties. Many
rotary presses are now fitted with precompression rollers for
light compaction of the granules ahead of the main
1074
compressing position. In this way most of the air is removed
from the granule bed which is partially compacted before
final compression takes place.
The introduction of devices for improving granule flow, die
filling and the removal of air has made feasible the ultra
high-speed production of tablets. These devices will,
undoubtedly, find wide application in the direct compression
of a wider range of substances than has hitherto been possible
with conventional tablet machines.
Multilayer Tablets
One further development, not directly concerned with

overcoming flow and compaction problems has been the
introduction of equipment for making multilayer and
compression coated tablets. The latter are discussed in the
section on coating techniques. Layer presses are used where
chemically incompatible materials, or those which separate in
a mixed granulation, must be presented in the same tablet. For
sustained action products each layer may be formulated for
different release characteristics. The presses employ three
filling and compression stages round the turret and as each
layer is filled into the die cavity in sequence the granules are
lightly compressed to remove air. When the final layer has
been deposited the whole is compressed into a firm tablet in
the normal way. Since each layer is thinner than in normal
tabletting, fine granules (16mesh or smaller) must be
employed. Excessive fines and lubricants must be avoided to
promote good interlayer adhesion. A sampling device is
provided so that the weight of each layer may be checked
without stopping the machine. For the successful production
of multilayer tablets the granules must not be too dense and
1075
should compact to less than half their original volume,
otherwise the depth of fill is unmanageably small and difficult
to control.
Punches and Dies
These are usually fabricated from special steels, the working

surface being accurately machined and highly polished to
ensure proper mechanical operation and well finished tablets.
For single-punch machines the punches are held, firmly
seated in their holders, by wedge action of the locking
notches against the tips of the locking bolts; notches or
circumferential channels serve the same purpose for the dies.
For the manufacture of specially shaped products, such as
pressaries, registration of the upper punch and the die must be
exact. In the case of rotary tablet machines a key inserted in
the guide prevents free rotation of the upper punch. The
clearance between the upper punch and die bore is normally
0.0013–0.004cm (0.5–1.5 thousandth of an inch) but for
slugging this is increased to 0.008cm to allow rapid escape of
air from the granules. Fines seeping downwards between the
lower punch and die bore would become highly compacted
and impede free punch movement but for a slight reduction in
the shank diameter some 0.5cm below the punch face.
In most English-speaking countries and some others, punch
diameters were, until recently, quoted as multiples of a
thirty-second of an inch, but metric sizes have been adopted
by the British Pharmacopoeia 1973 and British
Pharmaceutical Codex 1973. The majority of tablets are
produced with flat, flat bevelled edge or normal concave
punches (Fig. 21.13) but where tablets are to be pan or film
coated deep concave punches must be used to facilitate the
1076
coating process. Punch faces may be embossed so that tablets
with engraved letters or other devices are produced.
Diametrical scoring permits more ready subdivision of the
tablet by the patient should this be required. The load which
may safely be applied to punches is limited by the material
from which they are fabricated and by the type of punch face.
A load of 8 × 107 kg/m2 (50 tons/in2) is permissible for flat or
normal concave steel punches but must be reduced to half this
figure, or less, depending on the punch diameter and face
contour where the edge of the punch face is very thin as is the
case with deep concave, bevelled edge and ball punches. This
is because the lateral forces developed during compression
would splay the thin weak edges of these types of punches.
The maximum loads quoted in Table. 21.3 are average figures
for the special steels used in punch manufacture; where other
materials are employed the manufacturer of the punches
Fig. 21.13 Tablet profiles and structures.
1077
Punches and dies (tooling) must be stored, lightly oiled, in
containers which prevent accidental contact. The ease of
manufacture and the final appearance of the tablet depend on
unblemished, highly polished working surfaces; punch edges
must be sharp and free from burrs. As compaction usually
occurs in the middle section of the die bore, wear ‘rings’ are
formed at this point and hinder tablet ejection. Inversion of
the die for alternate tablet batches minimizes ringing and
extends the life of the die. Tapered dies may facilitate the
compaction of difficult materials, as the progressive increase
in clearance (about 0.004cm in the centre to 0.008cm at the
die face) permits more ready escape of air and gradual
reduction of die-wall friction as ejection proceeds. Tungsten
carbide inserts, having greater resistance to wear are
particularly useful for the compaction of abrasive materials.
Nonmetallic tooling may be required for the compaction of
corrosive substances. Agate may be employed for this
purpose, for instance in the production of tablets containing
mercury salts. All stations of a rotary machine must produce
tablets of uniform weight and hardness. Maintenance must,
therefore, ensure that all punches in a given upper or lower set
are of identical length as the weight, hardness and ejection
controls are common to all stations· of a rotary.
The comprehensive range of tooling required for even a
modest tablet manufacturing department represents a large
capital investment which rapidly depreciates in the absence of
proper maintenance. Additionally, the inferior tablets
produced by defective punches and dies do little to enhance
the reputation of the manufacturer. Swartz et al. (1962) and
Swartz and Anschel (1968) indicate that extended life and
improvements in the quality of the tooling supplied by the
manufacturer are positive advantages which may be expected
1078
from a well-organized punch and die quality control
programme.
Tabletting Problems
Tablets may exhibit a number of defects which are

immediately apparent or, as is often the case with capping,
appear only after storage. It is important therefore that the
appropriate tests be applied at the start of and during a
production run in order that remedial action may be promptly
taken.
Binding in the Die
When this occurs ejection of the tablet is difficult and is often

accompanied by a characteristic ‘grunting’ noise; the tablet
edges are rough or scored. The problem results from the
conditions that give rise to high die-wall friction, namely poor
lubrication, underdried granules and a dirty or blemished die.
Poor lubrication includes inefficient blending of the lubricant
with the granules as well as the wrong quantity or choice of
this adjuvant. An alternative source of trouble is too large a
clearance between the lower punch and the die bore as a result
of excessive wear. Fines seep downwards through the gap and
compact to form a tough film which hinders free movement
of the punch.
Picking and Sticking
Here the problem is caused by adhesion of material to the

punch faces. If localized, portions of the tablet surface are
seen to be missing; this is called picking. The tablet has a dull
1079
rough appearance when ‘sticking’ occurs due to adhesion of
the tablet to the whole punch face. In either case, if not
corrected, the defect worsens progressively and a layer of
compacted granules builds up on the punch face. This,
effectively, is equivalent to an increase in punch length that
causes high compaction pressure and eventual jamming of the
press if not promptly rectified. The fault can usually be traced
to underdried granules, poorly maintained punch faces or the
use of a lubricant lacking in antiadherent properties.
Capping and Lamination
These faults can often be traced to inadequate removal of air

from the granules in the die cavity before and during
compression. The entrapped air interferes with granule
bonding while its subsequent expansion at the ejection stage
detaches the top, the ‘cap’, of the tablet. In other cases the
tablet splits into a number of layers (laminates). Excessive
fines, incorrectly prepared or overdried granules, or too small
a top punch/die-bore clearance—all hinder escape of air from
the die cavity and may be the cause of capping or lamination.
A second cause of the problem is associated with undue
elastic compression of the tablet due to the use of too high a
pressure at the compaction stage. During ejection, elastic
recovery of that part of the tablet protruding from the die
gives rise to both lateral and longitudinal forces (Fig. 21.21)
which rupture the intergranule bonds and the tablet then caps
or laminates. Finally, on occasion, these faults may be traced
to distortion of the tablet during ejection from a ‘ringed’ die
or to the use of burred punches.
1080
Excessive Weight Variation
This problem is associated with poor granule flow and

separation of granule constituents. Thus granules which are
underdried, too large (see wet screening, p. 305), too fine or
contain a large proportion of fines, are incorrectly lubricated
or comprise elements with widely differing densities or sizes,
may all be suspected as possible causes of excessive weight
variation. If the fault occurs with a rotary machine and
granule flow appears to be satisfactory, then it is worth
considering the possibility that one or more punches are of
different length to the others due, for example, to inadvertent
mixing of bottom punch sets. Occasionally, ‘difficult’
granules are produced in spite of care in processing and
tablets of more uniform weight and improved appearance may
be obtained at a slower machine speed that allows more time
for die-cavity filling.
Fissured or Pitted Surface
If this is not due to sticking or picking the most likely cause is

the presence of granules which are uniform in size and lack
the fines necessary to fill the voids. Generally, the problem
may be cured by the use of granules with a broader size
distribution but care must be taken to see that this does not
lead to other problems such as capping or lack of uniformity
in the tablet weight.
Soft Tablets
Apart from the use of too low a compaction pressure this

problem usually arises when granules have been inadequately
1081
dried or the intergranule bonds have been weakened either by
traces of air in the granule bed (insufficient to cause capping)
or by excessive proportions of fatty lubricant such as
magnesium stearate.
Protracted Disintegration
In this case the tablet either rapidly breaks down to form large
particles that persist for a long period, or fine particles are
produced, but the overall disintegration time is excessive. The
fault can usually be traced to:
1. An adhesive granulating agent which is too ‘strong’,
2. Conditions that inhibit the penetration of water; high
degree of compaction, hydrophobic tablet ingredients,
excessive quantities of fatty lubricant or gelling of the
granulating agent, or
3. Inefficient bursting action resulting from the use of the
wrong type of disintegrating agent, or insufficient of it.
If the granules are intrinsically hydrophobic or have become
so due to the unavoidable use of a fatty lubricant, small
amounts of surfactant may be included in the tablet
formulation to facilitate penetration by aqueous fluids.
Alternatively, a hard polyethylene glycol may be employed to
provide ‘soluble’ points in the tablet structure. In suitable
cases more efficient bursting action is obtained if part of the
disintegrant is incorporated prior to the moistening or
preliminary compression stages of granulation. Finally, as
discussed later, it should be noted that too low a degree of
compression may lead to a long disintegration time.
1082
Mottled Tablets
These may be produced if the granule size distribution is

discontinuous; the finer particles provide a background of
slightly different hue which shows up the larger granules in
the tablet surface. The effect is more marked with coloured
tablets and is particularly noticeable if dye migration has
occurred. If the problem arises when the tablets are stored,
instability of one or more ingredients should be suspected.
Variation of Medicament Content
Standards will eventually be set for the drug content of

individual tablets. If the content shows excessive variation
and those factors contributing to weight variation can be
eliminated as a cause, the most likely sources of trouble are
migration of solute, physical adsorption with separation at
some stage of the production process and inefficient mixing.
Drug Instability
This topic is discussed in detail elsewhere in this volume. The

majority of air-dry drugs and tablet excipients contain water
and this is also deliberately added, and may not be completely
removed, in the moist granulation process. Moisture content
must be controlled not only for purely technical reasons
associated with the physical processes of tablet production,
but also to ensure drug stability. The subject was reviewed by
Griffiths (1969).
1083
Tablet Coating
Tablet coatings perform one or more of the following
functions. They may: mask the taste of unpalatable drugs,
protect the drug from deterioration due to light, oxygen or
moisture, separate incompatible ingredients, control the
release of medicament in the gastrointestinal tract, and
provide an elegant or distinctive finish to the tablet.
The materials used for coating may largely comprise sucrose
(sugar coating), water-soluble film-forming polymers (film
coating) or substances which are soluble in the intestinal
secretions but not in those of the stomach (enteric coating).
These types of coating can all be applied by the pan or
fluid-bed processes; the compression coating technique is
suitable for sugar and enteric coatings, but not for film
coating.
Pan Coating
In this process the tablets are tumbled in a bowl or pan which

rotates about an axis inclined about 30° to the horizontal (Fig.
21.14). With the correct pan load a three dimensional
circulation is established and sufficient coating solution is
added to wet the tablet surfaces. Internal baffles (Sutaria,
1968) or hand manipulation of the wetted tablets ensures that
the solution is evenly distributed and a satisfactory tumbling
action maintained while the coating is dried by a stream of
warmed air. Small amounts of dusting powder may be applied
to reduce tackiness and cohesion of the tablets during the
drying stage. The volume of coating solution for each
application is critical; inadequate wetting leads to irregular
coating, whereas with too large a volume the tablets
1084
agglomerate and do not tumble well. The cycle of alternate
wetting and drying is continued to build up a coating of the
required properties. Initially, the tablets are subject to
considerable abrasive action and for this reason should be
more highly compressed than the corresponding uncoated
tablets.
Fig. 21.14 Production model pan coating machine. The

diameter of the bowl is about 1m. Courtesy: Vanguard
Pharmaceutical Machinery
1085
Sugar Coatings
This traditional coating imparts a smooth, rounded, elegant

appearance to the tablet. Stephenson and Smith (1951) have
given a detailed discussion on the composition of sugar
coatings.
Sealing: After all dust has been removed from the tablets a
dextrin, gelatin or acacia coat may be applied to ensure good
coating adhesion. Where protection against the effects of
water in subsequent coating solutions is required a 30–50 per
cent solution of shellac in alcohol or other suitable solvent is
employed for sealing, care being taken to avoid over generous
application as this leads to a prolongation of the disintegration
time.
Subcoating: To minimize the amount of material which must
be used to round the tablet edges the cores are made on deep
concave punches. The subcoat is built up in successive layers
by wetting the tablets with an adhesive solution, dusting with
filler and then thoroughly drying, as retained moisture may
cause later cracking of the coat or deterioration of the core.
The subcoating solution is usually an aqueous solution of
sucrose to which is added acacia, gelatin or both, to impart
adhesive properties. Talc and precipitated calcium carbonate
are widely used in the subcoating filler together with some
sucrose and a small proportion of acacia. A small proportion
of inert filler, e.g. talc, may be added to the subcoating
solution, which, if it contains gelatin, should be used warm to
avoid gelling. Too heavy an application of filler must be
avoided as the excess forms ‘granules’ with the coating
solution and these interfere with the formation of a smooth
subcoat. This stage of the process is continued until the
tablets have a rounded appearance and the edges are well
1086
covered. When complete, the tablets are removed from the
pan and thoroughly dried.
Smoothing and polishing: The application of a smoothing
solution (60 per cent sucrose in water is satisfactory) causes
limited wetting of the subcoat, which has been hardened by
drying, so that it is smoothed out by the tumbling action.
Soluble dye or a lake colour may be added to the smoothing
solution if a coloured coating is required. As soon as the coat
has become comparatively smooth the volume of smoothing
solution per application should be reduced and the tablets
dried without the aid of heat. In the final stages, tumbling is
limited by ‘inching’ rather than rotating the bowl so that the
coating is not scratched or otherwise damaged. At this stage
the tablets will have a perfectly smooth but matt appearance
and are thoroughly dried before polishing in a pan specially
set aside for the job and coated with a beeswax–carnauba wax
or similar waxy mixture.
Film Coating
Sugar coating doubles the weight and increases the size of a

tablet and this is obviously undesirable if the tablet, in the
uncoated state, is already large. Film coating provides an
alternative means of masking the taste of the medicament and
providing protection against adverse climatic conditions
without significantly altering the tablet weight or size. The
obvious advantages of excluding water from the coating
process may be secured with film-forming polymers, such as
ethylcellulose, polyvinylpyrrolidone or hydroxymethyl propyl
cellulose, that are soluble in both water and anhydrous
organic solvents. Some 3–10 per cent of the foregoing
materials can be dissolved in an acetone–alcohol mixture
1087
together with 5–10 per cent of diethyl phthalate or other
plasticizer to produce a film coating solution which may be
applied by the pan technique. The plasticizer stops the film
becoming brittle with age. Methylene chloride is often added
to the solvent to reduce fire hazards, while undue absorption
of expensive film forming agent is prevented by the prior
application of a shellac sealing coat to the core tablets.
Enteric Coating
Tablets are enteric coated if the medicament is decomposed in

the acid secretions of the stomach, if it causes gastric
irritation, or if it is intended to exert its main effect only on
the intestine. Some official tablets coated in this way include
those containing biscodyl, bismuth and emetine iodide, and
erythromycin. Enteric coatings resist the acid conditions of
the stomach but readily dissolve in the more nearly neutral
fluids of the small intestine. They are also used in the
formulation of sustained action preparations as the release of
medicament is delayed by the time taken for the tablet to pass
from the mouth to the intestine.
Formalized gelatin, keratin, salol, shellac, sandarac, stearic
acid and cetyl alcohol have all been used to produce enteric
coatings but are either difficult to apply or erratic in their
action. The compositions of the fluids in the gastrointestinal
tract are not constant but vary with time and from person to
person. It is clearly important that the enteric action shall
largely be independent of such variations in compositions.
Cellulose acetate phthalate is widely used for enteric coating
and was reported by Antonides and DeKay (1953) to be the
only cellulose derivative of the fourteen evaluated that was
satisfactory for this purpose. Only one of the phthalic acid
1088
carboxyl groups is attached to the cellulose, the other being
free for reaction. The polymer dissolves in a variety of
solvents, gives water-soluble salts with a number of bases and
forms coatings that are insoluble in, but slightly permeable to,
water (Malm et al., 1951). An important feature is the
solubility of cellulose acetate phthalate films in buffers
having a pH as low as 5.8; thus the requirements for enteric
action are a medium with a pH higher than this value which
can contribute ions to the coating to form a soluble salt. Such
conditions are found in the intestine but not in the stomach.
In addition to 5–15 per cent of cellulose acetate phthalate the
enteric-coating solution may contain a plasticizer such as
castor oil or butyl stearate together with a soluble or a lake
dye if a coloured finish is required. The materials are
dissolved or dispersed in a volatile solvent comprising
alcohol, acetone, and, to reduce flammability, methylene
chloride.
Automated Pan Coating
Successful use of the pan coating technique depends, in large

measure, on the skill of the operator: it is also time
consuming. Due to their higher volatility the solvents used for
film coating permit rapid drying of tablets after each addition
of the coating solution. As with moist granulation, spraying
rather than pouring the coating solution sustained action
product. Layer tablets provide an acceptable means for
ingredient separation but the protective effect of the coat
enveloping the tablet is lacking. It is not an easy matter to
ensure a sugar coat of the same thickness for all tablets in a
batch by pan coating and although reasonable variation in
coat thickness and weight is not significant in plain sugar
1089
coating such variation cannot be tolerated if the coat contains
a potent is a more controllable technique that relies less on the
operator’s skills and which is more readily adapted to
automatic control. In the case of enteric coated tablets,
performance is determined by the thinnest
part of the film and for reproducible characteristics between
and within batches the coating must be of known uniform
thickness. According to Lachman and Cooper (1963), enteric
coatings complying with the foregoing criteria may be
obtained by means of an automated film coating process. The
tablets are tumbled in a baffled pan and a solution of cellulose
acetate phthalate together with fillers in suspension is sprayed
on to the tablets in repetitive ‘bursts’ alternating with longer
drying periods. The spray gun for applying the coating
solution and the hot or cold air flow for removing solvent are
controlled by a punched tape programming device. The
coating time for an 85 kilogram batch of tablets (90min) is
half that required by the corresponding manual procedure,
and the weight of the coating is reduced and is more uniform.
Fully automated equipment for pan coating is now
commercially available. Provision is made for programmed
control of the coating composition, spray application and
drying air flow at each stage of the process. The different
paths taken by tablets in a pear-shaped bowl leads to a lack of
uniformity in the thickness of coating applied to tablets within
the batch. This problem is avoided in the Manesty Autocota
by the adoption of a cylindrical coating vessel rotating about a
horizontal rather than inclined axis.
1090
Fluid-Bed Coating
Wurster (1959) first described the application of sugar or film

coatings to tablets suspended in an air stream. In that
equipment the coating solution is introduced into the
fluidizing airstream at the base of a tall vertical tube in which
tablets circulate as they are coated. Evaporated solvent and air
are removed at the top of the chamber. The fluid-bed moist
granulation equipment described earlier has now been
modified by the makers for fluid-bed coating. As the tablets
circulate in the air stream they are subjected to considerable
abrasive action and for this reason they are compressed with
extra firmness on punches which give a well rounded profile.
Compression Coating
As noted earlier it is desirable on occasion to separate tablet

ingredients to avoid incompatibilities, to facilitate
manufacture or to produce a sustained action product. Layer
tablets provide an acceptable means for ingredient separation
but the protective effect of the coat enveloping the tablet is
lacking. It is not an easy matter to ensure a sugar coat of the
same thickness for all tablets in a batch by pan coating and
although reasonable variation in coat thickness and weight is
not significant in plain sugar coating such variation cannot be
tolerated if the coat contains a potent medicament. The idea
of applying granular coating materials to a preformed core
was conceived by Noyes in 1896 but could not be
commercially exploited until the problem of core centration
and the automatic rejection of coreless tablets had been
solved. The expected advantages of a compression coating
process are:
1091
1. Core tablets are not subjected to abrasive action and need
not be especially hard,
2. The process is ‘anhydrous’ and sealing coats are not
required,
3. The disintegration time of a coated tablet can be
comparable with that of the uncoated variety, due to the
above,
4. Good control of coating weight can be obtained,
5. Chemically incompatible ingredients may be separated,
6. The core and coat may be formulated for different
properties, e.g. for a sustained action tablet, the coating would
provide the prompt dose and the core the sustaining dose,
7. The process is continuous, completely mechanized and
removes much of the element of skill from tablet coating.
Compression Coating Machines
The essential stages of coating by compression are (Fig.

21.15) deposition of the bottom fill of coating granules,
transfer and centration of the core tablet, deposition of the
side and top fill, and finally compression to bond the coat to
the core. The
machine described by Whitehouse (1954), the Kilian
Prescoter, used preformed cores which were fed into holes on
the periphery of a transfer disc and deposited on the lower fill
of coating granules as the lower punch dropped in readiness
for the top fill. The core was centred by a light tap of the top
punch, the top fill deposited and the coating bonded to the
core by compression. The force developed during compaction
in the presence of a core was sufficient to cause slight
deflection of the overload release but failed to do so in the
absence of a core. A switch connected to the overload release
1092
provided an electrical signal which, when fed to a memory
unit, actuated a gate on the collection chute such that coreless
tablets were rejected.
Fig. 21.15 The compression coating of tablets.
The Manesty Drycota (Fig. 21.16) comprises two rotary

presses coupled by a transfer unit (Fig. 21.17). The
spring-loaded arms of the transfer unit engage with small
collars on the upper turret to ensure accurate ejection of the
core tablet into a cup fitted with a free sliding weighted
plunger. Next, the cup passes over a ‘bridge’ where dust is
removed to avoid contamination of the coating granules and
then engages with the collar on the upper turret of the coating
press. As the bottom punch drops, the tablet is pushed out of
the cup on to the centre of the bottom fill of coating granules
by the action of the weighted plunger. The cavity is then filled
with granules for the sides and top of the coating, which are
bonded to the core by compression. As the cups pass round
the transfer unit the plungers are examined by feelers which
operate microswitches. If a cup fails to pick up or deposit a
core at the appropriate stage in the cycle the signal from the
1093
microswitches initiates action for the rejection of coreless
tablets.
Fig. 21.16 Compression coating machine. The core tablet

formed by the left hand unit is carried by the central transfer
unit to the coating press or the right.
1094
Fig. 21.17 Essential features of transfer mechanism of a
compression coating machine (for clarity, only the die tables
of the core and coating units and three transfer arms are
shown).
Requirements for Core Tablets and Coating Granules
Core tablets should be prepared from rather large granules

and should be lightly compressed. The surface of a soft tablet
made from large granules is somewhat porous and provides a
good ‘key’ for adhesion of the coating. There is a second
reason for light compression of the core tablet. Residual
stresses in a tablet are not instantaneously relieved when that
tablet is ejected from the die. Large residual stresses induced
by a high degree of compression may be sufficient to split the
coating some time after manufacture has been completed.
The gap between the core and die wall should be at least
0.13cm to facilitate uniform deposition of coating granules
round the edges of the cote tablet and hence to ensure
adequate coating strength. For these reasons too, the granule
1095
size should not exceed a quarter of the edge coating thickness,
On the other hand, excessive amounts of fines or fatty
lubricants should be avoided, as these lead to poor coating
strength and poor adhesion to the core.
Performance
Provided the requirements for edge thickness are met, the

weight of the coating is maintained with considerable
precision and may be varied over a wide range. It may be
noted that the official test for weight variation applies to
compression coated tablets but not to those having a film or
conventional sugar coat. Centrifugal and tangential forces due
to turret rotation may slant the bottom fill of coating granules
and displace the core from its central position. Lachman et al.
(1966) concluded that coating granules which gave minimum
weight variation also tended to give less core displacement.
Coatings may be formulated for a wide range of properties
but of these, enteric coatings are of particular interest.
Blubaugh et al. (1958) have described the preparation of
coating granules containing triethanolamine cellulose acetate
phthalate which, when applied by compression, produce a
coating with enteric properties, In a more recent paper
Srinivas et al. (1966) have reported on the use of a number of
carboxylated polymers for the production of entire coating
granules.
The Quality Control of Tablets

Formerly, tablets were considered satisfactory if they were
elegant and firm enough to withstand handling without
damage. The realization that such criteria were inadequate for
1096
the scientific control of tablet quality led to the inclusion of
suitable standards and tests in all national pharmacopoeias.
Although corresponding procedures differ in detail or
emphasis they serve an identical purpose which may, in
general, be understood by a consideration of the requirements
of the British Pharmacopoeia 1973. These:
• define and describe compressed and moulded tablets,
chocolate basis and tablet coatings,
• restrict flavouring agents and coatings to those products for
which specific permission is given for their use in the
monograph,
• standardize uniformity of tablet diameter and weight,
content of medicament and disintegration time, and
• prescribe storage and labelling requirements,
• and are intended to ensure, not only a fully potent product,
but also uniformity in the physical characters of official
tablets regardless of source. The latter is essential as the
patient quickly perceives, and is concerned about, differences
in the appearances of nominally identical tablets.
Uniformity of Diameter
The standard specifies the punch diameter to be employed for

a given tablet and the permitted tolerance on the specified
size, thus securing dimensional uniformity between tablets of
the same kind from different manufactures. The standards
apply only to uncoated and compression coated tablets. They
make allowance for the manufacturing tolerances in die
fabrication and for tool wear by allowing a deviation about
the stated diameter. Generally, the manufacturing tolerance is
proportionately less for large than for small dies and the
1097
deviation is reduced from ± 5 per cent to ± 3 per cent for
diameters in excess of 12.5mm.
Tests for Uniformity of Weight and for

Medicament Content
The combined effect of these tests is to ensure that all tablets

in a batch are, within reasonable limits, of the same potency.
A perfect manufacturing procedure would yield a batch of
tablets having identical weight and medicament content; in
practice the values of these parameters for individual tablets
deviate about the mean values for the whole batch. Such
deviations will be of acceptable magnitude if correctly
formulated and prepared granules are compressed on properly
maintained equipment but will be larger, and probably
unacceptable, if the converse conditions apply.
Ideally, the quality of a batch of tablets would be assessed by
determining the potency of each tablet in a truly
representative sample. The analysis of a large number of
tablets by conventional means would be both costly and time
consuming while automated techniques for the analysis of the
majority of drugs have still to be developed. At the present
time therefore the reasonable assumption is made that the
variation of the weight of individual tablets is a valid
indication of the corresponding variation in the drug content
Test for Uniformity of Weight
This test does not apply to sugar or enteric coated tablets. The
weight of each tablet and the average weight of all tablets in
the sample are determined. The standard, summarized in
Table. 21.7, limits the number of tablets in the sample which
1098
may deviate from the average weight by more than specified
amounts. Rogers (1956), on the basis of production data then
available, showed that the coefficient of variation of tablet
weight was reasonably constant for tablets weighing more
than 0.2–0.3g but rose steeply for smaller tablets; a similar
observation has been made by Smith et al. (1963). This is not
unexpected as there is greater practical difficulty in ensuring
the flow, die filling and air release characteristics necessary
for low weight variation, with the finer granules which must
be used for the production of small tablets. This factor is
recognized by making the weight variation tolerances wider
for small than for large tablets.
Table 21.7 Summary of the BP 1973 test for the uniformity of
tablet weight
Twenty tablets represent a very small fraction of a

manufacturing batch that will generally exceed 10,000 and
may
be as large as 1,000,000. If the tablet weights in a batch of,
say, 0.3g tablets are normally distributed and 10 per cent
deviate from the average weight by more than 5 per cent, then
1099
0.1 per cent of the tablets in that batch could be expected to
deviate by more than 10 per cent from the average weight
Smith (1955) has calculated that there is a 67 per cent
probability that the examination of a sample of twenty tablets
by the official method would lead to the acceptance of such a
batch. With a rotary machine, if the weight variation derives
from a few punches of significantly different length from the
others in the set, the foregoing calculations that are based on
an assumed normal distribution do not apply. Nevertheless,
the unsatisfactory nature of a batch of tablets produced under
these conditions should be relaxed as indicated in Table. 21.8.
This table may intend to detect abnormal weight variation.
While the stringency of the official test could be improved,
for instance, by specifying narrower weight tolerances, it is
important to remember that the discrimination level must
provide a reasonable balance between the risks to the patient
arising from over or under dosage and the performance that
can reasonably be expected with the currently available
manufacturing methods. Although the manufacturer must
ensure that the completed batches of tablets comply with
official requirements, samples would be examined during
production as an extra check on quality and for the early
detection and rectification of any faults which may develop.
Table 21.8 BP 1973 Standard for the content of medicament
in tablets
1100
Content of Medicament
The standards are framed to take into account processing

difficulties, variations in the purity of the drug, accuracy of
the assay methods and the size of the sample relative to that
of the typical manufacturing batch. The stated limits for drug
content given in the individual monographs apply to the
examination of a sample of 20 tablets; where less than this
number is available the sample must comprise at least 5
tablets and the limits are relaxed as· indicated in Table. 21.7.
This table may be used directly where the limits specified in
the monograph are between 90 and 110 per cent. Thus, for a
sample of 20 Promazine Tablets each containing 25mg of
Promazine Hydrochloride the monograph limits are
92.5–107.5 per cent of the nominal content of drug and would
be widened in the case of a sample of 5 tablets to 90.9–109.3
per cent. To comply with official requirements the tablets
must therefore contain between 22.73 and 27.33mg of drug.
1101
Where the monograph limits fall outside the 90–110 per cent
range the Pharmacopoeia directs that proportionately larger
allowances should be made for samples of less than 20
tablets. A method for the calculation has been suggested by
Hadgraft (1945).
It is now recognized that although a sample of tablets may
comply with given standards for drug content, this may not be
so for individual tablets within that sample. From theoretical
considerations, Train (1960) concluded that if 20 tablets are
examined and as a whole comply with ±10 per cent limits, a
variation as large as ±40 per cent might be expected if each
tablet was separately assayed. This variation could be due to
solute migration and adsorption, granule separation and other
effects. As discussed earlier, such variation is more likely to
occur where the weight of the medicament is only a small
proportion of the total tablet weight. Even, a reduction in the
proportion of medicament from 90 per cent to 23 per cent
doubled the standard deviation of drug content for the tablets
examined by Smith et al. (1963). On the other hand, Robinson
et al. (1968) failed to detect a deviation greater than ±15 per
cent when examining over 1000 imipramine and desipramine
tablets and capsules. In a number of cases the United States
Pharmacopoeia includes a standard for the drug content of
individual tablets; Feldman (1969) has indicated that the
number of products affected by this standard will be increased
in the future. The BP 1973 requires that, for tablets and
capsules described in its monographs, no gross deviation from
the stated amount of
medicament is permissible when each dose unit is
individually assayed. The term gross deviation is not defined.
If a formal standard for drug content per tablet is included in
future editions of the Pharmacopoeia, automated analytical
techniques of sufficient rapidity, sensitivity, accuracy and
1102
precision will be required. It is evident from the review by
Kuzel et al. (1969) that considerable progress has been made
in the field of automated analysis since 1960 when
Stephenson concluded that for Digoxin tablets the methods of
mixing were probably superior to the then available assay
methods.
Test for Disintegration
Methods
Features common to the tests described in the literature are:

an aqueous disintegration medium, agitation of the tablet or
medium to simulate peristalsis and means for recognizing the
end point, that is, complete disintegration. The many
proposed methods may be classified in to three types:
1. The tablet, supported on a frame, is immersed in water and
the time determined for a weighted wire to pass through the
tablet (Berry, 1939). The method was abandoned because it
gave anomalous results if the tablet disintegrated into large
particles or yielded a hard core (Berry & Smith, 1944). This
structure on the method might not be so relevant at the
present time when, for efficient drug release, it is considered
desirable that a tablet should disintegrate completely into very
fine particles.
2. A tube filled with water except for a small headspace and
containing the tablet, is rotated end over end (Berry & Smith,
1944; Mapstone, 1952).
3. A wire mesh cage (Hoyle, 1946) or a tube closed by a wire
mesh at the lower end (Prance et al., 1946) is moved up and
down in the disintegration medium so that the tablets are
constantly agitated. Disintegration is complete when all
1103
particles from the disintegrated tablet pass freely through the
mesh.
The reader is referred to the BP 1973 for details of the official
apparatus which, essentially, is that described by Prance and
coworkers. Tablets may fail the test because, for instance,
they form a gummy mass in contact with water or a resistant
core is left after the rest of the tablet has disintegrated. If
tablets fail the test for any reason, it may be repeated with a
guided disc (Fig. 21.18) placed in the disintegration tube
above the tablet sample. The light percussive action of the
disc as it rises and falls in the tube assists the breakdown of
the tablets.
Fig. 21.18 Essential features of apparatus for the BP 1968

disintegration test showing guide disc in use.
1104
Requirements
Uncoated and compression coated tablets: The general

requirement is that these shall disintegrate within 15min.
There are a number of exceptions. Tablets which are to be
dissolved in water prior to administration, e.g. Sodium
Citrate, Soluble Aspirin, must disintegrate within 3min.
Calcium Lactate Tablets harden on storage and 30min is
allowed for these. The same period is specified for Thyroid
Tablets and Prepared Digitalis Tablets as these form a gummy
mass which is not easily persuaded through the mesh even
with the aid of a guided disc. The test does not apply to
products which should dissolve slowly in the mouth, e.g.
lozenges, Compound Sodium Bicarbonate Tablets, Glyceryl
Trinitrate Tablets, or to those which must be masticated, e.g.
Phenolphthalein, Aluminium Hydroxide, or to Effervescent
Potassium Tablets BPC. The official apparatus is not used for
the latter; they are required to dissolve completely within
3min when placed in water at 20°C.
Sugar and film coated tablets: As these coatings may increase
the disintegration time, 1h is allowed. One exception is
Quinalbarbitone tablets, which must be sugar coated to mask
the bitter taste of the drug. This hypnotic acts very promptly
and therefore the tablets are required to disintegrate within
15min.
Enteric coated tablets: The official apparatus is used but the
test is carried out in two stages. It is first ascertained that the
coating should not rupture in the stomach by subjecting the
tablets to the action of 0.6 percent v/v hydrochloric acid
solution for 3h. If the coating is intact at the end of this period
the tablets are washed to remove adherent acid and must then
disintegrate within 1h when a pH 6.8 buffer is used as the
1105
disintegrating medium. Except in the case of achlorhydric
patients the pH of the stomach is normally very low but the
composition of its secretions varies considerably between
individuals, in any one individual throughout the day and
from day to day. Similar variations are found in the contents
of the duodenum and small intestine which are often not as
rich in enzymes or bile salts or of as high a pH as was implied
by the composition of the alkaline pancreatin solution
specified by the BP 1963 for the
second part of the test. A number of enteric coatings used in
the past depended on enzyme action or a rather high pH and
proved erratic in their action. The test solutions prescribed by
the BP 1968 have been adopted with a view to the elimination
of such coatings.
Comments on the Test
The choice of water as the disintegrating medium is open to

criticism. Among others Abbott et al. (1959) observed that the
addition of mucoid substances to the test solution had a
marked effect on disintegration time, which was often
doubled and on occasion increased by a factor of 16.
However, as Hartley (1950) has commented, the selection of
15min for the disintegration time of uncoated tablets is itself
somewhat arbitrary and may be quite unrelated to the rate at
which the drug is absorbed. Generally, prompt action is
required but the optional coating of, for example,
Benzylpenicillin Tablets leads to the anomalous situation that
the permitted maximum disintegration time may be 15 or
60min depending on whether uncoated or coated tablets have
been supplied to the patient. Benzylpenicillin tablets (Ashby
et al., 1954), those of Quinalbarbitone and a number of others
1106
(Howard, 1951) can be sugar coated without extending the
disintegration time beyond 15min. The coating methods used
for these tablets could, presumably, be more widely employed
with the consequent potential advantage of more prompt
therapeutic action. It is well known that although a tablet may
comply with official requirements, the particles freely passing
the mesh of the disintegration tube may remain intact for
periods in excess of 15min. Furthermore a number of factors,
such as the physical state of the medicament used to produce
the tablet, may have a marked effect on therapeutic response.
For these reasons it is probably the dissolution rather than the
disintegration behaviour which should be tested.
Colour
Rolfe (1956) has argued the case for and against the addition
of colorants to tablets. Such arguments were, presumably,
involved in the decision to remove all former restrictions, in
the BP 1968, but the BPC 1973 still prohibits the use of
colours except for specific tablets and those which are enteric
or compression coated. The colour to be employed for a given
tablet is not stated in either book of standards. Even if the
proportion of a named colorant were to be specified for a
given tablet, considerable difficulties would still arise when
attempting to standardize the final shade and depth of colour
as these are markedly affected by processing conditions. The
problem is obviously more acute if the same product is to be
produced by a number of manufacturers.
1107
Hardness
Although there is no official test for tablet hardness this

property must be controlled during production to ensure that
the product is firm enough to withstand handling without
breaking, chipping or crumbling, and yet not so hard that the
disintegration time is unduly prolonged. Most testers apply a
load to the edges of the tablet across a diameter. The load is
gradually increased until the tablet fractures, the value of the
load at this point (the crushing force) giving a measure of the
hardness of the tablet. In the Monsanto Hardness Tester (Fig.
21.19) the tablet is held between a fixed and a moving jaw.
The force applied to the edge of the tablet is gradually
increased by turning the compression screw. The body of the
instrument carries an adjustable scale which can be set to zero
against an index mark fixed to the compression plunger when
the tablet is lightly held between the jaws. With the Strong
Cobb tester the load is applied pneumatically, while a pliers
mechanism is employed in the Pfizer tester. To minimize
errors due to the small force required to hold the tablet in
position at the start of the test and the rate at which the load is
applied, the mean of several hardness determinations should
be used. For tablets of fixed dimensions in an experimental
series the method provides comparative estimates of hardness.
On the other hand, the optimum hardness for a given tablet in
the manufacturing situation can only be set by experience
extending over a number of batches. A tablet which was ‘soft’
and just handleable would give a reading of l–2 kilograms on
the Monsanto tester; for highly compacted tablets the reading
would be 6 kilograms or more. The performance of a number
of commercially available hardness testers has been reviewed
by Brook and Marshall (1968) and by Ritschel et al. (1969).
1108
Fig. 21.19 The Monsanto tablet hardness tester.
Tablets are usually subjected to a second type of test which,

essentially, measures the surface hardness. The Vickers test
measures the size of the indentation produced on the tablet
surface by a specially shaped loaded point. More usually the
tablets are tumbled in a controlled manner and the change in
the average weight of the tablets determined after a specified
length of treatment. Such a test provides an indication of the
likely edge damage that would occur when the tablets are
handled during packaging and dispensing. The equipment
designed by Webster and Van Abbe (1955) uses a vertical
jogging action, whereas in the Roche Friabilator the tablets
drop through a fixed distance during each revolution of a
horizontally disposed plastic drum. The permissible loss in
weight is obviously set by production experience, but with the
Friabilator is usually in the range 1–5 per cent for 10min
treatment. Incipient capping and lamination usually show up
on a tumbling test.
1109
Theoretical Studies in Tabletting
Technology
Although a great deal of information on the practical aspects
of tabletting had appeared in the literature prior to 1952, very
few papers had been concerned with theoretical studies. In
that year, however, Higuchi and his associates (1952, 1953,
1954a & b) published the first in a series of papers relating to
the physics of tablet compression. Subsequently, as may be
seen from the extensive bibliographies of Evans and Train
(1963, 1964), many workers have reported the results of
studies in this field.
The Compaction Process
Both tablet machines and ram presses have been used to

investigate the compaction behaviour of pharmaceutical
substances. Pressures in the range 300 to 3000kg/cm2 are
usual for tablet machines, but the upper limit may be higher
for mechanical or hydraulic ram presses. The use of flat-faced
punches simplifies subsequent treatment of the data. Where
the time taken for compression is short, as with the tablet
machine, transducers must be used to convert the compaction
forces, punch displacements, etc. into electrical signals which
can be recorded, usually by an ultraviolet oscillograph. The
necessary instrumentation has been described by (Higuchi et
al. 1952, 1954a), Shotton and Ganderton (1960a), Shotton et
al. (1963), Goodhart et al. (1968) and by other workers. Fig.
21.20 shows typical results that are obtained using an
instrumented tablet machine.
1110
Fig. 21.20 Punch displacements and forces developed during
tablet compression.
The downwards thrust of the top punch in the die bore during
compaction causes movement of material relative to the wall
of the die. The movement is resisted by frictional effects, in
part within the bed of material but mainly between that
material and the die wall. As a result, the maximum force
transmitted to the lower punch (Fb) is less than the maximum
force (Fa) applied by the top punch to the contents of the die
1111
cavity by an amount Fd, that is the force ‘lost’ to the die wall.
As compaction also squeezes the compacting material into
close contact with the wall of the die this latter experiences a
maximum radial force Fr. Even when the top punch has been
removed from the die, residual stresses within the tablet give
rise to a load normal to the die wall and therefore an ejection
force, maximum value Fe, must be applied to the compact by
the lower punch to overcome friction and initiate ejection.
The extent to which the material in the die has been
compacted may be evaluated from the relative volume (Vr),
relative density (ρr) or porosity (ε) of the tablet. By loading
the edges of the tablet across a diameter the minimum
crushing force (Fc), just sufficient to rupture the tablet, may
be found. If, as is often the case, the tablet dimensions are
maintained in an experimental series, Fc provides a
comparative measure of tablet hardness. The foregoing
parameters, together with a number of others commonly used
in tabletting theory, are defined in Table. 21.9
Table 21.9 Definitions of some parameters used in tabletting

theory
Symbol Definition Derivation

A Area of tablet in contact with die wall πDL
Ap Area of punch face πD2/4
D Diameter of punch face
Fa Maximum upper punch force applied to
compact
Fb Maximum force transmitted to lower
punch by compact
1112
Fc Crushing force applied across a
diameter to edges of compact, just
sufficient to cause rupture
Fd Force lost to the die wall Fa – Fb
Fe Maximum force applied by lower punch
to initiate ejection
Fr Maximum radial force at die wall during
compaction
Fr Force normal to die wall during ejection
kd Die wall coefficient of friction during
compaction
ke Die wall coefficient of friction during
L Observed length of compact
L0 Length compact would assume if W/Apρ0
compressed to zero porosity
Pa Maximum upper punch pressure Fa/Ap
Pb Maximum lower punch pressure Fb/Ap
Pm Mean compaction pressure (Pa +
Pb)/2
Pr Maximum radial pressure during Fr/A
compaction
Radial pressure during ejection of
compact
R Punch force ratio Fb/Aa
T Transmission ratio Fb/A
V Observed volume of tablet Ap/La
1113
V0 Volume compact would assume if Pr/Pa
compressed to zero porosity
Vr Relative volume of compact Ap/La
W Weight of tablet W/ρ0
ε Porosity ratio of void to total volume V/V0
ρ Observed density of compact (V−V0)/V,
1 − ρr
ρ0 True density of material used in W/V
compaction study
ρr Relative density of tablet ρ/ρ0, 1/Vr
It is assumed that the punches are flat faced and circular in

section.
By finding the values of the parameters described in the

previous paragraph at a number of preselected maximum
upper punch pressures the compaction behaviour of a
substance may be studied. Higuchi et al. (1953) determined
these values for sulphathiazole compacts made in a ram press.
In each case the upper punch pressure (Pa) was raised to its
preselected maximum value over a period of 20–60 s. While
the logarithm of the disintegration time was found to be
proportional to Pa, the crushing force (Fc) was linearly related
to log Pa. Thus, the compaction pressure had a much greater
effect on the disintegration time than on hardness as is shown
in Table. 21.9. The porosity of the tablets progressively
decreased as the pressure was increased but the specific area
rose to a maximum at about 1600kg/cm2 and subsequently
decreased. This was attributed to fragmentation of granules
during the initial stages of compaction followed by bonding
1114
of the freshly formed surfaces at higher pressures. Further
studies with aspirin, lactose and sulphadiazine (Higuchi et al.,
1954b) gave results qualitatively similar to those obtained
with sulphathiazole.
Train (1956) compacted alternate layers of normal and
coloured magnesium carbonate. When the die wall was
lubricated with graphite the layers compressed evenly,
whereas, in the absence of the lubricant, the layers curved
downwards from the wall of the die towards the centre of the
compact indicating that friction had restricted movement of
the particles near the die wall. Due to intense local shear
action a hard ‘skin’ of distorted strongly bonded particles was
formed where the compact had been in contact with the die.
This ‘skin’ is often formed on tablets and provides resistance
to abrasive damage. The degree of compaction was assessed
by measuring the thickness of the layers in each region and
was found to be higher in a peripheral ring near the top punch
and in a lower central region (Fig. 21.21). The latter may
explain why the ‘core’, often seen towards the end of a
disintegration test, breaks down more slowly than the rest of
the tablet. A plot of Vr as a function of log Pa was not a
smooth curve but showed several abrupt changes of slope
(Fig. 21.22). The initial decrease in Vr was due to closer
packing of the magnesium carbonate but this was eventually
limited by the available space in the die cavity. Thereafter, the
slope increased abruptly and during the second stage the load
was supported by temporary structures of compacting
material. At still higher pressures the structures collapsed and
the material failed by crushing and plastic flow (third stage)
until; in the fourth stage, there was sufficient rebonding of the
freshly created surfaces
to give a compact with enough strength to involve the normal
compression characteristics of solid magnesium carbonate in
1115
any further reduction of volume. The data of (Higuchi.et al.
1953, 1954b) and Shotton and Ganderton (1960a), when
plotted in the form used by Train, show hat the third and
fourth stages of compaction also occur with aspirin, lactose,
sulphadiazine, sulphathiazole and sodium chloride. In the
cases of the first four substances the abrupt changes in the
slope of the log Pa/Vr plot occur at approximately the same
compaction pressures as the maxima in the specific surface
area curves. This would be expected if, as Train suggested,
fragmentation and rebonding are competitive processes with
the latter predominating in the fourth stage of compaction.
1116
Fig. 21.21 Physical conditions during tabletting.
Fig. 21.22 Stages in the compaction of magnesium carbonate.
Tablet Hardness
Effect of Compaction Pressure
The behaviour of granules during compaction, the extent to

which they bond together and the strength of the intergranule
bonds relative to the strength of the granules determine tablet
hardness. Strickland et al. (1956), who used activated carbon
to delineate the granule boundaries, found that the carbon did
not penetrate the interior of the granules even though
these were laterally deformed by compaction. Shotton and
Ganderton (1960b) applied a vividly coloured sucrose coating
1117
to preformed spherical granules of that material. The coating
remained intact and the granules largely retained their shape
at low compaction pressure but as this was increased the
granules distorted progressively until, at the highest
compaction pressures, the coating had ruptured to such an
extent that it appeared as coloured fragments against the
white underlying sucrose. The strength of the intergranule
bonds formed by light compression was less than that of the
granules with the result that the tablets failed along, rather
than across, the granule boundaries when submitted to a
crushing force. When this was applied to the more heavily
compressed tablets the bond strength was large enough to
permit the development of faults within the granules which
spread across the boundaries and led to failure of the tablet.
The rebonding of surfaces formed by fragmentation, rather
than granule interlocking, was apparently the more important
factor determining the hardness of these tablets.
Effect of Materials Used and Tablet Dimensions
For given compaction conditions the intergranule bond

strength is highly dependent on the nature of the base
material. Strong bonds offer resistance to the propagation of
faults across the grain boundary in which case, according to
Orewan (1949) and others, the strength of the compact
formed at a particular compaction pressure should be greater
with fine than with coarse granules. This effect was noted
with sodium chloride and hexamine compacts (Shotton &
Ganderton, 1961). Aspirin granules, however, formed weak
bonds and softer tablets and, since fault propagation was not
involved, granule size had little effect on tablet hardness.
Coating sodium chloride and hexamine granules with stearic
1118
acid to weaken the intergranule bonds, reduced the hardness
of the compacts, and abolished the particlesize effect
observed with hexamine, but in the case of sodium chloride
the hardest tablets were formed by the coarsest granules.
Shotton and Ganderton suggested that the particle to particle
contact pressure was greater in coarse sodium chloride grains
than in fine ones since, for a given weight of that substance,
fewer contacts were available to support the applied load. The
higher contact pressure with the coarsest granules allowed
penetration of the stearic acid film, the formation of strong
bonds and, consequently, the production of the hardest
tablets.
The majority of tabletting studies have used a constant die
size for an experimental series and the thickness of the tablet,
over a range of compaction pressures, has been maintained at
a particular value by varying the compressing weight of the
base material. Rees and Shotton (1969) reported preliminary
studies on the effect of tablet dimension on the crushing
strength. For sodium chloride their data indicated a relation of
the form:
(21.1)
where D is the tablet diameter, Lo the length the compact

would assume if compressed to zero porosity and kc and Cc
are constants.
1119
Capping and Lamination
Granule Bonding and Relaxation Stresses
Occasionally, at the start of a disintegration test, small

radiating cracks appear on the upper face of the tablet and
small bubbles of air are released. If air does not freely escape
from the granules in the die cavity, for example, where the
fines content is high, the force created by the expansion of
entrapped air may be sufficient to disrupt the bonds between
the ‘cap’ and the rest of the tablet when the top punch is
removed at the initiation of the ejection stage although, as
will be seen later, capping and lamination can occur under
conditions which preclude the implication of air as the
causative agent. It is well known that too high a compaction
pressure may lead to capping and lamination and has been
shown to occur, for example, with hexamine (Shotton &
Ganderton, 1961) and sodium chloride (Rees & Shotton,
1969).
In 1956, Train pointed out that on removal of the compacting
force the elastic recovery of the dense peripheral ring (Fig.
21.20) would be larger than that of the adjacent, less dense,
part of the tablet. The differential stress in this region is
aggravated by both longitudinal and radial relaxation of that
part of the tablet extruded from the die during the initial
stages of ejection (Fig. 21.20). Both effects would increase
the tendency to capping and lamination. It may be noted that
the increase in tablet dimensions that is due to elastic
recovery is usually sufficient to prevent re-insertion of the
tablet into the die from which it has just been ejected. Clearly,
the strength of the granule bonding may be critical in
determining whether the tablet will cap or laminate.
1120
According to Shotton and Ganderton (1961) the bonds in
sodium chloride compacts were strong enough to support
relaxation without laminar failure although this can occur if
extreme compaction pressures have been employed (Rees &
Shotton, 1969). The weaker bonds in aspirin compacts
allowed the relaxation stresses to be dissipated by bond
weakening and partial separation of the granules within the
tablet. Undoubtedly, some loss of hardness must have
occurred but the bonding was still sufficient to give a firm
tablet. Hexamine tablets capped and laminated by fault
propagation across the granule boundaries. This was not due
to entrapped air as compacts prepared in vacuo behaved in a
similar manner. Coating the hexamine granules with stearic
acid eliminated the fault entirely and this was attributed to the
bond weakening effect of the fatty acid which permitted
dissipation of the relaxation stresses by the mechanism
postulated for aspirin.
Residual Die-Wall Pressure
Practical experience has shown that some tablets do not cap

or laminate immediately, but may do so on storage. Higuchi
et al. (1965) studied the decay of die-wall pressure for a
number of materials. In addition to an immediate elastic
recovery in the die there was also a residual die-wall pressure
(Table. 21.11) which decayed slowly over a period of a
minute or more, during which time the tablet ‘flowed’ in a
direction opposite to that in which the compacting pressure
had been applied. Addition of
lubricant lowered the residual die-wall pressure due,
presumably, to the ‘softer’ nature of the tablets (see the values
for crushing strength) and to reduced die-wall friction. The
1121
fact that a radial pressure persisted at the end of the decay
period showed that there was an elastic deformation which
could only be relaxed by ejection of the tablet from the die.
Internal strains within the tablet might also provide a further
source of stress energy which could be dissipated at any time
during the life of the tablet. For single punch and rotary tablet
machines, upper punch pressure release and ejection take only
a fraction of a second. Even if a tablet with a tendency to cap
survived the rapid elastic recovery stage on extrusion from
the die, the subsequent slower relaxation may cause capping
when the tablets are handled and packed. Incipient capping
and lamination of this type is usually apparent if a few tablets
are shaken in the cupped hands, dropped on to a hard surface
or subjected to a friability test.
Table 21.10 Effect of compaction pressure on the properties
of sulphathiazole compacts
Table 21.11 The relation of the hardness of some

pharmaceutical substances to their tabletting behavior
1122
Hardness of Materials and Tablet Properties
Prior to compression, a granule porosity exceeding 60 per

cent would not be unusual. As shown in Table. 21.10,
porosity is reduced to about 20 per cent with light
compression and decreases to 5 per cent or less at much
higher compaction pressures. The reduction in porosity is due
to granule fragmentation giving smaller particles which may
be more closely packed, and plastic deformation which allows
the granules to ‘flow’ into the void spaces. The contribution
of each process depends on the hardness of the substance
being compressed. If it were possible to compress a liquid in a
tablet machine Pa, Pb and Pr would be equal, i.e. the
1123
transmission ratio would be unity. Rubber and silicone putty
show ‘liquid’ behaviour and are used for die-wall pressure
calibration. For other materials the transmission ratio will be
less than unity. When sodium bicarbonate or sulphathiazole
were compressed, Nelson (1955) observed that about a third
of the upper punch pressure was transmitted to the die wall.
Windheuser et al. (1963) distinguished three distinct stages in
the development of die-wall pressure with increasing values
of upper punch pressure. The initial steep rise of Pr was due
to the reduction of void space by the removal of air. This was
followed by a less rapid rise in Pr during which granule
fragmentation and consolidation took place. In the third stage,
Pr increased more rapidly than in the second stage and
represented the compression of an essentially void-free
material, the ‘yield value’ of which was estimated by
extrapolating the third portion of the curve to the abscissa
(Fig. 21.23). Generally, the first ascending portion of the
curve was steeper, the second stage more extended and the
yield value higher for the harder materials examined. The
reduced hardness of potassium chloride and sulphathiazole
tablets containing magnesium stearate (Table. 21.11 and
21.12) was reflected in the smaller yield value obtained when
that lubricant was employed. For phenacetin and acetanilide a
measurable radial pressure could not be obtained until a
significant upper punch pressure had been applied: the second
stage was virtually absent. These materials produced poor
tablets due to the fact that the crystals were plate like and
tended to compact into layers with poor interlayer bonding.
Although there were considerable experimental difficulties,
Ridgeway et al. (1969a) obtained values for Young’s modulus
and the surface hardness for a number of pharmaceutical
materials; these values were then related (Ridgeway et al.,
1969b) to the transmission ratio and to the surface hardness of
1124
the compact. The results of these studies (together with data
from other sources) are summarized in Table. 21.11 where it
will, be seen that, as anticipated, the transmission ratio was
large for soft materials such as aspirin, and vice versa.
Overall, the data in the table generally support the view that
the hardness of a substance is an important factor determining
its behaviour both during and after compression.
Fig. 21.23 Radial pressure as a function of upper punch

pressure. after Windhesuer et al., 1963
Table 21.12 The effect of lubricants on tabeletting properties
1125
Lubrication
Lubricants are used to improve granule flow (glidants),

minimize die-wall friction (die-wall lubricants) and prevent
adhesion of the granules to the punch faces (antiadherents).
The extent to which they possess these properties varies; talc
is a better glidant than magnesium stearate but is an inferior
die-wall lubricant. Excessive proportions of the stearate may
actually impede granule flow.
1126
Glidants
The effect of a glidant on the flow properties of a granule may

be assessed by measuring the angle of repose, flow rate
through an orifice or by the other methods outlined in Chapter
17. A number of mechanisms have been proposed to account
for glidant action. The flow properties of smooth, nearly
spherical particles are known to be better than those of more
irregular shape: it has been suggested that glidant may fill
surface depressions and thereby reduce roughness. If the
coefficient of friction of the glidant is less than that of the
granules then interparticle friction may be lowered.
Alternatively, the glidant may physically separate the solid
particles so that intermolecular attractive and capillary
adhesion forces are reduced. The latter derive from the thin
film of moisture normally present on solid surfaces. A
proportion of fines will often improve granule flow,
presumably by a combination of the foregoing effects
although, as discussed earlier, an excess of fines often has an
adverse effect on tabletting properties. Some materials
acquire a frictional electrostatic charge when handled. The
mutual repulsion of particles due to this effect is sufficient to
impede proper die filling during the production of hexoestrol
implants. Although the solution to this specific problem
resides in recrystallization from a suitable solvent, glidant
action may in some cases be attributed to the reduction of
electrostatic charges. A detailed review of glidant action is
given by Jones (1969).
1127
Die-wall Lubricants
The effects of die-wall lubricants on tabletting behaviour may

be seen by inspection of Table. 21.11, 21.12 and 21.13. They
reduce the force lost to, the die wall, the ejection force, the
crushing strength and the residual die-wall pressure. The
relative density, punch force ratio, transmission ratio and
disintegration time are increased. In part, the lubricant effect
appears to reside in the formation of a tough film on the die
wall. If a die ‘conditioned’ by the production of tablets from
lubricated granules is subsequently used to compact
unlubricated granules, easy tablet ejection persists for a short
period. Strickland et al. (1956) expressed the view that the
reduction of force lost to
the die wall as a result of lubrication (ΔFd) may be related to
the fractional coverage of the die-wall–compact interface. At
low concentrations (c) of lubricants they reported an apparent
agreement with a Langmuir-type adsorption equation, i.e.
(21.2)
Table 21.13 Effect of lubricants on the disintegration time of

sodium bicarbonate tablets compacted at approximately
1300kg/cm2
Lubricant
Disintegration time (s) Magnesium
concentration per
Stearic acid stearate
cent
0 200 200
1128
0.25 370 1500
0.50 520 2000
0.75 680 2200
1.00 900 2300
2.00 1400 2900
4.00 2500 3800
From Strickland et al. (1956)
Materials used as lubricants must shear readily even when

highly compressed. In this connection it may be noted that the
slip and orientation of layers within the crystal lattice, on
which the action of laminar lubricants such as talc depends,
are inhibited by large applied loads and degree of compaction.
Under these conditions the shear strength of talc is high
(Train & Hersey, 1960) which undoubtedly accounts for the
poor die-wall lubricant action of that substance.
Compression and ejection processes involve movement of
material relative to the die-bore surface. The frictional force
(F) resisting motion of one surface over another is
proportional to the load (L) applied normally to those
surfaces, that is:
(21.3)
where k is the coefficient of friction applicable to the

particular conditions. For consolidation of granules the
maximum force resisting further reduction in the length of the
compact is related to Fd and the normal load is the die-wall
1129
force (Fr). During ejection the resistance to motion of the
compact is related to the ejection force (Fe) whilst , the
radial force operating as ejection takes place, constitutes the
normal load. As Fr = Pr A and , by analogy with Eq.
21.3:
(21.4)
(21.5)
If it is assumed that Pr and are proportional to a

generalized compaction pressure (P) the appropriate
substitution in Eqs. (21.4) and (21.5) yields expressions with
a common factor (PA), which implies that Fe and Fd are
linearly related. This has been confirmed by, for instance,
Train (1956), Lewis and Shotton (1965a) and by other
workers. Clearly, this is a simplification of a very complex
process and could not be expected to apply directly to all
materials and compaction conditions. Train’s data for the
ejection of magnesium carbonate compacts was best
represented by a power law, but Lewis and Shotton used
linear expressions:
(21.6)
(21.7)
1130
to describe the compression and ejection of aspirin, hexamine,
sodium chloride and sucrose compacts.
In these equations kd and ke were coefficients which
depended on the frictional conditions at the die wall. They
found that the values of kd (Table. 21.12) were different for
each of the unlubricated substances and assumed (except in
the case of hexamine granules) a virtually identical and lower
value when 2 per cent magnesium stearate was added to the
base materials. The values of ke showed a similar but less
marked trend. In these circumstances the lubricant governed
the frictional characteristics of the die-wall-compact interface
regardless of the properties of the material being compacted
or ejected. The absolute magnitudes of Pr and are
determined by the transmission ratio (T) and this would not be
identical for all lubricated substances which explains why
these produced different values of Fd and Fe at a given mean
compaction pressure.
In common with the investigations described above, most
compaction studies have employed a constant compact
diameter and thickness in an experimental series. Sometimes,
while tabletting ‘difficult’ granulations, it is found that there
is an optimum die size which minimizes, e.g. Fd, Fe, capping,
lamination, etc. The effect of thickness and diameter on
tabletting properties is therefore of considerable technical
interest. From Table. 21.9 it can be seen that:
and after substituting these in Eq. 21.4 and rearranging:
1131
(21.8)
Also, if the assumption is made that is proportional to Pa:
(21.9)
Eqs. 21.8 and 21.9 fitted the results of Rees and Shotton
(1969) for the compaction of sodium chloride. As these
workers pointed out, these equations are not applicable when
the length of the compact is sufficient to prevent proper
consolidation of granules near the bottom punch—a condition
which should rarely be encountered in normal pharmaceutical
tabletting operations. Further studies will be necessary to
show whether the expressions are valid for a wider range of
materials.
It is implicit in the reduction of residual die-wall pressure and
improvement of transmission ratio (Table. 21.11) by die-wall
lubricants that they facilitate the movement of material in the
die cavity both during and after compression. The more ready
elimination of voids is reflected in the higher relative density
of the compacts (Table. 21.12). Die-wall lubricants are not,
however, without adverse effects on other tablet properties
such as disintegration time (Table. 21.13). Also, as has been
noted earlier, they may reduce the strength of the bonds
between particles in a tablet. While this has the beneficial
effect of reducing capping and lamination in the case of
hexamine, with other substances an undesirable reduction in
tablet hardness may occur. Clean surfaces are known to
produce the strongest bonds but, as hard tablets can be
1132
prepared with lubricated granules, it seems reasonable to
suppose that enough of the clean surface produced by
fragmentation during compression remains uncontaminated
by lubricant and capable of forming strong bonds. If this is so,
lubricants should affect the hardness of tablets produced from
crystals more than those produced from granules. This is
because the crystals, being harder than granules, would tend
to fragment to a lesser extent under pressure. In confirmation
of this, Shotton and Lewis (1964) found that the strength of
hexamine and sucrose tablets prepared from
crystalline material was reduced by 76 per cent and 50 per
cent respectively by the addition of 2 per cent magnesium
stearate. The corresponding reduction in hardness was 28.1
per cent and 18.4 per cent respectively for tablets formed
from granulated hexamine and sucrose.
Disintegration
In the context of tablet technology, disintegration implies

penetration of the tablet by an aqueous liquid, disruption of
internal bonds and the subsequent breakdown of the tablet. It
is reasonable to suppose that rapid penetration of liquid is an
essential requirement for rapid disintegration of conveniently
formulated tablets.
Theory
A pressure differential P is required to cause liquid of

viscosity η to flow with a velocity dL/dt in a horizontal pore
of hydraulic radius m at a time t when the meniscus has
moved a distance L along the pore.
1133
(21.10)
Here, k0, a pore shape factor and m, the hydraulic radius, are
used because the pore in a compact has an irregularly shaped
rather than a circular cross section. In all other respects the
equation is of the same form as that used to describe the flow
of liquids in circular pipes. The pressure differential derives
from the drop in pressure across a meniscus:
(21.11)
where γ is the surface tension of the liquid and θ the contact

angle with the pore wall (cf. the corresponding expression for
a liquid meniscus in a capillary of circular section). From the
foregoing:
(21.12)
If L = 0 when t = 0 on integration
(21.13)
If the pore is part of a network that is uniform throughout the

compact, for penetration into one face of that compact, the
volume of liquid in the pores (V) is proportional to L and at
1134
any time t:
(21.14)
k being a coefficient representing the properties of the liquid

and of the pore network within the compact.
Effect of Granule Properties
For a compact of given porosity the void space may comprise

a few large diameter pores or many fine ones. Fine pores are
most likely to be formed from soft friable granules that
readily fragment into much smaller particles during
compression. In these circumstances the size of the pores
should be largely independent of the size of the granules used
to prepare the compact. Conversely, hard granules do not
collapse to the same extent during compaction and thus the
pore network will be coarser and dependent on the original
granule size. According to Eq. 21.13, such a network would
be more readily penetrated by liquids than that resulting from
the compaction of soft materials. Ganderton and Selkirk
(1969) made granules from lactose and sucrose by massing
with water and found that the hardness and bulk density
increased with the amount of water used for granulation. They
suggested that this was due to a reduction in intragranule pore
volume. Sucrose granules, which were harder and less friable
than those prepared with lactose, gave compacts with a
coarser pore structure that was more readily penetrated by
liquid.
Initially, the imbibition rate for all compacts conformed to
Eq. 21.14, but on many occasions slowed down or stopped
1135
abruptly before the theoretical volume of liquid had been
absorbed. This was more frequently observed with sucrose
compacts, particularly in those circumstances where the
porosity was high and the largest, hardest, granules had been
used. These conditions were essential for the effect to occur
with lactose compacts. It was postulated that compacts
showing this type of behaviour had a broad and perhaps
discontinuous distribution of pore sizes. Rapid penetration of
the wider pores isolated some regions of the compact,
occluded air prevented subsequent penetration of the isolated
regions and, as a result, a lower than theoretical degree of
saturation was attained. By compressing the compacts to a
lower porosity the size and lack of uniformity in size
distribution was reduced and higher fractional saturation
obtained.
In the foregoing experiments liquid penetrated one face of the
compact. However, complete immersion of the tablet during
disintegration exposes the whole surface to penetrant liquid.
In this situation the geometry of the system demands a
reduction in the total pore cross-sectional area available for
flow as liquid approaches the centre of the tablet.
Furthermore, as the pore entrances on all surfaces of the tablet
will be sealed by liquid, air entrapment will occur. Liquid will
penetrate until the increase in the pressure of the occluded air
is equal to the capillary pressure. A larger fraction of the total
pore length will be penetrated with fine rather than coarse
pores, but this need not necessarily imply good disintegration
characteristics. It is quite possible that the back pressure of
the occluded air as it compresses in the pore and the
decreasing area available for flow could act in concert with
the normally operative viscous forces so that the rate of
penetration was too low for a short disintegration time.
1136
Effects of Die-Wall Lubricants
Some medicaments, e.g. phenothiazine, and most die-wall

lubricants are hydrophobic and impart this property to the
pore walls in the tablet. The resultant increase in the contact
angle reduces the value of cos θ in Eq. 21.13 and therefore the
pore is less readily penetrated by an aqueous liquid. This is
reflected in the longer disintegration time which is found
when, for instance,
the stearate lubricants are used (see Table. 21.13). For
magnesium carbonate compacts, there was a rough
proportionality between the concentration of magnesium
stearate and the time taken for the uptake of a given amount
of water (Ganderton, 1969). This time was extended, other
conditions being constant, by increasing the efficiency of the
process whereby the lubricant was blended with the granules.
When 1 per cent of magnesium stearate was incorporated
during the moist granulation stage penetration of water was
completely inhibited: the pores were so well coated that the
contact angle was greater than 90° and probably approached
that of the solid lubricant. As the cosine of an angle greater
than 90° is negative, V2 in Eq. 21.14 is also negative and
penetration cannot occur. Where such a situation arises in
tablet manufacture, due either to the intrinsic water repellency
of the medicament or the lubricant, a water soluble surfactant
may be added to the granules to reduce the contact angle.
Surfactants also facilitate the displacement of air from blind
pores in a tablet under the conditions of a dissolution test.
Studies by Wurster and Seitz (1960) with benzoic acid
compacts into which 1mm diameter artificial holes had been
formed by drilling, demonstrated that the total pore surface
was not available for attack by simple aqueous dissolution
1137
fluids, due to occluded air. This effect was abolished when air
was removed from the pores by vacuum treatment or by
addition of a surfactant to the dissolution medium.
Mode of Disintegrant Action
Starch has been used for many decades as a disintegrating

agent. Since instrumented tablet machines were not available
to Berry and Ridout (1950) they used the compression ratio,
that is the ratio of the weight of a tablet to its thickness, as a
measure of the degree of compaction in their studies. The
disintegration time of tablets containing 15 percent of starch,
dry mixed with phenacetin granules, fell linearly from 15min
at a compression ratio of 0.57, to 6min as that ratio was raised
to 0.7; further compaction to 0.75 brought about a steep rise
in disintegration time to 24min. They argued that the
disintegrating action of starch was due to swelling and that
this would be most efficient when the granules were in close
contact with the starch grains in a tablet of low porosity. At
still lower porosities (higher compression ratios) imbibition of
water was restricted by the small pore size. Similar effects
have been noted by Higuchi et al. (1954b) with sulphadiazine
tablets. Berry and Ridout compared the effect of starch added
as described above with that of alginic acid incorporated
during the moist granulation stage. This latter substance also
swells in contact with aqueous liquids, but, since it was part
of the granule structure, disintegration occurred by erosion
and breakdown of the granules into the original particles from
which they had been prepared. A low disintegration time of
approximately 3min was maintained up to a compression ratio
of 0.65 but then, as with starch, further compaction caused a
marked increase in the time taken for the tablet to
1138
disintegrate. Burlinson (1950) observed that there was little to
choose between aliginic acid and starch if part of the latter
was incorporated into the granules during moist granulation
of the medicaments.
The assumption that starch facilitates tablet disintegration by
swelling action (bursting) is based on the known increase in
the dimensions of starch grains exposed to aqueous fluids.
Patel and Hopponen (1966) found a 70 per cent increase in
volume, but Ingram and Lowenthal (1968) quote a lower
figure which, they suggest, is not sufficient to account for the
disintegrant action of starch. The latter workers suggest that
the irreversible swelling of damaged starch grains is much
greater but could not establish a correlation between the
degree of damage and the tablet disintegration time. As an
alternative to the ‘swelling’ theory it has been argued that
starch may derive its disintegrant properties from capillary
action in the intergranule pore system. It is possible that it
may also prevent the complete collapse of the pore system
during compaction or provide a secondary pore surface of low
contact angle against aqueous media.
It seems likely that the disintegration time of tablets is
determined by the complex interaction of a wide variety of
factors. The rate at which liquid penetrates a tablet, the nature
and method of incorporation of lubricants, the action of
disintegrants, the degree of compaction and the reduction of
interparticle bond strength in the presence of water, are all
clearly of major importance. In practice, granules often
contain hydrophilic colloids which, apart from their effect on
the surface tension, viscosity and contact angle of the
penetrant liquid, may dissolve or gel and this may have a
profound effect on the rate at which a tablet disintegrates.
Finally, some tablets disintegrate by continuous erosion of an
outer wetted layer in which case the complete rapid saturation
1139
of the pore system by aqueous media may not be an essential
step in the disintegration process.
Capsules
A capsule consists of a dose of drug enclosed in a
water-soluble shell or envelope. Although capsules are
predominantly used for oral medication, suppositories,
consisting of the drug and a suitable dispersion medium
enclosed in a flexible gelatin shell, are available (Senior,
1969). There are two types of capsule, the hard variety which
is intended for the administration of particulate solids and the
soft or flexible capsule used for powders, nonaqueous liquids
or pastes. As the shell takes several minutes to dissolve, the
taste of unpalatable drugs is effectively masked. Officially,
capsules may be spherical (perles), ovoid or cylindrical with
hemispherical ends—only the last of these descriptions
applies to hard capsules. The shell may include an
antimicrobial preservative, can be coloured as an aid to
identification and may be rendered opaque by dyes or fillers if
the drug, e.g. some vitamins and chlorodiazepoxide, is
photosensitive. For official preparations, diluents may not be
added to the medicament unless this is specifically permitted
in the relevant monograph: a similar restriction also applies to
the use of coloured shells for capsules described in the Codex.
It is possible to coat capsules with cellulose acetate phthalate
or a mixture of stearic acid and butyl stearate if enteric action
is required, but it is more usual in these circumstances to
formulate if possible as an enteric coated tablet.
1140
Soft Capsules
Formerly, these were extemporaneously prepared by filling

and sealing shells which had been made by dipping metal
formers or ‘olives’ into a molten aqueous base containing
glycerin and gelatin (glycogelatin). The glycerin ensures that
a flexible shell is obtained. The first step in mechanizing the
production of soft capsules was the development of a process
whereby a sheet of glycogelatin was covered with a measured
amount of anhydrous fluid drug. A second sheet was then
placed over the drug and the ‘sandwich’ compressed between
plates into which had been set hollow elliptical or
hemispherical dies. The pressure forced the glycogelatin
sheets and the drug into the dies and formed individual
capsules by sealing and cutting at the rims. The capsules were
then separated from the residual glycogelatin matrix, washed
in solvent to remove traces of oil used as a release agent and
dried to give a tough though flexible shell. The process was
used until recently but could not complete with the rotary die
machine (Figs. 21.24 and 21.25) in terms of economic,
continuous, high speed production. In this machine the dies
are set in a pair of contrarotating cylinders. Two continuous
glycogelatin ribbons, previously warmed by the filling wedge
to make them plastic, are fed between the cylinders. At the
moment when opposing dies converge, a measured fill of
drug is forced between the ribbons by a metering pump and
simultaneously the edges of the dies seal and cut out a
complete capsule. These are separated from the matrix,
washed in solvent and dried (Pharmaceutical Journal, 1960).
It is claimed that the fill of drug per capsule can be
maintained to within 1 per cent of the mean fill for the batch.
1141
Fig. 21.24 The rotary die soft capsule filling machine. R.P.
Scherer Ltd.
1142
Fig. 21.25 Method of filling and sealing soft gelatin capsules
in a rotary die machine (diagrammatic).
Depending on machine capacity and capsule size, production

rates in excess of 30000 capsules/h are possible while
production lines are available for the formation of the ribbons,
sealing of the capsules, and their subsequent washing and
drying as a continuous integrated process. Rotary die
machines have also been developed whereby powders as
such, may be directly encapsulated in a flexible gelatin shell.
The ribbon is made to conform to the contour of the die by
application of reduced pressure, a ‘plug’ of powder is forced
between the ribbons and the capsules sealed, washed, and
1143
dried as described above. Capsules of some tetracycline
antibiotics are made by this method.
Virtually any nonaqueous liquid drug or a powdered solid
formed into a suspension of suitable consistency by the
addition of oil may be presented as a soft capsule. Vegetable
oils, Liquid Paraffin and Soft Paraffin are used when
necessary to dilute or suspend the drug. Vegetable oils are
specified for the dilution of the oil-soluble vitamins, as the
paraffins are known to interfere with the absorption of these
medicaments from the gut. As noted in the BPC 1968, drugs
containing water or other gelatin solvent cannot be filled into
soft capsules due to the resultant pitting, softening and
eventual breakdown of the shell; the water should be removed
and the residue mixed with an oil prior to encapsulation.
Conversely, anhydrous but hygroscopic liquids may withdraw
water from the shell which then hardens and has reduced
solubility. Glycogelatin softens markedly as the temperature
is raised and it is usual to increase the proportion of gelatin
for capsules used for tropical climates. Due to changes in the
equilibrium moisture content of the shell, the flexibility of
soft capsules varies with ambient humidity. They are hard
and inflexible at 20 per cent, taut but flexible at 50 per cent,
and soft and flaccid at 80 per cent relative humidity. In the
latter condition the relatively high moisture content of the
shell may encourage the diffusion of any water-soluble
substance from the fill into the shell and as a result there may
be unwanted reactions between the constituents or changes in
the appearance and solubility of the shell.
According to Notton (1956) the oxygen permeability also
increases with the moisture content of the glycogelatin
envelope. It will be noted that the official storage
requirements for both varieties of capsule are framed to
prevent moisture uptake and other forms of deterioration as
1144
well as crushing and breakage. Sufficient preservative must
be used to ensure effective antimicrobial action even where
the moisture content of the envelope is high. Additionally, the
possibility that preservative may partition between the shell
and the capsule content cannot be ignored. Studies by
Patterson and Lerrigo (1947) showed that beta naphthol, used
extensively at that time as a mould inhibitor, partitioned to
such an extent that after approximately 18months storage the
amount of preservative in the capsule contents was more than
twice that in the shell. It is unlikely, however, that
partitioning would be a serious problem with the ionized
antimicrobials, such as potassium sorbate, that are now
employed as preservatives for capsule shells.
Hard Capsules
These are made by filling the drug as powder, granules or

pellets into a preformed cylindrical shell or body, the contents
being retained by a shorter shell or cap fitted over the body.
Wood (1965) has reported that on occasion the cap may
disengage from the body during the act of swallowing. This,
clearly, is undesirable, and may be avoided by securing the
shell components with a narrow sealing strip. Hard capsules
provide an alternative to powders, cachets and tablets for the
administration of solid medicaments. They are at least as
durable as tablets and correct formulation permits the rapid
release and absorption of drug in the gastrointestinal tract.
Hard capsule shells are made by dipping moulds into a gelatin
solution, the film on the mould dried, the shell cut to length
and then stripped from the mould (Pharmaceutical Journal,
1965 & 1966). The shells are made in a range of 8 sizes to
accommodate 50–1000mg doses of drug but for veterinary
1145
preparations three larger shells are available for 5–30g doses.
Particularly where high-speed filling equipment is used there
must be no difficulty in removing and replacing the cap, yet
the junction of this with the body must form an efficient seal.
The necessarily small tolerances on the dimensions of the cap
and body are achieved by rigid control of all stages of the
manufacturing process. Peck et al. (1964) have described a
device utilizing the absorption of β-radiation from a
chlorine-36 source for the control of shell thickness.
A description of the small scale filling of hard capsules is
given in Chapter 26 for large scale roduction the capsules are
sorted and positioned body downwards and sucked into holes
in upper and lower rings which, when separated, retain the
cap and body respectively (Fig. 21.26). The lower ring is then
presented to a head which fills the body with medicament
composition, as either a powder or a lightly compacted pellet.
Subsequently the rings are recombined, the body pushed into
the cap, the capsule ejected and any dust adhering to the outer
capsule surface removed. In semiautomatic equipment the
rings are separated, transferred to the filling head and
recombined by hand, but with fully automatic machines these
operations are accomplished by mechanical means.
1146
Fig. 21.26 Stages in the filling of hard capsules.
In common with many other pharmaceutical materials such as

bacitracin, magnesium trisilicate and starch (Strickland,
1962), the moisture uptake–ambient humidity curve for
gelatin exhibits marked hysteresis (Strickland & Moss, 1962).
Thus, the moisture content of the shell, normally 9–12 per
cent, is determined by both its previous history and the
ambient humidity; it may
vary between 4 and 16 per cent under extreme conditions.
Strickland and Moss concluded that the diffusion of moisture
into the capsule contents occurs mainly through the shell
surface with only a small contribution due to the junction
between the body and cap. Moisture will be absorbed from
the environment via the capsule wall if the medicament is
more hygroscopic than the shell and for this reason such
substances should not be dispensed in capsules. The
preparation of the drug and its subsequent filling into the
body poses many of the problems which have already been
discussed in the context of tabletting, for instance, care must
be taken to ensure the efficient mixing of minor constituents
with other drugs or diluents. The weight of drug in both
tablets and capsules is governed by the volume available for
filling and the bulk density of the drug formulation under
production conditions, while for low weight variation the
powder must flow in a reproducible manner. Unlike the die
cavity of the tablet machine, the volume of the capsule body
cannot be adjusted to accommodate a given weight of powder
and therefore, with hard capsules, the bulk density of the
powder must be adjusted by the addition of an inert diluent
such as lactose. Care is necessary in the selection of the
diluent as, apart from its effect on powder flow properties
there is some evidence, at least in the case of chloramphenicol
1147
capsules (Withey & Mainville, 1969), that high
concentrations of lactose may interfere with drug dissolution.
In addition to diluent, a lubricant such as magnesium stearate
(about 0.5 per cent) may be added for correct operation of the
mechanism in the filling head and up to 5 per cent talc may be
added to improve the flow properties of the powder. Reier et
al. (1968) have reported on preliminary studies to elucidate
the effect of medicament type, production rate, capsule size,
presence or absence of talc, particle size, specific volume and
powder flow on the semiautomatic filling of hard capsules.
These studies showed that, for a given capsule size and
production rate, the filling weight was largely determined by
the specific volume of the powder, while the action of talc in
reducing weight variation was attributed to more
reproducible, rather than more rapid, flow of the powder.
Computer analysis of the data gave equations for filling
weight and filling weight variation which included all
possible interactions of the factors listed above, except that
terms for medicament type and particle size were not required
as their effect was reflected in the flow properties of the
powder and these were adequately defined by the flowability
and specific volume. As the capsule size is set by the specific
volume of the powder, only that parameter and the flowability
need be measured, using a small sample, to predict the
performance of a given filling composition. Thus, production
difficulties may be anticipated and corrected prior to filling
trials with large and potentially expensive batches of
medicament. Reier and coworkers found excellent agreement
between the predicted and observed behaviour of a number of
model filling compositions.
1148
Quality Control of Capsules
The reasons for controlling the disintegration time, weight

variation and medicament content of tablets also apply to
capsules and have been discussed in considerable detail
earlier in this chapter.
Disintegration
The tablet disintegration apparatus of the Pharmacopoeia is

specified for the test but the guided disc may not be used.
With capsules, it is clearly necessary to distinguish, during
the course of the test, between particles of shell and drug; the
BP 1973 requires that no portion of drug shall remain after
15min which does not freely pass the 10mesh screen at the
base of the disintegration tube. Aguiar et al. (1968) found that
hard capsules containing chloramphenicol disrupted
sufficiently to release the drug after a few minutes immersion
in simulated gastric fluid, but several hours were required for
complete solution of the shell. These authors emphasized that
both rapid deaggregation (disintegration of powder aggregates
into primary particles) and rapid dissolution were, necessary
conditions for good biological availability of the drug.
Uniformity of Filling Weight
This cannot be determined by simply weighing the filled

capsules as there will be a variation in weights of the
individual shells. For this reason the weight of the content of
an individual capsule is defined as the difference in weight of
the intact dose unit and the empty shell. Removal of dry
particulate solid from the capsule merely involves detaching
1149
the cap or slitting the shell (Method A) but oily contents are
squeezed out of the split shell and the remainder removed by
washing in solvent (Method B). In all other respects the
principle of the test is the same as that applied to tablets:
Table. 21.14 summarizes official requirements. Only one set
of tolerances is specified when Method B is used to determine
the weight of the capsule contents as this method applies to
soft capsules and it is not usual to fill these with less than
about 0.3g of material.
Table 21.14 Summary of the BP 1973 test for uniformity of
filling weight of capsules
Content of Medicament
A sample from the bulked contents of the capsules used in the

test for weight uniformity is assayed and the dose of
medicament per capsule calculated. This must comply with
the limits set out in the relevant monograph which is framed
to take into account such factors as drug purity, assay
accuracy, assay precision and manufacturing difficulties. The
general requirement that the drug content of individual dose
units shall not show a gross deviation from that stated or
prescribed also applies to capsules.
1150
The available literature, see for example Aguiar et al. (1968),
Robinson et al. (1968) and Stock (1962), suggests that,
provided the capsule contents are correctly formulated
and the manufacturing process adequately controlled, there
should be few instances where difficulties will be encountered
in the large scale production of capsules complying with
official requirements.
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Castello RA, Mattocks AM. J. Pharm. Sci. 1962;51:106.
Duvall RN, Koshy KT, Pyles JW. J. Pharm. Sci.
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Evans AJ, Train D. Supplement to Bibliography of the
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Feldman EG. J. Pharm. Pharmacol. 1969;21:134.
Fonner DE, Banker GS, Swarbrick J. J. Pharm. Sci.
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Ganderton D. J. Pharm. Pharmacol. 1969;21:9S.
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Gold G, Duvall RN, Palermo BT, Slater JG. J. Pharm. Sci.
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Goodhart FW, Mayorga G, Mills N, Ninger FC. J. Pharm.
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Griffiths RV. Manufacturing Chemist and Aerosol News.
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Gunsel WC, Lachman L. J. Pharm. Sci. 1963;52:178.
Hadgraft HG. Pharmaceut. J. 1945;154:183.
Hartley F. J. Pharm. Pharmacol. 1950;2:628.
Higuchi T, Arnold RD, Tucker SJ, Busse LW. J. Am. Pharm.
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Higuchi T, Nelson E, Busse LW. J. Am. Pharm. Ass. (Sci.
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Higuchi T, Shimamoto T, Eriksen SP, Yashiki T. J. Pharm.
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Howard WR. J. Pharm. Pharmacol. 1951;3:777.
Hoyle H. Quart. J. Pharm. 1946;19:279.
Ingram JT, Lowenthal W. J. Pharm. Sci. 1968;57:393.
Jaffe J, Lippmann I. J. Pharm. Sci. 1964;53:441.
1152
Jones TM. Symposium on Powders. Dublin: Society of
Cosmetic Chemists of Great Britain; 1969. 1969
Kornblum SS, Zoglio MA. J. Pharm. Sci. 1967;56:1569.
Kuzel NR, Roudebush HE, Stevenson CE. J. Pharm. Sci.
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Lachman L, Cooper J. J. Pharm. Sci. 1963;52:490.
Lachman L, Sylwestrowicz HD, Speiser PP. J. Pharm. Sci.
1966;55:958.
Lewis CJ, Shotton E. J. Pharm. Pharmacol. 1965;17:71S.
Lewis CJ, Shotton E. J. Pharm. Pharmacol. 1965;17:82S.
Malm CJ, Emerson J, Hiatt GD. J. Am. Pharm. Ass. (Sci.
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Mapstone TJ. Pharmaceut. J. 1952;168:291.
Nelson E. J. Am. Pharm. Ass. (Sci. Edn). 1955;44:494.
Notion HEF. Phaimaccut. J. 1956;177:69.
Orewan E. Rec. Prog. Phys. 1949;12:185.
Patel NR, Hopponen RE. J. Pharm. Sci. 1966;55:1065.
Patterson SJ, Lerrigo AF. Quart. J. Pharm. 1947;20:83.
Peck EG, Christian JE, Banker GS. J. Pharm. Sci.
1964;53:607.
Pharmaceut. J. (1960) 185, 372.
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Prance HP, Stephenson D, Taylor A. Quart. J. Pharm.
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Rees JE, Shotton E. J. Pharm. Pharmacol. 1969;21:731.
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1153
Ridgeway K, Shotton E, Glasby J. J. Pharm. Pharmacol.
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Srinivas R, DeKaY HG>, Banker GS. J. Pharm. Sci.
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1154
Sutaria RH. Manufacturing Chemist and Aerosol News.
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1155
Section III Pharmaceutical Practice
1156
Chapter 22
Pharmacopoeias, Formularies and Medicines Legislation
The word pharmacopoeia is derived from the Greek
pharmakon, a drug, and poieo, which means ‘I make’.
Literally, it is a list of medicinal substances, crude drugs and
formulae for making preparations from them. Such a list is
compiled by recognized authorities, usually appointed by the
government of each country. Most of the principal countries
of the world have their national pharmacopoeias.
The British Pharmacopoeia

The British Pharmacopoeia came into existence in 1864
replacing the more parochial publications that were then in
use. Earlier, pharmacopoeias had been published in London,
Edinburgh and Dublin, each containing preparations bearing
the same name but differing in strength. There was obviously
a need for a single national authority and the Medical Act of
1858 gave the General Council of Medical Education and
Registration the responsibility of publishing the British
Pharmacopoeia. This responsibility was reiterated in the
Medical Act of 1956, Section 47 of which states:
‘The General Council shall, at such intervals as they may
determine, cause to be published under their direction new
editions of the British Pharmacopoeia, containing such
descriptions of and standards for, and such notes and other
matter relating to medicines, preparations, materials and
articles, used in the practice of medicine, surgery, or
midwifery, as the Council may direct.’
1157
A committee of the council was set up to take the necessary
steps for the preparation of a British pharmacopoeia. This
committee consisted of members of the council and was
divided into three subcommittees respectively from London,
Edinburgh and Dublin. The task of the committee for
reducing the processes and description of three
pharmacopoeias into one standard and of reconciling the
varying pharmaceutical customs and prescribing
idiosyncrasies of the three countries must have been
formidable and first pharmacopoeia was published in the
1864. Then council issued a second and more successful
pharmacopoeia in 1867, third in 1885, a forth in 1898 (with
an Indian edition in 1901), and fifth in 1914.
A review of the arrangements for preparing the
pharmacopoeia by a subcommittee of the Committee of Civil
Research in 1926 led to the recommendation that the General
Medical Council should appoint a Pharmacopoeia
Commission, entrusted with the detailed work of new
editions.
The British Pharmacopoeia 1932 was published under these
arrangements and subsequent editions, i.e. 1948, 1953, 1958,
1963, 1968 and 1973, have been similarly prepared. Under
the Medicines Act 1968, the responsibility for preparing the
pharmacopoeia was transferred to the Medicines Commission
and under Section 4 of the Act, the British Pharmacopoeia
Commission was reconstituted by the Health Ministers on the
recommendation of the Medicines Commission.
From 1948 to 1973, new editions of the British
Pharmacopoeia were issued at 5 year intervals and their rapid
developments during into intervals were coveted by a number
of addenda published in year 1948, 1953, 1963, 1966, 1968,
1975, 1977–78.
1158
The thirteenth edition was published in the year 1980; it
differs from its predecessor in respect to inclusion of
monographs on materials formerly described in the British
Pharmaceutical Codes published since 1907. The subsequent
editions were published in the year 1988, 1993, 1998 and
1999. Including monographs for surgical dressings published
in the 1993 edition of the BP. Now the developments covered
with the help of various addenda i.e. British Pharmacopoeia
amendments 1988, 1993, 1998, 1999
On 1 December 2000, the British Pharmacopoeia 2000
supersedes the British Pharmacopoeia 1999 as the source of
current legally-binding standards and it includes new
supplementary chapter providing information and guidance to
users on particulate contamination, important for the control
of injectable preparations.
In December 2001 the BP 2001 was supersede the BP 2000 as
the source of legally-binding UK standards. This year’s
British Pharmacopoeia contains 122 new monographs—44
national monographs and 78 from the European
Pharmacopoeia. Together with the British Pharmacopoeia
(Veterinary), the British Pharmacopoeia now contains over
2980 monographs. All of the current European
Pharmacopoeia monographs are clearly distinguished and
cross-referenced, and comprise a three-volume printed
edition—two volumes of the BP 2001 and single volume of
the BP (Veterinary) 2001.
The 2002 edition includes a comprehensive reference
document that has been designed as a reliable and flexible
research and reference tool, containing new and revised texts.
It incorporates the requirements of 4th edition of the
European Pharmacopoeia plus supplements 4.1 and 4.2, and
it is available in three volumes (two volumes of the BP 2002
and a single volume of the BP (Veterinary) 2002.
1159
The British Pharmacopoeia 2003 is published from the
Health Ministers on the recommendation of the Medicines
Commission in accordance with section 99(6) of the
Medicines Act 1968. It was available in five volumes.
Subsequent editions were published in the year 2004 and
2005 and are available in three formats—a boxed five volume
set for quick reference, a CD-ROM for quick and easy
searches and a comprehensive, searchable website, updated
daily and accessible anywhere in the world by password.
There is no issue of the British Pharmacopoeia 2006
The British Pharmacopoeia (BP) 2007 was also available in
the five volumes with following key features:
• Extensive revisions including 30 new BP texts
• New supplementary chapters containing general guidance
on unlicensed medicines and method validation
• First BP monograph for traditional Chinese medicines
• European Pharmacopoeia (Ph Eur) monographs up to and
including Ph Eur 5th edition, Supplement 5.5
The British Pharmacopoeia (BP) 2008 comprised of
monographs set out as the mandatory standards for active
substances, excipients and formulated preparations, together
with supporting general notices, appendices (test methods,
reagents, etc.), acid–base indicators in colour and reference
spectra. Detailed information and guidance on various aspects
of current pharmacopoeial policy and practice are provided in
the supplementary chapters of the BP.
The British Pharmacopoeia 2009 supersedes the British
Pharmacopoeia 2008. It has been prepared by the British
Pharmacopoeia Commission, with the collaboration and
support of its Expert Advisory Groups and Panels of Experts,
and contains approximately 3200 monographs for substances,
preparations and articles used in the practice of medicine.
Some of these monographs are of national origin while others
1160
have been reproduced from the 6th edition of the European
Pharmacopoeia. This edition, together with its companion
edition, the British Pharmacopoeia (Veterinary) 2009,
incorporates all the monographs of the 6th edition of the
European Pharmacopoeia as amended by Supplements 6.1
and 6.2. The BP 2009 comprises five volumes as follows:
• Volumes I and II medicinal substances
• Volume III formulated preparations, blood-related products,
immunological products, radiopharmaceutical preparations,
surgical materials, herbal drugs and herbal drug preparations
and materials for use in the manufacture of homoeopathic
preparations
• Volume IV infrared reference spectra, appendices,
supplementary chapters and index
• Volume V British Pharmacopoeia (Veterinary) 2009
The British Pharmacopoeia 2010 is also available, either as a
five-volume printed edition or single-user licence to the
CD-ROM (not Mac compatible) or single-user licence to the
online version. It became legally effective in the UK from 1
January 2010 and has 40 new monographs for formulated
preparations, new and revised monographs for herbal and
complementary medicines within their own section in
Volume III, additional standards for widely used unlicensed
formulations, and European Pharmacopoeia 6th edition
material up to and including Supplement 6.5.
The British Pharmacopoeia 2011 is a recent edition and
legally effective in the UK from 1 January 2011 with
following key features:
• 51 new BP monographs for formulated preparations
• Six-volume set
• Contents of the former Volume III split to create an
additional volume
1161
• Additional standards for widely-used unlicensed
formulations
• European Pharmacopoeia 6th edition material, up to and
including Supplement 6.8
• Updates will be available in January, April and July 2011
The International Pharmacopoeia

The concept of a single national pharmacopoeia, however, has
to some extent outlived its usefulness. This has arisen not
only from the need for a wider international authority but also
from the changes that have taken place in the practice of
pharmacy and the preparation of medicines. Attempts were
made to establish international uniformity of terminology and
standardization as long ago as 1874 but it was not until 1906
that an ‘International Agreement respecting the Unification of
Formulae for Potent Drugs and Preparations’ was achieved.
Attempts were made to publish an International
Pharmacopoeia under the Health Organization of the League
of Nations and subsequently under the World Health
Organization, and first edition, volume I was eventually
issued in 1951, II volume 1955 and a supplement (1959) in
English, French and Spanish, and was also translated into
German and Japanese. It included 183 monographs on dosage
forms (capsules, injections, tablets and tinctures) and 84 tests,
methods, and general requirements so in all 344 monographs
on drug substances.
The second edition was published in 1967, it includes 162
pharmaceutical preparations, while 114 monographs were
deleted, based on feedback from the first edition. New
analytical methods such as infrared spectroscopy,
1162
chromatography (column, paper and thin-layer), non-aqueous
titration, and radioactivity were also added.
In the third edition, 1975, the purpose of The International
Pharmacopoeia was reconsidered. It was decided that the
publication should focus more on the needs of developing
countries and recommend only simple, classical chemical
techniques that had been shown to be sound. High priority
would be accorded to drugs important to WHO health
programmes. Wherever possible, classical procedures would
be used in the analytical methods so that the pharmacopoeia
could be applied without the need for expensive equipment.
Where a sophisticated analytical method was suggested, an
alternative, less complex method would also be included in
this edition.
The third edition consisted of five volumes: Volume 1
contained general methods of analysis; Volumes 2 and 3
quality
specifications for the majority of essential drug substances in
the WHO Model List of Essential Drugs; and Volume 4
provides information on tests, methods, and general
requirements and quality specifications for pharmaceutical
substances, excipients and dosage forms. Volume 5, the final
volume, contained tests and general requirements for dosage
forms and quality specifications for pharmaceutical
substances and tablets, and a section on antimalarial drug
substances and their most widely used dosage forms.
Volumes 1 and 2 of the fourth edition were published together
in 2006. Volume 1 contains the general notices and many of
the monographs for pharmaceutical substances, and Volume 2
contains the remaining monographs for pharmaceutical
substances together with those for dosage forms and
radiopharmaceutical preparations, the methods of analysis
and the reagents section and index. The main volumes of this
1163
edition consolidated and updated the texts of the five separate
volumes of the third edition and included new monographs
for antiretroviral substances. The first supplement, published
in 2008 contains new and revised monographs for
pharmaceutical substances and dosage forms together with
additions and amendments to the texts published in Volumes
1 and 2. As with the main volumes, the first supplement is
published simultaneously in print, as a CD-ROM and online.
The new monographs published in the supplement include
additional antiretroviral substances, antiretroviral dosage
forms and antituberculosis dosage forms including 2-, 3- and
4-component fixed-dose preparations.
The European Pharmacopoeia

While the International Pharmacopoeia has undoubtedly had
a unifying influence it has not replaced the national
pharmacopoeias of each country. Under the auspices of the
Council of Europe, it has been considered necessary to
prepare a European Pharmacopoeia. The participating
Countries are Belgium, France, the Federal Republic of
Germany, Italy, Luxembourg, the Netherlands, Switzerland
and the United Kingdom. The European Pharmacopoeia
takes precedence over the national pharmacopoeias of the
participating countries for those substances covered by its
monographs.
The European Pharmacopoeia is developed by the European
Directorate for the Quality of Medicines (EDQM) and is a
part of the Council of Europe, Strasbourg, France. It has been
created by the Convention on the elaboration of a European
Pharmacopoeia from 1964. First edition was published in
1967 and subsequent editions in 1980, 1997, 2001 (valid from
1164
1 January 2002), 2004 (valid from 1 January 2005), 2007
(valid from 1 January 2008) and recent 7th edition, published
in July 2010, valid from 1 January 2011. From January 2011,
the 7th edition came into force and replaces 6th edition,
which is legally binding until 31 December in the member
states of the European Pharmacopoeia, including the
countries of the European Union. The 7th edition is available
in official languages of the council of Europe, i.e. English and
French in print, USB key and online formats. Its translation
into Spanish is underway. The 7th edition is comprised of two
initial volumes, which will be updated by noncumulative
supplements (7.1–7.8) issued three times a year following the
decisions taken at each session of the European
Pharmacopoeia Commission. The initial two volumes contain
the 2130 monographs, 330 general chapters illustrated with
diagrams or chromatograms and 2457 descriptions of
reagents.
The British Pharmaceutical Codex

To a greater degree, similar considerations may influence the
scope and function of the companion volume to the British
Pharmacopoeia, the British Pharmaceutical Codex. The first
edition of the British Pharmaceutical Codex was published in
1907 and subsequent editions in the years 1911 and 1923.
These publications, originally described as ‘An Imperial
Dispensatory for the use of Medical Practitioners and
Pharmacists’, is published by the direction of the Council of
the Pharmaceutical Society of Great Britain. The British
Pharmaceutical Codex differs in several important respects
from the pharmacopoeia. It comprises many more drugs and
preparations; some may be included in advance of the
1165
pharmacopoeia and ultimately acquire official status others
may formerly have been official and are retained in the Codex
because they are still used to an appreciable extent. For such
preparations the Codex provides standards and tests similar to
those in the pharmacopoeial monographs and it should be
noted that, like the British Pharmacopoeia, it has been
accepted as the presumptive standard for legal purposes in
Great Britain. It has, for example, been used to decide, in
Courts of Law, on the quality of a drug demanded in
accordance with the Food and Drugs Act 1938.
In addition to drug standards, the British Pharmaceutical
Codex since 1923 has been the source of standards for
surgical dressings. Furthermore, it provides information on
the actions and uses of drugs, their undesirable effects,
precautions and the treatment of poisoning. To the practising
pharmacist, the codex is useful not only as a source of
information on drugs but also because it contains the
formulae of most of the preparations still extemporaneously
prepared in pharmacy, notably liquid preparations for oral
administration, sterile eye drops and eye lotions, ointments
and creams, together with recommended methods for
dispensing them. Subsequent editions were published in 1934,
1949, 1954, 1959, 1963, 1968 and 1973.
In 1979, a new edition was published with a new title, The
Pharmaceutical Codex. The Medicines Commission had
recommended in 1972 that the British Pharmacopoeia should
henceforth be the only compendium of official standards for
medicines in the UK, and the BPC lost its status as an official
book.
1166
The British National Formulary
For the day-to-day purposes of the prescribing doctor and
pharmacist, there is an obvious need for a ready and
convenient source of essential information on the drugs and
preparations commonly in use. This need is answered by the
British National Formulary, a publication produced jointly by
the Pharmaceutical Society of Great Britain and the British
Medical Association.
It is prepared by a Joint Formulary Committee, drawn from
the two professions and on which the Department of Health
and Social Security is also represented. At the inception of the
National Health Service, the Minister of Health signified his
willingness to accept the Formulary as the standard
prescribers’ formulary for the Service.
The British National Formulary is not a book of standards
and differs in this respect from the British Pharmacopoeia
and the British Pharmaceutical Codex. By close liaison
between the authorities responsible for publishing the three
books, many preparations from the Pharmacopoeia and the
Codex are included in the Formulary. Such is the pace of
therapeutic innovation nowadays, however, that the
Formulary often has to include new drugs before they have
achieved the status of inclusion in either the Pharmacopoeia
or the Codex.
The BNF provides the useful information for the
pharmaceutical students. The Classified Formulary section, in
which the preparations are listed according to their
pharmaceutical form, provides the practicing pharmacist with
the formulae of commonly dispensed medicines and other
details of practical importance. The Classified Notes for
Prescribers are arranged according to a pharmacological
1167
classification and are primarily intended for the prescribing
doctor. The pharmaceutical student, however, will find in
them much useful information on the actions, uses and doses
of drugs. In addition, the Formulary contains sections dealing
with such subjects as dependence on drugs and adverse
reactions to drugs.
The BNF is published biannually under the authority of a
Joint Formulary Committee, which comprises representatives
of the two professional bodies, and of the UK Health
Departments. The Dental Advisory Group oversees the
preparation of advice on the drug management of dental and
oral conditions; the Group includes representatives of the
British Dental Association. The Nurse Prescribers’ Advisory
Group advises on the content relevant to nurses. The BNF
aims to provide prescribers, pharmacists and other healthcare
professionals with sound up-to-date information about the use
of medicines. The BNF includes key information on the
selection, prescribing, dispensing and administration of
medicines. Medicines generally prescribed in the UK are
covered and those considered less suitable for prescribing are
clearly identified. Little or no information is included on
medicines promoted for purchase by the public. As BNF is
revised twice yearly and numerous changes are made between
issues because of this reason, all copies of BNF No. 59
(March 2010) should therefore be withdrawn and replaced by
BNF No. 60 (September 2010).
The Extra Pharmacopoeia

The vast number of drugs and proprietary medicines in use
today is such that therapeutic information and its retrieval is
one of the major problems of the pharmacist, whatever his
1168
field of practice. The Extra Pharmacopoeia (Martindale),
published by the Pharmaceutical Society, is a useful reference
book, containing information not only on official preparations
but also proprietary products and preparations in foreign
pharmacopoeias. Many of the leading drug manufacturers
produce technical literature which provides another source of
information and the filing of such material so that it can be
readily retrieved is very well worth the trouble. Under the
Medicines Act, each product marketed commercially must be
described in a Data Sheet, conforming to the requirements of
the Licensing authority. The data sheets of the leading
manufacturers are published annually in a bound volume by
the Association of the British Pharmaceutical Industry
(ABPI).
The aim of Martindale is to provide healthcare professionals
with unbiased evaluated information on drugs and medicines
used throughout the world. It therefore has to develop as the
body of knowledge on existing drugs grows, new drugs
emerge, new preparations are launched, and old preparations
are abandoned, reformulated, or redefined. In order to provide
more up-to-date information the interval between the
publications of the printed versions of Martindale has been
reduced over successive editions and the book is now
produced about every 2 years. For those who require even
more up-to-date information from Martindale there is various
electronic versions, sections of which are updated more
frequently. Some of the recent updates of the Martindale are
summarized below.
1169
Martindale Quarterly 2005 Update
The March update contains 2 completely re-evaluated

chapters, 19 new drug monographs, updates to a further 74
drugs and treatment monographs, and updated proprietary
product information for 10 countries.
Martindale Third Quarter 2005 Update
The June update contains 2 completely re-evaluated chapters,

11 new drug monographs, updates to a further 97 drugs and
treatment monographs, and updated proprietary product
information for 9 countries.
Martindale Fourth Quarter 2005 Update
This quarter has one chapter which has been completely

revised and revalidated, 13 new monographs have been
added, and a further 67 monographs have been updated.
Structural formulae to many monographs have also been
added and now it includes the international nonproprietary
names in Spanish, French, Russian, Latin and English.
Martindale First Quarter 2006 Update
Five chapters have been completely revised and revalidated,

39 new monographs and 7 new treatment reviews have been
added, and a further 80 monographs have been updated in this
quarter. Preparations have been updated for 9 countries.
1170
Martindale Second Quarter 2006 Update
In this quarter, 8 chapters or chapter sections have been

completely revised and revalidated, 19 new monographs and
3 new treatment reviews have been added, 1 new country has
been added and preparations for a further 7 countries have
been updated.
In this quarter, 8 chapters have been completely revised and

revalidated, 10 new monographs and 3 new treatment reviews
have been added, and a further 6 monographs have been
updated.
In this quarter, 46 chapters have been revised, 72 new

monographs and 1 new treatment review have been added,
and a further 4 monographs have been updated.
In this quarter, information on miscellaneous analgesics,

anti-inflammatory drugs, and antipyretics has been
completely revised and revalidated, 63 new monographs have
been added, and 76 existing monographs and treatment
reviews have been updated. Preparations and manufacturer
information from 12 countries has been updated, including
Turkey, new for this quarter.
1171
It has 5 chapters or chapter sections that have been

completely revised and revalidated, 21 new monographs have
been added, and 40 existing monographs and treatment
reviews have been updated. Preparations have also been
updated for 8 countries.
The 6 chapters or chapter sections have been completely

revised and revalidated, 31 new monographs have been
added, and 55 existing monographs and treatment reviews
have been updated in this quarter. Preparations have also been
In this quarter, 19 new monographs have been added and 105

existing monographs and treatment reviews have been
updated, including complete revision and revalidation of the
information on lincosamides in the chapter on antibacterials
and antiarrythmics in the chapter on cardiovascular drugs.
Preparations have also been updated for 9 countries, including
the Philippines and Poland, both new for this quarter.
Martindale has been updated with 66 revised and 28 new

monographs, including 5 fully revised chapters, and product
information updated for 10 countries.
1172

monographs, plus 4 fully revised chapter sections, and
updated product information for 6 countries.

monographs, plus 3 fully revised chapters, and updated
product information for 8 countries.
In this quarter, revision and revalidation of the information on

all chapters have been completed. In addition, 68 new
monographs have been added and a further 11 existing
monographs and treatment reviews have been updated.
Preparations have been updated for 6 countries.
In this quarter, complete revision and revalidation of the

information on glycopeptide antibacterials have been carried
out. A new chapter on pharmaceutical excipients has been
created comprising relevant monographs from other existing
chapters. In addition, 12 new monographs have been added
and a further 22 existing monographs and treatment reviews
have been updated. Preparations have also been updated for
10 countries.
1173
In this quarter, complete revision and revalidation have been

carried out on antidementia drugs, antigout drugs,
antimyasthenics and urological drugs, as also selected
treatment reviews from antibacterials and cardiovascular
drugs. In addition, 9 new monographs have been added and a
further 14 existing monographs and treatment reviews have
been updated. Preparations have also been updated for 9
countries.
Martindale updated with 15 revised and 13 new monographs,

plus 8 revised chapters or chapter sections.
In this quarter, revision has been carried out on antimigraine
drugs, bone-modulating drugs, growth hormone and its
modulators, nutritional agents and vitamins, and thyroid and
antithyroid drugs. Sections of antibacterials; anxiolytic
sedatives, hypnotics and antipsychotics; and cardiovascular
drugs have also been revised.
A new index titled Pharmaceutical Terms in Various
Languages has been included. It lists some of the common
pharmaceutical forms and routes in English and a number of
major European languages. Preparations have also been

1174
In this quarter, revision has been carried out on
antiprotozoals, contrast media, electrolytes and gases.
Sections of antibacterials; antineoplastics; and anxiolytic
sedatives, hypnotics and antipsychotics; cardiovascular drugs;
gastrointestinal drugs; pharmaceutical excipients; and
supplementary drugs and other substances have also been
revised.

In this quarter, revision has been carried out on antidiabetics
and also on sections of antibacterials; antineoplastics;
anxiolytic sedatives, hypnotics and antipsychotics;
bronchodilators and antiasthma drugs; cardiovascular drugs;
gastrointestinal drugs; pharmaceutical excipients; and
supplementary drugs and other substances. Preparations have
also been updated for 6 countries.

In this quarter, revision has been carried out on anthelmintics,
antiepileptics, antihistamines, antimalarials, antiparkinsonian
drugs, cough suppressants, expectorants, mucolytics and nasal
decongestants, obstetric drugs, radiopharmaceuticals, and
stimulants. Sections of analgesics, anti-inflammatory drugs
and antipyretics, antineoplastics, antivirals, cardiovascular
drugs, pharmaceutical excipients, sex hormones and their
modulators, and supplementary drugs and other substances
1175
have also been revised. Preparations have also been updated
for 7 countries.

In this quarter, revision has been carried out on antifungals,
chelators, antidotes and antagonists, gases,
immunosuppressants, and stimulants. Sections of analgesics,
anti-inflammatory drugs and antipyretics, antibacterials,
antineoplastics, antivirals, cardiovascular drugs, and
supplementary drugs and other substances have also been
revised.
For this update, we have introduced two additional drug
coding systems: ATC codes for herbal medicines, which now
complement the existing ATC codes for conventional and
veterinary drugs, and Martindale’s own unique identifiers—
the Martindale codes. Preparations have been updated for 10
countries.
Martindale updated with 30 new monographs, plus 26 revised

chapters or chapter sections.
In this quarter, revision has been carried out on
antidepressants, blood products, plasma expanders and
haemostatics, corticosteroids, dermatological drugs and
sunscreens, disinfectants and preservatives, general
anaesthetics, local anaesthetics, miotics, mydriatics and
antiglaucoma drugs, muscle relaxants, neuromuscular
blockers, pesticides and repellents, sex hormones and their
1176
modulators, and vaccines immunoglobulins and antisera.
Sections of analgesics, anti-inflammatory drugs and
antipyretics, cardiovascular drugs, and supplementary drugs
and other substances have also been revised. Preparations
have been updated for 5 countries.
In this quarter, a new chapter section on Additional

Substances of Medical Interest has been compiled of 81
substances that appear on the WADA Prohibited List that and
do not appear elsewhere in Martindale.
In addition, 21 other new monographs have been added to
existing chapter sections and a further 53 monographs and
treatment reviews have been updated. More UNII codes have
been added to monographs and information on drugs
restricted in sport has been updated for the WADA Prohibited
List 2011. Pharmacopoeial information has also been updated
to reflect the Ph Eur 7.0 in monographs throughout the
publications. Preparations have been updated for 7 countries.
The United States Pharmacopoeia

In the year 1820, the first edition of The Pharmacopoeia of
the United States was published with an objective of selecting
substances that possess medicinal power. Their utility is fully
established and best understood, to form from them
preparations and compositions, in which their power may be
exerted to the greatest advantage.
Over time, the nature of the United States Pharmacopoeia
changed from being a compendium of recipes to a
compendium of drug product standards. Its publishing
1177
schedule also changed. From 1820 to 1942, the USP was
published at 10-year intervals, from 1942 to 2000 at 5-year
intervals and from 2002, annually. The American
Pharmaceutical Association has published the first national
formulary under the title The National Formulary of
Unofficial Preparations (NF) in 1888. Both the USP and the
NF were recognized in the Federal Food and Drugs Act of
1906 and again in the Federal Food, Drug, and Cosmetic Act
of 1938. In 1975, USP acquired the NF and began publishing
both compendia in a single volume, titled USP–NF.
USP 30–NF 25 was published in the year 2007, having
approximately 4100 monographs and more than 200 general
tests and assays and general information chapters. It is printed
in a three-volume set: Volume 1 contains front matter,
Volume 2 contains USP monographs from A–L, and Volume
3 contains USP monographs from M–Z. The first and second
supplements of USP30–NF 25 were published in June and
December, 2007.
USP 31–NF 26 (2008) in English is available in three
formats—print, CD and online. The USP–NF Spanish edition
is available in print format only.
In the year 2009, edition USP 32–NF 27 was published with
more than 4200 monographs, over 200 general chapters,
covering tests and assays; it expedites new product
development and approvals. USP 33–NF 28, having more
than 4500 monographs with specifications for identity,
strength, quality, purity, packaging and labelling for
substances and dosage forms, was published in 2010. It has
over 230 general chapters providing clear, step-by-step
guidance for assays, tests and procedures besides a separate
sections on reagents, indicators, solutions and reference
tables.
1178
Usp 34–Nf 29 (2011)
All formats will feature a new streamlined monograph design
for new and revised monographs since USP 33–NF 28
re-issue. The new design is being phased into the compendia
in stages. It is available in three formats—print, CD and
online. The USP–NF Spanish edition is available in print
format only.
Publication schedule and official dates for USP 34–NF 29
English edition
Publication
Title Official date
date
USP 34–NF 29 main edition November 1, May 1, 2011
2010
First supplement to USP February 1, August 1,
34–NF 29 2011 2011
Second supplement to USP June 1, 2011 December 1,
34–NF 29 2011
Indian Pharmacopoeia
The Indian Pharmacopoeia is published by the Indian
Pharmacopoeia Commission (IPC) on behalf of the Ministry
of Health and Family Welfare, Government of India. The
Indian Pharmacopoeia is being produced to fulfil the
requirement in the Drugs and Cosmetics Rules, 1945 of
standards of drugs produced in India and in the belief that it
contributes significantly in controlling the quality of
medicinal products. The standards of this pharmacopoeia are
legally enforceable and are intended to help in the licensing
1179
and inspection processes. After Independence, an Indian
Pharmacopoeia Committee was constituted in 1948, which
prepared the Pharmacopoeia of India (The Indian
Pharmacopoeia) 1955. A supplement to it was published in
1960. This pharmacopoeia contained Western as well as
traditional drugs, and the same policy continued while
preparing the Pharmacopoeia of India 1966 (second edition)
and its 1975 supplement. In the Pharmacopoeia of India 1985
(third edition) and its addenda 1989 and 1991, traditional
drugs were not included as publication of a pharmacopoeia of
traditional-system drugs was taken up separately and only
those herbal drugs were included which had supporting
definitive quality control standards.
Since the publication of the 1985 Edition there has been a
significant increase in the range of drugs produced in India.
Keeping this in mind the committee has deleted or added
monographs on a system of priorities based on the medical
merit and the extent of use of any given article in the country
in its following 1996 Edition (4th edition) and its addenda in
2000, 2002, 2005 and one supplement for veterinary products
in 2002. The Indian Pharmacopoeia 2007 (5th edition) and its
addendum in 2008 have been prepared in accordance with the
principles and the plan designed by the Scientific Body of the
Indian Pharmacopoeia Commission. The general notices,
monographs and new testing methods, etc., based on the
introduction of advanced technology and experimental
methods widely adopted in India and abroad are being added
and updated. The contents of appendices are revised by and
large in consonance with those nowadays adopted
internationally for monitoring the quality of the drugs.
Monographs of special relevance to the common disease
pattern of this region have been given special emphasis by
incorporating such medicines.
1180
In addition, emphasis has been put to bring out harmonization
in appendices to a sound connection between individual
monographs and the relevant appendices, and to the
standardization of text wording so as to make this edition
precise and well structured. The number of monographs in
appendices is expanded further to incorporate the latest
technological advances, and it complies with regulatory
requirements. Great efforts have been made to unify the
national drug standards and to bring them in line with the
international standards progressively by addition of
monographs of new drugs and current methodology adopted.
The Indian Pharmacopoeia 2007 is published in three
volumes.
Salient features of the Indian Pharmacopoeia 2007
Total no. of monographs 1623
No. of new monographs 265
No. of API monographs 767
No. of dosage forms monographs 856
No. of vaccines and immunosera monographs 57
No. of herbs and herbal products monographs 58
No. of blood and blood-related products monographs 21
No. of biotechnology products 04
No. of veterinary products monographs 143
No. of antiretroviral monographs 22
No. of antituberculosis monographs 14
No. of anticancerous monographs 08
No. of antimalarial monographs 03
1181
No. of excipient monographs 12
Additions
Vaccines and other biological products 51
Biotechnological products 12
Blood and blood products 32
Medicinal plants 20
The sixth edition of the Indian Pharmacopoeia (Indian
Pharmacopoeia 2010) is published by the Indian
Pharmacopoeia Commission (IPC). It supersedes the 2007
edition but any monograph of the earlier edition that does not
figure in this edition continues to be official as stipulated in
the Second Schedule of the Drugs and Cosmetics Act, 1940.
The Indian Pharmacopoeia 2010 is presented in three
volumes. Volume I contains the notices, preface, the structure
of the IPC, acknowledgements, introduction and the general
chapters. Volume II contains the general notice, general
monographs on dosage forms, monographs on drug
substances, dosage forms and pharmaceutical aids (A to M).
Volume III contains monographs on drug substances, dosage
forms and pharmaceutical aids (N to Z) followed by
monographs on vaccines and immunosera for human use,
herbs and herbal products, blood and blood-related products,
biotechnology products and veterinary products. The scope of
the pharmacopoeia has been extended to include products of
biotechnology, indigenous herbs and herbal products,
veterinary vaccines, and additional antiretroviral drugs and
formulations, inclusive of commonly used fixed-dose
combinations. Standards for new drugs and drugs used under
national health programmes are added, and the drugs as well
as their formulations not in use nowadays are omitted from
1182
this edition. The number of monographs of excipients,
anticancer drugs, herbal products and antiretroviral drugs has
been increased in this edition. Monographs of vaccines and
immunosera are also upgraded in view of development of
latest technology in the field. A new chapter on liposomal
products and a monograph of liposomal amphotericin B
injection is an added advantage in view of latest technology
adopted for drug delivery. A chapter on NMR is incorporated
in appendices. The chapter on microbial contamination is also
updated to a great extent to harmonise with prevailing
international requirements. A list of 287 new monographs
items not included in the 2007 edition of the Indian
Pharmacopoeia and its addendum 2008 has been added in
this edition.
Silent features of the India Pharmacopoeia 2010
• Total monographs are 1918; out of which 287 have been
added first time.
• Category of a drug, dosage and usual available strength of
dosage forms have been added.
• Classical chemical tests for identification of an article have
almost been eliminated and more specific infrared and
ultraviolet spectrophotometric tests have been introduced.
• Cross referencing has been avoided.
• Veterinary products monographs are the integral part of this
edition.
• Presentation of subject matter is unique.
• Use of chromatographic methods has been greatly extended.
• Test for pyrogen has virtually been eliminated.
• More herbal drugs monographs have been added.
• Several new monographs not present in any major
pharmacopoeias of the world are present in it.
• Authenticity certificate.
1183
Medicines Legislation
In recent years, it has become apparent that the introduction
of new drugs into medicine is not adequately safeguarded
even by the stringent controls applied through
pharmacopoeial and other monographs. Before a drug
achieves the distinction of being included in the
pharmacopoeia or codex, it is usually developed in the
commercial research laboratories of the pharmaceutical
industry, and released for commercial distribution if it passes
the requisite tests for toxicity and clinical efficacy. Much
effort is put into the investigations required by the
pharmaceutical manufacturer to ensure that the products
released are safe for the purpose intended. However, there is
always an element of risk with any drug developed and
experience has shown that there is a need for the central
supervision of the testing of new drugs by an independent
authority.
The reports of fetal abnormalities following the
administration of thalidomide to pregnant women during
1960 and 1961 gave rise to much public concern and a joint
subcommittee of the Standing Medical Advisory Committee
was set up to advise the minister of what further steps were
considered desirable to ensure the safety of drugs. The joint
subcommittee rejected as neither desirable nor practicable the
suggestion that responsibility for testing new drugs should be
transferred to a central authority. However, it recommended
that there should be an expert body to review evidence and
offer advice on the toxicity of new drugs.
The Committee on Safety of Drugs was appointed in June
1963 under the chairmanship of Sir Derrick Dunlop and
1184
subsequently of Sir Eric Scowen. The terms of reference of
the committee were as follows:
1. To invite from the manufacturer or other person developing
or proposing to market a drug in the United Kingdom any
reports they may think fit on the toxicity tests carried out on
it; to consider whether any further tests should be made, and
whether the drug should be submitted to clinical trial, and to
convey their advice to those who submitted reports.
2. To obtain reports of clinical trials of drugs submitted
thereto.
3. Taking into account the safety and efficacy of each drug
and the purposes for which it is to be used, to consider
whether it may be released for marketing with or without
precautions or restrictions on its use and to convey their
advice to those who submitted reports.
4. To give to manufacturers and others concerned any general
advice they may think fit on the matters referred to in
paragraphs (i) and (iii).
5. To assemble and assess reports about adverse effects of
drugs in use and prepare information thereon which may be
brought to the notice of doctors and others concerned.
6. To advise the appointing ministers on any of the above
matters.
Three sub-committees of the Committee on Drug Safety were
established to deal with (1) toxicity, (2) clinical trials and
therapeutic efficacy and (3) adverse reactions. The Committee
started to assess reports on toxicity and clinical trials on 1
January 1964 and both the Association of British
Pharmaceutical Industry and the Proprietary Association of
Great Britain agreed not to submit a new drug for clinical trial
or to market a new drug after that date against the advice of
the Committee. The Committee on Drug Safety, therefore,
possessed no legal sanctions but operated by the consent and
1185
agreement of the medical profession and the main bodies
representing commercial interests in pharmacy.
Despite its lack of legal powers, its authority and influence
effectively prevented the marketing of drugs which had not
passed through the recognized procedure.
There are therefore a number of different bodies responsible
for publishing standards for drugs, concerned with drug safety
and issuing information about the use of drugs. Clearly there
was a need for the work of all these disparate bodies to be
coordinated centrally and controlled in the public interest.
Such coordination was established in the Medicines Act 1968
which made new provision for the safety, quality and efficacy
of medicinal products for human and veterinary use the
circumstances in which they are sold and supplied, their
labelling and description and their sales promotion.
This comprehensive legislation was foreshadowed by a white
paper (Cmnd 3395) published in 1967 and it was also
influenced by the recommendations made in the report of the
Committee on the Relationship of the Pharmaceutical
Industry with the National Health Service (Cmnd 3410). The
Act provided for the appointment of a Medicines Commission
to advise the Health Ministers on the administration of the
Act.
As has been said, among its many functions, the Medicines
Commission became responsible for advising the Health
Ministers on the preparation of the British Pharmacopoeia.
The Act also empowers the Secretary of State to assume
responsibility for any other compendia giving standards for,
or information about substances and articles used in human or
veterinary medicine. The publication of the British
Pharmaceutical Codex is authorized by the Council of the
Pharmaceutical Society of Great Britain, and the British
National Formulary is authorized by the British Medical
1186
Association in accordance with the Pharmaceutical Society. It
has now been agreed that the British Pharmacopoeia will in
future be the sole source of official standards for medicinal
preparations (including surgical dressings). The British
Pharmaceutical Codex 1973 is the last edition of that book in
which standards are provided. The status of the British
National Formulary remains unchanged at the time of going
to press.
Under the Medicines Act 1968, the Safety of Drugs
Committee was reconstituted as a statutory body under the
new title of the Safety of Medicines Committee. The
Medicines Act also introduced a system of licensing of
pharmaceutical preparations and medicines. Before a new
drug can be submitted to clinical trial it must first be
approved by the Safety of Medicines Committee and granted
a Clinical Trial Certificate. Before it is released for
commercial distribution, the new drug preparation must
further be granted a Product Licence. The grant of clinical
trial certificates and product licences is made only after the
manufacturer has disclosed, in confidence, to the Safety of
Medicines Committee full information on the chemistry,
pharmacy, standards, toxicity and stability data of the new
preparation.
The Medicines Act 1968 also provided for the setting up of a
Medicines Inspectorate. This has the responsibility of
inspecting and approving premises in which medicines are
manufactured and stored. Each manufacturer is required
under· the Medicines Act to obtain a licence for his premises
and the grant of a licence is subject to a satisfactory report by
the Medicines Inspectorate.
The Medicines Act thus covers many aspects of the practice
of pharmacy, including requirements for standards of hygiene
in places where medicines are manufactured, transported,
1187
stored and supplied. It is also concerned with the laws
governing the sale of poisons and the retail sale of medicinal
preparations. The Medicines Act has had a profound effect on
the practice of pharmacy which will continue to be felt in the
coming years.
1188
Chapter 23
Weights and Measures
For many years, three systems of weights and measures were
in use in pharmacy: the metric system, the avoirdupois system
and the apothecary system. A committee on weights and
measures legislation was appointed by the President of the
Board of Trade in 1948 ‘to review the existing weights and
measures legislation and other legislation containing
provisions affecting Weights and Measures and the
administration thereof and to make recommendations’. The
committee, in a report published in 1951, recommended that
the apothecary system should be abolished and that the metric
system should be adopted in its place. It recommended further
that steps should be taken in concert with the Commonwealth
and the USA to abolish the imperial system of measurement
in favour of the complete adoption of the metric system over
a period of about 20 years.
While the complete adoption of the metric system of weights
and measures for the purposes of trade has not yet been
accepted, steps have now been taken to abolish the use of
apothecary and imperial systems for all dealings in drugs and
medicines. Since 31 March, 1969, pharmacists have been
required to carry out all dispensing in the metric system. The
apothecary and imperial weights and measures became illegal
as far as pharmacy is concerned.
The first steps to change over to the metric system appeared
in the British Pharmacopoeia and British Pharmaceutical
Codex published in 1963. In these editions, the strengths of all
single-dose forms of drug presentation (tablets, capsules and
injections) were given only in metric quantities.
1189
In order to carry this change into effect, the Weights and
Measures (Equivalents for dealings with drugs) Regulations
1964 (S.I. 1964 No. 81) stipulated the strength in metric units
which must be dispensed or supplied when a strength in
apothecary units is stated on the prescription or order.
The British Pharmaceutical Codex 1968 and the British
National Formulary 1968 extended the use of the metric
system to all other liquid forms of drug presentation and the
schedule of metric equivalents to be used in place of
apothecary and imperial quantities was further extended by
the Weights and Measures (Equivalents for Dealing with
Drugs) Regulations 1970 (S.I. 1970 No. 1897). The complete
adoption of the metric system in pharmacy has therefore been
achieved.
While pharmacists are required to use the metric system for
dispensing prescriptions, doctors have not been compelled to
use the metric system in writing them. There are still in
circulation older prescriptions written by medical
practitioners before 1969 and a few prescriptions continue to
be written in the older system of weights and measures even
today. The pharmacist is required to interpret these
prescriptions in the metric system, even though they are
written in the avoirdupois or apothecary systems. In
converting prescriptions from the older systems, the metric
equivalents sets out in the weights and measures (equivalent
for dealings with drugs) Regulations 1970 (S.I. 1970 No.
1897) must be used. Appendix 32 of the British
Pharmaceutical Codex, 1973, gives information on weights
and measures.
1190
The Metric System
The use of the metric system of weights and measures was
legalized in this country as long ago as 1897 by the Weights
and Measures (Metric System) Act.
The international metre was formerly defined as the distance
measured at OCC between two marks on a platinum–iridium
bar. This standard was derived from a previous standard that
was said to be the one ten-millionth part of the earth’s
quadrant from the North Pole to the Equator.
For exact measurement, it has become necessary to devise a
physical means of defining the metre. At the International
Metric Convention it was agreed that the metre could be
defined in terms of the wavelength of a certain radiation. The
radiation chosen was that from krypton-86 and the orange–red
line was the chosen emission. Metric length measurements
are now derived from the definition of the metre which is
equal to 1.65076373 × 106 86Kr, where 86Kr = 6.0578021 ×
107 metre is the wavelength in vacuo of the orange–red
radiation corresponding to the transition between two specific
energy levels of the krypton-86 atom.
Length
Basic unit = 1 metre (m)
1191
The terms micron and millimicron, according to a resolution
of the Thirteenth General Conference of Weights and
Measures (1967), should no longer be used.
Mass
The international kilogram is the weight in vacuo of a

platinum—iridium cylinder preserved at the International
Bureau of Weights and Measures at Serves and known as the
international prototype kilogram.
Basic unit = 1 kilogram (kg)
The gramme was formerly spelt thus instead of gram to avoid

confusion with grain in prescription writing, and gramme was
abbreviated to G, not gr or g, to avoid confusion with the
abbreviation for grain in the apothecary system. However, the
symbol g is now the recognized contraction for gram in the
international practice, and is normally used in prescription
1192
writing, although older prescribers may adhere to the use of
G.
The British Pharmacopoeia recommends that microgram
should not be abbreviated in prescription writing. Where an
abbreviation is necessary, mcg should be used. The terms μg
and μ should not be used in prescription writing or recording
the dosage of drugs.
Capacity
The litre (l) is now a special name for the volume occupied by
a cube with sides of 1 decimetre. The 1901 definition of the
litre under which it was found by later experiment to be
1.000028 dm3 has been abrogated. The term litre is no longer
associated with the results of measurements of volumes to
high precision but has been retained for use in medicine.
Basic unit = 1 litre (l)
The millilitre is thus now equal to 1 cubic centimetre (cc).

The term mil is sometimes used as an abbreviation for
millilitre in writing prescriptions.
Liquid Measures
Conversion to the metric system for single dose forms of drug
presentation (e.g. tablets, capsules, injections) produced few
complications. More difficulty was encountered in
introducing the metric system for all the liquid oral forms of
drug presentation, e.g. mixtures, elixirs, linctuses, etc.
1193
For many years such preparations were prescribed in
teaspoonful and tablespoonful doses in order to provide a
measure that the patient could conveniently use in his own
home. There is an enormous variation in the capacity of
domestic teaspoons and tablespoons and while such a
variation in the dose volume was not important with
traditional medicines having little or no therapeutic activity,
more accurate measurement of the dose volume is necessary
for the administration of modern potent drugs.
Liquid medicines in the metric system have been formulated
to a dose volume of either 5ml or 10ml and the patient is
instructed to take either one or two 5ml dose volumes. For
this purpose a standard 5ml medicine spoon has been
produced (B.S. 3221/4) and the instructions given to the
patient are to take one 5ml spoonful or two 5ml spoonfuls.
These matters are dealt with more fully in the chapters on
liquid preparations. The pharmacist has a clear responsibility
to ensure that each time a medicine is dispensed the patient
fully understands the dose and frequency of administration.
Analytical Balances and Weights

Weighing is the most common and most fundamental
procedure in chemical work. Many chemical analyses are
based on the accurate determination of the mass of a sample
and mass of a solid substance product from to or in
preparation of standard solution, which is required reacting
with the sample. Today’s laboratory balances incorporate the
latest advancements in electronics, precision mechanics and
materials science. A balance user should pay particular
attention to the following aspects:
1194
1. Select the proper balance for a given application.
Understand the technical specifications of the balance.
2. Understand the functions and features of the instrument and
use them correctly to obtain good results.
3. Know how to ascertain the accuracy and functionality of a
balance through correct installation, care and maintenance.
4. Apply proper judgment in interpreting the weighing results.
High accuracy may require corrections for air buoyancy.
5. Use printers, computers and specialized application devices
to get more reliable and efficient process of weighing records
and associated calculations electronically.
Mass and weight: The terms mass and weight are legitimately
used to designate a quantity of matter as determined by
weighing.
Mass: Mass can be defined as an invariant measure of the
quantity of matter in an object. The basic unit of mass is
kilogram, which is embodied in a standard kept in Paris.
Masses are more practically expressed in grams or
milligrams.
Apparent mass: Apparent mass is the mass of an object minus
the mass of the air that the object displaces. The distinction
between apparent mass and absolute mass is insignificant in
some chemical work, but it is significant in various
applications.
Weight: The force exerted on a body by the gravitational field
of the earth, measured in units of force (Newton, abbreviation
N). The weight of a body varies with geographic latitude,
altitude above sea level, density of the earth at the location
and, to a very minute degree, with the lunar and solar cycles.
Electronic balances must be calibrated on location against a
mass standard.
Balance: A laboratory instrument used for the precise
measurement of small masses.
1195
Classification of balances: Balances are classified according
to the graduation step or division of the reading device (scale
dial or digital display) and according to their weighing
capacity.
General-Purpose Laboratory Balances
Top-loading balances: Top-loading balances are economical

and easy to use for routine weighing and for educational and
quality assurance applications. Because of their design,
top-loading balances generally sacrifice at least one order of
magnitude of readability (Fig. 23.1). Models are available for
many tasks; readabilities range from 0.001 to 0.1g and
capacities from 120 to 12,000g. Sometimes, for special
applications, balance range may be above 5000g. The
operating temperature is usually from 15 to 40°C. Many
top-loading balances are dual- or polyrange balances that
offer variable readability throughout their capacities for high
resolution at each weight. Dual-range balances operate over
two ranges, the resolution of the reading decreasing for the
higher-capacity range, for example, 0.001mg up to 20g and
then 0.01mg from 20 to 200g. Repeatability and scale value
checks need to be performed in both ranges if they are used.
1196
Fig. 23.1 Top-loading balance. Source: A & D Instruments
India Private Limited
Polyrange balances offer a series of incremental adjustments

in readability. Polyrange balance has more than two ranges
and resolutions. Repeatability and scale value checks need to
be performed at the top of each range. This may require
several checks depending on the number of ranges used.
Triple-beam balance
The triple-beam balance (Fig. 23.2) is a typical, inexpensive

mechanical balance. It has a beam, which is supported by a
fulcrum. On one side is a pan on which the object is placed.
On the other side, the beam is split into three parallel beams,
each supporting one weight. Weight on the front beam can be
placed to read continuously from 0 to 10g. The middle beam
reads only in 100-g increments. The far beam reads only in
10-g increments. The 1-g scale is notchless and carries a
1197
rider; others are notched and carry suspended weights.
Triple-beam platform balances have a sensitivity of 0.1g.
Fig. 23.2 Triple-beam balance. Source:

http://www.exhibitorindia.com/balance-triple-beam-221.html
Dial-o-gram balances: A dial mechanism is used to obtain

the weights from 0 to 10g in 0.1-g intervals. In use the dial is
rotated to 10.0g. After moving the 200-g poise on the rear
beam to the first notch, which causes the pointer to drop, and
then moving it back a notch, the same procedure is repeated
with the 100-g poise. Finally, the dial knob is rotated until the
pointer is centred. A vernier scale provides readings to the
nearest 0.1g (Fig. 23.3).
Fig. 23.3 Dial-o-gram balance. Source: Sunshine Industries
1198
Mechanical analytical balances
Equal-arm balance: A simple and classical equal-arm balance

consists of a symmetrical level balance beam, two pans
suspended from its ends, and a pivotal axis (fulcrum) at its
centre. Ideally, the two-pan suspension pivots are located in a
straight line with the fulcrum and the two lever arms are of
exactly equal length. A rigid, truss-shaped construction of the
beam minimizes the amount of bending when the pans are
loaded. The centre of gravity of the beam is located just
slightly below the centre fulcrum, which gives the properties
of a physical pendulum. With a slight difference in pan loads,
the balance will come to rest at an inclined position, the angle
of inclination being proportional to the load differential. By
reading the pointer position on a
graduated angular scale, it is possible to determine fractional
amounts of mass between the even step values of a standard
mass set of weights (Fig. 23.4). Variations and refinements of
the equal-arm balance include (1) agate or synthetic sapphire
knife-edge pivots, (2) air damping or magnetic damping of
beam oscillations, (3) sliding poises or riders, (4) built-in
mass sets operated by dial knobs, (5) a microprojector reading
of the angle of beam inclination, (6) arrestment devices to
disengage and protect pivots and (7) pan brakes to stop the
swing of the balance pans.
1199
Fig. 23.4 Equal-arm balance.
Single-pan substitution balance: Substitution balances have

only one hanger assembly that incorporates both the load pan
and a built-in set of weights on a holding rack. The hanger
assembly is balanced by a counterpoise that is rigidly
connected to the other side of the beam, the weight of which
equals the maximum capacity of the particular balance. The
weight of an object is determined by lifting weights off the
holding rack until sufficient weights have been removed to
equal almost the weight of the object. In this condition the
balance returns to an equilibrium position within its angular,
differential weighing range. Small increments of weight
between the discrete dial weight steps (usually in gram
increments) are read from the projected screen that is
connected to the balance beam (Fig. 23.5), while single-pan
substitution balances are no longer manufactured.
Fig. 23.5 Single-pan substitution balance. Source:

chempaths.chemeddl.org
1200
Electronic Balances
Balances of the late 20th century were usually electronic and

far more accurate than mechanical balances. A scanner
measured the displacement of the pan holding the object to be
weighed and, by means of an amplifier and possibly a
computer, caused a current to be generated that returned the
pan to its zero position. Measurements were read on a digital
screen or printout.
Now there are two types of electronic balances that are in use:
the hybrid and the electromagnetic force balance. The hybrid
balance (Fig. 23.6) uses a mix of mechanical and
electronically generated forces. The hybrid balance is
identical to the substitution balance except that the balance
beam is never allowed to swing through large angular
displacements when the applied loading changes. Instead, the
motion is very limited and when in equilibrium the beam is
always restored to a predetermined reference position by a
servo-controlled electromagnetic force applied to the beam.
The most salient features that distinguish the electronic hybrid
are the balance beam and the built-in weights utilized in
conjunction with the servo restoring force to hold the beam at
the null position. On the other hand, the electromagnetic force
balance uses electronically generated forces entirely. A
magnetic force balances the entire load either by direct
levitation or through a fixed-ratio lever system. With this
design the sensitivity and response are largely controlled by
the servo-system characteristics. The force associated with the
sample being weighed is mechanically coupled to servo motor
that generates the opposing magnetic force. When the two
forces are in equilibrium, the error detector is at the reference
position and the average electric current in the servo motor
1201
coil is proportional to the resultant force that is holding the
mechanism at the reference position. When the applied load
changes, a slight motion occurs between the fixed and the
moving portions of the error-detector components, resulting
in a very rapid change in current through the coil.
Fig. 23.6 Hybrid electronic balance. Source

http://www.syfaith.com
Every eletromechanical weighing system involves three basic

functions:
1. The balance, composed of the weighing platform or pan,
levers and guides, receives the weighing load on the pan as a
randomly distributed pressure force and translates it into a
measurable single force. The platform is stabilized
by flexure-pivoted guides, which are formed by elastically
flexible sections in the horizontal guide members.
2. The electromechanical force transducer (load cell), which
converts the mechanical input force into an electrical output.
A direct current generates a static force on the coil, which, in
turn, counterbalances the weight force from the object on the
balance pan (usually aided by one or more force-reduction
levers). The amount of coil current is controlled by a
1202
closed-loop servo circuit that monitors the vertical deflections
of the pan support through a photoelectric sensor and adjusts
the coil current as required to maintain equilibrium between
weighing load and compensation force.
3. The servo system is the electronic-signal processing part of
the balance. It receives the output signal of the load cell,
converts it to numbers, performs computations and displays
the final weight data on the readout. In one method, a
continuous current is driven through the servo motor coil, and
in the other method the current is pulsed.
Special routines for electronic balances: Signal processing in
electronic balances usually involves special computation
routines:
1. Programmable stability control: Variable integration
permits compensation for unstable weight readings due to
environmental vibration or air currents. Preprogrammed
filters minimize noise due to air currents and vibration. Four
settings vary integration time, update rate of display, vibration
filtering and damping.
2. Adjustable stability range: Nine different settings (from
0.25 to 64 counts in the last significant digit) control the
tolerance range within which the stability indicator appears (a
symbol that appears when the actual sample weight is
displayed within preset stability-range tolerances).
3. Autotracking: This routine eliminates distracting display
flicker and automatically re-zeros the balance during slight
weight changes. Once the balance stabilizes and displays the
weight, the autotracking feature takes over. Autotracking can
be turned off to weigh hygroscopic samples or highly volatile
substances.
4. Serial interface: This allows two-way communication with
printers, computers and other devices at baud rates up to
9600.
1203
5. Autocalibration: When pushed, a calibration button
activates a built-in test weight (up to four on some models).
The balance calibrates itself to full accuracy and returns to
weighing mode within seconds.
6. Full-range taring: Just set a container on the pan and touch
the re-zero button, and the display automatically resets to
zero.
7. Overload protection: Full-range taring and overload
protection prevent damage to the balance if excess weight is
placed on the pan.
Precautions and procedures: With analytical balances, the
following guidelines should be observed:
1. Level the balance using the air-bubble float.
2. Observe the required warm-up period or leave the balance
constantly under power. Follow the manufacturer’s
recommendations.
3. Use any built-in calibration mass and
microprocessor-controlled calibration cycle at the beginning
of every workday.
4. Handle weighing objects with forceps. Fingerprints on
glassware or the body heat from an operator’s hand can
influence results.
5. Always close the sliding doors on the balance when
weighing, zeroing or calibrating.
6. Accept and record the displayed result as soon as the
balance indicates stability; observe the motion detector light
in the display. Never attempt to average the displayed
numbers mentally.
7. Check the reliability of each balance every day against
certified weights, as it is critical to the performance of the
laboratory. Balances should be cleaned and calibrated at least
twice a year, more often if the work load is unusually heavy.
1204
The Weighing Station
The finer the readability of a balance, the more critical is the
choice of its proper location and environment. Observe the
following precautions:
1. Avoid air currents. Locate the station away from doors,
windows, heat and air-conditioning outlets.
2. Avoid having radiant heat sources, such as direct sunlight,
ovens and baseboard heaters, nearby.
3. Avoid areas with vibrations (away from elevators and
rotating machinery). To test, the displayed weight should not
change if the operator shifts his or her weight, leans on the
table or places a heavy object next to the balance.
4. Choose an area free from abnormal radiofrequency and
electromagnetic interference. The balance should not be on
the same line circuit with equipment that generates such
interference, such as electric arcs or sparks.
5. Maintain the humidity in the range 15–85%. Dry air can
cause weighing errors through electrostatic charges on the
weighing object and the balance windows. Humidifier may
help in maintaining the humidity. Humid air causes problems
because of moisture absorption by samples and container
surfaces. Room dehumidifier can help in this regard.
6. Maintain an even temperature of the room and the object
weighed. If an object is warm relative to the balance,
convection currents cause the pan to be buoyed up, and the
apparent mass is less than the true mass.
7. Remember that materials to be weighed take up water or
carbon dioxide from the air during the weighing process in a
closed system.
8. Weigh volatile materials in a closed system.
1205
9. Sit down when doing precise weighing. The operator
should be able to plant elbows on the work table, thus
allowing a steady hand in handling delicate samples.
Weighing of Hygroscopic and Volatile

Substances
If the sample is to be weighed in the air-dry condition, no
special precautions are necessary, nor are any required with
nonhygroscopic substances that have been dried. Slightly
hygroscopic substances can be dried and weighed in weighing
bottles with well-fitting covers. For those moderately
hygroscopic substances that take up, in a few moments, most
of the moisture that can be absorbed from the atmosphere,
only enough for a single determination should be dried. The
weighing bottle should be stoppered, cooled in a desiccator
and opened for an instant to fill it with air. Re-weigh it
against a similar bottle (the tare) carried through all of the
operations. Pour out as much as possible of the sample
without loss by dusting and without brushing the interior of
the bottle. Weigh the stoppered bottle again against the tare.
References
Ewing GW. J. chem. Educ. 1976;53:A252.

Patnaik P. Dean’s Analytical Chemistry Handbook,. USA:
McGraw-Hill Comp. Inc.; 2004.
Schoonover RM. Anal. Chem. 1982;54:A973.
1206
Chapter 24
Pharmaceutical Calculations
The adoption of the metric system has simplified many of the
calculations necessary in the practice of pharmacy, especially
of the amounts needed to prepare percentage solutions.
Percentage Solutions
The British Pharmacopoeia defines four different types of
percentage solutions, according to the circumstances:
• Per cent w/w (percentage weight in weight) expresses the
number of grams of active substance in 100g of product.
• Per cent w/v (percentage weight in volume) expresses the
number of grams of active substance in 100ml of product.
• Per cent v/w (percentage volume in weight) expresses the
number of millilitres of active substance in 100g of product.
• Per cent v/v (percentage volume in volume) expresses the
number of millilitres of active substance in 100ml of product.
In the case of a liquid dissolved in a liquid the strength is
expressed as a percentage volume in volume. For example, a
1 per cent v/v solution of rosemary oil in alcohol consists of
1ml rosemary oil in sufficient alcohol to produce 100ml.
In the case of a solid dissolved in a liquid, the strength is
expressed as a percentage weight in volume. Thus a 1 per cent
w/v solution of morphine sulphate in water contains 1g
morphine sulphate in sufficient water to produce 100ml. An
injection containing 1 per cent w/v of active substance
contains 10mg in 1ml.
1207
It should be noted that no account is taken of the density of
the solvent in calculating per cent w/v solutions. Thus a 5 per
cent w/v solution of phenol in water contains 5g in 100ml of
solution. Similarly, a 5 per cent w/v solution in glycerin
contains 5g phenol in sufficient glycerin to produce 100ml of
solution.
Expression of Strengths of
Intravenous Fluids
Developments in biochemical techniques have led to the
expression of the electrolyte content of body fluids in terms of
millimoles (mmol) or milliequivalents (mEq) of ions per litre.
It is logical, therefore, to express in similar terms the strength
of intravenous infusion solutions intended to correct the
balance of electrolytes in body fluids. The mole is now the
basic international unit for specifying the amount of an
element, compound or ion. It is defined by the British
Pharmaceutical Codex (Appendix 31, 1973) as ‘the basic unit
of amount of substance of a specified chemical formula,
containing the same number of formula units (atoms,
molecules, ions, electrons, quanta or other entities) as there
are in 12g of the pure nuclide 12C. A millimole is one
thousandth of this amount. In the case of ions, therefore, a
millimole is the sum of the atomic weights in the ion,
expressed as milligrams. The milliequivalent of an ion may be
defined either as one-thousandth of the gram-equivalent
weight of that ion, or as the ionic weight (the sum of the
atomic weights in the ion) in milligrams divided by the
valency of the ion. The milliequivalent is therefore the
millimole divided by the valency of the ion.
1208
The total ionic concentration of plasma is from 300 to 320
millimoles per litre, and the principal ions present are sodium,
potassium, magnesium, calcium, chloride, bicarbonate and
phosphate. Most of these are contained in the intravenous
fluids of the British Pharmacopoeia, British Pharmaceutical
Codex or British National Formulary.
A Table in Appendix 31 of the British Pharmaceutical Codex
(1973) gives the values of the millimoles and milliequivalents
of the principal ions and the weights of various salts
containing one millimole or one milliequivalent of these ions.
A further Table in Appendix 31 gives the concentration of
ions, in terms of millimoles per litre, in various commonly
used intravenous fluids.
Conversion of Percentage Strength to Millimoles

Per Litre
Let
100 millilitres of solution contain C grams of salt 1 litre of

solution contains 10 × C grams of salt = 10,000 C milligrams
This equation may be used to calculate the number of

millimoles per litre from the percentage strength of a salt
containing the specified ion. The number of milliequivalents
1209
per litre may be obtained by multiplying by the valency of the
ion. Thus the numbers of millimoles and milliequivalents of a
univalent ion such as sodium are identical whereas the
number of millimoles of a divalent ion such as calcium is half
the number of milliequivalents.
Example: How many millimoles per litre of bicarbonate ion
are contained in a solution of sodium bicarbonate 8.4 per cent
w/v?
An 8.4 per cent w/v solution of sodium bicarbonate contains

1000 millimoles of bicarbonate per litre.
Conversion of millimoles per litre to percentage strength
Let
1 litre contains M millimoles of specified ion = M × W

milligrams of salt
1210
Example: What is the percentage strength w/v, of a solution
of potassium chloride containing 20 millimoles of potassium
per litre?
Approximately 20 millimoles per litre of potassium are

contained in a 0.15 per cent w/v solution of potassium
chloride.
Osmolarity and Osmolality

The osmotic activity of a solution may be stated in terms of
the milliosmol which is an expression of the osmotic activity
of 1millimole. The term osmolarity is used to express the
strength in milliosmols per litre and indicates the total ionic
concentration of the solution. Biochemical data often refer to
the osmolality of body fluids and this is the total ionic
concentration per 1000g water. Since most body fluids are of
low concentration the density is small and there is little
numerical difference between the osmolarity and osmolality.
1211
The osmolality of blood serum is approximately 300mmol
and this can be used as a useful factor in adjusting an
injection to isotonicity.
Example: How much sodium chloride is needed to adjust to
isotonicity a solution containing 20mmol of calcium per litre
(as calcium chloride)?
20mmol of calcium are provided by 60 milliosmols of
calcium and chloride per litre.
∴ 300 – 60 = 240 milliosmols are to be provided by sodium
chloride to give an isotonic solution.
The formula of the solution is therefore:
Calcium chloride (CaCl2, 2H2O):
60 milliosmols = 20mmol Ca2+
= 20 × 147 = 2.94 g
Sodium chloride:
240 milliosmols = 120mmol Na+
= 120 × 58.5 = 7.02 g
Water for Injection to 1000ml.
Calculation of Doses for Children

The pharmacist is responsible for the doses of the ingredients
in the prescription when he compounds a prescription.
Sometimes a pharmacist has to calculate the number of doses
in a specified amount of medicine, the size of the dose in case
the number of doses and amount of medicine, the size of the
dose given on the basis of body weight of patient and also
calculate the dose for infants and children. In case of any
doubt, he has to refer back the prescription to the prescriber.
Generally, children require smaller doses than adults. The
following formulae are used for calculation of doses for
children:
1212
1. Young’s formula
The formula is universally adopted for calculation of doses

for children under 12 years of age.
2. Dilling’s Formula
In this formula, the fraction Age/20 approximates closely to

the weight curve between the ages 4 and 20, more so after the
10th year.
3. Cowling’s Formula
4. Fried’s Formula
5. Bastedo’s Formula
6. Clark’s Formula
Here the average weight of an adult is taken as 150 lb.
1213
7. Gaubin’s Formula
According to the formula, fractions of the adult dose for
children of various ages are listed in Table 24.1.
Table 24.1 Dose for children according to Gaubin’s formula
Age (years) Dose for children with respect to adult dose

Under 1 1/12
1–2 1/8
2–3 1/6
3–4 1/4
4–7 1/3
7–14 1/2
14–20 2/3
21–60 Full adult dose
60–70 4/5
70–80 3/4
Over 90 1/2
Square Metre Surface Area Method
The body surface area is a more realistic way to calculate the

dose because many physiological properties such as plasma
volume, oxygen consumption and glomerular filtration, and
requirement of body fluids, electrolytes and calories have
been shown to be proportional to the surface area of the body.
The proportionality also holds true for 2/3 power of the body
weight and not the body weight itself.
1214
The average body surface area for an adult has been given as
1.73m2.
Body Surface Area
log S = 0.425 log W + 0.725 log h + 1.8564

where S represents surface area in m2, W, the weight in kg
and h the height in cm.
Many drugs have doses stated as the amount of drug/m2 body
surface area and can be calculated as follows:
Individual’s dose = Amount of drugs/m2 × body surface area
(m2)
The dose of drug is often stated in mg/kg body weight and
can be calculated using the following formula:
Individual’s dose = mg/kg × body weight (kg)
Example: An adult dose of drug is 500mg. What is the dose
for a 2-year-old child? (Young’s rule)
Solution: Young’s formula
Dose for the child: (2 × 500mg)/14 = 71.42mg of drug

Example: If the adult dose of a drug is 750mg, what is the
dose for child weighing 20 lbs?
Solution: According to Clark’s formula,
1215
Dose for child = (20 × 750mg)/150 = 100mg dose
Reduction and Enlargement of Recipe
Most of the time pharmacist has to reduce a recipe for

dispensing small quantities or enlarge it for bulk
manufacturing or large-scale production. Recipes are required
to be reduced and enlarged according to the quantity needed
to be dispensed. A pharmacist must be able to solve the recipe
by converting a recipe from imperial to metric system and
vice versa. The following rules are useful in converting the
recipe from one system to another:
Rule 1
To convert the recipe in imperial system to metric system:

1. Write gram in place of grain.
2. Divide the minims by 1.1 and write the result in millilitres
(for small batch).
3. Write grams in place of avoirdupois ounce and millilitres in
place of fluid ounce (for large batch).
Rule 2
To convert a recipe in metric system to imperial system:

1. Write grain in place of gram.
2. Multiply the millilitre by 1.1 and write the result in minims
(for small batch).
1216
3. Write ounce in place of grams and fluid ounce in place of
millilitres (for large batch).
Example:
Sodium hypophosphite gr. xx
Sulphuric acid fluid ounce i
Cinnamon water q.s. ad fluid drachms ii
Dispense 50ml
Converting to the metric system, the prescription can be
written as:
Sodium hypophosphite 20 gram
Sulphuric acid 60/1.1 55.5ml
Therefore, the quantities in 50ml would be
Cinnamon water to 50ml.
Calculation by Alligation
Alligation is a simple arithmetical method for calculation of

resulting strength after mixing solutions or other substances
containing different concentrations of active substances and
to find out the proportion in which solutions or substances of
different percentage strengths should be mixed to get a
mixture of required strength.
1217
Alligation Method
In this method, the strength of the mixture of more than two

substances of known strengths is calculated as shown below:
Example: What is the percentage of zinc oxide in an ointment
prepared by mixing 300 grams of 8% ointment, 100 grams of
15% ointment and 50 grams of 5% ointment?
Multiply the percentage by amount, add the products and
divide by the sum of the amount to get the strength of the
mixture.
Therefore, percentage strength of the mixture will be 4150/

450 = 9.21%.
Calculation by Alligation Alternate or by the

Method of Rectangles
This method is used to find the relative amounts of solution or

solids of different strengths that should be mixed to make a
mixture of the required strength.
Example: In what proportion should 70% and 40% alcohol be
mixed so as to make 50% alcohol?
Method: Put the known strength on the left-hand corners of a
rectangle and the required strength at the point of intersection
of diagonals. Subtract the smaller figure from the larger on
1218
the same diagonal, and write the result at its other end. The
figures on the other ends of the horizontal lines give the parts
of the respective solutions to be mixed in order to get the
required strength, as shown in the figure below:
Thus, 10 parts of 70% alcohol and 20 parts of 40% alcohol

are to be mixed to get 30 parts of 50% alcohol.
Example: In what proportion 10%, 6% and 3% alcohol be
mixed to get 5% alcohol?
Method: The percentage strengths are written in descending
order on the left side of the vertical line, as shown in the
figure below, and the required percentage in between the two
vertical lines.
The strength which is lower than the required strength is
linked with the higher ones. The required strength is
subtracted from the higher strengths, and the values are
written horizontally against the lowest strength on the
right-hand side. The sum of two values indicates the parts of
the lowest strength. Now the lowest strength is subtracted
from the required strength and the remainder is put on the
right-hand side in front of each of the higher strengths.
Thus the proportion for mixing would be 2:2:6 to get 5%

alcohol.
1219
Proof Spirit
In the 18th century and until 1st January 1980, the United
Kingdom defined alcohol content in terms of ‘proof spirit’,
which was defined as the most dilute spirit that would sustain
combustion of gunpowder (Encylopedia Britannica). The
term originated in the 18th century, when payments to British
sailors included rations of rum. To ensure that the rum had
not been watered down, it was ‘proved’ by dousing
gunpowder in it; then it was tested to see if the gunpowder
would ignite. If it did not, then the rum was considered to be
containing too much water and was considered to be ‘under
proof’. It was found that gunpowder would not burn in rum
that contained less than 57.15% alcohol. Therefore, rum that
contained this percentage of alcohol was defined to have ‘100
degrees proof’. The proof spirit was originally defined as that
quality of distilled liquor which when poured over gun
powder and ignited would burn and finally ignite the power.
If the content of ethyl alcohol was less than 49.28% w/w, the
water left after burning the alcohol was sufficient to make the
powder too wet to ignite. In Great Britain, the proof spirit is
defined as a mixture of absolute alcohol and water that
weighs exactly 12/13 equal volume of water at 51°F; that is,
the proof spirit has the specific gravity of 0.91976 at l5.5°C
and contains 57.1% v/v or 49.28% w/w of ethyl alcohol.
In USA, 50% v/v alcohol is taken as the proof strength, i.e.
50% v/v alcohol is taken as 100 proof strength. Alcohols of
other percentages are taken to be above or below proof
depending upon whether they contain more or less than 50%
v/v absolute alcohol. Thus 25% v/v alcohol comes to 50 proof
strength, which means that the proof strength is numerically
twice the percentage of alcohol. The excise tax on alcoholic
1220
liquor is charged on a proof gallon or in UK. London Proof
Gallon. In India, the British system is followed for the excise
purposes and it is based upon the fact that 57.1 volume of
ethyl alcohol corresponds to 100 volume of proof spirit. So to
convert a given percentage v/v alcohol, the relationship
between the % v/v strength and the proof strength can be
derived as follows:
Example: Convert 90% v/v and 30% v/v alcohol into proof
strength.
57.1 volume of alcohol corresponds to 100 volumes of proof
spirit.
Therefore, 1 volume of 57.1% v/v alcohol = 100/57.1 = 1.753
proof spirit. Therefore, 90 volumes of ethyl alcohol = 90 ×
1.753 = 157.77 volume of proof spirit, i.e. 100 gallons of 90%
alcohol are equivalent to 157.77 gallons of proof spirit.
Therefore, proof strength of 90% alcohol = 157.77 – 100 =
57.77° O/P (over proof)
For 30% alcohol, the proof strength will be (30 × 1.753) –
100 = 52.59 – 100 = − 47.41= 47.41° U/P (under proof)
Thermometric Scale
The scale of a thermometer is graduated between two fixed

points: one being the freezing point of water and the other the
boiling point of water. The thermometers in general use are of
three types.
Fahrenheit
Fahrenheit is the temperature scale proposed by the German

physicist Daniel Gabriel Fahrenheit (1686–1736) in 1724. In
this type the freezing point of water is denoted by 32°F and
1221
the boiling point by 212°F and the space in between is
divided into 180°. The graduations above and below are also
according to the same scale.
Centigrade/Celsius
This scale has been named after the Swedish astronomer

Anders Celsius (1701–1744), who developed a similar
temperature scale two years before his death. The degree
Celsius (°C) can refer to a specific temperature on the Celsius
scale and is also a unit to indicate a temperature interval, a
difference between two temperatures or an uncertainty. The
unit was known until 1948 as centigrade. This scale is very
convenient and corresponds to the metric scale. The freezing
and the boiling points of water are denoted by 0°C and 100°C,
respectively.
Réaumur
The Réaumur scale (°Ré, °Re, °R), also known as the

octogesimal division, is a temperature scale in which the
freezing and boiling points of water are set to 0 and 80
degrees, respectively. The scale has been named after René
Antoine Ferchault de Réaumur, who first proposed something
similar in 1730. The Réaumur scale is of French origin but is
used in Germany and Scandinavia. The scale is from 0 to 80°,
corresponding to the freezing and the boiling points of water,
respectively.
1222
Kelvin
Kelvin is a unit of measurement for temperature. It is one of

the seven base units in the International System of Units (SI)
and has been assigned the unit symbol K. The Kelvin scale is
an absolute, thermodynamic temperature scale using as its
null point the absolute zero, the temperature at which all
thermal motion ceases in the classical description of
thermodynamics. The reference point that defines the Kelvin
scale is the triple point of water at 273.16 K (0.01 degrees
Celsius). The Kelvin is defined as 1/273.16 of the difference
between these two reference points.
The following formulae are used for the conversion of the
readings from one scale to the other:
where C = Centigrade, F = Fahrenheit and R = Réaumur.

The absolute zero is at –273°C and any temperature in
centigrade is equal to 273 + °C (Table 24.2).
Table 24.2 Comparison for temperature scale
Example: Convert 20°C into F and R scales.

Solution: C = (F – 32) × 5/9 = 5/4 R.
i.e. (F – 32) × 5/9 = 20;
therefore, F = 20 × 9/5 – 32 = 68°F
C = 5/4R; therefore, R = 4/5C = 4/5 × 20 = 16°R
1223
Example: What temperature in the centigrade scale will be
equal to that of Fahrenheit scale?
Solution: C = (F – 32) × 5/9
Let X be the temperature, so X = (X – 32) × 5/9 or, X = (5X –
160)/9, i.e. 9X – 5X = – 160
Answer: X = – 40°C
References
Encyclopedia Britannica. How was whiskey tested for proof

strength? Science & Technology: Daniel Gabriel Fahrenheit.
Available at http://www.dcs.ed.ac.uk/home/jhb/whisky/swa/
chap6.html Retrieved on Aug. 10, 2011.
Schroff ML, Shrivastava GP. 3rd Pharmaceutical Arithmetic
and Latin,. Calcutta: Ganashakti Printers; 1970.
1224
Chapter 25
Prescriptions
Dispensing is that part of the practice of pharmacy in which
the pharmacist or a pharmacy technician under his
supervision interprets the doctor’s requirements for the drug
treatment of his patient. This usually takes the form of
interpreting a written prescription but may, occasionally,
involve taking instructions given by word of mouth or by
telephone. Whenever the doctor does not state his
requirements in a written form in the first instance, he should
be asked to confirm his instructions in writing at a later stage.
However, when the pharmacist receives the doctor’s
intentions, it is essential that every precaution is taken to
eliminate mistakes that may arise either in writing the
prescription or in its interpretation, since it is at this stage that
the patient is given a preparation that he will take in
accordance with the directions stated by the pharmacist. It
may often be necessary for the pharmacist to emphasize
special instructions regarding the administration of the
preparation in order to reinforce any directions that the doctor
may have given to the patient. He should also be ready to
advise the patient about other self prescribed medication, for
example, patients receiving anticoagulant therapy should be
warned against taking preparations containing aspirin.
Modern drug treatment uses preparations that are frequently
prepared by the manufacturer and that require no further
manipulation in the pharmacy. Most modern drugs are
available in tablets, capsules or injections, which are supplied
by the pharmaceutical industry. The process of dispensing
has, therefore, become very much simplified, and whereas the
1225
pharmacist was formerly required to carry out manipulative
processes in the preparation of medicines, he is less
frequently called upon to do so nowadays. While the process
of dispensing has been simplified, the nature of the drugs
used has become considerably more sophisticated, and the
potential for serious mistakes to occur in drug administration
has become greater.
The development of new and potent drugs makes it even more
important for the pharmacist to take the utmost care in the
interpretation of prescriptions and to examine each
prescription very carefully in order to avoid possible errors of
interpretation that may arise because of inadequately or
poorly written prescriptions. No preparation should be
supplied to the patient until the pharmacist is fully satisfied
that he has interpreted the doctor’s intentions correctly.
The main procedures involved in dispensing are discussed
here, and while they may not often be used in the general
practice of pharmacy, it is essential for students to become
thoroughly familiar with the principles underlying the
procedures in order to develop the correct approach to
dispensing. It is also of practical importance to those who will
ultimately find themselves working in a hospital pharmacy
where the opportunities for carrying out dispensing
techniques arise more frequently and to those who wish to
make a career in the pharmaceutical industry, since no new
pharmaceutical preparations can be developed without, in the
initial stages, using some of the basic procedures of
dispensing that have been developed over the years.
An increasingly disturbing feature of modern life is the abuse
of drugs, particularly those acting on the central nervous
system. The illicit use of such preparations has led to the
forging of prescriptions, and it is part of the responsibility of
the pharmacist to detect prescriptions that have been forged or
1226
altered by the patient. Prescription forms issued by the
Ministry of Health, known as Fc10 forms, have been stolen
and used for writing forged prescriptions. Prescriptions
legitimately written by a doctor may have the quantity of the
preparation subsequently increased by the patient in order to
obtain a larger quantity than that prescribed. Items not
prescribed by the doctor may be inserted by the patient in
forged handwriting. Wherever there is any doubt about such a
prescription, it is the responsibility of the pharmacist to refer
it back to the prescriber for confirmation. Particular care
should be taken with prescriptions calling for drugs scheduled
under the Misuse of Drugs Act (1971) or in the Fourth
Schedule of the Pharmacy and Poisons Act (1933).
Form of the Prescription

Traditionally a prescription consisted of the following four
parts.
1. The superscription, which is simply represented by the sign
. It has been stated that this sign was originally employed as
the sign of Jupiter in the days when medicine was thought to
be under astrological influence but there is considerable doubt
as to the validity of such a contention. It is now used as an
abbreviation of the Latin wordrecipe, which means ‘take’.
Similarly, French prescriptions have the superscription P, an
abbreviation of prenez.
2. The inscription, which is the general body of the
prescription. It comprises a list of the ingredients and the
quantity of each to be used or supplied.
3. The subscription or directions to the dispenser.
1227
4. The signature or the directions to the patient as to how the
medicine is to be used, including, in the case of internal
medicines, the size and frequency of the dose.
Language of Prescription Writing

Alongside the simplification of dispensing there has been a
parallel simplification in the language of prescription writing.
Nowadays, prescriptions are frequently written in English and
medical students are taught to write prescriptions in English.
There are, however, a number of Latin terms and phrases that
have been traditionally used and that continue to find a place
in prescription writing. Pharmaceutical students must
familiarize themselves with the more commonly used Latin
terms and abbreviations since they may encounter these in the
course of their professional work, particularly in prescriptions
written some years ago.
While the British and United States pharmacopoeias have
adopted the use of English, the International and European
pharmacopoeias continue to use Latin nomenclature for the
preparations included. The arguments that have been
advanced for the continued use of Latin are as follows:
1. It is understood by pharmacists in all countries.
2. Pharmaceutical Latin names are very similar in all
countries. In the case of potent substances, the Latin names in
the various pharmacopoeias are often identical.
3. Abbreviated Latin forms a handy shorthand for the busy
practitioner.
4. It may be advisable that the patient should not learn the
nature of the remedies prescribed for him.
1228
These arguments become increasingly less valid as each year
passes and English is likely to become universally used for
prescription writing in this country.
Dispensing Routine
A strict routine is necessary in dispensing in order to ensure
safety, speed and neatness. The following general rules apply
whether the prescription involves extemporaneous
preparation of the medicine or simply the issue of a
manufactured product of the pharmaceutical industry.
When receiving a prescription to dispense, the following
routine should be followed:
1. Read it carefully. Do not express doubt about it either to
the patient or his messenger in terms that question the wisdom
of the prescriber. However, it may be necessary, on
occasions, to question the patient in order to determine the
true intentions of the prescriber. Never feel reticent about
asking the advice of a colleague. If for any reason (e.g. the
preparation is not in stock) you are unable to dispense the
prescription, return it to the patient and advise him how he
may best obtain his medicine with the least delay.
Dispense a prescription as soon as possible after it is received.
If it involves time in preparation or other prescriptions are
awaiting your attention, give the patient a realistic time when
he will be able to collect his medicine.
2. Note the dose. If the prescription is for an infant or child,
note the age of the patient. Never proceed with the dispensing
if you are doubtful about the dose. An easy and interesting
method of acquiring a sound knowledge of posology is to
look up the doses of any new drug you encounter in the
course of dispensing. Even though the prescription may be for
1229
a standard routine dose, you will often find that drugs are
given in other less commonly used doses for special purposes.
If you consider the dose to be dangerous or unusual, do not
hesitate to consult the prescriber. If this is not possible and
you feel confident there has been an error, dispense the
normal dose (i.e. within the limits given in the British
Pharmacopoeia, British Pharmaceutical Codex or British
National Formulary). This course of action should only be
taken in exceptional circumstances. Doses that are underlined,
repressed in words as well as figures or individually initialled
by the prescriber should be dispensed as written.
Particular attention should be paid to prescriptions for
children. The age of the child should be stated on the
prescription and this should be noted and taken into account
in determining the appropriateness of the dose.
3. If the prescription is a private one, copy it in the
prescription book or file. Give it a number and make sure the
patient’s name and address are recorded.
4. Private prescriptions should be priced according to a
definite system, which should always be used.
5. Mark the prescription with a rubber stamp to indicate that it
has been dispensed. The number assigned to a private
prescription should be written in the vacant space of the
prescription stamp.
6. Write the label before dispensing the prescription. This is a
procedure that serves to prevent the dispensing of an
excessive dose since it draws attention not merely to the
strength of the preparation to be supplied but also to the
actual amount that the patient is to take at a time. As stated
above, especial care should be taken in labelling medicines
intended for children or infants.
The label should be typewritten if possible but if handwritten
it must be neat and legible. Write the patient’s name on the
1230
lower right-hand corner of the label or in the appropriate
space if one is provided.
Nomen proprium labelling is an old Latin instruction that
literally means the proper name of the preparation. It is now
usually abbreviated to N.P. and means that• the name and
strength of the preparation should be written on the label.
N.P. labelling is now common practice and National Health
prescription forms (FC10) have the letters N.P. printed in a
box. If the doctor has not cancelled the letters it means that he
intends the name and strength of the preparation to be written
on the label. In general practice pharmacy, the name of the
preparation as written on the prescription is used on the label,
e.g. if the doctor uses a proprietary name on the prescription,
this is the preparation supplied and this is the name that
should be used on the label. In hospital pharmacy, there is
often a general policy that only official
names should be used, where available, even though the
prescription involves the supply of a proprietary product.
However, care should be taken in the use of official names in
circumstances where the biological availability of the drug
differs with different manufacturers. This is of special
importance in the case of digoxin tablets and in such instances
the brand name of the preparation supplied or the
manufacturer’s name should be stated on the label of the
dispensed medicine.
The practice of disclosing the name and strength on the label
of a dispensed medicine has been adopted by the medical and
pharmaceutical professions in recent years in the interests of
safety. It should, however, be remembered that such
disclosure is not always desirable and should only be made if
the prescription indicates that it is the doctor’s intention.
Disclosure of the names of drugs to patients can in some
circumstances cause unnecessary anxiety and distress.
1231
Caution should also be exercised in accepting the evidence of
the nature of a preparation from the labelled name since
patients not infrequently transfer drug preparations from one
container to another.
Labels on dispensed medicines customarily carry a warning
that they should be kept in a safe place out of the reach of
young children. They should also carry any other special
storage instructions and an expiry date where appropriate.
7. Use a new, clean container for each occasion on which a
prescription is dispensed. This rule should also be followed
when stocks of drugs are issued for use in hospital wards.
When dispensing:
1. Have the prescription always before you. If it is necessary
to go to a distant part of the dispensary, take the prescription
with you since it will serve as a constant reminder of the
name and strength of the preparation required and help to
avoid mistakes.
2. If the preparation of the medicine involves weighing, test
the dispensing scales before beginning to weigh the
ingredients.
3. Replace containers of stock preparations or drugs in their
proper position after use.
4. Keep the label uppermost when weighing solid ingredients
(especially potent drugs such as morphine hydrochloride) to
serve as a constant reminder that the correct drug is being
used.
5. When pouring or measuring liquid ingredients, keep the
label uppermost to prevent surplus liquid running down the
outside of the bottle and staining the label.
6. Take care to keep dispensing scales clean and powder
should be transferred from the stock container using a clean
spatula. Particular attention should be paid to cleaning the
scale pan immediately after use.
1232
7. Supply the medicines that are to be used externally (e.g.
lotions, liniments, etc.) in bottles that are vertically fluted or
ribbed so that they are distinguishable by touch. Some
proprietary preparations for external use are supplied in
plastic containers. These are satisfactory provided they are
clearly distinguishable from containers normally used for
dispensing medicines to be taken internally.
Label the medicines to be used externally in red or against a
red background:
8. Before the medicine is handed to the patient, again check

that the correct preparation in the correct strength has been
supplied and the correct directions have been stated on the
label. Accuracy in dispensing is dependent on self discipline.
Hospital Prescriptions
The principles underlying the dispensing of prescriptions for
outpatients in hospital are essentially the same as those in
general practice pharmacy. The main difference in the form of
the prescription in hospitals is that generally the length of
time of the treatment is specified rather than the actual
quantity of the medicine to be supplied.
In hospitals there may also be an agreement between the
pharmacist and the medical staff regarding the supply of
proprietary brands of drugs. Despite the use of different
proprietary names, it may have been agreed that one
particular make of a drug is to be supplied unless the
prescriber indicates that the proprietary brand specified is
needed.
The supply of drugs to inpatients in hospitals has taken
different forms and given rise to new approaches to
1233
dispensing. Traditionally, prescriptions have been written on
in-patient sheets that are sent to the pharmacy for dispensing.
The medicines are either dispensed for the individual
treatment of the patient or, in the case of commonly used
preparations a stock bottle is issued from which the nursing
staff can take the individual doses for each of the patients
requiring that particular preparation. The nursing routine for
drug administration varies in different hospitals, but in some,
the prescriptions were formerly transcribed on to a Drug
Treatment Sheet by the nursing staff, and the ward medicine
round conducted from this record.
Although this practice has been largely abandoned,
retrospective surveys by Vere (1965) and Hill and Wigmore
(1967) showed that when the details of drugs administered
(including dose, time of administration, etc.) were checked
against the original prescriptions, the frequency with which
errors occurred was as high as 18 per cent. Many of these
were minor in character (e.g. wrong time of administration)
but, nevertheless, a system that involves such a high level of
error is undesirable.
In some hospitals, particularly in Scotland, it has been found
that more effective control by the pharmacist can be achieved
and the errors reduced by a system of ward stocks and the
utilization of a specially designed prescription sheet that also
incorporates a record of drug administration. An integral
feature of this system is that the pharmacist regularly visits
the wards, inspects the prescriptions, discusses any problems
with the medical and nursing staff and issues instructions to
the pharmacy department
to ensure that the wards are carrying adequate stocks to meet
the demands of the prescriptions; close pharmaceutical
control is necessary if the ward stocks of drugs are not
allowed to grow to unmanageable proportions and a regular
1234
turnover of the stock is to be maintained. The advantages
claimed for such a system is that it brings the pharmacist into
active contact with the treatment of the patient on the ward
and offers him a better opportunity of influencing decisions
on prescribing.
An alternative approach is to reduce the level of stocks of
drugs on the wards to a minimum. The whole of the drug
treatment sheets for the ward are brought to the pharmacy at
prearranged times and the drugs are issued for each individual
patient at weekly intervals. The drugs are kept separately, in
individual trays reserved solely for each patient. The trays are
stored in a specially designed medicine trolley that can be
wheeled to each patient’s bedside in turn during a medicine
round. This system can also be operated in association with a
specially designed prescription and drug administration sheet.
The advantage of the ward trolley system is that it ensures
that the pharmacist sees every prescription in its original form
and there is no reason why it cannot be operated in
association with regular ward visits by the pharmacist. There
is a trend in the USA towards the issue of medicines in unit
doses (i.e. one dose at a time) and this could follow as a
logical development of the ward trolley system.
Small hospitals in remote rural areas may not have the
services of a full time pharmacist. Such institutions present
special problems for the issue and administration of
medicines. The introduction, development and evaluation of a
system for prescribing, administration and distribution of
drugs in small hospitals was the subject of a special
investigation carried out by Ellis (1972).
1235
Economy in the Use of Drugs in Hospitals
The pharmacist has an important part to play in helping to

secure the economic use of drugs in hospital practice. In
association with the treasurer, he can prepare quarterly
analyses of the money spent on drugs, breaking down the
expenditure into different pharmacological groups, e.g.
antibiotics, corticosteroids, etc. By this means, the medical
staff can be constantly reminded of the level of expenditure
and their attention drawn to particular items on which large
sums of money have been spent. Hospital regions or areas
also have pharmaceutical advisory committees, which not
only ensure economic purchasing by arranging contracts but
can also issue information on the cost of drugs for circulation
to the medical and nursing staff. Apart from his daily contact
with doctors, the pharmacist is also able to influence
prescribing by participating in a pharmaceutical
subcommittee of the medical advisory committee of his
hospital.
References
vere DW. Lancet,. 1968;1:370.

Hill PA, Wigmore HW. Lancet,. 1967;1:167.
Ellis S. Control of drugs in small hospitals. The West
Cornwell System: King’s Fund Hospital Centre paper; 1972.
1236
Chapter 26
Oral Preparations
Drugs may be administered by a variety of routes but oral
administration is adopted wherever possible. It is the safest,
easiest and most economical route of drug administration.
There are, however, limitations to the use of the oral route. It
is obviously unsatisfactory for substances such as insulin and
adrenaline which are inactivated or destroyed by the
secretions of the gastrointestinal tract. Other substances,
although not destroyed, may not be adequately absorbed from
the alimentary tract and if required to produce a systematic
effect must be administered by other routes. Such drugs may
nevertheless be given by mouth to obtain a localized action in
the large intestine and bowel. For example, neomycin and the
less soluble sulphonamides are administered orally in the
treatment of gastrointestinal infections or to reduce the
bacterial flora prior to surgery of the bowel.
Another limitation to oral administration is the fact that some
drugs irritate the gastric or intestinal mucosa, but this may be
minimized by giving the drug after food. Enteric coating may
be applied to tablets or capsules to prevent gastric irritation
and some drugs, e.g. phenylbutazone and indomethacin, may
be administered rectally as an alternative to the oral route.
Solid Preparations
For oral administration there is a choice between solid and
liquid medicines. Solid forms of drug presentation include
powders, cachets, tablets and capsules.
1237
The most commonly used oral preparations, now a days, are
tablets and capsules. Generally speaking, they are more stable
and less prone to microbiological contamination than
extemporaneously dispensed liquid medicines. However,
liquid preparations have advantages for administering drugs
to children and patients who have difficulty in swallowing
solid preparations.
Powders
Drugs administered in powdered form are immediately

available for absorption. However, the absorption of
substances which are only poorly soluble may be affected by
the particle size of the drug. The clinical aspects of the
fineness of particles in pharmaceutical practice were
discussed by Lees (1963). He gave a number of examples of
drugs, of which the gastrointestinal absorption is affected by
particle size, including the corticosteroids, sulphonamides and
griseofulvin. The absorbability of the latter drug is directly
related to the logarithm of the specific surface. The efficacy
of other drugs acting locally in the gut may be enhanced by
reduction of particle size. In veterinary medicine, the
anthelmintic activity of phenothiazine has been shown to be
related to particle size.
Dispensing of Powders
Powders may be ordered to be individually wrapped in single

doses or in bulk. Individually wrapped powders are used for
potent drugs and wherever it is necessary to ensure accurate
measurement of the dose. They may be either simple
(containing only one active ingredient) or compound
1238
(containing more than one active ingredient). Individually
wrapped powders provide a useful method of drug
presentation if the required dose is not available as a standard
tablet or capsule.
Powders are administered by placing the contents of one
powder paper on the tongue and swallowing with a drink of
water. For administration to children, powders are sometimes
mixed with jam, treacle or honey. If the drug is likely to be
adversely affected by acids, the responsible person should be
warned against the use of jam.
Simple individually wrapped powders: Powders are wrapped
in white glazed paper cut to a suitable size, depending upon
the bulk of powder contained in a single dose. Machine or
guillotine-cut paper is preferable.
Select a number of papers corresponding to the number of
powders ordered and of a suitable size. Turn up one of the
longer edges of each paper about half an inch and place the
papers in a convenient position on the dispensing bench so
that each slightly overlaps the next.
Weigh out the total quantity of powdered drug to be
dispensed and replace the bottle. If the drug is caked or
lumpy, reduce it to a powder by grinding in a mortar. When
six or more powders are to be sent, it is advisable to weigh a
total quantity corresponding to one more than is required,
because during the weighing there may be slight losses due to
powder adhering to the knife or scale pan. Place the total
quantity of powder on a large sheet of paper and weigh from
this. The latter procedure prevents too many or too few
powders being sent and is a check on the weighing.
Wrap the powders so that they are of a size that will fit
loosely in the box (a white glazed, slide or hinge-lid box is
generally used). Bend the far border over until it is about half
an inch from the near border (Fig. 26.1). Turn the margin
1239
upwards with the thumb and bend over to form a flap. Fold
the flap loosely
over on itself to an extent which makes the packet slightly
narrower than the interior of the box. Hold the packet over the
drawer section of the box and turn the ends down lightly over
the ends of the drawer so as to form a slight crease that will
act as a guide to the length of the finished powder. Bend each
end in turn sharply over a powder knife, holding the knife
about 3mm inwards from the creases made by the ends of the
box. Finally, place the folded packet on a sheet of white
paper, cover it with another sheet of paper and pass a knife
over the upper sheet. This last procedure distributes the
powder evenly within the packet and prevents the escape of
powder through the folds.
Fig. 26.1 Wrapping a powder.
1240
When all the powders have been wrapped, arrange them in
pairs, flaps to flaps and encircle the stack with an elastic band
before placing them in the box.
Crystalline substances or substances in large or small lumps
must be reduced to a fine powder to facilitate administration
and hasten solution after administration.
Potent crystalline substances should be powdered in a glass
mortar, preferably placed on a black surface. Wedgewood
ware or composition mortars are liable to absorb potent drugs
to some extent. Iodine is absorbed by composition mortars
and stains them badly.
Hygroscopic substances must be powdered and weighed as
rapidly as possible, avoiding undue exposure to moisture.
Powders of hygroscopic substances should be doubly
wrapped, the inner wrap consisting of waxed paper to protect
the powder from moisture.
Volatile substances must also be doubly wrapped in the same
manner.
Triturations: A trituration is the term applied to a mixture or
dilution of a potent substance with an inert one. Small
quantities of finely powdered solids may be mixed on a sheet
of white paper by means of a powder knife or spatula. A
mortar should be used when the quantities are too large to be
conveniently dealt with on paper. The invariable rule is to add
a little of the substance present in greater amount to the whole
of the substance present in lesser amount (usually the more
potent substance), and mix intimately; the remainder of the
substance present in greater amount is then introduced into
the mixture in very small quantities at first, but gradually
increasing the quantities, until the whole has been added. It is
impossible to ensure intimate dispersion of one powder in
another by mixing the two substances all at once.
1241
Powders weighing less than 100mg must be made up to
100mg by adding an appropriate quantity of lactose. Consider
the following prescription:
Cortisone acetate 15mg
Send 10 powders
Total quantity of cortisone acetate = 10×100 = 150mg
Add 850mg of lactose = 1g total.
Weight 10×100mg powders
Small doses of potent substances must not be weighed on
ordinary dispensing scales.
Substances having a maximal dose of less than 60mg should
be regarded as potent substances. These should be weighed
either on a chemical balance or upon a delicate pair of
dispensing scales specially reserved for the purpose. In no
case should a quantity less than 50mg be actually weighed. It
may happen, of course, that a quantity of potent substance
less than 50mg in weight is to be dispensed and the required
amount should be obtained by the method described below.
The general procedure is as follows:
Weigh 100mg; gradually incorporate a convenient weighed
quantity of lactose with this; then weigh a portion of the
mixture that will contain the desired weight of the potent
substance.
Examples:
l. Prednisone 8mg
Send 4 powders
Method: Weigh 100mg of prednisone; mix on paper with
900mg of lactose = 1g total. 320mg of this mixture will
contain 32mg of prednisone. Mix this quantity with 80mg of
lactose and divide into 4 powders each weighing 100mg.
2. Pentobarbitone sodium 15mg
Send 2 powders
1242
Method: Total required = 2×15 = 30mg. Weigh 60mg of
pentobarbitone sodium; mix on paper with 60mg of lactose
= 120mg total 60mg of this mixture will contain 30mg of
pentobarbitone sodium. Mix this quantity with 140mg of
lactose and divide into two powders each weighing 100mg.
Compound powders in doses: These are powders containing
more than one active ingredient. Small quantities may be
mixed on paper by means of a spatula or with a pestle and
mortar. Any ingredients that are not finely subdivided should
be reduced to powder form separately before being mixed.
In mixing compound powders it is essential to follow the
general rule of gradually incorporating the ingredient present
in greatest amount with the whole of the ingredient present in
least amount, any other ingredients then being introduced in
turn a little at a time. When using a pestle and mortar for
mixing, trituration should be light; heavy trituration or
grinding tends to make powders denser and less diffusible in
fluids. Only hard, crystalline substances require heavy
grinding. Caution should be exercised in handling mixtures of
oxidizing and reducing agents in a mortar and pestle as an
explosion may occur. If it is necessary to mix such
substances, they should be powdered separately and then
mixed very lightly on paper.
Sifting. Compound powders containing vegetable substances
often require sifting to break up small masses of cohering
particles. A no. 44 or no. 60 sieve should be chosen and the
mixed powder brushed through or rubbed through with a
spatula. Various mixers and sifters are obtainable for small
quantities.
After sifting, all powders must again be lightly mixed, as
there is sometimes a tendency for the ingredients to be
separated by the sieve.
1243
Fractional quantities: In some cases it may happen that after
all the ingredients have been mixed an awkward fraction is
obtained when the total weight is divided by the number of
powders to be sent. This difficulty is easily overcome by
adding a small quantity of lactose to bring the weight of each
powder to a convenient figure. If the total weight of the
ingredients is 3.7g and this is to be divided into 10 powders, it
would be advisable to incorporate 0.3g of lactose (= 4g total)
and divide into 10×0.4g powders.
Lactose intolerance: It should be noted that there is a rare
condition in children which makes them intolerant to lactose.
In such cases, an alternative inert diluent must be used (e.g.
starch powder).
Powders in bulk: Sometimes, when the dose is not critical,
powders may be ordered in bulk. Often powders of this kind
are for use as antacids, e.g. Magnesium Trisilicate Powder,
Compound BPC. The quantities are usually so large that it is
necessary to use a mortar in mixing, even though the
ingredients may be already in fine powder. They should be
sent out in perfectly dry, wide mouthed, glass bottles with
plastic screw caps or other suitable closure. If any of the
ingredients are deliquescent or volatile, an airtight container
should be used.
Cachets
Powders can be enclosed in small containers made of rice

flour and water, known as cachets. They are available in
various sizes holding from 0.2 to 1.5g of powder. Such
preparations have advantages for the administration of
nauseating drugs given in large doses. The cachet prevents the
patient from tasting the powder and a larger dose can be
1244
enclosed in a cachet than in a tablet or a capsule. Sodium
aminosalicylate, which is given in a dose of 12g daily in the
treatment of tuberculosis, is commonly prescribed in cachets.
Before administration, a cachet should be immersed in water
for a few seconds and then placed on the tongue and
swallowed with a draught of water. In this way the outer shell
of the cachet is softened, but it retains the enclosed powders
long enough for the whole to be swallowed without
permitting the powder to come into contact with the palate.
After being swallowed, the cachet disintegrates and the
powder is liberated.
There are two kinds of cachet; ‘wet seal’ cachets which are
sealed by moistening the edges with water, and ‘dry seal’
cachets which, as the name implies, require no moisture for
sealing.
Wet Seal Cachets
A wet seal cachet is composed of two similar concave halves,

having fiat edges (see Fig. 26.2). The weighed powder is
deposited into one half, the edges of the other half are
moistened with water, inverted over the first half and the flat
edges pressed together so that they adhere and enclose the
powder.
Fig. 26.2 Cachets.
1245
Wet Seal Cachet Machine
This consists of three metal plates (Fig. 26.3), the two

outermost plates being attached by hinges to the centre one.
The halves of the cachets in which the powder is to be
inserted are placed in holes in the centre plate, A, where they
fit loosely. One of the other plates, B, is then swung over and
placed on top of the
cachets. This second plate also has holes, which are congruent
with the holes in the first plate, and its object is to protect the
edges of the cachets while they are being filled. A funnel, D,
of the correct size, supplied with the machine, is next placed
in each hole of the second plate in turn, and the powder
introduced. The powder is pressed down with a small wooden
plunger or metal thimble, E, also supplied with the machine.
Fig. 26.3 Cachet machine.
When the lower halves have been filled, the second plate is
folded back. The top halves of the cachets are then placed in
the holes of the third late, C, on the opposite side of the centre
1246
plate. The holes in C are somewhat smaller than those of the
centre plate, so that the tops of the cachets fit tightly. The
edges of the top halves are then moistened with a roller, F,
and the plate is swung over and pressed down firmly on the
centre plate. The top halves of the cachets are thus brought
exactly over the lower halves and the edges made to adhere.
The upper plate is now lifted when it brings with it the
completed cachets. The finished cachets are finally pushed
out gently and boxed.
The amount of moisture used is very important and somewhat
difficult to judge correctly too much causes the edges to
crinkle and become discoloured; too little may produce an
imperfect seal and allow the powder to escape at some point
on the circumference, or cause the two halves to fall apart
completely after the patient has received the cachets.
Dry Seal Cachets
Dry seal cachets consist of two halves, the upper half fitting
over the lower half like the lid on a box (Fig. 26.4). The backs
of both lower and upper halves have small projections which
fit into the holes of the plates of the machine. Since the
projections are the same size on all the sizes of cachets, only
one machine is required for the whole range of sizes. The
lower halves are fitted into the lower plate (Fig. 26.5) of the
machine and filled. The upper halves are fitted into the upper
plate, D, which is pressed down on the lower one, when the
upper halves or ‘lids’ fit exactly over the lower halves. These
cachets are much more substantial than the ordinary type, and
there is no likelihood of the powder escaping. They can be
prepared more quickly and are more hygienic.
1247
Fig. 26.4 Dry-closing (Secca) cachets.
Fig. 26.5 Dry-closing machine (cacheteur Secca).
Dispensing Cachets
Cachets are dispensed in boxes or tins in which they are

packed on their edges or lying flat. Some manufactured
cachets are packed in plastic sleeves, each holding a day’s
treatment. Cachets should be labelled with directions for
administration, e.g. ‘Immerse in water for a few seconds and
then swallow with water’.
Automatic and Semiautomatic Cachet Machines
The widespread use of cachets for the administration of

sodium aminosalicylate has stimulated the industrial
production of cachets in this country. Both dry and wet seal
1248
cachets may be filled and sealed by automatic (machine-fed)
or semiautomatic (hand-fed) machines. Fig. 26.6 shows an
automatic machine in which the adjustable four-punch dosing
mechanism delivers a plug of compressed powder to the
lower half of the cachet and to this the upper half
(automatically moistened if wet sealed) is applied. To achieve
consistent dosage from such machines it is essential that the
bulk density, particle size and flow characteristics of the
powder or blend of powders is accurately controlled.
Fig. 26.6 Automatic cachet machine (Smith and Nephew

Ltd.).
1249
Capsules
Capsules consist of a medicament enclosed in a shell of

gelatin; methylcellulose has been used but is no longer
recognized by the British Pharmacopoeia as a shell material.
The shell is soluble in water at 37° and after the capsule has
been swallowed, it dissolves and releases the medicament
allowing it to be absorbed. However, the mucilaginous
coating which forms around the drug as the capsule dissolves
may delay absorption, so that its onset of action may be
delayed. With very soluble drugs this may not be an
important factor, but is more important when the drug is only
very sparingly soluble.
The manufacture of hard gelatin and flexible gelatin capsules
is described in Chapter 21. Small quantities of hard gelatin
capsules may be extemporaneously dispensed by hand-filling.
Hard Capsules
Hard gelatin capsules are available in a range of sizes to hold

varying doses of powdered drugs. They are formed of two
cylindrical halves, one slightly larger but shorter in length
than the other. The medicament is inserted in the longer
narrower half, then the other half is fitted over the open end
as a cap, held in place by moistening the edges.
Hand filling hard capsules: The smallest size capsule should
be selected that will hold the quantity of medicament
prescribed.
The lower halves of the capsules may be supported in the
holes of a suppository mould or in a block of wood in which
holes of a suitable size have been bored. The powders are
prepared in the usual way and are poured into each capsule.
1250
This operation is facilitated by the use of a small glass or
aluminium funnel and a thin wooden plunger that will pass
down the stem of the funnel and prevent it from becoming
clogged with powder. The outer edges of the lower halves of
the capsules are then moistened with water, using a camel
hair brush, and finally the caps are pressed on. This forms a
seal which prevents the powder from leaking out of the
capsules.
Enteric Coated Capsules
Enteric coating is applied to gelatin capsules when they are

intended to pass through the stomach and release their
contents in the small intestine. A 10-per cent solution of
cellacephate (cellulose acetate phthalate) in acetone may be
used for this purpose. The capsules are dipped in the solution,
removed by means of tweezers and allowed to dry on a sieve.
It is usually necessary to apply three coats.
Small scale manufacture of capsules: In hospital practice a
hand-operated capsule filling machine may be found useful
for the preparation of capsules, particularly special
formulations required in the clinical trial of new drugs. The
Tevopharm machine (see Fig. 26.7) is suitable for such
purposes, and is essentially a device for locating the capsules
into two plates which can be brought together to effect
closure. Plates are available to accommodate the different
sizes of empty capsules and each plate holds 60 capsules. A
sorting device is used to drop the capsules, bottom
downwards into the holes in the filling plates. The capsules
are pushed firmly into the holes and the lower plate is then
fixed by the screw on the front. The upper plate is removed,
taking with it the tops of the capsules. The lower halves of the
1251
capsules are then pushed flush with the lower plate and are
gravity filled with the powdered drug. If the dose required
cannot be obtained by filling one of the standard capsule sizes
a triturate in lactose must be prepared. After filling the
capsules the top plate is replaced and the lever at the side of
the machine operated to engage the rods under the base plate,
pushing the bottoms of the capsules upwards at the same time
as pressure is applied at the top to force the two halves of the
capsules together. The bottom plate is again fixed and the top
plate is removed bringing away the filled capsules.
Fig. 26.7 Tevopharm capsule filling machine

(Anglo-Continental Machines Ltd.)
Liquid Preparations
Drugs administered in aqueous solution or suspension are

presented to the gastrointestinal mucosa in a form that is
1252
immediately available for absorption. Liquid medicines are,
however, generally less stable than solid forms of drug
presentation, although, nonaqueous vehicles may be used for
drugs which deteriorate in the presence of moisture. Nauseous
drugs and those which are irritant to the gastric mucosa are
usually unsuitable for presentation in liquid formulations
unless well diluted.
Mixtures
Mixtures are liquid medicines which the patient divides into

doses; he/she may or may not be directed to dilute each dose
before taking. A draught is a liquid medicine consisting of
one dose only. A linctus is a preparation intended for the
treatment of a cough and is rendered viscous by the inclusion
of glycerin or syrup; it should be administered undiluted in
order to obtain the lubricant effect of the vehicle.
The British Pharmaceutical Codex 1973 gives the following
metric dose volumes for liquid preparations: for linctuses and
elixirs, 5ml: for adult mixtures, 10ml, or multiples thereof;
and for draughts, 50ml.
Metric Medicine Bottles
Mixtures are dispensed in clear glass bottles which comply

with British Standard No. 1679/6. The following range of
sizes of metric bottles are available: 50, 100, 150, 200, 300
and 500ml.
If the mixture consists of a simple solution in water, it can be
adjusted to volume in a measure before being transferred to
the bottle. If the mixture contains an insoluble powder or is
viscous, the bottle should be calibrated to the correct volume
1253
and the final adjustment to volume made in the bottle. This
procedure enables the whole of the insoluble powder or a
viscous liquid to he transferred to the final container.
Labelling
The dose should be stated in terms of the metric medicine

spoon (B.S.3221/4). This has a capacity of 5ml and in the
case of medicines having a 5ml dose-volume the label should
read, one 5-ml spoonful to be taken...’. In the case of
medicines having larger dose volumes, the dose should be
stated in units of the 5ml medicine spoon, e.g. for a 10ml dose
volume, the label should read, ‘Two 5-ml spoonfuls’.
For the medicines that are still prescribed in the apothecary
system of weights and measures, the prescription must be
transcribed into the metric system (see below) and the doses
stated in terms of the metric medicine spoon. The use of
domestic teaspoons and tablespoons should he abandoned for
measuring medicines.
A plastic medicine spoon should be supplied with each bottle
of mixture dispensed.
Mixtures containing an insoluble deposit should always be
labelled with the direction, ‘Shake well before use’.
The British Pharmaceutical Codex 1973 gives the following
directions for labelling mixtures issued on a medical
prescription or for an individual patient:
1. The prescriber’s directions
2. Any special storage conditions
3. For suspensions, a direction to shake the bottle
4. A date after which the mixture should not be used if a
recommendation is made by the manufacturer, or if a mixture
is diluted before issue.
1254
The requirement to state a date after which the mixture should
not be used applies to mixtures containing unstable
ingredients. For example, elixir of phenoxymethylpenicillin
prepared from granules which have been ready made by an
industrial manufacturer. The granules are stable if stored in a
cool place, but once the elixir has been prepared by the
addition of water, it must be stored in a cool place and used
within 7 days.
Tap water is bacteriologically controlled and is free from
pathogenic organisms. Purified water, on storage, can become
heavily contaminated with microorganisms. Purified water
prepared in a deionizer is particularly liable to be
contaminated if the water is allowed to stagnate in the resin
bed. Purified water, prepared by distillation, should not be
stored in large volume tanks or containers which permit it to
become contaminated. Polythene tubes and containers may
become contaminated and form a reservoir of infection which
will proliferate and build up a heavy infection in stored water.
Medicinal Waters
Medicinal waters such as peppermint water and cinnamon

water are used as flavouring agents and carminatives.
Chloroform water is used for its sweet taste and also
possesses excellent preservative properties (see Chapter 40).
Infusions
Fresh infusions are no longer used. They are now prepared by

diluting concentrated infusions which are 10 times the
strength of the original infusions (see Chapter 13).
1255
Suspending Agents
Many insoluble substances, when shaken up, will remain

suspended sufficiently long for a dose to be measured without
the use of a suspending agent, but others will not and these
require the use of a suspending agent. When no suspending
agent is ordered by the prescriber, the pharmacist must use his
judgement as to whether it is necessary to include one.
The following are the most commonly used suspending
agents:
Compound Tragacanth Powder, BP: This is a mixture of
powdered tragacanth, powdered acacia, starch and sucrose. It
is used in quantities of 25 to 200mg for each 10ml of mixture.
It is only in exceptional cases that more than 100mg for each
10ml is required.
The powder is mixed in a mortar with the substance to be
suspended, and the vehicle added gradually with trituration.
Tragacanth Mucilage, BPC: This is employed in quantities
up to 1ml for each 10ml of mixture, depending on the weight
of insoluble matter to be suspended.
Sodium Carboxymethylcellulose BPC: This is available in
various viscosity grades, depending upon the degree of
polymerization. A medium viscosity grade is preferable for
suspending powders in mixtures and is used in a
concentration of 0.25–1 per cent. It is incorporated in the
same manner as compound tragacanth powder.
Powdered tragacanth: This is less satisfactory as a
suspending agent since it is liable to coagulate into
unmanageable lumps unless it is mixed very intimately with
an insoluble powder before addition of the vehicle. If it is
prescribed in combination with an alcoholic liquid, tragacanth
can be made into a mucilage by adding it to the alcoholic
1256
liquid in a dry bottle adding a large quantity of the aqueous
vehicle all at once and shaking vigorously.
Liquids in Mixtures
Measurement of volume: The errors involved in measuring

volumes of liquids are discussed by Capper and Dare in their
report, Dispensing Tolerances in Liquid Medicines (1957).
Government stamped metric measures complying with British
Standard 1922: 1953 should be used for dispensing purposes.
Measures are graduated to contain and not to deliver.
Consequently after the volume of a liquid has been measured,
the measure should be rinsed out with some of the vehicle and
the rinsings added to the mixture before adjusting to volume.
To measure volume correctly the bottom of the meniscus
should be in line with the graduation on the measure and this
should be aligned with the sighting mark on the back of the
measure.
If a viscous liquid is to be incorporated in a mixture, it should
be measured, and then diluted in the measure with some of
the vehicle, and mixed with a glass rod before transferring it
from the measure. The measure should be finally rinsed with
some more of the vehicle. However, glycerin or syrup if
combined with an insoluble substance should not be too much
diluted in the measure; if added to the powder in a mortar,
they assist in producing a paste free from lumps and this can
then be diluted with the vehicle to produce a uniform
suspension.
Volatile liquids, such as compound spirit of orange, should
always be added last to avoid loss of the volatile ingredients.
1257
Soluble Solids in Mixtures
If there is sufficient water present to dissolve the substance

completely, a solution can be prepared in a measure with the
aid of a stirring rod. The solution should be filtered through
sintered glass and the filter washed through with more of the
water before making up to volume.
Large crystals such as those of ferrous sulphate should be
powdered and dissolved in a mortar. Scale preparations, such
as iron and ammonium citrate, dissolve more readily if they
are added to water in a measure, small portions at a time with
constant stirring.
Stock solutions: For convenience in dispensing, solutions of
stable soluble salts may be kept ready prepared. However,
solutions of some salts may become heavily contaminated
with bacteria and fungi if stored for more than a few days.
The use of heat: Some substances dissolve only slowly and
the rate of solution may be increased by the use of hot water.
Care must be taken to ensure that there is sufficient water
present in the mixture to keep the substance permanently in
solution; and solution should be allowed to cool to room
temperature before the final adjustment to volume. If the
substance is present in excess of its solubility, the excess will
crystallize out when the solution cools and probably form a
mass of crystals at the bottom of the bottle. The method for
dealing with substances present in excess of their solubility is
described below.
Hot water should not be used for substances decomposed at
only moderate temperatures, e.g. bicarbonates. It should also
not be used if volatile ingredients are present.
Substances present in excess of their solubility: The substance
is powdered as finely as possible in a mortar and triturated
1258
with some of the cold vehicle. The suspension is then
transferred to a previously calibrated bottle and the mortar
rinsed with further quantities of the cold vehicle, the rinsings
being added to the contents of the bottle. The mixture is
labelled ‘Shake well before use’.
Small doses of potent substances: The smallest quantity
which can be weighed on a dispensing balance is 50mg and it
may sometimes be necessary to make a liquid triturate in
order to obtain the required quantity.
Example
Hyoscine hydrobromide 0.5mg
Chloroform water to 5ml
Send 100ml
Hyoscine hydrobromide is freely soluble in water. The
required quantity is 0.5×20 = 10mg. Weigh 50mg; dissolve in
100ml of chloroform water. Take 20ml of this solution and
dilute with chloroform water to 100ml.
Insoluble Solids
Diffusible insoluble substances: The general procedure is to

reduce the substance to a fine powder in a mortar. The
powder is then triturated to a smooth cream with a small
amount of the vehicle and this is then diluted by gradually
adding about two-thirds of the vehicle required. The
suspension is then transferred to a measure or calibrated
bottle and the mixture is made up to volume with the
remainder of the vehicle, washing out the mortar with
successive small portions and adding to the bulk of the
preparation. If syrup or glycerin is present in the mixture, it is
diluted with a small portion of the vehicle and used to form
the primary smooth cream.
1259
This method can be applied to mixtures containing vegetable
powders and diffusible solid drugs such as magnesium
carbonate, magnesium trisilicate, light kaolin, etc.
Soluble substances with insoluble solids: The soluble
substance can sometimes be mixed with the insoluble powder
in a mortar before adding the vehicle. However it is usually
preferable to dissolve the soluble ingredient separately and
use the solution to triturate the insoluble powder in a mortar.
Indiffusible solids: Substances which do not remain in
suspension sufficiently long for a dose to be measured
accurately must be suspended by means of a suspending agent
(see p. 666). Substances which require the use of a
suspending agent include the sulphonamides (e.g.
sulphadimidine and succinylsulphathiazole), aspirin and
phenacetin. Corticosteroids such as hydrocortisone acetate
may sometimes be prescribed as suspensions for
administration to children but it is preferable for potent
substances such as these to be supplied where possible in
tablet form, with instructions that they be crushed and mixed
with honey or syrup before administration.
The general procedure for indiffusible solids is to reduce the
substance to a fine powder in a mortar, triturate with the
suspending agent (usually compound tragacanth powder or
sodium carboxymethylcellulose) and form a smooth cream
with a small portion of the vehicle. The remainder of the
vehicle is then added gradually.
Dispensing in the Metric System
As noted above, the liquid medicines in the British

Pharmaceutical Codex and British National Formulary are
formulated to a dose of 5ml or a multiple thereof. When a
1260
fractional dose is prescribed, the pharmacist is directed to
dilute the medicine with the appropriate vehicle so that the
patient is able to measure a full medicine spoonful. Consider
the following prescription:
Tetracycline mixture
2.5ml four times daily
Send 50ml
This is dispensed as follows:
Tetracycline mixture 2.5ml
Syrup to 5ml
Send 100ml and label, ‘One 5-ml spoonful to be taken four
times daily’.
The appropriate diluents for use in each case are stated in the
monographs of the British Pharmaceutical Codex. Care
should be taken to note those preparations which must not be
diluted (e.g. Nystatin Mixture). Diluted preparations have
only a limited stability and must not be used more than 14
days after the date of preparation. The above mixture
therefore should also be labelled ‘Do not use after (date)’.
Interpretation of Prescriptions Written in

Apothecary System
In order to effect the changeover to dispensing in the metric

system, the Weights and Measures (Equivalents for Dealing
with Drugs) Regulations, 1968 include six tables specifying
how to convert a prescription from the apothecary system into
the metric system. A useful series of articles dealing with the
changeover to metric dispensing appeared in the
Pharmaceutical Journal, February 1969, and a review of the
problems involved was given by Thornton Jones (1969).
1261
Emulsions
The theory of emulsions has been described in Chapter 20. In
physical chemistry an emulsion is described as a system in
which one immiscible liquid is dispersed in another, but in
pharmacy the term is restricted to oil-in-water preparations
for internal administration. An emulsion is a particularly
convenient form in which to administer oily substances such
as liquid paraffin and fixed oils. The oil is dispersed in a
continuous surrounding aqueous medium in which flavouring
agents may be incorporated to mask the nauseous properties
of the oil and improve the palatability of the preparation. This
chapter deals with the extemporaneous preparation of small
volumes of emulsions. Equipment for the large scale
production of emulsions is described in Chapter 20.
Small quantities of emulsions may be prepared either in a
small emulsifying machine or by the mortar and pestle
method. Many machines advertized for cream making can be
used for the extemporaneous preparation of emulsions and the
results are superior to those produced by the mortar and pestle
method. The use of a machine enables a wider range of
emulgents to be employed and smaller proportions of
emulgents are required.
Hand Emulsifying Machines
The oil water and mucilage are shaken together to form a

coarse emulsion which is poured into the bowl of the machine
and pumped by a lever movement of the handle through a fine
orifice at high pressure. This gives the shearing effect which
produces a fine emulsion.
1262
Mortar and Pestle Method
The most commonly used emulgent for preparing oil-in-water

emulsions in powdered acacia, which can be used for fixed
oils, volatile oils, oleo-resins and liquid paraffin. Emulsions
may be prepared by hand in a mortar and pestle either by a
dry gum method or a wet gum method.
The Dry Gum Method
A primary emulsion is prepared by mixing the oil, water and

gum in the proportions indicated below. When the primary
emulsion has been formed it may be diluted with more of the
external aqueous phase.
To obtain a good primary emulsion, oil, water and gum must
be mixed in the following proportions, depending on the
nature of the oil:
It will be observed that the proportion of gum is twice as great

in an emulsion of a volatile oil as in one containing a fixed
oil. The ratio of water to gum in the primary emulsion is
always 2:1.
In preparing an emulsion by hand, an ample sized mortar
should be selected with a corresponding pestle with a broad,
flat head to provide the maximum amount of shear in use.
Example:
Olive oil 50ml
Powdered acacia, a sufficient quantity
1263
Method: Place in the mortar 12.5g of powdered acacia;
measure 50ml of olive oil and pour it on to the gum in the
mortar, allowing time for the measure to drain. Triturate the
oil and gum together to obtain even dispersion of the gum
(prolonged trituration is undesirable since it will result in the
particles of gum becoming surrounded by oil and they will
not readily be hydrated by water). Using a clean measure, add
25ml of chloroform water, all at once, and triturate
vigorously, working in one direction only and using a
whipping action.
As the primary emulsion forms, the preparation changes to a
white homogeneous paste and the motion of the pestle
produces a crackling sound. The trituration should be
continued until a stable primary emulsion has formed. The
remaining chloroform water should then be added, in small
quantities at first but in increasing quantities as the
preparation becomes dilute. Finally, transfer the emulsion to a
measure, rinse the mortar with more chloroform water and
adjust to volume.
A simple emulsion such as this should be white in appearance
and when a few drops are diluted in a large volume of water
there should be no visible oil globules on the surface.
Emulsions should not cream for several hours and the oily
layer should be easily diffused again by shaking.
Failure to obtain a satisfactory preparation may be due to one
or more of the following causes: (1) the use of a mortar which
is too small or which is too conical; (2) the use of a
narrow-headed pestle which fails to shear the oil into
globules; (3) measuring the oil in a wet measure; (4)
measuring the water in an oily measure; (5) using an old
sample of gum, which has acquired an acid reaction; (6) bad
manipulation; (7) using incorrect proportions of oil, water and
1264
gum; and (8) diluting the primary emulsion before it is
completely formed.
The Wet Gum Method
The proportions of oil water and gum used in the wet gum
method are the same as those used for the dry gum method.
Only the procedure is different.
Example:
Cottonseed oil 50ml
Powdered acacia, a sufficient quantity
Method: Weigh 12.5 of powdered acacia and transfer to a
suitable sized mortar. Add 25ml of chloroform water and
triturate until the gum has dissolved to form a mucilage. Add
the cottonseed oil, drop by drop with constant trituration
using a whipping motion. As the oil is added, the liquid in the
mortar may acquire a ropy appearance and the oil may not be
readily absorbed. When this occurs, add a few drops of
chloroform water and triturate the mixture until it becomes
homogeneous. Continue to add the oil as long as it is taken up
homogeneously, adding a few drops of chloroform water if
the preparation shows any tendency to become ropy.
When all the oil has been added, continue triturating until a
stable primary emulsion has been obtained. Finally, dilute the
primary emulsion with chloroform water, transfer to a
measure, rinsing the mortar with further quantities of
chloroform water, and adjust to volume.
The wet gum method is more time consuming than the dry
gum method. The mucilage should be freshly prepared, since
on storage it may become acid in reaction, lose viscosity and
render emulsification impossible.
1265
Emulsifying Agents
Powdered Tragacanth
This is inferior to acacia as an emulgent and its emulsifying

properties depend mainly upon the viscosity it imparts to the
continuous phase. Tragacanth emulsions are coarser than
acacia emulsions and do not have their white colour. The
main use of tragacanth in emulsions is as an ancillary
emulgent in association with acacia. A mixture of tragacanth,
1 part, with acacia, 15 parts, may be used in place of
powdered acacia in the extemporaneous preparation of
emulsions.
Methylcellulose, BPC
This is a methyl ether of cellulose and is available in various

viscosity grades which are denoted by a number following the
name. The lower viscosity grades are used as emulsifying
agents, methylcellulose 20 being the most commonly used
member of the series for this purpose. The suffix ‘20’
indicates the approximate viscosity in centistokes of a 2.0 per
cent w/v solution in water at 20°C.
A mucilage of methylcellulose may be prepared by adding the
solid to about one-third the required amount of boiling water
stirring constantly and adding the remainder of the water,
preferably in the form of ice, when the powder is thoroughly
hydrated. The mucilage can be used to make emulsions
extemporaneously by the wet gum method but better results
are obtained if a mechanical stirrer is used.
Methylcellulose 20 is used as the emulgent in Liquid Paraffin
Emulsion, BPC.
1266
Agar
This was formerly used extensively (in association with

acacia and tragacanth) for the emulsification of liquid
paraffin. It was included for its supposed therapeutic action
but was present in too small a quantity to be effective. The
British National
Formulary allows Liquid Paraffin Emulsion to be supplied
when Liquid Paraffin and Agar Emulsion is prescribed.
Casein
This is the protein which emulsifies fat in milk. Soluble

casein or similar products obtained from milk protein may be
used as emulgents in the proportion of 12g of casein for
100ml of fixed oil. The oil is added to the casein in a mortar
and triturated to form a paste and the water is then added
gradually with continuous trituration. Emulsions containing
casein are particularly liable to microbiological contamination
and a preservative should be included. Chloroform, 1:500,
may be used for this purpose.
Gelatin Solution
This is an effective emulsifying agent when used on a large

scale. A solution containing 120g of gelatin with 200g of
potassium carbonate in 5L of water will emulsify 120L of
liquid paraffin.
1267
Substances Requiring Special Treatment
Male Fern Extract
Add it to its own weight of acacia and triturate thoroughly;

then add twice the same amount of water with constant
trituration. Take care that the extract does not come into
contact with water until it is intimately mixed with gum.
Otherwise, the emulsion will contain unsightly black
particles.
Paraldehyde
This is now usually given by intramuscular injection but may

occasionally be administered orally as a draught. One gram of
paraldehyde dissolves in 9ml of water and it need only be
emulsified if present in excess of its solubility. An emulsion
can be prepared by adding the paraldehyde to compound
powder of tragacanth (100mg for each 25ml of paraldehyde)
in a dry bottle, shaking gently to disperse the powder and then
adding twice the volume of water and shaking vigorously.
The remainder of the water can then be added gradually,
shaking after each addition.
References
Lees KA. Fine particles in pharmaceutical.. J. Pharm.

Pharmacol. 1963;15:43T.
Thornton Jones AD. Changeover to the metric system..
Pharm. J. 1969;202:221.
1268
Chapter 27
Rectal Administrations
Drugs are introduced into the rectum in either solid or liquid
preparations (suppositories and enemas).
Suppositories
Suppositories are solid, uniformly medicated, conical or
torpedo shaped for rectal administration. They melt at slightly
below body temperature so that after insertion, the mass melts
and the medicament is liberated in contact with the rectal
mucosa.
Drugs may be administered in suppositories for a local effect
in the rectum or so that they may be absorbed and exert a
systemic effect. Local anaesthetics, astringent drugs (e.g.
hamamelis) and corticosteroids are administered in
suppositories for the treatment of haemorrhoids. Drugs which
are liable to cause gastric irritation may be given rectally in
the form of suppositories as an alternative to oral
administration. For example, phenylbutazone and
indomethacin are sometimes administered rectally for this
reason.
Suppository Bases
Medicated suppositories are most commonly prepared in a

fatty base which melts below 37°C. Water-soluble bases may
also occasionally be used.
1269
Theobroma Oil
This is a solid fat at ordinary temperatures but melts between

29–34°C; consequently it is fluid at body temperature. Its
specific gravity (0.990–0.998) is very near to that of water.
Witepsol Bases
These are processed neutral fatty substances, consisting of the

triglycerides of saturated fatty acids with varying proportions
of partial glycerides. Witepsol H 15 is recommended for large
scale production, whereas W 45 is more suitable for small
scale dispensing. The melting point of the two substances is
the same (33.5–35.5°C) but Witepsol W 45 solidifies at
29–32°C whereas H 15 solidifies at 32.5–34.5°C.
Witepsol and similar proprietary suppository bases have the
advantage that lubrication of the mould is unnecessary and
they are unaffected by heat whereas theobroma oil requires
lubrication and is converted by only a slight excess of heat to
an isomorph with a lower melting point. The partial
glycerides present in Witepsol bases act as water-in-oil
emulsifying agents and enable appreciable quantities of
aqueous solutions to be incorporated.
The British Pharmaceutical Codex, 1973, states that when
theobroma oil is specified as a suppository base it may be
replaced by ‘any other suitable basis, such as Fractionated
Palm Kernel Oil or other suitable hydrogenated vegetable oil,
provided that the melting point of the suppositories is not
more than 37°C.
Suppositories prepared with Witepsol bases should not be
ice-cooled since they are liable to become brittle and fracture
if cooled too rapidly.
1270
Glycogelatin Base
Suppositories may also be prepared with Glycerol

Suppository mass of the British Pharmacopoeia. Its use,
however, is limited because the gelatin it contains is
incompatible with a large number of substances, the laxative
action of the suppository base tends to promote expulsion of
the medicament. The glycogelatin base can be used by itself
as a laxative.
Water-Soluble Bases
Water-soluble suppositories may also be prepared with

macrogol bases. These are polymers of ethylene glycol which
range from mobile liquids to hard waxy solids. Suitable
combinations for use as suppository bases have been
proposed, such as:
Polyethylene glycol 6000 40
Suppositories may be prepared by either the fusion method or
by cold compression.
The Fusion Method
In this method the medicament is intimately mixed with a

melted base and the mixture poured into moulds to solidify.
1271
The Mould
Suppository moulds are usually made of an alloy of gun metal

type. They have either six or twelve wells into which the
melted mass is poured and are divided longitudinally, so that
when unscrewed, the two halves of each well can be separated
(see Fig. 27.1).
Fig. 27.1 Mould for conical suppositories.
Suppository moulds are made with a nominal capacity of 1 or

2g. The capacity of a new mould should be ascertained
exactly before it is used. The capacity of a mould for
theobroma oil is determined by pouring an excess of melted
theobroma oil into the holes, cutting of the excess with a
sharp knife while the mass is still rather soft, allowing to
solidify, removing the suppositories and weighing. A note
should be made of the actual capacity of the mould for future
reference.
1272
Lubricant
Moulds that are to be used for the preparation of theobroma

oil suppositories must be lubricated before pouring in the
mass. This is done with a small camel hair brush or on a piece
of cotton wool. The latter is better, since it is less likely to
leave an excess of lubricant, but care must be taken that no
strands of cotton are left adhering to the mould.
The following lubricant may be used:
Soft soap 10g
Glycerin 10g
Alcohol (90 per cent) 50ml
Calculating the Quantities
When making suppositories, it is necessary to prepare for a

slight excess owing to unavoidable losses during pouring. It is
usually necessary to make for eight if six are required and for
fourteen if twelve are required.
In determining the amount of theobroma oil required,
allowance must be made for the displacement of the
theobroma oil by the medicament. This will depend upon the
density of the medicament compared with that of theobroma
oil. For example, if the medicament has twice the density of
theobroma oil, it will displace half the volume of an equal
weight of theobroma oil. The density of the medicament
compared with theobroma oil is known as its displacement
value. The total weight of the medicament is divided by its
displacement value and this amount is deducted from the
nominal amount of theobroma oil required.
Example:
1273
Tannic acid 0.2g
Theobroma oil q.s.
Send 6 suppositories
Make for 8 suppositories (each 1g)
Total quantity of tannic acid required = 8 × 0.2 = 1.6g
Displacement value of tannic acid = 1.6
Quantity of theobroma oil required
The British Pharmaceutical Codex gives the displacement
values of a number of substances commonly prescribed in
suppositories.
Making Suppositories with Theobroma Oil
1. Lubricate the mould and invert it to drain off excess of

lubricant.
2. Cool the lubricated mould over ice to allow it to contract
fully before the mass is poured in.
3. Weigh the theobroma oil (previously shredded by means of
a grater) and place in a small porcelain dish over a water bath.
The water in the water bath must be hot but not boiling and
the heat must be removed before the dish is placed on the
bath. Remove the dish from the water bath as soon as the
mass has melted.
4. Weigh the medicament and powder it finely. Place it on a
slightly warm porcelain slab.
5. Pour about half the melted theobroma oil on to the
medicament and mix by means of a spatula. Scrape the
mixture back into the dish and mix with the remainder of the
melted theobroma oil, stirring with the spatula.
6. When the mixture in the dish has cooled sufficiently to start
to thicken and flows sluggishly, pour the mixture into the
1274
holes in the mould, filling each to overflowing, and stirring
the contents of the dish continuously between pouring. Care
must be taken to ensure that the mass is not too warm before
pouring as there is a danger that the medicament will form a
sediment at the tip of the suppository. Because theobroma oil
contracts as it solidifies, it is necessary to fill the mould to
overflowing.
7. Place the mould on ice (or in a cold place) and when the
surplus material has attained the consistence of butter, remove
it cleanly with a sharp knife.
8. When the suppositories have completely set hard (usually
after about half an hour) open the mould and eject the
suppositories by slight pressure on the broad ends.
9. Remove any surplus lubricant from the surface of the
suppositories by rolling them on filter paper.
The main disadvantage of theobroma oil as a suppository base
is its tendency to be converted by heat to a polymorphic form
which has a lower melting point. It is for this reason that care
must be taken not to overheat the suppositories during
preparation. The melting point of theobroma oil is lowered by
some substances (e.g. chloral hydrate, phenol and volatile
oils) and the British Pharmaceutical Codex allows the
addition of beeswax to suppositories containing such
substances provided that the melting point is not above 37°.
Beeswax may also be added to suppositories intended for use
in tropical or subtropical climates.
Making Suppositories with Witepsol Base
The procedure is the same as for theobroma oil suppositories

with the following exceptions: (1) the mould must not be
lubricated, (2) the suppositories must not be cooled rapidly on
1275
ice as they are liable to fracture and (3) there is less need to
avoid overheating the mass since the melting point is
unaffected by heat.
The Cold Compression Method
This method is used for the large scale production of

suppositories. Theobroma oil or Witepsol base may be used
but some manufacturers may modify the base by the inclusion
of wool fat, or castor oil and beeswax.
The medicament and the base are intimately mixed and
placed in a hollow cylinder. The mass is extruded from this
by means of a piston, actuated either by hand or
mechanically, through small holes that communicate with the
pointed ends of conical cavities based in a metal cap fixed at
the end of the cylinder. The cavities are filled by pressure
with the mass, which is prevented from escaping by a
movable end plate. When the end plate is removed the
suppositories are ejected by further extrusion.
Glycogelatin Suppositories
The British Pharmacopoeia includes a formula for glycerol

suppositories, containing gelatin, glycerin and purified water.
The gelatin is soaked in purified water for about 5min until
softened. The surplus water is then drained off and the
glycerin added. The mixture is heated over a water-bath until
the gelatin has dissolved and the contents of the dish have
been evaporated to the required weight, which corresponds to
70 per cent w/w of glycerin.
This liquid mass is poured into moulds having a capacity of
1g (infants), 2g (children) or 4g (adults) as may be required.
1276
The gelatin should either be powdered, granulated or cut into
small pieces before soaking in water. If sheet gelatin is used,
the hard outer portions of the sheets should be removed.
During evaporation the liquid mass should be only gently
stirred to avoid introducing air bubbles into the finished
suppositories. Any skin that may form on the surface should
be removed before pouring.
Lubricant: Lubricate the mould with arachis or almond oil
applied on cotton wool, and invert the mould so that any
excess of lubricant may drain out.
Calculating the quantities: Glycogelatin mass is denser than
theobroma oil and a 1g mould will hold 1.2g of glycerin
suppositories mass. This fact must be borne in mind when
calculating the quantities and an excess must also be prepared
to allow for losses during pouring.
Making Suppositories with Glycogelatin Base
The displacement values of substances in glycogelatin base

are half the values in a theobroma oil base.
The medicament is added directly to the mass in the dish and
mixed by gentle stirring. When pouring the suppositories,
each hole of the mould must be filled just to the top. It is
unnecessary to fill to overflowing as the contraction on
cooling is inappreciable and it is difficult to remove any
excess neatly by cutting.
Dispensing Suppositories
Suppositories should be supplied in boxes lined with waxed

paper or in containers made of plastic. If they contain volatile
1277
ingredients, each suppository should be separately wrapped in
metal foil.
Pessaries
Because their pharmaceutical form is similar to that of

suppositories, it is appropriate here to mention the dispensing
of pessaries. These are solid preparations, suitably shaped for
vaginal insertion, containing medicaments intended to have a
local action on the vaginal mucosa. Pessaries may be prepared
either by moulding as described for suppositories or by
compression in the same way that solution tablets are
manufactured (see Chapter 21). Compressed pessaries are
usually prepared in special punches and dies to produce an
almond or diamond-shaped product, convenient for vaginal
administration. Moulded pessaries are usually prepared in 4
or 8g moulds depending upon the bulk of the ingredients. The
basis may be either glycogelatin or a hydrogenated vegetable
oil such as is used for suppositories.
Pessaries are dispensed in boxes lined with waxed paper or in
suitable plastic containers. Many proprietary pessaries
prepared by compression are strip-packed in metal or plastic
coated metal foil.
Enemas
An enema is a solution or fluid suspension for rectal
administration. There are two types: evacuant enemas and
retention enemas. The volume given varies according to the
type of enema. Retention enemas do not normally exceed
100ml in volume; evacuant enemas may be as much as 2L.
1278
Large-volume enemas should be warmed to body temperature
before administration.
Evacuant Enemas
A typical evacuant enema is:

Soft soap 25g
Water to 500ml
This is a simple solution which may be supplied in a plain
screw-capped bottle.
Starch mucilage may be used as an emollient and suspending
agent for insoluble solids in enemas. Sodium
carboxymethylcellulose may be used for the same purposes.
Retention Enemas
Rectal injections may be given as basal anaesthetics before

surgical operations. For example, thiopentone sodium is given
in a dose of 40mg per kg body weight (maximum 2g). The
thiopentone sodium is dissolved in 30ml of purified water. It
must be freshly prepared.
Paraldehyde is occasionally given rectally as a 10 per cent
solution in sodium chloride solution (0.9 per cent).
Disposable Enemas
In recent years enemas have become available in disposable

plastic bags. They include evacuant enemas such as
magnesium sulphate solution and retention enemas of
prednisolone. The latter are convenient for the steroid
treatment of ulcerative colitis.
1279
References
Soui Sby J, Hopkins SJ. Pharm. J. 1956;176:157.

Setrikar I, Fantelli S. J. Pharm. Sci. 1962;51:566.
Bryan G. M. and B. Pharm. Bull. 1964;13:33.
1280
Chapter 28
External Preparations
Liquid Preparations
Liquid preparations for external application can be classified
as follows:
1. For application to the skin: applications, liniments, lotions,
and paints
2. For application to the ear: ear drops
3. For application to the mouth and throat: gargles and
mouth washes
4. Forapplication to the nasopharynx: nasal drops, spray
solutions, and inhalations
Preparations for use in the eye are dealt with in Chapter 29.
Applications
Applications are liquid or viscous preparations intended for

application to the skin. They often contain parasiticides and
are intended for only a limited number of applications (e.g.
Dicophane application, BPC). Compound application of
Calamine, BPC, is really an oily lotion since it consists of
calamine dispersed in a water-in-oil emulsion. Applications
should be dispensed in fluted bottles so as to be
distinguishable by touch and should be labelled ‘For external
use only’. The closure of the bottle should be of plastic
screw-cap type.
1281
Liniments
Liniments are liquid preparations for external use and may be

applied with or without friction. For the relief of pain, they
may be applied on warmed flannel or lint, or may be painted
on to the skin by means of a soft brush. As stimulants,
liniments may be massaged into the skin with considerable
friction. They should not be applied to areas in which the skin
is broken.
Liniments may be: alcoholic solutions (e.g. Aconite Liniment,
BPC); oily solutions (e.g. Methyl Salicylate Liniment, BPC);
or emulsions (e.g. Turpentine Liniment, BP). They should be
dispensed in coloured, fluted bottles and labelled ‘For
external use only’.
Lotions
Lotions are aqueous solutions or suspensions intended for

application to the skin surface. If they contain insoluble solids
in suspension, they are sometimes referred to as ‘shake
lotions’. On application to the skin, the water evaporates
leaving a residue of the medicament on the skin surface. The
evaporation causes cooling and lotions are applied to acutely
inflamed areas. The cooling effect may be enhanced by the
inclusion of alcohol. Glycerin may be included to promote
adherence of the residual powder on the skin surface.
Suspending agents such as sodium carboxymethylcellulose or
bentonite may be present to assist the dispersion of insoluble
powders in shake lotions (e.g. Calamine Lotion, BP).
Lotions may also take the form of dilute emulsions, usually of
the oil-in-water type and containing emulsifying wax. They
should contain a preservative to inhibit the growth of
1282
microorganisms. When purified water is used for the
preparation of lotions, it should be freshly boiled and cooled
before use.
Lotions should be dispensed in fluted bottles, closed with a
plastic screw-cap. They should be labelled ‘For external use
only’.
Paints
Paints are another group of liquid preparations for external

application, usually for circumscribed areas. They may be
aqueous or alcoholic solutions and sometimes are prepared
with a collodion basis to form a film on the skin. Compound
Tincture of Benzoin BPC is also used as a basis for paints for
the same reason (e.g. Compound Podophyllin Paint, BPC).
Paints should be dispensed in coloured fluted bottles,
preferably closed by means of glass stoppers.
Ear Drops
Ear drops are often aqueous (sometimes glycerin or alcoholic)

solutions dispensed in small quantities (10 or 25ml) and
intended for instillation into the ear. Hydrogen peroxide ear
drops (5-volume) and phenol ear drops (6 per cent w/w) are
typical examples. It should be noted that glycerin phenol (16
per cent w/w) becomes caustic if diluted with water. When
prescribed in ear drops, glycerin phenol must be diluted with
glycerin.
Ear drops should be dispensed in coloured, fluted bottles with
a dropper and plastic screw-cap closure.
1283
Gargles
Gargles are aqueous solutions, intended to be used after

dilution with warm water. They are intended to bring the
medicament into contact with the mucous surface of the
throat, but it is now generally recognized that antiseptic
substances exert little
effect when used in this manner. Gargles may be useful in
giving symptomatic relief and may have some analgesic
effect. Gargles are usually clear solutions but occasionally
aspirin, in the form of a suspension may be used as a gargle
and afterwards swallowed.
Gargles should be dispensed in clear, fluted glass bottles
closed with a plastic screw cap. If they are to be swallowed
after use, they should be dispensed in clear, plain glass bottles
in the same way as mixtures.
Mouth Washes
Mouth washes are similar to gargles but are intended to wash

out the mouth. They may be of value for local hygiene of the
mouth but antiseptic substances used in this way are unlikely
to be effective.
Mouth washes should be dispensed in clear, fluted bottles.
Nasal Drops
Nasal drops are aqueous solutions for instillation into the

nostrils. They may contain vasoconstrictor drugs to relieve
nasal congestion and are often preserved with chlorbutol (0.5
per cent) or other suitable antiseptic substance. Formerly, oily
solutions were commonly used as nasal drops but the oil may
1284
retard the ciliary action of the mucosa or, if drops of oil enter
the trachea, may even cause lipoid pneumonia. For this
reason, oily solutions are no longer recommended.
Nasal drops are dispensed in small quantities (10 or 25ml) in
fluted, coloured glass bottles fitted with a plastic screw-cap
and dropper. Proprietary nasal sprays are supplied in plastic,
squeeze-type containers. The prolonged use of
vasoconstrictor drugs in the nose may damage the nasal
mucosa.
Spray Solutions
Spray solutions are aqueous, alcoholic or glycerin solutions

intended to be applied to the membrane of the throat or nose
by means of an atomizer. Oily solutions were formerly used
for this purpose but are no longer used for the same reasons
that oily nasal drops have been discontinued.
The type of atomizer used depends upon the viscosity of the
spray solutions; the more viscous the solution the more
powerful the atomizer needed. When dispensing a spray
solution, the patient should be asked whether he possesses a
suitable spray. If not, an appropriate one should be supplied
and its use explained.
The drugs most commonly dispensed as spray solutions are
adrenaline and isoprenaline, which are both used for the relief
of asthma. The use of spray solutions for this purpose has
been superseded to a large extent, by the introduction of
metered aerosols (see Chapter 42). Metered aerosols have the
advantage of producing a more accurately controlled dose of
the drug in particulate form. The particle size can be
controlled to ensure that the drug penetrates the bronchial
tree. Such preparations are not without risk and adverse
1285
reactions, including fatalities, have followed the too frequent
use of such preparations. It is advisable to warn patients that
they should follow very carefully the medical directions in the
use of these preparations and should resist any temptation to
use them more frequently.
Ergotamine tartrate is also sometimes administered by
inhalation from a metered aerosol for the relief of attacks of
migraine.
Inhalations
Inhalations are solutions or suspensions of volatile, aromatic

or antiseptic substances, the vapour of which is inhaled from
the surface of hot water. The directions are usually to the
effect that one teaspoonful of the liquid is to be poured on to
about one pint of hot, but not boiling, water and the vapour
inhaled. Inhalations are useful for the relief of nasal
congestion and it is probable that the steam contributes
mainly to the effectiveness of these preparations.
Inhalations often consist of alcoholic solutions of substances
such as menthol volatile oils or benzoin (e.g. Benzoin
Inhalation, BPC). Occasionally, volatile oils are ordered with
water as the vehicle, and in these circumstances the oil is
triturated with a small amount of light magnesium carbonate
in a mortar and the water added gradually, the suspension
being finally rinsed into the bottle and made up to volume
with more of the water (e.g. Menthol and eucalyptus
Inhalation, BPC). The object of the light magnesium
carbonate is to ensure even dispersion of the volatile oil
throughout the vehicle and such inhalations should be labelled
with directions to shake the bottle before use. Inhalations
should be dispensed in fluted bottles of clear glass.
1286
Solid Preparations
The solid or semisolid preparations for external application
are ointments, creams, pastes, poultices, and dusting powders.
Ointments
Ointments are greasy, semi-solid preparations for application

to the skin. They are often anhydrous and contain the
medicament either dissolved or dispersed in the vehicle.
Substances which are dispersed should be in the form of a
fine powder and in some cases, notably the corticosteroids the
solid should be in the form of a micronized powder.
The bases that are used mainly in the preparation of ointments
may be classified into hydrocarbon bases, absorption bases,
emulsifying bases, and water soluble bases.
Hydrocarbon Bases
These may consist of soft paraffin or a mixture of soft

paraffin with hard paraffin and liquid paraffin to produce a
suitable consistency. Paraffins are inert substances, chiefly
saturated, which are unlikely to react with the medicament
and do not develop rancidity on storage.
Paraffin Ointment BP is a mixture of white beeswax, hard
paraffin, cetostearyl alcohol and white soft paraffin. The
British
Pharmacopoeia directs that when paraffin ointment is used in
a white ointment, it should be prepared with white soft
paraffin and when used in a coloured ointment, it should be
prepared with yellow soft paraffin. The cetostearyl alcohol is
included in paraffin ointment in order to improve its
1287
spreading properties on the skin. Paraffin ointment is stiffer in
consistency than soft paraffin.
The paraffin bases form a greasy film on the skin surface
which remains unabsorbed. They reduce the rate of moisture
loss from the skin surface and, in dry scaly conditions of the
skin, may improve the hydration of the horny layer.
Absorption Bases
Absorption bases contain a water-in-oil emulsifying agent,

usually in the form of wool fat or one of its derivatives.
Simple ointment BP is a mixture of wool fat, hard paraffin,
cetostearyl alcohol and white or yellow soft paraffin,
depending upon whether it is used in a white or coloured
ointment. Simple Ointment will absorb about 15 per cent of
its weight of water, forming a water-in-oil emulsion.
Wool alcohols Ointment, BP contains wool alcohols, hard
paraffin, liquid paraffin and white or yellow soft paraffin
depending upon whether it is used in a white or coloured
ointment. Wool alcohols ointment will absorb an equal
weight of water. Wool alcohol is liable to oxidize on storage
and when preparing ointment of wool alcohols, the outer film
of oxidized material should be removed since the emulsifying
properties are reduced on oxidation.
Absorption bases such as simple ointment and wool alcohols
ointment form a greasy film on the skin surface which
modifies the rate of moisture loss in the same way as the
hydrocarbon bases. The wool fat or wool alcohols may also
assist in hydrating the horny layer by forming a water-in-oil
emulsion on the skin surface, thus prolonging the time during
which the moisture may be absorbed by the keratin layer.
1288
Although not included in the British Pharmacopoeia or
British Pharmaceutical Codex hydrogenated lanolin is
sometimes used in preference to wool fat, since it is a more
elegant product and more consistent in its performance.
However, wool fat and related products are now less favoured
in dermatological vehicles, since some individuals are
sensitive to them.
Emulsifying Bases
These bases contain oil-in water emulsifying agents which

render them readily miscible with water or ‘self-emulsifying’.
Depending upon the nature of the emulsifying agent present,
emulsifying bases can be classified into three main groups:
anionic emulsifying bases, cationic emulsifying bases, and
nonionic emulsifying bases.
Anionic emulsifying bases contain an anionic emulsifying
agent and are exemplified by emulsifying Ointment, BP. This
consists of a mixture of emulsifying wax, white soft paraffin
and liquid paraffin. Emulsifying wax is a mixture of
cetostearyl alcohol and sodium lauryl sulphate which is
incompatible with cationic organic medicaments and the salts
of barium and heavy metals.
Cationic emulsifying bases are exemplified by Cetrimide
emulsifying Ointment, BP. This consists of a mixture of
cetrimide, cetostearyl alcohol, white soft paraffin and liquid
paraffin. Cetrimide emulsifying Wax BPC is a mixture of
cetrimide and cetostearyl alcohol which is compatible with
cationic medicaments.
Non-ionic emulsifying ointments are exemplified by
Cetomacrogol emulsifying Ointment, BPC. This consists of a
mixture of cetomacrogol emulsifying wax, white soft paraffin
1289
and liquid paraffin. Cetomacrogol emulsifying Wax BP is a
mixture of cetostearyl alcohol and cetomacrogol 1000 which
is compatible with cationic medicaments and fairly high
concentrations of electrolytes. Cetomacrogol is a
polyethylene glycol ether of cetostearyl alcohol and is
incompatible with phenolic compounds.
Because of their surface active properties, emulsifying bases
may facilitate contact between the medicament and the skin
surface. They are also readily washed off the skin and are
used when this property is desired, e.g. on scalp areas.
Water-soluble Bases
Water soluble bases consist of mixtures of macrogols

(polyethylene glycols). These are polymers of ethylene glycol
which range from mobile liquids to hard waxes, depending
upon the number of ethylene oxide units in the polymer.
Macrogol 300 BP contains five or six ethylene oxide units
and has a molecular weight of 285–325. Macrogol 4000 BP
contains 69–84 ethylene oxide units and has a molecular
weight of 3100–3700.
Macrogol Ointment, BPC is a mixture of liquid and hard
macrogols which has a consistency similar to that of soft
paraffin and is completely soluble in water. Macrogol bases
are used for local anaesthetics such as lignocaine and are
useful when easy washing from the skin surface is desired,
but they reduce the activity of phenolic antiseptics.
Preparation of Ointments
Trituration: When the quantity of ointment is not more than

about 50g, a white porcelain or marble ointment slab (about
1290
30cm2) should be used in conjunction with a flexible steel
spatula.
A steel spatula should not be used when there is a possibility
that the medicament may react with the metal, e.g. mercury
compounds, tannic acid, salicylic acid and iodine. Stainless
steel spatulas are suitable for most substances or a flexible
vulcanite spatula may be used.
The whole of the medicament is first intimately mixed with a
little of the base, and then the remainder of the base
incorporated gradually, the spatula being held flat and worked
with a side-to-side motion rather than a rotary one. When the
medicament is rather gritty or contains large aggregated
lumps (e.g. zinc oxide, calamine or mercuric oxide) it should
be levigated on the slab with a few drops of liquid paraffin
before incorporation into a paraffin base.
Twin roller mills are available for the preparation of small
quantities of ointment by hand. The degree of fineness is
determined by the setting of the variable roller. Larger,
triple-roll mills, motor driven, capable of handling larger
quantities of ointments and having an output up to 5–7kg per
hr, are also available.
Crystalline, water soluble substances (e.g. resorcinol), present
in small quantities, may be dissolved in a little water before
incorporation in the basis. It should be noted that soft paraffin
is capable of absorbing up to 10 per cent of its weight of
water and wool fat will absorb nearly twice its weight of
water.
Fusion: Ointments containing ingredients which are quite
solid at room temperature (hard paraffin, beeswax,
emulsifying wax, wool alcohols) are prepared by melting the
ingredients in a porcelain dish over a water bath. The usual
method is to melt the substance with the highest melting point
1291
first and add the other ingredients of the basis in order of their
melting points.
When an insoluble substance is to be incorporated into such a
base containing an oil, it is advisable to levigate the solid with
the oil in a hot mortar and then to add to it, with constant
trituration, the previously melted mixture of the other
ingredient. For small quantities of ointment, a heated slab
may be used.
If no oil is present, the solid medicament must be finely
powdered and sifted into the melted base through fine muslin
or a no. 60 mesh sieve, after the base has been removed from
the water bath and has just begun to thicken. The mixture is
then stirred until cold.
Water soluble bases containing liquid and hard macrogols are
also prepared by fusion, using a minimum amount of heat and
stirring until cold.
Creams
The term cream in pharmacy and medicine is applied to

viscous emulsions of semi-solid consistency intended for
application to the skin or mucous membrane. They may be of
the water-in-oil (oily creams) or oil-in-water (aqueous
creams) type.
Preparation of Creams
Microbiological contamination is liable to occur, particularly

in aqueous creams, which should always contain an added
preservative. In the presence of an oily phase and emulsifying
agents, the activity of preservatives may be reduced and if
there is heavy contamination, the preservative may not be
1292
capable of preventing bacterial growth. Special care should be
taken to avoid contamination of creams with Pseudomonas
aeruginosa, which is commonly found as a contaminant of
purified water. Apparatus used in the preparation of creams
should be thoroughly cleansed and rinsed with freshly boiled
and cooled purified water before use. Purified water must be
freshly boiled and cooled before incorporation into creams
and hygienic precautions should be taken both during the
preparation of a cream and when filling into containers.
Containers: Creams should be dispensed in well closed
containers to prevent evaporation of the aqueous phase.
Collapsible metal or plastic containers are preferable, but if a
pot with a screw-cap is used, care should be taken to ensure
that the liner of the screw-cap is of plastics or is plastic
coated. Bonded cork liners are particularly to be avoided.
Creams should be stored in a cool place.
Oily Creams
Oily creams contain a water-in-oil emulsifying agent (see

Chapter 20) which may be wool fat, wool alcohols, a fatty
acid ester of sorbitan or the salt of a fatty acid and a divalent
metal (e.g. calcium). Oily Cream, BP. Oily Cream, BP,
consists of a mixture of equal parts of wool alcohols ointment
and purified water.
Method: Melt the ointment of wool alcohols over a water
bath. Warm the purified water, freshly boiled and cooled, to
about 50° and mix with the melted ointment of wool alcohols.
Stir constantly until cold, preferably by means of a
mechanical stirrer.
Oily Cream, BP is incompatible with phenolic substances and
with ichthammol. It is liable to separate on standing,
1293
particularly at summer temperatures. The water is usually
readily reincorporated by stirring. For a discussion of the use
of wool alcohols see Clark and Kitchen (1960).
Zinc Cream, B.P. Zinc Cream BP consists of zinc oxide
suspended in a water-in-oil emulsion of arachis oil. The
emulsifying agent is calcium oleate and wool fat.
Method: Mix the zinc oxide with the calcium hydroxide and
triturate with the oleic acid and arachis oil. Incorporate the
wool fat and gradually add sufficient purified water to
produce the required weight, stirring vigorously during this
addition.
Aqueous Creams
Aqueous creams contain an oil-in-water emulsifying agent

(see Chapter 18) which may be one of the emulsifying waxes
(see p. 284), and alkali salt of a fatty acid, self emulsifying
monostearin or a polyethylene glycol derivative of a sorbitan
fatty acid ester.
Aqueous Cream, BP. aqueous Cream, BP, consists of a
mixture of 30 per cent of emulsifying ointment with purified
water preserved with chlorocresol.
Method: Boil and cool sufficient purified water. Measure the
quantity required and dissolve the chlorocresol with the aid of
gentle heat. Add the solution to the emulsifying ointment,
previously melted over a water bath. Stir gently until cold.
Hydrocortisone Cream, BPC
Method: Boil and cool sufficient purified water and measure

the quantity required. Dissolve the chlorocresol with the aid
of gentle heat; melt the cetomacrogol emulsifying ointment
1294
over a water bath; add the chlorocresol solution warmed to
the same temperature and stir the mixture until cold.
Incorporate
the required amount of hydrocortisone acetate in the cream by
trituration on a clean ointment slab using a spatula.
Note: Special care should be taken to avoid introducing heavy
contamination during preparation, and creams containing
corticosteroids are best dispensed in collapsible metal or
plastics tubes so that they do not become contaminated during
use.
Dimethicone Cream, BPC
Method: Melt the cetostearyl alcohol with the dimethicone

350 and the liquid paraffin over a water bath. Boil and cool
sufficient purified water and measure the required quantity.
Dissolve the chlorocresol and cetrimide with the aid of gentle
heat. Add the solution to the oily phase at the same
temperature and stir mechanically until cold.
Note: Dimethicone 350 is a silicone fluid which is water
repellant. Dimethicone cream is used as a protective barrier
around colostomies and to prevent bedsores and napkin rash.
It is vital, therefore, that is should not be contaminated with
microorganisms.
Pastes
Pastes are stiffer preparations than ointments and contain a

high proportion of powder dispersed in a fatty base. They
were originally formulated on the principle that the high
content of powder would absorb exudates but it is unlikely
that a powder which has been preferentially wetted with oil
1295
will be capable of absorbing an aqueous fluid. Because of
their very stiff consistency, pastes are useful for applying
active medicaments (e.g. dithranol and coal tar) to
circumscribed areas of the skin since they tend to localize the
effect of the active ingredient.
Pastes are usually applied liberally by means of a wooden
spatula or palette knife. Zinc and Salicylic acid Paste, BP
(Lassar’s paste) is the most commonly used preparation of
this type. Medicaments incorporated in zinc and salicylic acid
paste are less active than when included in ointments. Higher
concentrations of substances such as dithranol may therefore
be tolerated if they are combined in zinc and salicylic acid
paste. The following example illustrates this:
Dithranol 0.1g
Zinc and salicylic acid paste to 100g
Method: This preparation is best prepared on a heated
ointment slab. Triturate the dithranol with a small quantity of
the zinc and salicylic acid paste until it is smooth and
completely dispersed. Gradually incorporate the remainder of
the zinc and salicylic acid paste, with constant trituration to
ensure uniform dispersion of the dithranol. The preparation
should be carefully inspected to ensure that no discrete
agglomerates of dithranol are present.
Poultices
A poultice is a viscous, pasty preparation for external use,

usually employed with the object of reducing inflammation
and allaying pain. The two most commonly used preparations
of this type are Kaolin Poultice, BPC and Magnesium
Sulphate Paste, BPC.
1296
In the preparation of Kaolin Poultice, BP, heavy kaolin is first
sifted and dried at 100°C to remove moisture. It is then mixed
with boric acid and glycerin and the mixture heated to 120°C
for 1hr with occasional stirring. After cooling, thymol,
methylsalicylate and peppermint oil are added and the mass
thoroughly mixed.
Heavy kaolin is liable to be contaminated with bacterial
spores (e.g. Clostridium tetani) and the heating procedure is
necessary to kill these. The temperature is limited to 120°C to
prevent decomposition of the glycerin.
Kaolin Poultice is stored in well closed containers to prevent
loss of volatile ingredients and absorption of moisture from
the atmosphere by glycerin.
In the preparation of Magnesium Sulphate Paste, BPC, the
dried magnesium sulphate must first be heated at 130 or
150°C for an appropriate length of time to ensure that the
dried powder contains at least 85 per cent of magnesium
sulphate. This is necessary to ensure that the product complies
with the standard and does not form a granular crystalline
preparation on storage.
Dusting Powders
Dusting powders are mixtures of fine powders which are

applied to the skin folds to prevent friction. They may contain
talc, zinc oxide, starch and kaolin. Powders such as talc and
kaolin, which may be contaminated with bacterial spores,
should be sterilized by heating at 160°C for 1 hr before
incorporation into a dusting powder. Talc is included for its
lubricant properties whereas starch and zinc oxide absorb
moisture. Boric acid should no longer be used in dusting
1297
powders since it has been found that it may be absorbed in
toxic amounts through abraded skin.
Dusting powders are prepared by the same technique as those
described for powders (see p. 371). After mixing, they should
be passed through a no. 44 mesh sieve or finer; any powder
that will not pass the sieve must be further ground until it
will. After sifting, the whole must be again lightly mixed.
References
Clarr EW, Kitchen GF. J. Pharm. Pharmacol. 1960;12:227.
1298
Chapter 29
Preparations for the Eye
Drugs may be applied to the eye in the form of drops,
ointments or lotions. They may also be injected into various
regions of the eye. The British Pharmaceutical Codex defines
the following ophthalmic injections:
Subconjunctival injections—aqueous solutions or suspensions
that are injected under the conjunctiva. The volume injected
by this route is limited to 1ml and consequently the amount of
soluble drug administered is restricted to the amount which
dissolves in that volume.
Intracameral injections—aqueous solutions which are
injected into the anterior chamber of the eye during surgery to
increase the volume of the chamber to produce miosis and for
zonulysis. Antibiotics are usually satisfactorily administered
by subconjunctival injection and rarely need intracameral
injection.
Intravitreous injections—used to increase the volume of the
vitreous chamber. Reconstituted dried vitreous fluid is used
for this purpose and a suitable grade of sterilized silicone oil
may also be used.
Retrobulbar injections—aqueous solutions used to produce
anaesthesia of the globe and akinesia of the extraocular
muscles.
Ophthalmic injections must be sterile and are prepared under
the same conditions and by the same methods as other
parenteral preparations (see Chapter 35). Solutions used
during surgery must also be sterile and contain no
preservative. They must therefore be presented in single-use
1299
containers and any solution remaining at the end of an
operation must be discarded.
Eye Drops
Eye drops are sterile aqueous or oily solutions or suspensions
intended for instillation into the conjunctival sac. They may
contain antimicrobial substances such as antibiotics,
anti-inflammatory agents such as the corticosteroids, miotic
drugs such as physostigmine sulphate or mydriatic drugs such
as atropine sulphate. Oily eye drops are nowadays seldom
used but may, nevertheless, occasionally be requested. They
are usually prepared with sterile castor oil and alkaloids
incorporated in such a vehicle must be used in the form of the
base; e.g. oily eye drops of pilocarpine consist of pilocarpine
base dissolved in sterile castor oil.
Sterility of Eye Drops
Until the Supplement 1966 to the British Pharmaceutical

Codex 1963, there was no official requirement that eye drops
should be sterile. They had previously been regarded as
extemporaneously prepared preparations and, although
precautions were taken to avoid contamination during
preparation, they were not subjected to a final sterilizing
process. It became evident, particularly in hospital practice,
that contaminated solutions could cause serious infections of
the eye and various organisms were incriminated including
Pseudomonas aeruginosa, Staphylococcus aureus and
Proteus vulgaris. Of these, Pseudomonas aeruginosa has
given rise to the most concern. It is widely distributed and is a
commonly found contaminant of distilled water. It has simple
1300
nutritional requirements and is resistant to the action of many
antimicrobial agents and antibiotics. Moreover, it can cause
serious infections leading to the loss of an eye.
The intact eye has its own defences against infection. The
corneal epithelium provides an effective barrier against
infection and the tears contain lysozyme which has a
powerful antimicrobial action. However, if the eye is
damaged, infection can pass into the nonvascular, underlying
stroma which provides a good culture medium in which the
organisms can proliferate. The cornea may become ulcerated
and loss of sight ensues. It is particularly important, therefore,
to ensure the sterility of solutions which may be used in
damaged eyes. Fluorescein eye drops, for example, are used
as a diagnostic agent to detect foreign bodies and corneal
abrasions. In such circumstances, the need for sterility is vital
and it is better that such preparations should be used from
single-dose containers.
Sterilization of Eye Drops
The problems of sterilizing eye drops are essentially the same

as those involved in the preparation of parenteral solutions
(see Chapter 35). Many of the drugs used in ophthalmology
are affected by heat and the amount of heat applied in the
sterilization procedure has to take account of the stability of
the drug. The British Pharmaceutical Codex recommends the
three following general methods:
1. The medicament is dissolved in the aqueous vehicle
containing one of the prescribed antimicrobial substances; the
solution is clarified by filtration, transferred to the final
containers, which are then closed to exclude microorganisms,
and sterilized by autoclaving.
1301
solution is sterilized by filtration and transferred, by means of
an aseptic technique to sterile containers, which are then
closed so as to exclude microorganisms.
solution is clarified by filtration, transferred to the final
containers which are then closed so as to exclude
microorganisms and sterilized by maintaining at 98–100° for
30min.
The British Pharmaceutical Codex permits eye drops to be
prepared by any other method provided that the product is
identical in appearance, quality and composition with one
prepared by the appropriate method described in the
individual monograph. Exposure to ionizing radiations is not
a permitted method but it may be used provided that the
product is sterile and has not undergone chemical degradation
so that it fails to comply with the required standards. It should
be pointed out, however, that the effect of ionizing radiations
on drugs and bactericides has not yet been fully investigated
and unusual pathways of degradation may be involved.
Trigger and Caldwell (1968) have reported that both sodium
sulphacetamide eye drops and fluorescein eye drops darken in
colour on exposure to a dose of 2.5 Mrad but this colour
change was not associated with any other measurable change
in assay, ultraviolet absorption or chromatography. There was
also no detectable increase in the irritancy of the eye drops
according to the Draize test. The same authors also reported
that atropine eye drops and eye ointment bases could be
sterilized by exposure to ionizing radiations.
1302
Bactericides in Eye Drops
In order to prevent the growth of microorganisms,

accidentally introduced during use, eye drops which are
dispensed in multidose containers must contain a suitable
preservative. The preservation of ophthalmic preparations has
been reviewed by Brown and Norton (1965). These authors
state that there is no ideal preservative for eye drops available
at present. The properties of an ideal preservative are:
1. It should be rapidly effective against a wide range of
organisms, particularly Pseudomonas aeruginosa.
2. It should be nonirritant to the eye, nontoxic, and should not
cause pain or stinging.
3. It should be compatible with the medicaments used in eye
preparations.
4. It should be compatible with eye drop containers and
closures.
5. It should be stable at the temperatures used for sterilization
of eye drops.
The British Pharmaceutical Codex permits the use of three
antimicrobial agents as preservatives in eye drops namely: (1)
phenylmercuric nitrate or acetate (0.002 per cent); (2)
benzalkonium chloride (0.01 per cent); or (3) chlorhexidine
acetate (0.01 per cent). Phenylmercuric salts are unsuitable
for use in eye drops which are used over long periods of time
(e.g. pilocarpine and physostigmine) since there is a
possibility that with prolonged use they may cause deposition
of minute traces of mercury in the lens. While this condition
appears to be symptomless, it is nevertheless undesirable.
Benzalkonium chloride is unsuitable for use in eye drops
containing local anaesthetics because the latter abolish the
blink reflex and the benzalkonium chloride, because of its
1303
detergent action, removes the protective oily layer from the
precorneal film. If the blink reflex is normal, the meibomian
oily layer is rapidly restored.
Apart from the above considerations, the selection of the
preservative to be used in eye drops depends upon its
compatibility with the medicament. The preservatives used in
the eye drops of the British Pharmaceutical Codex are given
in Table 29.1
Table 29.1 Preservatives used for different medicaments
Medicament Preservative
Amethocaine hydrochloride PMA or PMN 0.002 per
cent
Atropine sulphate PMA or PMN 0.002 per
cent or BC 0.02 per cent
Carbachol BC 0.02 per cent
Chloramphenicol PMN or PMA 0.002 per
cent
Cocaine hydrochloride and CA 0.01 per cent
homatropine hydrobromide
Fluorescein PMN or PMA 0.002 per
cent
Homatropine hydrobromide BC 0.02 per cent or CA
0.01 per cent
Hyoscine hydrobromide BC 0.02 per cent or CA
0.01 per cent
Lachesine chloride PMN or PMA 0.002 per
cent
1304
Neomycin sulphate PMN or PMA 0.002 per
cent
Phenylephrine hydrochloride BC 0.04 per cent
Physostigmine sulphate BC 0.02 per cent
Pilocarpine hydrochloride BC 0.02 per cent
Prednisolone sodium phosphate BC 0.04 per cent
Sulphacetamide sodium PMN or PMA 0.002 per
cent
BC = Benzalkonium chloride, CA = Chlorhexidine acetate,

PMN = Phenylmercuric nitrate, PMA = Phenylmercuric
acetate.
Hydrogen Ion Concentration
The lacrimal secretion has a pH value between 7.2 and 7.4

and has a high buffering capacity. Consequently, the eye can
tolerate solutions having a wide range of pH values from 3.5
to 10 provided they are not strongly buffered since the tears
will rapidly restore the normal pH value of the eye.
Most drugs used in the eye are the salts of weak organic bases
(e.g. alkaloids) and are stable at acid pH values. The degree of
ionization is affected by the pH value and as this approaches
neutrality, the concentration of the unionized organic base is
increased. The free base is lipid soluble and will penetrate the
cornea more readily than the ionized form of the drug. The
therapeutic activity of eye drops may therefore be affected by
the pH value but, for reasons of stability, this must usually be
kept low.
1305
Tonicity
It was formerly thought that, for reasons of comfort on

instillation, eye drops should be made isotonic with the
lacrimal secretion. However, it has been established’ that the
eye can tolerate a range of tonicity from 0.5 to 2 per cent
sodium chloride before discomfort is experienced. It is often
the nature of the medicament itself which causes pain’ or
stinging on instillation. Amethocaine hydrochloride, for
example, has surface active properties which cause pain when
solutions are instilled into the eye and for this reason
concentrations above 1 per cent should not be used. There is
now no general requirement in the British Pharmaceutical
Codex for eye drops to be made isotonic.
Viscosity
Attempts have been made to prolong the contact time of the

drug in the eye by increasing the viscosity of the vehicle. For
this purpose, methylcellulose has been incorporated into eye
drops but it is unlikely that the increase in viscosity has any
material effect on the efficacy or duration of action of the
medicament.
Hypromellose Eye Drops BPC contain
hydroxypropylmethylcellulose, which has been selected for
the purpose because it produces clearer solutions than
methylcellulose. Hypromellose eye drops are intended for use
as a substitute for tears in eye conditions in which the
lachrymal secretion is deficient. They may also be used as a
contact lens solution but may need diluting when used for this
purpose. Hypromellose eye drops cannot be used as a general
vehicle for eye drops since. Incompatibilities may arise
1306
between the medicament and the bactericide or the
hydroxypropylmethylcellulose: Solutions containing cellulose
derivatives are coagulated on heat sterilization but will
usually go back into solution if shaken while cooling.
However, there is usually some reduction in viscosity.
Eye Drop Containers
For use in hospital practice during and after surgery on the

eye, eye drops should be dispensed in single-dose containers.
Eye drops which are used in damaged eyes (e.g. fluorescein)
should be similarly dispensed. In such a container, there is no
necessity for eye drops to contain a bactericide and it should
be remembered that solutions used during surgery must not
contain any added antimicrobial substance.
Multidose Containers
For domiciliary use and for intact eyes in hospital practice,

eye drops are dispensed in multidose containers. The
conventional type of eye drop bottle is made of glass and is
closed by a screw cap through which the eye dropper and teat
are inserted. The British Pharmaceutical Codex specifies that
such containers should comply with British Standard 1679:
Part 5: 1965. This requires that the bottle is amber coloured,
vertically ribbed and made of neutral glass or soda glass
which has been surface treated to limit the amount of alkali
released into aqueous solutions. The surface treated bottles
are known as ‘one trip’ bottles and should not be autoclaved
more than once. Glass droppers are made of neutral glass and
the rubber teats must be capable of withstanding autoclaving
on one occasion and must not release alkali or other
1307
impurities during use. The caps into which the teats are
inserted may be made of aluminium or a suitable plastic.
Natural rubber teats not infrequently give rise to difficulty.
Certain batches may not withstand autoclaving on a single
occasion, while others may be incompatible with the
bactericide. On autoclaving in the presence of benzalkonium
chloride, they may produce a cloudy solution possibly due to
the leaching out of stearates from the rubber. Silicone rubber
teats are less likely to absorb the bactericide from solution
(see below). Unfortunately, they are considerably more
expensive than natural rubber teats and allow considerable
loss of water vapour on storage.
Eye drops may also be dispensed with an ordinary screw-cap
closure and the sterile dropper provided separately in a
suitable pack to maintain sterility. This method of
presentation may be adopted to overcome the difficulty of
incompatibility between the bactericide and the rubber
closure, in which case the rubber liner of the screw cap must
be protected by a disc of ethylene terephthalate (‘Melinex’).
This method presents practical difficulties since ethylene
terephthalate is available only in sheet form and the discs
must be hand-cut. Eye drops may also be dispensed in this
manner in hospital practice so that a supply of wrapped sterile
droppers may be issued with them and a new sterile dropper
used every time the drops are applied to the eye in order to
minimize the risk of infection.
Aluminium or other metal screw caps are unsuitable if a
phenylmercuric salt is used as the bactericide because of the
possibility of chemical interaction.
The British Pharmaceutical Codex also permits the use of
‘suitable plastics containers’ for eye drops. Such containers
must be compatible with the preparation and not release
undesirable materials (e.g. plasticizers), into the solution.
1308
Containers made of nylon have been used for eye drops and
are generally satisfactory, but elderly patients may have
difficulty in using them to instil the drops into the eye. They
are used for some proprietary presentations of eye drops.
Preparation of Eye Drops
An account of the small scale preparation of eye drops has

been given by Smith (1967). The general precautions with
regard to cleanliness of apparatus, working environment etc.
are the same as those for parenteral solutions.
Containers
Glass containers must be thoroughly cleansed by rinsing in

detergent solution and purified water. Rubber teats must also
be
cleansed by boiling in water and detergent followed by
rinsing in purified water. They are then impregnated with the
bactericide ‘to be used by autoclaving in a’ closed container
in a solution containing twice the concentration of bactericide
used in the eye drops and storing them in this solution for 7
days before use. It is preferable to have a stock of rubber teats
all ready for use stored in closed screw-cap jars containing
each of the bactericides used in the British Pharmaceutical
Codex.
The absorption of bactericides from the solution varies ‘with
the quality of the rubber. Natural rubber teats absorb all these
bactericides readily from aqueous solution. Silicone rubber
teats do not absorb appreciable amounts of chlorhexidine
acetate and benzalkonium chloride but readily absorb
phenylmercuric salts. As mentioned above, benzalkonium
1309
chloride may extract stearates from certain grades of natural
rubber teats.
Most eye drops are simple solutions in water which should be
clarified by filtration before filling into the containers. The
British Pharmaceutical Codex limits the volume to be
supplied in each container to 10ml so that the eye drops are
not in use over too long a period of time.
Sterilization
The sterilization procedures are the same as those applied to

parenteral solutions, which should prove no problem in a
well-equipped hospital pharmacy. In general practice
pharmacy, it may be necessary to obtain a small, electrically
heated autoclave especially for the extemporaneous
preparation of eye drops. A suitable autoclave is obtainable
from Jacob White and Co. Ltd and is illustrated in Fig. 29.1.
Fig. 29.1 Electrically heated autoclave for small scale

preparation of eye drops.
1310
Sterilization by filtration may also be a problem in general
practice pharmacy, particularly for the extemporaneous
preparation of sodium sulphacetamide eye drops. The small
scale preparation of eye drops by filtration has been outlined
by Smith (1967) who describes different kinds of modified
syringes which can be used to sterilize small volumes of
aqueous solutions. The most satisfactory is probably the
Swinnex filter unit (Fig. 29.2) which is· available
presterilized from Millipore U.K. Ltd. Swinnex filter units are
available in two sizes (filter diameters 13 or 25mm) and the
membrane filters in two porosities (0.45 and 0.22 μm). The
smaller diameter filter is usually adequate for eye drops and it
is safer to use the lower porosity membrane, although
filtration may be slower. Using a presterilized Swinnex unit,
the solution after clarification is sucked tip into a syringe
(preferably a sterile plastics disposable syringe). The plastic
bag holding the Swinnex unit is opened by means of sterile
scissors and, with aseptic precautions, the unit is attached to
the syringe and a sterile needle is fixed to the other end of the
unit. The solution is then forced through the membrane filter
into a previously sterilized eye drop bottle by pushing down
the plunger of the syringe. The closure is immediately placed
on the bottle. It is essential that all operations are carried out
as rapidly as possible to minimize the risks of contamination.
1311
Fig. 29.2 Swinnex-25 filtration unit (Millipore).
Labelling
Eye drops which are not issued to the user (i.e. purchased
from a pharmaceutical manufacturer) should state (1) the
concentration
of the active ingredient, and (2) the name and concentration
of the antimicrobial substance used in the eye drops.
It is customary in hospital practice for this information also to
be stated on eye drops issued to patients for domiciliary use.
Eye drops which are not extemporaneously dispensed should
have a readily breakable seal over the closure to indicate that
the container has not been opened. In hospital practice, this
usually takes the form of a Viscose ring.
Eye Lotions
The British Pharmaceutical Codex defines eye lotions as
either (1) sterile aqueous solutions containing no bactericide
for first aid purposes over a maximum period of 24h, or (2)
aqueous solutions containing a bactericide for intermittent
domiciliary administration for up to 7 days. They therefore
have only a limited use nowadays, but may nevertheless
occasionally be prescribed. Sodium bicarbonate eye lotion is
used for the emergency treatment of acid burns of the eye and
is known as ‘Factory Eye Drops No. 2’. Sodium chloride eye
lotion is an isotonic solution which is occasionally used for
irrigating the eye. Both these preparations are prepared by
conventional sterilization procedures.
Occasionally, a prescription for the older type of eye lotion
may be received. This consisted of a solution which the
1312
patient was directed to dilute with an equal volume of water
for use in an eye bath. When such preparations are prescribed
nowadays, they should be issued as sterile solutions even
though the patient cannot maintain the sterility of the
preparation during use. An example of this type of eye lotion
is given by the following prescription:
Boric acid 2 per cent
Zinc sulphate 0.4 per cent
Purified water to 100
Send 200ml
Label: Use with equal volume of warm water in an eye bath
The zinc sulphate and the boric acid are dissolved in purified
water the solution is clarified by filtration and transferred to a
fluted bottle, closed with a screw cap and sterilized by heating
in an autoclave.
The patient should be instructed to avoid contamination of the
solution during use as far as possible (see also below).
Containers for Eye Lotions
Eye lotions are dispensed in coloured fluted bottles closed

with a screw cap. It is important to ensure that the liner of the
screw cap is not made of cork since this may be a source of
microbial contamination. Rubber or plastics liners are suitable
and the screw cap may be either of metal or plastics.
Uncoloured or nonfluted bottles may be used if a suitable
coloured, fluted bottle is not available.
Labelling
In addition to the words ‘For external use only’, eye lotions

which are used for first aid purposes (e.g. sodium bicarbonate
1313
eye lotion) should be labelled to indicate that the preparation
should be used on one occasion only, e.g. with the words
‘Discard any lotion remaining after use when the seal is first
broken’.
Eye lotions which are issued for domiciliary purposes should
be labelled to indicate that they are not to be used more than
24h (or 7 days if a bactericide is added) after first opening the
container, e.g. with the words ‘Discard any lotion remaining
24 hours after the container has been first opened.’
Eye ointments are required by the British Pharmacopoeia to
be sterile and as their preparation involves aseptic handling
using a previously sterilized medicament, they are seldom
dispensed extemporaneously.
Eye Ointments
Eye ointment basis of the British Pharmacopoeia consists of
a mixture of 80 per cent of yellow soft paraffin with 10 per
cent of liquid paraffin and 10 per cent of wool fat. It is
prepared by melting the constituents together, filtering
through a coarse filter paper in a heated funnel and sterilizing
at 150 for 1h. It is stored in containers sealed so as to exclude
microorganisms before use.
Preparation of Eye Ointment
The British Pharmaceutical Codex describes two alternative

procedures for the preparation of eye ointments. Aseptic
precautions must Ire observed throughout.
1314
Water-soluble Medicaments
Medicaments which are readily soluble in water are dissolved

in the minimum quantity of purified water. The solution is
sterilized by heating in an autoclave or by filtration and the
sterile solution incorporated into the melted, previously
sterilized basis by stirring until cold and observing aseptic
precautions. The preparation is then transferred to previously
sterilized eye ointment tubes which are immediately closed so
as to exclude microorganisms. Many medicaments used in
eye ointments are thermolabile and in these circumstances
filtration is used for sterilization.
Water-insoluble Medicaments
In this method, it is essential to use a previously sterilized

sample of the medicament. Observing aseptic precautions, the
medicament is finely powdered and triturated with a small
quantity of the melted, previously sterilized basis. The
mixture is then incorporated with the remainder of the melted
basis and the eye ointment transferred to sterile eye ointment
tubes which are sealed immediately so as to exclude
microorganisms. It is essential that an insoluble medicament
should be finely powdered so as to exclude the possibility of a
large particle of the drug being introduced into the eye.
Containers for Eye Ointments
Eye ointments should be packed in collapsible metal or

plastics tubes or in single-dose containers. Plastics tubes are
used for some proprietary formulations of eye ointments but
1315
there are no standard empty containers of this type available
for dispensing purposes.
Collapsible metal tubes should as far as possible be freed
from dust and metal particles before use. This is probably the
best achieved by blowing the tubes out with a powerful jet of
filtered, dust-free air. Washing the tubes is less effective and
often adds more particles than it removes. It has been found
that, with present methods of manufacture, it is impossible to
produce collapsible metal tubes which are completely particle
free and all the particles may not be removed by cleansing.
The particles are not removed until they undergo the shearing
action of the ointment as it is expressed from the tubes.
Following reports of the occurrence of metal particles in eye
ointments, a British Standard was devised to limit the
particles present in tubes used for eye ointments. Metal tubes
used for dispensing eye ointments must comply with the
requirements of British Standard 4230: 1967.
Certain proprietary formulations of eye ointments are
available in single-dose containers. These take the form of an
elongated, flexible gelatin capsule with one end constricted,
and are opened by cutting off the constricted end with sterile
scissors.
The container of eye ointments, which are not
extemporaneously dispensed, should be enclosed in a readily
breakable sealed package to indicate that it has not previously
been opened. This can take the form of a sealed paper or
plastic envelope or a sealed carton.
Labelling
The British Pharmaceutical Codex requires that the label on

the tube or outer sealed envelope (except one issued on
1316
prescription) should state that the contents are sterile provided
that the container has not been opened.
Ocusert
Ophthalmic inserts are defined as sterile preparations, with a
thin, multilayered, drug-impregnated solid or semisolid
consistency device placed into cul-de-sac or conjunctival sac,
whose shape and size are especially designed for ophthalmic
application. The main objective of the ophthalmic inserts is to
increase the contact time between the preparation and the
conjunctival tissue to ensure a sustained release suited to
topical or systemic treatment. Ocusert is a
diffusion-controlled, reservoir-type device marketed in the
United States that became commercially available in 1974.
The device consists of a two-membrane sandwich of ethylene
vinyl acetate with a pilocarpine reservoir in the centre. A
retaining ring of ethylene vinyl acetate impregnated with
titanium dioxide for visibility and handling of the insert
encloses the drug reservoir circumferentially (Fig. 29.3).
Fig. 29.3 Construction of Ocusert devices. Annular ring

surrounding reservoir is opaque white for visibility in
handling and inserting system.
1317
The pilocarpine is bound to alginic acid and is present as a
free base, partly in an ionized form and partly in a nonionized
form. The device is sterile and contains no preservative. The
drug release from a reservoir type of diffusion-controlled
system is provided by interaction between the polymeric
membrane and the drug contained in the reservoir, and the
surface area and thickness of the polymer layer.
The ethylene vinyl acetate membrane is hydrophobic, which
allows the nonionized form of pilocarpine to permeate but
excludes water from the device. The major factor in the rate
of drug release is the driving force of the concentration
gradient between the saturated concentration of drug within
the reservoir and the concentration of drug outside the
membrane. Tear flow prevents the build up of a stagnant layer
of drug around the device and therefore maintains the
concentration gradient across the membrane. As long as this
gradient exists, the drug is released into the tear film at a
constant rate over almost the entire lifetime of the device.
However, during the initial 6–8 hours following insertion of
the device, there is a higher pulsed release of pilocarpine
because of the amount of drug previously equilibrated into the
barrier membrane. The rate of release in this initial period can
be as high as three or four times the desired rate. The device
is marketed in two sizes, Ocusert Pilo-20 and Ocusert Pilo-40,
representing two different in vitro release rates, 20 and 40mg/
h, respectively. The higher rate for Ocusert Pilo-40 is
achieved by making its rate-controlling membranes thinner
and by the use of the flux enhancer di(2-ethylhexyl)phthalate.
The devices are designed to release the drug for
approximately 7 days. Because of individual differences,
direct comparisons between the Ocusert systems and various
concentrations of pilocarpine drops cannot be made. A
majority of patients controlled with pilocarpine 0.5 and 1%
1318
drops can usually be controlled with Ocusert Pilo-20. Most
patients who required 2 or 4% solution of pilocarpine will
require Ocusert Pilo-40.
Pilocarpine Ocusert has several advantages over pilocarpine
drops. It delivers pilocarpine at a very low constant rate over
a 7-day period, except for the higher rate of release in the
initial 6–8 hours. During the remainder of the 7-day period,
the release rate is within 20% of the rated value. Satisfactory
ocular hypotensive response is maintained around the clock
for
7 days. A low baseline amount of miosis and induced myopia
persists for the therapeutic life of the ocusert system. The
total amount of drug delivered to the eye is substantially less
than with pilocarpine drop instillation.
The risk of ocular or systemic pilocarpine toxicity is reduced.
Studies have shown that Ocusert Pilo-20 produces less
swelling of the anterior chamber, miosis, accommodation
myopia and reduction in visual acuity than did pilocarpine 2%
drops.
It may provide better compliance because it is inserted only
once a week. Because Ocusert offers continuous drug release,
diurnal variations of intraocular pressure (IOP) may be
stabilized.
Despite these theoretical advantages, Ocusert has not
achieved widespread popularity in clinical practice, because it
requires detailed instruction and encouragement of patients to
use it. Patients are instructed to place the insert in the inferior
fornix, but in case of retention difficulty, it may be placed in
the superior fornix. The insert may be lost from the eye
without the patient noticing it; then the patient does not have
the benefit of the drug. In practice, the major complaints with
the insert are excessive foreign-body sensation and retention
difficulty. Another disadvantage of the insert system is its
1319
relatively higher cost compared to that of pilocarpine drops.
Furthermore, cases of sudden leakage of the drug have been
reported.
Classification of patented ocuserts (Based on their
solubility behaviour)
1. Insoluble inserts Ocusert
a. Diffusion-based Ocusert
b. Osmotic-based Ocusert
c. Soft contact lenses
2. Soluble inserts
3. Biodegradable inserts
Insoluble Ophthalmic Inserts
The insoluble inserts have been classified into three groups:

1. Diffusion system
2. Osmotic systems
3. Hydrophilic contact lenses
The first two classes, i.e. diffusion system and osmotic
system, include a reservoir in contact with the inner surface of
the rate controller and supplying drug thereto. The reservoir
may contain liquid, gel, colloid, semisolid, solid matrix or
carrier containing drug, which is homogeneously or
heterogeneously dispersed or dissolved in. Carriers can be
derived from hydrophobic, hydrophilic, organic, inorganic,
naturally occurring or synthetic material.
The third class includes the contact lenses. The insolubility of
these devices is their main disadvantage, since they have to be
removed after use.
1320
Diffusion Inserts
The diffusion systems are compared with a central reservoir

of drug enclosed in specially designed semipermeable or
microporous membranes, which allow the drug to diffuse
from the reservoir at a predetermined rate. The drug release
from such a system is controlled by the lachrymal fluid
permeating through the membrane, and when sufficient
internal pressure was developed, then only drug comes out of
the reservoir. The drug delivery rate is controlled by diffusion
through the membrane, which can be adjusted as per
requirement.
Components of a diffusion insert are discussed below:
Central reservoir: Glycerin, ethylene glycol, propylene
glycol, water, methyl cellulose mixed with water, sodium
alginate, poly(vinylpyrrolidone), polyoxethylene stearate.
Micropores membrane: Polycarbonates, polyvinyl chloride,
polysulphones, cellulose esters, cross-linked poly(ethyl
oxide), cross-linked polyvinylpyrrolidone and cross-linked
polyvinyl alcohol.
Osmotic Inserts
The osmotic inserts are generally composed of a central part

surrounded by a peripheral part. The first central part may be
a single reservoir or have two distinct compartments. The
single reservoir is composed of a drug, with or without an
additional osmotic solute dispersed through a polymeric
matrix, so that the drug is surrounded by the polymer as
discrete small deposits. In the second case, i.e. two distinct
compartment systems, the drug and the osmotic solutes, are
placed in two separate compartments, the drug reservoir being
1321
surrounded by an elastic impermeable membrane and the
osmotic solute reservoir surrounded by a semipermeable
membrane. The second peripheral part of these osmotic
inserts comprises in all cases a covering film made of an
insoluble semipermeable polymer. The tear fluid diffuses into
peripheral deposits through the semipermeable polymeric
membrane, wets them and induces their dissolution.
Dissolution of polymeric membrane generates a hydrostatic
pressure against the polymer matrix causing its rupture under
the form of apertures. Drug is then released through these
apertures from the deposits near the surface of the device,
which is against the eye, by the sole hydrostatic pressure. The
drug release from this device is characterized by zero-order
drug-release profile.
Component of osmotic inserts are discussed below:
Water permeable matrix: Ethylene vinyl esters copolymers;
divers—plasticized polyvinyl chloride (PVC), polyethylene
and cross-linked polyvinylpyrrolidone (PVP).
Semipermeable membrane: Cellulose acetate derivatives;
divers—ethyl vinyl acetate (EVA), polyesters of acrylic and
methacrylic acids (Eudragit).
Osmotic agents: Inorganic—magnesium sulphate, sodium
chloride, potassium phosphate dibasic sodium carbonate and
sodium sulphate.
Organic—calcium lactate, magnesium succinate and tartaric
acid.
Carbohydrates—sorbitol, mannitol, glucose and sucrose.
Soft Contact Lenses
These are shaped structures made up of a covalently

cross-linked hydrophilic or hydrophobic polymer that forms a
1322
three-dimensional network or matrix capable of retaining
water, aqueous solution or solid components (Fig. 29.4).
When a hydrophilic contact lens is soaked in a drug solution,
it absorbs the drug, but does not give a delivery of drug at
predetermined pattern as that is provided by other nonsoluble
ophthalmic systems. The drug release from such a system is
generally very rapid at the beginning and then declines
exponentially with time. The release rate can be decreased by
incorporating the drug homogeneously during the
manufacture or by adding a hydrophobic component. Contact
lenses have certainly good prospects as ophthalmic drug
delivery systems.
Fig. 29.4 Contact lenses.
Soluble Inserts
Soluble inserts correspond to the oldest class of ophthalmic

inserts. They offer the great advantage of being entirely
soluble so that they do not need to be removed from their site
of application, thus limiting the interventions to insertion
only. There are two types of soluble ophthalmic inserts:
1. Based on natural polymers, e.g. collagen
2. Based on synthetic or semisynthetic polymers
The therapeutic agent is preferably absorbed by soaking the
insert in a solution containing the drug, drying and
rehydrating before use on the eye. The amount of drug loaded
1323
will depend upon the amount of binding agent, concentration
of the drug solution into which the composite is soaked and
the duration of the soaking. The soluble ophthalmic inserts
containing synthetic/ semisynthetic polymers offer the
additional advantages of being generally of a simple design.
1. Based on products well adopted for ophthalmic use
2. Easily processed by conventional
methods—slow-evaporating extrusion, compression or
injection moulding
The release of the drug from such system is controlled by
diffusion. The penetration of tears into the insert which
induces release of the drug by diffusion and forms a gel layer
around the core of the insert, this external gelification induces
the further diffusion controlled drug release. The release rate,
J, is derived from Fick’s law yields the following expression.
The other factors affecting drug release from these ocuserts

are as follows:
• Penetration of the inclusion
• Swelling of the matrix
• Dissolution of the drug and the polymers
• Relaxation of the polymeric chain
1324
The soluble insert made of cellulose derivatives can be
sterilized by exposure to gamma radiation without the
cellulose components being altered. A decreased release rate
is obtained by using a component of the matrix or a polymer
normally used for enteric coatings or by introducing a suitable
amount of hydrophobic polymer capable of diminishing the
tear fluid penetration and thus of decreasing the release of the
drug without modifying the solubility of the insert when
added in proper proportion.
Components of soluble inserts are discussed below:
Soluble Synthetic Polymers
Cellulose derivatives: Hydroxypropyl cellulose

methylcellulose, hydroxyethyl cellulose and hydroxypropyl
cellulose Divers: Polyvinyl alcohol and ethylene vinyl acetate
copolymer Additives: Plasticizer—polyethylene glycol,
glycerin and propylene glycol
Enteric-coated Polymer
Cellulose acetate phthalate and hydroxypropyl

methylcellulose phthalate.
Complexing agent: Polyvinyl pyrrolidone.
Bioadhesives: Polyacrylic acids.
Biodegradable Ophthalmic Inserts
Biodegradable inserts are composed of biodegradable

polymer in which drug is homogeneously dispersed. They
may
1325
or may not be coated with hydrophobic polymer which is
sustantially impermeable to the drug. Successful
biodegradable materials for ophthalmic use are the
poly(orthoesters) and poly(orthocarbonates). The release of
the drug from such a system is the consequence of the contact
of the device with the tear fluid inducing a superficial
diversion of the matrix.
The use of solid ophthalmic devices will certainly increase
owing to the development of new polymers, the emergence of
new drugs having short biological half-lives or systemic side
effects and also the need to improve the efficacy of
ophthalmic treatment ensuring an effective drug concentration
in the eye over an extended period of time.
References
Ahmed I, Gokhale RD. J. Pharm. Sci. 1987;76:583.

Alvarez-Lorenzo C, Hiratani H. J. Pharm. Sci. 2002;91:2182.
Bloomfield SE, Miyata T, Dunn MW. Arch Opthalmol.
1978;96:885.
British Standard 4230 (1967).
Brown MRW, Norton DA. J. Soc. Cosm. Chem.
1965;16:369–387.
Di Colo G, Zambito Y. Eur. J. Pharm. Biopharm.
2002;54:193.
Di Colo G, Burgalassi S, Chetoni P. Int. J. Pharm.
2001;14:101.
Elter MG, Schoenwald RD, Chetoni P. J. Pharm. Sci.
1985;74:155.
Grass GM, Robinson JR. J. Pharm. Sci. 1988;77:15.
Gurtler F, Gurny R. Drug Dev. Ind. Pharm. 1995;21:1.
1326
Himmelstein KJ, Guvenir I, Palton TP. J. Pharm. Sci.
1978;67:603.
Huang HS, Schoenwald RD, Lach JL. J. Pharm. Sci.
1983;72:1272.
Mitra AK. Ophthalmic drug delivery,. In: Tyle P, ed. Drug
Delivery Devices,. New York: Marcel Dekker; 1998:455.
Shell JW, Gale RM. U.S. Patent. 1984;4:964.
Smith G. Pharm. J. 1967;198:55–61.
Trigger DJ, Caldwell ADS. J. Hops. Pharm.
1968;25:259–265.
1327
Chapter 30
Parenteral Formulations
The term parenteral is derived from Greek words, para
enteron, meaning ‘beside the intestine’. According to B.P.,
parenteral products are products that are administered to the
body by injection. As this route of administration bypasses
the normal body immune mechanisms, it is essential that
these products are prepared with a higher degree of concern.
The finished product must be sterile, nonpyrogenic and free
from extraneous insoluble materials. Parenteral systems are
introduced directly to body fluid system composing intra- or
extracellular fluid compartments, the lymphatic system and
the blood circulatory system.
Parenterally administered drugs have the following
advantages:
1. Rapid onset of action, which results from the drug being
presented directly to the circulation without the need for
release or absorption step from a formulation or absorption
through an epithelium.
2. Predictable and nearly complete bioavailability: The
uncertainty of poor or incomplete absorption and its
variability are eliminated, so that blood levels are more
predictable and pharmacokinetics is much simpler, being
confined to elimination pathways alone.
3. Avoidance of the gastrointestinal (GI) tract and hence the
problems of variable absorption, drug inactivation and GI
irritation.
1328
Parenteral Administration of Drugs: A Necessity
In recent years, parenteral dosage forms, especially

intravenous (IV) forms, have witnessed increased usage. The
reasons for this growth are many, and few of them are
summarized as follows:
1. New and better parenteral administration techniques.
2. An increasing number of drugs that can be administered
only by the parenteral route because they are degraded in the
stomach (e.g. peptides and proteins) or are unabsorbed due to
their insolubility, size or molecular properties (e.g. the
antifungal amphotericin B).
3. The need for simultaneous administration of multiple drugs
in hospitalized patients receiving IV therapy.
4. New forms of nutritional therapy (such as intravenous
lipids, amino acids and trace metals) and new chemical
entities (NCEs in the trade) are usually studied first as
intravenous formulations to elucidate their pharmacokinetics
and metabolism before oral formulations are developed.
5. The extension of parenteral therapy into home
Although oral administration is the route of choice, parenteral
route becomes essential in certain situations such as the
following:
1. For quick restoration of fluid and electrolyte imbalances:
During severe dehydration or electrolyte depletion as in
diarrhoea and vomiting, electrolyte solutions are administered
intravenously.
2. Intravenous feeding of essential nutrients: For the short
term, certain necessary nutrients such as amino acid, glucose,
mineral, vitamins and for the long term for patients who have
difficulty in food intake as in conditions of coma or
1329
unconsciousness or who have undergone gastrointestinal
surgery.
3. Administration of drugs to uncooperative or uncontrollable
patients, for example, patients suffering from epileptic
seizures, delirium or psychosis.
4. To elicit desired local effect, for example, local anaesthetic
in minor surgery.
5. In emergency conditions to get quick response: In
conditions such as life-threatening hypotention, arrhythmias
or bronchospasm, cardiointraventricular route is desirable.
Parenteral Administration Routes

Intravenous and intramuscular routes are the most important
routes of parenteral delivery whereas the subcutaneous route
is normally used for small volumes and vaccination. There are
other less-important routes intended for rapid local action
such as intrathecal, intra-articular and intracardiac. A brief
description of different routes of parenteral delivery is
summarized in Table 30.1.
Table 30.1 Summary of routes of parenteral delivery
1330
Subcutaneous Route
A subcutaneous injection (SC) is made into the connective

tissue beneath the dermis (see Fig. 30.1). Body sites suitable
for SC administration include most portions of arms and legs
together with the abdomen. When frequent administration is
required, the injection site should be frequently changed,
especially by diabetic patients self-administering insulin. SC
injections are usually administered in volumes up to 2mL
using 0.5- to 1-in., 23-gauge (or smaller) needle. Care must be
taken to ensure that the needle is not in a blood vessel. This is
done by lightly pulling back on the syringe plunger
(aspiration) before administrating the injection. If the needle
involuntarily pierces a blood vessel, blood will appear in the
syringe; in such condition, injection
should be avoided. The injection site must be massaged after
injecting to facilitate drug absorption.
1331
Fig. 30.1 Physiology of parenteral administration routes.
Drugs administered by this route will have slower onset of

action compared to IM or IV routes, and total absorption may
also be less. This route is frequently used for localized effect,
for example, the administration of local anaesthetics. This
route has the advantage that a relatively low dose of drug can
be used to elicit a significant local response. Injection
volumes do not normally exceed 2mL. Irritating drug and
vasoconstrictors can lead to abscesses, necrosis or
inflammation when given subcutaneously.
Hypodermoclysis
Sometimes dextrose or electrolyte solution is given

subcutaneously in amounts ranging from 250 to 1000mL.
This technique is called hypodermoclysis, and is used when
veins cannot be found easily or it is difficult to use for further
medication. Tissue irritation is one danger of this technique.
Administration of enzyme hyaluronidase can help by
increasing absorption and decreasing tissue distension.
1332
Intramuscular Route
Intramuscular injections are made into the striated muscle

fibres that lie beneath the subcutaneous layer. The IM route of
administration is second only to the IV route in rapid onset of
systemic action. As a result, numerous dosage forms are
available for this route of administration: solutions,
oil-in-water (o/w) or water-in-oil (w/o) emulsions,
suspensions (aqueous or oily base), colloidal suspensions and
reconstitutable powders. Product forms in which the drug is
not fully dissolved generally result in slower, more gradual
drug absorption, a slower onset of action and sometimes
long-lasting drug effects.
The preferred sites for injection are gluteal (buttocks), deltoid
(upper arm), triceps, pectoral and vastus lateralis (lateral
thigh). The deltoid muscle is preferred due to its greater
perfusion rate. When an intramuscular injection is
administered, it is normal
practice to withdraw the syringe plunger briefly to see if
blood can be withdrawn. Blood indicates that the needle may
be in a vessel, and the injection should be repositioned. There
is also a minor danger of damaging a nerve fibre during the
injection.
The usual volumes injected range from 0.5 to 2.0mL, with
volumes up to 4.0mL sometimes being given (in divided
doses) in the gluteal or thigh areas (see Table 30.1). Needles
used in administering IM injections range from 1 to 1.5 in.
and from 19 to 22 gauge, the most common being 1.5 in. and
22 gauge.
Intramuscularly administered products typically form a
‘depot’ in the muscle mass from which the drug is slowly
absorbed. The peak drug concentration is usually seen within
1333
1–2 hours. Factors affecting the drug release rate from an IM
depot include the following:
1. The compactness of the depot (the less compact and more
diffuse, the faster the release)
2. The rheology of the product
3. Concentration and particle size of the drug in the vehicle
4. Nature of the solvent or vehicle, volume of the injection
5. Tonicity of the product and physical form of the product
(see Fig. 30.2)
Fig. 30.2 Absorption of drugs from intramuscular injections.
1334
The Intravenous Route
Intravenous medication is injected directly into a vein to

obtain rapid and predictable response or to avoid irritation of
other tissues. This route of administration also provides
maximum bioavailability and assurance in in situ delivery of
drug. Only drugs in aqueous solutions, hydro-alcoholic
solutions, some emulsions and liposomal formulations are to
be administered by the IV route. Large proximal veins, such
as those located inside the forearm, are most commonly used
for IV administration. As circulating blood gets rapidly
diluted and the venous walls are generally insensitive to pain
sensation, the IV route may be used to administer drugs that
would be too irritating when given by other routes (e.g.
nitrogen mustards), provided that proper dosing procedures
are employed. The usual method of administration for short
half-life drugs is to use continuous IV drip (IV infusion).
Intravenous injections normally range from 1 to 1000mL and
are given with a 19- to 20-gauge 1-in. needle, with an
injection rate of 1mL per 10 seconds for volumes up to 5mL
and 1mL per 20 seconds for volumes over 5mL. The risk of
thrombosis is increased when extremities such as the wrist or
ankle are used for injection sites or when potentially irritating
IV products are used, with the risk further increasing in
patients with impaired circulation.
Venoclysis
The IV infusion of large volumes of fluids (100–1000mL)

such as electrolytes and nutrients has become increasingly
popular. This technique, called venoclysis, utilizes products
known as large-volume parenterals (LVPs).
1335
IV admixture
The combination of parenteral dosage forms for

administration as a unit product is known as an IV admixture.
During or before administration of an LVP, various parenteral
drug solutions can be conveniently added to provide
continuous and prolonged drug therapy, and which also help
in reducing irritation caused by concentration used by the
manufacturer by making up dilute drug solution. Pharmacists
dealing with such IV additive product preparations must be
very erudite to avoid physical and chemical incompatibilities
in the modified LVP, reduce and mitigate therapeutic
incompatibilities with other drugs, compromise sterility
through breaches of aseptic technique or add extraneous
particulate matter.
Indwelling needles or catheters are required in LVP
administration. Care must be taken to avoid local or systemic
infections or thrombophlebitis owing to faulty injection or
administration technique. IV infusions can be administered
through peripheral veins, typically in the forearm, or through
a central line that is surgically implanted in the subclavian
vein. Another option for IV infusion that is increasingly
becoming popular is the peripherally inserted central
cathether (PICC), where the catheter is fed through an
incision in a peripheral vein to a large central vein near the
heart. Central IV lines are commonly used for administration
of very hypertonic formulations that would be excessively
irritating to a peripheral vein, and for administration of
vesicants, or drugs that are damaging to tissue. Introduction
of the formulation into an area of high blood flow provides
rapid dilution and minimizes irritation.
1336
Commonly administered LVPs include Lactated Ringers
Injection USP, Sodium Chloride Injection USP (0.9%) and
Dextrose Injection USP (5%) or various combinations of
dextrose and saline. In addition, numerous other nutrient and
ionic solutions are available for clinical use, the most popular
of which are solutions of essential amino acids or lipid
emulsions.
Other Parenteral Routes
Intra-arterial
The intra-arterial route is sometimes used to target a

particular organ, innervated by arteries, for example, the
heart. Because of the perfused blood flow through arteries,
the drug is rapidly diluted, thus making it useful in
administering radiopaque materials that aid in diagnostic
imaging such as arteriograms. As therapeutics are directly
administered into arteries, they can be used for administration
of cytotoxic drugs such as methotrexate to treat cancer.
However, administration via the intra-arterial route can be
hazardous, resulting in arterial spasm and subsequent
gangrene. Intra-arterial injections must be bacteria free.
Intrathecal
The intrathecal route is employed for administering a drug

directly into the cerebrospinal fluid at any level of
cerebrospinal axis. This route is adopted when it is not
feasible to attain adequately high plasma levels to achieve
adequate diffusion and penetration into the cerebrospinal
fluid. Parenteral products administered by the intrathecal
1337
route must be formulated at physiological pH, must be
isotonic and must not contain antimicrobial preservatives to
prevent nerve damage.
Intraepidural
The epidural space is the space inside the bony spinal canal
but outside the membrane called the dura mater (sometimes
called the dura). In contact with the inner surface of the dura
is another membrane called the arachnoid mater
(‘arachnoid’). The arachnoid encompasses the cerebrospinal
fluid that surrounds the spinal cord. Epidural analgesia is a
form of regional analgesia involving the injection of drugs
through a catheter placed into the epidural space. The
injection can cause both a loss of sensation (anaesthesia) and
a loss of pain (analgesia), by blocking the transmission of
signals through nerves in or near the spinal cord.
Intracesternal
The intracesternal route is within one of the subarachnoid

cisternae; it usually refers to the introduction of a cannula into
the cerebellomedullary cistern for aspiration of the
cerebrospinal fluid or the injection of air into the ventricles of
the brain.
Intra-articular
These injections are aqueous solutions or suspensions that are

injected into the synovial fluid in a joint cavity.
1338
Intracardial
This route is used in emergencies only. Injections are

administered directly into either the cardiac muscle or a
ventricle. Owing to the growing success of intensive care for
patients with coronary heart disease or cardiac arrest, the use
of this route of administration is increasing. These injections
are aqueous solutions and must be bacteria free.
Intrapleural
This route is used to deliver parenteral solutions into the

location within the pleura, either covering the lungs (visceral
pleura) or the inner surface of the chest wall (parietal pleura).
The intrapleural administration of local anaesthetics via a
catheter is a relatively new method for postoperative
analgesia after thoracic and upper abdominal surgery.
Intradermal
This route is used mainly for diagnostic test injections for

allergy or immunity, although a limited number of vaccines
are also administered by this route. In this route, drugs are
injected into the skin between the epidermis and the dermis.
This route is also referred to as the intracutaneous route. The
injection volume should not exceed 0.2mL. Absorption from
intradermal injections is prolonged, with slow onset of drug
action. Consequently, allergens used in diagnostic tests are
taken into the blood very slowly in very small quantities,
which are less likely to elicit a major allergens response in the
body. Thus allergenic response is contained around the site of
administration.
1339
Specialized Large-Volume Parenterals and Sterile
Solutions
According to the United States Pharmacopeia (USP),

large-volume parenterals (LVPs) are ‘single dose injection
that is intended for intravenous use and is packaged in
container labelled as containing 100mL or more.’
Large-volume parenterals are designed to endow several
purposes such as:
1. To supply fluid (water), calories (dextrose solutions),
electrolytes (saline solutions) or combinations of these
materials.
2. Act as vehicle for infusion of drugs.
3. Act as plasma expander.
4. Promote diuresis in case of water retention in the body.
5. In impaired kidney functions as dialysing agent.
6. Act as X-ray contrast agent to enhance diagnostic abilities.
7. Act as buffers that correct acid–base balance in the body.
8. For nutrient replenishment therapy because therapeutics
such as fat emulsion and amino acid preparation cannot be
taken orally.
Several specialized LVPs and sterile solutions will be
described here, even though two product classes (peritoneal
dialysis and irrigating solutions) are not parenteral products.
Hyperalimentation Solutions
Parenteral hyperalimentation involves the administration of

large amounts of nutrients (e.g. carbohydrates, amino acids,
lipids, usually soya bean oil, sunflower oil or mixture of the
two, containing added electrolytes, trace metals and vitamins)
as preoperative support or to maintain a patient who is unable
1340
to take food orally for several weeks at caloric intake levels of
4000 kcal/day or more. This method also permits the
administration of life-saving or life-sustaining nutrients to
patients in coma or to patients undergoing treatment for
oesophageal obstruction, GI diseases (including cancer),
ulcerative colitis and other diseases. Subclavian vein
cannulation is used for effective parenteral nutrition, since the
infused fluid is rapidly diluted by the high blood flow in the
subclavian vein. To administer sufficient calories at
acceptable volumetric flow rates, the infusion solution must
be hypertonic.
Cardioplegia Solutions
Cardioplegia solutions are large-volume parenteral solutions,

typically electrolyte, which are used in heart surgery to
prevent ischaemic injury to the myocardium during the time
when blood supply to the heart is clamped off and during
reperfusion to maintain a bloodless operation and to make the
myocardium unresponsive, i.e, to prevent diastolic arrest.
These solutions are administered cold to cool the myocardium
and to minimize metabolic activity. Cardioplegia solutions are
usually slightly alkaline and hypertonic in order to
compensate for metabolic acidosis and to minimize
reperfusion injury resulting from tissue oedema.
Peritoneal Dialysis Solutions
Sterile peritoneal dialysis solutions are infused constantly into

the abdominal cavity, bathing the peritoneum, and then
continuously withdrawn. The rationale of peritoneal dialysis
is to remove toxic substances due to some forms of drugs/
1341
chemicals from the body or to aid in accelerating the
excretion function of the kidneys to treat acute renal
insufficiency. Peritoneal dialysis solutions contain glucose
and have an ionic content comparable to typical extracellular
fluid. Toxins and metabolites diffuse into the circulating
dialysis fluid through the peritoneum and are removed. At the
same time, excess fluid is removed from the patient if the
glucose content renders the dialysis solution hyperosmotic.
An antibiotic is frequently added to these solutions as a
prophylactic measure.
Irrigating Solutions
Irrigating solutions are used to irrigate, wash out and assist in

cleaning body cavities and wounds. Though they are not used
parenterally, certain IV solutions such as normal saline are
utilized for irrigating purpose. Irrigating solutions used in the
treatment of serious wounds may permeate innervating
capillaries to some extent; thus they must be sterile,
pyrogen-free and prepared and handled with the same care as
parenteral solutions.
Formulation of Parenteral Products

Elicitation of therapeutic response following parenteral
administration of a drug requires an adequate concentration of
the drug at the site of action.
The successful formulation of an injectable preparation
requires a broad knowledge of physical, chemical and
biological principles as well as expertise in application of
these principles in deciding rationally the selection of:
1. Suitable vehicle
1342
2. Added substances or excipients
3. Appropriate container or container component.
In the formulation and administration of a drug moiety in the
form of parenteral preparation, a pharmacist takes into
account the following factors:
1. Route of administration
2. Mechanism of drug permeation (pharmocokinetic profile)
3. Form of suitable preparation
4. Chemical and physical property of the drug
5. Drug-compatible vehicle and excipients
The Active Drug Constituent
A comprehensive evaluation of physicochemical properties

(such as molecular structure and weight, melting point,
thermal profile, particle size and shape, hygroscopic potential,
ionization constant, light stability, optical activity, pH
solubility profile, pH stability profile, polymorphism potential
and solvate formation) of the active drug or drugs is essential
to develop a stable and safe parenteral dosage form. The most
important factor affecting dissolution is the aqueous solubility
of the drug itself (Lin et al., 1971), but other factors that are
equally important are the physical state of the drug (i.e.
crystalline or amorphous), particle size and perhaps pH of
formulation.
Crystal Characteristics
The controlled crystallization process to obtain a consistent

and uniform crystal form, density, habit and size distribution
is particularly crucial for drug substances to be utilized in
sterile suspensions. To obtain lot-to-lot product uniformity,
1343
strict adherence to specific crystallization procedures must be
followed, besides controlling the rates of addition, solvent
concentrations and purity, sterility as well as minimizing
particulate contamination, pH, temperature and mixing rates.
For example, change in crystallization process for sterile
ceftazidime pentahydrate increases the density and reduces
the volume of the full dose, and further increases the rate of
dissolution increased significantly.
Changes in washing liquid such as using absolute ethyl
alcohol instead of 95% ethanol during the washing procedure
can destroy the crystalline structure if the material being
crystallized is a hydrate structure.
Some drugs exist as polymorphs. For example,
chloramphenicol palmitate exists in two ploymorphs, i.e. A
and B. The B form is the more soluble form, therefore more
absorption and consequently with better bioavailability. Thus
manufacturers are recommended to formulate with B form,
though it may present problems with its shelf life, as the
probability of changing B form to A form is high. However, a
method of controlling and determining crystal form would be
necessary in the quality
control process. With time, the suspension may be much less
soluble with variable absorption (see Fig. 30.3).
1344
Fig. 30.3 Plot of plasma drug concentration (Cp) versus time
(t) for three formulations of chloramphenicol palmitate.
Chemical Modification of the Drug
Drug Derivitization
Enhancement of the properties of a drug, such as increasing

stability, altering drug solubility, enhancing depot action,
avoiding formulation difficulties and, possibly decreasing
pain on injection, may be achieved by the derivitization of the
parent drug.
This derivitized form of the drug is called prodrug, as it is
converted back to its active form in the body, or in case of dry
powders, it occurs on reconstitution.
Some examples of antibiotic prodrugs include benzathine
penicillin, procaine penicillin, metronidazole phosphate and
chloramphenicol sodium succinate. Prodrugs are also
common for injectable steroids such as methylprednisolone
(formulated as methylprednisolone sodium succinate) and
1345
hydrocortisone (formulated as hydrocortisone sodium
succinate).
Salt Preparation
The preparation of salts of organic compounds is one of the

most imperative tools available to the formulator. Compounds
such as insulin, vaccines and nearly all drug classes intended
for both IM and IV solutions may require high solubility in
order for the drug to be incorporated into acceptable volumes
for bolus administration; therefore, sodium and potassium
salts of weak acids and hydrochloride and sulphate salts of
weak bases are widely used. To reduce the solubility of a drug
to enhance stability or to prepare a suspension, the formulator
may prepare water-insoluble salts. A typical example is
procaine penicillin G, the decreased solubility (7mg/mL) of
which, when compared with the very soluble penicillin G
potassium, is utilized to prepare stable parenteral suspensions.
Another alternative to prepare an insoluble drug is to use the
parent acidic or basic drug and to buffer the pH of the
suspension in the range of minimum solubility.
Polymorphism
Many pharmaceutical solids can exist in different physical

forms. Polymorphism is often characterized as the ability of a
drug substance to exist as two or more crystalline phases that
have different arrangements and/or conformations of the
molecules in the crystal lattice (Grant, 1999). Amorphous
solids consist of disordered arrangements of molecules and do
not possess a distinguishable crystal lattice. Solvates are
crystalline solid adducts containing either stoichiometric or
1346
nonstoichiometric amounts of a solvent incorporated within
the crystal structure. If the incorporated solvent is water, the
solvates are also commonly known as hydrates.
Polymorphism refers to the occurrence of different crystalline
forms of the same drug substance. Polymorphism in this
context is defined, as in the International Conference on
Harmonization (ICH) Guideline Q6A (5), as the inclusion of
solvation products and amorphous forms. Polymorphs and/or
solvates of a pharmaceutical solid can have different chemical
and physical properties such as melting point, chemical
reactivity, apparent solubility, dissolution rate, optical and
electrical properties, vapour pressure and density. These
properties directly impact the processability of drug
substances and the quality/ performance of drug products,
such as stability, dissolution and bioavailability. A metastable
pharmaceutical solid form can change crystalline structure or
solvate/desolvate in response to changes in environmental
conditions, processing or over time.
pH and pK
The solubilities of therapeutic agents that are either acids or

bases (representing the vast majority of drug substances) are
pH dependent. The solubility of acids and bases increases
with the increase in the degree of ionization and may be
easily calculated using the following equation (where S refers
to the solubility of the drug and So is the intrinsic solubility,
i.e. the solubility of the unionized form of the drug):
1347
From these equations, two conclusions may be drawn:
1. At pH values above the pKa, the solubility of acidic drugs
increases.
2. At pH values below the pKa, the solubility of basic drugs
increases.
In simple terms, the solubility of acidic compounds increases
as the pH of the solution is increased (above the pKa) and the
solubility of basic compounds increases as the pH is lowered
below the pKa. Determining the solubility properties of
zwitterionic compounds, i.e. those that exhibit both acidic and
basic properties, is more complicated than that of simple acids
or bases. However, as in simple acids and bases, the solubility
of zwitterionic therapeutic agents is affected by pH. At basic
pH values, the therapeutic agent behaves primarily as an acid,
whereas at low pH values the molecule behaves as a base.
The pH range at which the therapeutic agent exhibits minimal
solubility lies between the pKa values of the acidic and basic
groups. This information is also valuable for predicting the
compatibility of drugs with various infusion fluids (see Table
30.2).
Table 30.2 Some of the most commonly used added

substances
Usual
Additive class Examples concentration
(%)
1348
Antimicrobials Benzalkonium chloride 0.01
Benzyl alcohol 0.5–10.0
Chlorobutanol 0.25–0.5
Metacresol 0.1–0.25
Butyl p-hydroxybenzoate 0.015
Methyl p-hydroxybenzoate 0.1–0.2
Propyl p-hydroxybenzoate 0.2
Phenol 0.065–0.5
Thimerosal 0.001–0.02
Methylparaben 0.01–0.18
Phenyl mercuric nitrate 0.001
Propylparaben 0.005–0.035
Meristyl gamma 0.17
picolinium chloride
1349
Antioxidants Reducing agents 0.02–0.1
Ascorbic acid 0.1–0.15
Sodium bisulphide 0.1–0.15
Sodium metabisulphite 0.1–0.15
Sodium formaldehyde 0.005
sulphoxylate
Thiourea
Blocking agents 0.01–0.015
Ascorbic acid esters 0.005–0.02
Butyl hydroxytoluene 0.05–0.075
(BHT)
Tocopherols
Synergists 0.01–0.05
Ascorbic acid 0.005–0.01
Citric acid 0.03–0.45
Citraconic acid 0.005–0.01
Phosphoric acid 0.01–0.02
Tartaric acid
Chelating agents 0.01–0.075
Ethylenediaminetetraacetic
acid salts
Cysteine 0.1–0.5
Monothioglycerol 0.1–1.0
Buffers Citrates (sodium) 4.0
Phosphates 0.1
Potassium phosphate 1.7
Sodium phosphate 0.71
monobasic 0.8
Sodium phosphate dibasic 0.1
Acetates (sodium) 1.0
1350
Lactic acid 5.0
Adipic acid 0.5
Benzoic acid and sodium 0.1
benzoate 1.6
Citric acid 0.005
Lactic acid 0.06
Maleic acid 1.2
Sodium bicarbonate 0.65
Sodium carbonate
Sodium tartrate
Tartaric acid
Bulking agents or Lactose 0.14–5.0
tonicity modifiers Mannitol 0.4–2.5
Sorbitol 2.0
Glycine 1–2
Glycerine 1.6–2.25
Dextrose 3.75–5.0
Sodium chloride Varies
Sodium sulphate 1.1
Chelating agents/ Salts of 0.00368–0.05
protectants ethylenediaminetetraacetic 0.04
acid 0.01
Edetate disodium 2–5
Edetate calcium disodium 2–5
Edetate tetrasodium 2–5
Sucrose 2–5
Glucose 2–5
Lactose 0.1–1.0
Maltose
Trehalose
Human serum albumin
1351
Solubilizing Ethyl alcohol 1–50
agents, wetting Glycerin 1–50
agents or Polyethylene glycol 300 0.01–50
emulsifiers Propylene glycol 0.2–50
Lecithin 0.5–2.0
Polysorbate 20 0.01
Polysorbate 40 0.05
Polysorbate 80 0.04–4.0
Povidone 0.2–1.0
Sodium desoxycholate 0.21
Sorbitan monopalmitate 0.05
Theophylline 5.0
Dimethylacetamide 0.01
Dioctyl sodium 0.015
suphosuccinate 1.2
Egg yolk phospholipid 0.1
Ethyl lactate
Surfactants Polyoxyethylene 0.1–0.5
Sorbitan monooleate 0.05–0.25
Suspending Gelatin 2.0
agents Methylcellulose 0.03–1.05
Pectin 0.2
Polyethylene glycol 4000 2.7–3.0
Sodium carboxymethyl 0.05–0.75
cellulose 50.0
Sorbitol solution
Stabilizers Creatinine 0.5–0.8
Glycine 1.5–2.25
Niacinamide 1.25–2.5
Sodium 0.53
acetyltryptophanate
1352
Sodium caprylate 0.4
Sodium saccharin 0.03
Local Procaine hydrochloride 1.0
anaesthetics Benzyl alcohol 5.0
Added Substances (Excipients) in Parenteral

Formulations
Some substances are added to facilitate the formulation of

efficacious and safe parenteral dosage forms. The purpose of
each excipient incorporated in the parenteral formulation
must be clearly defined and should have the following
desirable properties:
1. Must be nontoxic in quantities administered to the patient.
2. Should not interfere either with therapeutic efficacy or with
the assay of active therapeutic compound.
3. Must also be active and present throughout the useful life
of the product.
Therefore the added substance should be selected with care
and they must be evaluated for their compatibility with the
entire formulation.
In addition, every possible effort should be made to select
added substances that are approved by regulatory authorities
all over the world, since most pharmaceutical development is
global in scope.
Antioxidants
Antioxidants are included in many formulations in which

therapeutic agents are susceptible to oxidative degradation, in
accelerated in-process conditions such as thermal sterilization
1353
and during the shelf life of the product. Antioxidants function
by many mechanisms, such as:
1. Reducing agents: They get preferentially oxidized.
2. Blocking agents: They act by blocking an oxidative chain
reaction in which they are not usually consumed.
3. Synergists: These compounds enhance the effectiveness of
antioxidants.
4. Chelating agents: They chelate with catalyst, which
accelerate the oxidative process.
Deoxygenation of the makeup water, maintaining the solution
under a nitrogen atmosphere throughout the manufacturing
process and purging the filled vials with an inert gas (nitrogen
or argon) may significantly reduce the amount of antioxidants
required (refer to Table 30.2).
Antimicrobial Agents
Antimicrobial agents are added to parenteral preparation,

which act as preservatives to prevent bacterial growth. The
selection of antimicrobial agents depends on the following
criteria:
1. Should have a wide spectrum of bactericidal and fungicidal
activity and against viruses
2. Must act rapidly against most virulent strains
3. Should retain activity over a wide range of in-process
conditions and pH
4. Should be compatible with other components of
formulation
5. Should be nontoxic and nonirritant
Multiple-dose parenterals are usually susceptible to growth of
microbes, which may be introduced during the withdrawal of
a single dose and affect the safety of formulation. In
1354
single-dose parenteral formulation, the preservatives are
included in formulations that are not terminally sterilized, as
the asepsis of these preparations may be breached during the
filling procedure. Though these antimicrobials are necessary
to prevent bacterial activity, a prescribed amount should be
included, as parenteral preparation usually eliminates the need
of added preservative where it is possible to do so. Assays for
antimicrobial or bacteristatic activity of the preservative in
question must be performed. Some examples of preservatives
have been listed in Table 30.2, along with their permissible
amounts to be included in parenteral preparation. They can be
classified into the following four categories: quaternary
ammonium compounds, organic mercurials, parahydroxy
benzoate and aromatic alcohol.
Buffers
pH of the product accounts for the stability and solubility of

the active ingredients. Many factors are responsible for the
change in the pH profile of the parenteral preparation:
1. Product degradation
2. Container and stopper effects
3. Diffusion of gases through the closure
4. Effect of gases in the product or in the headspace
Maintaining the proper pH is the requisite of the parenteral
preparation. Therefore, buffer systems are incorporated,
which are a weak base and the salt of a weak base or a weak
acid and the salt of a weak acid. The most commonly used
buffers have been enlisted in Table 30.2; however, the pH
range at which they maintain is given in Table 30.3.
1355
Table 30.3 Some commonly used buffers in parenteral
preparations
buffers pH Range
Acetate buffers 4.0–6.0
Phosphate buffers 6.0–8.0
Glutamate buffers 2.0–5.0; 8.5–10.5
Citrate buffers 2.0–6.0
The Handerson–Hasselbalch equation is used to calculate the
quantities of buffer species required to provide the desired
pH.
pH = pKa + log ( Csalt/ Cacid)
Csalt and Cacid are the molar concentrations of the salt form
and acid form, respectively.
Buffers are normally selected with a pKa within 1 pH unit of
the desired pH.
Buffers have the strongest buffering capacity when pH = pKa.
Solubilizing Agents/Emulsifying Agents/Suspending

Agents/Wetting Agents/Surfactants
Drug solubility can be increased by the use of solubilizing

agents, such as those listed in Table 30.2, and by nonaqueous
solvents or mixed solvent systems. When using solubilizing
agents, the formulator must consider their effect on the safety
and stability of the drug.
1356
Surfactants
A surfactant is a surface-active agent that is used to disperse a

water-insoluble drug as a colloidal dispersion. Surfactants are
used for wetting and to prevent crystal growth in a
suspension.
Surfactants are used quite extensively in parenteral
suspensions for wetting powders and to provide acceptable
syringeability. They are also used in emulsions and for
solubilizing steroids and fat-soluble vitamins.
Wetting Agents
Drugs are usually salts of weak organic acids or bases, and

therefore hydrophobic in nature. To administer these drugs in
the form of aqueous solution, the wetting agent helps in their
dissolution in an aqueous environment. The wetting agent
reduces the contact angle between the solvent and the solute
or the surface of the particle and the wetting liquid. The
amounts of wetting agent used in parenteral preparation are
indicated in Table 30.2.
Emulsifiers
To formulate oily substances in aqueous system, a suitable

emulsifier is used.
Tonicity Adjustment Agents
The injectable solutions that are to be given intravenously

should be isotonic, or nearly so. This is because if given in
quantities larger than 100mL, a nonisotonic solution may
1357
bring about osmotic pressure changes and the consequent
exchange of ionic species across red blood cell membranes.
This leads to haemolysis or cremation of red blood cells.
Dextrose, sodium chloride or potassium chloride is commonly
used to impart isotonicity in a parenteral formula.
Chelating Agents and Protectants
Chelating agents are added to the chelate, thereby allowing

inactivation and removal of metals such as copper, iron and
zinc that generally catalyze oxidative degradation of drug
molecules. The major sources of metal contamination
comprises raw material impurities; solvents such as water,
rubber stoppers and containers; and equipment engaged in the
manufacturing process (Motola & Clawans, 1972). The most
extensively used chelating agents are edetate disodium
derivatives and salts; in addition, citric and tartaric acids are
also employed as chelating agents.
In manufacturing, the problem of adsorption of the active
component to filters (in particular nylon) and to silicone
tubing used for transfer sets should be considered. For
packaging materials, rubber closures and other polymeric
materials should be examined carefully for their adsorptive
power. The same consideration applies to infusion equipment,
because materials used in modern IV infusion therapy
consisting of plastic bags, infusion sets and in-line alters are
polymeric in nature. To prevent loss of activity caused by
stress that is introduced by the manufacturing process or
losses occurring due to adsorption to process equipment or to
primary packaging materials, protectants are added to a
formulation. Protectants are used mainly in protein
formulations, liposomal formulations and vaccines. For
1358
example, cryoprotectants and lyoprotectants are used to
inhibit loss of integrity of the active substance resulting from
freezing and drying, respectively. Compounds that act as
cryoprotectant do not necessarily act as lyoprotectant, for
instance polyethylene glycol protects lactate dehydrogenase
and phosphofructokinase from damage by freezing but does
not protect either protein from damage by freeze-drying.
Sugars and polyhydroxy compounds are usually the best
candidate compounds. These compounds also markedly
improve the stability of proteins against thermal denaturation.
Another type of protectant, usually a protein present at a very
low concentration, is used to prevent loss of active substance.
Human serum albumin (HSA) may be used as a protectant
against adsorptive loss of proteins present at low
concentrations. HSA is present at higher concentrations than
the active substance and is preferentially adsorbed, coating
the surface of interest and preventing the adsorption of the
drug. For example, insulin is subject to adsorptive loss to
hydrophobic materials. Addition of 0.1±1.0% HSA has been
reported to prevent this adsorptive loss (Brage, 1982).
Vehicles
Selection of solvent system depends on solubility, stability

and required release characteristic of the drug.
Aqueous Vehicles
Water for Injection (WFI)
It is a frequently used solvent in the large-scale manufacture

of injections. Water for injection must comply with the
1359
standards specified in official compendia and should be
regularly tested for its quality. Sterility is not necessary for
WFI but it must be pyrogen free. WFI is collected in sterile
containers and may contain added substances. It must be used
within 24 h of its collection.
Sterile Water for Injection (SWFI)
SWFI, on the other hand, must be sterile as well as pyrogen

free. It is sterilized and packaged in a single-dose container of
not greater than 1 L capacity. It acts as a solvent and a diluent
for presterilized injectable medicament.
Bacteriostatic Water for Injection (BWFI)
It is sterile WFI containing one or more antimicrobial agents.

The presence of antimicrobial agent allows BWFI to be used
in multiple-dose containers as it reduces the chances of
growth of microorganism when the preparation is exposed to
the external environment during dose withdrawal. It is
packaged in prefilled syringes and vials of volume not more
than 30mL. The volume of parenteral product in which BWFI
is to be included is small because inclusion in larger amount
will increase the quantities of bacteriostatic agent when
administered to the patient, which could have toxic and
deleterious effects.
Table 30.4 Types of water described in the United States
Pharmacopeia (2000)
1360
Sodium Chloride Injection
It is the sterile isotonic solution of sodium chloride in WFI,

containing one or more suitable antimicrobial agents. Some
other examples of aqueous vehicles include bacteriostatic
sodium chloride injection, Ringer’s injection and Lactated
Ringer’s injection.
Nonaqueous and Mixed Vehicles
In sterile pharmaceutical products, aqueous vehicle is

sometimes not suitable because of solubility factors or
hydrolytic reactions so it is important to eliminate water
completely or in part from the vehicle. To select nonaqueous
solvent, a nonirritating, nontoxic or nonsensitizing one must
be selected, and it must not exert any adverse effect on the
formulation ingredients. Physical properties, such as
viscosity, density, irascibility and polarity, stability, solvent
activity and toxicity, are some important criteria for screening
such a solvent (Reese, 1962).
Table 30.5 Nonaqueous solvents for parentral formulation
Water miscible Water immiscible

Dioxolanes dimethylacetamide Fixed oils
1361
N-(B-hydroxyethyl)-lactamide Ethyl oleate
Butylene glycol Isopropyl myristate,
Polyethylene glycol 400 and 600 Benzyl benzoate
Propylene glycol Polyethylene glycol
Glycerine
Ethyl alcohol
Devices
Various equipments or containers used for patient

administration, conveying of formulation from one container
to another or to the container itself are called devices.
The following are the devices associated with sterile or
parenteral preparation:
Administration sets for large-volume parenterals.
1362
Fig. 30.4 Types of large-volume parenterals. These represent
the various types of flexible intravenous bag systems: (A)
Lifecare by Abbott Laboratories; (B) Representative vial and
flexible IV bag system, such as the Add-Vantage Abbott
Laboratories or Mini-Bag Plus System, Baxter Healthcare;
(C) Excel, B. Braun Medical; and (D) Viaflex, Baxter
Healthcare. These bags contain either polyvinyl chloride
(Lifecare or Viaflex) or polyolefin (Excel).
1363
Infusion Sets
Fig. 30.5 Types of infusion sets used for parenteral therapy:

(A) Primary, (B) Secondary and (C) Volume-controlled
infusion sets.
1364
Fig. 30.6 Filter needles.
Fig. 30.7 Hypodermic needles. Source: www.qpmed.cn
1365
Fig. 30.8 Hypodermic syringes. Source:
www.biztrademarket.com
Fig. 30.9 In-line filters.
1366
Fig. 30.10 Plastic irrigating solution bottles (Souce:
www.bestshoppingcenter.net).
Fig. 30.11 Plastic LVP container.
1367
Fig. 30.12 Plastic ophthalmic dropping bottles. Source:
www.brevettiangela.com
Fig. 30.13 Transfer needles. Source :

www.veterinaryneedles.com
Compatibility between the device and the product must be

evaluated, though the contact time between the two is less but
rather intimate and interaction between the device material
and the product may produce toxic effects and reduce the
therapeutic dose being administered; for instance, insulin has
the tendency of being adsorbed on PVC tubing as it is in
contact with the same for 6 hrs during IV administration.
Materials Used
Materials used for the devices are similar to those used in

containers; however, other material may be added if the
1368
parenteral solution has a short period of exposure to it; for
example, nylon and silicone rubber are used for IV catheter
and stainless steel is used for hypodermic needles. For the
hub and cannula of needles, aluminium is sometimes used but
it is more reactive than stainless steel.
All device components must be hygienic, but the fluid path
through the device should meet the same rigid standards as
the product itself. This is usually achieved during
manufacture and assembly of the device. Plastic particles
from moulding or metal dust from sharpening of needles are
sources of particulate matter that must be eliminated and kept
in check.
Tests
Tests and functional tests appropriate for the specific device

including toxicity as specified by USP are performed by
representative sampling of a batch of finished device.
Although the criticality of particular defect differs, the
functional tests must be satisfactory to assure that a given
batch performs as its design is intended for.
Defects are usually expressed in units of acceptable quality
levels (AQLs), which depend on the nature of defect.
According to the AQL scale, the more critical AQLs are less
than 1.0. For example, split hubs of needles have AQLs less
than 1.0, i.e. 0.065% than slight discoloration of tubing,
which have AQLs of about 2.5%.
Therefore, utmost care must be practised by the quality
control team to avoid critical defects from being passed along
to the consumer. Parts of device that do not come in contact
with the product, such as a clamp on an IV administration set,
need not pass the product stability evaluation.
1369
Production
Facilities
Products containing components of even best quality get

spoiled due to insufficient environmental control measures to
which the product may get exposed to and augment its
contamination. Therefore, production facilities should aid in
accomplishing the standards to which a product must comply
with.
Arrangement of Area
The production area is divided mainly into the aseptic area,

the quarantine area and the finishing or packaging functional
area. All of these should be designed and constructed keeping
in mind cleaning ease, appropriate environmental control,
efficient operation and personnel comfort. The extra
requirement of aseptic area is to provide an environment
where the formulation can be safely conveyed, processed or
filled, which are the typical in-process steps when the
preparation gets exposed to external environment.
To achieve such objectives, knowledge of purpose of the
facility must be coupled with the best construction material
and design.
For instance, the ceiling, walls and floors should be
constructed of a material that is easy to clean and nonporous,
to prevent accumulation of debris and moisture (Turco &
King, 1979). The ‘spray on tile’, a ceramic epoxy coating, is
the best example for rigid surfaces, which forms a continuous,
smooth, seal coating on the ceiling and walls (Tse & Welling,
1980). The customary cleaning with detergents and
1370
disinfectants however can cause this epoxy finish to wear out.
Ceramic plastic cement is one of the best materials, which is
applied as a thick coat over the flooring to form an
uninterrupted sealed surface. Another flooring material used
increasingly nowadays in the areas of less heavy traffic is
sheet vinyl with heat-welded seams, covering the side walls
and applied by adhesive on the underlying surfaces.
Movable metal partitions are sometimes used to provide
flexibility in a room, but they have the disadvantage of seams
and joints, which act as ports for dirt collection. Therefore,
glass is often used in partitions to permit supervisory view of
the operation, and more importantly, to provide a more
pleasant, better lighted, less-confining surrounding for the
operators.
Lighting fixtures should be buried and bare piping or other
dirt-collecting surfaces should be avoided. Furthermore, they
should be made of impervious, tough-surfaced materials,
preferably stainless steel.
Counters should be suspended from walls.
Equipments that are difficult to sterilize should be kept
outside the aseptic areas; however, if used in aseptic areas,
they should be continuously exposed to disinfecting
processes. As a precautionary measure, operating machinery
parts should be enclosed in stainless steel housing.
There should be ease of access for mechanical servicing of
electrical gas, water, air ventilation and other utility lines into
these areas without interruption and contaminating the
production area by routine maintenance and personnel traffic.
To effectively manage such maintenance procedure a floor
above, there should be space beneath the area where all
service connections can be accessible and can be properly
maintained.
1371
These basic design and construction features have been
continued with the arrival of HEPA filtered airflow
capabilities.
Flow Plan
In general, the components for a parenteral product flow from

the stockroom for released components, either to the
compounding area, as for ingredients of the formula, or to the
cleanup area, as for containers and equipment.
As shown in Fig. 30.14, after proper processing in these areas,
components flow into the security of the aseptic area for
filling of the product in appropriate containers. From there the
product passes into the quarantine area where it is held until
all required tests have been performed.
Fig. 30.14 Flow of material through the production

department.
If the product has to be terminally sterilized, i.e. in its final

container, it is subjected to sterilization after leaving the
aseptic area, adding one more step in its passage.
1372
After the results from all tests are obtained and the product
has been found to confer with its release specifications, it
proceeds to the finishing area for final labelling and
packaging. There could be variations from the
above-mentioned flow plan to meet the explicit needs of an
individual product or to conform to existing facilities. For
example, automated procedures
convey the components from one area to another with little or
no handling by operators.
Cleanup Area
The cleanup area should be able to endure moisture, steam

and detergents. This area is mainly used for the filling
procedure, such as assembling equipment. Adequate sink and
counter space must be provided. Although this area need not
be aseptic, it must be cleanable and kept clean and the
microbial load must be monitored and controlled. Precaution
must also be taken to prevent particles or other contaminants
from depositing on clean containers and equipment.
The ceiling, walls and floors should be constructed of
impervious material so that they can be moisture free.
‘Spray-on-tile’ finishes, as discussed earlier, with a vinyl or
epoxy sealing coat, provides a continuous, even surface free
from all holes or crevices. All such surfaces can be washed at
regular intervals to keep them thoroughly clean; however,
epoxy finish wears out with continuous washing. These areas
should have proper exhaustion or ventilation to make it
comfortable by controlling heat and humidity and also to
prevent the accumulation of dirt and growth of
microorganisms, which is compounded by high humidity and
heat.
1373
Compounding Area
In this section, the formula is compounded. Here too, it is not

essential to maintain aseptic environment, but the control of
microorganism and particulates is more stringent compared to
the cleanup area. For instance, dust generated from weighing
and compounding procedures should be controlled. Cabinets
and counters should, preferably, be constructed of stainless
steel. They should fit securely to the walls and other furniture
so that there is no dirt accumulation. The ceiling, walls and
floor should be constructed similar to those of the cleanup
area.
Aseptic Area
This area should be designed to provide maximum microbial

and particulate control.
The ceiling, walls and floors must be sealed so that they can
be washed and made hygienic with a disinfectant, as required.
All counters should be constructed with stainless steel and
should fit securely to the walls so that there are no leg
supports where dirt accumulates.
All light fixtures, utility service lines and aeration fixtures
should be within the walls or ceilings to eliminate dirt
deposition.
As much as possible, tanks containing the compounded
product should remain outside the aseptic filling area and the
product fed into the area through a hosepipe.
Proper decontamination is required if the tanks have to be
moved in. Mechanical equipment that is located in the aseptic
area should be enclosed entirely within a stainless steel
cabinet to seal the operating parts and make it dirt free.
1374
Mechanical parts that will contact parenteral product should
be detachable so that they can be sterilized.
Personnel entering the aseptic area ought to enter only
through an airlock system. They should wear sterilized attire
consisting of sterile hats, masks, goggles and foot covers.
Commotion within the room should be nominal and in and
out movements strictly restricted during a filling procedure. If
the product is to be terminally sterilized, the prerequisites for
room preparation and for the personnel can be relaxed. There
should be one standard operating procedure acceptable to
meet the most rigid requirement.
Environmental Control
Effective environmental control, both physical and biologic,

is essential, but the level achievable depends partly on the
type of facility. Rigid standards for environmental control
vary from plant to plant, and also depend on the topographic
location, the area involved (cleanup, packaging, compounding
or filling) and the type of product being prepared. Hence,
there should be flexibility in standards, and seasonal
conditions should also be considered. Indisputably, the entire
area used for the preparation of aseptic products, except those
needing terminal sterilization, must be maintained under the
most rigid biologic control. If the product is to be terminally
sterilized, to some extent, it needs less rigid biologic control
of the compounding and filling areas; however, rigid
standards of cleanliness must be maintained. High standards
of cleanliness, apart from daily disinfection, are usually
suggested for the cleanup and packaging areas.
1375
Traffic Control
Effective environmental control would be comparatively easy

if there were no necessity for personnel and supplies to move
from one area to another. Therefore, a carefully designed
arrangement to control and curtail traffic, particularly in
aseptic areas, is necessary.
A floor plan for a sterile product facility is shown in Fig.
30.15. Note that the only access directly from the outside is to
the personnel’s wash rooms, the nonsterile manufacturing
area and the capping (packaging) area. Access of the
personnel to the aseptic corridor is through an airlock.
Pass-through openings and double-ended sterilizers are
provided to permit controlled passage of supplies from
nonseptic to aseptic areas.
1376
Fig. 30.15 Floor plans for industrial sterile products
production area (Courtesy Schering Corp.).
Personnel should be allowed to enter aseptic areas only after

following rigidly prescribed protocol, which includes washing
their hands, and procedures for removing their street clothing,
donning gowns, hats, shoes, facemasks, gloves and other
prescribed attire. Once they have entered the aseptic area,
they should not be permitted to move in and out of the area
without redressing. Personnel assigned to cleaning and
packaging should be restricted to these areas. Unofficial
personnel should never be permitted to enter the aseptic area.
Housekeeping
Cleaning personnel must be aware of the fact that not one

residual particle of debris is tolerable. Such an approach
makes it
possible to achieve and maintain proper environmental
control. All equipment and the surrounding work area must be
cleaned scrupulously at the end of the working day. Care
should be taken that the area is free of any contaminating
residues from the finished process. The ceiling, walls and
other structural surfaces must be cleaned frequently
depending on the design of the facility; for instance, laminar
airflow facility requires less-frequent cleaning as it is bathed
with a constant flow of clean air. All cleaning equipments
should be selected for its efficacy and freedom from
lint-producing tendencies. It should be retained for use in the
aseptic areas only.
1377
Surface Disinfection
After thorough cleaning, all the surfaces should be

disinfected, especially in the aseptic area. This can be done by
spraying a disinfectant liquid, with further irradiation with
UV rays using ultraviolet lamps. This helps reduce the viable
microorganism present on surfaces and also make it dust free.
Ultraviolet rays may be primarily useful to irradiate the
inside, exposed surfaces of processing tanks, surfaces under
hoods, the surface of conveyer belts and similar confined
surfaces that are difficult to access; however, they cannot
reach unexposed surfaces such as pipe connections to tanks,
the underside of conveyors and the inside of containers.
Ultraviolet lamps must be kept clean and care must be taken
to check for a decrease in effective emission, which occurs
due to a change in the glass structure with ageing.
Air Control
The air in sterile product production areas can be one of the

greatest sources of contamination. However, numerous
methods are available to provide clean air, free from dirt
particles and microorganisms. This may be done by a series
of treatments that varies to some extent from one installation
to another.
An example of such a series is one in which air from the
outside environment is first subjected to pass through a
prefilter, which is usually made of glass, wool, cloth or
shredded plastic, to remove large particles. Subsequently, it is
treated by passage through an electrostatic precipitator, which
induces electrical charge on the particulate content in the air
and removes it by
1378
attraction to oppositely charged plates. The air then passes
through a high-efficiency particulate air (HEPA) filter with an
efficiency of at least 99.97% in removing particles of 0.3μm
and larger, based on dioctyl phthalate (DOP) test. Hence the
prefilter is highly efficient cleaning device.
For personnel reassurance, air conditioning and humidity
control should be incorporated into the system.
Another example of such a system for rendering the air clean
is the Kathabar system (surface combustion). It cleans the air
from dirt and microorganisms by washing it in an aseptic
solution and, simultaneously, controlling humidity. This
clean, aseptic air is introduced into the aseptic area and
maintained under a positive pressure, which prevents outside
air from rushing into the aseptic area through cracks and
joints, temporarily open doors or other openings.
Laminar-flow Environment
Laminar airflow system provides the required environmental

control in an aseptic area. It provides a high degree of
localized control for critical processes. It operates by drawing
ambient air, under negative pressure, into the top of the unit.
This air first passes through a prefilter, which traps the larger
dust and dirt particles. The blower then directs this prefiltered
air, now under positive pressure, through the 99.99% efficient
HEPA filter engulfing the entire work area with sterile,
unidirectional ultraclean air. The entire air body moves with a
uniform velocity, usually 90ft/min±20% along parallel lines
(horizontal laminar airflow) or vertical lines (vertical laminar
airflow), to prevent the intrusion of unfiltered room air into
the work area. It also washes away particles that may be
generated by manipulations within the workstations. Any
1379
reverse air currents or movements exceeding the velocity of
the HEPA-filtered airflow may introduce contamination, as
may coughing, reaching or other manipulations of operators.
Hence, the space within the HEPA is bathed by clean air
cleaning away the contaminants. The arrangement of airflow
may be horizontal (see Fig. 30.16) or vertical (see Fig. 30.17)
and may involve limited area such as a workbench or the
entire room.
Fig. 30.16 Horizontal laminar airflow cabinet.
1380
Fig. 30.17 Vertical laminar airflow cabinet: (A) Protected
zone; (B) Unprotected zone.
Laminar flow of HEPA – Filtered air is capable of meeting

the standards for Class 100 clean room, which states that such
an environment contains no more than 100 particles/ft3 of
0.5μm and larger in size.
1381
Table 30.6 Classification of rooms in sterile manufacturing
area
One should bear in mind that any contamination introduced in

upstream processing by equipment, by operating personnel or
leaks in the filter will be carried up to downstream
processing. Therefore, it is clear and accepted that crucial
areas of processing should meet the standards of Class 100
room, as the product may get contaminated if it is exposed to
the environment even for a brief period of time.
Care must be taken to avoid cross-contamination from one
procedure to another, especially with horizontal laminar
airflow. For procedures involving such contaminants, a
vertical system is much more advantageous, where the air
flow through perforations in the countertop or through return
louvers at the floor level, where it can be directed for
decontamination. Therefore, vertical flow is recommended for
sterility testing procedures.
Isolation (barrier) technology is a comparatively new
approach intended to isolate aseptic procedures from
personnel. The procedures are performed within transparent,
plastic, sealed walls with the operator working through gloves
and a half suit. These isolation workstations are presterilized,
generally with par-acetic acid or hydrogen peroxide vapour,
1382
and sterile supplies are introduced from sterilizing modules
through distinctively designed transfer ports. The use of such
units have proved beneficial in controlling contamination
during sterility testing. Studies are being undertaken to
evaluate these units for aseptic production operation (Brown
et al., 1991).
Personnel
Personnel appointed to work in the formulation, compounding

and preparation of a parenteral product must be efficient,
organized and dependable. They should be in good health
condition, especially not suffering from fever, cold, allergies
or similar illness and free from dermatological conditions or
any other pathological condition that would increase the
microbial loads.
Irrespective of a person being healthy, it is natural to shed
large number of viable or nonviable particles from the body
surface; however, this can be reduced by providing effective
training to work in a clean room and donning the proper
attire. Although this cannot stop particle shedding from the
body surface, it can reduce contamination introduced by
personnel to a great extent.
The uniform worn by the operating personnel should be
designed to confine the contaminants discharged from the
body of the operator, thereby preventing contaminants from
entering the production environment. The uniform typically
consists of coveralls for men and women, hoods to cover hair,
face masks and Dacron or plastic boots. Hands should be
thoroughly washed using a disinfectant and then gloves
should be put on. Goggles can be worn to complete the
covering of skin areas that may further shed some secretion or
1383
dust particles. Furthermore, the aseptic area uniforms should
be sterilized before wearing. Fresh sterilized uniforms should
be used before entering or returning to the aseptic area. A
sterilized uniform is not necessary if the product is to be
terminally sterilized.
Fig. 30.18 Isoclean® pharmacy compounding aseptic

containment isolator (recirculating). Source:
http://www.escoglobal.com
Aseptic-area operators should be given methodical and

official training in the principles of aseptic processing and the
technique to be employed. Before recruiting them to prepare
sterile products, they should be tested for the acquired
knowledge and skill. Training programs should be conducted
1384
regularly to brush up their knowledge and skills and to
enhance the required level of expertise. Operators, especially
supervisors, should understand the vital role they play in
determining the reliability and safety of the final product.
Environmental Control Evaluation
Effectiveness of the environmental control system is normally

monitored on the basis of deviation, usually upward, from
baseline counts determined from extensive testing by the
environmental control procedures utilized. Biologic
evaluation methods most frequently utilized include settling
and surface contact nutrient agar plates, air impingement on
nutrient media, and membrane filtration, as summarized in
Table 30.7 (Whitfield, 1967; Loughhead & Moffett, 1971;
Delmore & Thompson, 1981). Particulate matter evaluation
methods, also summarized in Table 30.7, include membrane
filtration and electronic particle counters (Lieberman, 1982).
A combination of methods is usually utilized, involving two
or more that best identify the control achieved of the
particular circumstances of a given environment.
Table 30.7 Environmental monitoring methods
1385
Production Procedure
The processes required for preparing sterile products

constitute a series of events procuring raw materials (drugs,
excipients, vehicles, etc.), packaging components (containers,
closures, etc.)
and finally it ends with the sterile product being sealed in its
dispensing package. Each step in the process must be
controlled and validated very carefully for the product to have
its required quality and to ensure it is accomplishes what it is
intended for. The validation of processes requires an
1386
extensive and intensive effort to be successful, and is an
integral part of cGMP requirements.
Cleaning Containers and Equipments
Containers and equipments coming in contact with parenteral

preparations must be cleaned scrupulously, because all other
precautions to prevent contamination of the product will be
useless. Although a container and equipment are unused, they
may be contaminated with debris such as dust, fibres,
chemical films and other materials arising from such sources
as the atmosphere, cartons, the manufacturing process and
human hands. Used containers are the source of much greater
contamination, which should be cleaned thoroughly before
reuse. Each equipment should be used for only one type of
preparation in order to reduce the risk of contamination.
A range of machines are available for cleaning containers
used for parenteral products. These vary in complexity from a
small rotary rinser (Fig. 30.19) to large automatic washers
(Fig. 30.20). The selection of the particular type will be
determined largely by the physical type of containers, their
condition with respect to contamination and the number to be
processed in a given period of time.
1387
Fig. 30.19 Rotary bottle washing machine. Source:
http://pharmaceuticals.indiabizclub.com
Fig. 30.20 Automated bottle rinser. Source: www.vigoltd.com
QS series rotary bottle washer adopts the 1990s technology of

West Germany SEN Corp., and is developed, combined with
the conditions of our country.
1388
Handling After Cleaning
The wet, clean containers must be handled so as not to

reintroduce contamination. A wet surface will collect
contaminants much more readily than a dry surface. Also,
microorganisms are more liable to grow in the presence of
moisture. Hence, a wet and rinsed container must be kept
asceptic such as by a laminar flow of clean air until covered,
must be kept within a stainless steel box or within a sterilizing
tunnel. In addition, wet, clean containers should be sterilized
by dry heat possibly after washing. Doubling the heating
period generally has been considered to destroy pyrogens,
though the actual time–temperature conditions required must
be validated. Inflation in the processing cost have made it
necessary for the development of continuous, automated line
processing with a minimum of personnel handling, and still
maintaining adequate control of the cleaning and handling of
the containers.
Closures
The residual lubricant from the moulding procedure, rough

surface, electrostatic attraction and surface bloom from
migrated inorganic constituent of the compound tend to hold
the debris in a rubber closure. These should be avoided to
render a rubber closure safe to be used in parenteral
preparation.
The suggested procedure involves gentle agitation in a hot
solution of a mild water softener. The closures are then taken
out of the solution and rinsed several times, for a prolonged
period, with filtered water for injection (WFI) to wash out
loosened debris, essentially pyrogens. The wet closures
1389
contaminate easily, and therefore they are sterilized, usually
by autoclaving, and stored in closed containers until ready for
use. This cleaning and sterilizing process must be validated
with respect to rendering the closures free from pyrogens. If
the closures are immersed during autoclaving, the solution is
drained off before storage to reduce hydration of the rubber
compound. Closures must be dry for use; thus, they are
subjected to vacuum drying at a temperature of ~100°C.
An agitator or horizontal basket-type automatic washing
machine is usually used for washing large numbers of
closures. Because of particulate generation from the abrading
action of these machines, sometimes the closures are heated
in kettles in detergent solution, followed by prolonged flush
rinsing. The final rinse always should be with low particulate
WFI.
Equipments
The details of certain prescribed techniques for cleaning and

preparing the equipments, as well as the containers and
closures, have been described elsewhere (Grimes, 1977). Here
a few points will be discussed.
All equipments should be demountable as much as possible to
provide access to internal structures. For thorough cleaning,
surfaces should be scrubbed thoroughly with a stiff brush
using an effective detergent, particularly the joints, crevices,
screw threads and other structures that serve as catch area for
debris. Exposure to a stream of clean steam will help
removing residues from the walls of stationary tanks, spigots,
pipes and similar structures. Thorough rinsing with distilled
water should be followed after the cleaning steps, e.g. large
stationary tanks should be protected as much as possible from
1390
contamination after cleaning, and thus should be rinsed
thoroughly again with distilled water or WFI prior to reuse.
There is an inherent variation in the manual cleaning of tanks
and other large equipment items. Hence, there is a need of
validating the cleaning process as well as developing an
automated system to eliminate such a variation.
The automated system usually consists of a
computer-controlled system called cleaning in place (CIP)
(Myers, 1986). Such an approach involves designing the
system, normally made of stainless steel, with smooth,
rounded internal surfaces and without crevices, which is made
by welding. The cleaning is accomplished with the scrubbing
action of high-pressure spray balls or nozzles delivering hot
detergent solution from tanks confined to the system. This is
followed by thorough rinsing
with WFI and is done within the same system. The system is
often extended to permit sterilizing in place (SIP) as well
(Seiberling, 1986).
Rubber tubing, rubber gaskets and other rubber parts may be
washed in a manner such as described for rubber closures.
However, rubber tubing must be left wet when preparing for
sterilization by autoclaving.
Product Preparation
The fundamental principles employed in the compounding of

a product are similar to those used normally by qualified
pharmacists. However, certain aspects will be discussed here:
A master formula should be developed. Each batch formula
sheet should be prepared on file, from the master formula, and
tallied for accuracy. All quantities should be measured as
precisely as possible and rechecked by another qualified
1391
person frequently. Currently, the formula documents are
prepared by computer and the measuring of ingredients
quantities are computer controlled.
Most liquid preparations are dispensed by volume, but they
are prepared by weight, since weighing is more accurate than
volume measurements and temperature does not have to be
considered Care must be taken that the equipment is not wet
enough to significantly dilute the product or, in the case of
anhydrous products, cause a physical incompatibility.
The order of mixing of ingredients may affect the product
significantly, especially when preparing a large volume where
acquiring homogeneity requires substantial mixing time. For
example, the adjustment of pH by adding an acid, even
though diluted, may cause in situ reduction in the pH of the
product, which adversely affects before the acid can be
dispersed throughout the entire volume of the product.
The formulation of a stable product is very important.
Parenteral dispersions, including colloids, emulsions and
suspensions, pose particular problems. Parenteral emulsions
have been reviewed by Singh and Ravin (1986); in addition to
the problems of achieving and maintaining proper reduction
in particle size under aseptic conditions, the suspension must
be kept in a uniform state throughout the preparation, transfer
and subdividing procedures.
Specifically, the thermal sterilization of parenteral products
however may increase the risk of chemical reactions. Such
reactions may progress to completion during exposure to
elevated temperature in the autoclave, or may be induced at
this time but continue during later storage. Keeping a product
stable requires a high degree of pharmaceutical knowledge
and responsibility.
1392
Filtration
The primary objective of filtration is to clarify a solution.

After compounding a product (solution), it must be filtered. A
high degree of clarification is termed polishing a solution.
This term is used when particulate matter down to ∼2μm in
size is removed. A further step of removing particulate matter
down to 0.2μm in size would eliminate microorganisms and
would thereby attain ‘cold’ sterilization. A solution with a
high degree of clarity indicates high quality and purity, which
is a desirable characteristic for a parenteral solution.
Filters work by one or, usually, a blend of the following
processes:
1. Sieving or screening: When a filter retains particles by
sieving, they are retained on the surface of the filter.
2. Entrapment or impaction: Entrapment occurs when a
particle, smaller than the dimensions of the passageway
(pore), becomes lodged in a turn or impacted on the surface of
the passageway.
3. Electrostatic attraction: Electrostatic attraction causes
particles opposite in charge to that of the surface of the filter
pore to be held or adsorbed to the surface.
It should be noted that increasing, prolonging or varying the
filtration force behind the solution may tend to sweep
particles initially retained by entrapment or electrostatic
charge through the pores into the filtrate.
Membrane filters are used for parenteral solutions because of
their particle-retention effectiveness, nonshedding property,
nonreactivity and disposable characteristics. However, it is
not nonreactive in all cases. For example, polypeptide
products may show considerable adsorption through some
membrane filters, but those composed of polysulphone and
1393
ployvinylidine difluoride have been developed to be
essentially nonadsorptive for these products. The most
common membranes are composed of nylon, polysulphone,
polycarbonate, polyvinylidene difluoride and
polytetrafluoroethylene. They are available as flat membranes
or are pleated into cylinders to increase the surface area and
thus the flow rate.
Each filter in its holder should be tested for integrity before
and after usage, especially if it is being used to eliminate
microorganisms. The bubble point test is usually used to
verify the integrity test of the filter. In this test, the largest
pore or other openings through the membrane are detected.
This test is performed by slowly increasing the air pressure on
the upstream side of a water wet filter; the pressure at which
bubbles first appear downstream is the bubble point. This
pressure is specific for each pore size of a filter and is
provided by the filter manufacturer, e.g. a 0.2-μm cellulose
ester filter will bubble at about 50 psig. If the filter is wetted
with other liquids, such as a product, the bubble point will
differ and must be determined experimentally. If the bubble
point is lower than the rated pressure, the filter is defective,
probably due to a puncture or tear, and hence should not be
used. With the increase in the surface area of filters, diffusion
of air through the water-filled pores tends to give wrong
bubble point reading. Therefore, a diffusion or pressure hold
test has been developed as an integrity test for filters with
large surface areas. Details can be obtained from the filter
manufacturer. Although membrane filters are disposable and
thus discarded after use, the holders must be cleaned carefully
after use. Currently, clean sterile pretested disposable
assemblies for both small and large volumes of solutions are
available in the market.
1394
Filling
During the filling of containers with a product, the most

stringent control must be exercised to prevent contamination,
particularly if the product has been sterilized by filtration and
will not be terminally sterilized. In such cases, the ‘aseptic
fill’ process is adopted and is validated with media fills.
During the filling procedure, the product must be transferred
from a bulk container and subdivided into dose containers.
This procedure may however expose the sterile product to the
environment, to the equipment and to the manual handling of
the operator until it is enclosed and sealed in the dose
container. Therefore, this procedure is carried out with
minimum exposure time in the aseptic filling area. Extra
protection may be provided by filling under HEPA-filtered
laminar airflow within the aseptic area.
Normally, the compounded product is in the form of either a
liquid or a solid. A liquid can be more readily subdivided
uniformly and introduced into a container having a narrow
mouth than a solid. Mobile, nonsticking liquids are
significantly easier to transfer and subdivide than thick, sticky
liquid, which require complex machinery for rapid product
filling.
Although many devices are available for filling liquids into
containers, certain characteristics are fundamental to all of
them, such as:
1. A means is provided to continually force a measured
volume of the liquid through the orifice of a delivery tube,
which is introduced into the container.
2. The size of the delivery tube will vary from about a
20-gauge hypodermic needle to a tube 0.5 in. or more in
diameter. The required size is determined by the physical
1395
characteristics of the liquid, the desired delivery speed and the
inside diameter of the neck of the container.
3. The tube must enter the neck and deliver the liquid
efficiently into the neck to eliminate spillage, allowing
sufficient clearance to permit air to leave the container as the
liquid enters.
4. The delivery tube should be sufficiently large in diameter
to reduce the resistance to the flow of the liquid. Smaller
volumes of liquids are usually delivered by the force of the
plunger of the syringe, pushing the liquid through a twoway
valve providing for alternate filling of the syringe and
delivering mobile liquids, while a sliding piston valve can be
used for heavy viscous liquids.
Other mechanisms include the turn of an auger in the neck of
a funnel or the oscillation of a rubber diaphragm. For large
volumes, the quantity delivered is usually measured in the
container by the level of fill in the container, the force
required to transfer the liquid being provided by gravity, a
pressure pump or a vacuum pump.
The narrow neck of an ampoule limits the clearance possible
between the delivery tube and the inside of the neck. Since a
residual drop of liquid normally hangs at the tip of the
delivery tube after a delivery, the neck of an ampoule will be
wet as the delivery tube is withdrawn, unless the drop is
retracted. Therefore, the liquid is drawn back into the lumen
of the tube which necessitates the addition of retraction
devices.
Since the liquid will be in close contact with the parts of the
machine through which it flows, they must be made of
nonreactive materials such as borosilicate glass or stainless
steel. In addition, they should easily be demountable for
cleaning and sterilization.
1396
The level of particulate matter in injectable preparations is
one of the concerns in their formulation; therefore, a final
filter is often inserted in the system between the filler and the
delivery. Usually, this is a membrane filter, having a porosity
of ~l μm and treated to have a hydrophobic surface. This is
necessary to reduce the risk of rupture of the membrane due
to filling pulsations. It should be noted that the insertion of
the filter at this point should collect all particulate matter
generated during the process. Only those that may be found in
inadequately cleaned containers or picked up from exposure
to the environment after passage through the final filter
potentially remain as contaminants.
Liquids
A small number of containers can be filled with a hypodermic

syringe and needle. The Cornwall pipette can be used to
provide greater speed of filling in the syringe, which has a
two-way valve between the syringe and the needle and the
stroke of the syringe can be set to deliver equal volume
reproducibly. Clean, sterile, disposable assemblies working
on the same principle are specifically useful in hospital
pharmacy operation.
By careful designing, i.e. once a particular setting of a filling
device has been calibrated, the stroke of the syringe can
achieve precision. Conversely, the speed of delivery, the
expansion of the rubber tubing connecting the valve with the
delivery tube and the rapidity of action of the valves can
affect the precision of delivery. Stainless steel syringes are
required for viscous liquids to withstand the high pressures
developed during delivery because they are stronger than
glass syringes. Multiple filling units often are joined together
1397
in an electronically coordinated machine to achieve
high-speed filling rates with accuracy and precision.
When the product is susceptible to metals, peristaltic pump
filler may be used because the product is isolated with
silicone rubber tubing. However, there is some discrepancy in
filling accuracy. High accuracy of fill is not achievable
because most high-speed fillers for large-volume solutions
use the bottle as the measuring device, transferring the liquid
either by vacuum or by positive pressure from the bulk
reservoir to the individual unit containers. To ensure delivery
of the labelled volume to the patient, the USP provides a table
of suggested fill volumes to include a slight excess over the
labelled volume.
Solids
Sterile solids, such as antibiotics, are more difficult to

subdivide evenly into containers than liquids. Even though a
container with a larger diameter opening is used to facilitate
filling, the rate of flow of solid material is slow and irregular.
It is difficult to fill the solid particles, and the risk of spillage
is always present. The accuracy of the quantity delivered
cannot be controlled both with solids and liquids. Because of
these factors, the tolerances
permitted for the content of such containers must be relatively
large as can be found in the USP.
A relatively slow process involves subdividing sterile solids
into containers by individual weighing. A scoop is usually
provided to aid in approximating the quantity required, but
the quantity filled into the container finally is weighed on a
balance.
1398
For free-flowing granular solids, other methods of filling may
be employed. In general these involve measuring and
delivering a volume of the granular material that has been
calibrated in terms of the weight desired. A filling machine
designed with an adjustable cavity in the rim of a wheel is
filled with the help of vacuum and the contents are held by
vacuum until the cavity is inverted over the container. The
solid material is then discharged into the container using
sterile air. Another machine employs an auger in the stem of a
funnel at the bottom of a hopper. The granular material is
placed in the hopper. By controlling the size of the auger and
its rotation, a regulated volume of granular material can be
delivered from the funnel stem into the container.
Sealing
Ampoule. Filled containers should be sealed as early as

possible to avoid the contents from environmental
contamination. Ampoules are sealed by melting a portion of
the glass neck. Two types of seals are employed usually:
tip-seals (bead-seals) or pull-seals.
Tip-seal
It is made by melting enough glass at the tip of the neck of an

ampoule to form a bead and seal the opening. These can be
made rapidly in a high-temperature gas-oxygen flame. To
produce a uniform bead, the ampoule neck must be heated
uniformly on all sides. This is accomplished by means of
burners on opposite sides of stationary ampoules or by
rotating the ampoule in a single flame. Care must be taken to
properly regulate the flame temperature and the interval of
1399
heating to obtain complete sealing of the opening with a bead
of glass. Extreme heating will result in the expansion of the
gases within the ampoule against the soft bead seal and cause
a bubble to form. If it bursts, the ampoule is no longer
preserved. If it does not burst, the wall of the bubble will be
thin and fragile, whereas inadequate heating will leave an
open capillary through the centre of the bead, which results in
incomplete sealing of ampoule, called leaker.
Pull Seal
It is made by heating the neck of the ampoule below the tip,

leaving enough of the tip to be grasped with forceps or other
mechanical devices. The ampoule is rotated in the flame from
a single burner. When the glass softens, the tip is grasped
firmly and pulled quickly away from the body of the
ampoule, then continued to rotate. The small capillary tube
thus formed is twisted closed. Pull-sealing is slower but the
seals are more reliable than tip sealing.
Powder ampoules or other types having a wide opening must
be sealed by pull-sealing. If these were sealed by tip-sealing,
the very large bead produced would cause glass strain with
subsequent fracture at the juncture of the bead and neck wall.
Cracking of the neck of the ampoule during sealing may also
occur if wetting of the necks occurred at the time of filling.
Also, wetting of the neck will increase the frequency of
bubble formation.
If the product in the ampoule is organic in nature, wet necks
will result in hideous deposits from the heat of sealing. To
prevent breakdown of a product, it is occasionally necessary
to displace the air in the space above the product in the
ampoule with an inert gas. This is done by purging a stream
1400
of the gas, such as nitrogen or carbon dioxide, during or after
filling with the product. Immediately thereafter the ampoule
is sealed before the gas can diffuse out. This process should
be validated to ensure sufficient displacement of air by the
gas in each container.
Fig. 30.21 Sealed ampoules with (A) Good seals; (B–E)

Faulty seals. Source: http://www.extemp.ie
2. Vials and bottles: These should be sealed immediately after

filling with a rubber stopper with utmost care to avoid
contamination. As a large opening increases the chances of
contamination, the filling and sealing procedure should take
minimum time.
The closure must fit the mouth of the container tight enough
so that its elasticity will permit adjustment to slight
irregularities in the lip and neck of the container. However, it
must not fit so snugly that it is difficult to introduce into the
neck of the container. Closures are preferably inserted
mechanically using an automated module, with high-speed
efficiency. To reduce friction so that the closure may slide
more easily into the container opening, the closure surfaces
are frequently halogenated or treated with silicone. When the
closure is positioned at the incorporation site, it is
mechanically pushed into the container opening. If small lots
are encountered, manual stoppering with forceps may be
used, but such a process imposes great risk of introducing
contamination due to personnel interference than automated
1401
processes. Rubber closures are held in position with the help
of aluminium caps. The caps cover the closure and are
crimped under the lip of the vial or bottle to hold them in
place; the closure cannot be taken out without destroying the
aluminium cap first as it is tamperproof. Thus, an unbroken
aluminium cap confirms that the closure has not been
removed intentionally or unintentionally. Such confirmation
is necessary to assure sterility and other aspects of quality.
The aluminium caps are so made that the outer layer of
double-layered caps, or the centre of single-layered caps, can
be easily removed to expose the centre of the rubber closure.
Rubber closures for use with intravenous administration sets
often have a permanent hold through the closure. In such
cases, a thin rubber disk over-layered with a solid aluminium
disk is placed between an inner and outer aluminium cap,
thereby providing a seal of the hold through the closure.
These are called triple-layered aluminium caps.
Single-layered aluminium caps may be applied using a hand
crimper known as the ferm press. Double- or triple-layered
caps require greater force for crimping; therefore, heavy-duty
mechanical crimpers are required.
Sterilization
Whenever possible, the parenteral product should be sterilized

after sealing in its final container (terminal sterilization) and
within as possible after filling and sealing. The details of the
sterilization process have been discussed in Chapter 35 of this
edition; however, certain salient points relating to sterilization
of parenterals are discussed here.
The natural bioburden in a pharmaceutical sterile
manufacturing plant is quite low, such that it is difficult to
1402
isolate and circulate plant bioburden for sterilization studies.
On the other hand, it is still critical to characterize the
microbial bioburden in the process and then monitor it
regularly.
Five sterilization processes are described in USP: steam,
dry-heat, filtration, ionizing radiation and gas. The most
commonly used methods for parenteral products, i.e. ionizing
radiation and gas, are mostly used for surgical materials and
devices. The selection of the sterilization method depends on
(a) the nature and amount of product bioburden and (b)
whether the product and container-closure system will have a
primarily moist or dry environment during sterilization.
Normally, the use of steam sterilization has increased, with
the extensive use of flexible packaging for LVP products.
Compared with the traditional LVP glass bottles closed with
rubber stoppers, flexible LVP plastic containers (polyvinyl
chloride, polyester or polyolefin) offer autoclaving
advantages as discussed previously under the heading of
plastic containers.
Dry heat sterilization is mainly used to sterilize glassware and
equipment parts in manufacturing areas for parenteral
products. Ethylene oxide (ETO) is also widely used as a
sterilizer in hospitals and industry. It is mainly used for items
that cannot be sterilized by steam. Carbon dioxide, or
fluorocarbons, is often added to overcome its inflammable
and explosive nature. The maximum effective concentration
of ETO is about 500mL/L. The sensitivity of spores to ETO
largely depends on the water content of the spore; therefore,
relative humidity plays an important role. Contrary to other
methods, it is necessary to post-treat the product, either
through vacuum purging or by allowing the product to remain
at ambient conditions for a certain amount of time, to allow
removal of residual ETO and ethylene chlorhydrin-ethylene
1403
glycol by-products before use by the consumer. In addition, in
1984 the US Occupational Safety and Health Agency
(OSHA) lowered the maximum permissible operator 8-h
exposure level from 50 to 1 ppm in air (on a time-weighted
average) (Reich & Burgess, 1992).
In the past 25 years, sterilization by filtration has been widely
used to sterilize injectable solutions. Even now it is practical
to use filtration to sterilize only those products that cannot be
terminally sterilized. Two types of filters can be used for
filtration sterilization: depth filters (such as diatomaceous
earth, inorganic fibres and natural fibres) and membrane
filters (cellulose, nylon, etc.).
Quality Control and Assurance
Quality control (QC) generally refers to the testing of raw

materials, packaging components and final product to
establish their compliance with set standards and
requirements, whereas quality assurance (QA) imbibes
quality control, but in a broader sense also includes written
operating procedures, facility design and monitoring,
record-keeping and personnel training. The objective of a
quality assurance program is to assure the quality of the
product by in-process quality control, rather than relying on
final product testing to eliminate the defective product.
QA and QC are especially critical in parenteral preparations
as they require sterility, absence of pyrogens and should be
free from extraneous particulate matter. Quality control is
generally levied into three sections: raw materials, in-process
controls and product specifications. Additionally, several
other attributes for a product quality have to be considered
1404
throughout all stages of development, evaluation, production
and storage.
The formulator of a new product must consider the
manufacturing process, which could be easily scaled up, and
should be able to solve problems regarding the same.
Therefore, the scientist involved in product development
should give due importance to its manufacturing process and
testing. Standards must be cautiously laid down for all raw
materials and packaging components used in the product so
that the quality of the product is maintained.
Sterility Test
Products in their final containers should be tested for their

sterility. The USP prescribes requirement for this test for
official injections, whereas FDA uses these requirements as
guidelines for testing unofficial sterile products. However,
this official test has its limitations, as seen in microbiological
procedures. The sterilization process used for sterilization of
the product should be validated for its effectiveness. If a
sterility test fails, it is difficult to determine the cause for such
a failure. The reason for failure may be due to viable
microorganism in the product itself (true contamination) or
due to some extraneous contamination source that the product
has been exposed to during testing procedures (false positive).
USP does not allow repetitive testing but FDA permits if the
valid cause of test failure lies in the laboratory.
Records of all sterility tests, temperature recordings,
autoclaves and equipment used during manufacturing must be
maintained. All sterilizing equipment must be validated to
ensure that the
1405
proper temperatures are obtained for the necessary time
period (see Chapter 35 for more details).
Particulate and Clarity Evaluation
According to the current criteria, the presence of particulate

matter in a solution, particularly intended for intravenous
administration, is considered harmful. Though there are
limited data defining the extent of damage caused by the
presence of particulate matter, it has been shown that particles
of rubber, insoluble chemical, lint and other foreign chemicals
can produce emboli in the vital organs of animal and man
(Garvan and Gunner, 1964). Development of infusion
phlebitis has been related to the presence of particulate matter
in infusion fluid (Deluca et al., 1975).
Since erythrocytes are of diameter 4.5μm, particles of size
more than 5μm should be the basis of evaluation. This is
considerably smaller size that can be seen with naked eyes;
however, 50μm is the lower limit of particle size that can be
seen with unaided eyes. When the Tyndall effect is used for
analysis, particles as small as 10μm can be seen.
Visual inspection: The USP specifies that good
manufacturing practice (GMP) requirement that each final
container of an injection be subjected individually to a visual
inspection and that containers in which visible particles can
be seen should be discarded. Therefore all the products from
the production line are inspected separately under good light
and against black and white background. However, such
inspection is subject to particle size limitation (that can be
seen with naked eyes), the variation of visual perception from
inspector to inspector, their emotional state, eye strains,
1406
fatigue and other personal factors that might affect the
evaluation.
Microscopic method: Since visual inspection does not detect
the presence of particles smaller than 50μm in size, the USP
has developed a microscopic method for detecting in large
volume intravenous solutions and has limits of not more than
50 particles/mL of 10μm and larger in size and not more than
5 particles per millilitre of 25μm and larger in size. This
method basically consists of filtering a measured volume of
sample solution through a membrane filter under ultraclean
(aseptic) condition and then counting the particles on the
surface of the filter using oblique light, under a microscope, at
both 40 × and 100 × magnification.
Shadow cast method: Of late, the USP has established
standards for small-volume parenterals to be given
intravenously, using an electronic instrument, which measures
size of the particles by mode of a shadow cast by the
particles, as it passes through high-intensity light beams. The
limits prescribed are not more than 10000 particles/container
of ≥10μm in size and not more than 1000 particles per
container of ≥25μm in size. These specifications were
developed on the assumption that as many as five products
may be added to a 1 L bottle of a large-volume parenteral and
five products should not contribute more than the overall
limits of particles prescribed for large-volume parenterals.
It should also be realized that administration sets and the
technique used in hospital for preparing and administrating
the intravenous infusion fluid may introduce a substantial
amount of particulate matter into an otherwise clean solution.
Therefore, the pharmaceutical manufacturer, the
administration set manufacturer, the hospital pharmacist, the
nurse and the physician must share responsibilities so that the
patient receives a clean intravenous injection.
1407
Electronic particle counter: Other than USP methods, several
other methods are available that can determine particulate
matter. A number of electronic particle counters are available
that use the light scattering principle to count particles in a
liquid sample.
Thermocouple conductivity method: Instruments are available
that count particles and size them by measuring the effect on
resistance between two electrodes as the particle passes
between them, e.g. the Coulter Counter.
All of these methods require very strict and ultraclean
preparation techniques to assure reasonable accuracy in
counting and sizing only the particles in solution, rather than
those that have been introduced unintentionally during the
sample preparation or testing procedure. Furthermore, these
procedures are quite destructive, and can therefore only be
performed on samples withdrawn from a production lot.
A method utilizing video image projection coupled with
electronic circuitry detects moving particles without
destruction of the product unit (Louer et al., 1971). Therefore,
it can be used for in-line detection of particles in product
units, but currently, its use is limited to 1- to 5-mL containers.
Clarity is defined as the state or quality of being clear or
transparent to the eye. Clarity is a relative term subject to the
visual acuity, training and experience of the sorter. Clarity
specifications are not given in the USP, other than to state that
all injections be subjected to visual inspection. Instruments
that measure scattered light, such as the photonephelometer,
are used to evaluate and set clarity standards for parenteral
preparations. It is not possible to establish an overall standard
value for all products (e.g. 30 nephelos) because the value
itself is relative and influenced by many factors, including
concentration, ageing, stopper extracts and the solubility
1408
characteristics of the raw materials. Nephelometer readings
are unaffected to contamination by large (visible) particulates.
Leaker Test
Ampoules that have been sealed by fusion must be tested to

ensure that a hermetic seal was obtained. This is evaluated by
means of various methods:
Leaker Test
The leaker test is performed by immersing the ampoules in a

dye solution, such as 1% methylene blue, and applying at
least 25 in. (64cm) of vacuum for a minimum of 15 minutes.
The vacuum on the tank is then released as rapidly as possible
to put maximum stress on weak seals. Next, the ampoules are
washed.
Defective ampoules will contain blue solution. A reported
study has shown that detection of leakers is more effective
when the ampoules are immersed in a bath of dye (Dye
formula: F.D.& C. Red No. 1,0.5%; F.D.&C. Red No. 2,
0.1%; and sodium lauryl sulphate, 0.25% in water), during the
autoclaving cycle (Artz et al., 1961). This has the added
advantage of accomplishing both leaker detection and
sterilization in one operation. Capillaries of about 15 microns
in diameter or smaller may or may not be detected by these
test methods.
Spark Test
Another way of testing for leakers is a high-frequency spark

test system developed by the Nikka Densok Company of
1409
Japan, which detects pinholes in ampoules. Some advantages
of this system include higher inspection accuracy, higher
processing speed and eliminating the possibility of product
contamination (Akers, 1985). A spark tester probe is applied
to the outside of the bottle, moving from the liquid layer into
the air space. A blue spark discharge occurs if the airspace is
evacuated.
Vacuum Test
Bottles and vials are not subjected to such a vacuum test

because of the flexibility of the rubber closure. However,
bottles that are sealed under vacuum may be tested for
vacuum by striking the base of the bottle sharply with the heel
of the hand to produce a “water hammer” sound.
Microbiological Challenge Test
The microbiological integrity or microbial load of various

packages, such as vials and stoppers, disposable syringes and
plastic containers, should be determined. A microbiological
challenge test is performed by filling the package with a
sterile medium and then exposing the sealed container to one
of the following tests that is appropriate for the package
system: (a) static-aerosol challenge, (b) static-immersion
challenge, (c) static ambient challenge, or (d)
dynamic-immersion challenge. The static-immersion
challenge test is used commonly with new package
combinations. The sealed containers are periodically
challenged by immersion into a suspension of challenge
organisms. Storing the containers at 5 or 40–50°C, or both,
before immersion provides additional stress.
1410
Pyrogen Test
Pyrogenic substances are metabolic products of

microorganism, principally lipid polysaccharide in nature.
They may be soluble, insoluble or colloidal particles.
Diminutive amounts of pyrogens produce a wide variety of
interactions in both animals and humans, resulting in fever,
leukopaenia and alterations in blood coagulation. In large
doses, it can induce shock and eventually lead to death. As
pyrogens withstand autoclaving temperature and readily pass
through filters, they rapidly contaminate biological materials.
Several techniques are used to remove them from injectable
products.
In-process Control
The best situation is one in which no pyrogens are present in

the starting materials. This is achieved by rigid control of the
cleanliness of equipment and containers, distillation of water
and limited processing times. In general, pyrogens may be
destroyed by being subjected to prolonged heating.
Other pyrogen-removal techniques, which are usually less
effective or applicable, include ultra-filtration, absorption or
adsorption, chemical (oxidation), ageing or a combination of
these.
Rabbit Test
Another pyrogen test is a qualitative biological test based on

the fever response of rabbits. If a pyrogenic substance is
injected into the vein of a rabbit, there will be a temperature
1411
increase within 3 hours. Many imitative medical agents will
also cause a fever.
LAL Test
A preferred method to detect pyrogens is the limulus

amebocyte lysate (LAL) test. A test sample is incubated with
amebocyte lysate from the blood of the horseshoe crab.
Limulus polyphemus, a pyrogenic substance, will cause a gel
to form. This is due to clottable protein from the amebocyte
cells reacting with the endotoxins. This test is more sensitive,
more rapid and easier to perform than the rabbit test.
Fig. 30.22 Schematic representation of LAL reaction

(Hopkins, 1975).
Safety Evaluation
The National Institute of Health requires of most biological

products, custom safety testing in animals. Under the
Kefauver-Harris Amendments to Federal Food, Drug and
Cosmetic Act, most pharmaceutical preparations are now
required to be tested for safety. Because it is entirely possible
for a parenteral product to pass the routine sterility test, the
pyrogen test and chemical analyses, and still cause
1412
unfavourable reactions when injected, a safety test in animals
is essential to provide additional reassurance that the product
does not have unanticipated toxic properties. Safety tests for
animals are described in the USP.
Packaging and Labelling
Packaging should provide sufficient protection for the product

against physical damage from transportation, handling and
storage, as well as to photosensitive materials from ultraviolet
radiation. In general, all parenteral products must be
manufactured under strict, current good manufacturing
processes (cGMP) to ensure the final product is sterile and
pyrogen-free.
The USP mentions certain requirements for the packaging and
storage of injections, as follows:
1. The volume of injection in single-dose containers is
defined as that which is specified for parenteral
administration at one time and is limited to a volume of 1 L.
2. Parenterals intended for intraspinal, intracisternal or
peridural administration are packaged only in single-dose
containers.
3. Unless an individual monograph specifies otherwise, no
multiple-dose container can contain a volume of injection
more than sufficient to permit the withdrawal and
administration of 30mL.
Injections packaged for use as irrigation solutions, for
haemofiltration, dialysis or parenteral nutrition are exempt
from the requirements related to packaging. Containers for
injections packaged for use as haemofiltration or irrigation
solution may be designed to empty rapidly and may contain
volume in excess of 1 L.
1413
Injections intended for veterinary use are exempt from
packaging and storage requirement concerning the limitation
to single-dose container and to volume of multiple-dose
container.
Injections are packaged in either multiple-dose containers or
single-dose containers. A multiple-dose container is often a
vial that will allow the withdrawal of consecutive portions of
the contents without changing the strength, potency and
maintaining the sterility of the product. A single-dose
product, as the name implies, is intended for a single dose of
parenteral administration. These products can be packaged in
ampoule, vial or a syringe. For some drugs, there are specific
double-chambered vials that contain the reconstitution solvent
and the powdered drug. Types I, II and III glass are required
for parenteral products and are specified in the individual
monograph for a given drug. The advantages of glass
containers for parenterals are that they are easy to sterilize,
can be precisely read and are generally nonreactive and less
susceptible to incompatibilities with drugs or leaching of
components compared to the plastic, flexible intravenous
bags. The disadvantage of glass is associated with handling
the glass bottles and the potential for breakage (Terry et al.,
1995).
Ampoules are utilized for a single-dose administration and do
not include a preservative. If the drug formulation is the same
for both the ampoule and the multiple-dose vial,
manufacturers sometimes include preservatives. The
ampoules sometimes pose disadvantage as they become
contaminated with glass particles when opened via breaking
the neck at a prescored position and require the use of a
syringe to remove the drug solution; therefore, a filter needle
must be used sometime during the withdrawal of the solution
1414
or delivery of the drug solution to a flexible bag or other
intravenous solution to ensure the removal of contaminants.
Vials can be used as single dose or multiple doses. The glass
containers are sealed with rubber closures that permit the
withdrawal of the drug solution via a syringe. The
disadvantage of these systems is associated with ensuring that
the drug solution is compatible with the rubber closure.
Furthermore, there is always the concern of contamination of
the solution with repeated withdrawals. The probability for
contamination can be minimized by using single-dose vials.
Alternatively, the parenteral solutions can also be packaged in
syringe dosage forms for a single-dose use. As such, they can
be considered a type of handy container. The syringe and
needle are sterile until opened. They are ideal for emergency
situations or in the home healthcare environment.
LVPs are usually provided in glass containers, flexible plastic
bags, or semi-rigid containers. These systems are also
classified as open systems (non-vacuum) and closed systems
(vacuum). Plastic intravenous fluid containers are flexible due
to the presence of plasticizers, with the bags generally being
composed of polyvinyl chloride. However, semi-rigid
containers are often made of polyolefin. Some representative
shapes of these various types of containers are shown in Fig.
30.4. The major advantages of plastic flexible bag systems for
parenterals are that they do not require the use of a vented
administration set as they collapse when empty, and they are
less susceptible to breakage and easier to store and transport.
The difficulties with these flexible plastic bags for infusions
solutions are the potential for incompatibilities of the drug
substance with the components in the bag, the potential for
the bag to get perforated during its use, thus compromising
the sterility of the solution, difficulty in reading the volume
1415
remaining in the bag and sometimes the potential for the drug
compound to leach out the plasticizers from the systems.
Semi-rigid containers are analogous to flexible plastic
containers as they are lightweight and unbreakable, can be
easily transported and stored, and are less likely to be
perforated during their usage. More significantly, these
containers do not contain plasticizers and, as such, may be
more compatible with drug substances. The disadvantages are
related to their similar properties to glass containers, in that
they require venting, can be more susceptible to cracking
upon extreme temperature change, should not be frozen and
do not adapt well for ambulatory care.
The package and, in particular, the labelling for parenteral
dosage forms are integral and critical parts of the product.
The labelling must be readable and must clearly identify the
drug, its concentration, handling or storage conditions and
any special precautions. The dose or concentration must be
notably displayed. Smaller containers have become
increasingly popular because of the unit-dose concept. Proper
labelling is difficult with the space limitation imposed by
small containers used for many parenteral products.
Label requirement for injection according to the USP are as
follows:
1. The label states the name of preparation, the percentage
content of drug of a liquid preparation, the amount of active
ingredient of a dry preparation, the volume of liquid to be
added to prepare an injection or suspension from dry
preparation, the route of administration, the statement of
storage conditions and an expiration date. Also, the label must
indicate the name of the manufacturer or distributor and carry
an identifying lot number. The lot number is capable of
providing access to the complete manufacturing history of the
specific package, including each single manufacturing step.
1416
2. The container label is so arranged that a sufficient area of
the container remains uncovered for its full length or
circumference to permit inspection of the contents.
3. The label must state the name of vehicle and the proportion
of each constituent, if it is a mixture; the names and
proportion of all substances added to increase stability or
usefulness and the expiration date where required by
individual monograph.
4. Preparation labelled for use as dialysis, haemofiltration or
irrigation solutions must meet the requirement for injections,
other than those relating to volume and also must bear on the
label statements that they are not intended for intravenous
injection.
5. Injections intended for veterinary use are labelled. For
more details, refer to Chapter 43 of this book.
Containers
Plastic Containers
Interest in plastic containers for parenterals is increasing, and

such containers are being used for commercial ophthalmic
preparations and intravenous solutions (Mullins, 1968).
Plastic containers are used mainly because they are
light-weight, non-breakable and, when low in additives, have
low toxicity and low reactivity with products.
The principal ingredient of the various plastic materials used
for containers is the thermoplastic polymer. The basic organic
structural unit for each type commonly encountered in the
medical field is described in Table 30.8. Although most of the
plastic materials used in the medical field have a
comparatively low amount of added substances, some contain
1417
a substantial amount of plasticizers, fillers, antistatic agents,
antioxidants and other substances that are added for special
purposes. These substances are not usually chemically bound
in the formulation and, therefore, may leach out of the plastic
and into the product during production or storage.
Considerable variation has been encountered in the purity of
some commercially available polymers.
Table 30.8 Materials used for packaging of parentral products
Thermoplastic polymers, as the name implies, melt at

elevated temperatures. Except low-density polyethylene and
polystyrene, all of the polymeric materials listed in Table 30.8
can be autoclaved if they have been formulated with a low
amount of plasticizers, although most of them soften at
autoclaving temperatures, and therefore care must be
exercised to avoid fusing of adjacent surfaces.
Tissue toxicity can occur from certain polymers, but additives
are a more common cause. Polyamide polymers exhibit
reactivity due to sorption (absorption and/or adsorption); in
1418
addition, excipients leached from any of the plastic materials
may interact with ingredients of the product.
Most polymers are unfavourably affected by the high
temperatures required for thermal sterilization and have a
relatively high permeability for water vapour. Considerable
permeation of gases, including oxygen, may occur with some
materials, for instance, polystyrene by far has the highest
level of permeation of those listed.
There is a relatively new group of plastics, the poly-olefins;
the two that are of current interest in the parenteral field are
polypropylene and the copolymer
polyethylene-polypropylene. Polypropylene is the most
widely used. It is a linear polymer that can be produced to be
highly crystalline. Because of its crystallinity, it has high
tensile strength, a high melting point of 165°C and a
relatively low permeability to gases and water vapour. It is
translucent, abrasion-resistant and has a high surface gloss. It
can withstand normal autoclaving temperatures; however, it
must be stabilized with an antioxidant. The type and
concentration of polypropylene must be carefully controlled
to avoid leaching on the one hand and degradation of the
plastic on the other.
Interest in the use of such materials for containers for sterile
products is increasing, but careful evaluation of their potential
interaction with products with which they are in contact is
essential (Eubanks, 1971).
Flexible polyethylene containers are used for ophthalmic
solutions to be administered in drops, and flexible polyvinyl
chloride bags are used for intravenous solutions (Petrick et
al., 1977). Polyvinyl chloride has a particular advantage over
glass bottles in that no air from outside enters the container as
the liquid flows out; the bag simply collapses. Polyolefins
have made it possible to fabricate bottles that are firm enough
1419
to hold their shape during processing but can crumple under
atmospheric pressure as outflow of a solution occurs during
intravenous administration to a patient.
The USP has provided test procedures for evaluating the
toxicity of plastic materials. The tests consist of three phases:
1. Implanting small pieces of the plastic material
intramuscularly in rabbits;
2. Injecting eluates using sodium chloride injection, with and
without alcohol, intravenously in mice, and injecting eluates
using polyethylene glycol 400 and sesame oil
intraperitoneally in mice; and
3. Injecting all four eluates subcutaneously in rabbits. The
reaction from the test samples must not be significantly
greater than nonreactive control samples. Guess and Autian
have discussed these tests in detail. (Guess & Autian, 1964).
Glass Containers
Glass is still the chosen material for containers for injectable

products. Glass is composed principally of the silicon dioxide
tetrahedron, modified physicochemically by oxides such as
sodium, potassium, calcium, magnesium, aluminium, boron
and iron. The two general types of glass are soda-lime and
borosilicate (Table 30.9). The glass that is most resistant
chemically is composed almost entirely of silicon dioxide, but
it is relatively brittle and can only be melted and moulded at
higher temperatures. Boric oxide somewhat modifies the
above characteristics, when included in the structural
configuration, although most of the other oxides apparently
enter the spaces within the structure and reduce the strength
of the interatomic forces between silicon and oxygen.
Therefore, the oxides lower the melting point of the glass and
1420
are fairly free to migrate. Consequently, they also lower the
chemical resistance of the glass, i.e. they may transfer into a
product over a prolonged period of contact, especially with
aqueous solutions. The presence of oxides in solution may
result in hydrolysis to raise the pH, catalyze reactions or
otherwise lead to chemical reactions. Glass flakes are also
sometimes produced as a result of the action of the solution.
These interactions are markedly accelerated during the
elevated temperature required for autoclaving. The USP
provides mainly Powdered Glass and the Water Attack tests
for evaluating the chemical resistance of glass.
Table 30.9 USP glass types, test limits and selection guide
Powdered Glass Test
Containers are crushed and exposed to the action of

high-purity water at 121°C for 30 minutes in an autoclave.
The resulting extract solution is titrated with acid to measure
the alkaline ingredients of the glass as material. Glass types
and test limits as per USP are summarized in Table 30.9. The
test results are measures of the amount of alkaline
constituents leached out from the glass by purified water
under controlled elevated temperature conditions. The
conditions of the test must be strictly controlled to obtain
reproducible results since the quantity of alkaline constituents
leached is minute.
1421
Water Attack Test
It is performed on ground, sized glass particles, and the Water

Attack test is performed on whole containers. Glass
containers are rinsed and filled to 90% of overflow capacity
with water, suitably covered and autoclaved at 121°C for 60
min. The resulting extract solution is titrated with acid. This
test is used to check chemical durability to an internal surface
treatment carried out at the time of manufacture to reduce
leaching. Glass types and test limits as per USP are
summarized in Table 30.9. The Water Attack test is used only
with containers that have been exposed to sulphur dioxide
fumes under controlled humidity conditions. Such a treatment
neutralizes the surface alkaline oxides, thereby making the
glass more resistant chemically. However, this increased
resistance is lost, if the container is
subjected to repeated autoclaving, hot air sterilization or hot
detergent treatment.
Type I glass is preferred for most sterile products, but Types
II and III may be used when the product has a nonaqueous
vehicle or the period of contact with the aqueous vehicle is
brief, as with dry powders reconstituted just prior to use, or if
the nonreactivity of the glass and product has been
established. For further consideration of the interrelationships
of glass with products, the reader is referred to the published
literature (Majeske, 1962; Sanga, 1979).
Physical Characteristics
The light-sensitive products must be protected from the

degradative effect of UV rays. For this purpose
amber-coloured glass is used; however, they exert catalyzing
1422
effect as iron oxide covering on the glass may leach into the
product. To avoid this, an opaque carton surrounding a flint
(colourless) glass container is used.
In addition to other physical characteristics, glass containers
should have enough physical strength to withstand the high
pressure differentials that develop during autoclaving
operation and mishandling that occurs during processing,
distribution and storage; a low coefficient of thermal
expansion to withstand the thermal shocks that occur during
washing and sterilization procedures; transparency to
facilitate inspection of the contents; and uniform physical
dimensions to facilitate handling by the mechanical
machinery used for automated production operations.
Glass containers may be manufactured by drawing from glass
tubing or by blow moulding. Ampoules, cartridges and vials
are drawn from tubing have a thinner, more uniform wall
thickness with less distortion than containers made by blow
moulding. Blown vials and bottles, however, require greater
physical strength for handling by mechanical processing
equipment. Large vials and bottles are made only by blow
moulding.
The physical dimensions of glass containers can readily be
varied to suffice designing consideration, especially those
made by blow moulding. An example is the
double-chambered vial designed to contain a freeze-dried
product in the lower chamber and the solvent in the upper
chamber, separated by a rubber disc. The modifications in
cartridge shapes for use with various disposable dosage units,
and the wide-mouth ampoules with flat or rounded bottoms to
facilitate the filling dry materials or viscous liquids, also
exemplify the variations in physical dimensions feasible with
glass containers. The development of the easy-open ampoule
several years ago, permitting opening without a file, was an
1423
important modification in the physical structure of these
containers, marketed under the name ‘Color-Break’ (Kimble,
Division of Owens-Illinois, Toledo, OH 43601) and
‘Score-Break’ (Wheaton Scientific, Millville, NJ 08332)
ampoule.
Internal hydrophobic surface in glass containers is sometimes
coated with silicone fluid, which is made permanent by
baking it at a temperature of ~150°C (300°F). It is helpful to
reduce the adherence of heavy, costly suspensions or
emulsions or to increase slippage of a plunger in a syringe
barrel.
Container Use Considerations
The size limitation for multiple-dose vials is intended to limit

the number of entries for withdrawing a portion of the
contents of the vial with the accompanying risk of microbial
contamination of the remaining contents. The size of
single-dose containers is limited to 1000 ml by the USP and
multiple-dose containers to 30 ml, unless permitted otherwise
in a particular monograph. The essential advantage of these
containers is flexibility of dosage prescribed by the physician.
Single-dose containers are intended to provide adequate drug
for one dose; however, the integrity of the container is
destroyed when opened, and cannot be reused again.
Single-dose containers may range from litre bottles of
intravenous solutions to 1-ml, or smaller, cartridges. To
further reduce the risk of bacterial and viral contamination
and to increase control over the administration of drugs, there
has been the recent development and usage of single-dose
disposable administration units. For most of these units, the
1424
product container is a glass cartridge with plastic and metal
parts separated from immediate contact with the product.
Rubber Closures
Rubber closures are used to seal the openings of cartridges,

vials and bottles. They are made generally butyl
rubber\material, soft and elastic enough to permit entry and
withdrawal of a hypodermic needle without loss of the
integrity of the sealed container. Fig. 30.23 illustrates some of
the styles of rubber closures and their relationship to typical
containers.
Fig. 30.23 Different types of rubber closures (A–D). (A)

Slotted vial closure (B) Flanged vial rubber closure (C)
Permanent hole bottle closure (D) Cartridge and disposable
syringe closures (Plunger).
1425
Ideally, closures should be completely nonreactive or
uninteractive with the product contained. However, no such
ideal compound exists; therefore, each rubber compound
should be tested for its compatibility with each preparation
with which it is to be used. Generally two compatibility
problems exist: the leaching of ingredients from the rubber
compound with further reaction with ingredients of the
product and the removal of ingredients from the product by
sorption by the rubber compound or by vapour transfer
through the closure (Lachman et al., 1963; Hopkins, 1975).
Although compatibility problems are encountered often, it
should not be inferred that rubber compounds invariably
introduce such problems. Preliminary compatibility is usually
tested by placing the rubber closure in immediate contact with
the product and maintaining the samples at elevated
temperature levels for planned periods of time (accelerated
conditions). At prescribed intervals, samples are examined for
qualitative and quantitative proof of chemical or physical
change either in the closure or in the product.
Physical Characteristics
Several properties of rubber closures are of importance,

particularly elasticity, hardness and porosity. Rubber closures
must be sufficiently elastic to provide a comfortable fit
between the closure and the neck and lip of the glass
container. They must also be sufficiently plastic so that they
can spring back to close the hole made by the needle
immediately after withdrawal. Rubber closures must not be so
rigid that they require an undue pressure to insert the
hypodermic needle, and in doing so, must not produce a large
number of fragments as the hollow needle cuts through the
1426
closure (coring). Although porous, they should not allow the
easy permeation of water vapour and gases in either direction.
Plastic or lacquer coatings are occasionally applied to the
surfaces that will be in contact with the product. These
coatings sometimes reduce vapour transfer, sorption and
leaching, but are not sufficient to provide complete barrier
protection. Teflon liners have been shown to provide an
effective barrier against sorption and leaching (Lachman et
al., 1966).
Disc closures preassembled with aluminium caps are being
used to increase the speed of the operation in the high-speed
packaging of antibiotics and other drugs. Other designs are
used as needed for particular application.
Table 30.10 Examples of ingredients in rubber closure
Igredients Examples
Elastomer Natural rubber (latex), Butyl rubber,
Neoprene
Vulcanizing Sulphur, Peroxides
Accelerator Zinc dibutyldithiocarbamate
Activator Zinc oxide, stearic acid
Antioxidant Dilauryl thiodiopropionate
Plasticizer/ Parrafinic oil,silicone oil
lubricant
Fillers Carbon black, clay, barium Sulphate
Pigments Inorganic oxides, carbon black
1427
Testing
Rubber closures have been tested for many years but accuracy
in results have not been obtained; this can be largely due to
the nature of rubber (natural or synthetic). The
physicochemical tests on aqueous extracts include pH,
turbidity (nephelos) and residue on drying, iodine number and
heavy metals content. The biologic tests on saline,
polyethylene glycol 400 and cottonseed oil extracts include
acute and chronic toxicity in mice and rabbits. Further
discussion of these tests may be found in the literature
(Hartop, 1966; Hopkins, 1969).
Stability
Stability testing is needed to ensure that all critical attributes

of any drug product are maintained throughout its shelf life.
Attention should be paid to the detailed protocol for a stability
study before preparing stability samples, including validated
assays to be performed, acceptance criteria, storage conditions
and sampling intervals.
In general, the expiration date of a product is the estimated
time required for the active compound to reach 90–95% of the
labelled potency at the specified storage temperature.
However, other considerations may limit the shelf life of the
product, such as added substances like preservative, which
may get adsorbed to the rubber closure or the physical
instability of drug substance.
In order to conduct stability studies, adequate quantity of
sample should be placed in specified storage conditions for
easy inspection to verify if the product has developed any
discolouration or hazy appearance or to detect particulate
1428
matter in solution products, which would impart unacceptable
pharmaceutical appearance.
Formulation pH is often a critical parameter that must be
monitored during a stability study, since pH may be altered
both by chemical reactions in solution and by interactions
between the formulation and the container-closure system.
The physical state of the drug, whether crystalline or
amorphous, has an important effect on stability, particularly
for cephalosporins. Periodic assessment of stability samples
by X-ray diffraction can identify changes in the physical state
of either drug or excipients that could influence critical
quality attributes.
In dried products such as protein formulation, stability is
often prone to small differences in the amount of residual
water present, requiring monitoring of residual moisture
content by Karl Fisher titration or loss on drying. This needs
further research work to minimize the residual moisture in
rubber stoppers, since water vapour can transfer from the
closure to the powder during long-standing storage.
For freeze-dried products, cake shrinkage with time is
common. This may be associated with discolouration,
increased reconstitution time or crystallization of one or more
components of the formulation. For some, solid dosage forms
are susceptible to oxidative degradation; therefore, it is
crucial to eliminate oxygen from the vial’s headspace. The
headspace of selected vials should be analyzed periodically
for oxygen. Many freeze-dried powders are sealed under
vacuum or an inert gas. Testing of selected vials during the
stability study for presence of vacuum in the headspace of the
vial is a useful method of verifying container-closure
integrity.
Sterile suspensions can be challenging with respect to
physical stability, and this should be reflected in the stability
1429
procedure. Examples of physical stability issues for
suspensions include:
1. Caking, which causes poor resuspendability;
2. Changes in the particle size distribution, mainly growth of
large crystals of drug, which can cause poor syringeability;
and
3. Polymorphic transformations, which can result in changes
in dissolution profile and, therefore, in the bioavailability of
the drug.
In parenteral emulsions, changes in particle size distribution
of the oil phase affects stability. Droplet coalescence results
in increased droplet size. As a general rule, average droplet
size should be less than 1mm. Parenteral emulsions with
droplet sizes of more than 6mm, on administration, can cause
blockage of capillaries, resulting in capillary emboli.
Parenteral Dosage Forms

Solutions
Usually injectable products are solutions of drugs. They may

be formulated in aqueous or nonaqueous solvents. Some
common examples of parenteral solutions include intravenous
sugar solutions with dextrose or glucose used as energy
source, nutrient solution consisting of water and electrolytes;
glucose, amino acids and lipids; essential vitamins, minerals
and trace elements added or given separately; cardioplegic
solution—a cold solution injected into the aortic root or the
coronary ostia to induce cardiac arrest and protect the heart
during open heart surgery; usually potassium in an electrolyte
solution or in blood.
1430
Most of the injectable solutions are prepared by dissolving the
drug and other excipients, adjusting the pH, sterile filtering
the resultant solution through a 0.22μm membrane filter and,
if feasible, autoclaving the final product. However, many
drugs are heat sensitive; therefore, sterile filtration, followed
by aseptic filling and those drug solutions that could
withstand heat are terminally sterilized by autoclave after
filling, since this imparts best product sterility. For instance,
large-volume parenterals (LVPs) and small-volume
parenterals (SVPs) without an antimicrobial agent should be
terminally sterilized. It is common practice to include an
antimicrobial agent in SVPs that cannot be terminally
sterilized or are intended for multiple-dose use. The general
exceptions are products that pass the USP Antimicrobial
Preservative Effectiveness Test [USP, 2000]. For example,
some barbiturate products have a pH of 9–10 and a vehicle
that includes propylene glycol and ethanol.
Parenteral solutions are normally filtered through 0.22μm
membrane filters to achieve sterility and remove particulate
matter. Prefiltration through a coarser filter is often carried
out to maintain adequate flow rates, or to prevent clogging of
the filters during large-scale manufacturing. Talc or other
filter aids may also be necessary. Proteins are costly, so
formulator must be aware of the potential for binding when
filtering protein solutions, and membrane should hence be
used to minimize protein adsorption to the membrane surface.
A filter medium that minimizes this binding includes
hydrophilic polyvinylidene difluoride and hydroxyl-modified
hydrophilic polyamide membranes (Pitt, 1987).
The total fluid volume that must be filled into a unit
parenteral container is typically larger than the volume that
would contain the exact labelled dose. The excess fill volume
depends on the viscosity of the solution and the retention of
1431
the solution by the container and the stopper. The USP
provides a procedure for calculating the fill dose that is
necessary to ensure the delivery of the stated dose. It also
provides a table of excess volumes that are usually sufficient
to permit withdrawal and administration of the labelled
volume (see Table 30.11).
Table 30.11 USP-recommended excess volume of parenteral

solution
Recommended excess volume

Labelled size
For mobile liquids For viscous liquids
0.5mL 0.10mL 0.12mL
1.0mL 0.10mL 0.15mL
2.0mL 0.15mL 0.25mL
5.0mL 0.30mL 0.50mL
10.0mL 0.50mL 0.70mL
20.0mL 0.60mL 0.90mL
30.0mL 0.80mL 1.20mL
50.0mL or more 2% 3%
Suspensions/Emulsions (Long-Acting
Formulations)
A formula for an injectable suspension might consist of the

active ingredient suspended in an aqueous vehicle containing
an antimicrobial preservative, a surfactant for wetting, a
dispersing or suspending agent and perhaps a buffer or salt.
1432
It is one of the most critical dosage forms to formulate, as it
requires a delicate balance of variables to formulate a product
that is easily resuspended and can be ejected without creating
many problems. To achieve these, it is necessary to select and
carefully maintain particle size distribution, zeta potential and
rheological properties, besides the manufacturing steps that
control wettability and surface tension. The requirements for,
limitations in and differences between the design of injectable
suspensions and other suspensions have been previously
summarized (Akers et al., 1987; Boylan, 1965; Boylan &
Robison, 1968). Two basic methods are used to prepare
parenteral suspensions: (a) sterile vehicle and powder are
combined aseptically, or (b) sterile solutions are combined
and the crystals formed in situ. Examples of these procedures
are when using Penicillin G Procaine Injectable Suspension
USP, which consists of an aqueous vehicle containing the
soluble components (such as lecithin, sodium citrate,
povidone and polyoxyethylene sorbitan monooleate) is
filtered through a 0.22mm membrane filter, heat sterilized and
transferred into a presterilized mixing-filling tank. The sterile
antibiotic powder, which has previously been produced by
freeze-drying, sterile crystallization or spray-drying, is
aseptically added to the sterile solution while mixing. After
all tests have been completed on the bulk formulation, it is
aseptically filled.
The other example includes Sterile Testosterone Injectable
Suspension USP. Here, the vehicle is prepared and
sterile-filtered. The testosterone is dissolved separately in
acetone and sterile-filtered. The testosterone–acetone solution
is aseptically added to the sterile vehicle, causing the
testosterone to crystallize. The resulting suspension is then
diluted with sterile vehicle, mixed, the crystals allowed to
settle and the supernatant solution siphoned. This procedure is
1433
repeated several times until all the acetone has been removed.
The suspension is then brought to volume and filled in the
normal manner.
Parenteral suspensions are often administered through 1-in. or
longer needles having internal diameters in the range of only
300–600 nm, which signifies their flow properties. The flow
properties of parenteral suspensions are usually characterized
on the basis of syringeability or injectability.
Dry Powders (Freeze-Dried Preparations)
Many drugs are too unstable either physically or chemically

in an aqueous medium to allow formulation as a solution,
suspension or emulsion. Instead, the drug is formulated as a
dry powder that is reconstituted by adding water before
administration. The reconstituted product is usually an
aqueous solution; however, occasionally it may be an aqueous
suspension (e.g. ampicillin trihydrate and spectinomycin
hydrochloride are sterile powders that are reconstituted to
form a sterile suspension). Dry powders for reconstitution as
an injectable product may be produced by several methods:
filling the product into vials as a liquid and freeze drying,
aseptic crystallization followed by powder filling and
spray-drying followed by powder filling.
Some solutes may form a metastable amorphous phase
initially on freezing and then crystallize when the material is
heated. Mannitol, a common bulking agent in freeze-dried
formulations, is an example of a solute that can, depending on
the cooling rate during freezing, form a metastable
amorphous system initially, then crystallize from the glass as
the system is heated to above the glass transition temperature
of the freeze concentrate. Solutes that form metastable glassy
1434
systems upon freezing can sometimes be induced to
crystallize by thermal treatment, or annealing, in the
freeze-dry process. The product is first frozen to –40°C, then
heated to a temperature above the glass transition
temperature, held for a few hours and then cooled before
starting the drying process. Some cephalosporins have been
shown to crystallize during annealing steps (Gatlin &
DeLuca, 1980). In addition, annealing has been shown to
improve both the rate and the vial-to-vial uniformity of
primary drying (Searles et al., 2000).
While crystallinity of a drug is generally desirable for
freeze-drying, it is often important for excipients to remain
amorphous. In particular, disaccharides (such as sucrose and
trehalose) are important as formulation additives to stabilize
proteins against damage caused by freezing, freeze-drying or
both. However, in order to be effective stabilizers, it is
essential for these compounds to remain amorphous both
during freeze-drying and during subsequent storage.
An understanding of the effect of formulation on
freeze-drying behaviour is important to the pharmaceutical
scientist involved in the development of freeze-dried
products. Mixtures of components should be expected to
behave differently from single-component systems. For
example, a compound that crystallizes readily from aqueous
solution when it is the only solute present may not crystallize
at all when other solutes are present. For solutes that remain
amorphous on freezing, the glass transition temperature is
affected by the presence of other solutes. Subtle variations in
the composition of the formulation, such as changes in ionic
strength or pH, may have a significant effect on the physical
chemistry of the freezing and freeze-drying processes.
Many drugs are present in a dose too small to form a
well-defined freeze-dried cake and must be formulated with a
1435
bulking agent, the purpose of which is to provide a dried
matrix in which the active ingredient is dispersed. Common
bulking agents are mannitol, lactose, glycine and mixtures of
these compounds. Buffers are commonly used, such as
sodium or potassium phosphate, acetate, citrate,
tris-hydroxymethylaminomethane (THAM) or histidine.
Formulations of proteins, liposomes or cells generally require
the presence of a protectant or a substance that protects the
active compound from damage by freezing, drying or both.
Disaccharides, such as sucrose and trehalose, are, in general,
the most effective protectants (Crowe et al., 1990). The use of
maltose and lactose, also disaccharides, should be approached
with caution, since they are both reducing sugars.
The quantity of residual water is frequently a critical product
characteristic relative to chemical and physical stability of
freeze-dried products, particularly amorphous solids. Water
acts as a plasticizer of the solid material, lowering the glass
transition temperature. A low glass transition temperature
relative to the
storage temperature can result in physical instability, such as
cake shrinkage or collapse, or accelerated rates of chemical
reactions leading to instability. Often a small change in
moisture content can result in a large change in the glass
transition temperature; therefore, careful consideration of
appropriate limits on residual moisture is often an important
part of the product development process.
In-vial lyophilization results in a very light, fluffy porous
cake in the vial, which gets readily reconstituted, using an
aqueous diluent, than a dry filled powder. The resultant
product is very elegant and has particle-free preparation. The
lyophilization process however is very expensive.
1436
Protein Formulation
The number of such products has grown steadily since 1982,

when FDA in the United States was human insulin (Humulin,
Eli Lilly). This growth is expected to continue during the next
decade, as protein therapeutics constitute the major part of
biotechnological products. Special problems with formulation
and processing of proteins arise due to their complex
structural organization of proteins. In addition to primary
structure (the amino acid sequence), proteins have secondary
structure (interactions between peptide bonds, resulting in
helical or sheet-like structures), tertiary structure (folding of
chain segments into a precise three-dimensional
arrangement), and, in some, quaternary structure (association
of individual protein subunits into a multimeric structure).
Disruption of these higher-order structures can lead to loss of
the biologically activity. Disruption of the native structure of
a protein can also contribute to chemical instability by
accelerating the rates of a variety of degradation routes,
including deamidation, hydrolysis, oxidation, disulphide
exchange, elimination and racemization.
Processing may be crucial in manufacturing the
pharmaceutical dosage form of proteins. For example,
vigorous agitation of a protein solution can cause foaming,
generating a large air or water interface that is an excellent
site for denaturation, aggregation and perhaps precipitation of
protein, loss of protein by adsorption to surfaces, such as
tubing and filters used in manufacturing, which can result in
less potent product. Other potentially critical factors in
preservation of the native structure during processing include
temperature, pH, the presence of organic solvents and the
ionic strength of the formulation. Formulation strategies for
1437
stabilization of proteins commonly include additives such as
other proteins (e.g. serum albumin), amino acids and
surfactants to minimize adsorption to surfaces, modification
of protein structure by genetic engineering, and chemical
modification such as conjugation with polyethylene glycol.
Most proteins are not adequately stable in aqueous solution to
allow formulation as a sterile solution. Instead, the protein is
freeze-dried and reconstituted before use. Development of a
freeze-dried protein formulation often requires special
attention to the details of the freezing process (potential pH
shifts and ionic strength increase with freezing) (Discussed in
Chapter 14) as well as to potential loss of activity with drying.
Microspheres
Polymeric micropsheres, prepared from the biodegradable

polylactide/polyglycolide polymers, have been widely
investigated as a means to achieve sustained release
parenteral drug delivery. The polymeric matrix as
microspheres is the ability to administer via a conventional
needle and syringe as a suspension formulation, rather than as
an implant. Lupron depot formulations are available, which
can provide therapeutic blood levels of leuprolide acetate for
up to four months. These products are presented as
lyophilized polylactic acid microspheres, which are
reconstituted to form a suspension prior to administration.
Emulsions
For a molecule with a high aqueous solubility, the use of a

water-in-oil two-phase emulsion or a multiple-phase
water-inoil-in-water emulsion may enable a measure of
1438
sustained release to be achieved. In either case, the nature of
the sustained-release delivery profile will be a function of the
partition coefficient of the molecule between the two phases,
which will define the rate at which the molecule is available
for absorption.
Parenteral emulsions were first introduced to provide an IV
source of essential fatty acids and calories. This has
developed into the extensive and routine use of products such
as Intraplipid, Lipofundin and Liposyn in total parenteral
nutrition. There are relatively few commercial available
emulsions containing active compounds; the only example on
the US market is Diprivan. Diazepam is also available as an
injectable emulsion on the UK market (Diazemuls). All
parenteral emulsions are oil-in-water formulations, with the
oil as the internal phase dispersed as fine droplets in an
aqueous continuous phase. An emulsifier, usually egg or soy
lecithin, is needed to lower the interfacial tension and prevent
flocculation and coalescence of the dispersed oil phase.
Mechanical energy, usually in the form of homogenization, is
required to disperse the oil phase into droplets of a suitable
size. For IV administration, the droplet size should be below
1μm to avoid the potential for emboli formation.
Clearly, physical stability is of critical importance for
emulsion formulations, and care must be taken to ensure not
only that the product itself is physically stable but also that
any infusion solutions that may be prepared by dilution of the
emulsion are also physically stable over the required period of
time. In addition, parenteral emulsions should be able to
withstand the stresses associated with moist heat sterilization.
Alternatively, if this cannot be achieved, it may be possible to
prepare an emulsion aseptically from sterile components,
provided the process can be suitably validated.
1439
Liposomes
Liposomes are bilayer or multilayer phospholipid vesicles,

typically less than 300 nm in size. They are capable of
entrapping both hydrophilic and lipophilic compounds. Their
use in parenteral formulations has exploited their preferential
distribution to the organs of the reticuloendothelial system
(RES) and their ability to accumulate preferentially at the
sites of inflammation
and infection. A sophisticated approach has been developed
(commercialized as Stealth liposomes), in which polyethylene
glycol is grafted to the surface of the liposome, resulting in
prolonged circulation of the liposomes in the bloodstream. A
doxorubicin product that uses this approach (DOXIL) is now
commercially available.
Infusion Pumps (Dosage forms parenterals)
Infusion pumps and devices are essential to the delivery of

parenteral drugs, particularly those given by the intravenous
route. For drugs that are administered via intravenous
infusion, there are two forces that control fluid flow: 1) the
pressure of an active force of the liquid that can be generated
via gravity flow (e.g. hydrostatic pressure) or mechanically
via a positive pressure pump and 2) resistance, or an opposing
force, that is generated via the infusion sets, a vascular access
device and/ or blood vessels. The maximum flow rate will
depend on the ratio of the change in pressure exerted by the
liquid to that of the change in resistance.
An infusion control device (ICD) is a device that maintains a
constant infusion rate in a gravity flow system (controller) or
via a positive pressure pump. A positive pressure pump is a
1440
device that provides mechanical pressure (2–12 psi) to
overcome the resistance to flow in the vessels. The types of
positive pressure pumps are categorized according to how
they deliver the solution and their degree of precision in the
flow rate. Positive pressure pumps include peristaltic pumps,
cassette pumps, syringe pumps, non-electric or disposable
pumps and patient-controlled analgesic pumps (PCA).
Syringe pumps are usually the most accurate pumps, with
flow variances at 2% or less.
Non-electric or disposable syringe and PCA pumps are useful
for ambulatory care. PCA pumps are very useful for the
parenteral administration of analgesics (e.g. morphine) and
can be easily programmed to deliver bolus doses and provide
a dosing history. Non-electric or disposable pumps are
lightweight, and the solution is delivered based upon a
vacuum or through the generation of a gas in the system. A
recent consensus development conference on the safety, cost,
simplicity of use and training of intravenous drug delivery
systems, focusing on acute care and non-electronic devices,
reviewed the use of manufacturer-prepared (e.g. premixed or
frozen products), point-of-care activated systems
(manufacturer-prepared products that require the drug and
diluent to be mixed at the point of care), pharmacy-based
intravenous admixture, intravenous push medications in
prepared or premade syringes, augmented IV push systems
(syringe pumps) and volume control chambers (Andrews et
al., 1997).
Manufacturer-prepared products, point-of-care activated
products and pharmacy-based intravenous admixture
programs were recommended as being superior intravenous
drug delivery systems, with the manufactured products being
considered the safest systems due to the quality assurance in
the preparation of these products.
1441
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1444
Chapter 31
New Drug Delivery Systems
Targeted drug delivery is the most important part of
pharmaceutical research and development. In this perspective,
drug targeting is defined in the broadest sense, that is, to
optimize a drug’s therapeutic index by strictly localizing its
pharmacological activity to the site or organ of action. The
idea of drug targeting to a specific site in the body was first
introduced long ago by Ehrlich (Ehrlich, 1906). However,
only recently it emerged as an important area of research.
This long passivity in the field through most of the 20th
century can be attributed to an inadequate understanding of
various diseases; a lack of a detailed description, at the
cellular and molecular levels, of how drugs are processed; and
difficulties in identifying and producing carrier molecules
specific to the targeted organs, cells or tissues. Most drugs,
after administration in a conventional immediate or
controlled-release dosage form, freely distribute throughout
the body, typically leading to uptake by cells, tissues or
organs other than where their pharmacological receptors are
located. The lack of target specificity, for the most part, can
be attributed to the formidable barriers that the body offers to
a drug. For example, a drug taken orally must be stable at the
environment of the gastrointestinal tract (i.e. large
fluctuations in pH), as well as resist the degradation by
enzymes that digest food and metabolism by microflora that
live there. The drug is then systemically absorbed from the
gastrointestinal tract into the blood. Once in the blood, it
needs to survive inactivation by metabolism and extraction
(first-pass effects). Then to produce its therapeutic effect(s),
1445
the drug must selectively access and interact with its
pharmacological receptor(s) with sufficient concentration.
Administration of drugs by parenteral routes mitigates
GI-associated problems, but deactivation and metabolism of
the drug and dose-related toxicity are frequently observed.
Furthermore, it is also difficult to ensure whether the drug
reaches its desired destination in adequate concentrations.
There are many diseases in which accessibility is poor; for
example, rheumatoid arthritis, diseases of the central nervous
system, some cancers, and bacterial, fungal and parasitic
infections. The treatment of these diseases often requires high
doses and frequent administration of drugs, which can lead to
toxic manifestations, inappropriate pharmacodisposition,
untoward metabolism and other deleterious effects (Banker &
Rhodes, 2002).
In brief, drug instability as delivered from conventional
formulation, low solubility, low absorption, high membrane
binding, biological instability, short half-life, large volume of
distribution, low specificity, low therapeutic index and
anatomical or cellular barriers are some of the major factors
that to be considered for targeted drug delivery.
Thus, a target-oriented drug delivery system provides drug
selectively to its site(s) of action(s) offering maximum
therapeutic activity (through controlled and predetermined
drug-release kinetics), preventing degradation or inactivation
during transit to the target sites and protecting the body from
adverse reactions because of inappropriate disposition. Drugs
with a low therapeutic, targeted drug delivery provide an
effective treatment at a relatively low drug concentration
(Vyas & Khar, 2004). Other requirements for target-oriented
drug delivery include the following: (1) the delivery system
should be biochemically inert, nontoxic, nonimmunogenic
and physically and chemically stable in vivo and in vitro; (2)
1446
the carrier must be biodegradable or readily eliminated
without problems; and (3) the preparation of the delivery
system must be reproducible, cost-effective and reasonably
simple.
There are many important parameters such as nature of
biological and cellular membranes, distribution and presence
of drug receptors and the enzymes responsible for drug
metabolism, time–plasma concentration profiles, local blood
flow, and so on that should be considered when designing a
delivery system for drug targeting. The drug-targeting
mechanism (approaches) can be classified into three
categories: (1) physical, (2) biological and (3) chemical
(site-specific or targeting systems) (Tomlinson, 1983 &
1986).
The physical delivery systems of drug targeting started with
modifying drug pharmacokinetics. The various physical
delivery forms, such as biodegradable polymers or osmotic
pumps, provide a way to achieve a sustained, quasi-constant
blood/tissue concentration of a drug. Localized drug delivery
device at or around the target organ (implants) helps to
achieve differential distribution of drug. Some examples of
this kind of physical targeting are the pilocarpine delivery to
the eye from a polymeric device (ocusert), the contraceptive
sustained release of progesterone from a vaginal polymeric
insert and the surgical implant of anticancer drug
chloroethyl-cyclohexyl-nitrosourea (CCNU) to the brain.
Biological targeting systems are primarily based on
antibodies and hence result in a highly desirable drug delivery
profile. However, there are a number of problems related to
the actual distribution of an antibody–drug conjugate in the
body. Some of them are as follows:
1. The potential modification of the specificity of an antibody
by conjugation to one or more drug molecules
1447
2. The problem of stoichiometry, that is, the amount of drug
the antibodies can actually carry
3. Timely enzymatic cleavage of the antibody–drug
conjugate.
Levels of Drug Targeting

The various approaches of vectoring the drug to the target site
can be broadly classified as:
1. Passive targeting
2. Inverse targeting
3. Active targeting (ligand-mediated targeting and physical
targeting)
4. Dual targeting
5. Double targeting
Passive Targeting
Passive targeting occurs as a result of the body’s natural

response to physiochemical characteristics of the drug or
drug-carrier system. The ability of some colloids, which are
taken by the RES vectors, can be exploited for targeting of
drugs to the hepatic system, and this is a common example of
passive targeting. This mechanism is utilized for the treatment
of leishmaniasis, brucellosis and candidiasis, in which the
system takes the drugs by the macrophages cells of the
reticuloendothelial system. The passive targetability of
microparticulate drug carriers is due to the recognition of
these particulates either in the intact or in the opsonized form
by the phagocytic cells of the RES. This sensing behaviour is
exploited when targeting MPS-associated cell lines (Vyas &
Khar, 2004).
1448
Inverse Targeting
It is based on successful attempts to circumvent and avoid

passive uptake of colloidal carriers by the reticuloendothelial
system (RES). This effectively leads to the reversion of the
biodistribution trend of the carrier; hence the process is
named as inverse targeting. It can be achieved by suppressing
the RES function by preinjecting a large amount of blank
colloidal carriers or macromolecules such as dextran sulphate.
This approach leads to the blockade of RES and consequently
to the impairment of the host defense system. Alternative
strategies include modification of the size, surface charge,
composition, surface rigidity and hydrophilicity of carriers for
desirable action. Modification of the carrier particles surface
is also an effective mode of drug targeting at non-RES
organs. Surface modification may reduce or even eliminate
the adhesion of opsonin materials/HDL on the surface of lipid
microemulsion, and ultimately prevent phagocytosis by the
RES system (Illum & Davis, 1986 & 1987; Lee &
Yamamoto, 1990).
Active Targeting
The natural distribution pattern of the drug carrier composites

is enhanced chemically, biologically and physically, so that
the composites are identified by particular biosites. The
facilitation of the binding of the drug carrier to target cells
through the use of ligands or engineered homing device to
increase receptor-mediated localization and target-specific
delivery of drug is referred to as active targeting. This
approach can further be classified into three different levels:
first-order targeting (organ compartmentalization),
1449
second-order targeting (cellular targeting) and third-order
targeting (intracellular targeting).
First-order targeting refers to restricted distribution of the
drug carrier system to the capillary bed of a predetermined
target site, an organ or a tissue. Targeting in lymphatics,
peritoneal cavity, plural cavity, cerebral ventricles, lungs,
joints, eyes, etc. are examples of first-order targeting.
Second-order targeting refers to the selective delivery of
drugs to a specific cell type such as tumour cells and not to
the normal cells. Selective drug delivery to the Kupffer cells
in the liver is a very common example of this approach.
Third-order targeting refers to drug delivery specifically to
the intracellular site of target cells. Receptor-based
ligand-mediated entry of a drug complex into a cell by
endocytosis, lysosomal degradation of carrier followed by the
release of drug intracellularly or gene delivery to nucleolus
are some of the common examples of third-order targeting
(Vyas et al., 2001; Vyas & Siharkar, 2000).
Ligand-mediated targeting is an another approach for active
targeting. It can be attained through bioconjugate systems or
anchored as ligands on some delivery vehicle (drug carrier
system). Antibodies, polypeptides, oligosaccharides, viral
proteins and fusogenic residues are common ligands used for
drug targeting. Ligand-mediated active targeting can be
achieved using specific uptake mechanisms such as
receptor-dependent uptake of natural low-density lipoproteins
(LDL) particles and synthetic lipid microemulsions of
partially reconstituted LDL particles coated with apoproteins.
The apoprotein coat serves as a ligand for the LDL receptors
expressed in the body.
Physical targeting (triggered release) is the selective drug
delivery system programmed and monitored at the external
level with the help of physical means. For physical targeting,
1450
some naturally occurring methods are used either to direct the
carrier to a particular location or to cause selective release of
its contents. Temperature-sensitive, pH-sensitive and
magnetic responsive drug delivery devices are examples of
physical targeting that are driven by temperature, pH or
external magnetic field, respectively.
Dual Targeting
This classical approach of drug targeting employs carrier

molecules, which have their own intrinsic antiviral effect,
thus synergizing the antiviral effect of the loaded active drug.
A major advantage of this approach is that the virus
replication process can be attacked at multiple points,
excluding the possibilities of resistant viral strain
development.
Double Targeting
Drug targeting may be combined with another methodology,

other than passive and active targeting for drug delivery
systems. The temporal control of drug delivery has been
developed in terms of control drug release prior to the
development of drug
targeting. Combination of spatial targeting with temporal
control release results in an improved therapeutic index by the
following two effects: first, if drug release or activation
occurs locally at therapeutic sites, selectivity increases with
the local release/activation; and second, the improvement in
the therapeutic index by a combination of a spatially selective
delivery and a preferable release pattern for a drug, such as
zero-order release for a longer time period. When these two
1451
methodologies are combined, it is called double targeting.
(Mew et al., 1983; Oseroff et al., 1986).
Combination Targeting
These targeting systems are equipped with carriers, polymers
and homing devices of molecular specificity that provides a
direct approach to the target site. Modification of proteins and
peptides with natural polymers, such as polysaccharides, or
synthetic polymers, such as poly (ethylene glycol), may alter
their physical characteristics and favour targeting the specific
compartments, organs or their tissues within the vasculature
(Petit & Gombtz, 1998).
Combination targeting can be achieved through physical
(permeation enhancing), chemical (prodrug approach) or
carrier encapsulation.
Irrespective of the approach, the therapeutic efficacy of
targeted drug delivery systems also depends on the timely
availability of the drug in active form at the target site(s) and
its intrinsic pharmacological activity. The intrinsic
pharmacokinetic properties of the free drug should be the
same, irrespective of whether or not it is introduced into the
body attached to a carrier. After administration, a drug
frequently passes through various cells, membranes and
organs to reach its target site(s). Various passive and active
processes or mechanisms offer cell selection and access by
targeted drug delivery.
Low-molecular-weight drugs can enter into, or pass through,
various cells by simple diffusion processes whereas simple
diffusion of macromolecules is quite difficult, thus
necessitating endocytosis, which involves capturing of
macromolecules. Endocytosis is defined as the phenomenon
1452
that involves internalization of the plasma membrane, with
concomitant engulfment of the extracellular material
(particulate or fluid). Other methods of gaining access to cells
include passive diffusion, membrane fusion and binding to
specific or nonspecific regions of the cell.
Endocytosis can be divided into two types: phagocytosis and
pinocytosis (see Fig. 31.1). Phagocytosis refers to the capture
of particulate matter, whereas pinocytosis refers to the
engulfment of fluids. Phagocytosis is carried out by
specialized cells of the mononuclear phagocyte system
(MPS), called phagocytes. It is mediated by the adsorption of
specific blood components, for example immunoglobulin (Ig)
G, complement C3b and fibronectin (Vanoss et al., 1974),
which are known as opsonins, and relevant receptors located
on macrophages. The extent to which a drug is opsonized and
plasma protein is involved depends on the size and surface
characteristics of the particles. For example, red blood cells
treated with glutaraldehyde are opsonized by IgG and rapidly
phagocytosed by the Fc receptor. Particles with higher
hydrophilic surface characteristics tend to undergo
opsonization to a lesser extent and, as a result, exhibit
decreased phagocytic uptake (Davis et al., 1986; Douglas et
al., 1987). This directly implicates in targeting
microparticulate drugs to cells because the longer the drug
stays in the central circulation, the greater the chances of
uptake.
1453
Fig. 31.1 Phagocytic and pinocytic uptake of drug.
After ingestion, the phagocytic vacuole or phagosome fuses

with one or more lysosomes to form phagolysosomes or
secondary lysosomes. Then digestion of particles occurs via
lysosomal acid hydrolases (e.g. proteinases, glycosidases,
nucleases, phospholipases, phosphatases and sulphatases) at
acidic pH 4.5 and 5.4 after which the drug can exert its
therapeutic effect.
Compared with phagocytosis, pinocytosis appears to be a
universal phenomenon in all cells, and does not require any
external stimulus. Pinocytosis can also be divided into two
types: fluid-phase pinocytosis and adsorptive pinocytosis.
Fluid-phase pinocytosis is a nonspecific, continuous process,
and it is believed to be useful as a general process for
transporting macromolecular constructs through epithelia,
some endothelia and into various blood cells. Adsorptive
pinocytosis, in contrast, refers to the internalization of
1454
macromolecules that bind to the cell surface membrane. If the
macromolecule adheres to a general cell surface site, then
uptake is referred to as nonspecific pinocytosis. However, if it
binds to a specific cell receptor site, then the process is called
receptor-mediated pinocytosis. Before membrane
internalization, the pinocytic substrate often patches into
domains or areas of the membrane called coated pits (a
cytoplasmic coat consisting of clathrin and other proteins).
Once internalized, the pinocytic vesicles can interact among
themselves or with vesicles of other intracellular origins, such
as endosomes and lysosomes. Endosomes are rich in
pinocytic receptors and contain an active ATP-powered
proton pump (not identical with that present in lysosomes)
that maintains the internal pH between 5.0 and 5.5. The mild
internal acidic pH condition induces dissociation of the
receptor–drug carrier complex, freeing the receptor for
recycling. Endosomes also act as a sorting station to route
internalized substrates to their appropriate intracellular
locations. Internalized substrates that remain intact in the
endosome are usually then transferred to the lysosome
(transcellular transfer), where their digestion by acid
hydrolases continues. In some cells (e.g. endothelial cells) the
endosomes, instead of transferring their contents to the
lysosome, release them outside the cell. This process is
termed diacytosis or retroendocytosis, which can achieve a
vectorial translocation of substances through an otherwise
impenetrable barrier of cells. In cells such as secretory
polymeric IgG in the neonatal gut, polymeric IgA in
hepatocytes and low-density lipoprotein (LDL) in endothelia,
the secondary lysosome transports its contents to the other
side of the membrane by a process called transcytosis. The
secondary lysosome can also regress to form residual bodies
that continue to retain nondegraded macromolecules.
1455
Nonspecific pinocytic uptake depends on the size (molecular
weight and configuration), charge and hydrophobicity of the
pinocytic substrates. The rate of pinocytic uptake in different
cells also increases with an increase in the size and
hydrophobicity of the substrates. The molecular size of the
pinocytic substrate is detrimental to the movement of
macromolecules from one compartment to another (Vyas &
Khar, 2004).
The receptor-mediated form of endocytic uptake has been
identified in a wide variety of physiological ligands, such as
metabolites, hormones, immunoglobulins and pathogens (e.g.
virus and bacterial and plant toxins). Several endosomotropic
receptors identified in cells are listed in Table 31.1.
Table 31.1 Distribution of some endosomotropic receptors

(various species)
Cell Receptor for

Blood brain barrier Insulin, transferrin
(endothelial)
Blood basophile IgE
Cardiac Albumin
Lung Lactoferrin
Enterocytes IgG, IgA, transcobalamine-B12
Fibroblast Mannose, LDL, transferring, growth
factor I and II
Hepatocytes LDL, galactose
Leukocyte Chemolactic peptide
Macrophases Galactose, LDL
1456
Compared with phagocytosis, fluid-phase pinocytic capture of
molecules is relatively slower, being directly proportional to
the concentration of macromolecules in the extracellular fluid.
It also depends on the size (molecular weight) of
macromolecules; lower-molecular-weight fractions are
captured faster than the higher-molecular-weight fractions.
The magnitude of the capture rate by adsorptive pinocytosis is
higher than that of fluid-phase pinocytosis and relates to the
nature of substrate–membrane interactions.
Problems Associated with Targeted

Delivery Systems
Several problems have been identified that require alterations
in targeting strategies, particularly in vivo. These include
rapid clearance of targeted systems specially
antibody-targeted carriers, immune reactions against
intravenous administration of carrier systems, target tissue
heterogeneity, problems of insufficient localization of
targeted systems into tumour cells. The down regulation and
sloughing of surface epitopes as well as diffusion and
redistribution of released drug are leading to nonspecific
accumulation.
Targeted Drug Delivery Systems
Carrier systems used for targeted drug delivery are:

1. Colloidal carriers: (a) Vesicular systems—liposomes,
niosomes, pharmacosomes, virosomes, immunoliposomes; (b)
microparticulate systems – microparticles, nanoparticles,
microspheres
1457
2. Cellular carriers resealed erythrocytes: Serum albumin,
antibodies, platelets, leukocytes
3. Supramolecular delivery systems: Micelles, reverse
micelles, mixed micelles, polymeric micelles, liquid crystals,
lipoproteins (chylomicron, VLDL, LDL), synthetic
LDL-mimicking particles (supramolecule biovector system)
4. Polymer-based systems: Signal sensitive, mucoadhesive,
biodegradable, bioerodible, soluble synthetic polymeric
carriers
5. Macromolecular carriers: (a) Proteins, glycoproteins,
neoglycoproteins and artificial viral envelopes (AVE); (b)
glycosylated water-soluble polymers (poly-l-lysine); (c)
Mabs, immunological Fab fragments, antibody–enzyme
complex and bispecific Abs; (d) toxins, immunotoxin and
rCD4 toxin conjugates; (e) lectins (Con A) and
polysaccharides (Vyas & Dixit, 1998)
Prodrug
A prodrug is an inert form of pharmacologically active drug

that can be transformed into the parent compound in vivo by
either a chemical or an enzymatic reaction for site-specific
therapeutic application. Use of prodrug for site-specific
delivery requires the following conditions:
1. It must have adequate access to its pharmacological
receptor(s).
2. The enzyme or chemical agent responsible for reactivating
the prodrug should exhibit major activity only at the target
site.
3. The enzyme should be adequate to produce the required
level of drug to manifest its pharmacological effect.
1458
4. The active drug produced in situ must remain at the target
site and not leak out into the systemic circulation, which
could lead to adverse effects.
Thus, prodrugs are designed to alter the absorption,
distribution and metabolism of the parent compound and,
thereby, to increase its beneficial effects and decrease its
toxicity. Prodrugs are also used to overcome formulation
problems and to avoid an unpleasant taste or odour of the
parent compounds.
Conversion of compound into ester and amide is a common
approach used in the preparation of prodrug, which can be
converted into the active form by the action of esterase and
peptidase enzyme. Prodrugs containing an amide bond when
used in vivo has had varying degrees of success. Chemically
reconvertible prodrugs frequently lack selectivity of
activation at the target sites and thus offer little opportunity
for drug targeting.
Prodrugs that have been successful in site-specific delivery
include L-3,4-dihydroxyphenylalanine (L-dopa) to the brain,
dipivaloyl derivative of epinephrine to the eye,
γ-glutamyl-l-dopa to the kidney, γ-s-d-glucoside
dexamethasone and prednisolone derivatives to the colon,
thiamine-tetrahydrofuryldisulphide to red blood cells, and
various amino acid derivatives of antitumour agents such as
daunorubicin, acivicin, doxorubicin and phenylenediamine to
tumour cells.
The selective delivery of drugs to the brain is quite difficult
and only highly lipid-soluble drugs can cross the blood– brain
barrier. Prodrugs having high lipid solubility can be used for
the brain transportation, but they may show increased
partitioning of such drugs to other tissues also, thereby
leading to adverse reactions. For example, l-dopa, the
precursor of dopamine, when administered orally, readily
1459
partitions throughout the body, including the brain. Its
conversion to dopamine in the corpus striatum produces the
therapeutic response, whereas its conversion in the peripheral
tissues results undesirable side effects. Although many of
these side effects can be overcome by additional
administration of an inhibitor of aromatic amino acid
decarboxylase, such as carbidopa, which prevents its
transformation in the peripheral tissues, the direct delivery of
dopamine to the brain constitutes an attractive alternative.
Some of the drugs and their prodrug and regeneration
methods are shown in Table 31.2 (Stella & Himmelstein,
1980 & 1982; Gardner & Alexander, 1985).
Table 31.2 Drugs, their prodrug and regeneration methods
Regeneration
Drug Prodrug
method
R-OH • Alkyl esters and half esters Enzyme
(Alcohols and • Phosphate and sulphate
phenols) esters
• Sulphoacetyl, dialkyl
aminoacyl
• Acyloxyalkyl ethers and
thioethers
R-COOH • Alkyl and glyceryl esters Enzyme
• Acyloxyalkyl and lactonyl
esters
• Alkoxycarbonyloxyalkyl
esters
•
(2-Oxo-1,3-dioxolenyl)alkyl
esters
1460
RNH2, R2NH • Amides and peptides Chemical
and R3N • Soft quaternary ammonium
salts
• Carbamates
• Hydroxymethyl esters
• Enamines, Schiff bases Enzyme
• Mannich bases,
• Hydroxymethyl derivatives
R-CHO and > • Enol esters Enzyme
C= • Thiazolidines and Chemical
oxazolidines
R-C(O)-NH2 • Hydroxymethyl esters such Enzyme
and imides as acetate and phosphates
• Hydroxymethyl derivatives Chemical
• Mannich bases
Liposomes
In 1964, Bangham and Horne first demonstrated that the
dispersion of naturally occurring phospholipids in an aqueous
medium results in a vesicle (liposome), which has an interior
water phase surrounded by a lipid bilayer membrane.
Liposomes have been considered to be excellent models of
cell membranes and have been used as potent carriers in
which various materials such as drugs, toxins, proteins,
enzymes, antibodies and nucleotides are encapsulated.
Liposome helps to improve therapeutic index, rapid
metabolism, unfavourable pharmacokinetics, low solubility
and lack of stability and is considered as an acceptable and
superior drug delivery system because it is biocompatible,
1461
biodegradable and nontoxic. Liposomes are artificially
prepared phospholipid vesicles with amphipathic features.
Hydrophilic molecules can be encapsulated in the aqueous
spaces and lipophilic molecules can be incorporated in the
lipid bilayers
(see Fig. 31.2). Table 31.3 summarizes the classification of
liposomes on the basis of pharmaceutical and therapeutic
aspects (Bangham, 1983).
Fig. 31.2 Structure of liposome.
Table 31.3 Liposome classifications based on pharmaceutical

and therapeutic aspects
Type(s) Specifications
Based on structural parameters
MLV Multilamellar large vesicles: >0.5μm
OLV Oligolamellar vesicles: 0.1–1μm
1462
UV Unilamellar vesicles (all sizes in range)
SUV Small unilamellar vesicles: 20–100μm
LUV Large unilamellar vesicles: >100μm
GUV Giant unilamellar vesicles: >1μm
MVL Multivesicular Liposomes: >1μm
Based on the method of the liposome preparation
REV Single or oligolamellar vesicles prepared
MLV-REV by the reverse-phase evaporation method
SPLV Multilamellar vesicles prepared by the
FATMLV reverse-phase evaporation method
VET Stable plurilamellar vesicles
DRV Frozen and thawed MLV
Vesicles prepared by the extrusion
technique
Dehydration and rehydration method
Based on composition and application
Conventional Natural or negatively charged
liposomes (CL) phospholipids and cholesterol are used
Fusogenic Reconstituted Sindai virus envelopes
liposomes Phospholipids such as PE or DOPE
(RSVE) Cationic lipid with DOPE
pH-sensitive Natural high Tc prepared using
liposomes cholesterol and 5–10% of PEG–DSPE of
Cationic GM1
liposomes LCL attached to ligand or monoclonal
Long circulatory antibodies
liposomes
Immunoliposomes
Liposomes can be prepared by mechanical dispersion, solvent
dispersion or by the detergent removal method, which are
further classified as shown in Fig. 31.2.
1463
Due to their structure, chemical composition and colloidal
size, all of which can be well controlled by preparation
methods, liposomes exhibit several properties, which may be
useful in various applications. The most important properties
are colloidal size, i.e. rather uniform particle size distributions
in the range from 20 nm to 10μm, and special membrane and
surface characteristics. They include bilayer phase behaviour,
its mechanical properties and permeability, charge density,
presence of surface-bound or grafted polymers, or attachment
of special ligands. Additionally, due to their amphiphilic
character, liposomes can act as powerful solubilizing systems
for a wide range of compounds. In addition to these
physicochemical properties, liposomes exhibit many special
biological characteristics, including (specific) interactions
with biological membranes and various cells. These
properties indicate several possible applications with
liposomes as the solubilizers for difficult-to-dissolve
substances, dispersants, sustained release systems, delivery
systems for the encapsulated substances, stabilizers,
protective agents, microencapsulation systems and
microreactors being the most obvious ones. Liposomes can be
made entirely from naturally occurring substances and are
therefore nontoxic, biodegradable and nonimmunogenic. In
addition to these applications, which significantly impact
several industries, the properties of liposomes make it a very
useful model system in many fundamental studies including
topology, membrane biophysics, photophysics and
photochemistry, colloid interactions, cell function and signal
transduction. The industrial applications include liposomes as
drug delivery vehicles in medicine, adjuvants in vaccination,
signal enhancers/carriers in medical diagnostics and analytical
biochemistry, solubilizers for various ingredients and support
1464
matrix for various ingredients and penetration enhancer in
cosmetics.
Applications of liposomes are summarized in Tables 31.4 and
31.5 (Lasic, 1992 & 1995).
Table 31.4 Application of liposomes
Subject Application
Biochemistry Reconstitution of artificial membrane
Biology Biological membrane model, study of cell
function
Chemistry Used in study of photochemistry and catalysis,
and physical colloidal behaviours in a system of
chemistry well-defined physical characteristics
Mathematics Topology of two-dimensional surfaces in
three-dimensional space governed only by
bilayer elastic
Medicine Drug delivery, therapy and diagnosis
Physics Aggregation behaviour, soft- and
high-strength materials
Table 31.5 Application of liposomes in the fields of

medicine and pharmacy
Property of
liposome Application Disease
used
Accumulation Prostaglandins Cardiovascular
disease
1465
Drug depot Lung, subcutaneous, Wide range of
intramuscular, ocular therapeutic
applications
Drug Interleukins Cancer
protection treatment
Enhanced Topical vehicle Dermatology
penetration
Extravasation Leaky vasculature of Cancer,
tumours, inflammations bacterial
infection
RES uptake Immunomodular, vaccine, Cancer, topical
antimalarials parasites
Sustained Sustain release of Cancer and
release antineoplastic drugs, treatment of
hormones, corticoster-oids, other diseases
etc.
Site Delivery of doxorubicin, Cancer
specificity avoiding cardiac uptake
Solubilization Minoxidil Fungal
infection
Specific Cell bearing specific Wide range of
targeting antigens therapeutic
applications
Niosomes
The self-assembly of nonionic surfactants into vesicles was

first reported in the 1970s by researchers in the cosmetic
industry. Since then a number of groups worldwide have
1466
studied nonionic surfactant vesicles (niosomes) to evaluate
their potential as drug carriers. Niosomes or nonionic
surfactant vesicles are microscopic lamellar structures formed
on an admixture of nonionic surfactant of the alkyl or dialkyl
polyglycerol ether class and cholesterol with subsequent
hydration in aqueous media. Similar to liposomes, the
properties of niosomes depend both on the composition of the
bilayer and on the method of their production. The
self-assembly of surfactants into niosomes is governed not
only by the nature of the surfactant but also by the presence of
membrane additives, the nature of the drug encapsulated and
the actual method of preparation. Methods of niosomes
preparation and the number of different morphologies that
have been identified are detailed in Fig. 31.3 (Jain, 1997).
Niosomes can be prepared by various methods, including:
1. Ether injection method
2. Hand manual shaking method
3. Reverse-phase evaporation technique
4. Transmembrane pH gradient
5. The ‘bubble’ method
6. Formation of niosomes from proniosomes
1467
Fig. 31.3 Structure of niosomes.
Niosomes are new drug delivery systems that find application

in:
1. Drug targeting
2. Anticancer treatment
3. Leishmaniasis treatment
4. Delivery of proteins and peptide drugs
5. Studying of immune response
6. Carriers for haemoglobin and other drugs
7. Transdermal drug delivery system
8. Cosmetics
9. Localized drug action
Pharmacosomes
Pharmacosomes are the colloidal dispersions of drugs

covalently bound to lipids and may exist as ultrafine
vesicular, micellar or hexagonal aggregates, depending on the
chemical structure of the drug–lipid complex.
1468
Pharmacosomes are amphiphilic phospholipid complexes of
drugs bearing active hydrogen that bind to phospholipids.
Two methods have been used to prepare vesicles: the
hand-shaking method and the ether-injection method. In the
hand-shaking method, the dried film of the drug–lipid
complex (with or without egg lecithin) is deposited in a
round-bottom flask, and upon hydration with aqueous
medium, readily produces a vesicular suspension. In the
ether-injection method, an organic solution of the drug–lipid
complex is injected slowly into the hot aqueous medium,
wherein the vesicles are readily formed. An alternative
approach for producing pharmacosomes was recently
reported, in which a biodegradable micelle-forming drug
conjunct was synthesized from the hydrophobic drug
adriamycin and a polymer composed of polyoxyethylene
glycol and polyaspartic acid. This approach is beneficial in
that although it may be possible to dilute out the micelle, the
drug will probably not precipitate because of the water
solubility of the monomeric drug conjunct.
Pharmacosomes have been prepared for various nonsteroidal
anti-inflammatory drugs, proteins and cardiovascular and
antineoplastic drugs. Developing the pharmacosomes of the
drugs has been found to improve absorption and minimize
gastrointestinal toxicity.
Virosome
A virosome is a drug or vaccine delivery mechanism

consisting of unilamellar phospholipid bilayer vesicle
incorporating virus-derived proteins to allow the virosomes to
fuse with target cells. Virosomes cannot replicate but are pure
fusion-active vesicles. A virosome is the reconstituted
1469
membrane of an enveloped virus. Virosomes are produced by
dissolving the envelope of a virus by a detergent or
short-chain phospholipid. Next, the viral genetic material and
nonmembrane proteins are removed. Upon the subsequent
removal of the detergent or short-chain phospholipid, the viral
membrane is reconstituted, producing a virosome, containing
the viral membrane proteins and lipids. Viral proteins confer
to virosome-based vaccine structural stability, homogeneity
and increase the immunological properties of virosomes.
Virosomes provide a technology platform that can be adapted
to many vaccines. Lipids, antigens, adjuvants or other
materials can be added to the dissolved viral membrane. It
can also be included in the virosome during reconstitution.
The vaccines Inflexal for influenza and Epaxal for Hepatitis A
are the approved products on the market, both using
virosomes from influenza as a delivery platform. Vaccine
candidates of mymetics for both HIV/AIDS and malaria are
based on influenza virosomes. Virosomes are also capable of
binding and penetrating tumour cells, delivering cytotoxic
drugs.
Immunoliposomes
Immunoliposomes is the conjugation of antitumour antibodies

or portions of antibodies to liposomes and currently it is one
of the most effective means of drug targeting to tumours. In
this approach, many factors must be considered such as
proper choice of target antigen, antibody function and
antibody–liposome linkage. Hence, tumour antigens must be
identified and the biological response of a given antibody
towards the tumour antigen determined. However, it is
difficult to identify tumour-specific antigens because all
1470
tumours do not express unique antigens. Rather, they can
express the same antigens as normal tissue but in greater
quantities compared with normal cells. Additionally, many
tumours do not overexpress the antigens homogeneously
throughout the primary tumour or may not express them in
metastases. Some antigens may be shed or secreted, leading
to potentially high levels of soluble antigen that could
interfere with immunotherapies. Despite the above-mentioned
problem, delivery of Herceptin in immunotherapy suggests
the viability of immunoliposomes.
Chimeric or humanized mAbs can reduce the host response
against the therapeutic antibody. Removing the Fc portion of
the IgG antibody can also reduce antigenicity. In addition,
cellular internalization of antibodies increases the efficacy of
drug delivery, presumably by inducing tumour cells to
endocytose immunoliposomes. This is the case with the
HER2-targeted immunoliposomes, which distribute within
solid tumours and not simply in the extracellular space
surrounding the tumour blood vessels.
Microparticles/Microspheres
Colloidal particles in size larger than 1μm but small enough

not to sediment when suspended in water (but large enough to
scatter incoming light) are called microparticles. A
suspension of microparticles has the milky appearance of
latex rubber. Hence, microparticle suspensions have
historically been referred to as latex. Microparticles are also
known as microsphere.
Microspheres are characteristically free-flowing powders
consisting of proteins or synthetic polymers, which are
biodegradable in nature. Microspheres are usually made up of
1471
polymers and are classified as follows (see Fig. 31.4) (Widder
et al., 1979).
Fig. 31.4 Classification of microspheres.
Methods of Preparation
The preparation of microspheres should satisfy certain

criteria:
1. The particle should be able to incorporate reasonably high
concentrations of the drug.
2. The system should have clinically acceptable shelf-life, that
is, it should be stable.
3. Controlled particle size and dispersability in aqueous
vehicles for injection.
4. Control release of active drug over a predecided required
period.
1472
5. Biocompatibility and susceptibility to chemical
modification.
The method of preparation can be described as follows:
1. Emulsification method: Single emulsification method,
double emulsification method
2. Polymerization techniques: Normal polymerization,
interfacial polymerization
3. Phase separation coacervation technique
4. Spray drying and spray congealing
5. Solvent extraction method
Applications
1. Microspheres in vaccine delivery: Microspheres offer

specific advantages over the conventional vaccine delivery
system, including improved antigenicity by adjuvant action,
modulation of antigen release and stabilization of antigen.
2. Targeting using microparticulate carriers
3. Monoclonal antibodies-mediated microspheres targeting:
Monoclonal antibodies (Mabs) are extremely specific
molecules and can be utilized to target microspheres-loaded
bioactive molecules to selected sites.
4. Imaging agent: The microspheres have been extensively
used for diagnostic purposes. Various cells, cell lines, tissues
and organs can be imaged using radio-labelled microspheres.
5. Topical porous microspheres: Microsponges are porous
microspheres having various interconnected voids of particle
size in the range 5–300μm. These microsponges, having the
capacity to entrap a wide range of active ingredients
such as emollients, fragrances and essential oils, are used as
topical carrier systems. Furthermore, these porous
microspheres with active ingredients can be incorporated into
1473
formulations such as creams, lotions and powders.
Microsponges consist of noncollapsible structures with a
porous surface through which active ingredients are released
in a controlled manner.
6. Surface modified microspheres: Different approaches have
been utilized to change the surface properties of carriers to
protect them against phagocytic clearance and to alter their
body distribution patterns. The most studied surface modifiers
are antibodies and their fragments, proteins, mono-, oligo-
and polysaccharides, chelating compounds, etc. Such
modifications occur in the surface of microspheres to target
the discrete organs and to avoid rapid clearance from the
body.
Nanoparticles
Colloidal particles ranging in size between 10 and 1000 nm

(1μm) are known as nanoparticles. The drug is dissolved,
entrapped, encapsulated or attached to a nanoparticle matrix.
The main objectives in designing nanoparticles as a delivery
system are to control particle size, surface properties and the
release of pharmacologically active agents in order to achieve
the site-specific action of the drug at the therapeutically
optimal rate and dose regimen.
Owing to their smaller size, nanoparticles disperse readily in
water to form a clear colloidal dispersion, which is suitable
for injection through a fine gauze needle. The preparation is
sterile, nonantigenic and free from pyrogens. Even gelatin
nanoparticles can be autoclaved at 121°C for 156 minutes.
Nanoparticles can be prepared from various materials such as
proteins, polysaccharides and synthetic polymers. The
selection of matrix materials depends on many factors
1474
including size of nanoparticles required; inherent properties
such as aqueous solubility and stability of drugs; surface
characteristics such as charge and permeability; degree of
biodegradability, biocompatibility and toxicity; desired drug
release profile; and antigenicity of the final product.
Nanoparticles are usually prepared by three methods: (1)
dispersion of preformed polymers, (2) polymerization of
monomers and (3) ionic gelation or coacervation of
hydrophilic polymers.
Dispersion of preformed polymers is a common technique
used to prepare biodegradable nanoparticles from poly(lactic
acid) (PLA). This can be achieved by two approaches: the
solvent evaporation method or the spontaneous emulsification
or the solvent diffusion method.
In the polymerization method, monomers are polymerized to
form nanoparticles in an aqueous solution. The drug may be
incorporated either by dissolving it in the polymerization
medium or by adsorption onto the nanoparticles after
completion of polymerization. The nanoparticle suspension is
then purified to remove various stabilizers and surfactants
used in the polymerization technique by ultracentrifugation
and re-suspending the particles in an isotonic surfactant-free
medium.
In coacervation or the ionic gelation method, biodegradable
hydrophilic polymers such as chitosan, gelatin and sodium
alginate are used to prepare nanoparticles. This method
involves the interaction of positively charged amino group of
chitosan with negatively charged tripolyphosphate to form
coacervates within a particular nanosize range. Coacervates
are formed as a result of electrostatic interaction between two
aqueous phases, whereas ionic gelation involves the material
undergoing transition from liquid to gel due to ionic
1475
interaction conditions at room temperature (Kreuter & Liehl,
1981; Couvreur, 1988).
Applications of nanoparticles:
1. Used as a carrier system to deliver different drugs to
different organs.
2. Transport active drugs across the blood–brain barrier, such
as hexapeptide endorphin dalargin, loperamide, tubocurarine.
3. The protein albumin or gelatin nanoparticles widely used
for the delivery of anticancer drugs such as 5-fluorouracil,
paclitaxel, doxorubicin to tumour sites.
4. Protein nanoparticles can deliver antibiotics and can be
used for the complete eradication of H. pylori.
5. Another therapeutic area for protein nanoparticles is their
use as carriers for ophthalmic drugs; for example, pilocarpine
bound to gelatin nanoparticles substantially prolong
intraocular pressure reduction in rabbits with experimental
glaucoma as well as the miosis time.
6. Gelatin nanoparticles are used as immunological adjuvant
to enhance both humoral and cellular responses to antigen.
7. Gelatin nanoparticles are used as gene delivery vehicle.
Solid Lipid Nanoparticles
The first patents based on solid lipid nanoparticles (SLN)

formulations were issued in 1993 and 1996. Various research
groups have investigated the SLN delivery systems with
respect to production, characterization and application. By
definition, SLN formulations are made from solid lipids (i.e.
lipids solid at room temperature), surfactant(s) and water. The
term lipid includes triglycerides, partial glycerides, fatty
acids, steroids and waxes. Examples of such lipids are
triglycerides including tricaprin, trilaurin, tripalmitin, hard fat
1476
types including glycerol behenate and glycerol
palmitostearate, and waxes such as cetyl palmitate. Many
emulsifiers, differing with respect to charge and molecular
weight, have been used to stabilize the aqueous lipid
dispersion. The choice of the surfactant and its concentration
depends on the chosen lipid and on the administration route
and is more limited for parenteral administration than for oral
or dermal application. Examples of such surfactants include
soybean lecithin, egg lecithin, Poloxamer 188 and sodium
cholate. A potential advantage of SLN is the use of
physiological lipids that have low cytotoxicity and therefore a
decreased danger of acute and chronic toxicity.
Solid lipid nanoparticles can be prepared by the solvent
emulsification method, microemulsion-based SLN
preparations and high-pressure homogenization.
Transdermal Drug Delivery System (TDDS)
Transdermal delivery is the transport of therapeutic

substances through the skin for systemic effect. Transdermal
drug delivery systems are topically administered medicaments
in the form of patches that deliver drugs for systemic effects
at a predetermined and controlled rate.
A transdermal drug delivery system is a device that provides
an alternative route for administering medication and allows
drugs to be delivered across the skin barrier via an active or a
passive mechanism. Theoretically, working of transdermal
patches is very simple: a drug is applied in a relatively high
concentration to the inside of a patch, which adheres on the
skin for an extended period of time. Through the diffusion
process, the drug enters the bloodstream directly through the
skin. Since there is high concentration on the patch and low
1477
concentration in the blood, the drug will keep diffusing into
the blood for a long period of time, maintaining the constant
concentration of drug in the blood. There are different types
of TDDS, which include matrix diffusion controlled,
membrane permeation controlled and microsealed-based
transdermal drug delivery systems (see Fig. 31.5).
Fig. 31.5 Structure of transdermal drug delivery system.
An advantage of a transdermal drug delivery route over other

types of medication delivery such as oral, topical, intravenous
and intramuscular is that the patch provides a controlled
release of the medication into the patient, usually through
either a porous membrane covering a reservoir of medication
or through body heat melting thin layers of medication
embedded in the adhesive. The main disadvantage of
transdermal delivery systems is that the skin is a very
effective barrier; as a result, only medications whose
molecules are small enough to penetrate the skin can be
delivered via this method.
The main components of a transdermal patch are:
1. Liner: Protects the patch during storage. The liner is
removed prior to use.
2. Drug: Drug solution in direct contact with release liner.
1478
3. Adhesive: Serves to adhere the components of the patch
together along with adhering the patch to the skin.
4. Membrane: Controls the release of the drug from the
reservoir and multilayer patches.
5. Backing: Protects the patch from the outer environment.
A wide variety of pharmaceuticals are now available in the
transdermal patch. Transdermal delivery of drugs through the
skin to the systemic circulation provides a convenient route of
administration of drug for a variety of clinical indications.
Transdermal delivery systems are currently available
containing scopolamine (hyoscine) for motion sickness,
clonidine and nitroglycerin for cardiovascular disease,
fentanyl for chronic pain, nicotine to aid smoking cessation,
oestradiol (alone or in combination with levonorgestrel or
norethisterone) for hormone replacement and testosterone for
hypogonadism.
Development of the transdermal system can be classified into
three generations. In the first generation, patch technology is
used to deliver small-molecule drugs with the right set of
properties, especially those drugs that are currently
administered orally and by injection.
In the second generation, chemical enhancers are used as
formulation excipients in topical dermatological creams and
ointments and some systemic patches for small-molecule
drugs. They will probably have little impact on the delivery of
hydrophilic drugs and macromolecules because the most
effective chemical enhancers generally diffuse out of the
stratum corneum and penetrate deeper tissues. Iontophoresis
and noncavitational ultrasound are also included in the
second-generation transdermal system. However, because
iontophoresis does not substantially change the skin barrier, it
appears unlikely to impact macromolecule or vaccine
delivery, unless used in combination with other methods that
1479
increase skin permeability, whereas noncavitational
ultrasound has found use for transdermal delivery of
anti-inflammatory in the context of physical therapy but does
not appear suitable for delivery of large compounds.
Advanced targeted, third-generation combinations of
chemical enhancers and biochemical approaches offer more
targeted enhancement.
Third-generation physical enhancement using cavitational
ultrasound and electroporation enhances transdermal delivery
by disrupting the stratum corneum on the nanometer scale.
However, their applications may be limited by the need for a
sophisticated device that only increases skin permeability at
the nanometer scale and hence may not be broadly applicable
to macromolecules and vaccines.
Skin can be disrupted on the micron scale by third-generation
physical enhancement using microneedles, thermal ablation
and microdermabrasion. These methods are promising as they
are capable of delivering not only small molecules but also
macromolecules and vaccines.
Overall, transdermal drug delivery offers opportunities to deal
with the low bioavailability of many oral drugs, the pain and
inconvenience of injections, and the limited controlled release
options of both. Building off the success of first-generation
transdermal patches, second-generation chemical enhancers
and iontophoresis are expanding delivery capabilities for
small molecules, whereas third-generation physical enhancers
(including ultrasound, thermal ablation and microneedles) can
allow transdermal delivery of macromolecules and vaccines.
These scientific and technological advances that enable
targeted disruption of the stratum corneum while protecting
deeper tissues have been very successful, bringing the field to
a new level of capabilities that position transdermal drug
delivery for increasingly widespread impact on medicine.
1480
Resealed Erythrocytes
Erythrocytes, also known as red blood cells, have been

extensively studied for their potential carrier capabilities for
the delivery of drugs and drug-loaded microspheres. Such
drug-loaded carrier erythrocytes are prepared by collecting
blood samples from the organism of interest, separating
erythrocytes from plasma, entrapping drug in the erythrocytes
and resealing the resultant cellular carriers. Hence, these
carriers are called resealed erythrocytes. The overall process
is based on the response of these cells under osmotic
conditions. Upon reinjection, the drug-loaded erythrocytes
serve as slow circulating depots and target the drugs to a
reticuloendothelial system. Erythrocytes are biocompatible,
biodegradable, possess long circulation half-lives and can be
loaded with a variety of biologically active compounds using
various chemical and physical methods. Several methods
have been reported for encapsulation of drug or other
bioactive agents in erythrocytes. Electrical pulse methods and
osmosis-based methods are based on the physical nature,
whereas methods involving chemical perturbation of the
membrane are chemically based. Hypotonic haemolysis,
hypotonic dilution, hypotonic dialysis, hypotonic preswelling
and osmotic pulse methods can be categorized under
osmosis-based methods. Chemical perturbation of the
membrane, electrical breakdown or electroporation,
endocytosis, lipid fusion, laser loading and intrinsic uptake of
substances by erythrocytes are other reported methods used
for encapsulation of drugs and other agents into erythrocytes
(Gothoskar, 2004).
Applications of resealed erythrocytes:
1481
1. Erythrocytes have been used as circulating depots for the
sustained delivery of antineoplastics, antiparasitics, veterinary
antiamoebics, vitamins, steroids, antibiotics and
cardiovascular drugs.
2. Targeting RES organs: Enzyme deficiency/replacement
therapy and treatment of hepatic tumours.
3. Removing of toxic agents.
4. Enzyme therapy: Enzymes are widely used in clinical
practice as replacement therapies to treat diseases associated
with their deficiency (e.g. Gaucher’s disease, galactosuria),
degradation of toxic compounds secondary to some kind of
poisoning (cyanide, organophosphorus).
5. Improvement in oxygen delivery to tissues: Haemoglobin is
the protein responsible for the oxygen-carrying capacity of
erythrocytes. Under normal conditions, 95% of haemoglobin
is saturated with oxygen in the lungs, whereas under
physiologic conditions in the peripheral blood stream only
~5% of oxygenated haemoglobin becomes deoxygenated.
Thus, the major fraction of oxygen bound to haemoglobin is
recirculated with venous blood to the lungs.
Antibody-Targeted Systems
Drug delivery systems can use macromolecular attachment

for delivery using immunoglobulins as the macromolecule.
The obvious advantage of this system is that it can be targeted
to the site of antibody specificity. Less amount of drug
required and side effects being reduced considerably are some
of the major advantages of this drug delivery system. Drugs
are linked, covalently or noncovalently, to the antibody, or
placed in vesicles such as liposomes or microspheres and the
antibody is used to target the liposome. Covalent attachments
1482
are generally not very efficient and diminish the
antigen-binding capacity. If conjugated through an
intermediate carrier molecule, it is possible to increase the
drug/antibody ratio. Such intermediates include dextran or
poly-L-glutamic acid. Examples of drugs that have been
conjugated to antibodies or their fragments are anticancer
drugs. Numerous antibody–liposome combinations have been
investigated for delivering drugs and genes. The term
immunoliposomes is used for liposomes loaded with drug that
have been surface conjugated with antibodies. The main
advantage of antibody-targeted system is that the adverse
effects of anticancer drugs can be reduced by using
monoclonal antibodies that recognize only tumour antigens
(Green et al., 2004).
Leukocytes
Two ligands that have been commonly used in various studies

are Sialyl-Lewisx (sLex), a carbohydrate found in
neutrophils, and PSGL-1, present in the surface of leukocytes.
Microparticles conjugated with sLex were found to mimic the
adhesive behaviour of leukocytes, on surfaces coated with
either P- or E-selectin, displaying rolling adhesion that was
dependent on ligand surface density. Similarly, in vivo studies
using mice models conducted with PSGL-1-coated
microparticles found an increase in microparticle adhesion via
P-selectin expressed on activated endothelium. These results
from ‘leukocyte-inspired particles’ are promising
developments in the field of targeted drug delivery and
represent the nascent stages in a new approach to improve
site-specific therapy. Though platelets, a blood cell type,
demonstrate higher adherence to activated endothelium under
1483
high shear conditions than leukocytes, there is no current
strategy to mimic platelet binding to target activated
endothelium for drug delivery applications.
Platelets
Platelets are small, nucleate, discoid-shaped blood cells with

the fundamental role of maintaining haemostasis. Platelets
contain a large number of biologically active molecules
responsible for specific function of the same. Because
platelets circulate in the blood throughout the body, they may
be exploited for targeting of protein of interest and can be
used as delivery system to treat diseases such as haemophilia
A and inflammation (Shin et al., 2010).
Micelles
Micelle is an aggregate of amphipathic molecules in water,

with the nonpolar portions in the interior and the polar
portions at the exterior surface, exposed to water.
Hydrophobic drugs can be encapsulated/solubilized into the
inner core. Micelles are formed when amphiphiles are placed
in water. They consist of an inner core of assembled
hydrophobic segments capable of solubilizing lipophilic
substances and an outer hydrophilic corona serving as a
stabilizing interface between the hydrophobic core and the
external aqueous environment. Depending on the delivery,
one can select the size, charge and surface properties of these
carriers by adding new ingredients to the mixture of
amphiphilic substances before micelle preparation and/or by
varying the preparation method. In almost all cases, the
hydrophilic outer shell consists of poly(ethylene oxide) (PEO)
1484
chains, owing to their high degree of hydration and large
excluded volume inducing repulsive forces, which contribute
to the stabilization of the micelle. In addition, the PEO corona
prevents recognition by the reticuloendothelial system,
thereby minimizing the elimination of the micelle from the
bloodstream. Thus, these so-called ‘stealth’ properties of the
PEO corona result in increased blood circulation times and
allow drugs to be administered over prolonged periods of
time. Surfactant micelles form only above a critical
concentration, called the critical micelle concentration
(CMC), and rapidly break apart upon dilution, which can
result in premature leakage of the drug and its precipitation in
situ. These limitations of surfactant micelles as drug delivery
carriers triggered the search for micelles of significantly
enhanced stability and solubilizing power. The use of
polymer-based micelles has gained much attention because of
the high diversity of polymers, their biocompatibility,
biodegradability and the multiple functional groups they
display for the conjugation of pilot molecules.
Polymeric Micelles
Similar to their low-molecular-weight counterparts,

amphiphilic polymers associate in water to form ‘polymeric
micelles’, consisting of a hydrophobic core stabilized by a
corona of hydrophilic polymeric chains exposed to the
aqueous environment. Polymeric micelles can be used as
efficient carriers for compounds, which alone exhibit poor
solubility, undesired pharmacokinetics and low stability in a
physiological environment. The hydrophilic shell contributes
greatly to the pharmaceutical behaviour of polymeric
formulations by maintaining the micelles in a dispersed state,
1485
as well as by decreasing undesirable drug interactions with
cells and proteins through steric-stabilization effects. The size
of polymeric micelles ranges from ~10 to ~100 nm, and
usually the size distribution is narrow.
However, there are significant differences between the two
types of assemblies from the physicochemical viewpoint. The
polymer concentration at which the association first takes
place, sometimes known as the critical association
concentration (CAC), is lower by several orders of
magnitudes than typical surfactant CMC values. Thus,
polymeric micelles are more stable towards dilution in
biological fluids. They can increase drug bioavailability and
retention, since the drug is well protected from possible
inactivation under the effect of their biological surroundings.
Polymeric micelles have been studied extensively as a
delivery medium for injectable drug formulations of poorly
water-soluble drugs such as paclitaxel, indomethacin,
amphotericin B, adriamycin and dihydrotestosterone.
In polymeric micelles, the hydrophilic outer shells protect the
cores and their contents from chemical attack by the aqueous
medium in which they must travel. Drug release is achieved
via common polymer degradation mechanisms, whereas the
specificity of the delivery system (e.g. cell-specific drug
targeting) is controlled by the synthetic design.
Currently, a hydrogel-type material is used to drive various
medications through the stomach and into the more alkaline
intestine. Hydrogels are cross-linked, hydrophilic,
three-dimensional polymer networks that are highly
permeable to various drug compounds, can withstand acidic
environments and can be tailored to ‘swell’, thereby releasing
entrapped molecules. Depending on the gel’s chemical
composition, different internal and external stimuli, that is,
changes in pH, application of a magnetic or electric field,
1486
variations in temperature and ultrasound irradiation may be
used to trigger the swelling effect.
Inverse/Reverse Micelles
In a reverse micelles system, the hydrophilic groups are

sequestered in the micelle core and the hydrophobic groups
extend away from the centre. These inverse micelles are
proportionally less likely to form on increasing headgroup
charge and would not create highly unfavourable electrostatic
interactions. Reverse micelles are discrete nanoscale particles
composed of a water core surrounded by a surfactant. The
amount of water within the core of reverse micelles can be
easily manipulated to directly affect the size of the reverse
micelle particle. The water-loading capacity of reverse
micelles varies with temperature, and water can be shed if
reverse micelles are exposed to low temperatures.
Mixed Micelles
Large disk-like mixed micelles composed of a drug and

biological lipid are thermodynamically stable and represent a
new drug delivery system. Their unique physical properties
are reflected in a significantly improved therapeutic index.
They are aggregates of at least two different surfactants in
water. Though a variety of combinations are possible
experimentally, in practice the most common mixed micelles
contain lecithin (phospholipid) and a bile salt. These mixed
micelles are typically less haemolytic compared with
single-component micelles. This is beneficial for intravenous
administration because it can reduce the negative effects of
haemolytic surfactants.
1487
The structure of different miceller systems is shown in Fig.
31.6.
Fig. 31.6 Structure of different miceller systems.
Liquid Crystals
Liquid crystals are materials that flow like a liquid, while

maintaining an ordered structure, somewhat like a crystal.
Liquid crystals are also very useful in nanomedicine as tools
for drug delivery. This is because of the enhanced ability of
these nanoparticles to penetrate the skin or other tissues, and
their capacity for timed release of their ‘payload’.
The liquid crystals used for pharmaceutical purposes have
been modelled after those already existing in biological
systems. Examples of naturally occurring liquid crystals are
the lyotrophic molecules that make up our cells and tissues,
and are essential for life including phospholipid membranes,
DNA and cholesterol.
Some liquid crystal pharmaceuticals (LCPs) have been
effectively used for the treatment of viral diseases like herpes
(HSV) as well as to treat tumours in bladder and prostate
1488
cancer. LCPs have shown promise especially in transdermal
applications and because of their ability to target inflamed
tissue. An example of an LCP is the LCP-based antitumour
drug Tolecine. Tolecine has antibacterial and antiviral
properties and prevents abnormal tumour proliferation. It is
sometimes combined with another LCP called Apatone. The
combined formulation is produced using technology that
utilizes the properties of lyotropic liquid crystals, or organic
liquid crystals.
Lipoproteins
Endogenous lipid particles such as LDL, HDL containing a

lipid and apoprotein moiety can be used as natural targeted
liposomes. The lipid core can be used to encapsulate
lipophilic drugs or prodrugs. The apolipoprotein moiety of
these particles can be glycosylated or modified with other
receptor targeting ligands. LDL and HDL particles have been
widely used to target drugs to the liver. In addition, antiviral
agents and antimalaria drugs are also delivered to the targeted
site using lactosylated lipoproteins. Oxidized and acetylated
LDL are also used to target drugs to Kupffer and sinusoidal
endothelial cells in the liver. Scavenger receptors uptake both
the derivatives, i.e. oxidized and acetylated LDL.
Dendrimers
The word dendrimer originated from the two Greek words

dendron, meaning ‘tree’, and meros, meaning ‘part’.
Dendrimer is a relatively new field of polymer chemistry and
can be defined as regular, highly branched monomers leading
to a monodisperse, tree-like or generational structure.
1489
Synthesizing monodisperse polymers requires a high level of
control over the synthesis procedure, which can be achieved
through stepwise reactions. Each dendrimer consists of a
multifunctional core molecule with a dendritic wedge
attached to each functional site. The core molecule is referred
to as ‘generation 0’. Each successive repeat unit along all
branches forms the next generation, ‘generation 1’,
‘generation 2’ and so on until the terminating generation (see
Fig. 31.7).
Fig. 31.7 (A) Schematic representation of a generation 2

dendrimer. (B) Entrapment of drug in dendrimer.
1490
Dendrimers are different from traditional polymers in that
they have a multi-branched, three-dimensional architecture
with very low polydispersity and high functionality. Typical
dendrimers are globular nanoscale macromolecules with a
particular architecture constituting three distinct regions:
1. A central core, which is either a single atom or an atomic
group.
2. Branches originating from the core composed of repeating
units called generation, which is radical in position.
3. Many terminal functional groups generally located in the
exterior of the macromolecule. Dendrimers are a class of
regularly branched monodispersed polymers having 5–10
nanometers in diameter with unique structural and topological
features. Dendrimers are just in between molecular chemistry
and polymer chemistry. They pertain to molecular chemistry
by virtue of their stepwise controlled synthesis, and they
pertain to polymer chemistry because their repetitive
structures are made up of monomers. Unlike classical
polymers, dendrimers have a high degree of molecular
uniformity, narrow molecular weight distribution, specific
size and shape characteristics, and a highly functionalized
terminal surface. Dendrimers are being considered as
additives in several routes of administration, including
intravenous, oral, transdermal, pulmonary and ocular.
There are two defined methods of dendrimer synthesis, the
divergent growth method and the convergent growth method.
In the divergent method, the molecule is assembled from the
core to the periphery, whereas in the convergent method, the
dendrimer is synthesized beginning from the outside and
terminating at the core. In either methods, the synthesis
requires a stepwise process, attaching one generation to the
last, purifying and then changing the functional groups for the
1491
next stage of reaction (Gupta et al., 2006; Tathagata et al.,
2006).
On the basis of the typical structures, dendrimers can be
classified as chiral dendrimers, liquid crystalline dendrimers,
tecto dendrimers, PAMAMOS dendrimers, PAMAM
dendrimers, PPI dendrimers, hybrid dendrimers and peptide
dendrimers.
Application of dendrimers:
1. They are used as a carrier system for delivery of different
drugs to different organs, such as used in ocular, pulmonary,
and transdermal and oral drug delivery.
2. Dendrimers are also used for controlled release of drug at
the target site.
3. Dendrimers can also be used in gene delivery as well as a
solubility enhancer.
4. Dendrimers are used in photodynamic therapy and for
boron neutron capture therapy.
5. Dendrimers are also used as a diagnostic tool in molecular
probes, X-ray contrast agents and MRI contrast agents.
A number of novel-based drug design approaches have been
described in this chapter. The advantage of these approaches
is to enhance, sometimes very significantly, drug targeting to
the site of action. In the case of prodrug, the drug is designed
to be inactive and to undergo strategic enzymatic activation in
order to essentially provide the drug only at the site of action.
Delivery of this kind can be achieved to the brain, to the eye,
and to other organs such as the lungs. In addition, the other
carrier systems can achieve their target-oriented therapeutic
role.
Various carriers systems could be used for targeting the
therapeutic molecule and the side/toxic effect can be
minimized by reducing the drug delivery to unwanted cells/
tissues/ organs.
1492
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Kreuter J, Liehl E. J. Pharm. Sci. 1981;70:367.
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Proc. Natl. Acad. Sci., USA. 1983;83:8744.
Panyam J, Labhasetwar V. Advanced Drug Delivery Reviews.
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Tomlinson E. Int. J. Pharm. Technol. Prod. Manuf.
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Tomlinson E. (Patho) Physiology and the temporal and spatial
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Tomlinson E, Davis SS, eds. Cell Biology, Medical, and
Pharmaceutical Aspects. Chichester: John Wiley & Sons;
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Tomlinson E. J. Pharm. Pharmacol. 1992;44(1):147.
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Vyas SP, Dixit VK. Pharmaceutical Biotechnology. New
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1495
Section IV Radioactivity
1496
Chapter 32
Radioisotopes
Radioactivity and Radionuclides:

Elements of Nuclear Physics
Definitions
The atomic number (Z) is the number of protons in the

nucleus.
A nucleon is a heavy nuclear particle of any type (proton or
neutron).
The mass number (A) is the total number of nucleons in a
nucleus.
A nuclide is a nuclear species characterized by the magnitudes
of its atomic and mass numbers. Nuclides may be stable or
unstable and unstable nuclides are radioactive (radionuclides).
The correct convention for the representation of nuclides is
chemical symbol. However the atomic number is implicit in
the chemical symbol and is usually omitted. When speaking
of a nuclide the mass number follows the name of the
element, e.g. 226Ra is described in speech as radium-226.
1 2 12
H, H, C and 23Na are stable nuclides.
3 14 22
H, C, Na and 24Na are radionuclides.
An isotope is one of a series of nuclides with the same atomic
number, e.g. 1H, 2H and 3H are isotopes of hydrogen of
which only 3H (tritium) is radioactive; 10C, 11C, 12C, l3C and
1497
14
C are isotopes of carbon of which 10C, 11C and 14C are
radioactive.
The electronvolt (eV) is the unit of energy used for radiations
and 1 eV is the energy acquired by an electron when
accelerated through a potential difference of 1 V. This amount
of energy is very small, so the energies of particles are usually
given in terms of MeV or KeV:
The atomic mass unit (a.m.u.) is the unit of physical atomic

weights and 1 a.m.u. is one-twelfth of the mass of the
carbon12 atom:
All matter has an energy equivalent (given by the Einstein

equation E = mc2). Thus:
General Review of Nuclear Structure
Elementary particles
A large number of these particles exist and the properties of

those which are of interest here are given in Table 32.1. These
particles may exist in the nucleus or be emitted from it.
Table 32.1 Properties of some elementary particles
1498
A picture of the nucleus
The charge is positive and dependent on the atomic number.

Size: The nuclear radius is the distance from the centre of the
nucleus over which the intranuclear forces are effective and is
of the order of 1–9×10–13 cm, about one 10,000th of the
atomic radius.
Mass: Most of the mass of the atom is concentrated in the
nucleus which thus has a ‘density’, a concept of doubtful
validity in this context, of about 1014g per cm3.
Nuclear stability
A convenient analogy has been drawn between the nucleus

and a drop of liquid, the nucleons being envisaged as being in
a state of continual motion, as are the molecules in a liquid.
Thus the energy of the individual nucleons is changing
continually. In a stable nucleus the energy distribution is such
that none of the nucleons acquires sufficient energy to
undergo transformation or to escape from the nucleus.
However with radionuclides this energy barrier is overcome
and the energy distribution of the nucleons determines
whether a particular nucleus will undergo transformation or
not and, within limits, the way in which the transformation
1499
will occur. To extend the analogy, it is a common experience,
e.g. with mercury, that small drops of a liquid are stable and
coherent when subjected to mechanical shock, whereas large
drops tend to be unstable and break up. This latter type of
situation occurs with very large nuclei, all of which are
unstable above atomic number 82 and many of these emit
α-particles.
The intranuclear forces are very short range, exchange type
forces which are attractive and virtually independent of the
charge on a nucleon, i.e. they are similar for n–n, n–p and p–p
interactions. Although the electrostatic repulsion in the p–p
interaction is outweighed by the total effect of the attractive
forces, the repulsive effect is not lost and becomes
increasingly important as the number of protons increases. To
maintain stability extra neutrons are required so that the total
attractive nuclear force is increased and repulsions are
overcome.
Fig. 32.1 shows the relationship between the numbers of
neutrons and protons for maximum stability. Stable nuclides
have a neutron–proton ratio of 1.0 at low atomic numbers,
e.g. and the ratio tends to be about 1.5 at high
atomic numbers, e.g.
1.54. Nuclides with a sufficient neutron excess or deficiency

are unstable (radioactive) and generally the greater the excess
or deficiency the greater the instability. The degree of
instability is reflected in the rate of decay, e.g. for fluorine,
stable mass number 19, the relative rates of decay of its four
radioactive isotopes 17F, 18F, 20F and 21F are, respectively,
92, 1, 547 and 1250. Decay always produces a change which
results in a nuclear configuration of greater stability.
1500
Fig. 32.1 Relationship between the number of neutrons and
protons for nuclear stability.
Binding energy: The binding energy is the energy which

binds the individual nucleons in a coherent unit and may be
calculated as the energy change resulting from combining the
individual particles comprising an atom.
Then,
Since the mass of an atom is always less than the sum of its
constituent particles (the difference is the mass defect) ΔE is
1501
negative. The relationship between the average binding
energy per nucleon (ΔE/A) and the mass number is given in
Fig. 32.2 which shows that the binding energy is the source of
the energy released in atomic fission, in which a large nucleus
splits into two smaller ones, and in the atomic fusion reaction,
in which deuterium is converted into helium. Clearly the latter
process is inherently a much greater source of energy than the
former.
Fig. 32.2 Relationship between the mean binding energy per

nucleon and mass number.
Radioactivity
Definition
Radioactivity is the spontaneous transformation of one

nucleus into another and is accompanied by the emission of
characteristic particles (negatrons, positrons, α-particles,
neutrons) or electromagnetic radiation.
The process is completely random and is unaffected by
external conditions of temperature, pressure, etc., since the
1502
energy which can be applied to the nucleus from outside is
very small relative to that required to produce nuclear
transformations.
Radioactive decay
In any given population of nuclei there is a finite probability

that a given nucleus will disintegrate in a given time. The
probability of decay in unit time is the decay constant (λ).
If there are N0 radioactive atoms present initially and dN of
these decay in a time dt then:
(32.1)
The function dN/dt is the rate of decay, observed as nuclear

disintegrations, and is referred to as the activity and measured
in disintegrations per second (dps) or disintegrations per
minute (dpm).
Integrating equation (32.1) gives:
(32.2)
where Nt is the number of atoms present at time t and e is the

base of natural logarithms.
Half-life: The half-life (t1/2) is the time taken for the activity
to decay to one half of its initial value.
If then, from equation (32.2)
1503
(32.3)
And
(32.4)
Eq. 32.2 is a first-order exponential function so that if the

logarithm of the activity is plotted against time a straight line
results with a slope of –λ. This is illustrated in Fig. 32.3 which
also shows the half-life relationship.
Fig. 32.3 Decay of activity with time; (A) Arithmetic scale;

(B) Semi-logarithmic scale.
Both λ and t1/2 are constants which characterize the rate of

decay, but t1/2 is the more convenient for general use. If t1/2 is
known the activity of a sample at any time after initial
calibration may be calculated. If the initial activity is I0 then
after one halflife (1×tl/2) the residual activity (I) is I0/2; after
2×t1/2, I = I0/4 = I0/22; after 3×t1/2, I = I0/8 = I0/23; after
1504
m×t1/2, I = I0/2m. For example: (a) for 32P, tl/2 = 14.3 days
and exactly 3 weeks after calibration the activity is I0/2(21/
14.3)
= 0.3613 I0.
(b) for 24Na, tl/2 = 15.0 h and exactly 3 weeks after
calibration the activity is I0/2(504/15) = 7.7×10–11I0. Thus if a
reasonable excess of activity was present initially the 32P
material would still be usable after 3 weeks, whereas there is
no possibility of continuing to use a sample of 24Na after the
same elapsed time. This is obviously important in the
planning of experiments and the maintenance of stocks.
The determination of residual activity after a period of decay
may be done graphically (Fig. 32.4) if precise results are not
required, but direct calculation or reference to prepared tables
(e.g. Table 32.2) is essential for accuracy.
Fig. 32.4 Decay curves, with half-lives, of some common

radionuclides.
Table 32.2 Residual activities of radionuclides as a function

of decay time
1505
Radioactive equilibria: The situation in which a radionuclide
decays to give a radioactive daughter nuclide, which itself
decays in turn occurs frequently, e.g. in the natural
radioactive series. Taking the simplest case of the daughter
decaying to a stable nuclide, the basic rate equation for the
daughter is:
(32.5)
where NP, ND are the numbers of parent and daughter atoms

and λP, λD are their respective decay constants. Thus the net
rate of change of the number of daughter atoms is the
difference between the rate of production from the parent and
the rate of decay of the daughter.
Integrating Eq. 32.5, assuming the case of a pure parent in
which there are no daughter atoms at zero time, gives:
1506
(32.6)
where (NP)0 is the number of parent atoms at zero time and t

is the elapsed time. If IP, ID are the respective activities, Eq.
32.6 may be written:
(32.7)
or
(32.8)
where TP, TD are the half-lives of parent and daughter,

respectively. If TP TD the term e−λDt approaches zero with
increasing time much more rapidly than does e−λpt, so that the
relative amounts of parent and daughter activity reach an
approximately constant value. Since (IP)0e−λpt = Ip and
assuming the condition that e−λDt = 0, this limiting condition
is represented by the equation:
(32.9)
which gives the relative activities of daughter and parent at

the steady state, when the daughter is said to be in
‘equilibrium’ with the parent. Following attainment of
1507
equilibrium the total activity and the activities of the parent
and daughter nuclides decay with the half-life of the parent.
If the half-life of the parent is very long, so that its decay is
negligible the condition is known as secular equilibrium and
this occurs with the natural radioactive series. When parent
decay is appreciable the condition is known as transient
equilibrium. The latter condition occurs in the series
represented graphically in Fig. 32.5. This situation is utilized

to store radionuclides of short half-life which otherwise could
not be used, since their activity would decay virtually to zero
during the time of processing and delivery. Thus 132I is stored
in the form of an equilibrium mixture of 132Te + 132I
adsorbed on an alumina column and the 132I is eluted with a
mixture of 0.01mol/l NH4OH plus 0.01mol/l Na2S2O3 as
required. Fig. 32.5 shows that, following elution, a further
slightly smaller amount of 132I can be eluted after
approximately 12h and this process may be repeated until the
132
Te activity has decayed to too low a level, usually 14 days.
Similar procedures are used to supply 113mIn (half-life
99.5min), 87mSr (2.8h) and 99mTc (6h). A 99mTe radionuclide
generator is illustrated in Fig. 32.6.
1508
Fig. 32.5 Transient equilibrium in the system 132Te→132I.
1509
Fig. 32.6. A 99mTe radionuclide generator.
Determination of half-lives: If measurable decay occurs in a

reasonable time the half-life may be determined by measuring
the activity of a sample at intervals over a period. For
accuracy the period of observation should extend over about 5
half lives and there should be no appreciable decay during the
time required to make each measurement. The slope of the
best straight line which fits the data (the logarithm of the
activity’ against time) is calculated to give the value of the
decay constant, from which the half-life can be calculated
using Eq. 32.4. Alternatively, but less accurately, the
logarithm of the activity can be plotted against time, the best
line fitted by eye, and the half-life measured or calculated
using the equation:
(32.10)
where I0 is the initial activity and It is the activity after a time

t; I0, It and t may be measured from the graph.
Very short or very long half-lives require special techniques
for their determination.
A source of error in decay curves is the presence of a second
component of different half-life and this results in a curve
instead of a straight line (Fig. 32.7). Provided that the
half-lives of the two components are sufficiently different the
contribution of the shorter lived component becomes
negligible and the curve becomes the straight line which
characterizes the decay of the longer lived component. This
system can be resolved by subtracting the theoretical values
for the longer lived component (Fig. 32.7, line CBD) from the
1510
observed curve (ABC); this gives the decay curve of the
shorter lived component (EF).
Fig. 32.7 Decay curve of a binary mixture.
Units of radioactivity
The unit used is the Curie (Ci) which is that quantity of any
radionuclide which undergoes 3.70×1010 disintegrations per
second (dps).
The curie is an excessively large unit for most purposes so it
is subdivided into the (1mCi = 10–3 Ci = 3.7×107 dps =
2.22×109 dpm) and the microcurie (1 μCi = 10–6 Ci = 10–3
mCi = 3.7×104 dps = 2.22×106 dpm).
1511
The curie derives from the activity of 1g of radium in
equilibrium with its daughter products, an amount of activity
slightly less than the curie as now defined.
The specific activity refers both to the proportion of
radioactive atoms in an isotope preparation, usually given in
terms of mCi/mM, and to the amount of activity in 1g or 1ml
of a preparation.
The percentage of radionuclide in an isotope preparation can
be calculated from the expression:
The denominator of this expression is calculated as follows:
Specific activity of pure radionuclide
where T is the half-life in seconds, A is the mass number and

N is Avogadro’s Number.
Alpha-decay (α emission)
This occurs with large nuclei, predominantly with nuclides of

atomic number greater than 82. It involves the emission of an
αparticle (helium nucleus, ), for example,
Because the α-particle has a mass of about 4 a.m.u. and

carries 2 unit positive charges the transformation involves a
1512
reduction in both the atomic and mass numbers. The α
particles are emitted with discrete energies, i.e. all the
particles emitted from a particular nuclide have the same
energy, which is characteristic of that nuclear transformation.
The particle energy is related to the decay constant according
to the Geiger–Nuttall rule:
where A and B are constants for the given transformation.

Thus nuclides with a short half-life emit particles of greater
energy.
Beta-Decay
Negatron emission: Nuclei with excess neutrons gain stability

by the conversion of a neutron into a proton plus a β−
particle. The latter are fast negatrons, carrying a unit charge,
and possess all the characteristics of normal negatrons, being
called β− particles solely because they are emitted from the
nucleus. Since the β− particle has a very low mass there is no
change in the mass number, but the atomic number increases
by one unit, for example,
1513
The β-particles emitted in any given nuclear transformation
have a continuous energy spectrum (Fig. 32.8) and may have
any energy up to a maximum (Emax) which is characteristic of
the nuclide undergoing decay. The values quoted for
β-particle energies are always those of Emax. Since the total
energy change for a given nuclear transformation must be
constant, there must be some means of conserving parity
when β− particles are emitted with energies below Emax. This
is achieved by the emission of a neutrino (ν) which carries the
difference between Emax and the energy of the β− particle so
that
where Eβ, Ev are the energies of the β− particle and the

neutrino. Thus the conversion of neutrons into protons may be
represented as follows:
1514
Fig. 32.8 Energy spectrum of β-particles from a pure
β-emitter.
The neutrinos have extremely small rest mass and no charge

and so are not detected by normal counting equipment.
The mean energy of β−-particles falls approximately in the
range 0.3–0.4 Emax (Table 32.3) and is used to calculate the
energy absorbed in a system, for example, the radiation dose
to a patient in diagnostic or therapeutic procedures using
radionuclides. The magnitude of Emax determines the
maximum range of the β–-particles in matter. There is a
relationship between the half life and the maximum energy
given by the expression:
Table 32.3 Maximum and mean β−-particle energies for some
radionucudes
1515
where C is a constant. The value of this constant falls into
three groups with approximate ratios 1:10:102; nuclear
transformations with the smallest values (and shortest
half-lives) are described as allowed transitions, i.e. most
likely to disintegrate, and those with the higher values are
known as first forbidden and second forbidden transitions.
Thus, within each level of forbiddenness, the shorter the
half-life the greater the particle energy, a situation
qualitatively similar to that which occurs with α-decay.
Positron (β+) emission: This process is the converse of
β––emission and occurs with neutron deficient nuclei, the
deficiency being rectified by the conversion of a proton into a
neutron plus a positron. As with β––emission, positrons are
emitted with a continuous energy spectrum and energy
conservation is achieved by the emission of an antineutrino,1
1516
There is no change in mass number but the atomic number is
reduced by one unit, for example,
Positrons have a very brief existence (t1/2 ~ 10–10s) and

rapidly annihilate with negatrons to yield two γ-rays each of
0.51MeV in opposite directions.
These γ-rays are referred to as the annihilation radiation and

result from the conversion of the rest masses of the negatron
and positron (0.00055 a.m.u. each ≅ 0.51MeV) into radiant
energy.
Electron capture (EC, K-capture)
This is an alternative form of decay to β+-emisson with

neutron deficient nuclei and involves the conversion of a
proton into a neutron by capture of an orbital electron
1517
(negatron),
Electron capture may occur concurrently with β+-emission as

an alternative process or as the sole mode of decay when the
available energy is less than the 1.02MeV (0.51 + 0.51MeV)
which is the minimum required for β+-emission to occur.
The principal source of capture negatrons is from the K shell
of the atom (hence K-capture) but L shell negatrons may also
be captured. In either case capture causes a deficiency in the
K or L shells which is made good by the migration of a
negatron from one of the outer shells. Since the migrant
negatron loses energy in the process, the surplus energy is
emitted in the form of X-rays of an energy characteristic of
the product atom, for example,
The X-rays are characteristic of the product atom since once

electron capture has occurred the original nucleus is
converted into the product nucleus and negatron migration
follows.
As with positron emission the mass number remains
unchanged but the atomic number is reduced by unity.
1518
Nuclear fission
The liquid drop analogy discussed above indicates that large

nuclei tend to be unstable and split into two fragments.
Although this process can occur spontaneously it is extremely
slow and for natural uranium the process has a half-life of
about 0.9×106 years. However, if large nuclei are irradiated
with neutrons of sufficient energy the resultant neutron
capture results in a very high degree of instability and fission
occurs immediately. This process is the basis of operation of
the nuclear reactor (see below), in which a sufficient bulk of
fissile material (235U or 239Pu) is brought together so that the
neutrons emitted in the occasional spontaneous fission have a
high probability of capture by other nuclei. The latter
disintegrate promptly to yield neutrons which are captured in
turn, resulting in a self-sustaining chain reaction.
Processes accompanying decay
The production of annihilation radiation following

β+-emission and of X-rays after electron capture has been
described above and will not be discussed further.
Gamma emission: Gamma emission is not usually a form of
nuclear transformation but may follow other forms of decay.
If the product nucleus is left in an excited state the surplus
energy is lost by the emission of one or more γ-rays
(electromagnetic radiation of high energy), so that the final
energy of the product nucleus is at its ground state (see Fig.
32.8). The γ-rays are emitted with fixed, discrete energies;
there is no energy spectrum such as occurs with β– particles.
Isomeric transition: In some cases radioactive nuclei, in
addition’ to their inherent instability, exist in an excited or
1519
metastable state which persists for some time. Such nuclides
are distinguished by the addition of the letter ‘m’ to the mass
number (99mTc, 110mAg, 234mPa) and decay with different
half-lives from the nonmetastable nuclides (Table 32.4):
Table 32.4 Half-life of metastable and nonmetastable

nuclides
Nuclide Half-life
99
Tc 2.1×105 years
99m
Tc 6h
110
Ag 24s
110m
Ag 253 days
234
Pa 6.66h
234m
Pa 1.18min
Nuclides with the same mass and atomic numbers but
different half-lives are described as nuclear isomers. This is
the only decay process in which γ-rays may be emitted
without the emission of particles.
Internal conversion (IC): When the energy of the γ-radiation
emitted from a product nucleus is low, a proportion of the
γ-rays may not be emitted as such but may react with orbital
negatrons and eject them from the atom. Clearly, this process
is most probable when the γ-energy (Eγ) is slightly greater
than the binding energy of the negatron (EBE). These
negatrons are emitted with an energy (Ee) which is given by
the expression:
1520
Since E and EBE are constants the value of Ee is constant so
the negatrons produced by internal conversion are emitted
with low, fixed, uniform energies and so are distinguishable
from β−-particles, which have an energy spectrum.
Representation of decay: Decay schemes
These diagrams are a convenient way of indicating the

processes which occur when a large population of nuclei
decay. A few representative simple decay schemes are given
in Fig. 32.9. The vertical distances represent the energy
changes involved, slanting of a line to the right indicates the
emission of a negative particle (β−-emission), slanting to the
left indicates the emission of a positive particle (β− − or
α-emission) or electron
capture, and since γ-emission does not involve the emission of
charged particles or a change in atomic number this process is
represented by vertical lines. Also the parent and product
nuclides are indicated together with the energies involved
and, where several modes of decay are possible, the
percentage of nuclei disintegrating by each path.
1521
Fig. 32.9 Some typical decay schemes.
The existence of alternative modes of decay results from the

ways in which the energy may be distributed between the
nucleons in a nucleus. The probability of the various energy
distributions is reflected in the proportions of nuclei decaying
by the different routes so that for any given radionuclide the
percentage of nuclei decaying by these routes is constant. It
should be noted that, whatever the mode of decay, the energy
liberated in arriving at a given product nucleus is constant, for
example, for 60Co (Fig. 32.9) 0.1 per cent of nuclei decay by
the emission of 1.48MeVβ– particles to yield 60Ni in an
excited state and 99.9 per cent of nuclei emit 0.31MeV β–
particles to yield 60Ni in a doubly excited state (higher energy
level). In the latter case the higher energy 60Ni reverts to a
lower energy state by the emission of 1.17MeV γ-radiation
and parity of energy is preserved (total change 0.31 + 1.17 =
1.48MeV). In either case the 60Ni then reverts to its ground
energy state by the emission of 1.33MeV γ-radiation. This
1522
consecutive production of two different energy γ-rays is
described as the emission of two γ-rays ‘in cascade’.
Interaction of Radiation with Matter

Specific ionization
All the types of radiation involved in radioactive decay lose

energy in matter by an essentially similar process, namely
interaction with the orbital negatrons of atoms. The atom may
be ionized by the ejection of an orbital negatron, the residual
positive ion and the ejected negatron being described as an
ion pair or it may be excited by raising the orbital negatrons
to a higher-energy state. Ionizations are characteristic of
nuclear and X-radiations which are referred to accordingly as
ionizing radiations: other types of radiation do not possess
sufficient energy to produce ionization. There is no general
agreement on the relative importance of ionization and
excitation but it is probable that the former accounts for at
least 50 per cent of the total energy loss.
Specific ionization is defined as the number of ion pairs per
millimetre of path length.
The specific ionization increases as particle velocity
decreases, since lower-velocity particles spend more time in
the vicinity of an atom and there is thus a greater probability
of interaction. In air about 35 eV is required to produce one
ion pair so that about 15,000 ion pairs are created for each
1MeV of incident energy, assuming that 50 per cent of the
energy loss results from ionization.
1523
Particle range
The range of particles in matter may be expressed in two

ways. Most simply this is given as the thickness of material
(in cm or mm) which is penetrated. However, the energy loss
results from interactions with orbital negatrons and the
electron density is reflected approximately by the density of
the material, so range is usually given in terms of superficial
density, i.e. the mass of material behind 1cm2 of surface.
Superficial density = ρx g cm–2 = 1000 ρx mg cm–2, where ρ
is the density of the material and x is its thickness in cm.
α-Particles
Most α-particles have energies between 3 and 8MeV, the

corresponding ranges in air being 1.5 and 7.5cm (Fig. 32.10)
and in aluminium 0.01–0.4mm. Thus X-emitters in containers
do not represent any hazard to workers since all the energy is
absorbed in the walls of the container.
1524
Fig. 32.10 Range–energy relationships for α-particles in air
and aluminium.
The range of α-particles is related to their energy. The range

in air (R) is given by the expression
where E is the energy in MeV.

However, because of the high mass and charge they produce a
high specific ionization of 1–6 ions pairs per mm (Fig. 32.11),
so the effects produced in the vicinity of an α-emitter are
localized and intense.
Fig. 32.11 Specific ionization produced in air by 7MeV

α-particles.
β-Particles
These have a small mass and thus a high velocity for a given
energy, so they are readily scattered out of a straight line path
1525
by other electrons and produce a relatively low specific
ionization of about 5–10 ion pairs per millimetre of air for
β–-particles of 10–0.2MeV, respectively.
When β–-particles enter the electrical field of the nucleus a
change in velocity results, resulting in the emission of
electromagnetic radiation known as Bremsstrahlung (braking
radiation), which, however, differs from γ-radiation in having
a continuous energy spectrum, arising from the wide energy
range of the β−-particles affected and a low energy. About 0.1
per cent of the energy loss of 32P β−-particles in
low-atomic-number material occurs in this way and the
amount of Bremsstrahlung production increases with
increasing atomic number of the absorbing material. Although
the contribution from this source is small it is sufficient to
complicate the shape of β−-absorption curves and to create
problems in the protection of radiation workers.
The combined effects of the various energy loss processes
and of the fact that β−-particles have a continuous energy
spectrum lead to an absorption curve of the form shown in
Fig. 32.12. This illustrates the absorption curve in aluminium
for 32p, which is a pure, monoenergetic β−-emitter.
Aluminium is almost transparent to Bremsstrahlung and this
results in a
tail to the curve almost parallel to the abcissa (line CD). If the
Bremsstrahlung contribution (DCE) is subtracted from the
observed curve (ABCD), that due to the β–-particles (ABF) is
obtained. The maximum, finite range particles can be used to
determine their maximum energy using a correlation graph
(Fig. 32.13). The ranges and energies quoted are always
values of Rmax and Emax, related by the expressions:
1526
and
Fig. 32.12 Absorption curve in aluminium for a pure

β-emitter (32P).
1527
Fig. 32.13 Range–energy curve for β-particles.
γ-Radiation
Since γ-rays have no charge or mass they interact only weakly

with matter, the specific ionization being only about 1 per
cent of that for β–-particles. The energy loss processes are
more complex than for particulate radiation and are of three
types, illustrated in Fig. 32.14.
1528
Fig. 32.14 The processes involved in the loss of energy by
γ-radiation. If the initial energy is Eγ the residual energies are
as follows: In Compton scattering, , i.e. the initial
energy less the sum of the energies imparted to the scattered
negatrons. In pair production, 2×0.51Mev γ-rays = 1.02Mev:
Eγ 1.02Mev is the energy lost in creating the
positron-negatron pair and the kinetic energy lost by the pair
before annihilation. In photoelectric absorption the negatron
has an energy of E minus the binding energy (be) (be) of the
negatron.
Photoelectric absorption is important for low-energy

radiation (up to about 0.5MeV) and high atomic number
absorbers. In this process the entire energy of the incident
radiation is absorbed by an atom, which then ejects an orbital
negatron, normally from the K or L shells, at about 90° to the
direction of the incident radiation.
Compton scattering is the predominant process for radiation
of moderate energy (0.5–2MeV) and absorbers of lower
atomic number. In this process the radiation loses its energy
1529
in a series of elastic collisions with orbital negatrons, the
latter being ejected at a variety of angles (greater than 90° to
that of the incident radiation) with a corresponding range of
energies.
Pair production involves the creation of a negatron–positron
pair and is the converse of the annihilation process of
positrons referred to above. It follows that the process is
impossible below energies of 1.02MeV and its probability
increases as the radiation energy and the atomic number of
the absorber increases.
Despite the complexity of the energy loss processes, the
absorption in matter is strictly exponential and
where I0 is the intensity of the incident radiation, Ix is the

radiation intensity after passing through a thickness x cm and
μ is the linear absorption coefficient, in units of reciprocal
centimetres. From the nature of the relationship it is clear that
γ-radiation can be attenuated by a barrier but never
completely stopped. This contrasts strongly with the situation
obtained with a- and β–-particles, both of which have a finite
range.
The half thickness (x1/2) is that thickness of absorber required
to attenuate the beam by 50 per cent and
1530
Knowledge of the half-thickness enables the energy of the
radiation to be determined (Fig. 32.15) and the thickness of a
barrier required to attenuate the beam by any desired amount
to be calculated.
Fig. 32.15 Half-thickness-energy curve for γ-radiation.
Occasionally the mass absorption coefficient (μ/ρ) is used

when comparing materials of different density, but this is less
generally useful.
The relationships between the linear absorption coefficients
and energy for different absorbers is shown in Fig. 32.16,
from which it is clear that the absorption of γ-radiation
depends markedly on both its energy and the atomic number
of the absorber.
1531
Fig. 32.16 Dependence of the linear absorption coefficients
for γ-radiation on energy and atomic number.
Production of Radionuclides
Artificial radionuclides are derived by bombardment of stable
target nuclei with neutrons, usually in a nuclear reactor, or
with other particles in cyclotrons and by isolation from the
spent fuel from nuclear reactors.
Nuclear reactors
These are devices for producing high fluxes of neutrons. The

neutrons in reactors are a mixture of fast neutrons
(high-energy) and thermal neutrons, the latter having an
energy similar to the thermal energy of atoms and molecules.
Thermal neutrons are obtained by allowing the fast neutrons
to pass through a moderator, commonly heavy water or
graphite, and have a higher probability than fast neutrons of
causing nuclear reactions.
1532
The principal reactors used in the United Kingdom for
nuclide production are the heavy water reactors DIDO and
PLUTO, which are similar in design. DIDO consists of an
aluminium tank about 2m in diameter and 3.3m deep
containing 10 tonnes of heavy water (D2O) in which are
located 25 fuel elements, the total loading being 3.75kg of
enriched uranium fuel. The fuel elements are cylindrical and
are designed to provide a very high neutron flux in the central
hole and very efficient cooling is achieved by pumping the
heavy water through the fuel elements at high velocity. The
heavy water system forms a closed loop and the secondary
coolant is purified mains water which in turn vents the heat to
the atmosphere via a cooling tower. The core tank is
surrounded by 60cm of graphite reflector.
The output of the reactor, normally 12.5–15MW of heat,
maximum thermal neutron flux 2.2×1014 n/cm2/s, is
controlled by the degree to which cadmium control arms or
rods are inserted into the core. Cadmium is a powerful
neutron absorber and the further the control rods are inserted
the greater the neutron absorption and the lower the power
output.
Biological shielding is provided on the sides and bottom by a
boral steel tank, 10cm of water-cooled lead and 1.5m of
barytes concrete. The top shield consists of 2mm of cadmium,
10cm of water cooled lead, about 1m of steel shot concrete
and a 35cm steel top plate.
A variety of experimental facilities is provided so that
materials for irradiation can be placed in the centres of fuel
elements, in the heavy water or in the graphite. The types of
target which may be irradiated are chosen carefully to avoid
chemical decomposition and contamination of the reactor.
1533
Reactor Production
Several types of reaction can occur, as discussed below:
The (n, γ) reaction
This involves the capture of thermal neutrons by the target

nuclei to yield a radioactive compound nucleus which is in an
excited state due to the binding energy liberated by the
capture of a neutron. This surplus energy is emitted as
γ-radiation, not to be confused with the γ-emission which may
accompany decay of the radionuclide, for example,
or more shortly, 23Na (n, γ)24 Na.

The process usually does not yield material of high specific
activity since the product is chemically identical to the target
and so cannot be separated from it, but high specific activity
nuclides may be obtained in some cases such as 56Mn, 170Tm
192
Tm 198Ir, 198Au.
Reactions involving the loss of heavy particles
In these reactions protons or α-particles are emitted from the

compound nucleus following neutron absorption. Fast
neutrons may be required for these reactions to occur, since
considerable energy is needed to expel the heavy particle.
Examples of the use of these reactions in radionuclide
1534
production are as follows: 6Li(n, α)3H, 14N(n, p)14C, 32C(n,
p)32p, 54Fe(n, p)54Mn. In such cases the product is
chemically different from the target and can be separated in
very high specific activity.
Side reactions
When compounds are irradiated two or three elements will be

present, and each one of these may be a mixture of isotopes.
Each isotope may undergo a nuclear transformation so that
the product contains a number of radionuclides in addition to
that desired. For example, if sodium chloride is irradiated to
obtain 24Na the result is as shown in Table 32.5. Some 4°K
(1.3×109 years) and
42
K (12.4h) are also present due to potassium impurity in the
sodium. Fortunately 23Ne, 20F, 38Cl, 37S and 34P decay
rapidly and so are not present at the time of use, while 35S
and 32P are pure β−-emitters and can be distinguished from
the 24Na which is a β-γ-emitter. Because of such
complications, 24Na is obtained by the irradiation of sodium
carbonate since the product is radiochemically purer.
Table 32.5 Radionuclides produced in sodium chloride by
irradiation in a nuclear reactor
1535
Nuclides from fission products
The uranium reactor fuel undergoes fission and, in time,

becomes spent and the fuel rods are then removed from the
reactor and placed in a deep water tank to ‘cool’, i.e. to allow
the short-lived activity to decay. They are then processed to
recover unchanged uranium and to separate the fission
products. There is a low probability of central fission of the
nucleus and the maximum yields of fission products occur in
the region of mass numbers 95 and 138 (Fig. 32.17). Useful
amounts of 90Sr, 131I, 132Te, 137Cs and 140Ba are obtained
together with many other products.
Fig. 32.17 Yield of fission products from uranium-235.
1536
Laboratory Neutron Sources
These provide thermal neutrons at low flux and can be used

for the laboratory production of small amounts of short lived
radionuclides. The available neutron sources depend
principally on the bombardment of a light target element with
α-particles, the usual reaction being
since beryllium gives the highest neutron yields.

Suitable α-sources are 227Ac, 241Am, 242Cm, 210Po, 226Ra
and 228Th. The neutron emissions vary between 2.5×103 and
1.2×108 per second, depending on the α-source selected and
its activity, and vary in energy between 1 and 12MeV.
Lower-energy neutrons (<1MeV) can be obtained using 210Po
with a lithium target.
Monoenergetic 26 KeV neutrons are given by a 124Sb/Be
source, which depends on the production of neutrons by
highenergy γ-rays.
Cyclotron Irradiations
Radionuclides which are deficient in neutrons cannot

normally be produced in nuclear reactors but may be obtained
by bombarding target nuclei with protons deuterons or
α-particles in a cyclotron.
The principles of construction of a cyclotron are shown in
Fig. 32.18. It consists of two Hat hollow semicylinders,
known as dees, placed in a very high-vacuum chamber and
1537
supplied with a source of high-frequency voltage. The
vacuum chamber is contained between two magnets. When
charged particles are injected into the centre of the dees they
are induced to follow a spiral path towards the circumference
and, in the process, are accelerated to very high energies,
about 10–20MeV normally being used for radionuclide
production. The beam is deflected from its outermost orbit by
the application of an electrostatic voltage and emerges
through a window to strike the target material.
Fig. 32.18 Principle of a cyclotron. (A) Vertical section; (B)

Horizontal section through the dees.
1538
The nuclear reactions which can occur are very varied and
may be very complex, for example,
1. proton induced,
55
Mn(p, n)55Fe, 12C(p, 3p, 3n)7Be,
2. deuteron induced:
24
Mg(d,α)22Na, 74Ge(d, 2n)74 As,
α-particle induced:
3. 52Cr(α, 4n)52Fe, 71Ga(α, n)74 As
This is the principal source of nuclides which decay by
positron emission or by electron capture.
Counting Instruments and the

Detection of Radiation
Counting instruments depend upon the production of
ionization or luminescence by the radiation. Detection may
also be achieved by the blackening effect of radiations on
photographic film or by the oxidation of chemical systems.
Counting Instruments Dependent on Ionization
Ion collection phenomena
The simplest form of detector is shown in Fig. 32.19. Its

functioning depends on the production by the radiation of ion
pairs in the filling gas. In the absence of a potentialdifference
between the electrodes the ion pairs recombine but the
application of a potential causes the ions to separate,
negatrons moving towards the anode and the large cations
towards the cathode. Fig. 32.20 shows the relationship
1539
between ion collection and the applied potential in such a
counter.
Fig. 32.19 Simplified diagram of a radiation detector

dependent on ionization.
Fig. 32.20 Relationship of charge collected to applied

potential in an ionization detector. Regions: I, Partial
collection; II, Saturation collection; III, Proportional region;
IV, Limited proportionality; V, Geiger region; VI, Continuous
discharge.
1540
With increasing potential there is at first only a partial
collection of ions (Fig. 32.20, Region I) but then a point is
reached at which all the primary ions produced are collected.
A further modest increase in potential has little effect on this
situation, so there is a plateau in this region of saturation
collection (Region II). A further potential rise results in such
acceleration of the primary ions that they have sufficient
energy to cause secondary ionizations by collision with
molecules of the filling gas, a process known as internal gas
multiplication, so that the number of ions collected may
increase by a factor of 106. The relative increase in the charge
collected is proportional to the applied potential so that this
section of the curve (Region III) is known as the proportional
region. A higher potential still results in a region of limited
proportionality (Region IV) above which the degree of
secondary ionization is such that the gas is completely
saturated with ions and a second plateau (Region V) occurs in
the Geiger region. Beyond the end of this plateau the
potential is such that the gas ionizes spontaneously and the
device goes into continuous discharge (Region VI).
Fig. 32.21 illustrates the situations which occur with particles
causing a small number of ionizations (β–-particle, say 10
primary ions produced) and a large number of ionizations
(α-particle, 104 primary ions). In Regions II and III the charge
collected is greater with the larger number of primary ions but
in the Geiger region both types of particle give identical
results since either condition results in total saturation of the
gas space with secondary ions.
There are three basic types of detector based on this collection
system: ionization chambers (working in Region II),
proportional counters (Region III) and Geiger–Müller
counters (Region V).
1541
Ionization chambers
The usual form of these instruments is a hollow cylinder or

sphere, which acts as one electrode, with a central, well
insulated, oppositely charged electrode. Commonly the outer
casing is held at a potential of about 100V and the central
electrode is earthed.
Many ionization chambers permit the radioactive sample to
be introduced directly into the sensitive volume of the counter
as a solid source or as a gas. The latter arrangement is
particularly valuable for very weak β–-emitters (3H,
0.018MeV; 14C, 0.159MeV) since this technique avoids
absorption of their radiations by the walls of the counter, solid
samples or sample mounts.
However, γ-emitters and energetic γ-emitters can be detected
as solid or liquid samples, and an ionization chamber
designed for this application is illustrated in Fig. 32.21. This
instrument is available with calibration certificates issued by
the National Physical Laboratory and, being very stable in
operation, is a useful standard instrument for the assay of
moderately active samples. A very sensitive electrometer has
to be used to measure the extremely small ionization currents
produced (approximately 6–75×10–12 A/mCi for γ-emitters,
75–450×10–12 A/mCi for
β–-emitters) and great care must be paid to high-quality
insulation.
1542
Fig. 32.21 Cut-away view of the UKAEA type 1383A ion
chamber (General Radiological type NE 014) (UKAEA).
Proportional counters
These differ in construction from the ionization chambers

primarily in having a very much smaller central electrode of
fine wire, which is always the anode, so that there is a much
higher voltage gradient around it. Also filling gases based on
methane or argon are used which have low enough ionization
potentials to give good ion collection properties at reasonable
operating voltages (1500–5000V).
In a gas flow counter, shown in Fig. 32.22, the gas flows
through at slightly, above atmospheric pressure to exclude
1543
oxygen and the sample is within the sensitive volume of the
counter, thus giving a high efficiency for low-energy
β–-particles.
Fig. 32.22 Principle of a gas flow proportional counter.
Proportional counters can count at very high rates and since

the size of pulse produced depends on the energy of the
incident radiation, they can be used to determine its energy
spectrum. However they have found only limited use since
the pulses are very small and very stable associated
equipment is required, due to both the large variation in
output with applied potential and the considerable pulse
amplification required.
Geiger–Müller counters
Characteristics of ion collection: The negatrons produced by

the incident radiation in the filling gas are accelerated to the
anode wire under a potential such that the gas multiplication
factor is of the order of 108 and the collection process is
complete in 0.05–0.3 μs. The collection of this avalanche of
negatively charged particles reduces the anode potential to
such an extent that the effective field strength drops below the
working level and the counter is paralysed temporarily. Over
1544
a period of about 100–500μs the larger cations are discharged
at the cathode and have sufficient energy to produce
ionizations there. If uncontrolled this would result in multiple
pulsing, so the filling gas contains a small proportion of a
quenching agent which dissociates and absorbs the excitation
energy of the cathode. Such internally quenched counters
may contain organic vapours (ethyl alcohol or ethyl formate)
or halogens (chlorine or bromine) and the compositions of
typical filling gases are given in Table 32.6.
Table 32.6 Characteristics of organic and halogen quenched

Geiger–Müller counters
Organic
Halogen quenched
quenched
Typical fillings Helium Neon 20.0
(pressure in cm Hg) 55.0 Argon 0.02
Argon 9.3 Chlorine 0.005
Ethyl
formate 0.7
Working voltage (range) 1000–1600 350–700
Minimum plateau length 200 100
(V)
Plateau slope (per cent 0.04 0.07
per V)
Temperature range (°C) –20 to +50 –55 to +75
Useful life (counts) 108–109 >1010
Effect of excessive or Ruined May not be
reverse voltage permanently damaged
1545
Relative efficiency for 100 95
β–-particles
The reduction in field strength due to ion collection results in
the counter being completely inoperative for a period of about
100 μs, the true dead time. After a further period of about 100
μs recovery time full size pulses will be observed once more.
This total period of about 200 μs is known as the paralysis
time (Fig. 32.23), and particles entering the counter during
this period may not be counted. Since the paralysis time
varies with different counters and with the associated
electronic circuitry, a variable, and unknown counting loss
results. This difficulty may be overcome electronically using
a quenching probe unit which performs two functions: it
gives a small degree of amplification of the pulse, so avoiding
counting losses due to pulse attenuation, and it reduces the
anode potential of the counter for a predetermined time from
the commencement of each pulse, for example, 300 μs (see
Fig. 32.24). Corrections may now be made for lost counts due
to paralysis since
where Ro is the observed counting rate, R is the true counting

rate and T is the paralysis time. Provided the counting rates
are not excessive, paralysis time corrections may be made by
referring to prepared tables.
1546
Fig. 32.23 Paralysis in a Geiger–Müller counter.
Fig. 32.24 Block diagram of an apparatus for Geiger–Müller

counting.
Parameters of Geiger–Müller counters: The essential

components of a Geiger–Müller counting assembly are shown
in Fig. 32.24. As the potential (extra high tension, EHT) is
increased, the counter suddenly starts to respond at the
starting voltage (Vs), each pulse being amplified and recorded
as a single count. The counting rate then increases rapidly
with EHT until the threshold voltage (V1) is reached, above
which the counting rate becomes almost constant throughout
1547
a plateau which is about 150–200 V long. Further increase in
EHT would result in the counter going into continuous
discharge (‘racing’). This characteristic curve is shown in
Fig. 32.25. The working voltage (Vw) is usually 60–100 V
above Vt, at about the middle of the plateau where small
fluctuations in EHT due to instability have little effect on the
counting rate.
Fig. 32.25 Characteristic curve of a Geiger-Müller counter.
The plateau slope should be less than 0.1 per cent per volt
and is smaller for organic quenched counters than for those
quenched with halogens. The slope tends to increase with age.
Counters should never be allowed to go into continuous
discharge nor be subjected to a reverse voltage.
The characteristics of typical Geiger–Müller counters are
Types of Geiger–Müller counter: Although many types are
available only two are commonly used in the laboratory for
routine purposes and they are illustrated in Fig. 32.26. The
end-window counter consists usually of a cupped metal body
about 2cm in diameter, used as the cathode, with a fine wire
anode located axially (Fig. 32.26A). The cup is sealed with a
1548
‘window’ the thickness of which determines the minimum
energy of α-particles which can be counted. The thinnest
windows are of mica (about 2mg per cm2) and will just
permit the counting of low-energy β–-emitters
(36Cl, 0.71MeV; 32P, 1.71MeV; 89Sr, 1.46MeV). Counters
with ultrathin plastic windows are also obtainable.
Fig. 32.26 Common forms of Geiger–Müller counter. (A) end

window; (B) Liquid counter.
The geometric efficiency of end-window counters varies with

the source area and its distance from the counter since the
proportion of the emitted radiation which can enter the
1549
counter varies as these factors are changed. Care must be
taken over these points if reproducible results are to be
obtained.
Liquid counters are of glass construction with a cylindrical
space between the inner wall, which encloses the electrodes
and filling gas and the outer wall (Fig. 32.26B). This space
normally holds 10ml of radioactive solution. The inner wall
has a thickness of about 25mg per cm2 so the counters can be
used only for moderate or high-energy radiations. Since the
radionuclide is uniformly distributed throughout the solution
there is a constant geometric efficiency and the liquid counter
makes a useful substandard instrument for assaying sources.
When it is desired to count low-energy β–-particles,
windowless counters may be used. These have basically the
same construction as the end-window counter but the window
is absent and the filling a gas, which may be argon–propane
or a similar mixture, is made to flow through the counter at
constant speed. To obtain stable operating conditions are must
be excluded by maintaining a slight, fixed, positive pressure
of gas in the counter, so the counter must be positioned very
carefully in relation to a surface to regulate the outflow of
filling gas. If a number of solid samples are to be counted in
this way it is usual to have a special transfer device to
position the counter correctly and in which samples are
gassed out ready for counting while the previous sample is
being counted, so saving time. Improved stability of operation
can be obtained by having a small open slit in place of the
completely open end and such counters are widely used for
scanning chromatograms since they have the additional
advantage of high resolution due to the small area being
monitored at any one time.
Geiger–Müller counters have only a low efficiency for the
detection of γ-radiation (1–2 per cent of that for energetic
1550
γ-particles) since γ-rays produce very sparse ionizations in the
filling gas and detection depends primarily on their ability to
ionize the counter cathode to yield negatrons. Although
high-efficiency γ-counters are available with cathodes having
a high absorption coefficient for γ-radiation (Pb or Cu) other
means of detection (scintillation counters, see below) are
preferable.
Other types of ionization detector
Semiconductor detectors have recently become practicable

with improved methods of manufacture and the development
of associated transistorized and integrated electronic circuitry.
The detectors at present available include lithium drifted
germanium and silicon diodes which have the advantage,
according to type, of very high sensitivity for low-energy
particles or of exceptional energy resolution. Although in
time they may supplant traditional counting devices their
principal current use is for high-resolution gamma
spectroscopy.
1551
Fig. 32.27 Transmission of β-particles by the 2mg per cm2
mica end window of a Geiger–Müller counter.
Spark chambers usually consist of a rectangular frame

holding a series of close parallel electrode arrays, each array
composing two electrodes, a central wire surrounded closely
by a tensioned spiral spring. The potential difference is such
that ionization of the air gap by radiation causes a spark to
jump between the electrodes at the point where the ionization
occurred. The sparks may be recorded photographically or
electronically. Such counters can be made to cover large areas
and are used for the detection of spots of radioactive material
on paper and thin layer chromatograms since they can
monitor the whole area of the chromatogram simultaneously.
1552
This avoids the necessity for the slow strip wise scanning of
large areas, as is done at present, and for the complex
mechanical devices necessary for such scanning.
Scintillation Counters
It will be recalled that a substantial proportion of the energy

lost by radiations in matter results in excitations. Some
materials absorb this excitation energy and then emit a
proportion of it in the form of blue visible light, the passage
of each particle or γ-ray giving a single, minute flash of light.
Such materials are known as phosphors. Although phosphors
exist with which the emitted light can be detected visually,
the light intensity is usually so low that the only practicable
method of detection is to use a photomultiplier, which is
highly photosensitive converting the light flashes to electrons
and amplifying the resultant pulse by a factor of 107–109.
There must be good optical coupling between the phosphor
and the photomultiplier to avoid light losses by total internal
reflection at the interface and coupling may be achieved by
cementing the two together or by having a thin film of
silicone oil between them. Also it is essential to enclose both
phosphor and photomultiplier in a light shield: exposure of
the phosphor to visible light often induces
chemiluminescence which causes erroneously high
background counting rates, while exposure of the
photomultiplier to normally light environments causes
excitation of the photosensitive material and, if a high voltage
is applied to the tube, to its complete destruction.
The essential units for a set of scintillation counting
equipment are shown in Fig. 32.28. The functions of the
electronic equipment will be discussed later.
1553
Fig. 32.28 Block diagram of an apparatus for scintillation
counting.
Scintillation phosphors
The desirable characteristics of a phosphor are that it should

have a high efficiency of radiation detection have as high as
possible a light yield for the energy absorbed, have spectral
characteristics matching those of the photomultiplier cathode,
be as transparent as possible to permit maximum light output
to the photomultiplier and the luminescence should decay
rapidly so that high counting rates can be obtained.
Generally the light output in a phosphor is proportional to the
energy of the incident radiation, so the system can be used for
radiation spectroscopy.
Inorganic phosphors: The most popular phosphor of this type
consists of a large crystal of sodium iodide containing about 1
per cent of thallium iodide as an activator, normally written
NaI(T1). Because sodium iodide is hygroscopic the crystals
are sealed in an aluminium capsule with a transparent glass
end which faces the photomultiplier. Its high density (3.7g per
cm3) and high atomic number (iodine = 53) result in high
absorption coefficients for X- and γ-radiation, for which it is
the phosphor of choice. NaI(Tl) crystals are characterized also
by high light yield and transparency and reasonably short
decay times (Table 32.7)
Table 32.7 Properties of some scintillation phosphors
1554
Zinc sulphide, normally activated with a trace of silver, can
be obtained only in a fine polycrystalline form which thus has
very poor optical properties. However, it is used as very thin
films for the detection of α-particles.
Solid organic phosphors: Many organic compounds possess
the properties required for scintillation counting, but because
of the relatively low densities and atomic numbers they are
unsuitable for detecting Xand γ-radiation, although they have
a high efficiency for β–-particles. Among the most efficient
organic phosphors is anthracene, which is used as the
standard for light output, but it is difficult to grow large
crystals of this with good optical properties. Such large
crystals are rarely required and it is often used as thin sections
cemented to a thin plastic support. The properties of some
common organic phosphors are also given in Table 32.7.
Since the efficiency of both organic phosphors and Geiger–
Muller tubes for β–-particles is the same (100 per cent for all
particles which enter the sensitive volume), the extra cost and
complexity involved in using solid organic phosphors is
justified only in special circumstances, for example, where
energy differentiation is required. Another useful application
is to have the phosphor in solid solution in a polystyrene or
polyvinyltoluene plastic. Such plastic phosphors have
1555
excellent optical properties and can be made any desired size
and shape.
Liquid phosphors: The detection of very weak β–-radiation
presents a special problem, which may be overcome if the
sample can be included in the sensitive volume of the counter.
Although this can be done with ionization chambers,
proportional counters or Geiger–Müller counters, there are
considerable technical difficulties. A much simpler technique
is to dissolve or suspend the sample in a liquid phosphor, and
this is the most favoured method at present.
The commonest liquid phosphors contain p-terphenyl or
2:5-diphenyloxazole (PPO) dissolved in toluene or dioxan.
Since the peak wavelength of light emission of such solutions
is relatively low, a secondary solute is often added to act as a
‘spectrum shifter’ so that the output matches the
photomultiplier, for example,
1:4-di[2-(5-diphenyloxazolyl)]-benzene (POPOP) or
2-(1-naphthyl)-5-phenyloxazole (αNPO).
Autoradiography
It is well known that radiations blacken photographic

emulsions and this is the basis of the use of films as personal
dose meters. Autoradiography involves the use of this
phenomenon to record the distribution of radioactivity in a
specimen. The quality of the results obtained depends on the
type of emulsion used, fine grain size, high grain
concentration and thin emulsions all contributing to high
resolution, though resolution and sensitivity are inversely
related. The quality of the radiation is also important,
a-particles and low-energy β-particles giving the best
resolution.
1556
Contact autoradiography
This technique is also known as macroautoradiography and

consists of placing the radioactive specimen in contact with
X-ray film for a suitable time. On development the film is
blackened in the vicinity of the radiation source and the
distribution and extent of blackening indicate the gross
distribution of activity in the specimen. Exposures are best
determined empirically but, as a guide, the time taken to
accumulate 2–10×106 β–-particles per cm2 can be calculated,
depending on the type of film used.
One useful application of the technique is in the location of
the active spots following the paper chromatography or
electrophoresis of radioactive solutions and this can be done
in tests for the radiochemical purity of preparations of 131I
and 32P.
Stripping film autoradiography
This technique is sometimes referred to as

microautoradiography and is used to determine the
distribution on a microscopic scale of radioactivity in cells or
tissues. In this method a thin (10–25μm) film of wet emulsion
is placed in intimate contact with a specimen mounted on a
microscope slide, the contact becoming extremely close as the
film dries. After prolonged exposure, which may vary from a
few weeks to a few months, the film is developed and the
specimen is stained by normal techniques, both operation
being done without disturbing the location of either on the
slide. When dry the blackening of the film is observed
microscopically at the same time as the specimen is viewed
and the activity can be related to particular cells.
1557
Chemical Detection of Radiation
The fact that radiations cause changes in chemical systems

has been known for many years. In aqueous solutions most of
the effects result from the radiolysis of water to yield
oxidizing agents: hydroxyl and hydroperoxide free radicals
(OH, O2H) and hydrogen peroxide (see the section on the
biological effects of radiation below). Thus ferrous sulphate
in acid solution is oxidized to the ferric form to an extent
which depends on the radiation dose, according to the
reaction:
The coefficient of 15.6 for Fe2+ is known as the G value, the

number of ions or molecules that react for each 100 eV
absorbed. Determination of the amount of Fe3+ produced is
normally done spectrophotometrically by measuring the
change in optical density at 305nm. Such systems are of value
only for the measurement of very high doses.
One highly sensitive chemical system consists of a mixture of
chloroform and a solution of bromocresol purple and makes
use of the fact that radiation liberates hydrogen ions from
halogenated hydrocarbons, a change reflected in the resultant
pH.
Electronic Equipment Associated with Counting

Devices
There is often confusion as to the meaning of the word

‘counter’, which has been applied to the detector alone and to
the detector plus associated electronic equipment. Throughout
1558
this text the word counter will be used to signify the detector,
and electronic units will be described by their function. It
must be emphasized that counters do not themselves count
but merely respond to the passage of radiation. The response
is observed as an ionization current with ionization chambers
and is measured with an electrometer, but with the other
principal forms of counter the collection of negatrons results
in a fall in the positive anode potential, this negative pulse
being amplified and recorded as a single count in a pulse
counter (scaler) or as an average counting rate in a pulse
integrating device (ratemeter), or in a pulse of light.
The essential units of assemblies for Geiger–Müller and
scintillation counting are shown in Figs. 32.26 and 32.28.
All counters have a background counting rate derived from
natural environmental radiation and from radiation in the
laboratory. The extent of this background depends on the
sensitivity of the counter to the radiation and on counter size,
the larger the sensitive volume of the counter the greater its
background. Normally counters are supported in a lead castle
which provides a substantial thickness of lead shielding
around the counter and so reduces the background
appreciably.
High-voltage supplies
Apart from ionization chambers, which may be operated with

90V batteries, all counters require an electronic voltage
source, the output being referred to as the extra-high-tension
(EHT) or the high-voltage (HV) supply. Most units have a
maximum output of about 2500V, although a 5000V supply is
necessary for some applications, with a positive polarity. The
output is stabilized against fluctuations in the mains supply;
1559
the stability required varying with the application. The degree
of stabilization needed for proportional counters or
spectrometric applications, 0.02 per cent or better for 10 per
cent mains fluctuation, is not needed for Geiger–Muller
counters.
Preamplifiers
One important type of preamplifier is the quenching probe

unit already referred to when describing the characteristic of
Geiger–Müller counters. The photomultiplier is also a form of
preamplifier.
With modern instruments of high input sensitivity a
preamplifier may not be required provided the length of cable
between the counter and the main amplifier is short.
However, where the counter is some distance from the main
amplifier it is essential to use a preamplifier, preferably
attached directly to the output contact of the counter, to avoid
undue attenuation of the output pulse in the long length of
cable. Such preamplifiers are usually transistor emitter
followers which do not actually amplify the pulse but give a
low impedance output of the same phase (negative output for
negative pulse input) with which very long cables can be
used. Older instruments may use a preamplifier which gives
phase reversal, a positive output pulse resulting from a
negative input.
Amplifiers
For Geiger–Müller counting a simple amplifier with a gain of

about 100 × is adequate. Stability is relatively unimportant
since all output pulses from the counter are of the same size.
1560
Pulses due to background are of the same size as those of
interest and background counting rates are low.
With proportional or scintillation counters, however, the
output pulses vary in size with the energy of the incident
radiation. Also in addition to the ‘true’ background there is a
further contribution due to random pulses which arise in
amplifiers and photomultipliers. This is known as noise and
its amount increases with the applied potential, though the
pulses are usually smaller than those of interest. It is essential
to be able to discriminate between the background pulses and
those from the sample and, where energy discrimination is
required, between the differently sized pulses arising from the
radiation. Hence linear amplifiers which amplify all pulses to
the same extent, and so retain the relative sizes of pulses, are
essential. Such amplifiers usually have a high gain, up to
10,000×, to permit the very small pulses from proportional or
liquid scintillation systems to be counted.
Discriminators and pulse height analysers
A discriminator is an electronic circuit that blocks all pulses

below the size selected by the operator and for
straightforward counting purposes this is all that is required.
With a Geiger–Müller counter the discriminator voltage,
described variously as ‘Disc’, ‘Bias’, ‘Disc Bias’ or
‘Threshold’, is set at a low level which does not interfere with
counting, since all pulses are similar in size.
However this arrangement is inadequate for proportional or
scintillation counting where it is necessary to select only a
part of the range of pulse heights and so distinguish the pulses
of interest from those due to background and noise, to
distinguish between radionuclides with different radiation
1561
energies or to determine the pulse height (energy) spectrum of
the radiations from a single radionuclide. These functions are
performed by appropriate settings of a pulse height analyser
(PHA), the functioning of which is illustrated in Fig. 32.29.
Fig. 32.29 Principle of a single-channel pulse height analyser.

(A) Block diagram of the component units; (B) Pulse
selection.
The lower discriminator is set at a level D and the upper

discriminator at a level D + d, the value of d being fixed. Any
pulse smaller than D (Fig. 32.30B, a, d, l, m) will also be
smaller than D + d and so is unable to pass either
discriminator, so there is no output. Pulses larger than D + d
(e, g, n) will give a pulse from both discriminators
simultaneously, the pulses being passed to an anticoincidence
circuit. The latter is arranged to give no output when pulses
arrive simultaneously from both discriminators, i.e. pulses
which arrive ‘in coincidence’, but to pass a pulse which
comes from the lower discriminator only in ‘anticoincidence’
with pulses from the upper discriminator. Thus these large
1562
pulses are blocked by the anticoincidence circuit and there is
no output from the PHA. However, pulses between D and D
+ d in size (b, c, f, h, j, k, o, p) pass the lower discriminator
only and each gives an output pulse from the PHA. This
device is known as a single-channel pulse height analyser, the
interval being known variously as the channel, gate or
window width. Multichannel analysers are available which
examine the counts in all of a large number (400 up to 4096)
of channels simultaneously.
Fig. 32.30 γ-Spectrometry: the relationship of pulse size to

the energy of the γ-radiation.
Spectrometry by pulse height analysis: The basic technique

used to examine the energy distribution of radiations is to use
a system in which the size of the output pulses from the
1563
counter is proportional to the radiation energy and to examine
the spectrum of pulse heights using a single-channel PHA.
This may be done by determining the number of counts in
each of a series of successive channels or by scanning the
entire range mechanically, integrating and recording the
output.
When an NaI(T1) phosphor is exposed to γ-radiation the
normal processes of energy loss occur in the crystal, giving a
series of Compton electrons of a wide range of energies and
photoelectrons of virtually the same energy as that of the
incident radiation. Since all the electron energy is absorbed
within the crystal the light output, and thus the pulse height, is
proportional to the energy of the incident radiation. If the
procedure described above is carried out with a series of
known radionuclides, the results obtained are illustrated in
Fig. 32.30A. The lower-energy part of the curve is the
Compton continuum, followed by a sharp fall in counts
immediately before the sharp photopeak due to the
photoelectrons. The peak just before the photopeak results
from the fact that near the energy region for photoelectric
absorption there is a much higher probability of this process
than of scattering. The pulse heights (lower discriminator bias
voltages) at which the photopeaks occur are related linearly to
energy so that a standard calibration curve can be drawn for a
counting assembly set up in a particular way (Fig. 32.38).
Once the instrument has been calibrated the energy of
unknown γ-emitters can be determined from the discriminator
bias voltages at which their photopeaks occur.
If the γ-energy is high enough for pair production to occur,
the pulse height spectrum is somewhat more complex than
those illustrated in Fig. 32.31, but the method is still
applicable.
1564
Fig. 32.31 Principle of the simultaneous counting of
radionuclides of different β-particle energies (3H and 14C)
using two channels of pulse height analysis.
Scintillation γ-spectrometry is used as part of the identity tests

for all the pharmacopoeial γ-emitting radionuclides and is also
used to detect the presence of 60Co impurity as part of the
purity tests for cyanocobalamin-57Co and
58
cyanocobalamin- Co. In the latter case the special technique
of coincidence γ-spectrometry is used. This uses two
single-channel γ-spectrometers operating in coincidence and
has the merit of giving a more reliable result than is obtained
with a single spectrometer. However, with modern
instruments of good resolution there should be no real
difficulty in resolving the 0.51 and 0.81MeV photopeaks of
58
CO (with a small amount of 1.62MeV radiation) from the
1.1 7 and 1.33MeV peaks of 60Co.
Pulse height analysis for the counting of mixed radionuclides:
In radioisotope tracer work it is common to have double
labelled samples. Typical situations are studies of the
adsorption of two different compounds from a complex
1565
system, one being labelled with 3H and the other with 14C;
investigations of the metabolism of a drug, different groups in
the molecule being labelled with 3H and 14C; and
determinations of the relative
efficiencies of iron utilization when ingested and injected,
using 55Fe and 59Fe. In such systems the activities of both
radionuclides may be determined simultaneously provided
that the energies of the radiations from each are sufficiently
different. What is required is that the output from the
preamplifier be divided and fed through separate PHAs, the
channels of which are arranged to pass pulses of different
size.
In the 3H/14C system both components are usually
determined by liquid phosphor counting. Although the
energies involved are very low, good efficiencies can be
obtained, up to 50 per cent for 3H (0.018MeV) and 90 per
cent for 14C (0.159MeV) and Fig. 32.31 shows how these
may be separated into two separate channels of pulse height
analysis. This system is so frequently used that there are
many commercial instruments available which determine the
activities of both components in up to 400 samples
automatically.
Data registration
Pulse counters (scalers): Usually the pulses which pass the

discriminator or PHA are fed into a scaler, a device for
recording the number of pulses in a given time and so
enabling the counting rate to be determined in terms of counts
per second (cps) or per minute (cpm).
Simple scalers usually consist of a series of glow number
tubes which have ten stable positions, the glow stepping on
1566
one unit for each pulse. When the tenth pulse enters the scaler
the tube returns to zero and passes a pulse out to the next
tube, so that successive tubes count units, tens, hundreds, etc.
Such tubes have high input resolution times of about 50 or
250 μs, so that they will not record a pulse which arrives
within that time from the previous one. Scalers of this type
can be used satisfactorily only far routine Geiger–Muller
counting where the detector itself has a paralysis time of the
same order. They are unsuitable for proportional or
scintillation counters which have very short paralysis times
and are capable of counting at very high rates without losses
due to paralysis. For such applications the current trend is to
use transistors or integrated circuits, which have input
resolution times of 1 μs or less, combined with indicator tubes
which show the condition of the circuits at the end of a count
and on which the accumulated counts are displayed.
The scaler also has switches to start the count, to stop
counting after a desired interval and to reset the scaler to zero
ready for another count. Although these functions may be
done manually autoscalers which have automatic timing
devices are widely used. With an autoscaler it is possible to
determine automatically the counts obtained in a preset time
or the time required accumulating a preset number of counts.
Integrated scaler/timers display either time or count as
desired. Autoscalers are essential if large numbers of samples
are to be counted automatically and in such cases the results
of each count are printed out or recorded on punched paper or
magnetic tape ready for entry to a computer.
Integrating devices (ratemeters): When numerical data are
not required the average counting rate may be determined by
using an integrating circuit, in which the individual pulses
charge up a capacitor shunted by a resistor. The average
current developed is then displayed on a meter calibrated in
1567
terms of cpm or cps. Ratemeters are used principally to drive
chart recorders so that the change of counting rate with time,
applied potential or discriminator bias voltage is obtained.
The curves shown in Fig. 32.30A may be obtained in this
way.
An important application of ratemeters is the laboratory
monitor which is used to monitor the contamination of
‘hands, clothing, benches, etc. These instruments usually have
a loudspeaker which indicates changes in the counting rate by
corresponding changes in the sound intensity or frequency, so
that if the ratemeter is left switched on in a laboratory there is
a continuous audible indication of the level of radioactivity.
Problems Associated with Counting
Statistical considerations
The random nature of radioactive decay has already been

noted, so it is axiomatic that a series of replicate counts on a
single sample under identical conditions will not give
identical results, except occasionally by chance. This is a
classical case in which statistical techniques must be used to
indicate the reliability of the data. A rigorous statistical
discussion would be out of place here, so only an outline of
the principles involved is given below, assuming some
elementary knowledge of statistical techniques.
Radioactive disintegrations and the consequent counts
observed are a series of discrete, unit events so a large series
of counts derived from a single source will have a Poisson
distribution. When the mean count is low this distribution is
markedly skewed, but as the mean increases the distribution
becomes progressively more symmetrical until, at a mean of
1568
about 20, the shape approximates very closely to that of the
normal distribution. Since the number of counts observed is
invariably considerably greater than 20 it is justifiable to use
statistical tests based on the normal distribution. This is
certainly so when mean counts are used, since means are
normally distributed.
The spread of the distribution curve is defined by the
standard deviation (σ) the square root of the variance (V),
given by the expression
where x is the value of a count, is the mean count and n is

the number of replicate counts done. The mean is the best
estimate obtainable of the ‘true’ counting rate, and deviations
from the mean of σ, 2σ and 3σ have probabilities of 0.683,
0.955 and 0.997, respectively, i.e. on 66.3 per cent of
occasions a single count x in the set with a mean x will lie
within the range ± σ, etc.
Since the magnitude of σ varies with that of , the value of σ
is often expressed as a coefficient of variation and
The precision of the mean is defined in terms of the standard

error (SE), which is given by the expression
1569
If only a single count is done the standard error is the square
root of that count (for a Poisson distribution), i.e.
from which it follows that the precision of a count depends on

the total n umber of counts accumulated, the coefficients of
variation for counts of 100, 1000 and 10,000 being 10, 3.16
and 1 per cent, respectively. Thus it is essential to count for
sufficiently long to achieve acceptably low errors: in
biological work the magnitude of other sources of error is
such that a coefficient of variation of 2 per cent is acceptable,
and this is achieved with a total of about 2500 counts.
Frequently the differences between counts or count ratios are
used and it must be noted that variances are additive. If a net
count (C) is determined from two counts (X and Y) then if
it follows that
1570
where σc, σx, σy are the respective standard deviations. If C =
X/Y
then
When counting rates are being used the times contributing to

each rate must be allowed for. If the net counting rate is
represented by Rand counts X and Y are obtained in times tx
and ty then
As usual the significance of the difference between two mean

counts is determined by the application of the t-test and in
experiments where a number of factors are varied the
significance of these factors is assessed by analysis of
variance.
The reliability of a counting assembly is determined most
simply from a series of replicate counts using the chi-squared
(χ2) test where
1571
with (n – 1) degrees of freedom, values of χ2 giving
probabilities <0.05 indicate defective equipment and
probabilities > 0.95 suggest that some factor is operating to
suppress the expected variation and give a false impression of
reliability.
The application of the statistical techniques outlined above
enable the reliability of counts to be estimated, the estimate
taking in to account not only the errors arising from the
random nature of the decay process but also all indeterminate
errors, for which corrections cannot be applied, Such errors
are the inaccuracy of measurements of volume or weight, the
inability to control accurately the area and thickness of
sources and their exact location relative to the counter, and
variations of counter performance with age, temperature or
previous counting rate, of the general level of radioactivity in
the laboratory and of the performance of electronic equipment
due to mains voltage fluctuations, ageing of components or
pickup from other electrical equipment.
Counter background
The counting rate obtained with an assembly in the absence of

introduced radioactivity is the background counting rate and
is derived from three sources; the natural environmental
radiation, radioactive materials in the laboratory and
electronic noise. The observed background counting rate must
be subtracted from the observed counting rate from a sample
to determine the rate appropriate to the active material.
1572
With Geiger–Müller counters the contribution from noise is
insignificant and the background counting rate is low,
normally about 15 cpm, The background of a liquid
Geiger–Müller counter is, however, variable since the walls
of the counter are in direct contact with radioactive solutions
and variable amounts of activity may be adsorbed and
difficult to remove, so that background levels may reach
100–150cpm.
There is an entirely different problem with proportional and
scintillation counters. With the latter there is appreciable
noise, especially from photomultipliers, although
improvements in their design and manufacture have produced
tubes with much lower noise characteristics, and the pulse
size may be of the same order as that obtained with
low-energy radiations. Further, the background due to noise
increases with the temperature of the photocathode of the
photomultiplier and with the applied potential. Fig. 32.32
illustrates both these effects and it is clear that there is a
considerable advantage ill cooling the photomultiplier,
a substantial improvement resulting from cooling to 5° and a
further small benefit by cooling to –10°. In such situations it
is important to decide on the best conditions for counting and
there are various criteria of merit used for this purpose. The
criterion , where Rs+b is the observed counting rate
from the sample including background and Rb is the
background counting rate, is independent of source strength
but is affected by the energy spectrum of the radiation. This is
simpler to calculate than two similar criteria which are often
used and which give similar results, and
(efficiency)2/Rb, Rs being the counting rate due to the sample
alone. An alternative criterion, which varies with source
strength, is .
1573
Fig. 32.32 Influence of the applied potential and the operating
temperature on the counts from a 3H source and due to
background (including noise) in a liquid phosphor
scintillation counter.
Optimal conditions are those at which the criterion of merit

has a maximum value, and values of both operating potential
and discriminator bias may be chosen with their aid.
From the brief discussion of the statistical aspects of counting
given above it is clear that when the counting rate for a
sample is large relative to the background (Rs > 10Rb) the
contribution to the total error of that due to Rb is small.
However as the value of R, approaches that of Rs the error
contributed by Rb to the total error is important and the
counting time must be increased substantially to obtain
acceptable accuracy. For weak sources it is essential to reduce
the counter background as far as possible. It is also important
to apportion the available counting time to give the minimum
1574
error, the proportions being given by the expression
where ts, and tb are the counting times for the sample and
background. If Rs < Rb the precision of the determination of
R, is very poor and it is impracticable to make determinations
when Rs < 0.2Rb, even with long counting times.
Low background counting: Several methods for reducing
counter backgrounds have already been referred to, namely
the reduction of counter size, lead shielding, the use of
appropriate discriminator or pulse height analyzer settings
and the cooling of photomultipliers. However, these methods
are inadequate with sources of very low activity and
coincidence or anticoincidence techniques are used in
addition. The principles involved are illustrated in Fig. 32.33.
1575
Fig. 32.33 Principles of low background counting.
For Geiger–Müller counting of β−-emitters an end-window

counter may be used inside a guard counter, the two being
connected in anticoincidence (Fig. 32.33A). When a
β−-particle enters the counter assembly it is absorbed totally
in the end window counter, which gives an output pulse, and
since there is no output from the guard counter the
anticoincidence unit passes a pulse to the scaler. However,
cosmic and local γ-radiation is very penetrating and such
radiation reaches both the guard and end-window counters
virtually simultaneously. Both counters thus yield coincident
output pulses due to background and these are rejected by the
1576
anticoincidence circuit. The background count of such an
assembly is about 1.5 cpm.
In liquid scintillation counting it is possible for the
luminescence to be observed by two photomultipliers
simultaneously (Fig. 32.33B). A flash of light in the phosphor
gives coincident output pulses from the photomultipliers and
these are passed by the coincidence circuit as a single count.
Noise in the photomultipliers and their associated
preamplifiers occurs randomly and pulses due to noise are
only rarely coincident, so most of these pulses are rejected.
Since most of the background in a liquid scintillation counter
is due to photomultiplier noise the background is greatly
reduced by this technique and may be as low as 10–15 cpm.
Counter efficiency
The intrinsic efficiency of a counter depends on its ability to

absorb the radiation energy and respond and it has already
been stated that Geiger–Müller, proportional and organic
phosphor scintillation counters, are most suitable for
β-particles whereas NaI(Tl) scintillation counting is the
method of choice for X- and γ-radiation. The overall
efficiency depends on a number of additional factors,
discussed briefly below.
Physical barriers to the radiation: There are frequently a
number of such barriers: the counter window or light shield,
the air between the source and the counter and the presence of
a source seal. These are unimportant with γ-radiation but will
determine the minimum effective energy of β−-particles
which can be detected.
Self-absorption in the source: Low-energy β−-particles are
absorbed appreciably by the material of the sample itself, e.g.
1577
Ba35SO4. As the thickness of a sample of constant specific
activity increases, the counting rate at first increases and then
becomes constant when the source thickness exceeds the
maximum range of the particles in the substance (Fig. 32.34).
A source in this latter condition is described as being
‘infinitely thick’, since all thicknesses above this give
identical counts. Such sources are often used with low-energy
radiations and are satisfactory for comparative purposes. If
this is not possible corrections for self-absorption must be
applied.
Fig. 32.34 Self-absorption of 35S β-particles by Ba35SO4,

source of constant specific activity.
Scattering and backscattering of radiation: Both β−-particles

and γ-radiation are scattered by matter, the effect being
smaller with low-atomic-number materials. The scattering of
radiation into the counter from side materials may generally
be reduced by placing the source as near the detector as
possible. With β−- particles, however, the amount of
backscattering, the scattering into the counter of particles
initially travelling away from it, may be appreciable.
1578
Backscattering increases with increasing thickness of backing
being maximal when the thickness is about 0.25 Rmax
(saturation thickness), and with increasing atomic number of
the backing material.
When the activity of sources is to be compared it is essential
that they are mounted on identical thicknesses of the same
material and in identical surroundings, so that scattering
conditions are constant.
Geometric efficiency: Normally only a part of the radiation,
which is emitted from a source in all directions, enters a
counter and the greater the distance between source and
counter the smaller is the proportion of the radiation detected
(Fig. 32.35A).
The intensity of the radiation falls off inversely as the
distance squared, if we ignore air absorption, so a much
higher proportion of the emitted radiation can be detected if
the distance between the counter and the source is reduced to
a minimum. The extreme situation is where all the radiation
emitted from one side of a source, through a solid angle of 2π
radians, enters the counter: this is known as ‘2π’ counting
(Fig. 32.35B). Double this efficiency can be obtained if the
source is completely surrounded by the counter in a ‘4π’
counting arrangement (Fig. 32.35C), and liquid phosphor
counting is a form of this. Very good geometric efficiency is
also given by well-type scintillation counters (Fig. 32.35D)
which are simple in construction and operation and are used
frequently.
1579
1580
Fig. 32.35 Geometric efficiency in counting. (A) With an
end-window counter a source near the window gives a higher
count than a far source; (B) A 2π counting arrangement: 50
per cent geometric efficiency; (C) A 4π counter almost 100
per cent geometric efficiency, but some losses occur by
absorption in the source support; (D) A well-type scintillation
counter very high geometric efficiency since the source is
virtually surrounded by phosphor.
Quenching in liquid phosphor counting
The ideal system for liquid phosphor counting is to use a

toluene or xylene based phosphor with a low concentration of
a sample which is readily soluble in those solvents to give a
colourless solution. However, samples are commonly
insoluble or coloured and although special techniques are
available to overcome these difficulties some quenching of
the luminescence is inevitable. Since the degree of quenching
increases with sample volume or concentration it is essential
to correct for the degree of quenching which occurs with each
sample and several techniques are available.
A tedious, but reliable, method is to count each sample twice,
once normally and then to add to it an internal standard and
count again. The expected increase in count due to the
standard is divided by the increase actually observed to give
the quench correction factor.
When a single radionuclide is being counted the change in the
proportion of the activity in two adjacent or overlapping
channels of pulse height analysis may be used: this is the
channels ratio method, illustrated in Fig. 32.36. The ratio of
the counts in the two channels in the absence of quenching is
known and as the degree of quenching increases the counting
1581
efficiency falls and the channels ratio changes. Corrections
for quenching are made from a graph relating the counting
efficiency to the channels ratio.
Fig. 32.36 Quench correction is a liquid scintillation counter.

(A) Unquenched and quenched energy spectra; (B) The effect
of quenching on the ratio of the counts in two channels of
pulse height analysis.
In many commercial automatic instruments external

standardization is used. After each sample has been counted
an external standard source is placed adjacent to it and the
counts determined once more. The standard is a γ-emitter
giving high-energy pulses, so its counting rate is determined
in a third channel, widely separated from the others, the count
also being reduced by quenching. The correction factor is
then obtained from the ratio of the counts in the unquenched
and quenched conditions.
1582
Selection of a Counting System
The most suitable counter is not necessarily that which gives

the highest count, since background must also be considered.
The criteria of merit, discussed above in connection with
counter background, may be used, the most suitable counter
having the greatest sensitivity and the highest value for the
criterion of merit. An alternative with very weak sources is to
use the expression:
where Rx, Ry are the sample counting rates for counters 1 and
2 and B1, B2 are their respective background counting rates. If
M > 1 counter 2 is the more suitable.
Other important factors are the physical and chemical form in
which the sample can be obtained and the simplicity of
sample preparation.
Radiation Hazards and Radiological

Safety
This section deals with the problems of radiation dosage and
of protection from the harmful effects of radiations and
radioactive materials.
1583
Dose Units
The rad: The absorbed dose of any ionizing radiation is the

energy imparted to matter per unit mass of irradiated material,
the unit being the rad.
1 rad is that quantity of radiation of any kind which delivers
100 ergs per g of matter.
The term dose as used in the context of health physics refers
to the amount of energy absorbed by the tissues. This must
not be confused with the dose of a radionuclide (e.g. in
millicuries) which may be given to a patient. Although the
relationship between the dose in rads and that in millicuries is
constant for a given radionuclide, the relationship is different
for each.
The roentgen: Although the rad is the unit of absorbed dose it
is difficult to measure directly the energy imparted to a given
mass of material. Measurements can be made conveniently in
terms of the ionization produced in air the unit used being the
roentgen (R).
1 R is that quantity of X- or γ-radiation which produces in
0.001293g of air ions carrying 1 e.s.u. of charge.
Since 1 e.s.u. is equivalent to 2.1×109 ion pairs in air, 1 R is
equivalent to an absorption in air of about 88 ergs per g. Since
the rate of energy deposition from a given radiation flux
depends upon the density of the absorbing material a dose of
1 R corresponds to the absorption by soft tissue of about 97
ergs per g. Thus for most practical purposes exposure doses in
air expressed in roentgens can be taken as giving the tissue
dose in rads.
The rem: The biological effects of equal doses, in rads, of
different kinds of radiation are not the same since biological
damage depends on the specific ionization (local intensity) as
1584
well as on the total energy absorption. The rem (originally
shortened from ‘roentgen equivalent for man’) is now defined
as that dose of radiation which produces in man the effects of
1 rad and is determined by multiplying the dose in rads by a
factor (known as the quality factor, QF, or the relative
biological effectiveness, RBE) which expresses the relative
efficiencies of different types of radiation in producing
biological effects. For all X- and γ-rays, b–-particles and
positrons likely to be encountered in pharmacy or medicine
the factor is unity, so in these fields of activity.
Dose in rems = Dose in rads
When radionuclides are deposited in the body their
distribution is usually nonuniform and, since the absorbed
dose is related to tissue density, this simple relationship no
longer holds.
The Biological Effects of Radiation
Mechanism of injury
The primary event producing injury in a cell is the production

of ionization. Excitation plays a relatively small part, since
radiations which cause excitation without ionization, such as
ultraviolet, are much less effective in causing cell damage.
The extent of the initial damage is usually small and a dose of
radiation which kills a cell may cause ionization in only one
molecule in 108. The damage finally observed is much greater
than would be expected from the energy absorbed and there
are several theories concerning the mechanism by which this
situation arises. However, it is generally agreed that under
normal conditions of irradiation the damage results from a
mixture of direct and indirect effects.
1585
Direct radiation effects are those which result from an
ionization or excitation within a biologically functional
molecule. The occurrence of an ion cluster within such a
molecule releases sufficient energy to make it probable that
biological function will be abolished. The principal effects
observed with proteins are aggregation and loss of solubility
and some degree of fragmentation, while DNA, RNA and
polysaccharides exhibit fragmentation and some cross
linking. With double-stranded DNA breaks occur principally
when both strands are affected in the same region. Although
the effects depend to some extent on the fragility of long
chain molecules, cross linking is important in the abolition of
biological activity since it prevents the uncoiling of closely
coiled structures such as DNA and introduces immobile
configurations in open chain molecules. It is probable that
energy transfer can occur, over a maximum chain length of
about 12 carbon atoms, to produce damage in the weakest
molecular bonds.
Indirect radiation effects result from the radiolysis of
intracellular water, which comprises about 80 per cent of
most cells, and of any extracellular water which may be
present. The reactions involved are complex and some of the
possibilities are summarized in Fig. 32.37. The facts that
oxygen generally enhances radiation damage and that many
substances which protect against radiation are reducing agents
(e.g. cysteamine, cysteine, glutathione) lead to the conclusion
that the principal effects are oxidative and oxidations may
result from reactions with the hydroxyl and hydroperoxy free
radicals, with hydrogen peroxide and, under some conditions,
with the hydrogen radicals.
1586
Fig. 32.37 Reactions in the radiolysis of water (free radicals
underlined).
Fig. 32.38 Variation of dose rate with γ-energy

(radiochemical Centre, Amersham).
Effect of the rate of cell division: All cells are vulnerable to

radiation damage, though the extent varies considerably and
depends partly on the rate of cell division. Thus tissues
1587
increase in resistance in the following order: lymphocytes,
erythrocytes, germinal epithelium, intestinal epithelium, skin,
internal organs, brain, muscle, nerve. This indicates that an
important part of the damage must be to the nuclear apparatus
since any defect here would result in imperfect replication,
the effect of which would be multiplied at each cell division,
the greater the rate of cell division the greater being the
observed damage. Observable effects in radiosensitive tissues
(gonads, gut) commence at doses of about 10 rem and are
severe at 100 rem. In liver and muscle, which are relatively
radioresistant, doses greater than 1000 rem are needed to
produce observable effects.
Radiation effects on the human body
Our knowledge of the effects of radiations and absorbed

radionuclides on humans is derived from observations on a
number of groups of people who have been exposed
unwittingly or accidentally. These are radiologists, luminous
dial painters, uranium miners, accidentally exposed radiation
workers, patients given ‘therapeutic’ injections of radium and
atom bomb survivors. In such cases our knowledge of the
doses received may be very limited. Additional information is
derived from controlled animal experiments, although
extrapolation from results with laboratory animals to predict
the situation with humans is unreliable.
The effects of radiation on the entire organism depends on the
proportion irradiated, being most severe with whole-body
exposure and least if only a small mass of relatively
insensitive tissue such as the hands is involved. Much
depends on the degree to which the harmonious functioning
of the various tissues and organs is impaired. Also, for most
1588
effects, the dose rate is important and damage will be much
less if a given dose is spread out over a long period rather
than received in a single, short exposure. Fractionation of a
dose permits recovery to occur and in man about 50 and 90
per cent of the dose may be regarded as ineffective after some
20 and 100 days, respectively.
Short-term effects: Whole-body doses of about 25 rem would
produce a transient change in the leukocyte count in most
people and nausea in a small proportion. Increasing the dose
would result in symptoms of increasing severity, 100 rems
causing moderate illness (diarrhoea, vomiting) in about 10 per
cent of subjects, and severe illness in about 1 per cent, the
syndrome being known as radiation sickness. The median
lethal dose (LD50) for death in 30 days is about 400 rem and
with a dose, of 600 rem there would be few survivors. Death
from doses of this magnitude is usually the result of gut
damage and a loss of resistance to disease, so that infections
due to the intestinal microflora proceed unchecked.
Some degree of protection against radiation sickness is
afforded by the presence of reducing chemicals (cysteamine,
glutathione) and by shielding certain important tissues such as
the spleen and the bone marrow. The degree of protection
conferred is limited and the LD50 is increased two or three
times at the most.
Long-term effects: The results of exposure, which may appear
within a few months or after a latent period of up to 50 years,
include permanent skin damage, bone necrosis and an
increased incidence of anaemia, leukaemia, cataract and
carcinomata. There is also some evidence that there may be a
small shortening of life span. At certain stages of its
development the human embryo is very sensitive and doses as
small as 25 rem may lead to severe abnormalities.
1589
Genetic damage: Mutations may be brought about by quite
small doses of radiation and, unlike other types of radiation
damage, the effects are independent of dose rate, are
cumulative and there is no threshold. Thus any additional
radiation dose adds to the mutation load in the population and
is undesirable, since it is unlikely that a mutation will
introduce improved characters in to a population already well
adapted to its environment by the processes of natural
selection.
Fortunately most mutations are recessive and many are also
lethal, so that the embryo dies at an early stage. However,
minor gene modifications may result in the continuous
feeding into the population of individuals with
disadvantageous characteristics, the number of defective
individuals increasing until equilibrium is eventually
established. The doubling dose, the radiation dose required to
double the natural, spontaneous mutation rate, is of the order
of 50 rem and if this were maintained for many generations in
a large population there would be a serious increase in the
proportion of defectives. Doses of this order are insignificant
for an individual from the point of view both of observable ill
effects and of the probability of producing defective
offspring.
Background Radiation
Every individual is continually exposed to radiation which

occurs naturally in his environment and arises from cosmic
radiation, local γ-radiation from stone and building materials,
222
Rn in the air and the natural body burden of 14C, 40K and
226
Ra. The average dose rate in Great Britain from this is
about 0.1 rem per year and this is of significance only in
1590
relation to its possible mutagenic effects. If this is regarded as
100 per cent there are small additions to this from a number
of sources. About 1 per cent extra is contributed by nuclear
weapon fall-out and a further similar amount from luminous
dials and other miscellaneous sources. Both of these
contributions are decreasing due to the ban on atmospheric
tests of nuclear weapons, to the use of improved luminizing
materials and to effective control of devices liable to emit
radiations, for example, the virtual disappearance of shoe
fitting machines. Another 0.5–1 per cent results from
occupational exposure and some 20–25 per cent from medical
procedures. Doses due to these latter sources are increasing
with the spread of radioactive work and improved standards
of medical care, but the situation is under continual scrutiny
to ensure that doses are minimal.
The dose due to background radiation may vary appreciably
with the locality and people living at high altitudes receive a
substantially greater dose from cosmic radiation than
indicated above. Background dose rates may also vary
somewhat with the γ-emitting content of local building
materials.
The Control of Radiation Exposure
Maximum permissible doses
Recommendations as to the maximum radiation doses which

are permissible in a variety of circumstances are made by the
International Commission on Radiological Protection (ICRP).
The subject is very complex and only a summary of the points
of principal interest to radiation workers can be given here.
1591
One maximum permissible dose is that dose which, received
in a certain defined period and repeated regularly, is not
expected to cause appreciable bodily harm.
Maximum permissible doses have several times been revised
downwards and are regularly reviewed as knowledge of the
effects of small radiation doses accumulates. The current
recommendations are summarized in Table 32.8. Doses
resulting from medical procedures are excluded since they are
regarded as necessary and beneficial. The relationship
governing the total permissible cumulative dose results in an
average dose rate of 5 rems per year for persons engaged in
radiation work from the age of 18 years. However a dose of 3
rem may be accumulated in 13 weeks, allowing for
exceptional procedures involving high dose rates, but if this
were to occur subsequent exposure would have to be reduced
to ensure that either the average annual dose rate or the total
permitted cumulative dose is not exceeded. Rules are laid
down for the procedures to be adopted in the event of
accidents involving high doses. The ICRP also recommends
for a large range of radionuclides the maximum permissible
body burdens and the maximum permissible concentrations in
air and water so that the permissible body burdens are not
exceeded.
Table 32.8 Maximum permissible dose for radiation workers
Maximum
Organ of interest permissible
dose (rems)
Per
Per
13-week
year
period
1592
External radiation
Gonads, blood-forming organs and the lens 5* 3
of the eye
Weakly penetrating radiation: to the skin 30 8
(except the hands, forearms, feet and ankles)
To the hands, forearms, feet and ankles 75 20
Internal radiation
Limited exposure of internal organs resulting 15 4
from uptake (other than the thyroid, gonads
and blood-forming organs)
Whole-body exposure resulting from 5 3
general-ized uptake
*
This is an average dose rate. The total permissible
cumulative dose is given by the expression 5(N – 18) rems,
where N is the age in years, and not more than 60 rem may
be accumulated by 30 years of age.
Lower limits of permissible dose are set for the general
population, amounting to an addition equal to the natural
background dose, and for groups exposed occasionally, such
as laboratory maintenance workers.
Estimations of external dose rates
The information given below enables dose rates from sources

external to the body to be estimated with reasonable accuracy.
It is emphasized that such calculations are for planning
purposes only and are not intended to provide the final
control. The best protection against exposure to external
1593
radiation sources is good instrumentation, properly used, and
dose rates at working positions should always be measured.
The effect of distance: Radiations are emitted from a source in
all directions so with a point source in a nonabsorbing
medium the inverse square law applies and
Dose rate ∝ 1/d2,
where d is the distance from the source.
For γ-radiation air is a virtually nonabsorbing medium.
Provided that the distance from the source is large relative to
the source dimensions so that the latter can be neglected,
which is normally the case, the inverse square law holds.
With β−-particles there is considerable air absorption and
external dose rates are not usually a problem, but application
of the inverse square law results in considerable overestimates
of dose rates.
γ-dose rates: The specific γ-ray constant (formerly known as
the k-factor) is the dose rate produced by the γ-radiation from
a radionuclide at a distance of 1cm from a 1mCi point source
of that nuclide and is given in units of roentgens per
millicurie hour at 1cm. Where values of this constant are
known this is the most accurate basis for calculating the dose
at any distance from a γ-emitting source and the dose
constants for some of the radionuclides in common use in
medicine are given in Table 32.9. If the dose constant is not
known the dose rate may be determined using the decay
scheme and Fig. 32.39, the rate contributed by each of the
γ-rays emitted by the nuclide being determined separately,
with due allowance for the proportions of each γ-ray present,
and the whole summed.
1594
Fig. 32.39 Tenth thickness values for lead, iron and concrete
for γ-radiation up to 3MeV. Broken lines, values for the first
tenth thickness: solid lines, values for subsequent tenth
thickness. The first tenth thickness is greater due to build-up.
Table 32.9 Specific γ-ray constants* for some important

radionuclides
1595
For example, 48Va decays giving:
but since each positron yields 2×0.51MeV γ+-rays by

annihilation, the β+-emission is equivalent to 2×56 = 112 per
cent of 0.51MeV γ-rays. The method of calculating the dose
rate from this information is given in Table 32.10. Thus the
dose rate for 48Va is approximately 15.3 R per h per mCi at
1cm, which is very near the known value of 15.6. The slight
underestimate in this case results from the fact that 44 per
cent of disintegrations are by electron capture, resulting in
some additional dose from the resulting 4.5 keV titanium
X-rays.
Table 32.10 Calculation of the γ-dose rate and the γ-energy
per disintegration for 48VA
The following approximate formula may also be used:
1596
Dose rate = 0.5 CE rad per h in tissue at 1m,where C is the
source strength in curies and E is the total γ-energy in MeV
per disintegration. The total γ-energy must allow for all the
energies emitted and the proportion of each, so for 60Co,
which emits two γ-rays of 1.17 and 1.33MeV in cascade (100
per cent of each), the value of E is 2.5 which would give a
dose rate of 12.5 rads per h in tissue at 1cm, slightly less than
the correct value of 13.0. Again taking 48Va as an example
the value of E, calculated as shown in Table 32.10, is about
2.9 MeV and substituting this value in the above formula
gives a dose rate of 14.5 rad per h at 1cm, a rather lower value
than calculated previously but good enough to use in the
planning of experiments.
β-dose rates: As already indicated the whole-body dose rates
due to β−-particles need not be considered since the particles
have a limited finite range and can be stopped completely by
simple shielding. However some parts of the body, notably
the hands and forearms, may be exposed. For a point source
of a β–-emitter an approximate estimate of the dose is given
by the expression:
Dose rate at 10cm = 3100C rads per h in tissue, where C is
the source strength in curies. The effect of β–-energy is
negligible and contributions due to scattering and
backscattering are ignored.
It should be noted that β–-particle doses to the hands may be
very large, and the handling of an unshielded 1mCi source of
32
P would give a dose to the hands of about 3 rems per hour,
assuming an average distance of 10cm. This would result in
the accumulation of one year’s maximum permissible dose in
25 h.
Also the absorption of β–-particles in matter results in the
production of Bremsstrahlung and with large amounts of
b–-activity the dose arising from this may be appreciable. It is
1597
not possible to calculate for this and measurements are always
required.
Shielding
It follows from the inverse square law and the appreciable air
absorption of β–-particles, that doses may be reduced
appreciably by working at a sufficient distance from a source
and this may be adequate with small amounts of radioactivity.
With larger amounts of activity shielding is necessary.
Shielding against β–-particles: The maximum range of 2MeV
β–-particles in air is about 7.5m, but ranges in denser
materials are much less, the equivalent range in Perspex being
about 8.5mm. Thus 1cm of Perspex will give effective
protection against β–-particles of most energies and such a
screen is the simplest method of shielding.
The problem of Bremsstrahlung has been referred to above.
Since the amount produced increases with increasing atomic
number of absorber, the primary β-particle absorber should be
of as Iowan atomic number as possible and Perspex fulfils
this criterion. About 1 per cent of the β–-energy may be
converted into Bremsstrahlung and with large β–-sources
additional shielding, as for γ-radiation, may be required.
Shielding against γ-radiation: The extent to which the
intensity of a beam of γ-radiation is reduced by a barrier
depends primarily on the radiation energy and the atomic
number and thickness of the barrier material: The absorption
of a narrow beam of radiation follows the exponential law
already described, but in protection problems narrow beam
conditions rarely exist and broad beam conditions are usual:
In the latter case scattering effects result in a build up of
1598
radiation dose which influences principally the first 90 per
cent of the absorption.
The tenth thickness of an absorber is that thickness required to
reduce the intensity of radiation to one-tenth of its initial
value and Fig. 32.39 gives the relationships between tenth
thicknesses and γ-energy for lead, iron and concrete. The
effect of build up is seen in the fact that greater thicknesses
are required to reduce doses by the first factor of 10 than are
needed for subsequent factors of 10, e.g. for 60Co (mean
γ-energy 1.25MeV) the thickness of lead required to attenuate
the dose by a factor of 1000 is approximately (4.4 + 3.6 + 3.6)
cm = 11.6cm.
Estimations of internal dose rates
The calculation of the dose rates which arise due to the

presence of radionuclides in the tissues is very complex and
such estimates are normally required only for patients
receiving diagnostic or therapeutic doses of radionuclides or
in the case of accidental ingestion by radiation workers.
The factors which influence such calculations are as follows:
1. The rate of turnover of the element in the body. The
effective half-life (Teff) is derived from the actual half-life of
the radionuclide (Tt/2) and the biological half-life (Tb), which
defines the turnover rate, and
1599
2. The degree of absorption by the body and of selective
localization within particular organs and the nature of the
organ.
3. The energy and quality of the radiation, the energy of α-
and β-particles being absorbed wholly within a small volume,
whereas only a part of the emitted γ-radiation is absorbed
within the body.
The measurement of exposure doses
It is normal to determine exposure doses in a laboratory by

two methods which are complementary, personal dosemeters
being carried continually by individuals and laboratory
monitors being available to determine dose rates at any
desired working position from time to time.
Personnel monitoring: The commonest form of monitor for
personnel is the film badge, which consists of a small piece of
wrapped photographic film worn inside a holder, usually as a
lapel badge although hand and head badges are useful for
particular applications. Except for certain large users who
operate their own film badge services, films and holders are
distributed in the United Kingdom by the Radiological
Protection Service (RPS); one of their holders is illustrated in
Fig. 32.40A. The RPS film badge holder is designed to
provide six different degrees of shielding of the film; an open
window, in which the film is shielded only by its paper
wrapping; a thin plastic window (50mg per cm2); a thick
plastic window (300mg per cm2); and three different types of
metal shield. When the film is returned to the RPS, normally
after two weeks, it is developed under controlled conditions
and the pattern of blackening resulting from the different
areas of shielding enables the type and energy of the radiation
1600
and the dose to be assessed. Although the details of
construction of the holder differ, similar principles apply
universally for film badge dosimetry.
Fig. 32.40 Personnel dosemeters. (A) The Radiological

Protection Service film badge holder (Radiological Protection
Service); (B) The principle of the pocket electroscope
dosemeter.
The principal advantages of the film badge are its cheapness,

small size, simplicity in use and ability to integrate radiation
doses
over a relatively long period. Also it serves as a permanent
record of cumulative exposure which is adequate for
administrative purposes and is accepted as evidence that an
institution has discharged its function of protecting staff from
excessive radiation exposure. However, it is ineffective for
weakly penetrating radiations, owing to the thickness of the
film wrapping, it is insensitive to doses below about 0.2 rem,
1601
and the dose is not known until sometime after the badge has
been worn.
When exposure doses are likely to exceed one-half of the
maximum permissible dose it is normal to use pocket
ionization chambers or pocket electroscope dosemeter. The
former are charged up and read instrumentally and once read
require recharging. The electroscope dose meter (Fig. 32.40B)
is designed so that the cumulative dose may be read at any
time by looking through the telescope of the dosemeter and
observing the position of a gilded quartz fibre on a scale
calibrated in roentgens. Various sensitivities are available in
the range 0.2–500 R. The advantages of the electroscope
dosemeter are its robustness, simplicity in use, and ability to
indicate the accumulated dose at any time and, providing it
has not recorded its full capacity, to continue to record and
indicate. Although it is insensitive to β–-particles this is not
usually a disadvantage, since shielding is relatively simple in
this case, the major protection problems occurring with X-
and γ-rays.
Special types of dosemeter are available for use on the fingers
or for other special purposes.
It must be emphasized that personal dosemeters can only
record the radiation dose in the area of the body where the
dosemeter is located. Exposure doses are frequently
nonuniform especially where shielding is used and careful
surveys of working positions are essential with sources of
moderate or high activity.
Laboratory monitoring: All laboratories which use other than
minimal sources for limited purposes should possess a
sensitive, accurately calibrated, portable ionization chamber
monitor (e.g. Eberline Type R02; Nuclear Enterprises, Type
0030, Fig. 32.41) with which the exposure doses from both
π-particles (energy greater than about 0.2MeV) and γ-rays at
1602
any point in the laboratory may be measured. These monitors
may be able to record accumulated doses as well as dose
rates.
Fig. 32.41 An ionization chamber monitor, type 95/0030–1/6

(UKAEA and Nuclear Enterprises Ltd.).
Pocket electroscopes may also be placed at strategic positions

in a laboratory to record accumulated doses.
Biological monitoring: The determination of the total
radioactive body burden of radiation workers is required only
in exceptional circumstances. If it is suspected that absorption
of significant amounts of a radionuclide has occurred, the
activity of urine and, less often, faeces may be monitored,
though with radionuclides which are firmly bound in
particular tissues, as 32P, 45Ca and 90Sr are in bone, the
excretion rates are very low once transfer to the tissue
concerned has occurred. With radioiodides the thyroid
activity may be monitored using a NaI(T1) scintillation
1603
counter externally. Special facilities are required for
whole-body monitoring.
Biological monitoring is undertaken principally when
radiotracing is used in metabolic studies or medical diagnosis.
The Operation of Radiochemical Laboratories
Organization
In any institution all work with radionuclides and radiations

should be under the control of a Radiation Safety Officer,
with adequate training and experience in radiation safety
practice, who may be assisted by the persons in charge of
individual laboratories or installations. The safety officer is
responsible for the following:
1. The design and approval of laboratories or installations or
modifications thereto.
2. The instruction of personnel in the principles of radiation
safety practice and the procedures to be used for normal
working and if accidents occur.
3. The provision, maintenance and calibration of suitable
monitoring devices and the control of dose levels.
4. The control of ordering, stocks and waste accumulation and
disposal.
5. The provision of adequate medical supervision.
6. The maintenance of records of the results of monitoring,
doses, orders, stocks and waste.
7. Liaison with police and the authorities.
Statutory controls: In Great Britain the operation of radiation
laboratories, except those in hospitals, is controlled by the
Radioactive Substances Act (1960) and regulations made
under its authority. The Act is administered by the
1604
Department of the Environment, which grants licences
specifying the nature and amounts of radionuclides which
may be used in a premises and controlling the accumulation
and disposal of waste. Most other countries have similar
legislation in force.
Hospitals operating within the National Health Service in
Great Britain are exempt from the requirement to register
under the Act and the scope of their operations is controlled
by a Code of Practice issued under the joint auspices of
several Government Ministries. This exemption does not
apply to the corresponding hospitals in Northern Ireland or to
other hospitals.
Laboratory design
The principal criteria are that there should be a safe

environment for workers and that radioactivity should be
confined within the designated areas. Generally there should
be separate provision for decontamination (clothes changing,
washing and hand and clothing monitoring), counting,
low-activity work, high-activity work and storage. The
counting room and the decontamination area should be
inactive areas, without significant levels of radioactivity. If
significant amounts of radioactivity are to be used it is
common to have physical barriers separating the areas where
different levels of activity are handled and these barriers may
provide facilities for donning protective overshoes.
It is an advantage to have a more generous provision of fume
cupboards than is usual in chemical laboratories. If the fume
cupboards are separately and adequately ventilated they
provide a valuable means of avoiding contamination of
laboratories and personnel and cross contamination between
1605
different experiments or different types of work. Fume
cupboard bases should provide shielding against γ-irradiation
of the lower part of the body and this may be done by having
a 15cm thick base of heavy (barytes) concrete. The weight of
such shielding, of lead walls which may be erected and of the
apparatus and local shielding used in counting rooms requires
careful attention to possible floor loadings.
The handling of millicurie amounts of pure β–-emitters may
require the use of glove boxes, but the dose rate from most
γ-emitters is such that millicurie amounts require the use of
lead shielding and remote handling tools.
Air conditioning is highly desirable and should provide for a
high rate of atmospheric change to minimize airborne
contamination in the laboratory. The residual pressure inside
the laboratory should be slightly lower than atmospheric
pressure to reduce the possibility of the escape of activity to
the surroundings. For most purposes it is unnecessary to filter
the exhaust from general ventilation or from fume cupboards
since the atmospheric dilution is considerable and the
resultant concentrations will be below the maximum
permissible levels.
The general standards of finish should be high with
impervious, easily cleaned surfaces. Floors are best covered
with linoleum or vinyl, cemented at edges and joins and well
polished, since such coverings can be cleaned readily and are
easily removed if they become grossly contaminated. Services
should be arranged for simplicity of maintenance, access
being preferably from outside the laboratory.
Storage facilities should be so arranged that dose rates are
minimal and below the maximum permissible levels.
Frequently this means the allocation of a relatively large area,
considering the actual bulk of material concerned. Where
practicable source containers should be placed in absorbent
1606
packing inside a second receptacle to reduce accidental
breakage and to trap any leakage which might occur.
Nonrigid plastics are very suitable as the outer container with
pure β−-emitters but γ-emitters will usually require lead pots
or other types of lead shielding. A standard office safe is very
convenient for small containers and gives good security.
Laboratory classification: Three different grades of
laboratory are normally distinguished.
Grade C laboratory conditions are provided by a normal good
quality chemical laboratory, which is adequate for most
biological tracer work and diagnostic medical procedures.
The principal hazards in such work arise from the dispensing
of individual amounts from stock, for which only a limited
amount of shielding is necessary.
For higher levels of activity a Grade B laboratory is required,
in the design of which special attention is given to the design
criteria indicated above and good fume cupboards, substantial
shielding and remote handling equipment are essential.
Laboratories of this standard are required for handling the
amounts of activity involved in the therapeutic loses of
unsealed radionuclides, and whenever the volume of work is
high, since this involves maintaining large stocks on the
grounds of availability, convenience and economy.
Laboratories of Grade A are rarely required. They involve
massive shielding, complex remote handling equipment and
sophisticated ventilation and drainage, so that their design and
operation is a matter for experts.
1607
The toxicity grading of radionuclides
Radionuclides are graded in toxicity on the basis of several

criteria in relation to the hazards arising from tissue
deposition, including the following.
Effective half-life: The effective half-life is the time taken for
the body burden to be reduced to one half. This depends on
the physical half-life of the radionuclide and the rate of
excretion of the element. Although initial excretion rates
following absorption may be high many radionuclides are
gradually transferred to organs with very low turnover rates,
such as bone. Once locked up in this way it is impracticable
to increase excretion rates significantly.
Type and energy of the radiation: In this context ex-emitters
are the most toxic, since the whole of the energy is absorbed
in the immediate vicinity of the source producing intense
local damage, β–-emitters are less toxic and γ-emitters the
least toxic, as only a part of the γ-radiation is absorbed within
the body.
Degree of selective localization within the body: Those
nuclides which are concentrated selectively in particular
organs or tissues, as are 45Ca, 90Sr and 226Ra in bone and
radioiodides in the thyroid gland, are graded with high
toxicity.
Other factors to be considered are the volatility of the
compound being handled, its specific activity and its chemical
form. The latter point may be important since a radionuclide
of low toxicity, e.g. 3H, 14C, may create considerable hazard
if present in a compound such as thymidine which is
incorporated into deoxyribonucleic acid, resulting in nuclear
damage in newly formed cells.
1608
The toxicity gradings of some important radionuclides are
given in Table 32.11. These gradings are used as a basis for
determining the activities which may be handled in the
different types of laboratory described above (Table 32.12).
Table 32.11 Toxicity classification* of some important

radionuclides
Class I (high toxicity)

90
Sr, 210Pb, 226Ra
Class II (medium toxicity, upper sub-group A)
22
Na, 36Cl, 45Ca, 54Mn, 56Co, 60Co, 68Ge, 89Sr, 90Sr,
110m
Ag, 124I, 125I, 131I, 134Cs, 137Cs, 140Ba, 144Ce, 170Tm,
182 192 204 224 210
Ta, Ir, Tl, ra, Bi
Class III (medium toxicity, lower sub-group B)
14 18 24
C, F, Na, 32P, 35S, 38Cl, 42K, 43K, 47Ca, 51Cr, 52Fe,
55
Fe, 57Co, 58Co, 59Fe, 64Cu, 65Ni, 65Zn, 74As, 75Se, 76As,
82
Br, 85Sr, 86rb, 87my, 90y, 95Nb, 99Mo, 103ru, 111Ag, 130I,
131
Cs, 132I, 132Te, 140La, 141Ce, 147Pm, 177Lu, 197Hg,
197m 198 203 206 222
Hg, Au, Hg, Bi, Rn
Class IV low toxicity
3
H, 15O, 71Ge, 87mSr, 99mTc, 113mIn, 133Xe, natural
thorium, natural uranium
*
Based on the International Atomic Energy Agency
classification. (Reproduced by permission of the
radiochemical Centre, Amersham, and the Radiological
Protection Service)
Table 32.12 Levels of activity appropriate to the different
grades of laboratory
1609
Protection procedures
Principles: Protection against external radiation hazards

depends upon distance, and since the inverse square law
applies this is the cheapest and simplest form of protection,
the time of exposure, the total dose being proportional to the
time spent in the radiation field, and the use of appropriate
shielding. Good instrumentation, properly used, is also
essential.
The best protection against internal hazards is exceptional
cleanliness of working and sensible experimental procedures.
The type of rules commonly applied are given in Table 32.13.
Table 32.13 Typical rules for a radiation laboratory
The Radiation Safety Officer for this laboratory is

……………………………..Telephone……………
General
1610
1. You are required to familiarize yourself with the
laboratory ‘Code of Conduct’, under which these rules
are made.
2. Eating, drinking, smoking and the application of
cosmetics, in any part of the laboratories, is prohibited.
3. Only the protective clothing provided may be worn and
this must be removed before leaving the laboratories for
any reason.
4. Film badges must be worn at ‘all times and other
dosemeters as specified for particular personnel.
5. Any exposed unhealed wounds, especially on the hands,
must be reported before commencing work. Any wound
received in the laboratory must be reported immediately.
6. Before leaving the laboratory the hands must be washed
and the hands and clothing monitored. Any residual
contamination must be reported immediately.
7. No clothing, cases, books or personal belongings other
than those essential to the work to be done may be
brought into the laboratory.
Safety in Handling
8. Gloves must be worn whenever unsealed sources are
handled. Rubber gloves must be decontaminated before
removal; disposable plastic gloves are discarded after a
single wearing.
9. Pipetting and the performance of any other operation by
mouth is strictly forbidden. Damaged or chipped glass
apparatus must not be used.
1611
10. All containers of radioactive material must be labelled
with the name of the substance, its activity and the date
of assay.
11. Radioactive materials must be stored in suitable, secure
containers in the specially allocated areas.
12. Operations likely to lead to radioactive dust, vapour or
spray must be conducted in a fume cupboard or glove
box.
Radioactive Waste
13. Liquid and solid active waste material must be discarded
separately into the special containers provided and
segregated according to half-life or as instructed.
Containers must be labelled adequately.
14. No active waste may be discarded into the sinks or into
normal refuse bins without specific authority.
Contamination and Accidents
15. All accidents involving personal injury or radioactive
spillage must be reported to the Radiological Protection
Officer.
16. The priorities of action following major spillage are as
follows.
First, the protection of personnel.
Second, the containment of contamination.
Third, report.
Fourth, decontamination.
17. Contamination of apparatus, furniture etc. must be
marked as to the nuclide and the area involved and the
1612
spread of contamination limited by covering with tissues
for liquids and with damp tissues for solids.
18. The location of minor spillage must be marked and
decontamination carried out promptly.
19. Apparatus contaminated in use must be decontaminated
as soon as possible and must not be allowed to dry.
The Counting Room
20. Only sources prepared ready for counting may be taken
into the counting room.
21. Where possible all sources must be sealed to prevent the
escape of radioactive material.
22. Gloves overshoes and any protective clothing used in the
high activity laboratories must not be taken into the
counting room.
Control of contamination: The most satisfactory means of
control are a thorough training in appropriate techniques and
strict adherence to the laboratory rules. However, some
degree of contamination is inevitable and laboratory surfaces
and equipment must be checked regularly with a
contamination monitor. These instruments are of the
ratemeter type and give an audible indication of the presence
of activity. Although a simple Geiger–Muller assembly is
suitable for detecting β–-particles an instrument capable of
operating scintillation detectors is desirable since it is more
versatile different detectors being used according to the type
of radiation involved.
A special problem exists in the detection of contamination by
low-energy β–-emitters. Radiations from 14C, 35S and 45Ca
will not penetrate the walls of glassware or other minor
barriers and the detection of internal contamination in
1613
apparatus must be done by swabbing with a tissue, or rinsing
onto a tissue, which is then monitored. Even sensitive
monitors have a very low efficiency for these radiations, of
the order of 10–15 per cent. There is no practicable way of
monitoring for 3H contamination and this may go undetected
until it interferes with experimental results.
The procedures used for decontamination are very varied and
depend on the nature of the contamination and of the
contaminated surface. When contamination occurs from
aqueous solutions carriers may be used. These are dilute
solutions of an inactive isotope of the same element in the
same chemical form as the radionuclide and remove adsorbed
contamination by exchange. Other agents are detergents,
complexing agents (oxine, EDTA), organic solvents, dilute or
concentrated acids (including nitrosulphuric and chromic
acids) and alkalis. Decontamination is commenced with a
mild agent and drastic measures are used only when
monitoring shows that the mild technique used is ineffective.
Glassware used in radiochemical laboratories should be
marked suitably and reserved for use exclusively in those
laboratories. In
a busy hospital laboratory it may be impracticable to monitor
every item of glassware, etc., and decontaminate individually.
In such cases it is common to treat all items as contaminated
and discard them into cleaning mixture immediately after use.
Handling techniques: The techniques used in the laboratory
are onerous, but not especially so, and are comparable in
many respects to those used for handling pathogenic
microorganisms. Adequate technical skill can be acquired
only in the laboratory but a few widely used techniques are
outlined below.
1. Benches, if of wood, should be covered with waterproof
paper over which blotting paper may be laid. Self-adhesive
1614
sheet plastic can also be used on wood and other types of
surface.
2. Working areas are best defined by using plastic, stainless
steel or enamelled trays lined with absorbent paper.
3. There should be an ample supply of disposable tissues
available.
4. Small volumes of liquid are conveniently measured in
automatic zero micropipettes. For larger volumes many
designs of safety pipette are available. Alternatively,
conventional pipettes may be used with an automatic pipette
filler or with a syringe attached to the pipette by tubing.
Ordinary teats should not be used.
5. Repetitive dispensing from solutions is best done by self-
contained automatic pipettes or burettes.
6. Balance pans should be protected with cellophane or plastic
film.
7. Solutions should preferably not be boiled but if this is
essential it should be done in a fume cupboard and treated as
a distillation.
8. Small volumes of liquid may be evaporated using radiant
heat lamps.
9. Solutions should be sterilized in small batches in bench
autoclaves. Very short-lived nuclides may be sterilized as
individual doses using a sterile syringe fitted with a
membrane filter unit. Syringe attachments giving 6mm of
lead shielding are available.
10. Sources, beakers, flasks etc. should always be handled
with tongs or forceps, especially if γ-emitters are in use,
unless it is known that the superficial dose rate is negligible.
11. Contaminated pipettes should never be dipped into a bulk
of inactive liquid. A suitable excess volume of the liquid
should be placed in a small beaker or, for small volumes,
1615
watch glasses of appropriate size. For microvolumes a drop of
solution may be placed on a small piece of cellophane.
Waste control
Most governments exercise statutory control over the

accumulation and disposal of radioactive waste. In Great
Britain the Department of the Environment issues certificates
specifying the general procedures to be adopted.
The accumulation of waste should not result in a hazard to
laboratory personnel or the storage of large amounts of
activity.
Solid waste, mostly tissues and absorbent paper, is placed in
disposable plastic bags in pedal bins. Liquid waste is
normally placed in sealable containers, separate ones being
used for material with half-lives of less than 14 days, 14 days
to 3 months and greater than 3 months. An approximate
record should be kept of the radionuclide, its activity and the
date, as waste is accumulated.
Waste disposal: Generally small quantities of waste may be
discharged into the public sewerage system or the
atmosphere, or discarded into the public refuse disposal,
provided that there is adequate dilution so that the maximum
permissible concentrations in air and water are not exceeded.
Short-lived material (half-life less than 14 days) can be stored
for 10 half-lives or until the residual activity is negligible, and
this may also be possible with material of up to 3 months
half- life. Animal carcasses or tissues contaminated with
short-lived material are stored in formalin.
There are considerable problems associated with long-lived
materials and it is highly desirable to keep the amounts of
1616
waste activity as small as possible and to dispose of it in small
quantities as it is generated, rather than accumulate it.
Solid waste which cannot be disposed of by normal refuse
disposal may, under suitable control, be buried or incinerated.
In the latter case it is preferable to use an existing incinerator,
rather than have one reserved for radioactive materials, since
this results in dilution with inactive residue.
The incineration of wastes yielding nonvolatile, long-lived
material should be avoided.
Organic solvent waste is best disposed of by burning,
provided the products of combustion are completely volatile
and disperse readily in the atmosphere.
The advice and assistance of the controlling authority must be
sought if significant amounts of long-lived or highly toxic
waste material are accumulated.
Minor disposals of radioactive waste by hospitals tinder
ministerial control are exempted by specific orders made
under the Radioactive Substances Act (1960). These
exemptions apply also to the premises of medical
practitioners and pharmacists but not to other hospitals, to
medical schools or to separate medical research units.
Disposals of waste other than under the exemption orders are
controlled as indicated previously. The excreta of patients
undergoing diagnostic or therapeutic procedures involving
radionuclides do not normally constitute a problem since the
amounts of radioactivity are small or the radionuclides
involved are of low toxicity and short half-life so the excreta
can be voided to the normal sewerage system, where there is
adequate dilution.
1617
Radiochemical Applications
The subject of radiochemistry covers the use of radionuclides
as tracers in chemical and physicochemical systems, analyses
using radionuclides or induced radioactivity and radiation
chemistry.
Tracer applications may be purely chemical or involve studies
of animal and plant metabolism and clinical diagnosis.
Radiation chemistry is the study of the effects of radiations on
substances or systems and includes therapeutic uses and
radiation sterilization.
The Principles of Radiotracer Techniques
The use of radionuclides as tracers depends on the identity in

chemical behaviour of the radioactive and inactive isotopic
atoms and the sensitivity with which the radiation can be
detected. Until the advent of gas chromatography no other
analytical technique approached radiotracing in sensitivity.
The most important limitations of the method are as follows:
1. The isotope effect results from the difference in mass
between the inactive and active isotopes and may be
significant with elements of low atomic number, with which
small differences in mass are relatively more important. An
example is the difference in reaction rates between 12C and
14
C.
2. The radiation effect, which results from the effects of
radiation on the system, may be appreciable if high-energy
radiations and high specific activities are used and, in
biological systems, if the nuclide is concentrated selectively
to give intense local effects, for example, total or partial
1618
destruction of the thyroid gland due to the concentration of
large amounts of radioiodide will affect the entire metabolism
of an experimental animal.
Generally the stability of a radioactive compound must be
regarded as being inferior to that of the inactive compound.
Well known examples include: (a) the radiolytic oxidation of
solutions of 131I to iodate and periodate; (b) radioiodide
formation from compounds labelled with radioiodine; (c) the
self-destruction of dextran sulphate 14C, presumably due to
the radiolytic production of sulphuric acid; and (d) tritiated
acetone readily undergoes enolization in alkaline solution
with loss of the tritium label, whereas un labelled acetone is
relatively stable under these conditions.
3. The occurrence of exchange reactions between inactive and
radioactive isotopic atoms, causing losses of radionuc1ide
from the system. Two simple cases are represented by the
following equations:
Also the hydrogen in some functional groups, such as

hydroxyl and amino groups, is rapidly exchangeable in water
or hydroxylic solvents and this may lead to the loss of tritium
label from the compound.
Analytical Applications
The applications of radionuclides in analysis are so numerous

and varied that a thorough discussion of the subject cannot be
1619
attempted here and would be out of place. However a few of
the more important uses are described briefly below.
Investigations of analytical procedures
The speed and sensitivity of radioisotope techniques have

made them especially valuable in investigations of new
analytical or separation procedures and in re-assessments of
established methods. Typical examples are studies of ion
exchange, chromatographic or gel filtration techniques,
especially since continuous recordings of effluent activity can
be made, investigations of solvent extraction procedures,
determinations of the efficiency of complexing agents and
coprecipitation techniques for the concentration or removal of
trace elements and examinations of the behaviour of very
dilute solutions. Also the effect of different methods of
oxidation on the recovery of trace elements from ashed
organic materials can be determined.
Radioisotope dilution analysis
Classical analytical methods usually rely on a quantitative

isolation of the component of interest in a pure form.
Unfortunately the dual aims of purity and quantitative
recovery are often incompatible, especially with complex
samples or when yields are very small. This problem can
often be resolved by the use of radioisotope dilution analysis,
the principle of which is very simple.
It requires a known amount of tracer compound (Mt) of
activity C to be added to a mass of sample (Ms) containing an
unknown mass (Ms) of the component of interest. After
thorough equilibration a pure sample of the latter is separated
1620
and its activity (c) and mass (m) are determined. The mass of
the substance of interest in the sample is given by the
expression:
(32.11)
Two important points should be noted. The equilibration step

is extremely important and the added radioactive material
must be identical in chemical form, combination and
distribution with the component of interest so that both
behave identically in the separation. Further, any separation
technique which yields a pure sample is satisfactory and there
is no need for a quantitative yield.
If the mass of tracer added is negligible relative to that of the
component of interest, the expression becomes:
(32.12)
and in analytical applications the tracer may be regarded as

being only a recovery indicator.
The technique has been applied very extensively, examples
being the assay of amino acids, hormones, vitamins,
antibiotics, insecticides and trace elements.
Recovery indication ion in analysis: It is often necessary in
routine analyses to carry out a preliminary separation of the
substance to be assayed and it may be difficult to do this
quantitatively due to the occurrence of cumulative losses in
complex procedures or to similarities in chemical behaviour
between the substance of interest and other components.
Losses arising from volatilization or adsorption may also be
1621
important with dilute solutions. In all such cases the use of a
radioactive tracer as a recovery indicator may reduce
substantially the errors involved and the complexity of the
procedures used.
The technique is essentially the same as that used in
radioisotope dilution analysis, except that the mass of
radioactively labelled material added at the outset is
preferably negligible. Since any losses are corrected for, the
separation technique need not be quantitative and may be
simpler than that which would otherwise be used. The
isolated pure component is assayed normally, its radioactivity
is measured and the result is calculated using expression
(32.11) or (32.12) as appropriate.
Enzyme assays
A very wide range of radiochemical methods has been

developed for the assay of enzymes and the study of the effect
of a variety of conditions on enzyme activity. These
techniques offer very high specificity, sensitivity and
accuracy and are especially valuable in studies of enzyme
kinetics, activation and inhibition. The high specificity is
useful in assays of crude extracts, even at high dilution, and in
the presence of reactions which usually interfere with assays.
The high sensitivity permits assays of very low levels of
activity, e.g. in the very small amounts of tissue obtained in
needle biopsies. Other important applications have been in
studies of diseases due to inborn metabolic defects and in
investigations of the effects of drugs on enzyme activity.
1622
Activation analysis
The concentration of many trace elements in drugs, tissues,

pathological samples, etc., can often be determined with high
sensitivity and accuracy if significant amounts of
radioactivity are induced by neutron irradiation.
The growth of activity in a target irradiated in a nuclear
reactor is governed by the approximate
where S is the induced activity in dps, N is the number of

target nuclei present at zero time, ϕ is the effective neutron
flux (σ is the activation cross section of the target (its
probability of capturing neutrons and so undergoing
transformation), t is the irradiation time and T is the half-life
of the radioactive product. Since σ and T are constants and φ
and t can be fixed, the induced activity under standard
conditions depends solely on N, i.e. the mass of target
element present initially.
Usually the sample is placed in a nuclear reactor together with
a known mass of a standard sample of the element of interest
so that both sample and standard are irradiated identically.
Under these conditions:
and since the activities of sample and standard can be

measured and the mass of the standard is known, that of the
sample is calculated readily.
1623
Although it may be possible to assay the sample by
γ-spectrometry, without further treatment, a chemical
separation of the element of interest is often necessary since
radioactivity is usually induced in several components of the
sample. Both sample and standard are treated identically, the
activities of each are determined—allowing for the chemical
yield of the separations, and the radiochemical identity of the
isolated material confirmed as a precaution.
An application of interest in forensic medicine is the
determination of arsenic in pathological samples, the
sensitivity being about 100 times that of normal methods.
Solubility determinations
The solubility of a slightly soluble substance may be

determined readily by preparing a saturated solution of the
radioactively labelled substance and comparing the activity of
an aliquot of the solution with that of a known weight of the
labelled material.
The method can be readily adopted to determine the effects of
a variety of conditions on solubility.
A further modification of the technique enables the specific
surface area of a substance to be determined by making use
of the phenomenon of the exchange of ions or molecules
between the surface of a solid and a saturated solution of the
substance. If the solution is radioactively labelled the extent
of this exchange, and so the surface area of the solid, can be
determined since at equilibrium:
1624
The technique can be applied to materials which are normally
appreciably soluble, provided that a suitable system offering
low solubility can be formulated.
Radioimmunoassay
This technique combines the high specificity of the antigen–

antibody reaction with the ease and sensitivity of radionuclide
counting to give a uniquely sensitive method for the assay of
a variety of compounds, e.g. digoxin, L-thyroxine and insulin,
in clinical and other samples. Clinical samples often contain
substances which interfere with conventional assay methods
but the insulin radioimmunoassay, for example, is capable of
detecting c. 0.4×10–4 ng (10–3 micro units).
The procedure is illustrated in Fig. 32.42. Either a labelled
drug is precipitated with immunoglobulin, or with a ‘binding
agent’ consisting of an immunoglobulin–antiglobulin
complex. The latter method often gives more rapid and
reproducible results. In this latter assay, a range of volumes of
sample is mixed with standard preparations of the binding
agent and the labelled drug. The labelled standard and the
unlabelled drug compete for the binding agent to give a
precipitate, the activity of which is measured. The lower the
concentration of drug in the sample, the more labelled drug is
bound from the standard preparations and the greater is the
activity of the precipitated complex and vice versa. Thus the
amount of drug in the sample is related inversely to the
radioactivity precipitated in the complex.
1625
Fig. 32.42 Procedure for radioimmunoassay. Full details are
given in the text.
Medical Applications
Radionuclides are now widely used in medicine as diagnostic

aids, for tumour therapy and in research. The general
principles of the various types of application are discussed
briefly below and the more common uses of a number of
radionuclides and radioactive compounds are summarized in
Table 32.14, which is not exhaustive.
Table 32.14 Medical applications of radionuclides
Component or function Radionuclides labeled

of interest compound used
The determination of
body composition and
the size of body
compartments
1626
24
Sodium space and Na
exchangeable sodium
Exchangeable potassium 42K
82
Exchangeable chloride, Br*
extracellular fluid
3
Body water, oedema H
45
Calcium Ca, 47Ca, 83Sr
85
Body fat Kr
51
Red Cell volume Cr
Plasma volume RISA
Heart chamber volumes 85Kr, 84rb, 85rb
Pulmonary blood RISA
volume Metabolism and
turnover studies
59
Ferrokinetics (loss, Fe
absorption, utilization,
plasma clearance of
iron)
51
red cell life span, blood Cr, DF32P+, glycine-1-14C
transfusion
51
Sites of red cell Cr
destruction
Platelet survival DF 32P, 51Cr, 35S
32
Leucocyte survival P, thymidine-3H
45
Calcium metabolism, Ca, 47Ca, 85Sr
parathyroid activity,
1627
bone turnover, vitamin
therapy
22
Sodium turnover Na
36
Chlorine turnover Cl
51
Gastrointestinal Cr, 32P
haemorrhage
Vitamin B
12 metabolism Cyanocobalamin-57Co or-58Co
Fat absorption, sprue, Triolein-131I, oleic acid-131I
steaorrhea
Folic acid metabolism Folic acid-3H
Protein loss RISA-131I, PVP-131I, 51CrCl3,
dextran-59Fe
Protein turnover RISA-131l
15
respiration O, 85Kr, 133Xe
131 132
Thyroid metabolism l, l
Kidney function Allyl-inulin-131I or 125I, sodium
diatrizoate-131I or-125I,
Cyanocobalamin 57Co,
EDTA-51Cr
Gall bladder, bile
Circulation and blood Iodipamide-125I or-131I
flow
Cardiac output RISA-131I
85
Coronary blood flow, Kr, 84rb, 86RB
inracardiac shunts
133
Pulmonary blood flow Xe, MAA-131I
1628
85
Cerebral circulation Kr, 4-iodo-antipyrine-131I,
133
Xe
198
Liver blood flow Au, sodium idiohippurate-131I
42
Kidney circulation K, sodium iodohippurate-131I,
133
Xe sodium diatrizoate-131I
or- I, sodium iothalamate-125I
125
131
or- I
24
Muscle blood flow Na, 133Xe
Skin blood flow, plastic 24Na
surgery
Organ and tumour
visualization
Angiography Sodium iothalamate-125I or-131I
Spleen red cells-51Cr, 81rb,
BMHP-197Hg+, MPH-197Hg+
Liver Sulphur colloid-99mTc, 198Au
colloid, MAA-131I, 113mIn colloid,
rose Bengal-131I, PVP-131I, 99Mo
Gall bladder Iodipamide-125I or-131I
Pancreas Selenomethionine-75Se
131
Stomach I
Kidney Chlormerodrin-197Hg, iron
complex-99mTc
18
Skeleton F, 47Ca, 85Sr, 87mSr
99m
Brain tumours Tc, chlormerodrin-197Hg,
RISA-131I, 74As, 113mIn
1629
125
Thyroid I, 131I, 99mTc
Lungs MAA-131I, MAA-99m 113mIn Tc,
Fe(OH)
-3
Placenta RISA-132I, albumin-99mTc
Lymphatic system Tri-n-octylphosphate-32P or
triolein-131I in Lipiodol UF
75
Cartilaginous tumours Se
32
eye tumours Therapy P
60
Solid sources Co, 90Sr, 90y, 137Cs, 182Ta,
226
RA
90
Colloids y, 198Au
32
Solutions P, 131I
†
RISA radio-iodinated human serum albumin, labelled with
125 131
I or I.
Di-isopropyl phosphorofluoridate-32P.
Polyvinyl pyrrolidone, molecular weight 30,000–40,000.
1-Bromomercuri-2-hydroxypropane.
1-Mercuri-2-hydroxypropane.
3-Chloromercuri-2-methoxypropyl urea.
Sodium 3,5-diacerylamino-2,4,6-triazobenzoate.
MAA, macro-aggregated albumin.
*
No convenient chlorine isotope is available.
Body composition and body compartments
Studies of the composition of the intact body and the ways in

which the amounts of various components are affected by
1630
disease and metabolic derangement were previously of great
technical difficulty. Clearly, reliable estimates of the
concentration and behaviour of body constituents are
invaluable in the accurate diagnosis of disease and the
management of the condition and its treatment. Such studies
have been greatly facilitated by the use of radioisotope
dilution analysis, the principle of which has already been
described.
For this purpose the body is considered to be composed of a
number of spaces or compartments, such as the ‘extracellular
space’ and the ‘24h sodium space’. This concept has no
anatomical or geometric identity and the measurement merely
gives the apparent volume of distribution of the substance of
interest. The size of a body compartment, or the amount of a
component as measured at a given time is a reflection of the
dynamic metabolic equilibrium which existed at the time of
sampling. As with other analytical applications the tracer
must be equilibrated thoroughly with the system of interest.
One example will serve to illustrate the benefits of
radiotracing. In haematology the conventional determinations
of haemoglobin and red cell count only give results relative to
the total blood volume, and abnormally low or high values
may be masked by corresponding changes in blood volume.
Thus pseudoanaemic conditions occur when the red cell
volume is normal and the plasma volume is high, a condition
which occurs in kidney disease, splenomegaly or congestive
cardiac failure, while a low plasma volume may tend to mask
the severity of an anaemia arising from a haemorrhagic
condition. Although the total blood volume may theoretically
be determined by measuring the dilution effect in a sample of
whole blood there are a number of limiting factors which
make this unreliable and in many conditions it is essential to
measure both the red cell volume and the plasma volume.
1631
Both measurements may be made simply and simultaneously
on the same blood sample, obtained following the injection of
red cells labelled with 51Cr and of RISA–125I (radioiodinated
human serum albumin labelled with 1251), the radiations from
each being distinguished by the use of a scintillation counter
equipped for pulse height analysis.
Metabolism and turnover
A number of techniques are used in studies of the functioning

of various organs. A common method used with discrete
organs is to administer a γ-emitting nuclide and to measure
the uptake in the organ with a scintillation counter external to
the body and located appropriately. Examples of this
technique are the uptake of 1311 by the thyroid gland, the
accumulation of 59Fe and 51Cr in the liver and spleen, the
uptake and clearance of sodium iodohippurate–1311 by the
kidney and of Rose Bengal–13l1 by the liver and
measurements of respiratory activity using 85Kr or 133Xe.
Another important method is to measure the urinary or faecal
excretion or the activity in the blood, and in some cases all of
these parameters may be measured. One application is the
determination of thyroid activity by measuring either the
amount of labelled hormone (as protein bound iodine) in the
blood or the urinary excretion of 131I. The diagnostic value of
organ uptake and of plasma iodine measurements is illustrated
in Fig. 32.43.
1632
Fig. 32.43 Patterns of iodide utilization in normal subjects
and in thyrotoxicosis and myxoedema. (A) Uptake in the
thyroid gland; (B) Changes in the plasma iodine levels with
time (modified from data supplied by the Radiochemical
Centre, Amersham).
Other applications are studies of the absorption of 59Fe and

cyanocobalamin (labelled with 57CO or 58CO) in anaemia
and the estimation of gastrointestinal haemorrhage by faecal
counting following the injection of 51Cr or 32P.
Circulation and blood flow
The principal method used for studies of the circulation is the

clearance method in which radioactive material is injected
and the rate of removal from the site of injection, which is a
measure of blood flow rate in the organ, is measured with an
external scintillation counter linked to a rate meter and
recorder. Examples of the application of this method are the
measurement of muscle blood flow using 24NaCI, and of
cerebral, coronary and pulmonary blood flow using the inert
1633
gases 85Kr or 133Xe. Measurements of the effect of drugs on
the circulation can also be made in this way, observing
clearance rates before and after
administration of the drug. The inert gases have the advantage
that they are almost completely removed from the blood in a
single passage through the lungs so that there is virtually no
residual activity to complicate the results of repetitive tests.
An unusual technique which has been used to study
pulmonary blood flow is to inject macroaggregated albumin
labelled with 125I, 131I, 51Cr or 99mTc. The albumin is
aggregated by shaking and warming at a pH near its
isoelectric point. Some 90 per cent of particles in the range
10–50μm are trapped in the lung capillaries and are cleared
slowly over a period of several hours. Areas of lung which are
poorly perfused, as in pulmonary embolism, trap only a few
particles and so show as areas of low activity.
A considerable amount of information can be derived from a
single intravenous injection of RISA, recording the activity
observed by a scintillation counter carefully aligned over the
area of the heart taking a single blood sample after 5–10min,
when mixing is complete. This simple procedure yields the
cardiac output, the pulmonary circulation time, the pulmonary
blood volume, the plasma volume and the blood volume (Fig.
32.44). Further refinements of the technique enable the
volumes of individual heart chambers to be determined and
the presence of cardiac valvular incompetence or intracardiac
shunts to be detected.
1634
Fig. 32.44 Determination of cardiac output. (A) Curve from
moderately directional counter. Cardiac output = F = (cV/A),
where c is the equilibrium activity, V is the blood volume
(determined in the test) and A is the shaded area under the
curve; (B) Curve from a directional counter, carefully aligned
t, pulmonary circulation time.
Organ and tumour visualization
Some compounds and elements tend to concentrate in

particular organs, for example, iodine in the thyroid gland and
strontium in bone, and if the compound is radioactively
labelled, or if a radioisotope of the element is used, the
greater activity in the organ of interest relative to that in the
surrounding tissue can be observed. Further, if γ-emitters are
employed, the radiation may be detected readily by a
scintillation counter outside the body.
The principal technique is radioisotope scanning in which a
collimated counter is used. Such counters are protected by a
heavy lead shield containing one or more carefully defined
apertures so that the counter receives the radiation from only
a small area at any time. The counter is scanned across the
body in a series of adjacent parallel tracks (see Fig. 32.45A)
so that the whole of the area of interest is examined. The
1635
result may be presented on paper as a dot diagram, in which
each dot represents a set number of counts so that the dot
density reflects the counting rate, and visualization may be
aided by presentation of a colour dot diagram in which the
dots are colour coded according to the counting rate.
Alternatively, the accumulation of the given number of counts
may be used to trigger a flash of light and the dot diagram is
then recorded on photographic film. The latter type of scan is
shown in Fig. 32.45B in which a brain scan using
chlormerodrin-197Hg is superimposed on an X-radiograph of
the patient’s head, with excellent visualization
of a meningioma. The scan can be done in two planes at right
angles to give precise location prior to surgery.
Fig. 32.45 Brain tumour scanning. (A) The apparatus,

showing two opposing, collimated, NaI(TI) scintillation
counters and associated equipment; (B) A scintigram of a
meningioma obtained with chlormerodrin-197Hg
superimposed on an X-radiograph of the skull (reproduced
1636
with permission of St. Bartholomew’s Hospital, the National
Hospital, Institute of Neurology and the UKAEA).
An interesting modification of the basic scanning technique is

to use a positron emitter (18F, 64Cu, 74As), the annihilation
radiation from which yields pairs of 0.51MeV γ-rays in
opposite directions.
The activity is then scanned with two counters connected in
coincidence, one on each side of the body. This arrangement
gives very high definition, but has been used to only a limited
extent.
Scanning procedures tend to be rather tedious since each scan
takes about 20–30min, during which time the patient has to be
immobilized. This problem has been overcome by the use of
the gamma camera, one form of which consists of a large
stationary detector comprising a number of crystals and
photomultipliers located behind a collimator with several
thousand parallel cylindrical holes, each hole viewing a small
part of the organ. The gamma camera can produce a picture of
the distribution of radioactivity in an organ in a few minutes
and makes possible serial determinations of uptake and
turnover which may considerably improve diagnostic
discrimination.
Organ visualization is used to determine hypertrophy or
atrophy, the ‘presence of space-occupying lesions, or
displacement, and usually depends on the administration of a
radionuclide in a form normally metabolized by the organ,
e.g. chlormerodrin-197Hg or hippuran-131I for the kidneys,
85
Sr or 87mSr for the skeleton, red cells labelled with 51Cr for
the spleen and colloids of 198Au or 113mIn for the liver.
Tumour visualization may depend on a variety of factors.
Enhanced uptake due to increased vascularity and metabolic
rate occurs with eye tumours (32P) and bone (18F, 87mSr)
1637
whereas increased uptake in brain tumours probably results
from breakdown of the normal mechanisms which act as a
barrier to the penetration of many substances into brain tissue.
However, in many cases the presence of a tumour is inferred
from the existence of nonfunctional masses in organs.
Particular advantages of radionuclide tumour scanning are
that it will often distinguish between active and inactive
lesions (Fig. 32.46) and locate metastases (secondary tumours
resulting from the dissemination of cells from a primary
malignant tumour), especially with thyroid metastases which
often have the ability to concentrate iodide in the same way as
normal thyroid tissue.
Fig. 32.46 Bone scanning using 18F, (A) Scan of pelvis 7

years after the removal of a stomach carcinoma, showing
multiple secondary deposits. Excreted 18F shows in the
bladder; (B) The X-radiograph shows some of the deposits.
The dense areas in the right ilium are metabolically inactive
since there is no uptake of 18F (Reproduced by permission of
Dr V. Ralph McCready and Hospital Medicine Publications
Ltd.).
The technique does not necessarily distinguish between

benign and malignant tumours. As with most diagnostic aids
1638
the results supplement the information derived from the
clinical symptoms and other tests but the value of the
technique is beyond doubt.
The chemistry of some radionuclides (131I, 99mTc, 113mIn)
enables them to be used as labels for many different
substances so that these nuclides have found very wide
application.
Therapy
Radiation therapy is used principally for the treatment of

malignant diseases, damage to the tumour greater than that
which occurs to surrounding healthy tissue being obtained by
suitable location of solid sources, by suitable adjustment of
radiation beams, or by utilizing the ability of certain tissues to
concentrate radionuclides. It has already been mentioned that
the degree of radiation damage increases with the rate of cell
reproduction so tumours, and cells in related conditions which
are characterized by uncontrolled growth, tend to be damaged
selectively.
Discrete solid sources: Small sources are used for direct
implantation into tumours. This has been done for many years
with 226Ra and the scope of the technique has been greatly
extended by the availability of artificial radionuclides.
Removable applicators are used for intracavity irradiation of
the nasopharynx (90Sr), oesophagus (60Co), uterus (37Cs,
60
Co), bladder 82Ta (Fig. 32.48) and cervix (226Ra), while
foils of 90Sr are applied to small superficial tumours or to the
eye (Fig. 32.48). Flexible polythene sheeting impregnated
with 32P in the form of red phosphorus or with 90Y as the
oxide can be used for the superficial treatment of large areas
and for the irradiation of basal cell carcinomas.
1639
Fig. 32.47 Tumour therapy with removable implants. An
X-radiograph of 182Ta hairpins implanted in the bladder
(reproduced with permission of the royal Marsden Hospital
and the UKAEA).
Fig. 32.48 Some 90Sr surface applicators. The spherical sector

applicator is for ophthalmic use (UKAEA).
1640
An alternative approach is to implant short-lived
radionuclides which can be allowed to remain in place since
decay results in negligible final radiation doses. This
technique is used with 198Au (half-life 2.7 days) in the form
of gold grains which are implanted with a special gun (Fig.
32.49) and with 90Y (half-life 64.2 h) rods which are often
used for pituitary ablation.
Fig. 32.49 Tumour therapy with permanent implants. (A) The

gun used for implanting gold (198Au) grains: (B) An
X-radiograph of gold grains implanted permanently in the
bladder (with permission of the royal Marsden Hospital and
the UKAEA).
Colloids: Colloidal suspensions of appropriate particle size

remain located in body cavities or in tissues of low
vascularity, and this principle is utilized primarily for
1641
palliative treatment of the peritoneal and pleural cavities with
colloids of 198Au and 90y, the latter in the form of the silicate
or adsorbed onto colloidal ZeoKarb-225. These colloids can
also be used in the bladder to treat diffuse growths.
Solutions: Only two radionuclides are widely used in solution
form. Inoperable thyroid cancer may be treated with 131I, a
form of therapy which is especially valuable if iodine
concentrating metastases are present, since these are treated
simultaneously.
This nuclide is also used to reduce thyroid activity in
thyrotoxicosis, especially when the condition recurs after
surgery, and to reduce the basal metabolic rate, and so the
demand on the heart, in some cases of intractable cardiac
disease. The irradiation of blood-forming tissues by 32p from
its absorption sites in bone is the method of choice in the
treatment of polycythaemia vera, an excessive production of
red cells, and may also be useful in the treatment of myeloid
and lymphatic leukaemias, which are characterized by
excessive white cell production.
Teletherapy is the irradiation of tissues using powerful
radioactive sources located outside the body, the usual
sources being γ-emitters, normally 60Co (about 2000 Ci), but
137
Cs (about 10000 Ci) is also used. These are employed
similarly to X-ray therapy sets but have the advantages of low
operating costs, continuous output, reliability, and cause
fewer skin reactions since the maximum dose occurs several
millimetres below the skin surface. Also if the source is
rotated around the patient in a circle with the tumour as its
centre (Fig. 32.50), the dose to the tumour is achieved with a
substantially smaller dose than usual to the surrounding
tissue. The latter technique is impossible with X-ray
generators due to the attachment of the power cables.
1642
Fig. 32.50 A 60Co teletherapy unit. The massive head,
containing 4670 Ci shielded with depleted uranium, can be
rotated around the patient (Reproduced by permission of the
Churchill Hospital and the UKAEA).
Superficial irradiation of the whole body with β–-particles is

also used, usually to irradiate the blood as it passes through
the skin capillaries, the normal source being an array using
about 24 Ci of 90Sr.
Radiation Sterilization
The sterilization process
The ‘target hit concept’: The basis of the lethal action of

radiations on microorganisms is the production of ionizations
1643
and, less importantly, excitations when radiation traverses the
cell. However, lethally irradiated cells remain intact,
respiration continues normally motile cells retain their
motility for some time and under conditions where
reproduction is possible, death may not occur until after one
or two divisions of a cell. The extent of these effects in any
individual case depends on the extent of damage but it is clear
that inactivation is not the result of gross damage but arises
from the effects of one or more minor lesions.
The essentially particulate nature of ionizing radiations and
the fact that they produce discrete ionization loci, the
statistical distributions of which can be calculated (Fig.
32.51), have led to the concept that inactivation is due to
‘hits’ in specific ‘targets’. The hits are specific lesions which
individually or cumulatively result in cell death and the
targets are the sensitive loci, the integrity of which is essential
to viability. The natures of these targets have not been
identified but the indications are that they are macromolecular
in nature and they have been equated with genes, membranes
and other functional entities.
Fig. 32.51 An idealized ionization pattern produced by a l

MeV negatron superimposed on the outline of cells of
Escherichia coli and of an erythrocyte (reproduced with
1644
permission of Professor Trump and the Pharmaceutical
Press).
Although this concept appears to place the greatest emphasis

on the direct effects of radiation, the indirect effects resulting
from the occurrence of primary ionizing events in water are
also important because water is the principal component of all
cells. Further, cells may be in contact with sufficient water so
that appreciable cell wall damage is caused by the free
radicals resulting from ionizations in the extracellular fluid. It
should be appreciated that within about 10–12 S each
ionization locus is surrounded by a population of ion pairs,
free radicals and excited atoms, all of which may contribute
to molecular damage.
The form of the survivor–dose curve: As with all other
sterilizing agents the death of irradiated microorganisms can
be described by a probability function, though there is no
correlation between the sensitivity of a species to irradiation
and any other sterilizing agent. Also, as with other
sterilization processes, three types of survival curve may be
obtained (Fig. 32.52).
1645
Fig. 32.52 Types of log survivor–dose curves. Type A,
exponential (single hit). Type B, curve showing tailing. Type
C, multitarget (sigmoidal) curve (redrawn from data supplied
by Dr Margaret Thornley and the International Atomic energy
Agency).
Most survival curves are exponential in form (Fig. 32.52,

curve A) and are frequently interpreted as resulting from a
‘single hit’ inactivation process. Such curves are
characterized
completely by their slope and a widely used related concept is
the D value, the dose required to reduce the population to one
tenth of its initial size. A knowledge of the D value of such a
system enables the dose required for any degree of
inactivation to be calculated readily.
The form of the second type of curve (Fig. 32.52, curve C),
which is sigmoidal in form when plotted arithmetically, has
an initial shoulder and finally becomes exponential. In
practical terms this means that there is a threshold dose below
1646
which death is not observed the shape of such survival curves
has been ascribed to various causes:
1. The presence of a number of targets within the cell, all of
which have to be inactivated before the cell becomes
nonviable (the multitarget model), for example it has been
calculated that 90 hits were requires to inactivate a single
spore of Cl.botulinum strain 33A.
2. The necessity for several hits to inactivate a single target,
the single target inactivation causing cell death. This multihit
model would lead to a curve different in form from the
multitarget model, though it may not be possible to
distinguish between them unless the data are very accurate.
3. The clumping of cells results in a multitarget type of curve.
Since we commonly test viability by the ability to form
visible growth and the growth can arise from a single unit or a
clump it is necessary to inactivate each unit in the clump to
destroy viability.
4. With some species, such as the naturally resistant M.
radiodurans, there is a considerable shoulder, possibly due to
the possession of extremely efficient repair mechanisms for
radiation damage. Curves of type C can be characterized by
two parameters, the D value derived from the slope of the
later, exponential part of the curve and the extrapolation
number (N), which is the intercept on the ordinate of the
backward extrapolation of the exponential part of the curve.
Although the extrapolation number can be interpreted as the
number of targets required to be damaged for cell
inactivation, this interpretation must be approached
cautiously. Instead of the extrapolation number the size of the
shoulder may be given. It is possible that exponential curves
are a limiting form of the multitarget curve in which the
shoulder is negligible since in other situations, such as phenol
1647
disinfection, the survival curve shows a shoulder at low
concentrations but not at high ones.
The third type of curve (Fig. 32.52, curve B) is not usually
amenable to mathematical treatment on the basis of the target
theory. In some cases these curves may become exponential
in the later stages and can then be characterized by the D
value and the extrapolation number (N′), the latter having a
value less than unity. Type B curves may arise by the
combination of two or more exponential curves of different
slope, e.g. those due to the presence of two strains of widely
differing resistance, or two targets of different size. However,
such curves are often considered to indicate the occurrence of
a population with a markedly skew distribution of resistance,
there being an abnormally high proportion of sensitive cells.
Inadequate techniques resulting in nonuniformity of dose can
also give type B curves.
Factors affecting the radiation sensitivity of

microorganisms
Species: The enormous variation in radiosensitivity between

species is the single most important factor in the
determination of the sterilizing effect of a given dose.
Although the radioresistance of microorganisms generally
increases in the order vegetative bacteria, fungi, bacterial
spores, viruses, there are a number of vegetative species of
bacteria which are remarkably radioresistant, notably M.
radiodurans. This is clearly illustrated in Fig. 32.53.
1648
Fig. 32.53 radiosensitivities of some food spoilage
micro-organisms. 1, Pseudomonas spp.; 2, Escherichia coli;
3, Salmonella typhimurium in buffer; 4, Torulopsis famata; 5,
Bacillus brevis; 6, Salmonella typhimurium in liquid egg; 7,
Streptococcus faecium strain R53; 8, Bacillus megaterium
spores; 9, Clostridium welchii spores; 10, Clostridium
botulinum type A spores; 11, Micrococcus radiodurans.
1649
Inoculum level: The higher the initial population the greater is
the dose required to achieve a given degree of inactivation.
This situation arises from the generally exponential nature of
the process and is similar to that which occurs when
microorganisms are killed by heat or chemicals. This
population effect emphasizes the need to keep the initial
degree of contamination as low as possible so that the
sterilization of articles is achieved with the minimum dose.
Gaseous environment: The presence or absence of oxygen
during and after irradiation markedly influences the apparent
sensitivity to radiation damage arid the overall change in
oxygen sensitivity is normally about 3:1 but may be as high
as 15:1 in some conditions. There appear to be three different
types of radiation damage; one component is totally
independent of oxygen, a second (latent) component is
observed when anoxic irradiation is followed by exposure to
oxygen and the third component (immediate) is involved
when irradiations are done in the presence of oxygen.
Anoxic effects also occur in the presence of reducing agents
(H2S, thiourea) or free radical or oxygen scavengers, such as
nitric oxide.
The oxygen effect is usually interpreted on the basis that
oxidizing free radicals are formed more readily in its
presence, thus increasing the indirect effects, though not all
observations fit in with this theory.
Degree of hydration: It is generally accepted that
microorganisms are less radiation sensitive under dry
conditions than in the presence of water and this is ascribed to
the absence of indirect effects arising from the radiolysis of
water. Since there may be a 30 per cent change in the
inactivation rate over a range of about 20–40 per cent relative
humidity, there may be an appreciable change of sensitivity
within the normal range of ambient humidity.
1650
Temperature: The radiation sensitivity of microorganisms is
reduced at, or below, the freezing point of water, due to the
immobilization of free radicals and reactive species produced
in the water, thus reducing indirect effects.
At temperatures used for sterilization there is a
complementary or synergistic effect of temperature and
irradiation and sterility may be achieved by a combination of
significantly milder treatments of both sterilizing agents. This
phenomenon is of potential practical importance in the
sterilization of products such as foodstuffs which are both
heat and radiation labile.
Stage of cell division: The sensitivity of vegetative bacteria
varies during the growth cycle as shown in Fig. 32.54 and the
growth phase will clearly affect the dose required if there is
the possibility of growth in the material to be sterilized.
Fig. 32.54 Changes in the radiosensitivity of a vegetative

bacterium during the growth cycle.
1651
Since bacterial spores are considerably more resistant than
vegetative cells of the same species there is an abrupt increase
in radiosensitivity as spore germination occurs.
Protective and sensitizing agents: A large variety of
compounds affect the radiation sensitivity of microorganisms.
Protective agents include reducing agents (cysteine, dimethyl
sulphoxide, thiourea, cysteamine, β-mercaptoethanol),
alcohols and polyhydric compounds (ethanol, glycerol,
mannitol) and proteins or complex foodstuffs. The effect of
anoxia and free radical scavengers has already been referred
to, and most of the protective agents appear to be substances
which abolish at least part of the oxygen effect.
The mode of action of radiation sensitizers is obscure.
Sensitization has been reported with oxidizing agents (nitrate,
nitrite), water soluble stable free radicals (di-t-butyl
nitroxide), phthalylanilides and phenazinium and
iso-indolinium compounds. Vitamin K5 has been reported
both as a sensitizer and as a protective agent with different
bacterial species.
Pretreatment and posttreatment conditions: The
physiological condition of an organism at the time of
irradiation influences its sensitivity so that the growth
temperature, the medium, pH and oxidation reduction
potential will all influence the situation. However, there has
been little work done on this aspect and most emphasis has
been placed on the modifying effects due to variation of the
postirradiation conditions. Postirradiation treatments which
produce reductions in apparent radiosensitivity are:
incubation on complex media rather than on simple salt
media; the use of more dilute complex media; and retardation
of metabolism with metabolic inhibitors or by incubation in
distilled water. The effect of incubation temperature varies
with the strain of organism, although better survival usually
1652
results from the use of temperatures below the optimum for
undamaged cells of the same species.
Variation in posttreatments may result in survival curves of
different form, indicating that the form of the curve probably
reflects the interplay between the revival process after
damage and the lethal process. Thus hypotheses concerning
the modes of action of lethal agents which are derived from
the form of the survival curve should be treated with caution.
It should be noted that the effects of pre- and posttreatment
conditions may be related, for example, bacteria grown on a
simple salts medium before irradiation have a high
concentration of enzymes and may show good recoveries on a
complex medium, whereas preirradiation growth on a
complex medium and the postirradiation use of salts medium
may give the opposite effect due to lack of synthetic ability.
Mutations: In addition to lethal effects, ionizing radiations
select radioresistant mutants from a population and also
produce mutations. The degree of radioresistance appears to
be related to the number of cycles of irradiation, isolation and
reirradiation so that although the possibility of the emergence
of radioresistant
strains must be considered in relation to sterilization practice
it is unlikely that this will constitute a major problem.
Determination of the sterilizing dose
The selection of the radiation dose required to sterilize

various materials depends on several factors: the nature of the
species present and their radiation resistance in the particular
environment and under the conditions of processing used, the
level and the degree of uniformity of the initial contamination
and the margin of safety required.
1653
The wide variations in sensitivity between species have
already been referred to and the most resistant species likely
to occur as a contaminant in the material and the degree of
such contamination are the two most important
considerations. Although highly resistant species are
relatively uncommon in pharmaceuticals and medical
products, which are manufactured under hygienic conditions,
the facts that there is a mixed microbial flora of which the
exact composition at any time or on any article and the exact
degree of contamination are not known precisely, make it
essential to assume the worst possible conditions. There is
considerable technical difficulty in following the course of the
sterilization process at very high inactivation factors since it
is impracticable to prepare test microbial suspensions of
sufficient concentration to permit the accurate counting of
survivors at inactivation factors greater than about 109. Also,
unless the whole of the dose can be delivered within a very
short time, the leakage of intracellular material from the high
concentrations of damaged cells exerts a protective effect on
survivors. However, most inactivation curves seem to be
approximately exponential up to high inactivation factors and
although the ‘tailing’ of resistant organisms has been
reported, e.g. in irradiations of spores of Clostridium
botulinum and of yeast and Salmonella spp. in dried
foodstuffs, the phenomenon may be less important in the
irradiation of medical products than of foods.
Although plastic items are frequently sterile at the point of
production, subsequent handling results in contamination.
Thus disposable plastic hypodermic syringes have an average
contamination rate of about 100microorganisms per article
under hygienic conditions, whereas poor handling techniques
can result in contamination levels of 105–106 spores per
syringe. In contrast with this situation biological materials are
1654
inevitably heavily contaminated and thyroid powder has been
reported to contain Salmonella spp. and other faecal
organisms at a level of 30×106 per g.
In the examples referred to above the organisms on plastic
syringes would be relatively unprotected by their environment
but there would be a considerable protective effect of the
thyroid tissues. This latter point is illustrated by some D
values reported for S. typhimurium in phosphate buffer,
canned bacon and canned chicken which were 0.02, 0.16 and
0.33, respectively.
Since the principal type of material sterilized by radiation
comprises individual solid items, nonuniformity of
contamination is the normal situation and results in a higher
dose requirement than if contamination were uniform, since
all items have to be treated according to the highest
contamination level which occurs.
The margin of safety required depends on the risk of the
occurrence of nonsterile articles which is considered to be
acceptable for the intended purpose. It has already been noted
that the sterilization process is a probability function, so that
an inactivation factor of 109 coupled with an initial
contamination of 103 organisms per article would result in
residual contamination in an average of one article in 106. An
increase in the dose, and so in the inactivation factor, gives a
lower probability of residual contamination without
producing sterility in the absolute sense. This situation is
similar to that which occurs with conventional sterilization
techniques, though long experience with procedures which
are known to produce acceptably safe products and which
were developed rather empirically has led to autoclaving
being regarded as an absolute sterilization method. The
generally accepted autoclaving procedures probably give a
residual contamination rate of 10–6 and this has been proved
1655
acceptable. A widely used concept is that of the ‘12D dose’,
the dose required to give an inactivation factor of 1012, in
order to give a high degree of security even if highly resistant
species are present as contaminants, if there is unduly heavy
initial contamination or if tailing occurs.
Thus selection of an appropriate sterilizing dose may be
difficult and in the absence of precise information about the
initial conditions large doses are used, in the range
2.5–4.5Mrad. The 2.5 Mrad dose has been widely accepted
but it has been suggested that this may be inadequate. With
these high doses, especially at 4.5 Mrad, the effects of
irradiation on the material may be important and each type of
product requires careful evaluation as to stability, activity,
physical properties, storage life and acute and chronic
toxicity. However, if it is desired to sterilize a pure culture of
known resistance, as in vaccine production, or to eliminate a
particular pathogen, e.g. staphylococci from hospital linen or
salmonellae from egg products, smaller doses may be
acceptable provided that radiation resistant strains are not
produced.
Selection of the sterilizing process
The criteria for the selection of the type of radiation include

the following:
1. The specific ionization produced should be relatively low.
A relatively small number of ionizations within a
microorganism are sufficient to cause inactivation so
radiations which produce a high specific ionization are less
efficient biocides and are more likely to damage the product.
2. The radiation should be capable of adequate penetration of
the material and deliver a reasonably uniform dose therein.
1656
3. The radiation source should be capable of delivering high
doses economically, at the same order of cost as conventional
sterilization techniques.
4. It should be possible to irradiate materials in any physical
state.
5. The dose must be accurately reproducible and capable of
accurate measurement and control.
6. The safety of plant operators should be ensured and
radioactivity should not be induced in any irradiated material.
The only types of radiation to meet the above criteria are
γ-rays and electron beams. Other radiations have limited and
specialised uses.
Plants for γ-irradiation: Virtually all sterilization plants in
use at present employ 60Co, the source strength varying from
30 kCi to 2MCi. Cobalt-60 has the advantages of
compactness, high penetration (Fig. 32.55) and high dose rate.
Its half-life of 5.26 years necessitates replacement at the rate
of about 12.5 per cent per year in order to maintain the
desired dose rate.
Fig. 32.55 Variation of dose with adsorber thickness for

γ-radiation and negatrons. Solid lines, 60Co γ-rays, mean
1657
energy 1.25MeV; broken lines, 5MeV negatrons; thin lines,
single sided irradiations; heavy lines, double sided
irradiations.
Although 137CS could be used and has the advantages of a

lower γ-energy, so that shielding problems are less, and a
longer half-life (30 years), necessitating a replacement rate of
only 10 per cent per 5 years, only one plant using this nuclide
has been built (in France), presumably due to the current
higher cost of 137CS.
A typical 60Co irradiation plant (Fig. 32.56) normally has a
source consisting of a number of rods built up from 60Co
slugs and arranged in the form of a flat plaque around which
the packages are circulated. The packages are conveyed past
the source several times so that all packages are irradiated to
the same extent and from both sides. Fig. 32.55 illustrates the
clear advantage in uniformity of depth dose distribution
which is derived from two-sided irradiation. The two
irradiations need not be simultaneous since the total energy
deposited is the same whether the irradiations of the two sides
are concurrent or not and, provided that no changes in the
physical or physiological conditions occur between the two
irradiations, the effects are identical. Careful attention is paid
to the packing density since
the uniformity of dose distribution decreases with increasing
density and nonuniformity of packing and because the
packing density affects the efficiency of operation.
Economical operation requires the plant to operate
continuously and automatically, the dose being controlled by
the source activity and the time of exposure of the package.
Protection of the operating personnel is achieved by building
the irradiation cell in concrete, a thickness of about 1.75m
being required for a source strength of 100 kCi or about 2.5m
1658
for a 2MCi source. When maintenance is required, or the
source needs replenishing, the source is normally lowered
into a water pond, about 6m depth of water providing
adequate protection. The installation is designed for the
utmost reliability and to fail safe in the event of any untoward
incident.
Fig. 32.56 UKAEA 60Co radiation sterilization plant. (A)

Cut-away diagram; (B) The flow pattern past the source; each
package undergoes five passes on either side of the source
plaque (UKAEA).
Electron beam processing: Concentrated beams of

high-energy electrons (up to about 7MeV) are produced by
van der Graff electrostatic accelerators or by microwave
1659
linear accelerators. The penetrative powers of electrons is
very much less than that of γ-radiation (Fig. 32.55), so
electron irradiation is usually confined to the sterilization of
small items such as individual dressings or sutures spread in a
thin layer. The objects to be sterilized are passed on a
conveyor belt under a focused electron beam which is
scanned rapidly (200 cps) to and fro across the conveyor,
using electrostatic or electromagnetic deflecting fields, a very
high efficiency of utilization of the available energy being
obtained. Uniformity of dosage control is achieved by careful
regulation of both the electron generator and the conveyor
speed. Although the problems of protecting personnel from
radiation hazards are much less than with γ-radiation plants
there is considerable Bremsstrahlung production, which
accounts for most of the biological shielding required.
Comparison of γ-ray and electron beam processes: The
relative properties of the two types of irradiation are given in
Table 32.15. Most of the material processed throughout the
world is sterilized by 60Co irradiation since increasing
utilization of this material has resulted in reduced costs
whereas the Cost of electron generators has risen in keeping
with general inflationary trends. Some γ-irradiations are
carried out using the radiation from spent nuclear reactor fuel
elements which are held in water ponds to ‘cool’ to
acceptable radiation levels before processing. Such facilities
are of low production capacity and are primarily experimental
or are used where radiation sterilization is economically
nonviable.
Table 32.15 Comparative properties of γ-ray and electron

beam processes for radiosterilization
1660
γ-Radiation Electron Beams
1. High penetration 1. Lower penetration,
dependent on energy
2. Massive biological shielding 2. Shielding problems are
and elaborate source storage less since the beam has a
required defined direction and lower
range and Bremsstrahlung
production is relatively
inefficient
3. No directional properties so 3. Very high efficiency of
that the whole of the energy utilization of the energy of
cannot be absorbed within the the scanned beam
irradiated material, resulting in
maximum efficiencies of about
35 percent
4. Large input and output stores 4. Less elaborate storage
required due to relatively long facilities needed due to
irradiation times and the need to high processing capacity
operate continuously for
economy
5. Cannot be switched off 5. Can be run at will as
required
6. Cannot induce radioactivity 6. May induce radioactivity
if energies > 10MeV are
used
7. reliably constant output of 7. energy output required
energy careful control
8. Low maintenance costs 8. Liable to breakdown
primarily for 60Co source needing frequent
1661
replacement at a rate of 12.5 maintenance and has a tube
percent per year life of about 1000hr
Control procedures
Radiosterilization operations require expert supervision and

control and a Code of Practice has been adopted by the
International Atomic Energy Agency. The Code specifies
high standards of construction and hygiene to ensure the
lowest possible initial contamination of articles. It requires
sterilized items to be packed to prevent subsequent
contamination and sterilized and unprocessed materials to be
positively identified and separated. Microbiological control
covers the initial levels of contamination, sterility testing and
the use of standard strains of bacteria, Streptococcus faecium
strain A2-1 (ATCC 19581) and Bacillus pumilus strain E601,
as a continuous check on the sterilizing efficiency. The
methods for checking the dose on initial commissioning and
in routine operation are also specified, together with
precautions for fail safe operation if any part of the plant does
not function correctly, for example, if a 60Co source is
incorrectly located, an electron accelerator fails or a conveyor
belt stops.
Advantages of radiosterilization
1. Highly effective.
2. Treatment times may be very short.
3. It is a continuous process suitable for long production runs.
4. The thermal conductivity of the material is irrelevant.
5. It is a cold process resulting in a temperature rise of only a
few degrees and so is suitable for thermolabile materials.
1662
6. Materials may be irradiated in the dry or frozen state and
under oxic or anoxic conditions.
7. Products are processed in the final container after
packaging with no risk of subsequent contamination until
used.
8. The process may be controlled and monitored accurately.
Applications
The present applications of radiosterilization are confined

primarily to those materials for which conventional
sterilization methods are unsatisfactory or uncertain (catgut,
rubber, certain dressings, oils) or to cheap disposable plastic
materials which cannot be heat sterilized. Other medical
applications which are being studied intensively are the
sterilization of tissue graft materials, such as freeze-dried
bone or aorta, the production of vaccines, since antigenicity is
generally not affected by sterilizing doses, and the elimination
of the virus of serum hepatitis by the irradiation of
freeze-dried plasma.
The problems of food sterilization have not been solved, since
the products are unacceptable organoleptically, but it is
possible that substerilizing doses of radiation may be used to
reduce the degree of heat processing or refrigeration required
to obtain an acceptable storage life for many foodstuffs.
Relatively low radiation doses can be used to eliminate insect
infestations of stored foods.
A list of medical products which are known to have been
radiosterilized satisfactorily is given below:
1. Antibiotics of the tetracycline group
1. Antibiotics of the tetracycline group
2. Arterial prostheses
1663
3. Atropine eye drops
4. Cannulae
5. Cardiac valve prostheses
6. Chloramphenicol eye ointment
7. Dialysis units
8. Endotracheal tubes
9. Oxygenators for heart–lung machines
10. Plastic catheters, gloves, hypodermic syringes (with
needles), petri dishes, tubing
11. Rubber catheters and gloves
12. Starch glove lubricating cream
13. Surgical blades, blood lancets
14. Surgical dressings: bandages, gauze, eye pads, swabs,
maternity towels
15. Sutures: catgut, collagen, silk, polyester, nylon,
transfusion giving and taking sets
The question of the economics of the various sterilization
processes is probably not as important as has occasionally
been implied. There are undoubted differences in cost (the
cost of ethylene oxide sterilization, another cold process, has
been reported to be about 60 per cent of that for
radiosterilization), but sterilization may account for only 5 per
cent of the manufacturer’s price and such cost differences are
marginal. The real consideration is which sterilization process
is the most suitable for the material concerned and gives an
appropriate degree of security.
References
Anthony LJ. Sources of Information on Atomic Energy.

Oxford: Pergamon Press; 1966.
1664
Catch JR. Carbon-14 Compounds. London: Butterworths;
1961.
Cuningham JG. Introduction to the Atomic Nucleus. London:
Elsevier; 1964.
Edelmann A. Radioactivity for Pharmaceutical and Allied
Laboratories. London: Academic Press; 1960.
Errera M, Forssberg A, eds. Mechanisms in Radiobiology,.1.
London: Academic Press; 1961.
Evans EA. Tritium and its Compounds. London:
Butterworths; 1966.
Faires RA, Parkes BH. Radio-isotope Laboratory Techniques.
2 London: Newnes; 1960.
International Atomic Energy Agency. International Directory
of Isotopes. 3 Vienna: International Atomic Energy Agency;
1964.
Oak Ridge Institute of Nuclear Studies. Radioactive
Pharmaceuticals. Oak Ridge: The United States Atomic
Energy Commission; 1966. A.E.C. Symposium Series 6
Overman RT, Clark HM. Radioisotope Techniques. London:
McGraw-Hill; 1960.
Quimby EH, Feitelberg S. Radioactive Isotopes in Medicine
and Biology. 2 Basic Physics and Instrumentation.1. London:
Henry Kimpton; 1963.
Roth LJ. Isotopes in Experimental Pharmacology. Chicago:
The Radiochemical Centre (Amersham, Bucks)
1969 Radioactive Products 1969/70 (1969).
The Radiochemical Centre Reviews.
Wilson BJ. Selected References to Tracer Techniques. 1968.
No. I
Bayly RJ, Catch JR. The Stability of Labelled Organic
Compounds. 1968. No. 3
Newbery GR. Standards of Activity. 1968. No. 4
1665
Bayly RJ, Evans EA. Storage and Stability of Compounds
Labelled with Radio-isotopes. 1968. No. 7
Catch JR. Purity and Analysis of Labelled Compounds. 1968.
No. 8
1966 The Radiochemical Manual (1966) 2nd edn.
Wang CH, Willis DC. Radiotracer Methodology in Biological
Science. Englewood Cliff’s, New Jersey: Prentice Hall; 1965.
Won W, Tubis M. J. Pharm. Sci. 1967;56:1.
Radiological Safety
Department Of Education and Science. Code of Practice for

the Protection of Persons against Ionizing Radiations from
Medical and Dental Use. London: Her Majesty’s Stationery
Office; 1972.
Gibson R. The Safe Transport of Radioactive Materials.
International Atomic Energy Agency, Vienna. Safe Handling
of Radioisotopes (I.A.E. A. Safety Series).
1962 No. I. Safe Handling of Radioisotopes (1962).
1960 No. 2. Health Physics Addendum (1960).
1960 No. 3. Medical Addendum (1960).
1961 No. 6. Regulations for the Safe Transport of Radioactive
Materials (1961).
1967 No. 9. Basic Safety Standards for Radiation Protection
(1967).
International Commission on Radiological Protection..
Radiation Protection. Recommendations of the international
Commission on Radiological Protection. Oxford: Pergamon
Press; 1964.
1666
Minister of Housing and Local Government. The Control of
Radioactive Wastes. London: Her Majesty’s Stationery
Office; 1959. Cmnd. 884
Ministry of Labour. Code of Practice for the Protection of
Persons Exposed to Ionizing Radiations in Research and
Teaching. London: Her Majesty’s Stationery Office; 1964.
1960 Radioactive Substances Act (1960). 8 & 9 Eliz. 2, 34.
London: Her Majesty’s Stationery Office.
Rees RJ. Health Physics: Principles of Radiation Protection.
London: Butterworths; 1967.
World Health Organization. Protection against Ionizing
Radiation. A Survey of Existing Legislation. Geneva: World
Health Organization; 1964.
Counting Instruments and Techniques
Birks JB. The Theory and Practice of Scintillation Counting.

Price WJ. Nuclear Radiation Detection,. 2 London:
McGraw-Hill; 1964.
Sharpe J. Nuclear Radiation Detectors,. 2 London: Methuen;
1964.
Snell AH, ed. Nuclear Instruments and their Uses. New York:
Wiley; 1962.
Turner JC. Sample Preparation for Liquid Scintillation
Counting (R.C.C. Review 6). Amersham, Bucks: The
Radiochemical Centre; 1967.
Chemical and Analytical Applications
Burr JG. Tracer Applications for the Study of Organic

Reactions. New York: Interscience; 1957.
1667
International Atomic Energy Agency. Radiochemical
Methods of Analysis. Vienna: International Atomic Energy
Agency; 1965.
Lambie DA. Techniques for the Use of Radioisotopes in
Analysis: A Laboratory Manual. London: Spon; 1964.
The Radiochemical Centre, Amersham, Bucks (R.C.C.
Reviews)
Gorsuch TT. Radioactive Isotope Dilution Analysis. 1968.
No. 2
Gorsuch TT. Radioactive Tracers in Chemical Analysis.
1968. No. 5
Oldham KG. Radiochemical Methods of Enzyme Assay. 1968.
No. 9
Medical Applications
Hospital Medicine Publications. Diagnostic Uses of

Radioisotopes in Medicine. London: Hospital Medicine
Publications; 1969.
International Atomic Energy Agency. Medical Radioisotope
Scanning,.2. Vienna: International Atomic Energy Agency;
1964.
International Atomic Energy Agency. Nuclear Medicine. A
Guide to Recent Literature. Vienna: International Atomic
Energy Agency, quarterly.
Paterson R. The Treatment of Malignant Disease by
Radiotherapy. London: Edward Arnold; 1963.
Silver S. Radioactive Isotopes in Medicine and Biology.2.
London: Henry Kimpton; 1962.
Silver S. N. Engl. J. Med. 1965;272:466. 515, 569, 1294
Veall N, Vetter H. Radioisotope Techniques in Clinical
Research and Diagnosis. London: Butterworths; 1958.
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The Radiochemical Centre, Amersham, Bucks. Medical
Monographs.
West JB. The Use of Radioactive Tracers in the Study of Lung
Function. 1966. No. 1
Tothill P. Measurement Techniques for the Clinical
Application of Radioisotopes. 1966. No. 2
Hobbs JT. Total Blood Volume–Its Measurement and
Significance. 1967. No. 3
Joekes AM. The Radioisotope Renogram. 1967. No. 4
Greig WR, Boyle IT, Boyle JA. Diagnosis of Thyroid
Disorders using Radioactive Iodine. 1969. No. 5
Mollin DL, Waters AH. The Study of Vitamin B12 Absorption
using Labelled Cobalamins. 1968. No. 6
Radiosterilization
International Atomic Energy Agency. Radiation Control of

Salmonellae in food and feed products. Tech. Repts. Series.
1963.
No. 22. Vienna: International Atomic Energy Agency.
International Atomic Energy Agency.. Food Irradiation.
Vienna: International Atomic Energy Agency; 1966.
International Atomic Energy Agency. Radiosterilization of
Medical Products, Pharmaceuticals and Bioproducts. Tech.
1967.
Repts. Series No. 72. Vienna: International Atomic Energy
Agency.
International Atomic Energy Agency. Radiosterilization of
Medical Products. Includes the ‘Recommended Code of
Practice for the Radiosterilization of Medical Products’.
Vienna: International Atomic Energy Agency; 1966.
1669
Pharmaceutical Press. Sterilization of Surgical Materials.
London: Pharmaceutical Press; 1961.
Silverman GJ, Sinskey TJ. The destruction of microorganisms
by ionizing radiation. In: Lawrence CA, Block SS, eds.
Disinfection, Sterilization and Preservation. London: Henry
Kimpton; 1968.
Sykes G. Disinfection and Sterilization. 2 London: Spon;
1965.
1 Most elementary, particles have complementary
antiparticles. The difference may be primarily one of charge,
as with electrons and positrons, or may result from opposite
directions of spin.
1670
Section V Microbiology and Animal Products
1671
Chapter 33
Principles of Microbiology
Microbiology is the study of microscopic organisms, bacteria,
algae, fungi, protozoa and viruses. The cells of bacteria and
the blue–green algae are prokaryotic in structure, the
remainder being eukaryotic, except for the viruses, which are
noncellular. There is no merit in classifying any of these
groups as plants or animals since there are intermediate forms
which tend to link the various groups: they are simply
microorganisms.
Eukaryotic cells (Fig. 33.1A) are typical of plants, animals
and most microorganisms. They have a true nucleus
surrounded by a double nuclear membrane with pores,
undergo mitotic division with chromosome separation, have a
structured cytoplasm with endoplasmic reticulum and possess
mitochondria (and membrane-limited chloroplasts if
photosynthetic). Their flagella or cilia are complex, showing a
highly structured basal body and within a membrane a ring of
nine doublet fibres surrounding a pair of single central fibres.
1672
Fig. 33.1 Types of cell organization: (A) Eukaryote; (B)
Prokaryote.
Prokaryotic cells (Fig. 33.1B) do not have a

membrane-limited nucleus, undergo amitotic division (binary
fission or budding) with no elaborate mechanism of
chromosome separation, have an amorphous, unstructured
cytoplasm and the flagella are simple tubes. Photosynthetic
species have photosynthetic lamellae without a limiting
membrane.
Distribution: Microorganisms are distributed ubiquitously,
especially in soil, from which they are transferred to the air,
water and plants, and to the skin and body cavities of animals.
Most are saprobes, being associated with nonliving material,
but many live in association with other living forms as
symbionts. This symbiosis may be mutual, with both species
obtaining some benefit, as with the root nodule bacteria of
leguminous plants, or parasitic, with only one of the species
deriving benefit, as in infectious diseases.
Nomenclature: All microorganisms except viruses are named
by the traditional binomial nomenclature consisting of a
generic name, always given with a capital letter and
abbreviated where there is no possibility of confusion,
followed by a specific name which never starts with a capital
and is never abbreviated. These names are italicized, e.g. the
tubercle bacillus = Mycobacterium tuberculosis = M.
tuberculosis, the pneumococcus = Diplococcus pneumoniae =
D. pneumoniae.
1673
Bacteria
Definition
Bacteria may be defined as small (0.01–5000μm3);

prokaryotic; unicellular, filamentous or coenocytic; saprobic,
parasitic, nonphotosynthetic or photosynthetic without
evolution of oxygen; mostly with rigid cell walls containing
muramic acid; sterols mostly absent; nonmotile or motile by
simple flagella, axial filament or gliding motion.
Morphology and Ultrastructure
Bacteria may have the following forms, which are illustrated

in Fig. 33.2:
1674
Fig. 33.2 Forms of bacteria. Coccoid (spheroid): (A)
Streptococcus pyogenes: (B) Diplococcus pneumoniae; (C)
Staphylococcus aureus. Bacillary (rod-shaped); (G)
Escherichia coli; (H) Bacillus anthracis, with spores; (I)
Corynebacterium diphtheriae. Spirillar; (J) Vibrio cholerae;
(K) Treponema pallidum with axial filament. Mycelial; (D)
Streptomyces griseus with spores. Stalked; (E) Caulobacter
sp. attached to a substratum by its holdfast. Sheathed; (F)
Sphaerotilus natans, showing rod-shaped cells in a branched
sheath largely composed of ferric hydroxide. Gliding forms;
(L) a myxobacterium, Chrondromyces showing the fruiting
body with microcysts.
1675
Coccoid, i.e. roughly spherical cells about 1μm in diameter in
chains, pairs, packets of four or eight, or irregular clusters.
Bacillary, i.e. rods, approximately 0.4–1.5μm wide and
1.5–8μm long, occurring singly, in chains or irregular
clusters.
Spirillar, i.e. spiral rigid or flexible rods 0.1–1μm wide and
4–500μm long with an axial filament which maintains the
spiral structure.
Mycelial, with a mass of fragmented or interlacing slender
(1.5μm) threads and bearing external, asexual spores only,
resembling microfungi.
Stalked and sheathed forms, mostly aquatic in habitat.
Gliding forms, flexible, rod-shaped forms 0.5–1.5μm wide
and 5–10μm long, moving by a gliding motion and with
complex life cycles.
However, the various forms of bacteria can also be divided on
the basis of staining reactions.
Staining Reactions
The Gram reaction, introduced by Christian Gram in 1884,

divides bacteria into two main classes. Gram-positive cells
retain the Gram stain (alkaline gentian violet) after treatment
with iodine and solvent, while Gram-negative cells are
decolorized by the solvent. Thus Gram-positive cells are
stained purple and Gram-negative cells are red or green
according to the counterstain selected. This difference is
related to the nature of the cell walls and the outer layers of
the cell in the two types (Fig. 33.3) and is used as a primary
step in identification.
1676
Fig. 33.3 Bacterial cell wall: (A) The murein of
Staphylococcus aureus; (B) The N-acetylglucosamine
(N-glc)-N-acetylmuramic acid (N-mur) unit; (C) The
differences between (i) Gram-positive and (ii) Gram-negative
walls; L, point of lysozyme action.
Some of the genera in the two classes are given in Table 33.1.
Only bacteria can be Gram-negative, all other
microorganisms are Gram-positive.
Table 33.1 Some gram-positive and gram-negative bacterial

genera
Positive
Staphylococcus Pseudomonas Rhizobium
1677
Streptococcus Escherichia Azotobacter
Bacillus Salmonella Nitrosomonas
Clostridium Shigella Acetobacter
Mycobacterium Enterobacter Neisseria
Corynebacterium Proteus Spirillum
Lactobacillus Vibrio Brucella
Micrococcus Yersinia Spirochaetes
Actinomycetes Haemophilus Rickettsiae
Mycoplasmas
In spore staining and acid-fast staining the endospores and
the cells respectively are relatively impermeable to normal
stains and are treated similarly. Hot, concentrated stains are
used, followed by sulphite or acid alcohol to decolorize, if
possible, and finally staining with a contrasting counterstain
(e.g. safranin solution). Positive reactions are the retention of
the concentrated red or green stain.
The Cell Wall
This confers rigidity on the cell, a property due to the

presence of a mucopeptide, murein, a polymer based on
N-acetylglucosamine and, in Gram-positive species, highly
cross-linked by peptide chains (Fig. 33.3A). Several
antibiotics (penicillins, cephalosporins, cycloserine,
bacitracin, vancomycin) act by interfering with murein
synthesis. The cell wall can be removed by the action of
lysozymes, enzymes present in lachrymal secretion and egg
white, the point of attack being shown (L→) in Fig. 33.3A.
1678
Gram-positive walls also contain teichoic acids, linear
polymers of glycerophosphate or ribitol phosphate with
d-alanine or saccharide side chains.
The wall of Gram-negative cells is thinner, blue more
complex than that of Gram-positive cells (Fig. 33.3C). The
mureins are not major components and do not have peptide
bridges between the tetrapeptide chains. The
lipopolysaccharides of Gram-
negative walls are soluble and act as pyrogens if administered
intravenously, causing fever and other effects, and are the
somatic (0) antigens (see Table 33.17, p.540.
Some bacteria (mycoplasmas) do not possess a wall, and
extreme halophiles, which require concentrated sodium
chloride for growth, have a different type of wall structure.
The Plasma Membrane
This has a typical unit membrane structure, does not contain

sterols and is the site of the respiratory enzymes, there being
no mitochondria. It is semipermeable, due partly to the
presence of systems which actively transport many substances
into the cell. These transport systems (permeases) are
enzymatic in character, may be highly stereospecific and
require an endogenous energy source (ATP or
phospho-enol-pyruvate). They may be constitutive, i.e. always
present to transport vital materials such as glucose, K+ or
PO34–, or inducible, i.e. synthesized only when the cell has to
do so to obtain a source of carbon or energy, e.g. E. coli
growing on lactose or glycerol as sole carbon and energy
source. Transport systems are distinct from the metabolizing
enzymes which mediate utilization of the compound after
1679
entry into the cell. Compounds not actively transported enter
the cell by diffusion processes.
Mesosomes
Mesosomes are membranous invaginations of the plasma

membrane (Fig. 33.1) and are probably the sites of synthesis
of nuclear material, cell membranes and cell walls.
Nucleus
In many bacteria, the nucleus is a single circular chromosome

composed of a helix of double stranded DNA. When the
nucleus starts to divide the helix unwinds at the swivel, which
is attached to a mesosome (Fig. 33.4). The free end of one
strand attaches to a newly formed mesosome adjacent to the
original mesosome and new complementary strands are
synthesized using the existing strands as templates as the
chromosome moves relative to the mesosome. At the same
time new membrane and wall synthesis commences between
the mesosomes until two complete, separated chromosomes
are formed. Finally, a new cross wall is synthesized to form
two daughter cells. This mechanism ensures the distribution
of a complete chromosome replica to each daughter cell.
1680
Fig. 33.4 Chromosome replication in bacteria.
Cytoplasm
This contains an amorphous mass of ribosomes (the principal

sites of protein synthesis), structural proteins and storage
granules of polysaccharides (glycogen), polymetaphosphate
(volutin) and lipids. Specialized species may have lamellar
structures associated with photosynthesis, nitrate reduction,
etc., or granules of sulphur. Vacuoles are generally absent.
1681
Endospores
These are formed primarily by members of the genera

Bacillus and Clostridium, in which each vegetative cell forms
only one spore
and each spore germinates to form a single vegetative cell.
Thus endospores are not a means of reproduction. Mature
spores have a very high resistance to heat, chemicals and
radiations and it is the presence of spores which determines
the treatment required to sterilize materials (see Chapter 34.).
This high resistance is probably due to the proteins being in a
highly protected form resulting from binding to very high
concentrations of calcium dipicolinate. Presumably
sporulation is an adaptation that permits the cell to survive a
variety of unfavourable conditions, e.g. starvation, desiccation
and temperature. Germination occurs under favourable
conditions, but the germination process is very delicate and is
readily inhibited by a variety of conditions, so that the
conditions for germination are usually more restricted than
those for vegetative growth. The structures of spores and their
modes of occurrence and germination may be diagnostic of
the species (Fig. 33.5)
1682
Fig. 33.5 Bacterial endospores: (A) A typical spore structure
(Bacillus polymyxa); (B) Modes of occurrence; (C) Types of
germination.
Flagella and Motility
Bacterial flagella are relatively long, slender threads

(12–20nm×3–20μm) attached to some bacteria, numbers vary
from one to about 50 per cell. Electron microscopy shows that
they consist of a basal structure associated with the plasma
membrane and a hook region which probably mediates
movement of the tubular, wavy filament (Fig. 33.6A). Most
flagellate bacteria are actively motile, moving at up to
200μm/s, although some (straight) flagella are nonfunctional.
The spirochaetes possess an axial filament which appears to
consist of specially adapted flagella, maintains the spiral form
and is responsible for the cell flexions which confer motility.
The number and mode of attachment of the flagella are used
as characters in bacterial identification (Fig. 33.6B).
1683
Fig. 33.6 Bacterial flagella and pili (fimbriae). (A) The
ultrastructure of a typical bacterial flagellums: S, basal
structure; H, hook; F, filament; CW, cell watt; PM, plasma
membrane. (B) Modes of attachment: M, Monotrichate
(Vibrio cholerae); L, lophotrichate, oephalotrichate
(Pseudomonas aeruginosa); P, peritrichate (Escherichia coli).
(C) Flagella and pili on cells of Salmonella typhi. The
1684
electron micrograph shows several long flagella attached
peritrichously to two cells of the organism, with numerous
short pili projecting from the surfaces of the cells. By
courtesy of Prof. J.P. Duguid and the Cambridge University
Press.
Some bacteria, e.g. Cytophaga spp. and the myxobacteria do

not have flagella but move by a gliding motion the
mechanism of which is obscure.
Pili (Fimbriae)
These are very fine, short filaments, smaller than flagella,

attached to many bacteria, especially Gram-negative rods of
enteric origin (Fig. 33.6C). They are of two types: common
pili are
very numerous with 100–500 per cell, possibly functioning as
organs of attachment to cell surfaces, especially to
erythrocytes which are thus precipitated (haemagglutination);
sex pili occur sparsely on ‘male’ (F+) cells only and enable
them to attach to ‘female’ (F−) cells. The pilus then contracts
to form a cytoplasmic bridge through which genetic material
is transferred from the male donor to the female recipient.
Subsequent recombination of the donor and recipient genes
gives some genetic variation and so confers some of the
advantages of the mitotic process of eukaryotes. This mating
process is known as conjugation.
Capsules
These are well-defined, gummy layers formed around some

cells (Fig. 33.7), which help to protect the cells against
1685
desiccation. Capsules may be polysaccharide (as in
Diplococcus pneumoniae and Leuconostoc dextranicum),
polypeptide (Bacillus anthracis) or more complex (B.
megaterium, polysaccharide/polypeptide; Shigella
dysenteriae, polysaccharide/phospholipid/protein). Capsule
formation is a genetic property of the species but depends also
on the environment, e.g. the presence of saccharides, CO2 or
serum, and on the age of the culture. In streptococci capsules
are formed early in growth and are subsequently destroyed, in
Klebsiella aerogenes synthesis is prolonged, while in D.
pneumoniae capsules are formed after active growth has
ceased. Capsular structure is highly specific and is used
diagnostically.
1686
Fig. 33.7 Bacterial capsules. (A) Bacillus anthracis; (B)
Streptococcus pyogenes; (C) Diplococcus pneumoniae.
Encapsulated bacteria give a smooth, glistening growth on

solid media and noncapsulate mutants give a rough, granular
growth: this is the smooth to rough (S → R) variation. The
mutation S → R is associated with a loss of virulence in
pathogens and loss of the specificity conferred by the capsule.
Many bacteria, though not capsulate, have a thin, poorly
defined slime layer surrounding the cell.
Fig. 33.8 summarizes diagrammatically the general structure
of bacteria.
Fig. 33.8 A summary of bacterial structure. Components in

brackets are present only in certain species.
Fungi
1687
Definition
Eukaryotic, filamentous or occasionally unicellular, mostly

nonmotile, vegetative growth by apical elongation of
filaments or by budding, reproduction by asexual and
sometimes by sexual spores, plasma membrane contains
sterols, require organic carbon for growth, nonphotosynthetic.
General Morphology
Fungi are usually a mass of branched, interwoven,

microscopic tubular filaments, the hyphae, the whole
structure forming a mycelium (Fig. 33.9) from which any
specialized fruiting or spore-bearing structures arise. The
yeasts are generally unicellular; some are dimorphic and can
also form a mycelium, though this is usually a poorly
developed pseudomycelium. The hyphae of the lower fungi
are nonseptate and coenocytic, having numerous nuclei
embedded in a continuous cytoplasm, but the higher fungi
have complete or incomplete septa which divide the hyphae
into uninucleate, dinucleate or multinucleate cells.
Fig. 33.9 Types of fungal mycelium: (A) Coenocytic; (B)

Septate mononucleate; (C) Septate multinucleate; (D) Yeast
pseudomycelium.
1688
Although spores, gametes and some primitive species are
naked, most fungi have a rigid cell wall consisting of fine
fibrils embedded in an amorphous matrix. The wall is
primarily polysaccharide in nature (chitin, cellulose, glucan,
mannan, galactan or mixtures of these) but also contains some
lipid and protein, the latter sometimes being enzymatic.
Reproduction
This is usually by asexual (imperfect) means but sexual

spores are sometimes produced. Most species are eucarpic,
i.e. part of the thallus. Forms the reproductive structure while
the rest continues its normal somatic functions, but some are
holocarpic and the whole thallus becomes the reproductive
structure. Most species show a variety of reproductive
methods.
Asexual
The numerous mechanisms, some of which are illustrated in

Fig. 33.10, are as follows.
1689
Fig. 33.10 Asexual modes of reproduction in the fungi: (A)
Arthrospores (oidia); (B) Chlamydospores; (C) Fission; (D)
Budding; (E) Conidiospores (Penicillium); (F)
Sporangiospores (Mucor).
Fragmentation by (1) the random separation of the mycelium

due to physical forces (this method is used to make new
cultures), (2) the separation of specialized cells which may be
oidia (also known as arthrospores, e.g. in Trichosporum and
Geotrichum) or thick-walled resistant chlamydospores (in
Candida albicans, Histoplasma capsulatum and Fusarium) or
(3) binary fission (in Schizosaccharomyces, the fission
yeasts).
Budding is the normal method of reproduction in yeasts, e.g.
Saccharomyces cerevisiae, the common yeast, Debaryomyces
and Cryptococcus neoformans. Some dimorphic or
polymorphic organisms also show budding in both the
unicellular and mycelial forms, e.g. C. albicans.
Spore formation may occur in a great variety of ways.
Conidia are formed outside the hyphae, either directly or on
special branches known as conidiophores, e.g. in Penicillium
and Aspergillus. They are often borne in clusters and are
nonresistant and nonmotile. Sporangiospores are formed
within sacs (sporangia) at hyphal tips or on special hyphal
branches (sporangiophores), and may be motile zoospores,
e.g. in Phytophthora infestans, which causes potato blight, or
nonmotile aplanospores, e.g. in Mucor and Rhizopus.
Sexual
The formation of sexual spores begins with the production of

the haploid gametes, male gametes being formed in the
1690
antheridium and female gametes in the oogonium. In some
species the male and female gametes are identical. The
antheridium and oogonium fuse and the nucleus and part or
all of the cytoplasm of the male gamete migrates in to the
female gamete in the process of plasmogamy (cytoplasmic
fusion) which yields a binucleate dikaryon. This is followed
by karyogamy (nuclear fusion) to give a diploid zygote which
then undergoes meiosis and mitosis to form haploid sexual
spores (Fig. 33.12).
Some species (Schizosaccharomyces octosporus, Pythium
debaryanum) are homothallic, i.e. self-fertile, and so can
reproduce sexually from a single thallus, whereas others
(Saccharomyces cerevisiae, Rhizopus stolonifer, Mucor
hiemalis) are heterothallic, i.e. each thallus is self-sterile and
sexual spores are formed only when two compatible thalli of
different mating types (+, –) come into contact (Fig. 33.11).
1691
Fig. 33.11 Heterothallic mating in Mucor hiemalis to give
sexual zygospores. The ‘–’ strain was inoculated at one side
of the plate (A) and the ‘–’ strain on the other side of the plate
(B). Where the mycelium grew together a line of black
zygospores was formed (C).
Fig. 33.12 illustrates some typical fungal life cycles.
Fig. 33.12 Some typical fungal life cycles: (A) Rhizopus

stolonifer, a heterothallic zysomycete; (B) Filamentous
ascomycetes, the lower part showing the process of ascospore
formation.
Protozoa
1692
Definition
Eukaryotic, microscopic to just visible, unicellular, mostly

motile, show irritability, no rigid cell wall, all reproduce
asexually by fission and some sexually, some with two types
of nucleus, most are phagotrophs (particulate feeders) and
form resistant cysts.
General Characters
There are four major groups, namely the Sarcodina, the

Hagistophora, the Ciliophora and the Sporozoa.
Sarcodina
These are amoeboid forms moving by pseudopodia, the

cytoplasm usually showing an outer, hyaline ectosarc, which
shows protoplasmic flow during movement, and an inner,
granular, more rigid endosarc. Some species, e.g. Naegleria
gruberi, have a flagellate stage in very wet conditions.
Because of the normal pseudopodial mechanism of motility
they do not have an outer pellicle. Although they have a
single nucleus and reproduce asexually, the mode of
reproduction may be complex. Most are free living but some
are parasitic.
Entamoeba histolytica (Fig. 33.13) is the only important
pathogen; other species of Entamoeba, and species of the
genera Iodamoeba, Endolimax and Dientamoeba are of
uncertain pathogenicity. Most species form resistant,
multinucleate cysts which are smaller than the vegetative
trophozoite.
1693
Fig. 33.13 Entamoeba histolytica.
Magistophora
These are flagellate forms moving by means of one or more

long flagella. They possess a pellicle and a single nucleus and
reproduce asexually. Some have a cystic stage. Most are free
living but there are a number of important pathogens of man
and domestic animals which are of great economic
importance in tropical and subtropical regions.
Human pathogens may involve the intestine (Giardia
lamblia), vagina (Trichomonas vaginalis), blood
(trypanosomes) or the tissues (Leishmania spp.), the two latter
being transmitted by bloodsucking insects. Some of these are
illustrated in Fig. 33.14.
Fig. 33.14 Some pathogenic Magistophora. (A) Giardia

lamblia; (B) Trichomonas vaginalis.
1694
Ciliophora
These organisms have a pellicle and move actively due to the

integrated action of rows of short cilia. Most have a cytostome
(a primitive buccal cavity) and control their osmotic
relationships by means of contractile vacuoles which collect
excess water and pump it out of the cell. Most have a
macronucleus, which controls feeding, metabolism, excretion
and motility, and a micronucleus which controls reproduction:
several nuclei or compound nuclei may be present.
Most are free living, the best known being Paramecium, but
one species, Balantidium coli, is an intestinal pathogen of
man (Fig. 33.15).
Fig. 33.15 A pathogenic ciliate. Balantidium coli.
Sporozoa
All the genera in this group are obligate parasites, usually

with complex life cycles involving more than one host. There
is no specialized locomotive structure. The most important
pathogens of man are species of Plasmodium (Fig. 33.16)
causing malaria, and of Toxoplasma, causing toxoplasmosis.
Many other species cause economically important diseases of
domestic animals.
1695
Fig. 33.16 Sporozoa. The life cycle of Plasmodium vivax, the
agent of benign tertian malaria.
Nutrition and Energy Provision

General Requirements
The general chemical composition of microbial cells

resembles that of other cells, indicating requirements for
inorganic compounds, carbon, oxygen, nitrogen and energy.
Inorganic
Water: This is the major inorganic compound. As water of

hydration it is essential for the maintenance of the structure of
1696
macromolecular cell components and its complete removal
results in cell death. Because of its solvent properties it is the
vehicle for entry of substances into the cell, for transport
within the cell, for communication between the various
enzymes involved in a chain of reactions and for the excretion
of waste products. It is also an important reactant in
hydrolytic and some oxidative reactions.
Mineral salts: The principal requirements are for potassium,
magnesium and phosphate. Smaller quantities of calcium,
iron manganese, sulphate and chloride are required and also
the traces of cobalt, copper, molybdenum and zinc. Sodium is
not usually required except by halophiles. Most of these
elements occur naturally in the common growth media, which
are prepared from animal or vegetable sources, and their
deliberate inclusion is normally necessary only in wholly
synthetic media.
All ions show a similar concentration/response relationship,
being stimulatory at low concentration and inhibitory at high
concentration, with a well-marked optimum, the differences
being in the level at which optimum growth occurs (Fig.
33.17). Minerals may function as constituents of cytoplasm
(magnesium ribonucleate), as enzyme components (iron in
cytochrome oxidase and catalase) and as enzyme activators
(magnesium for isocitratase). Vital roles are played by
potassium, in the maintenance of osmotic and pH, equilibria,
and by phosphate, in carbohydrate metabolism and energy
provision.
1697
Fig. 33.17 Effect of cations on bacterial growth. Relative to
growth without added ions as 1.0.
Oxygen requirements: Oxygen is required for the growth of

aerobic bacteria but may be toxic to anaerobic bacteria which
cannot utilize oxygen as final hydrogen acceptor but utilize
instead a variety of inorganic compounds. The subject of
anaerobiosis is dealt with in more detail on p. 521.
Carbon Sources
Microorganisms may be divided into two main classes on the

basis of their carbon requirements. The autotrophs will utilize
inorganic carbon (CO2, HCO–3) and may be inhibited by
organic compounds, whereas the heterotrophs require organic
carbon. The latter will utilize any of a vast range of
compounds; hydrocarbons, acids, alcohols, glycols,
1698
monosaccharides, polysaccharides, amines, amino acids,
polypeptides, etc.
Carbon dioxide may be required by some heterotrophs for the
synthesis of multicarbon compounds from simpler
compounds via the tricarboxylic acid cycle. Usually this is
important only in the early stages of growth since subsequent
metabolism usually yields ample carbon dioxide.
Nitrogen Sources
Almost any form of nitrogen may be utilized by particular

bacteria. Nitrogen fixers utilize atmospheric nitrogen and
other species may utilize ammonium compounds, amines,
amino acids and polypeptides. Nitrate is utilized primarily by
fungi and only to a limited extent by bacteria.
Osmotrophy and Phagotrophy
Most microorganisms are osmotrophic, i.e. they obtain their

nutrients in soluble form, but many protozoa are
phagotrophic, i.e. they require particulate food, commonly
living organisms, which is taken in by phogocytosis and is
digested in food vacuoles in the cell. Phagotrophs may feed
on bacteria, on erythrocytes (Entamoeba histolytica), on other
protozoa (Stentor, Tetrahymena), on plants (the shelled
amoebae Arcella and Difflugia) or they may be carnivorous,
feeding on comparatively large animals (Didinium, Dileptus).
Minor Nutritional Requirements
Many microorganisms can live on relatively simple

compounds and are described as nonexacting. However many
1699
exacting species require accessory growth factors, some of
which are required in very low concentration and are
components of coenzymes or their precursors. These latter are
the microbial vitamins, which comprise the Vitamin B
complex of man. Other growth factors are required in high
concentration (haemin, inositol, choline, some fatty acids and
amino acids) and are not associated with coenzymes.
Energy Sources
Energy is required for synthesis, growth and reproduction and

for motility. Energy provision at the molecular level is
provided primarily by ATP, and this aspect will be referred
later. There are two principal energy sources available: the
phototrophs utilize light energy and the chemotrophs derive
their energy from the oxidation of inorganic or organic
compounds.
Classification by Nutritional Type and Energy

Source
The facts described above enable microorganisms to be

classified into four main groups (Table 33.2), and subsidiary
groups may be formed on various criteria. This scheme is
simple but there are inconsistencies, and alternatives have
been proposed.
Table 33.2 Classification of microorganisms by nutritional
type and energy source
1700
The Influence of Nutrient Concentration on
Growth Yield
Nutrient concentration will normally affect both the growth

rate and the total bulk of growth similarly: at low
concentrations there is a rapid increase and this phase is
followed by one in which there is no further increase with
increased concentration (Fig. 33.18). However, the effect on
growth rate is marked at very low concentrations whereas the
effect on yield occurs at much higher concentrations.
1701
Fig. 33.18 Effect of nutrient concentration on bacterial growth
rate and total growth yield.
Factors Affecting Nutrient Requirements and

Availability
Requirements
The requirement for a particular nutrient can be influenced by

a variety of environmental factors.
Metabolic bypass: Organisms growing on nitrate require
molybdenum for the reduction of nitrate to ammonia, but this
requirement is abolished if ammonium compounds are
provided. Similarly a requirement for tryptophan is abolished
if nicotinic acid is provided, since the former is used to
synthesize the latter.
Hydrogen ion concentration: At low environmental pH
values a higher concentration of K+ is required to displace H+
from the cell and maintain the internal pH.
Functional replacement: The absolute requirement for an ion
may be reduced if another ion can function in its place, e.g.
partial replacement of Na+ by K+ with halophiles, Fe or Mn
replacing Mg as activators of isocitratase.
Antagonism, balance, synergism: It is well known that ions
exert antagonistic actions and that a correct balance is
essential for proper cell function and this is the basis for
balanced salt solutions, e.g. Ringer’s solution.
Availability
Ionization and pH: The environmental pH may affect the

ionization of nutrients markedly, e.g. p-aminobenzoic acid
1702
has pK values of 4.65 and 4.80 and so is largely ionized at
physiological pH values (Fig. 33.19). Owing to the
predominantly hydrophobic character of the plasma
membrane many compounds enter the cell almost exclusively
in their unionized (hydrophobic) form. Fig. 33.19 also shows
that as the pH increases the total concentration of
p-aminobenzoic acid required to give a constant growth yield
increases in order to maintain the concentration of unionized
molecules.
Fig. 33.19 Effect of pH on the ionization of p-aminobenzoic

acid and its bioavailability for Neurospora crassa.
Chemical form: Many compounds which are normally able to

pass the plasma membrane will not do so if the molecule is
chemically modified, e.g. some bacteria will transport glucose
but not glucose-6-phosphate although the latter is a key
intermediate in glucose metabolism. Another example is the
fact that Saccharomyces carlsbergensis is less permeable to
pyridoxal phosphate than to unphosphorylated forms of the
1703
vitamin and so is less responsive to its presence in the growth
medium.
Transport systems and metabolizing enzymes: The utilization
of a compound depends on its entry into the cell and its
subsequent enzymic modification, and the substance may
enter by diffusion or be transported by a specific system
(permease). The synthesis of both permease and metabolizing
enzymes is under genetic control, but even if the genetic
determinants are present the synthesis of both the permease
and the metabolizing enzyme may be repressed, e.g. in E. coli
glucose represses the synthesis of both the lactose permease
and the lactase enzyme which splits the lactose into galactose
and glucose. Also, mutation may occur to give transport
negative and lactase negative mutants and either of these
conditions prevents lactose being available to the cell.
Molecular weight: Large molecules are generally unable to
enter the cell, for example, pure proteins will not function as
nitrogen sources unless extracellular proteases are formed
which break down the protein to polypeptides or amino acids
which can be utilized. However, some amino acids, e.g.
glutamic acid, may enter the cell more readily as peptides.
Chelating agents: Many naturally occurring compounds such
as amino acids function as chelating agents and bind essential
cations very strongly. This effect may result in growth
restriction, but more usually merely results in considerable
uncertainty as to the actual concentration of a cation which is
available for growth.
1704
Some Method of Microbiology
A comprehensive account of microbiological technique
cannot be given here. The reader is referred to texts quoted in
the bibliography at the end of the chapter.
Microscopy
Light Microscopy
Some methods of differential staining (Gram, acid fast, spore)

have already been described briefly. Although such
techniques permit the shape of cells and their characteristic
arrangements to be observed, the relatively drastic fixing and
staining methods used inevitably cause some shrinkage and
distortion. When it is necessary to avoid these effects
unstained cells can be examined using either negative staining
or the special microscopic techniques of dark ground
illumination, phase contrast or interference microscopy.
Negative staining: A suspension of organisms is mixed with a
small amount of the purple dye nigrosin which has too large a
molecular weight to permit it to penetrate cells. After drying,
the cells appear as colourless objects against a uniform purple
field (Fig. 33.20A). Nigrosin penetrates capsules and so
cannot be used to visualize these structures which may be
outlined with Indian ink or congo red as shown in Fig. 33.7.
1705
Fig. 33.20 visualization of unstained bacteria. (A) Negative
staining with nigrosin. (B) Dark ground illumination.
Dark ground microscopy: For dark ground microscopy a

special illuminator is used in place of the substage condenser.
A cone of light is focused in the plane of the object so that in
a clear field no light passes into the objective and the field is
uniformly black. When cells are present in the field, these
reflect and refract the light and appear brightly outlined and
with any granular contents visible as bright points of light
(Fig. 33.20B).
Phase contrast microscopy: Phase contrast microscopy
involves a somewhat similar technique to dark ground
illumination, but the undeviated rays enter the objective and
pass through an annulus which retards or advances the rays by
one quarter of a wavelength relative to the reflected rays.
Combination of the undeviated and deviated rays results in
colour contrast and the cells may be observed readily. The
technique is so simple and convenient that it is often used as a
routine method of examination. The only drawback is that
objects are surrounded by a halo and the interference by this
with observation increases with the object thickness.
1706
Interference microscopy: The apparatus for interference
microscopy is more expensive than for phase contrast and so
the method is less commonly used, but it has the advantage
that haloes are not produced. Also, the interference patterns
may be produced to permit measurement of object thickness.
Electron Microscopy
Electron microscopy is the only technique available for

examining objects at very high magnifications (greater than
about 2000×) or for objects beyond the limit of resolution of
the light microscope. Extremely high magnifications are
possible because the effective wavelength of the electron
beam is much shorter than that of visible light. However, the
samples must be in very high vacuum and so living cells
cannot be examined. Also, the contrast is relatively poor
without using special techniques.
Negative staining: The specimen is treated with a high atomic
weight salt, such as phosphotungstate or uranyl acetate, which
is relatively electron dense. This penetrates between
structures and can show in relief the location and arrangement
of large molecules. This technique is frequently used to show
the details of virus structure (see Fig. 33.40) or to show
details in ultrathin sections (see Fig. 33.1).
Shadowing: To show surface features shadowing is used and
the principles are illustrated in Fig. 33.21. A thin film of gold,
platinum or other metal is coated onto the specimen under
high vacuum at an angle so that a layer builds up on the
support grid and on the sides of the object exposed to the
metal ‘beam’; a shadow being cast where the object protects
the grid from the beam.
1707
Fig. 33.21 Metal shadowing for election microscopy. (A) The
technique used; (B) The type of result obtained.
Scanning electron microscopy: The technique of choice for

showing surface features is a scanning type of electron
microscope.
Cultivation
Transfer of Samples
Small amounts of bacterial culture are transferred using an

inoculating loop which consists of about 5cm of platinum or
nichrome wire gripped in a holder at one end, the other end
being formed into a loop (Fig. 33.22A). Before use the loop
and lower end of the holder are sterilized by flaming, i.e.
holding almost vertically in a bunsen flame until the loop and
wire are
red hot. After cooling, the loop is used to pick up small
amounts of microbial growth from the surface of a solid
medium. Alternatively a sample of a suspension in fluid is
taken as a film of liquid held in the loop by surface tension.
Larger samples of fluid suspensions are taken using Pasteur
(capillary) pipettes (Fig. 33.22B) or graduated pipettes of
convenient size.
1708
Fig. 33.22 Inoculation devices for small samples. (A) The
inoculating loop; (B) A Pasteur capillary pipette.
Aseptic technique is used at all times: this is a technique

designed to prevent accidental contamination of sterile
materials or pure cultures (containing only a single species or
strain) from the environment (air, breath, skin, surfaces, etc.).
The details of this technique are out of place here but include
procedures such as the use of sterile apparatus and materials
at all times, proper closure of containers, the wrapping of
apparatus, heating the necks of containers in a bunsen flame,
minimal exposure of materials during handling, scrubbing of
hands and swabbing benches with antiseptics, the use of
protective clothing, carrying out manipulations in special
handling cabinets supplied with filtered air, etc. The
techniques used for sterilization are discussed in Chapter 35.
Growth Media
Liquid and solid media: In liquid media growth is recognized

by the development of a more or less generalized turbidity or
of a visible mass of growth (Fig. 33.23A). On solid media the
physical nature of the medium causes the progeny of a single
1709
cell or of a group of cells to cohere to form a visible mound or
mass of growth known as a colony (Fig. 33.23B).
Fig. 33.23 Types of bacterial growth. (A) Liquid media

showing types of closure used to prevent contamination; (B)
Colonies growing on the surface of solid medium.
Solid media are usually prepared by adding 1.0–1.5g/litre of

agar to a liquid medium. Agar is the agent of choice since few
microorganisms attack it and the gel is stable at all incubation
temperatures. Although the gel melts only when it is heated at
about 100° for some time, it does not solidify until it is cooled
to about 40°. Thus it is normally held molten at about 45°,
poured and allowed to set as desired. Normally, viable
microorganisms can be mixed with the molten medium at 45°
before pouring without causing heat damage to the cells, a
technique convenient in counting, antibiotic assay, etc.
1710
For special purposes media may be solidified with gelatin
(though the gel melts at 25° and the gelatin is digested by
many microorganisms), silica gel, alginate or pectin.
Liquid media are used in test tubes, closed with a
nonabsorbent cotton wool plug or a slip-on metal or plastic
cap, or in screw capped bottles. Solid media may also be used
similarly, either as ‘deeps’, in which the medium is solidified
with the container vertical and which are inoculated by
stabbing through the depth of the medium with a straight
wire, or as ‘slopes’, which are prepared by solidifying the
medium with the container tilted and which are inoculated on
the surface with a loop. A special form of solid culture is the
‘agar plate’ which consists of a layer of medium poured when
molten into a Petri dish, a glass or plastic dish of about 9cm
diameter and 1.3cm deep and allowed to set. Cultures on both
types of media are illustrated in Fig. 33.23.
Routine laboratory media are general media, widely used for
the cultivation of nonexacting microorganisms.
Bacteriological media normally contain peptone (partially
digested protein) and meat or yeast extracts at pH 7.4.
Mycological media may be similar but are often
supplemented with carbohydrates (glucose, sucrose, malt
extract) and may be rather more acid, pH 5.5–6.5. Media for
algae and protozoa are commonly much more dilute but may
require such materials as lettuce extract, Casilan and, for
phagotrophs, living bacteria or other protozoa. Formulae for a
number of routine media are given in Table 33.3.
Table 33.3 Some common microbiological media
Nutrient Broth
Beef extract 0.1*
1711
Yeast extract 0.2
Peptone 0.5
Sodium chloride 0.5 (pH
7.4)
A simple medium for the growth of nonexacting
species.
Tryptone Soya Broth
Tryptone 1.7
Soya peptone 0.3
Dextrose 0.25
Sodium chloride 0.5
K2HPO4 0.25 (pH
7.3)
A highly nutrient medium giving luxuriant
growth of many fastidious bacteria. It is not
suitable for culture maintenance.
Sabouraud Agar
Mycological peptone 1.0
Dextrose 4.0
Agar 1.5 (pH
5.2)
A standard medium for the cultivation and
identification of fungi.
Czapek Dox Liquid Medium
Sodium nitrate 0.2
1712
Potassium chloride 0.5
Magnesium glycerophosphate 0.05
Ferrous sulphate 0.001
Potassium sulphate 0.035
Sucrose 3.0 (pH
6.8)
A semisynthetic fluid medium for the cultivation
of nonexacting fungi and of those few bacteria
capable of utilizing sucrose as sale carbon and
energy source and sodium nitrate as nitrogen
source.
*
All concentrations are given as per cent (w/v).
Enriched media are used for the cultivation of exacting
species, enrichments such as blood, serum, liver extract, egg,
etc., being used.
Selective and diagnostic media: A selective medium is one
which is formulated to inhibit the growth of unwanted
species. Selective conditions may be provided simply by
controlling the nature of the carbon, nitrogen and energy
sources, e.g. dark conditions exclude phototrophs, exclusion
of combined nitrogen compounds selects for nitrogen fixers
and high concentrations of
sodium chloride select halophilic species, or by adding
inhibitors such as brilliant green to inhibit the growth of
Gram-positive organisms or by using the antibiotics nystatin
or amphotericin to inhibit the growth of fungi.
It should be noted that almost any conditions of growth exert
a selective pressure since no one set of conditions permits the
growth of all possible species: any growth is relative to the
experimental conditions used.
1713
Diagnostic media give characteristic reactions due to the
growth of particular species, e.g. gelatin is digested by
Pseudomonas aeruginosa but not by E. coli, lactose is
fermented to give acid and gas by E. coli but not by
Salmonella spp. and lactose media containing an indicator
will show this.
However many diagnostic media are also selective. One
common example is MacConkey’s agar (Table 33.4) which is
formulated as follows:
Table 33.4 Formula for MacConkey’s agar media
Concentration
Component Function
(g/litre)
Nutrient – Nutrients
broth
Bile salts 1.5 Reduces surface tension and
tends to select for enteric
bacteria
Lactose 10.0 Fermentable carbohydrate
Neutral red 0.03 Indicator to detect the production
of acid from lactose fermentation
Agar 15.0 Solidifying agent
This medium is used as a presumptive test for E. coli Type 1
(i.e. of enteric origin). Although not itself an important
pathogen, E. coli may be detected readily by relatively simple
tests and its presence is taken to indicate recent faecal
pollution, particularly of water and foodstuffs. E. coli, being
enteric in origin, will grow in the presence of the bile salts
and ferment the lactose giving bright pink colonies due to the
action of the acid on the neutral red. Many nonenteric
1714
organisms are inhibited by the bile salt and enteric, nonlactose
fermenters, e.g. Salmonella spp., give creamy or yellowish
colonies. Since species other than E. coli can give similar
reactions, the result is only presumptive and must be
confirmed by other tests.
If the faecal pollution is of a nonnutrient material such as
water, the E. coli tend to die, so distant faecal pollution is
indicated by the presence of Clostridium perfringens which,
being a sporing organism, persists for long periods.
Another common diagnostic medium is brilliant green agar,
which is used for the isolation and recognition of Salmonella
spp., excluding S. typhi. In addition to yeast extract peptone
and sodium chloride, as nutrients, and agar, as solidifying
agent, it contains lactose and sucrose as fermentable
carbohydrates, phenol red indicator and brilliant green as a
selective agent. Salmonella spp., other than S. typhi, grow on
the medium to give slightly pinkish-white, opaque colonies
surrounded by brilliant red medium due to the production of
alkali from the peptone. Any lactose or sucrose fermenting
organisms which may grow give yellowish green colonies
surrounded by an intense yellowish green zone, resulting
from acid production. Some strains of Proteus also grow on
the medium giving red colonies due to ammonia production
resulting from urease activity.
From the above brief account of diagnostic media, of which
hundreds are available and tens are in common use, it will be
seen that none of them are completely specific for a single
species. It is always a matter of relatively greater or less
exclusion of unwanted organisms. Also, selective media are
always inhibitory to some extent even to the species of
interest.
1715
Bacterial Counts
Counts may be made of the number of viable cells or of the

total number of viable and dead cells. Differential counts,
giving the numbers of organisms of different types, may also
be done.
Viable Counts
Plating methods: These are, in principle, very simple. A

measured volume of a suspension of known dilution is
inoculated into a solid medium, the solidifying agent keeping
individual organisms separate, and the number of colonies is
counted after incubation.
This simple proposition is complicated by a number of
technical problems. The assumption is that a single cell gives
rise to one colony and although this may be true, a colony
may result from either a single cell or a clump or chain of
cells so a colony count is a clump count. Further, the degree
of clumping varies with the species and its conditions of
growth and the way in which the sample has been handled,
e.g. shaken vigorously during dilution or not, so there is
always a degree of uncertainty in the result. Thus it is
common to report results in terms of colony forming units
‘(cfu)/cm3’ instead of ‘cells/cm3’. Another factor is that any
conditions of medium, pH, incubation temperature are
selective, so that the ‘true’ count is never known, especially if
exacting species are present. Bacteria, and especially
endospores, damaged by heat, chemicals, etc., often show a
prolonged lag period before commencing growth, so a count
done after 24 or 48 hours incubation may give a falsely low
result as compared with a count done after 7–14 or even 30
1716
days incubation. Damaged bacteria are also very susceptible
to variations in medium and composition, pH, temperature,
etc., so that conditions suitable for the growth of undamaged
organisms may be unsuitable for damaged cells of the same
species. Further errors arise in the preparation of dilutions,
due to pipetting errors, and the adsorption of cells to the glass
surfaces of pipettes and dilution vessels, particularly from
dilute suspensions, and of the dishes or bottles in which
samples are finally placed together with the medium. Finally,
errors occur due to the inherent statistical variability,
especially when small number of colonies are being counted,
and due to overcrowding if the counts are high.
The best that can be done is to adopt procedures which
minimize these effects and enable reliable and reproducible
estimates of numbers to be obtained. Such procedures include
the following:
1. adjust the medium, incubation temperature, etc., to give the
highest count or to select the particular organisms of interest;
2. use a rigidly standardized technique at all stages of
counting;
3. minimize adsorption effects by washing out pipettes with
the suspensions before sampling and by having the minimum
contact time of samples with glassware before the next
operation is carried out;
4. control the expected count, if possible;
5. replicate counts and apply statistical analysis to the data.
Experienced workers can obtain an accuracy of ± 5 per cent
(P=0.95) by plating methods.
Whenever possible, counting plates and tubes are incubated
inverted to prevent the accumulation of condensed water
droplets, which fall back onto the medium and give a fluid
film and resultant confluent growth that invalidates the count.
1717
The pour plate technique (Fig. 33.24A) involves placing
0.5–1.0cm3 of a suspension expected to contain between 50
and 200 cfu in a Petri dish pouring on about 15cm3 of molten
agar medium at 45, mixing, allowing to set incubating
inverted and counting the resultant colonies. This method is
frequently used but is uneconomical requiring a considerable
amount of apparatus and medium, and has the disadvantage
that the sample is exposed to the temperature of the molten
medium at 48° and the subsequent slow cooling. This
temperature will kill sensitive or damaged cells.
Fig. 33.24 Viable counts on bacteria and yeasts. (A) Pour

plate; (B) Roll tube, using the Astell Laboratory Service
Company bottle and seal; (C) Agar drop; (D) Surface viable;
(E) Slide culture; (F) Membrane filter.
The roll tube technique (Fig. 33.24B) is similar to the pour

plate except that 0.1–0.2cm3 of sample is added to
2.5–3.5cm3 of molten medium in a large test tube or a special
bottle. The container is rolled almost horizontally so that the
1718
medium forms a film on its walls and is then cooled with
water to solidify the film. This is more economical than the
pour plate method, the temperature effect is less but the
counting procedure is more difficult on the curved surface of
the container.
Another similar technique is the agar drop method (Fig.
33.24C) in which a number of measured drops of molten
medium containing the bacterial inoculum are placed in a
plastic Petri dish. On plastic the drops do not spread but
solidify coherently and the colonies in the drop can be
counted under magnification after incubation. This is a very
economical method and gives more rapid results since the
magnification used and the necessity of avoiding
overcrowding effects in the small drop result in short
incubation times.
Both economy and avoidance of contact with molten medium
are achieved by the surface viable and slide culture methods.
The surface viable method (Fig. 33.40D) uses a sterile agar
plate which has been ‘overdried’ by preliminary incubation
with the lid of the Petri dish raised so that liquid drops placed
on the surface are absorbed rapidly. Drops of about 0.02cm3
of a dilution containing 20–50 cfu/drop are placed on the
medium, allowed to dry in and the plates, which can have up
to 10 drops each, are incubated inverted and the mean number
of colonies per drop are counted. Problems with this method
are the accurate measurement of the drops, the high sampling
error due to the small number of cfu/drop and overcrowding
in the small area of the drop. The latter problems can be
overcome by using suitable magnification. Slide culture uses
the apparatus illustrated in Fig. 33.24E; one loopful (0.015ml)
of a culture containing about 108 cfu/ml is spread on the
surface of the medium in the ring, a cover slip is placed on
top and the colonies counted under the microscope after
1719
suitable incubation. This method has the advantages conferred
by direct observation; that the viability can be determined by
counting the proportion of cells which reproduce, very short
incubation times can be used since the earliest stages of
reproduction can be taken as evidence of viability, the degree
of clumping can be determined, and differential counts can be
done when there are clear morphological differences between
cells.
Membrane filter counts are used when the expected count is
below about 20 cfu/cm3. The usual membrane filter is a thin
cellulose ester film precipitated under controlled conditions
so that the pore size is known and is very uniform. These
membranes may be sterilized easily, give very high filtration
rates compared with conventional filters and may be obtained
in pore sizes (0.22, 0.45μm) which will retain all bacterial
cells on their surface. For counting, a suitable volume of
sample, which may be of any size up to several litres provided
that the filter does not block, is filtered and the filter placed
on the surface of a sterile nutrient agar plate or on a filter
paper pad impregnated with a suitable liquid medium.
Incubation and counting is done as usual and the filter may be
sterilized with formaldehyde vapour, dried and filed for
reference purposes. This is rapidly becoming the standard
technique in water analysis since viable counts as low as
5/litre may be done. The method is illustrated in Fig. 33.24F.
Dilution methods are an older method of counting, devised
before the introduction of solid media. The method is based
on statistical sampling theory, which enables us to calculate
the probability of obtaining no viable organisms in a sample
of stated size when the count is known. Thus replicate
volumes of a sample of low count, inoculated into tubes of
liquid medium, will give a pattern of growth and no growth
from which the count may be calculated. Tables are available
1720
which give the counts corresponding to various sampling
regimens and patterns of growth, one of which is reproduced
in part as Table 33.5. The count obtained in this way is
usually described as a most probable number (MPN), since
the errors are very large. Despite this lack of accuracy the
method is widely used in water bacteriology and is the only
method available for those organisms which give a spreading
growth on solid media.
Table 33.5 Partial most probable number table for a dilution
count
Measurement of Metabolic Activity
These methods do not actually count the number of viable

cells. Instead, the ability of the cells to metabolize and
consume oxygen or reduce dyes is taken as a measure of the
1721
count and this may be an adequate measure of viability,
especially when it is desired to assess the keeping quality of a
product, e.g. milk, which depends more on metabolic activity
than on actual numbers. However, nonviable cells may be
able to metabolize, e.g. treatment with antiseptics may
prevent reproduction yet leave many enzyme systems intact,
so results must be interpreted cautiously.
A common method is to measure oxygen consumption by
Warburg manometry (Fig. 33.25A). This is a semimicro
method in which a small volume of microbial suspension is
placed in a flask of about 12cm3 capacity attached to a
manometer.
Fig. 33.25 Microbial counts by the measurement of metabolic

activity. (A) The Warburg manometric apparatus; (B) A
typical result which might be obtained with a Warburg
apparatus, showing the effect of biotin on respiration by an
1722
exacting organism; (C) The Thunberg tube for dye reduction
measurements.
Carbon dioxide is absorbed with KOH and suitable substrates

or inhibitors are placed inside arms attached to the flask.
Different gaseous mixtures can be used if desired. The flask is
shaken gently in a water bath and the rate of oxygen
consumption measured and related to known population
densities. The effect of nutrients or inhibitors can also be
studied readily (Fig. 33.25B).
Dye reduction is usually done using resazurin or methylene
blue, the time taken for reduction to the colourless leuco base
being determined. The apparatus used is the Thunberg tube
(Fig. 33.25C), a buffered sample being placed in the tube and
an appropriate substrate or inhibitor in the hollow stopper as
required. The tube is evacuated, filled with nitrogen or
hydrogen to prevent reoxidation of the dye, and the stopper
closed. After temperature equilibration—the contents of tube
and stopper are mixed and the time taken to reduce the dye is
measured. The greater the microbial population, the shorter
the reduction time, so these properties can be related. As with
manometry, the effects of nutrients or inhibitors can be
assessed.
Other indirect measures of viable biomass: For special
applications numerous methods involving the determination
of the amounts of particular cell constituents have been used,
e.g. ATP, DNA, alkaline phosphatase, β-galactosidase.
Total Counts
The coulter counter: This instrument is a standard method of

performing counts on all types of suspensions and is
1723
illustrated in Fig. 33.26. For bacteria the orifice diameter is
usually 50/μm. The principle is that the resistance is measured
between electrodes on either side of the orifice. The
suspension is drawn through the orifice at a standard rate and
as each particle enters the orifice the resistance is
momentarily increased and this change is measured as a
single count. It is a very simple matter to count 104 cells in a
few minutes with high accuracy. Further refinements permit
the cell size to be sensed so that single cells can be
differentiated from clumps, cocci from bacilli spores from
vegetative cells, etc.
Fig. 33.26 Principle of the Coulter counter method of

determining total microbial counts.
Direct microscopic counting: The only method in this class

now used is Breed’s method, which was developed for milk.
A known volume of material is spread evenly over a known
area of slide, fixed and stained and the mean number of cells
in each field is counted. Knowing the magnification, the
original count can be determined. This method is the only one
available for turbid samples and has the additional advantages
that the morphology, arrangement and staining reactions of
the cells can be observed directly.
1724
Other methods of direct microscopy, e.g. counting chambers,
are tedious and relatively in inaccurate and are now rarely
used.
Opacity methods: These require careful calibration with a
Coulter counter for the species or strains of interest under the
precise conditions to be used, since the opacity or light
scattering properties of suspensions vary with the growth
conditions, the method of preparing suspensions, the
suspending fluid, etc.
However, they are widely used for their simplicity and speed.
Measurements may be made with a simple colorimeter, but a
nephelometer, which measures the light scattered at right
angles to an incident light beam is more usual. The principles
are illustrated in Fig. 33.27.
Fig. 33.27 Basic principles involved in the determination of

total microbial counts by opacity measurement. (A) The
absorptiometer method; (B) The EEL nephelometer principle.
Other methods of total counting: Measurements of the total

biomass of dense suspensions may be made by centrifugation
under standard conditions by determination of the dry weight
of cells, or from the total nitrogen content determined by a
micro-Kjeldahl method. These methods are relatively
1725
inaccurate but may be adequate for some purposes, e.g.
vaccine standardization.
Counts of Other Microorganisms
If the organism occurs primarily as individual cells which

form colonies on solid media, the methods used for bacterial
counts apply.
For noncolonial and filamentous organisms very few of the
methods described for bacteria may be used. Fungi form large
masses of coherent growth so the wet weight of mycelium is
most commonly used, but dry weights, total nitrogen and
oxygen consumption are also applied frequently. These
methods are also used for filamentous algae but, in addition,
colorimetric determinations of chlorophyll content are
convenient. With protozoa, particle counting, opacity wet
weight, dry weight and microscopy are the commonest
methods.
Isolation of Microorganisms in Pure Culture
The commonest method used for colony forming organisms is

streaking. In this, a loopful of a dilute culture is spread over
the surface of a sterile agar plate so that there is progressive
dilution and after incubation well isolated colonies with
recognizable morphology are formed. Each colony arises
from a single cell or a small group of cells and a sample of a
typical colony is picked off, diluted and streaked on a second
plate. This procedure is repeated until only one type of colony
is observed through several isolations, when the culture is
assumed, to be pure, i.e. consisting of a single, homogeneous
species. A successful isolation is illustrated in Fig. 33.28.
1726
Fig. 33.28 An isolation plate of bacterial prepared by
streaking. (A) Streak of confluent growth; (B) A colony of the
predominant type; (C) Two contaminant colonies.
Isolation may be assisted using selective conditions, e.g.

aerobic, anaerobic, low or high temperature, particular carbon
or nitrogen sources, pH various concentrations of sodium
chloride, dyes, surfactants, antiseptics or antibiotics,
depending on the properties of the species to be isolated.
Also micromanipulators, which permit the inoculation of a
single cell into a small drop of medium, can be used.
Normally only pure cultures are used so that studies of the
properties of individual species can be made. However, some
organisms, notably many protozoa and all viruses, can be
grown only in mixed culture with other cells, while obligate
parasites are inevitably associated with their host species.
1727
Microbial Growth and Reproduction
Population Growth in Liquid Media
A typical growth curve obtained when resting bacteria are

inoculated into fresh medium is shown in Fig. 33.29. The
most important features are the lag, exponential, stationary
and decline phases.
Fig. 33.29 An idealized bacterial growth curve. The growth

phase: aa, lag; bb, exponential; cc, stationary; cd, decline. The
axes show the approximate magnitudes for the density of
growth and the time scale which might be involved, though
there is great variation in practice.
It is important to realize that this curve applies only in a

specific context, namely that the organisms are unicellular,
the inoculum is of vegetative cells (not spores) derived from
the stationary phase and the new growth conditions are
identical with those in which the inoculum was grown
originally. Also the culture is a batch culture, i.e. a fixed
1728
volume of medium, with nothing added or removed during
growth.
The following factors affect the form of this curve.
The lag phase: This is a period of adaptation to the new
conditions of growth. Any factors, e.g. medium composition
temperature, pH, oxidation reduction potential, which tend to
favour growth will reduce the length of lag, and conversely.
Lag is also reduced by using rapidly growing cells from the
exponential phase (cells from the stationary decline and lag
phases giving longer lag phases, in that order) and with large
inocula, the length of lag being roughly proportional to the
logarithm of the inoculum size. Cells which have been
damaged by antiseptics, heat, etc., tend to give long lag
phases. Long delayed growth may also result from the use of
spore inocula and
fully dormant spores may take weeks or months to germinate,
though germination may be triggered by ‘heat shock’, i.e.
heating at 80° for 10minutes and in other ways. The lag phase
is not a period of dormancy but of active metabolism and cell
enlargement. Individual cells increase to a certain critical size
and then start to divide, possibly when the concentrations of
essential metabolites reach’ critical levels. However, the term
growth normally refers to reproduction and population growth
and not to the increase in size of individual cells.
The exponential phase: This is a period of constant growth
rate which is most rapid under optimal environmental
conditions. The optimal growth rate is a genetic property of
the strain, e.g. with E. coli the population may double in
20minutes whereas with M. tuberculosis doubling takes
several hours, even under the most favourable conditions.
The growth rate may be defined in terms of the doubling time,
the time taken for the population to double in size, or in terms
of the mean generation time (MGT), the average time taken
1729
for a single cell to produce two daughter cells. Under
favourable conditions these two parameters are identical but if
some daughter cells are nonviable the MGT is less than the
observed doubling time.
If at zero time the population is N0, then after one doubling
time the population is 2N0, after two doubling times is 4No =
22N0 and after n doubling times is 2n N0, i.e. the population at
time t = Nt = 2t/tdN0, where td is the doubling time, therefore:
i.e. td = 0.301 t/(log Nt – log N0) = MGT (under favourable

conditions). The growth rate constant (k) in doublings/hour is
the slope of the growth curve in the exponential phase and is
given by the expression:
The stationary phase. After a variable period of exponential

reproduction, growth slows and ceases, usually owing to
exhaustion of available oxygen (in aerobic cultures) and by
autointoxication, i.e. the production of metabolites by the cell
which inhibit its own growth, the best known examples of
which are the production of alcohol by yeast and of lactic acid
by lactobacilli. Exhaustion of food material occurs only rarely
and under conditions of very low nutrient concentration. A
further possibility is that under a particular set of conditions,
each organism has a characteristic maximum population
which is controlled by the packing density of the cells.
1730
The length of the stationary phase is very variable and
depends markedly on the species (indefinitely long with
sporing organisms) and on the environment, notably
temperature. Optimum growth temperatures tend to give short
stationary phases, cultures preserved by refrigeration usually
gives extended times.
The decline phase: This is produced by a variety of factors,
e.g. autointoxication and unbalanced metabolism due to
enzyme activity under conditions preventing growth, resulting
in the production of lytic enzymes. The rate and extent of
decline varies considerably with the species and
environmental conditions many cultures becoming sterile
within a few days or weeks.
Change of Total Count During Population

Growth
With most species growing under good conditions, the total

count is very similar to the viable count, at least during
exponential growth (Fig. 33.29), but during the stationary
phase the total count tends to increase and normally remains
constant from the end of the stationary phase and during the
decline phase, unless the cells lyse and break up. The increase
in total count during the stationary phase while the viable
count remains constant shows that all the cells are not inactive
but that some are reproducing, though reproduction is
balanced by death of an equivalent number.
Continuous Culture
In a batch culture, described above, growth occurs in a closed

system, but this does not result in uniform conditions. As
1731
reproduction occurs, nutrients are utilized, metabolic products
accumulate and the oxidation–reduction potential falls. This
results in continually changing conditions in the culture and it
is known that the composition of the cell wall and the
concentrations of a number of cytoplasmic components vary
as growth proceeds.
However, the growth rate of a culture, and so its physiological
condition, may be maintained absolutely constant by the
process of continuous culture, usually in a chemostat (Fig.
33.30). In this the desired conditions of temperature, gas
mixture, pH, nutrients, etc., are maintained constant. Fresh
medium is added at a predetermined rate with efficient
mixing and the excess culture overflows at the same rate as
fresh medium is added. Under these conditions the growth
rate may be fixed within wide limits by the rate of addition of
fresh medium.
1732
Fig. 33.30 Principle of the chemostat.
This system is of the utmost importance since it is the only

one which allows detailed studies of the effects of individual
factors on the physiology and biochemistry of
microorganisms and is the standard technique for such
studies.
1733
Factors Influencing Growth and Viability
Temperature
With most microorganisms three cardinal temperatures can be

identified: the optimum temperature and the maximum
temperature at which growth will occur and less precisely a
minimum growth temperature (Table 33.7). The optimum
temperature is normally taken as that at which growth is most
rapid, though other criteria may be used, and three groups are
distinguishable on the basis of this optimum (Table 33.6).
Table 33.6 Classification of microbes on the basis of

optimum temperature of growth
Group Optimum temperature

Mesophiles 25–40°C
Thermophiles Above 45°C
Psychrophiles Below 25°C
Table 33.7 Approximate temperatures and pH values for
optimum growth of a range of bacteria, together with their
growth ranges
1734
However, the temperature ranges for growth vary widely.
Above the normal range there is a rapid fall in growth rate
and lethal temperatures are reached rapidly (Fig. 33.31),
whereas below the normal range the growth rate gradually
falls towards zero, though low temperatures are not lethal.
Thus refrigeration is used to preserve foods, and often
microbial cultures, from spoilage and high temperatures are
used for sterilization (see Chapter 31). Fig. 33.31 also shows
that the temperature/ growth rate curve is essentially similar
in form for all types of microorganisms, though the optima
may be very different.
1735
Fig. 33.31 Effect of temperature on the growth of a bacterium
(Escherichia coli) and a mould (Pullaria pullulans).
Desiccation
Drying in air is often lethal, though the effect depends

markedly on the species, e.g. Neisseria gonorrhoeae survives
in air about 3 hours, Streptococcus pyogenes for several days,
Mycobacterium tuberculosis for several months and bacterial
spores for many years. The lethal effect also depends on the
temperature, the rate of drying and on the presence of
protective material such as proteins, sugars and reducing
agents.
Lyophilization (p. 226) is the standard method of preserving
most bacterial and fungal cultures.
1736
Acidity and Alkalinity (pH)
As with temperature, minimum, optimum and maximum pH

values for growth may be identified. Broadly speaking
bacteria have pH optima around neutrality (range pH 5–8.5)
while fungi have optima about pH 5.5 (range pH 2–9), though
individual species vary widely in pH tolerance (Table 33.7).
Protozoa and algae tend to be more restricted in pH range in
the region of neutrality.
The influence of pH on the availability of p-aminobenzoic
acid has already been mentioned, but pH similarly affects the
activity of inhibitors so that the total effect of pH depends
upon the nutrients and inhibitors present and their pK values.
Low environmental pH values are dealt with in bacteria by
exchanging K+ for H+, i.e. K+ is taken up and H+ is excreted,
so maintaining the internal pH within physiological limits,
provided that the pH is not too low and enough K+ is
available.
Oxidation–reduction (O/R) Potential
Oxidation can be defined as a loss of electrons, reduction as a

gain of electrons, e.g. Fe2+ → Fe3+. The O/R potential (E) is
defined by the Nernst equation
where R is the gas constant, T is the absolute temperature,

[ox] is the concentration of oxidized component, [red] is the
concentration of reduced component, F is the Faraday and n
is the number of electrons transferred in the reaction. E0 is the
1737
standard (normal) electrode potential, i.e. the O/R potential
of the 50 per cent oxidized system, and is an indication of the
oxidizing power of a system. At 18°, constant pH and single
electron transfer
The O/R potential may be determined potentiometrically, but

in the usual microbiological media the electrodes tend to
become poisoned and indicators are used. Usually these are
methylene blue, blue when oxidized and colourless when
reduced, or resazurin, a blue dye which undergoes irreversible
reduction to pink, which is then reversibly reduced to the
colourless leuco base. Resazurin is often preferred as being
less toxic than methylene blue. The relationship of the
percentage reduction to O/R potential is shown in Fig.
33.32A.
1738
Fig. 33.32 Oxidation–reduction potential and bacterial
growth. (A) The relationship of oxidation–reduction potential
to the reduction of indicator dyes. (B) The change in
oxidation–reduction potential with time in bacterial cultures.
(C) One type of McIntosh and Fildes anaerobic jar.
Bacteria and O/R potential: Three classes of bacteria are

distinguishable in relation to O/R potential (Fig. 33.32B).
1739
Aerobes, e.g. Bacillus spp., will initiate growth at values of E
> + 0.2 volt, and tend to reduce the value to –0.02 to –0.04
volt.
Anaerobes, e.g. Clostridium spp., will initiate growth only at
values of E < + 0.1 volt and growth reduces the value to about
–0.4 volt.
Microaerophiles, e.g. Lactobacillus spp., grow only slowly at
values of E > + 0.1 volt.
Facultative organisms, e.g. E. coli and S. aureus will grow
under either aerobic or anaerobic conditions, though aerobic
growth is more vigorous since respiration yields more energy
than fermentation.
Methods for Producing Anaerobiosis
There are two basic methods, the removal of oxygen from the
medium and environment and the addition of reducing
substances to the medium. In the McIntosh and Fildes (Fig.
33.32C) and ‘Gas-Pak’ anaerobic jars, the oxygen in the
atmosphere is removed by catalytic combination with
hydrogen. Reducing substances which are widely used are
thioglycolic
acid (HS.CH2COOH) and cysteine
(HS.CH2.CHNH2.COOH); glutathione
(3-glutamyl-cysteinyl-glycine), sulphites and glucose are also
used. These media normally contain an O/R indicator.
Another valuable medium uses a layer of granules of defatted
meat, which contains a variety of reducing systems. To
prevent access of oxygen to the reduced medium it is
common to add a low concentration of agar, about 0.1 per
cent, which increases viscosity and so reduces carriage of
oxygen into the medium by convection, and to seal the
1740
surface of the medium with vaspar (equal parts of soft and
liquid paraffins).
The formulae of media of this type are given in Table 33.8.
(See p. 523.)
Table 33.8 Some common anaerobic media*
Cooked Meat Medium (Robertson’s Medium)

Defatted granules of
Beef heart 3.0
Peptone 1.0
Beef extract 1.0
Sodium 0.5
chloride
0.2 per cent of dextrose is often added
The medium should be freshly prepared or freshly steamed.
It is one of the most valuable of all anaerobic media.
Fluid Thioglycollate Medium USP
Yeast extract
Casein
peptone
Sodium
chloride
L-Cystine 0.05 Source of sulphur
Dextrose 0.55 Nutrient and mild reducing agent
Agar 0.075 Increases viscosity and prevents
aeration by convection
1741
Sodium 0.05 Reducing agent
thioglycollate
Resazurin 10–4 Oxidation–reduction indicator
Recommended by the USP for sterility tests, especially if
heavy metals are present.
Reinforced Clostridial Medium
Yeast extract
Beef extract
Peptone
Sodium
chloride
Soluble 0.1 Detoxifies inhibitors of spore
starch
Dextrose 0.5 Mild reducing agent, growth
promoter
Cysteine 0.05 Reducing agent
hydrochloride
Agar 0.05 Increases viscosity and prevents
aeration by convection
Sodium 0.03 Nutrient favouring anaerobic
acetate growth
A semisolid medium giving excellent growth of fastidious
anaerobes. A solid medium is available.
*
Concentrations are given as per cent (w/v).
1742
Reasons for Anaerobiosis
Absence of cytochromes: Most anaerobes do not possess the

complete cytochrome system and so cannot utilize oxygen as
the final hydrogen acceptor. This results in the accumulation
of reduced NAD (NADH2) and, since there is a limited
supply of NAD, metabolism ceases unless the cell can oxidise
NADH2 using an alternative hydrogen acceptor to oxygen.
Sulphydryl enzymes: Many enzymes depend on sulphydryl
groups (–SH) for activity, especially enzymes in anaerobic
organisms. Under oxidizing conditions the sulphydryl groups
form disulphides and the enzymes are inactivated.
Absence of catalase: Peroxidase enzymes yield hydrogen
peroxide, which is toxic. Aerobes possess catalase, which
breaks down the peroxide to oxygen and water, but this
enzyme is generally absent from anaerobes, which are thus
inhibited by hydrogen peroxide toxicity.
Oxygen toxicity: Anaerobic metabolism is specifically
inhibited by oxygen, and this is the basis of the ‘Pasteur
effect’, i.e. fermentation reactions cease abruptly when a
culture is aerated.
Although these reasons are widely quoted, it should be noted
that there are exceptions and anomalies to the first three of
these, so it must be concluded that the precise reasons for
anaerobic growth are still obscure and understanding of
anaerobes is limited. However, if it could be shown that
anaerobic operator genes (see p. 527) are specifically
repressed by oxygen, or a substance produced under oxidizing
conditions, many outstanding problems would be clarified.
1743
Osmotic Pressure
Hypotonic environments do not affect microorganisms unless

the concentration of salts or nutrients is so low that growth
cannot occur.
Hypertonicity also has little effect until the osmotic pressure
of the environment becomes very high. Microorganisms can
maintain a suitable internal osmotic pressure even if the
external osmotic pressure varies widely, either by transport of
ions, notably K+, into and out of the cell, or by special
mechanisms, e.g. the contractile vacuole in many protozoa.
High concentrations of sodium chloride (30 per cent) sugars
(70 per cent) and glycerol (50 per cent) inhibit cells and may
cause plasmolysis, and these substances are used extensively
as preservatives, but there is no lethal effect and contaminants
grow when the solutions are diluted. Many bacteria and
Fungi, especially yeasts, are osmotolerant and will cause
spoilage of products preserved in this way, a notable example
being syrup, unless additional preservatives are present.
Spoilage of salted meat and fish products results from the
activities of halophilic organisms, i.e. those which require
high concentrations of sodium chloride for growth, e.g.
Halobacterium spp. need 20–30 per cent w/v NaCl. These are
distinguished from halotolerant organisms, such as S. aureus,
which will grow in the presence of 10 per cent w/v NaCl but
do not require it for growth.
Electromagnetic Radiations
The harmful effects of these increase as the wavelength

decreases, the order of increasing biological activity being as
follows:
1744
infrared (4×105–750nm), visible light (750–400nm),
ultraviolet (300–100nm) and X-and γ-radiations
(10–0.0005nm).
The effects produced are mutations and lethal damage, due
both to the direct effect of the radiations on DNA and to
indirect effects on DNA from the production by the radiation
of H2O2 and oxidizing radicals from water.
Gamma radiations are widely used for the sterilization of
thermolabile products and ultraviolet radiation of wavelength
260nm is used to a limited extent for the sterilization of
atmospheres and water (see Chapter 32).
Surface Tension
Low surface tension inhibits the growth of many bacteria, bile

salts and teepol being used as selective agents for the
cultivation of the enteric bacteria, which normally live in the
presence of bile salts. Other effects are the production of
more generalized growth in liquid media with organisms
which tend to produce a granular or adherent cell mass, e.g.
B. subtilis, and the formation of elongated cells of bacterial
rods.
Surfactants may be inherently biostatic or biocidal and may
potentiate the activity of other antimicrobial agents.
Ultrasonic Energy
This is carried by sound waves of frequency >20,000 Hz.

Very high frequencies (320–680 kHz) may sterilize cultures,
but they are used only as a research tool.
1745
Pressure
Very low pressures kill cells due to desiccation but high

pressures have little effect unless they cause inhibition by the
solution of excessive oxygen or carbon dioxide in the
cytoplasm. Very high pressures inhibit most cells.
Energy Yielding Metabolism

Fermentation and Respiration
Except in photosynthesis all energy yielding reactions are

oxidations at the expense of a suitable reductant, e.g.
Fermentation is oxidative metabolism in which both the

hydrogen donor and hydrogen acceptor are organic.
Respiration is oxidative metabolism with an inorganic
hydrogen acceptor, the hydrogen donor being either organic
or inorganic.
The function of both processes is to link the oxidation to the
production of ATP which can be used either directly for
energy requiring reactions or indirectly for the synthesis of
alternative energy yielding phosphates, e.g.
phospho-enol-pyruvate, or of energy rich stores, e.g.
creatinine phosphate.
1746
Glucose Fermentation
The three main pathways of glucose utilization are outlined in

Fig. 33.33 and are the Embden–Meyerhof–Parnas (EMP),
Entner–Doudoroff (ED) and hexose monophosphate (HMP)
pathways. The net ATP yield is two molecules per molecule
of glucose in the EMP pathway, which is the commonest, and
is one ATP in the HMP and ED pathways. The former of
these occurs in many organisms but the latter only in bacteria.
Fig. 33.33 Glucose fermentation in cells. The

Embden–Meyerhof, hexose monophosphate and
Entner–Doudoroff fermentation pathways.
All the pathways yield pyruvate oxidatively at the expense of

NAD as hydrogen acceptor, the NADH2 being oxidized to
yield ATP in the process of oxidative phosphorylation. The
1747
pyruvate is then broken down in various ways by different
species to yield products of diagnostic or industrial interest
(Fig. 33.34).
Fig. 33.34 Some compounds resulting from the metabolism of

pyruvate. End products are shown in capitals.
Pyruvate is also a key compound in many biosynthetic

reactions.
1748
Energy from Respiration
The principal types of microbial respiration are shown in

Table 33.9. Aerobic respiration with organic hydrogen donors
goes in two main steps; the production of pyruvate and its
stepwise oxidation to carbon dioxide via the tricarboxylic acid
(TCA, Krebs and citric acid) cycle (Fig. 33.35A) yielding
NADH2 and finally the oxidation of the NADH2 by the
stepwise transfer of hydrogen to oxygen, a process known as
electron transport or oxidative phosphorylation (Fig. 33.35B),
the principal source of ATP.
Fig. 33.35 Respiration and energy production. (A) The

elements of the tricarboxylic acid (TCA, Krebs, citric acid)
cycle; (B) The production of ATP by the action of the
election transport chain. Flav, flavine nucleotide.
1749
Table 33.9 Principal types of microbial respiration
Electron transport in eukaryotes occurs in the mitochondria,

all organisms having similar mechanisms, but in prokaryotes
the more varied components are associated with the plasma
membrane or the mesosomes.
Other Processes Yielding ATP
Many other reactions are used to produce ATP, the principal

ones being amino acid fermentations, other conversions, e.g.
citrulline–ornithine and photosynthesis.
1750
Dna Functions and Some Cellular
Control Mechanisms
Aspects of DNA Function
Protein Synthesis
The basic unit of the chromosome is the gene, a unique series

of nucleotides. Each gene specifies a particular polypeptide;
the sequence of amino acids in the polypeptide, i.e. the
primary structure of the final protein being determined by the
nucleotide base sequence in the gene and each amino acid
being coded for by a nucleotide triplet known as a codon, e.g.
the triplet AAT* is the codon for leucine, the codon for
alanine being GCC and for proline GGT. There are also
codons for chain termination (UAA, UGA or VAG) and for
chain initiation (UAG or GUG after a termination codon).
Polypeptide synthesis involves firstly the transcription of the
DNA into messenger RNA (mRNA) and then the translation
of the mRNA information into the polypeptide chain.
Transcription is directed by RNA polymerase the base
sequence complementing that of one strand of the DNA.
Translation of the mRNA occurs at the ribosome (Fig.
33.36A) several ribosomes becoming attached to one mRNA
molecule to give a polyribosome on which several identical
polypeptides are synthesized simultaneously. Each amino
acid is carried to the polyribosome by a specific transfer RNA
(tRNA, Fig. 33.36).
1751
Fig. 33.36 Some compounds involved in protein synthesis in
prokaryotic cells. (A) The 70S ribosome. (B) The probable
configuration of alanine tRNA. from Holley, R.W. et al.
(1965) Science, 147, 1462
The sequence of events is illustrated in (Fig. 33.37). The

mRNA consists of an initiation codon (TC), the codons
specifying the number and sequence of amino acids and the
termination codon (TC).
1752
Fig. 33.37 Sequence of events in protein synthesis. IC:
initiation codon, n; the number of amino acids in the protein,
TC: termination codon. MetF: Nformylmethionine. A1, A2,
etc., successive amino acids in the peptide chain.
1753
A ribosome is formed on the beginning of the mRNA
molecule and a tRNA carrying N-formyl methionine (NfMet),
is attached to the first ribosome at the IC recognition site:
N-formyl substitution directs chain growth in the right
direction. A second tRNA, carrying the first amino acid (A1)
of the polypeptide chain attaches at codon 1 and a transferase
attaches NfMet to A1. The ribosome moves along one codon
and a third tRNA, carrying
the second amino acid (A2), attaches at codon 2, the growing
peptide chain is transferred as before and the tRNA for NfMet
detaches from the ribosome and is recycled. As the procedure
is repeated to build up the polypeptide chain, more ribosomes
attach to the mRNA to form a polyribosome, a further
molecule of the polypeptide being synthesized on each
ribosome. Finally the polypeptide is terminated at the TC site
on the mRNA, the polypeptide and the ribosome are released
and the ribosome subunits recycled. The NfMet bond is
hydrolysed to leave the polypeptide which then coils and
cross links to form the secondary structure of the protein,
further coiling and binding yielding the active protein with its
tertiary structure.
Control of Protein Synthesis
For protein to be synthesized two conditions must be fulfilled:

the appropriate gene must be present and it must be
expressed, i.e. no factor is operating to prevent the gene being
translated into protein. One such factor is mutation, and a
mutated gene either produces a different protein or is
nonfunctional. Gene expression is also carefully controlled in
response both to environmental factors and the state of cell
metabolism.
1754
The classic example of the control of gene expression is the
(β-galactoside transport and utilization systems of E. coli, in
which the enzymes for glucose transport and utilization are
always present (i.e. constitutive) but those for lactose
(β-galactosidases) are present only if required (i.e. inducible),
though the genes controlling lactose permease and lactose
hydrolysis are always present in nonmutant strains.
If E. coli is grown with a limited amount of glucose and any
amount of lactose as sole carbon sources, it utilizes the
glucose preferentially. Once all the glucose has been
metabolized, there is a lag during which the lactose permease
and the β-galactosidase are synthesized and growth is then
resumed utilizing the lactose. Thus glucose represses the
lactose permease and β-galactosidase genes, the mechanism
for this being illustrated in Fig. 33.38. The basis for this is
presumably economy of energy resources. In the presence of
glucose, the enzymes for which are constitutive, there is a
readily available carbohydrate and there is no point in using
energy to synthesize the enzymes which transport and
hydrolyse lactose, so the latter are synthesized only when they
are essential for growth to continue.
1755
Fig. 33.38 Diagrammatic representation of the operon theory.
The operon theory states that the basic unit of DNA function
is the operon, which consists of an operator gene plus the
adjacent structural gene. There is also a nearby promoter
gene, the site of attachment of the RNA polymerase which
catalyses the synthesis of the mRNAs on the structural gene
patterns, and a regulator gene.
In the presence of glucose the regulator gene controls the
synthesis of a soluble repressor protein which either attaches
1756
to the operator gene and blocks RNA polymerase attachment
or prevents RNA polymerase activity, so no mRNAs are
synthesized on the structural genes.
Also glucose, or an intermediate of glucose metabolism, may
act directly on the operator gene to prevent mRNA synthesis.
In this state the genes at the lac locus are repressed. In the
absence of glucose the RNA polymerase can attach to the
promoter site. The lactose causes the production of inactive
repressor protein, so mRNA is synthesized on the structural
genes and can be translated into the appropriate enzymes in
the cytoplasm. This is the derepressed or induced condition.
In some cases, e.g. alkaline phosphatase synthesis, the
repressed state is normal and the regulator gene codes for an
activator protein which causes derepression and enzyme
synthesis.
Allosteric Control of Enzyme Activity

It is well known that the supply of an end product of a
synthetic chain, or the build up of a high concentration of the
end products due to metabolism, will suppress the synthesis
of that end product. This is end product repression or
feedback inhibition, e.g. supplying histidine prevents its own
synthesis, and supplying tryptophan represses the tryptophan
synthatase and induces tryptophanase.
Although it was once thought that these effects were due to
mass action, it is now known that they are primarily produced
by specific allosteric effectors, i.e. compounds which inhibit
or activate enzymes, not by attaching to the active site but by
attaching to another site on the enzyme molecule and so
modifying the configuration of the active site. This is
1757
illustrated in Fig. 33.39. Hence the term allosteric, ‘another
shape’, one not fitting the active site yet affecting activity.
Fig. 33.39 Metabolic control by allosteric effectors. *Enzyme

modified by combination with an allosteric effector.
The effects may be very complex and sensitive. In the EMP

glucose pathway phosphoenolpyruvate (PEP) may
accumulate and this compound then acts as an allosteric
inhibitor of the pathway and also as an allosteric activator for
the conversion of glucose into glycogen, i.e. the cell switches
from glucose metabolism to glycogen storage. When the
concentration of PEP falls, both of these effects are removed
and the cell switches from glycogen synthesis to glucose
utilization. Viruses are the simplest entities capable of
self-replication and are distinguished from all other
microorganisms by being noncellular. They possess the
following unique characters.
1758
1. Contain only one kind of nucleic acid, RNA or DNA but
never both.
2. Other components are a limited range of proteins and
sometimes Small amounts of lipid, carbohydrate and
polyamines.
3. There is no cell wall, no plasma membrane and no
cytoplasm.
4. They have no independent metabolism.
5. The mode of replication is unique, there being no growth of
all parts followed by budding or division but the nucleic acid
and protein components are synthesized separately in the host
cell and then assembled into numerous replicate complete
viruses.
Additional features, which are not unique to viruses, are as
follows.
1. They are small, in the range of 25–300nm, and may pass
bacteria-proof filters, though filterability is an outdated
criterion.
2. Obligate intracellular parasites causing death of the host,
extensive cell damage or excessive cell proliferation
(hyperplasia). They are highly host and tissue specific.
3. Insensitive to all the usual antibiotics. Antibiotic sensitivity
may indicate that an organism is not a true virus.
4. Many are very liable to mutation.
5. Retrovirus is another class of viruses which are replicated
in a host cell via the enzyme reverse transcriptase to produce
DNA from its RNA genome. The DNA is then incorporated
into the host’s genome by an integrase enzyme. The virus
thereafter replicates as part of the host cell’s DNA. A family
of viruses distinguished by three characteristics: (1) genetic
information in ribonucleic acid (RNA); (2) virions possess the
enzyme reverse transcriptase; and (3) virion morphology
consists of two proteinaceous structures, a dense core and an
1759
envelope that surrounds the core. Some viruses outside the
retrovirus family have some of these characteristics, but none
has all three.
Structure and Composition
The intact virus particle, the virion, consists of an internal

nucleocapsid, based on RNA or DNA, protected by a protein
shell (capsid) composed of a number of capsomers. The
capsomers are globular protein subunits and may be arranged
regularly so that the structure is icosahedral (herpes simplex,
polio), helical (influenza, rabies) or more complex
(smallpox). The bacteriophages (usually shortened to phage)
are viruses that infect bacteria; these may have a very
complex symmetry. Also, some viruses (mumps, influenza)
have a lipoprotein outer membrane, the peplos. Retroviruses
have RNA genome, glycoproteins and nonglycosylated
proteins; they are associated with the virion reverse
transcriptase. The genome is composed of two identical
molecules of single-stranded RNA, which are similar in
structure and function to the cellular messenger RNA.
Deoxyribonucleic acid (DNA) is not present in the virions of
retroviruses.
Small amounts of enzymes, carbohydrates and polyamines
may also be present. The structures of some typical viruses
are illustrated in Fig. 33.40, and an idea of size and
composition is conveyed in Table 33.10.
1760
Fig. 33.40 Some typical viruses. (As) and (B) Two forms of
vaccinia virus, A showing the central nucleoid surrounded by
1761
a membrane, two ovoid lateral bodies and the outer
membrane. By courtesy of Prof. E.L. Medzon and Academic
Press. (C) measles virus, showing the outer capsid and
extensive helical nucleocapsid (escaping through the ruptured
capsid). By courtesy of Dr A.F. Howatson and Academic
Press. (D) Influenza virus, showing the flexible nature and the
surface projections. By courtesy of Prof. A.P. Waterson. (E)
Rabies virus, showing the bullet shape and surface
projections. By courtesy of Prof. K. Hummeler and the
American Society for Microbiology. (F) T4 coliphage, the
details of which are shown in Fig. 33.41. By courtesy of Dr
L.D. Simon, Dr T.F. Anmderson and Academic Press.
Table 33.10 Sizes and compositions of some typical viruses
Replication
Replication of Phage
The details of phage replication are very well known, so the

replication of the T4 coliphage (structure Fig 33.41), a DNA
virus which attacks E. coli, will be described as illustrating
the general pattern (Fig. 33.42) although the details differ for
each virus.
1762
Fig. 33.41 Structure of a T-even coliphage. (A) A T4 phage at
attachment to a host bacterium; (B) Penetration showing
contracted protein tail sheath.
1763
Fig. 33.42 Stages involved in phage replication and
lysogenization.
The phage comes into contact with a bacterium at random and

attachment occurs via the tail fibres. The fibres contract and
bring the tail plate into contact with the host cell wall, which
is
dissolved locally by a lysozyme. The tail sheath then
contracts and penetration occurs by injection of the phage
DNA through the tail tube into the host, and host metabolism
1764
ceases very soon. The phage DNA is then transcribed into
‘early’ viral mRNA which utilizes the cellular ribosomes and
energy for translation into a variety of enzymes, e.g.
deoxyribonuclease to break down host DNA, and DNA
replicase and polymerase which produce new viral DNA.
When new viral DNA starts to appear, ‘late’ viral mRNA and
‘late’ enzymes are synthesized. These result in the synthesis
of new viral capsids, in the production of a condensing
protein which condenses the separately synthesized DNA and
capsid into new phages in the maturation phase, and in the
production of phage lysozyme which causes lysis (bursting)
and the liberation of numerous mature phages from the
bacterium.
Lysis usually results in complete host destruction and when
this occurs in a confluent sheet of bacterial growth on the
surface of a medium, there are areas of clearing of this growth
around the infected cells which are called plaques. The
number of phage particles released per bacterium on lysis is
known as the burst size and may vary from a few to several
hundred.
The mode of replication described results in a stepwise
increase in the phage count (Fig. 33.43). In the period
immediately following infection, no phage can be detected if
the cells are disrupted. This is the eclipse phase, during which
the host cell metabolism is being switched to phage directed
synthesis and no mature phage particles or infective DNA are
present in the cell.
1765
Fig. 33.43 One step growth curve for a T4 coliphage
concentration relative to the initial count as 1.0. The
subsequent steps have been inhibited. The stepwise nature of
the curve is lost rapidly since phage is not released
synchronously, as shown by the slope on the rising part of the
curve.
Lysogeny: The replication cycle just described is that of a

virulent phage. Some types of temperate phage, e.g. E. coli
phages λ, P1, P2, infect the host but the capsid genes are
repressed, so no new phage is produced. Instead, the phage
genome either attaches to the cell membrane or becomes
incorporated into the host cell genome, often at a specific site,
and replicates synchronously with the host cell genome as a
prophage. Each daughter host cell carries a prophage replica.
The host is thus described as being lysogenized by the phage,
and the culture as lysogenic. The prophage may be induced to
virulence by exposure of the lysogenic culture to low doses of
ultraviolet radiation or to chemicals (alkylating agents,
1766
mitomycin, certain carcinogens), or may occur spontaneously.
In either case the normal cycle of vegetative phage replication
is completed. Prophage may
also be lost (cured) either spontaneously or by treatment with
chemicals such as acridines.
The relationship between lysogeny and vegetative
reproduction is illustrated in Fig. 33.42.
Lysogenization results in changes in the host cells since there
is additional genetic information present, examples being
toxin production by Corynebacterium diphtheriae,
nonlysogenic cultures being nontoxigenic and avirulent, and
modification of the surface structure in Salmonella
typhimurium.
Transduction: In some cases of infection with a temperate
phage, the phage may carry a fragment of the host genome of
variable size to a new host cell, a process known as
transduction. The transduced DNA can then undergo
recombination with the new host DNA to yield a mutant host,
e.g. genes specifying antibiotic resistance may be transduced
in this way.
Replication of Other Viruses
The general process is believed to be similar to that described

above. The mode of entry into the cell may be rather different
and, with a very specific attachment process, entry may be
mediated by specific enzymes, e.g. neuraminidase with
influenza virus, or entry may be by a pinocytosis type of
mechanism in which the peplos, being derived from the
original host cell membrane, may play a key role by fusing
with the membrane of the new host cell. The details of viral
nucleic acid (NA) synthesis and replication clearly differ
1767
depending on whether the NA is single or double stranded
and is RNA or DNA, but these details are beyond the scope of
this chapter. The viral components may be synthesized either
in the cytoplasm (influenza, vaccinia, polio) or in the nucleus
(herpes simplex, influenza, adenoviruses), sometimes
producing characteristic inclusion bodies which are of
diagnostic value. The effects of infection may be gross tissue
damage analogous to phage lysis, as in smallpox, major
inflammatory reactions, as with measles, or hyperplasia, i.e.
excessive and sometimes uncontrolled cell multiplication,
resulting in warts, benign tumours, or cancer and leukaemia.
Many viruses can exist in a latent form analogous to prophage
in lysogenic bacteria. This is well known with herpes
simplex, yellow fever and serum jaundice. One theory of the
way in which a wide range of diverse chemicals can cause
cancer is that the carcinogens are simply cytotoxic and
damage cells infected with latent virus, so inducing the virus
to the vegetative, virulent state.
Retroviruses replicate inside cells they have invaded, using an
enzyme called reverse transcriptase to transcribe RNA into
DNA. In this way they can evade the body’s natural immune
defence mechanisms as they make new copies of themselves.
Retrovirus Replication Cycle
There are seven steps in the replication cycle of the retrovirus.

The first step is attachment, in which the retrovirus uses one
of its glycoproteins bind to one or more specific cell-surface
receptors on the host cell. Some retroviruses also employ a
secondary receptor which is known as the coreceptor.
Example, CD4 and various members of the chemokine
1768
receptor family on human T cells (a type of white blood cell)
serve as the HIV receptors and coreceptors.
The second and third steps are penetration and uncoating,
respectively. Retroviruses penetrate the host cell by direct
fusion of the virion envelope with the plasma membrane of
the host. As a fusion process results in the release of the viral
capsid directly into the host cell’s cytoplasm, where it is
partially disrupted.
Step four is replication, which occurs after the retrovirus has
undergone partial uncoating. At this stage, the RNA genome
is converted by reverse transcriptase into double-stranded
DNA. Reverse transcriptase has three enzymatic activities:
RNA-directed DNA polymerase makes one DNA strand
DNA-directed DNA polymerase makes the complementary
strand and RNAse H degrades the viral RNA strand. Reverse
transcription is primed by a cellular transfer RNA (tRNA)
that is packaged into retrovirus virions. It concludes with the
synthesis of a double-stranded copy of the retroviral genome
that is termed the ‘provirus,’ or proviral DNA.
This proviral DNA is circularized and transported to the host
cell’s nucleus, where it is integrated, by means of the
retroviral enzyme called integrase. Following integration, the
provirus behaves like a set of cellular genes, while the LTRs
function as promoters that begin transcription back into
mRNA. This transcription is carried out by RNA polymerases
in the host cell. Transcription of the proviral DNA is also the
means of generating progeny RNA. Viral proteins are made in
the cytoplasm of the host cell by cellular ribosomes.
The next step (step five) is termed ‘assembly’, in which
retrovirus capsids are assembled in an immature form in the
host cell. This is followed by an ‘egress’ stage, in which the
envelope proteins of retroviruses are acquired by budding
from the plasma membrane (cell surface) of the host. Finally,
1769
step seven is ‘maturation’. In this step, the Gag and Pol
proteins of the retrovirus are cleaved by the retroviral
protease, thus forming the mature and infectious form of the
virus.
Cultivation
There are three methods available: tissue culture,

embryonated eggs and whole host inoculation.
Tissue Culture
Basic technique: A tissue culture consists of a suitable living

host tissue (animal, plant, insect) plus a suitable nutrient fluid
for the tissue cells, the formulation of which may be very
difficult. The tissue is incubated and agitated, the virus is
inoculated into the tissue at a suitable time and, after further
incubation, the virus may be harvested from the fluid.
Types of tissue culture: The roller culture consists of
cultivation in a series of test tubes placed in a drum and
rotated so that the tubes are almost horizontal. This method is
useful for small scale work, research or analytical procedures.
In the rocker culture the culture vessels are large glass bottles
laid on their sides in a rack, the whole rack being rocked
gently to obtain good mixing and gas exchange, a procedure
widely used in large scale cultivation, e.g. for vaccines.
Where very large scale production is required a submerged
culture is used, the tissue cells being suspended in a large
bulk of medium which is carefully stirred and aerated. There
are many difficult technical problems with submerged
cultivation, but the technique is the only suitable way of
achieving very-large-scale virus cultivation.
1770
Fragment cultures simply consist of minced tissue suspended
in the nutrient fluid. The fragments do not normally grow
during incubation but live for the two to three days necessary
for virus growth. Frequently, cell cultures are prepared by
digesting tissue with trypsin and the isolated cells, or small
clumps of cells, used as suspended cell cultures or as
monolayer cultures. In the latter case the cells are allowed to
grow as a single sheet of cells on the glass surface of a tube,
bottle or dish. If only a small number of virions is inoculated
into a monolayer culture each virus produces plaques of lysed
cells, similar to phage plaques (Fig. 33.45), or characteristic
local cytopathogenic effects which are of diagnostic value.
Organ cultures are small fragments of a selected organ, e.g.
embryonic respiratory epithelium, in a thin layer of nutrient
medium in a Petri dish. Such cultures will often grow
fastidious viruses which will not grow in other types of
culture.
Embryonated Egg Culture
This is a special type of whole host cultivation used for

animal viruses. The method uses a fertile hen’s egg after 7–12
days’ incubation (Fig. 33.44), the virus being inoculated onto
or into a suitable embryonic tissue or fluid, e.g.
chorio-allantois, vaccinia; allantoic fluid, influenza; embryo,
rabies, yellow fever; yolk sac, rickettsiae (see below). After
further incubation the virus is harvested from the appropriate
tissue and purified by differential centrifugation.
1771
Fig. 33.44 Tissues of the embryonated hen’s egg at about 10
days development, together with the routes of inoculation of
various viruses, indicated by arrows.
Fig. 33.45 Virus plaques. (A) Phage plaques, showing four

different types distinguished by size and turbidity; (B)
Poliovirus plaques in rhesus monkey kidney monolayer
culture. adapted from part of Fig. 22.9 of Principles of
Microbiology by B.D. Davis, R. Dulbecco, H.N. Eisen, H.S.
Ginsberg and W.B. Wood Jr. by courtesy of Hoeber Division,
Harper & Row
1772
Whole Host Inoculation
This method is usually used only when the technical problems

of tissue or embyronated egg culture cannot be solved or
when the virus becomes attenuated or mutates in such
cultures. The technique is widely used for many vaccines,
notably smallpox (sheep or calves) and rabies (sheep or
rabbits).
The advantages and disadvantages of different virus culture
methods are given in Table 33.11.
Table 33.11 Advantages and disadvantages of virus culture

methods
Method Advantages Disadvantages

Tissue Adaptable to Technically difficult virus
culture large range of may become attenuated
viruses can be during cultivation
used for large unsuspected virus may be
scale present, e.g. SV40 tumour
production, e.g. virus from monkey kidney
vaccines no tissue
antibodies
formed
Embryonated No Not all virus will grow
eggs unsuspected adaptation to growth in the
virus of embryo may cause
bacterial no attenuation some viruses
antibodies cause extensive damage and
formed simple are difficult to separate High
1773
and labour costs if used for large
inexpensive scale cultivation
Whole host No attenuation Contamination almost
inoculation may be only inevitable antibodies
method produced by animals can
available have major handing problems
(especially with large
animals) elaborate and
expensive facilities may be
required
Enumeration of Infective Virus
There are three basic methods: plaque counts, pock counts

and dilution counts.
Plaque counts: This involves counting the number of plaques
produced from a suitably dilute viral suspension inoculated
into a sensitive bacterial culture, which is then transferred to
an agar plate, or into a suitable monolayer tissue culture (Fig.
33.45).
Pock counts: This method is used primarily for animal viruses
if they will grow on the chlorioallantoic membrane of the
chick embryo. A dilute suspension of virus is inoculated onto
the membrane. After incubation the membrane is covered
with a series of pocks, each being a focal point of infection
(Fig. 33.46). Plant viruses which produce localized necrotic
lesions of plant leaves may be counted similarly.
1774
Fig. 33.46 Viral counts by pock counting on the chick embryo
chorioallantoic membrane. Each dense white circular area
(pock) is a focus of viral growth and different viruses give
pocks of different appearance. (A) Vaccinia; (B) Herpes
simplex (by courtesy of The Glaxo Volume).
Dilution counts: The principle of this method is exactly as for

counting bacteria by dilution (see p. 516) but in this case the
serial dilutions are inoculated into a series of host plants or
animals or into a series of tissue cultures or bacterial cultures.
In all cases the presence or absence of infection is sought,
rather than examining for growth as with bacteria.
Reaction to Environmental Conditions
Viruses are inactivated by most of the conditions which kill

other microorganisms, e.g. heat at 56–60°C for 30minutes
(poliovirus and serum hepatitis virus are more resistant),
oxidizing agents, halogens, formaldehyde, glutaraldehyde,
ethylene oxide, β-propiolactone, ultraviolet and ionizing
radiations.
Viruses with a peplos, which is lipoid, are consequently
sensitive to solvents such as ether and to surfactants.
1775
They are resistant to the actions of agents which attack
cellular integrity or interfere with metabolism, e.g. many
antiseptics, especially phenols, glycerol and antibiotics.
Chemotherapy of Virus Infections
The close association between virus and host means that most
agents which prevent virus replication are also highly toxic to
the host. Only methisazone
(N-methylisatin-β-thiosemicarbazone) has found significant
systemic application in the prophylaxis of pox virus
infections, notably smallpox and complications of smallpox
vaccination, if given early enough after known contact with
infection. It is useless once overt infection has occurred.
IUDR (5-iododeoxyuridine) inhibits DNA synthesis and
though too toxic for systemic use has a possible application in
the topical treatment of spreading skin and corneal lesions
due to smallpox, vaccinia and herpes. The status of interferon
will be dealt with later.
Consequences of Retroviral Infection
Retroviruses are capable of inducing immunosuppressive,

autoimmune and neurological illnesses. Retroviruses are also
capable of inducing latent infections, in which the virus is
dormant, or persistent infections, in which low levels of the
virus are continuously produced. These capabilities explain
the lifelong nature of retroviral infections, and render the
diseases induced by these pathogens extremely difficult to
treat.
Retroviruses are among several types of viruses that can
induce cancer in the host organism. So-called slowly
1776
transforming viruses are exemplified by human
T-lymphotropic virus (HTLV), which causes leukaemia (a
type of blood cancer) in humans.
The most important retrovirus is the human
immunodeficiency virus (HIV). HIV invades and destroys
host cells, particularly T-helper lymphocytes, which are
crucially important in maintaining the body’s immune
defence mechanisms. Disruption of immune defence
mechanisms following the destruction of T-helper
lymphocytes is the main way in which HIV leads to AIDS.
Classification of Viruses
There is no universally agreed system, but most authorities

use the following criteria: type of nucleic acid and number of
strands, capsid architecture, presence and size of peplos,
nuclear or cytoplasmic synthesis and host specificity. The
principal types of virus on this basis are listed in Table 33.12.
Table 33.12 Some important groups of animal viruses
1777
Other Obligate Pathogens
Rickettsiae
These are small spherical or ovoid organisms (0.2×0.6μm),

Gram-negative and mostly arthropod borne. Members of this
group cause epidemic typhus, scrub typhus, murine typhus,
spotted fever, trench fever and Q fever.
Chlamydiae (Bedsoniae)
These are generally similar to the rickettsiae but are spherical,

a small (0.3μm) form alternating with a large (0.5–1.0μm)
form in the life cycle. They are highly unstable outside their
hosts, in which they cause psittacosis and ornithosis,
trachoma, inclusion conjunctivitis, lymphogranuloma
venereum and cat scratch disease.
Mycobacterium Leprae
This is the causative agent of leprosy and is acid fast, like M.

tuberculosis. It has never been isolated on artificial media.
Bdellovibrio Bacteriovorus
This is a small highly motile organism parasitic on

Gram-negative bacteria, notably the Enterobacteriaceae.
Some Relationships Between

Microorganisms and the Human
1778
Body: Microbial Diseases and
Immunology
Common Body Flora
There is a large ectosymbiotic population of bacteria, fungi,

protozoa, helminths and even mites, living on the surfaces
and
in the body cavities, but not in the tissues. The skin between
the waist and the knees is usually heavily contaminated with
intestinal organisms, which represent a special hazard during
surgery in that area. Most of the symbionts are parasites,
since the host apparently derives no benefit from their
presence, although the parasite has a controlled temperature
environment with an ample supply of water and food.
However, some are mutualistic symbionts, both species
deriving benefit, e.g. the lactobacilli in the vagina produce
lactic acid which effectively prevents most other organisms
from becoming established and intestinal bacteria produce
some of the normal human daily intake of vitamin B complex.
Thus there is normally a balance between the various
parasites and also between these and their host. Breakdown in
this balance leads to infection.
Infection and Pathogenicity
Pathogens are organisms capable of causing infection, i.e. the

growth of microorganisms causing damage to the host.
Damage, however slight, is essential and the mere presence of
organisms does not constitute infection. Normally harmless
symbionts may be facultative pathogens and produce
1779
infections after injury or act as secondary invaders in the
wake of a primary infection.
Carriers carry and transmit pathogens but do not themselves
show any symptoms. The carrier state is common during
recovery from infection or due to subclinical (silent)
infection, but is usually only temporary, but persistent carriers
of Salmonella typhi, S. aureus and other organisms are
common.
Virulence is the degree of pathogenicity (nonpathogenic =
avirulent) and can be defined only in statistical terms, i.e.
virulence is the likelihood of producing a severe infection
rapidly. Although some organisms, such as Bacillus anthracis
and Clostridium tetani are always pathogenic, most show a
very variable ability to produce infection between strains, e.g.
Corynebacterium diphtheriae has three distinct strains
producing mild, moderate and severe infections. Apart from
strain variation, virulence also depends on the route of
infection, e.g. B. anthracis is characteristically a wound
pathogen but also produces a violent pneumonia if inhaled
and intestinal symptoms if ingested, whereas Salmonella typhi
produces infection only if ingested. Other important factors
are the invasiveness and toxigenicity of the pathogen and the
reaction of the host to infection.
Invasiveness
Invasiveness is the ability of a pathogen to invade and

penetrate the host tissues and has a number of components.
Aggressins are microbial substances which counter host
defences in various ways, e.g. by preventing leucocyte
chemotaxis (M. tuberculosis), by resisting phagocytosis (the
1780
capsules of B. anthracis and D. pneumoniae) and by
destroying phagocytes (S. aureus, streptococci).
Diffusion factors are enzymes which assist penetration into
tissue, e.g. the collagenases of various clostridia, the
hyaluronidases and kinases of streptococci and the coagulase
of staphylococci. However, the exact role of some of these in
the disease process is not clear.
Organ tropism is the selective attack of a pathogen on a
particular organ or tissue within that organ. Thus Neisseria
meningitidis invades the meninges of the brain to cause
meningitis and Bordetella pertussis attacks ciliated bronchial
mucosa, causing whooping cough.
All viruses show marked tissue tropism.
Toxigenicity
Many bacteria produce toxic substances and these fall into

two classes, the exotoxins which are proteins, many being
enzymes, and the endotoxins which are
lipopolysaccharide–protein complexes.
Exotoxins: The general properties of exotoxins are as follows:
they are usually liberated during active growth in media, and
mostly show specific tissue affinities. They are highly toxic
and antigenic, thermolabile and photolabile. On standing they
spontaneously form toxoids, nontoxic compounds with a
similar antigenic specificity. Table 33.13 lists a number of
diseases in which exotoxins are implicated.
Table 33.13 Some diseases in which bacterial exotoxins are

implicated
Disease Species Mode of action
1781
Diphtheria Corynebacterium Inhibits protein synthesis
diphtheriae giving muscular (cardiac)
paralysis*
Tetanus Clostridium Neurotoxin damages anterior
tetani horn cells and blocks
inhibitory synapses*
Botulism C. botulinum Neurotoxin blocks
acetylcholine release and
inhibitory synapses*
Gas C. perfringens Lecithinases† (give membrane
gangrene C. novyi damage) Neurotoxic proteases
C. septicum Collagenases†
Anthrax B. anthracis Two components
Plague Yersinia pestis Two components
Cholera Vibrio cholerae Promotes formation of cyclic
AMP from ATP+ causing
massive excretion of Na+, CI−
and H2O
Dysentery Shigella Affects CNS small blood
dysenteriae vessels, causing paralysis and
haemorrhage. Neurotoxic
Skin, S. aureus Leucocidal, haemolytic,
systemic, necrotic. enterotoxic§
enteritis
Skin, S. pyogenes Leucocidal, haemolytic,
systemic, erythrogenic
enteritis
1782
Wound, Ps. aeruginosa Necrotic proteases
systemic
*
Toxic effects account for all of the pathology of the disease.
+
Toxic effects account for some of the pathology of the
disease.
§
The toxins have an uncertain role in the pathology.
Endotoxins: These are components of the cell wall of all
Gram-negative pathogens. They are relatively thermostable,
are less potent than exotoxins, are relatively nonspecific and
do not form toxoids. The actual toxic component is the
phospholipids and its parenteral administration causes
inflammation shock and diarrhoea.
Also it is an indirect pyrogen, acting on the polymorphs to
cause the release of an endogenous pyrogen which affects the
thermoregulatory centre of the brain to cause fever. The
pharmacopoeias require water for injections to be free from
pyrogens (i.e. endotoxins) which, being nonvolatile, can be
removed by a distillation process.
Endotoxins also cause a fall in resistance to infection after
about 5 hours followed by an increase in resistance after
about 20 hours. Continual reinforcement of this resistance by
intestinal Gram-negative bacteria may contribute to human
resistance to infections by these organisms.
Other Mechanisms of Pathogenicity
Apart from toxicity the detailed mechanisms of pathogenicity

are little understood. They include mechanical lesions due to
necrosis, including· damage to vital organs, interference with
nutrition or metabolism of the host, e.g. impairment of
detoxification in the liver, and hypersensitivity reactions (see
p. 542).
1783
Host Defences Against Infection
The defences are of two types, constitutive and inducible.
Constitutive Defences
These are the inborn, normal defence mechanisms of the host

species and are present under a wide variety of environmental
conditions, though each species shows a different range of
susceptibility and resistance.
The initial barriers are the skin and mucous membranes
which physically exclude microorganisms and also secrete
antimicrobial compounds. Once microorganisms enter the
tissues the secondary barriers are provided by the circulatory
system and the phagocytes. The blood and lymph contain
antibacterial substances and also phagocytic cells
(neutrophils, monocytes, fixed macrophages) which ingest
foreign particles. Fixed macrophages are also present in the
liver, spleen and bone marrow. Wandering macrophages
(histiocytes) occur in connective tissue.
Inflammation is an extremely important basic mechanism of
resistance. It is characterized by local capillary dilation and
increased capillary permeability. This results in increased
blood flow through the site and local reddening, swelling and
temperature rise. There is also pain. Initially polymorphs, and
later monocytes, are able to pass through the capillary walls
and move to an infective focus by chemotaxis. The syndrome
is produced by a variety of irritants, not merely
microorganisms, which cause the release of histamine,
5-hydroxytryptamine, etc., from cells and platelets.
The results are phagocytosis of invading particles, an
increased flow of antimicrobial serum factors, release of
1784
cellular antimicrobial factors from dead tissue, reduced
oxygen tension and an increased concentration of lactic acid.
These collectively act to kill invading cells, the mass of dead
and moribund microorganisms, phagocytes and tissue cells
forming pus. Individual resistance is markedly affected by
age, e.g. newborn infants are especially susceptible to
gastroenteritis whereas old people are especially liable to
respiratory disease. The health of an individual may also be
crucial. The following factors increase susceptibility, often by
suppressing leukocyte activity: damaged skin and mucous
membranes, a diet deficient in vitamins A and C and protein,
excessive alcohol consumption, fatigue, breathing impure air,
radiotherapeutic or immunosuppressive treatments.
Inducible Defences: Acquired Immunity
Definition: The acquisition of means of eliminating foreign

substances, known as antigens, by the body. The response
may be humoral (i.e. due to the presence of circulatory
antibody (immunoglobulin, Ig), or cellular, i.e. due to the
action of sensitized lymphocytes.
Antigens are substances which, when introduced unaltered
into the tissues, stimulate the production of specific
neutralizing proteins (antibodies or immunoglobulins) or
cells.
To act as an antigen (Ag) a substance must be foreign to the
animal, colloidal (minimum molecular weight c. 5000) and
present within the tissues. The natural antigens are usually
proteins or conjugates of protein with polysaccharides, lipids
or both.
A single Ag may have a number of different determinant
groups, each about 5–10 amino acid residues in size, each of
1785
which will stimulate the production of a specific Ig. Some
compounds, such as nucleic acids and some bacterial lipids
and polysaccharides, will not stimulate the production of Ig
but will combine with homologous Ig which has already been
produced. These substances are partial antigens or haptens.
Immunoglobulins: There are five classes of Igs which are all
glycoproteins namely IgG* (gammaglobulin), IgM
(macroglobulin), IgA, IgD and IgE. These can be
distinguished on the basis of their physicochemical and other
properties (Table 33.14), but the different Igs within each
class can only be distinguished immunologically, by their
reaction with the specific stimulating Ag, and by the fact that
they themselves act as highly specific Ags in another species
of animal and stimulate the production of homologous Igs.
Table 33.14 Properties of the immunoglobulins
It is generally assumed that any Ag will elicit a homologous

Ig, so that an individual can produce upwards of 106 specific
Igs. The most likely current theory to account for this
1786
diversity is that of clonal selection, which states that the Ig
producing cells can undergo extensive random mutation to
give a large number of germ cells, each with the potentiality
of producing a different Ig. Contact with Ag stimulates the
germ cells capable of producing the homologous Ig to
reproduce and synthesize large amounts of that Ig.
The IgG molecule consists of two ‘light’ chains (mol. wt. c.
25,000) linked to two ‘heavy’ chains (mol. wt. c. 50,000) by a
number of disulphide bridges, the heavy chains also being
linked by disulphide bridges.
The N-terminal ends of both chains, consisting of about 110
amino acid residues in each is the variable portion which
confers the different specificities on the Igs and are the Ag
binding sites. The remainder of the molecules, one half of the
light chains (107 amino acids) and three quarters of the heavy
chains (3×107 amino acids), at the C-terminal ends are of
constant composition and are the same in all IgGs. The
molecule can be split by papain into three fragments, two
identical, noncrystallizable Ag-binding fragments, call Fab,
and a crystallizable fragment, Fc, which does not bind Ag but
binds complement. These features are illustrated in Fig.
33.47.
1787
Fig. 33.47 Diagrammatic representation of the structure of
IgG.
Immunoglobulin Production
Time course of production: The situation is shown in Fig.

33.48. Before contact with a particular Ag no homologous Ig
is detectable in the serum. At a first contact with Ag there is a
lag period of 5 days to a few weeks when Ig cannot be
detected, and the serum titre of Ig then rises to a low level and
falls. This is the primary response. If there is a second contact
with Ag at this stage there is no lag but a prompt and rapid
rise in Ig titre, to above the immunity level in the case of a
pathogen, thus conferring immunity (protection) against the
disease. Any subsequent contact with the same Ag will
produce a similar, prompt secondary response which is the
basis of immunity to disease. If very sensitive methods of
detection are used it can be seen that Ig production starts at
1788
the very first contact with Ag and that there is no real
difference between the primary and secondary responses.
Fig. 33.48 Time course of immunoglobin production and the

difference between active and passive immunity.
Site of immunoglobulin synthesis: The Igs are produced by

the plasma cells of the blood and lymphoid tissues since the
number of plasma cells increases after immunization, the Ig
titre is proportional to the number of the cells, Ig can be
shown to be present in the cells and isolated plasma cells
synthesize homologous Ig. Also, in patients suffering from
hypogammaglobulinaemia, an inability to produce significant
amounts of Ab, there is a deficiency of plasma cells and their
numbers do not increase after immunization.
What appears to happen (Fig. 33.49) is that the Ag is taken up
by the macrophages and other phagocytic cells which then
attract small lymphocytes to cluster round them. Cytoplasmic
bridges are formed between the macrophages and the
lymphocytes and RNA, or RNA plus bound Ag (‘activated
1789
Ag’) is transferred to the lymphocytes which are thus
stimulated to form immunoblasts. These divide rapidly and
differentiate, some to form short lived plasma cells which
actively produce Ig, but most forming first large lymphocytes
which mature into a clone of sensitized small lymphocytes
(‘memory cells’) which can respond rapidly to a further
contact with the same Ag by producing large amounts of Ig.
In this secondary response the macrophages are probably not
essential. Each plasma cell produces only one type of Ig.
Fig. 33.49 Hypothetical scheme for the differentiation of

small lymphocytes into immunoglobulin producing plasma
cells and into memory cells.
Immune Tolerance
Uptake of Ag will prevent an immune response if given in

low doses to a fetal or neonatal animal, to an adult treated
with X-or γ-radiation, immunosuppressant drugs and
1790
corticosteroids, or if given in raised doses to a normal adult.
Thus tolerance results from a very high concentration of Ag
relative to the number of plasma cells synthesizing
homologous Ab. The mechanism probably explains why
individuals do not normally synthesize Ig against their own
tissues.
Use of Immunological Products in Medicine
Active and passive immunity: The primary and secondary Ig

responses described above lead to active immunity in an
individual, i.e. the individual’s own tissues respond to
produce protective levels of Ig.
The stimulus may be natural, due to contact with an infective
agent or other Ag, or artificial, when antigenic preparations
(vaccines) are given to produce artificial active immunity.
The types of preparation used are given in Table 33.15.
Provided that the vaccine used has a suitable antigenic
content which is not impaired by the method of preparation,
the effect of immunization and of the natural infective agent
are similar giving a long lasting, highly effective immunity to
the agent. If, as often happens, the vaccine is not wholly
effective, booster doses can be given at intervals of 6months,
1 year or 5 years, as appropriate, to maintain a high level of
immunological reactivity in the patient.
Table 33.15 Types of antigenic material used to produce

artificial active immunity
Type of
antigenic Examples Comments
material
1791
Attenuated Naturally Usually a highly satisfactory
living occurring type of agent. The natural
organisms Brucella mode of infection is
strain 19, mimicked giving a
Yellow Fever high-grade, long-lasting
virus strain immunity, provided the
17D antigenic structure of the
Vaccinia material is satisfactory
virus
Artificiallv
produced
BeG (for
tuberculosis),
poliomyelitis,
rabies
Killed Bacterial Killing normally damages
microorganisms Typhoid, the antigenic structure, so
whooping only limited protection is
cholera produced
Viral
Influenza,
measles, foot
and mouth
disease,
canine
distemper
Toxoids Diptheria, Give very high grade, long
(detoxified tetanus lasting immunity
bacterial
exotoxins)
1792
Endotoxins Cholera The most satisfactory
material so far for this
disease
Unmodified Rubella Unmodified agents rarely
agents (German used. It is possible in this
measles) case because of the low
virulence and the benefits
arising from infection
The responsiveness of the patient may be increased by the
addition of one of a variety of adjuvants to the vaccine, such
as aluminium hydroxide or phosphates with toxoid
preparations and influenza vaccine emulsified with mineral
oil, though the latter has not been approved for human use.
The ability of pertussis vaccine to act as an adjuvant and
enhance the response to diphtheria vaccine is well known, so
these preparations are always administered together. Active
immunization is used solely as a prophylactic measure, except
in the case of rabies, where the disease has a very long
incubation period, and active immunization is the method of
choice for conferring immunity.
However, if a patient especially at risk has been exposed to
infection, or if a patient has an overwhelming infection which
does not respond to chemotherapy, passive immunization may
be used. This involves giving preformed Ab prepared from
the serum of other patients or of suitably immunized animals.
Although immunity so acquired is rapidly established, it is
short lived, with a half-life of about 7 days in humans, and
immunologically competent plasma cells are not produced, so
on a subsequent contact with the infective agent only a
primary response results. This situation is illustrated in Fig.
33.48. Passive immunity may also be acquired naturally in
humans by transfer of Igs from the mother’s blood across the
1793
placenta and possibly also via the breast milk. This natural
passive immunity protects the infant for the first few months
of life, the half life of the parental Igs being about 30 days.
The child then starts to produce its own Igs, normal adult
levels being attained by about 4 years of age.
Antigen–Antibody Reactions
The principal types of reaction are listed in Table 33.16.

Table 33.16 Principal types of antigen–antibody reaction
Most Igs are divalent though IgM is pentavalent. In contrast

most Ags are multivalent since each possesses a number of
the same or different antigenic determinants, to all of which
specific Igs may be produced. The reaction between the Ag
and the homologous antiserum results in the formation of a
complex lattice structure with some or all of. The Igs present
locking together molecules of Ag. If the antigen is cellular,
e.g. bacteria, foreign erythrocytes, there are a number of Ags
present, but the same basic mechanism still applies. Lattice
development continues until very large complexes which
precipitate are formed. The bonds between Ag and Ig may be
ionic, hydrogen bonds and, especially, hydrophobic bonds:
the more nonpolar the Ag the stronger the binding.
In addition to their importance as a mechanism of protection
the Ag/Ig reactions are invaluable for the identification of
1794
microorganisms, for the exact diagnosis of disease, for tracing
the source of an epidemic infection and, through the
techniques of radioimmunoassay, for assaying traces of
enzymes, drugs, etc., in tissue and fluid samples.
Precipitation and Flocculation
Both these processes result in the precipitation of Ag/Ig

complex as a visible precipitate, precipitation being maximal
and most rapid when the components are present in
equivalent concentration. An electrolyte must be present for
complete precipitation to occur.
Flocculation is a special term applied to the precipitation of
exotoxins and arose historically before the true nature of the
reaction was understood. Additionally, the first effect of the
reaction between exotoxin and the homologous antitoxin is
neutralization of toxicity. Fig. 33.50 illustrates the importance
of equivalence in flocculation.
Fig. 33.50 Flocculation of antitoxin. data of Pappenheimer, A.

M., Jr., Robinson, E. S. (1937) J. Immunol., 32, 291
1795
The quellung reaction is the capsular swelling which occurs
when an encapsulated bacterium is treated with homologous
antiserum, the capsule appearing much larger and more
clearly defined due to the precipitation and altered refractility.
Gel diffusion techniques (The Ouchterlony plate): The
original technique is illustrated in Fig. 33.51. Various Ag and
Ab preparations are placed in wells cut in a plate of plain agar
gel. The Ags and Abs diffuse towards each other and
precipitation bands occur between the wells if homology
exists. If identical Ags or Igs are present in two of the wells a
continuous symmetrical precipitation band results.
Fig. 33.51 Gel diffusion techniques for demonstrating

precipitation reactions. The Ouchterlony plate. (A)
Continuous symmetrical precipitation band, Ag1 and Ag2 are
the same; (B) Partial symmetry. Ag1 and Ag3 are related; (C)
Complete asymmetry, Ag1 and Ag4 are different.
Immunoelectrophoresis is an elegant variation of the original

technique and is illustrated in Fig. 33.52. In this, use is made
of electrophoresis to separate the components in a complex
mixture of Ags or Igs in serum. Following electrophoretic
separation the diffusion technique is used to give the
appropriate precipitation bonds.
1796
Fig. 33.52 Immunoelectrophoresis. (A) Before
electrophoresis; (B) After electrophoresis antigens are
separated and antiserum is placed in the trough; (C) Finally
precipitation occurs between homologous antigens and
antibodies.
Agglutination
Agglutination is the precipitation of clumps of cells (bacteria,

protozoa, erythrocytes, etc.) plus homologous Ig and, apart
from the fact that cellular Ags are involved, is basically
similar to precipitation.
The antigenic structure of the genus Salmonella has been
elucidated in great detail because of their importance as
agents of enteric fevers (typhoid, paratyphoid) and of food
poisoning. These bacteria have three types of Ag, flagellar
(H) and two types of somatic Ag, i.e. Ags associated with the
body of the cell. These are the O-Ags, which correspond to
the endotoxins, and the Vi-Ag, so called because of a
presumed association with virulence, which is more
1797
superficial than the O-Ags, thus masking them. Strains which
possess Vi-Ag are attacked with extreme specificity by
phages, which are thus very useful for typing Salmonella spp.
The resultant situation in the agglutination of Salmonella spp.
is outlined in Table 33.17.
Table 33.17 Some agglutinating antigens occurring in
Salmonella
1798
Lysis and Complement Fixation
Complement: C′ is a component of normal serum and consists

of a complex of 11 proteins, some enzymic (C′1 is an
esterase) and some being thermolabile, C′1 and C′2 being
1799
destroyed by heat at 56° for 5minutes, C′4 and C′5 being
inactivated after 30minutes at 56°. The various components
act in a complex sequence to cause a variety of
immunological reactions.
In lysis, C′ acts on the complex between erythrocytes or
Gram-negative bacteria and the homologous Ab (lysin) to
cause lysis of the cells.
Erythrocytes + lysin + C → haemolysis.
Gram-negative bacteria + lysin + C′
However, although C′ is bound (fixed) by Gram-positive

bacteria lysin complexes, these cells are not lysed, i.e.
Gram-positive bacteria + lysin + C′ → No lysis (but C′ is
fixed).
In all cases C′ binds to the C-terminal end of the Ig molecule
and this fixed C′ is not available for any other reaction.
Complement fixation is used as an indication of Ag/Ig
reactions, especially with viruses, one application being the
Wasserman test for syphilitic Ab which is applied to blood
products to ensure that the donor is not suffering from
syphilis. In this test, since it is difficult to cultivate and handle
the causal agent, Treponema pallidum, an artificial antigen
known as cardiolipin is used, prepared by extraction of heart
muscle and with lecithin and cholesterol added. The test is
carried out in two parts. In the first the patient’s serum, heated
to 56° to destroy C′, is mixed with cardiolipin and known
amount of C. No reaction is visible but if C has been fixed
this may be ascertained by using an indicator reaction
consisting of sheep erythrocytes and antisheep serum
prepared in rabbits and heated to destroy C. If C was fixed in
1800
the first reaction, no haemolysis of the sheep erythrocytes
occurs; if C was not fixed, haemolysis occurs, i.e. no
haemolysis is the positive reaction, haemolysis is the negative
reaction. This is shown diagrammatically in Table 33.18.
Table 33.18 Wasserman test
Immunofluorescence
This is an extremely valuable technique in which Ag is

conjugated with fluorescein or rhodamine B, so that Ag/Ig
complexes can be observed as brightly fluorescent under the
ultraviolet microscope. The technique is highly versatile and
can be used to identify microorganisms, to detect contaminant
yeasts in brewing, to observe the location of viruses in cells
and to detect particular pathogens in the presence of large
numbers of similar organisms, such as enteropathogenic E.
coli 0127 in faeces.
Immunity in Virus Diseases
It is well known that with many viruses a single attack causes

a lifelong, high-grade immunity, as in measles or smallpox,
while with other viruses, such as influenza or the common
cold, repeated infection is the rule. Good immunity results
1801
from antigenically stable viruses which come in contact with
Ab in the blood. Poor immunity occurs with highly unstable
viruses which throw lip variants so different antigenically that
a population immune to former strains is sensitive to the
variant, and when transmission is along the epithelial mucous
membranes so that there is little contact with high Ab titres.
A special immunity mechanism which is important in
recovery from viral infection is interferon. Interferons are low
molecular weight proteins (human, mol. wt. 26,000) produced
by the cells of the host in response to certain viral infections
and are host specific and not virus specific. Interferon acts on
other host cells to induce the synthesis of a protein which
inhibits the condensation of viral mRNA with host cell
ribosomes and so blocks the synthesis of new viral
components. Fig. 33.53 shows that interferon acts to reduce
the viral titre before sufficient Ab has been produced to affect
the course of an infection, though
the Ab is responsible for final recovery. There is hope that
artificially produced interferon can be used as a therapeutic
agent for some of the many virus infections for which no
effective control has yet been found.
1802
Fig. 33.53 Role of interferon in recovery from viral disease.
Undesirable Immunological Reactions
The immunity mechanism does not always have the beneficial

protective action described above, but may cause a range of
pathological effects. Sometimes this may be an abnormal
reaction to antigens, a condition known as hypersensitivity, or
antibodies may be produced against the body’s own tissues,
resulting in autoimmune disease of varying severity. Also, the
normal rejection of antigens may frustrate attempts at therapy,
as in blood transfusion and organ and tissue transplantation.
Hypersensitivity
Hypersensitivity includes the phenomenon of allergy. There

are two basic forms of reaction, immediate-type reactions are
1803
mediated by circulatory Ab, while delayed-type reactions are
mediated by sensitized lymphocytes or macrophages. The
terms, which are of historical origin, are confusing since not
all immediate-type reactions occur promptly and though
many do appear within minutes others evolve more slowly
over several days.
Immediate-type reactions: These are typical Ab responses and
require a primary induction with Ag. A second contact with
the Ag usually results in the appearance of symptoms within
minutes. The reaction is mediated by IgE (reaginic Ab) only,
which becomes bound to mast cells and platelets by the
C-terminal ends of the heavy chains, leaving the binding sites
free to react. The Ag/Ig reaction then occurs on the cell
surfaces, damaging the cell and causing the release of
histamine, 5-hydroxytryptamine, bradykinin and other
substances which produce a marked physiological response.
This reactivity can be passively transferred by the injection of
the Ab.
The clinical symptoms may be very varied, and depend on the
site of the reaction and the absolute and relative concentration
of the pharmacological mediators.
Generalized anaphylaxis is a major, transient (30–60minutes)
reaction involving collapse characterized by shock, capillary
leakage, bronchial constriction and angioneurotic oedema,
and it may prove fatal. It is a not an uncommon sequel to the
administration of viral vaccines or antisera, due to traces of
egg protein or horse serum in them, of drugs such as
penicillin and of intravenous X-ray contrast media. It can also
occur following insect bites or stings.
The intradermal injection or penetration of Ag may result in
cutaneous anaphylaxis and local or more widespread wheal
and flare reactions in the skin, while organ anaphylaxis is
characterized by smooth muscle spasm in a particular organ.
1804
Serum sickness is a syndrome characterized by fever,
headache, malaise, local inflammation and occasionally by
vomiting and diarrhoea and results from the administration of
vaccines or sera. On a first contact there may be no reaction,
or a reaction may appear after 7–14 days, when Abs have
been synthesized. On a second contact with the same Ag there
is an accelerated reaction, symptoms appearing in 3–4 days.
Idiosyncrasy (atopy) is sensitivity to Ags which are normally
encountered in daily life and this may be manifested as hay
fever, asthma, eczema and urticaria. Hay fever is
characterized by sneezing, a running nose and eye irritation
and is usually caused by inhalation of pollen, dust, etc., while
in asthma there is acute bronchial spasm of varying severity,
sometimes causing asphyxiation. The skin is the organ
affected in urticaria the symptoms being irritation, rash and
wheals, either localized or generalized, and in eczema.
Delayed-type reactions: These are usually induced by
prolonged contact with Ag, tuberculosis and contact
dermatitis being classic examples. A second contact with the
Ag causes a slow response with a peak reaction after 24–72
hours. The reaction, which is inflammatory in nature, is
mediated by sensitized lymphocytes and circulating Ab is not
involved, and the condition can be passively transferred by
circulating lymphocytes.
Typical examples are reactions to a variety of microbial
infections, e.g. tuberculosis, brucellosis, leprosy,
lymphogranuloma venereum, dermatomycosis, measles, and
reactions to many drugs. Drugs can also induce contact
dermatitis when applied to the skin, as can also many dyes, a
variety of plant exudates and many high atomic weight ions,
e.g. Hg, I, Ni, Co, Pt. Many of the inducing agents are not
antigenic but become attached to skin proteins or lipids,
induce a response and subsequently act as haptens.
1805
Treatment of hypersensitivity: A variety of treatments are in
use, with very variable benefit to the patient. Apart from a
few
agents giving symptomatic relief, such as adrenaline,
salbutamol and terbutaline, it is difficult to get drugs into the
sensitive organ in sufficient concentration without causing
unwanted side effects. Antihistamines are widely used for the
treatment of hay fever (allergic rhinitis) and urticaria and the
latter condition may also be relieved by corticosteroid lotions.
Corticosteroid aerosols or insufflations alleviate the
symptoms of allergic rhinitis and bronchial asthma, and avoid
the dangers of systemic corticosteroid therapy. However, the
drug of choice in bronchial asthma is disodium cromoglycate,
which has produced a revolution in the treatment of the
disease. It probably acts by blocking the release of
pharmacological mediators. The other main drug used is
adrenaline, the only effective treatment for generalized
anaphylaxis and angioneurotic oedema. Desensitizing
injections are used in the prophylaxis of allergic rhinitis and a
variety of food allergies, the techniques being to inject
initially very small doses of the Ag concerned at intervals,
alum precipitated pyridine extracts being most effective, and
gradually work up to large doses. The main effect is the
induction of large amounts of circulatory IgG which reacts
with any allergen to neutralize it before it can produce allergic
symptoms: the circulating Ab is known as blocking Ab.
Autoimmune Disease
An autoimmune disease is one that results from an immune

reaction to one’s own tissue components. These diseases are
now believed to be relatively common, though whether all
1806
such attributions are correct remains to be seen. There are
three basic mechanisms for the occurrence of the condition. A
well known mechanism is tissue damage releasing ‘secluded
Ag’ which does not usually come in contact with the blood
and so is regarded as foreign by the body. This occurs with
the lens and fluids of the eye, damage to one eye sometimes
leading to loss of both eyes due to allergic ophthalmitis, with
spermatozoa, leading to sterility, and to various thyroid gland
components, resulting in Hashimoto’s disease, primary
myxoedema and thyrotoxicosis.
Autoimmune disease can also occur as a sequel to a variety of
infectious diseases. Hepatotropic virus may leave a condition
of chronic allergic hepatitis, while neurotropic viruses may
cause death due to demyelinating encephalitis, in which the
myelin sheath of nerve fibres is destroyed. The commonest
bacterial origin of autoimmune disease is streptococcal
infection, which frequently results in rheumatic fever, in
which there is a reaction to cardiac tissue, especially the heart
valves, and in acute glomerulonephritis, in which there is
autoimmune destruction of the glomerular basement
membrane. Probably several mechanisms are responsible for
such phenomena, the infective agent may damage tissues to
release sequestered Ag, microbial components may attach to
certain body cells to create ‘foreign’ Ag or there may be a
cross reaction between certain tissues and some microbial Ag.
A third mechanism is a genuine breakdown of self-tolerance,
though the reason for this is unknown. Autoimmune diseases
believed to come in this latter class are acquired haemolytic
anaemia, idiopathic thrombocytopenic purpura (excessive
platelet destruction), leucopenia, some forms of pernicious
anaemia, rheumatoid arthritis, disseminated lupus
erythematosus (destruction of leucocyte nuclei), primary
thyroiditis, idiopathic Addison’s disease, ulcerative colitis and
1807
male sterility. However, the first three of these diseases can
be induced by drugs and it is possible that some form of
external agency is involved in the others.
Blood Group Antigens
These are isoantigens which are present in some individuals

of a species but not in others. There are ten major systems of
blood group Ags, involving about 60 different antigen types
which are important in forensic medicine, but only two are of
major interest in blood transfusion. The first of these is the
ABO system in which the red cells may have one of two
mucopolysaccharide isoantigens, or none, and the serum
contains IgM isoantibodies to the isoantigen which is absent
from the red cells. Thus there are four basic groups as
follows:
The Rh system is complex but basically about 85 per cent of
the population of Western Europe are Rh+ and 15 per cent
Rh–. Antibodies to Rh Ags do not occur naturally but are
induced during pregnancy or by blood transfusion. If a
pregnant mother is Rh– and the father is Rh+, the child will
be Rh+ and the mother will develop Abs against the fetal
erythrocytes. In a first pregnancy this is often unimportant but
in subsequent pregnancies the fetus develops ‘haemolytic
disease of the newborn’ (erythroblastosis fetalis) and usually
aborts unless intrauterine total blood replacement is possible.
If the fetus is carried to full term, neonatal blood replacement
is usually essential for survival. A similar situation can also
arise with the ABO system (Table 33.19).
Table 33.19 Types of blood groups and their antibodies in
serum
1808
In blood transfusion the patient’s blood is cross matched with
the donor blood to get a correct match for both ABO and Rh
systems. If blood of the same group is not available then
Group O, Rh– may be used as an emergency procedure.
Blood transfusion is successful since most erythrocyte Ags
are only feebly antigenic, whole blood or erythrocytes are not
often transferred and careful attention is paid to matching and
to any previous history of transfusion.
Transplantation Immunity
Grafts of tissues or organs are used extensively for the repair

and replacement of damaged or diseased tissues. Autografts,
taken from one area of the body and grafted onto another area
of the same individual, as in skin replacement, take perfectly
unless the technique is inadequate. Isografts, between
identical twins, also take very well. However, the usual type
of graft is an allografts, in which an organ or tissue is taken
from another individual of the same species as the recipient.
In such cases there is a delayed hypersensitivity reaction and
the graft is rejected. The greater
the genetic differences between donor and recipient, the more
rapid the rejection. True tolerance of an allograft results from
the occurrence of certain ‘privileged’ sites, primarily the
cornea, but the normal practice is to use careful tissue typing
to ensure as good a match as possible between the two types
of tissue, together with immunosuppressive treatment.
1809
Immunosuppression
There are numerous methods of preventing the immune

response. Lympholytic agents, such as cyclophosphamide and
busulphan, destroy lymphocytes and are used in the very early
stages, whereas in the inductive phase (immunoblast
formation) antimetabolites are used. Most of the latter are
purine or pyrimidine analogues and are too toxic for general
use, although one purine analogue, azathioprine, is widely
used, as is the folic acid antagonist, amethopterin. The
antibiotics actinomycin D, which prevents RNA synthesis on
a DNA template, and chloramphenicol, which blocks protein
synthesis, have also been used. Other techniques are to give
large doses of II-oxycorticosteroids, to give a substantial
radiation dose to damage the small lymphocytes, or to use
antilymphocytic serum.
There are major difficulties with all these techniques since
many of the agents used are relatively toxic and there are
important side effects, such as the effect of corticosteroids on
electrolyte metabolism. Also, as a direct result of the
suppression of the immune response the patient has a
markedly increased susceptibility to infection and requires
highly skilled nursing and elaborate facilities for the
exclusion of potential pathogens. Normally, a combination of
treatments is used to take advantage of the additive effects
while reducing considerably the dosage for any one form of
treatment.
1810
Epidemiology
Some Definitions
Prevalence: The total number of cases in an area.

Incidence: The number of new cases occurring.
Vector: An animal or other carrier of disease. A typical
example is the transmission of plague from rats to humans by
fleas, rats providing the reservoir of disease and fleas being
the vectors.
Endemic: A disease is said to be endemic when it is
constantly present in a particular area, giving a steady
incidence of low grade infection.
Epidemic: An epidemic disease is characterized by the
occurrence within an area or community of an unusually high
incidence of infection. An epidemic may occur when a
virulent parasite is imported into the community, when
carriers are present with easy routes of transmission of the
disease, when sanitation breaks down, e.g. after floods or an
earthquake, if a parasite mutates to virulence and when the
proportion of susceptibles in the population is high. That the
last factor may be crucial has been shown for many diseases,
e.g. with diphtheria the effect of immunization improves
markedly when the proportion of susceptibles falls below 50
per cent.
An endemic disease may epidemic in another area, e.g.
smallpox, cholera and typhoid are endemic in India and
Pakistan but the outbreak of a few cases is regarded as an
epidemic in the UK.
Pandemic: This is the world-wide spread of epidemic disease.
The prime example is influenza, for which the prevalence in
1811
the 1957/58 epidemic is believed to be about 80×106 and only
some Pacific islands were unaffected.
Factors Influencing the Spread of Disease
Until 1850 there was little that could be done to prevent the
spread of disease in a community, but the introduction of
sewage systems, better nutrition, education and sanitation
produced a marked improvement in the position; then
vaccines and sera, and, finally, the introduction of antibiotics
and chemosynthetic antimicrobial agents brought a substantial
improvement. There are three groups of factors involved.
Natural factors, such as the virulence of the organism, the
susceptibility of the population and the presence of suitable
vectors and reservoirs of infection.
Social factors, including the quality of nutrition, sanitation
and education, especially health and hygiene education, the
existence of fast, simple means of travel and the extent to
which quarantine and regulations concerning the
immunization of travellers are enforced.
These are possibly the most important factors in reducing the
prevalence of disease in a population.
Technical factors, primarily medical procedures which can be
used to prevent the spread of disease, including immunization
and the use of antibiotics, chemotherapeutic agents and
biocides.
However, the extent to which antimicrobials modify the
situation is doubtful, since suppression of the normal flora
may permit resistant strains or secondary infections to occur.
1812
Some Potentially Epidemic Diseases
Poliomyelitis: This is caused by a small picornavirus, 27nm in

diameter and with icosahedral symmetry. The D-Ag, which
corresponds to whole infective virus particles, is unstable
chemically and occurs in three serological types, known as 1,
2 and 3; type 1 virus causes most clinical infections.
The disease occurs in four clinical forms. Subclinical (silent)
infection causes no overt symptoms, though its occurrence is
known from antibody surveys. Abortive poliomyelitis is a
mild febrile illness and is unlikely to be diagnosed as
poliomyelitis. Nonparalytic disease is a febrile illness but
characterized by stiffness and pain in the back and neck. The
disease lasts from 2–10 days and there is usually complete
recovery. In all the above types of infection the virus remains
confined to lymphatic tissue (Peyer’s patches, lymph nodes)
and the blood, with little neural involvement, but in severe
infections invasion of the CNS causes paralytic poliomyelitis.
This form starts with the typical symptoms of nonparalytic
disease which subside after 3–5 days to be followed after a
further 2–3 days by paralytic symptoms, i.e. a flaccid
paralysis, incoordination, painful spasm of unparalysed
muscle, and, sometimes, respiratory and cardiac failure.
Symptoms occur in only 1 per cent of all cases and only a
fraction of those show paralytic symptoms. Paralysis may be
provoked by any sort of trauma which occurs during the
incubation and early stages of the disease, so care must be
taken over energetic exercise, tonsillectomy and injections.
Most notably ‘provocation poliomyelitis’ may be induced by
prophylactics containing alum (e.g. diphtheria and tetanus
vaccines).
1813
The disease was known as infantile paralysis in the 19th
century and is still an endemic disease of children in the less
developed countries with a low level of nutrition and
sanitation. In one North African city 50 per cent of children
were immune (i.e. had been infected) by 14months of age and
100 per cent were immune at 5 years, an effect which is
beneficial in that community. The pattern was similar in
Western Europe and North America in the 19th century and
serological surveys indicate that 86 per cent of children in the
UK were immune by the age of 5 and paralytic disease was
common. However, in the 1948 epidemic the main incidence
was at 12–14 years and in the 1957 epidemic more than 35
per cent of cases were over 15 years of age. This arises from
the high standards of hygiene and nutrition and highly
protective child rearing so that there is a basically non
immune adult population. The result is an epidemic form of
the disease rather than the endemic form.
The scale of the UK epidemic in 1957 is typical, with an
incidence of about 10,000/106 of the population with deaths
at about 750/106. The occurrence and severity of epidemics
has declined markedly since the introduction of the killed
vaccine in 1956 and the living attenuated virus vaccine in
1962, so that poliomyelitis is no longer an important disease
in highly developed countries.
Influenza: The influenza virus is predominantly a roughly
spherical, easily deformed virus about 70nm in diameter with
an outer membrane about 8nm thick and an inner helical
nucleocapsid containing single-stranded RNA. The surface
bears numerous 10nm projections of glycoprotein which are
the sites of the neuraminidase, the enzyme which aids
attachment of virus and which produces haemagglutination.
The disease spreads by droplet infection and after 1–2 days
causes a severe respiratory infection which is normally
1814
self-limiting in about 3–7 days, some 10 per cent of cases
having limited lobar consolidation. If death occurs it is due
usually to secondary bacterial bronchopneumonia.
There are three antigenic types, known as A, B and C, which
are determined by the core, and about 20 antigenic
determinants associated with the surface macromolecules, so
that there can be, for example, a basically Type A virus with
several different subtypes. Most epidemics are associated
with Type A, of which epidemics occur at about 3-year
intervals, Type B virus causing sporadic, localized outbreaks,
while Type C is epidemiologically unimportant.
In the UK only occasional mild epidemics occurred up to
1890, probably mostly due to Type A2. The first severe
recorded epidemic occurred in 1890 (Type A) and caused
some 500 deaths/106. Subsequently the prevalence increased
markedly, with about 4 epidemic peaks per decade. In 1918
and 1919 there was a major pandemic (Type A, 3129 deaths/
106) largely affecting women and children, the cause for this
being ascribed to poor nutrition during the war. Subsequently
the mortality in epidemics declined to about 250/106 and
remained roughly at the same level until 1947, when Type A1
appeared to be succeeded by the Asian Type (A2). Although
Type A2 persists there was a marked change in antigenic
structure in 1964.
Vaccination with the killed saline vaccine is of doubtful value
in view of the variability of the virus, the occurrence of
hypersensitivity reactions and the short lived nature of the
immunity. An attenuated living virus vaccine is used in the
USSR and seems promising but is not used in the UK, and
purified viral protein and vaccines prepared with mineral oil
adjuvants also seem to be promising but are not generally
available. Antamidine HCl prevents the penetration of A2 into
1815
cells and provides a possibility for chemotherapy if given
early enough.
Cholera: The causative agent, Vibrio cholerae, is a curved or
straight Gram-negative facultative anaerobic bacterium with a
single polar flagellum. Under natural conditions it is
exclusively a human pathogen. The disease has an incubation
period of 2–5 days; the toxin produced then affects the
intestinal epithelium and promotes the formation of cyclic
adenosine monophosphate with a resultant fall in the level of
available, energy providing, ATP. This causes a massive loss
of sodium and water into the bowel and up to 12 litres/day
may be lost with consequent dehydration, anuria,
haemoconcentration, acidosis toxaemia and shock. The
severity of symptoms varies widely and in severe cases death
may result in 12 hours from the onset of symptoms, although
if it is possible to give adequate fluid replacement it is usually
possible to prevent death. The natural fatality rate is 25–50
per cent.
The disease is frequently water borne, as was first shown by
the London physician Snow in 1854, but may also be spread
by contaminated food, by flies and by direct contact. Chronic
carriers do not occur but patients who recover are infective
for 3–4 weeks. Since the organism is noninvasive and remains
confined to the gastrointestinal tract, infection followed by
recovery gives only a limited immunity whereas the vaccine,
prepared from whole cells or a lipopolysaccharide fraction,
gives significant protection. There are four principal strains,
El Tor originated in the Arabian peninsular, Inaba occurs
mostly in Japan, Ogawa is characteristic of the Indian
subcontinent and Hikojima is primarily Chinese. The strain at
present causing concern is a modified El Tor which arose in
the Celebes Islands in 1961. Since then it has spread steadily:
1962, Borneo; 1963, Malaya and IndoChina, southeastern
1816
China, Korea; 1964, Assam; 1965/1966, India and the whole
of southwest Asia; 1970, the Middle East, southwestern
Russia, Arabia and central and eastern North Africa; 1971,
the whole of North Africa and Spain. In 1973 there was a
minor epidemic in Italy, with about 10 reported deaths and
although it is doubtful that there could be anything other than
sporadic cases in western and northern Europe, including the
UK, because of the high standards of hygiene, the speed of
modern travel means that an infected person may travel home
and be in contact with his local community long before overt
symptoms arise. Clearly, the utmost vigilance is necessary.
Antimicrobial Agents: Modes of Action and

Resistance
Numerous modes of action have been proposed for various

compounds, but they have been elucidated completely for
only a limited number, notably some antibiotics, for example,
the nature of the cellular lesion in the case of phenol is still
not known certainly after some 100 years of use.
Substances Affecting Metabolism
General poisons: These are mostly highly reactive

compounds which cause widespread damage to the cell, e.g.
azide and cyanide bind with the iron of cytochromes and
prevent oxidative phosphorylation while dinitrophenol is an
uncoupling agent and prevents oxidative phosphorylation
without stopping fermentation. Other compounds in this class
are halogens, especially hypochlorites, formaldehyde,
hydrogen peroxide and alkylating agents.
1817
Substances disrupting membranes: Since biological
membranes contain lipids, the membrane structure can be
damaged by hydrophobic compounds, lipid solvents and
surfactants. Typical agents in this group are acetone, ether,
toluene, the quaternary ammonium biocides, e.g. cetrimide
and domiphen bromide, and probably phenols and related
compounds.
Chemical mutagens: These modify the DNA structure
chemically. Since most mutations are lethal the modifications
usually result in death, after allowing a period for cell
division to occur. Mutagens in this class are the alkylating
agents, such as nitrogen mustard, and nitrous acid.
Metabolite analogues: These are compounds which are
structurally similar to natural metabolites and either displace
the natural compound from the active site of an enzyme or
mask the active site, or are incorporated in place of the natural
metabolite to give a nonfunctional final product. Examples of
the first type are the sulphonamides, which antagonize
p-amino-benzoic acid, and of the second type are
5-bromouracil and 5-fluorouracil which antagonize thymine
and uracil, respectively.
Agents affecting cell wall synthesis: The first agent of this
kind was penicillin and all the penicillins act in this way, as
do some of the chemically related cephalosporins. Other
antibiotics in this class are bacitracin, cycloserine and
vancomycin. Gentian violet affects wall synthesis but it is not
known whether this is its primary site of action, since it has
more general effects also. These drugs are effective
chemotherapeutic agents because mucopeptide is found only
in bacteria so that the drug has no action in humans. The
principal effect of the drug in the animal host is to act as an
allergen.
1818
Agents affecting cell membranes: Membrane damage is
usually inferred when leakage of cell contents occurs, a
condition produced in bacteria by polymyxin and novobiocin.
The precise mechanism of attack is not known, though in
some cases there is good evidence that permeability to K+ is
increased. Fungal cell membranes contain sterols (virtually
absent from bacteria) so only the former are damaged by
nystatin and amphotericin, which are inactive against
bacteria.
Agents affecting nucleic acid function: Some compounds with
this type of activity have been mentioned already as chemical
mutagens. A more subtle effect is caused by the acriflavine
dyes, which appear to function as intercalating agents. The
structure of these enables them to fit into a groove in the
DNA helix and bond to adjacent purine and pyrimidine bases.
The DNA is thus distorted producing mutations which are
lethal to the cell. Mitomycin C cross links the two strands of
the DNA helix and so prevents uncoiling and therefore
replication of the DNA. Another type of action is shown by
actinomycin, which binds to DNA and prevents mRNA
synthesis.
Agents affecting protein synthesis: Any substance affecting
DNA function will eventually affect protein synthesis.
However, many antibiotics affect protein synthesis directly,
often exerting the action at ribosomal level. Since bacterial
ribosomes are smaller than host ribosomes (70S and 80S,
respectively) this means that effective chemotherapeutic
agents are possible. Streptomycin, neomycin and kanamycin
are related chemically and act by combining with the 30S
subunit of the ribosomes to cause misreading of mRNA,
resulting in inactive proteins. A different mode of action is
shown by chloramphenicol and the tetracyclines, which
inhibit different steps in the peptide chain elongation.
1819
Puromycin is actually a structural analogue of
aminoacyl-tRNA and so blocks the binding of tRNA to the
ribosome and prevents protein chain elongation.
Drug Resistance in Bacteria
Biochemical Mechanisms
Decreased penetration of the drug: This was the first type of

drug resistance observed, when it was observed that the
resistance of trypanosomes to arsenicals increased during
treatment. The uptake ratio (resistant/susceptible) may be as
high as 500. With amino acid analogues resistance is due to
blockage of the transport system, so that the cell becomes
exacting for the natural metabolite. Differences in
permeability between Gram-positive and Gram-negative cells
may be a reflection of wall differences, as in the case of
actinomycin which is stopped by the Gram-negative cell wall
but not by the Gram-positive wall. This mechanism is also
relevant in the resistance of some organisms to
chloramphenicol, fucidin, streptomycin and tetracyclines.
Enzymic destruction of the drug: The most familiar example
of this type of resistance is the induction of a β-lactamase
which destroys many penicillins. In fact the cells are
inherently sensitive, so small populations are sensitive to
penicillin but large populations, which rapidly produce large
amounts of β-lactamase are resistant. Similar mechanisms are
involved in the resistance of some organisms to
chloramphenicol, dihydrostreptomycin, kanamycin and
mitomycin C.
Increased production of natural metabolite or enzyme: The
resistance of staphylococci, streptococci, gonococci and E.
1820
coli to sulphonamides is due to increased p-aminobenzoic
acid (PAB) synthesis. Since the sulphonamides competitively
inhibit PAB, increasing the amount of PAB displaces the
sulphonamide from the enzyme. In S. aureus there may also
be more efficient
conversion of PAB into folic acid. It is important to note that
more than one mechanism may operate simultaneously in the
same organism.
Increased enzyme production is found in cells showing
resistance to psicofuranine (enzyme, xanthine 5′-phosphate
aminase), d-cycloserine (alanine racemase) and
2-thiazolealanine (histidine enzymes).
Production of enzyme or organelle with decreased affinity for
the drug: A resistant enzyme with decreased sulphonamide
affinity, dihydropteroate reductase, is concerned in
sulphonamide resistance. Altered ribosomal configuration is
often the basis of resistance, and reduced binding to the 50S
subunit occurs in erythromycin and tetracycline resistance,
while reduced binding to the 30S subunit results in resistance
to kanamycin A, neomycin C and streptomycin. In the case of
streptomycin another modification of the 30S subunit can
cause streptomycin dependence in organisms which are
normally sensitive or resistant.
Reduction or loss of enzyme activity: Purine or pyrimidine
analogues must be converted, first into nucleotides and then
nucleic acids before they can exert their activity. Resistance
to the analogues 6-mercaptopurine and 8-azaguanine results
from loss of the corresponding phosphorylases, though the
cells then become exacting for the corresponding nucleotides.
Other mechanisms: The following occur infrequently: the
synthesis of an enzyme with decreased affinity for an
antimetabolite relative to the natural metabolite, as in the
p-fluorophenylalanine/alanine system; development of
1821
alternative metabolic pathways to bypass the normal pathway
(tetracyclines); and decreased requirement for a metabolite
(antagonists of folic acid precursors).
This last mechanism is the reason why sulphonamides and
trimethoprim can be used therapeutically since a sensitive
pathogen synthesizes its own folic acid from precursors and is
inhibited by these compounds, whereas man requires
preformed folic acid and so is not affected by agents
preventing its synthesis.
Genetic Basis of Drug Resistance
The basis of drug resistance, no matter what the biochemical

mechanism involved, is the presence of appropriate genes.
There are three ways in which the appropriate genes may be
acquired.
Mutation involves the modification of an existing gene. There
is no evidence that this occurs during treatment to an extent to
make it important in the emergence of drug resistance.
Transformation involves the leakage of soluble DNA from a
naturally resistant organism and absorption of the DNA by a
sensitive organism which then incorporates the resistance
genes from the donor cell into its own DNA. This is a well
established phenomenon in the laboratory and probably
provides one way of spreading resistance in a bacterial
population.
Transduction is the carrying of resistance factors from a
donor to a number of recipients by phage. Many bacteria are
lysogenic and carry prophage either incorporated in their
chromosome or attached to the cell membrane. Induction of
the prophage often results in the released phages carrying a
variable amount of host bacterial DNA to new hosts which
1822
they infect. This is known to be an important mechanism for
spreading resistance.
Conjugation is probably the most important mechanism of all.
Many enteric bacteria have sex pili, there being ‘male’ and
‘female’ cells. Similarly, some bacteria have a resistance
transfer factor (RTF) which promotes transfer of resistance
(R) factors from a donor to a recipient cell, following
attachment by a pilus. This pilus shrinks to form a
cytoplasmic bridge between the two cells, through which the
R-factors pass to the recipient cell, which then incorporates
these R-factors into its own DNA and becomes resistant.
Reproduction of the newly resistant recipient results in
daughter cells each of which carries the R genes. In some
species, e.g. Proteus mirabilis, the resistance factors can be
replicated to produce as many as 30 sets of resistance genes
within the cell. Further, R-factor transfer can occur between
different bacterial genera, e.g. transfer from Klebsiella to
Pseudomonas is known to have occurred in the course of the
prolonged antibiotic treatment of burn patients.
The R-factors are one form of plasmid, an extrachromosomal
inheritance factor which may be attached to the cell
membrane or become incorporated in the chromosome.
Plasmids often carry resistance to a number of drugs
simultaneously, so that recipients become multiply resistant in
a single step.
The Clinical Problem
Although conjugation is known to occur during antibiotic

therapy to cause the emergence of resistant populations, the
principal source of resistant cells is the small proportion of
naturally resistant organisms, perhaps 1/108 of the initial
1823
population. Antibiotic therapy exerts a selective pressure, the
sensitive population is inhibited and the resistant cells can
grow to become dominant. Fortunately, the resistant cells are
usually less well adapted to their environment so that if
treatment is stopped and the selective pressure is removed, the
population frequently reverts slowly to its original state.
However, resistance of tell persists so that the majority of S.
aureus now encountered in hospitals are penicillin resistant.
As each new drug is introduced, resistant bacteria are found
after a short while, and there is no reason to expect any
different pattern in the future. The inference is clear:
antibiotics should be used only for conditions where the
clinical picture or laboratory tests indicate clearly that the
drug will be beneficial. The routine use of broad spectrum
antibiotics either prophylactically or for trivial conditions is
highly undesirable and there should be a rational use of
antibiotics. Rotation in use may help to reduce the emergence
of resistant strains to a minimum.
Identification of Microorganisms
Several different approaches to the identification of

microorganisms have been used and they depend on criteria
which have been found to be reasonably simple and reliable
in practice.
It must be stressed that the aims of identification and
taxonomy are very different. Identification aims at
determining the place of an organism in an existing
taxonomic framework so that an appropriate name can be
given to it which all other workers will recognize and which
informs as to its principal characters and previously published
work. In clinical work, it may be necessary to do this very
1824
rapidly with as few tests as possible so that the causal agent of
a disease can be recognized and appropriate treatment
instituted immediately. Taxonomy aims to place all organisms
into their correct position with regard to all other organisms,
in a genus, family or tribe. For this, speed is of no
consequence and the completeness of information and the
logic of the taxonomic system are paramount. Thus,
taxonomy is a specialist study, whereas identification is
something which all bacteriologists have to do at some time.
Eukaryotic Microorganisms
These are identified primarily on morphological criteria,

biochemical characters being used usually only to identify
subspecies or species, though with fungi the composition of
the cell wall is an important character.
Viruses
The main characteristics, which have already been indicated

(Table 33.9), are as follows:
1. The type of nucleic acid and whether single stranded or
double stranded.
2. The capsid morphology, whether helical, icosahedral or
more complex, if naked or enveloped (lipid membrane) and
the number of capsomers.
3. Size.
4. Susceptibility to inactivation by various agents.
5. Whether replicated in the nucleus or cytoplasm
(inapplicable to phage).
1825
6. Secondary criteria include the host range, specificity to
particular organs or tissues, the mode of transmission and the
immunological characters.
Bacteria
Prokaryotic microorganisms show such a restricted

morphological range that only gross features such as coccus
or bacillus are used. There are numerous keys to bacterial
identification, the best available at present for bacteria of
medical interest is that of Cowan and Steel (1974). Their (first
stage) approach is to determine the Gram reaction and then to
observe the results of a limited series of morphological tests
and biochemical reactions which enable a worker to assign
the bacterium to a single genus or to two possible genera (Fig.
33.54). For the second stage, the worker is referred to an
appropriate table in which the individual species are identified
primarily by a series of biochemical tests; involving such
things as sugar fermentations, the production of indole and
H2S, the presence of urease, gelatinase, amylase, urease, etc.
1826
Fig. 33.54 Typical tables for identification of the common
medical bacteria using the system of Cowan and Steel (1974).
Unfortunately, Cowan and Steel set out with the limited

objective of including bacteria of medical importance or
bacteria likely to be encountered by medical bacteriologists.
Within this context it functions excellently, though it
1827
necessarily excludes many bacteria of industrial importance.
No satisfactory key exists for the latter, though Skerman
(1959) has a key based on Bergey’s Manual, 7th ed. (1957).
For many groups, Bergey’s Manual is unsatisfactory, though
it is hoped that some, at least of the problems will be
elucidated in the eighth edition, publication of which is
expected shortly. Further, it is becoming increasingly difficult
to define a genus or species since DNA can be transferred
between species and genera, for example resistance factors
between Klebsiella and Pseudomonas.
To solve some of these problems many taxonomists have
resorted to simple forms of genetic analysis, e.g. the
percentage of guanine and cytosine in the DNA (the G–C
ratio), the ability of single-stranded DNA from two organisms
to hybridize or of hybridization between the DNA and
mRNA. Such experiments are difficult and are little used at
present for identification, though they are of great value for
the taxonomist.
References
Coffin JM, Hughes SH, Varmus HE. Retroviruses. New

York: Cold Spring Harbor Laboratory Press Harbor.; 1997.
Swanstrom R, Parker RC, Varmus HE, Bishop JM. Proc.
Natl. Acad. Sci. 1983;80:2519.
Coffin JM. Retroviridae and their replication. In: Fields BN,
ed., et al. Virology. New York: Raven Press; 1996.
* A, adenylic acid; G, guanylic acid; T, thymidylic acid; C,
cytidylic acid; U, uridylic acid.
* An alternative terminology replaces Ig with γ, giving γ G, γ

M, etc.
1828
Chapter 34
Disinfection
Definitions and Terminology

Much confusion exists in the terminology applied to
disinfectant action. The following definitions (marked*) are
based on the British Disinfectant Manufacturers’ Association
list of agreed definitions (1970):
*Bactericide—a chemical agent capable of killing bacteria,
but not necessarily bacterial spores.
*Bacteriostat—a chemical agent capable of preventing the
growth of bacteria but not of killing them. Reproduction and
multiplication are prevented.
*Fungicide—a chemical agent capable of killing fungi,
including their spores.
Fungistat—a chemical agent which prevents fungal
proliferation.
Germicide—usually applied to an agent which kills all
microorganisms.
Virucide—an agent that kills viruses.
Sporicide—an agent that kills spores.
Algicide—an agent that kills algae.
Antibiotic—a term suggested by Waksman (1942) for
antibacterial substances produced by moulds and bacteria, e.g.
penicillin, streptomycin, oxytetracycline, etc.
*Disinfection—the destruction of microorganisms, but not
usually bacterial spores: not necessarily killing all
microorganisms but reducing them to a level not harmful to
1829
health. This term is applied commercially to treatment of
inanimate objects and materials, although in some literature
disinfection is analagous to bactericidal action on skin and
living tissues.
The term disinfectant usually implies a substance with
bactericidal action. Sanitization is a term which appears in
much American literature and implies disinfection combined
with a cleansing process.
*Antisepsis— the destruction of microorganisms, but not
bacterial spores on living tissues, not necessarily killing all
microorganisms but reducing them to a level not normally
harmful to health. The action of an antiseptic should be lethal
to microorganisms, not, as implied in some literature, static.
Many substances can act both as lethal agents and static
agents, depending on their concentration, the time of contact
and the temperature of the reaction. If graphs are plotted of
log viable counts against time (see Fig. 34.1), the three main
situations—growth (A), bacteriostasis (B) and bactericidal
action (C)—are shown.
1830
Fig. 34.1 Growth, bacteriostatic and bactericidal effects on
bacteria. (A) Bacteria inoculated into nutrient medium.
Normal initial stages of growth curve shown; (B)
Bacteriostatic environment viable, population remains
constant, but falls after prolonged time; (C) Bactericidal
environment. Sigmoid death curve often shown.
Disinfection implies elimination of infection, but not

necessarily a complete killing effect.
1831
Disinfectants
Disinfectants have been used empirically from the time of the
ancient Egyptians. They used antibacterial oils, spices and
balsams in the embalming of bodies. Alcock, in 1827, in the
Lancet referred to the use of chlorine compounds as powerful,
disinfecting agents. During the first half of the nineteenth
century compounds employed as disinfectants included
chlorine gas, silver nitrate (the antibacterial properties of
silver and copper had been used by the Persians and Romans),
phenol, zinc compounds and iodine. Semmel weiss, in Vienna
in 1861, used a solution of chlorinated lime for hand
disinfection, and this produced a marked fall in the incidence
of puerperal infection in his hospital. Pasteur showed that
putrefaction was due to microorganisms, and following the
work of Lister in 1865 onwards, disinfection was put on a
rational basis, and antiseptic surgery started. Koch (1881)
tested the action of different disinfectants on pure cultures.
Many disinfectants are often described as ‘general
disinfectants’. The term is a misnomer as it is impossible to
prepare a disinfectant that will serve best for such different
purposes as disinfecting sinks, drains, linen, intact and broken
skin, mucous surfaces, body cavities, etc. An ideal
disinfectant would have the following properties:
• High potency under the conditions of use.
• Ready solubility in, or miscibility with, water at effective
antimicrobial concentration. Noncaustic with a low degree of
toxicity and without harmful or sensitizing effects on delicate
tissues.
• No deleterious effect on linen and metals. Complete
compatibility with other antimicrobial agents being used and
with other components of the disinfectant formulation.
1832
• Stable on storage. Often long-term stability over a wide
range of temperature may be required.
• Reasonably cheap.
• No offensive odour, taste (oral disinfectants) or colour.
No ideal disinfectant exists.
The disinfectants used at present can be conveniently divided

into 10main groups:
1. Phenols
2. Alcohols
3. Aldehydes
4 Dyes
5. Surface-active compounds
6. Halogens
7. Metals
8. Guanidines and Amidines
9. Furan derivatives
10. Quinoline and isoquinoline derivatives
A number of compounds are used as aerial disinfectants, e.g.
glycols, a-hydroxycarboxylic acids and ethylene oxide (see
gaseous sterilization).
Mode of Action of Disinfectants
The mode of action varies according to the type of

disinfectant used and the microorganisms involved. Excellent
reviews of modes of action are given by Hugo (1967, 1970)
and these are summarized in Table 34.1.
Table 34.1 Summary of modes of action of disinfectants

based on reviews by Hugo (1967, 1970)
1833
Some disinfectants
Action
involved
Primary Drug/Cell Interactions
Adsorbtion—not generally lethal Phenols, iodine,
but leads to secondary reactions, chlorhexidine, basic
which are often bacteriostatic or dyes, some
bactericidal. surface-active
compounds.
Electrophoretic mobility There is an increase in
changes— bacteria in water the rate of migration
normally have a negative charge, with increase in 1
and thus migrate to the cathode concentration with
when a potential is applied. This phenols and halogenated
migration may be slowed or phenols acting on
accelerated, stopped or even Aerobacler aerogenes.
reversed by disinfectants. Chlorhexidine causes
decrease in migration
rate (Escherichia coli,
Staphylococcus aureus).
Secondary Drug/Cell Interactions
Cell permeability modification Hexylresorcinol,
and leakage of cell constituents cetyltrimethylammonium
(partial lysis). bromide and phenol.
Chorhexidine (at low
concentrations).
Lysis. Phenol, aldehydes,
mercuric chloride,
hypochlorites.
1834
Irreversible general coagulation of Phenols,
cytoplasmic constituents, e.g. cetyltrimethylammonium
protein precipitation. Usually bromide and
produced by high concentrations chlorhexidine.
of disinfectant.
General metabolic effects, e.g. Alcohols, phenols and
inhibition of succinate surfactants.
dehydrogenase and interference
with enzyme systems.
Drug/Cell Interactions Where Mechanism Is Known With
Some Precision
Interaction with thio(sulphydryl) Mercury, silver and
groups. Two main mechanisms: copper compounds,
(a) combination; (b) oxidation. halogens, potassium
permanganate.
Action as metal binding agents, 8-hydroxyquinoline.
thus depriving bacteria of metals
essential for their metabolism.
Interaction with amino groups. Formaldehyde. Some
halogens, in addition to
their oxidizing action.
Interference with oxidation Nitrofuran.
reduction systems.
Reaction with acidic groups in the Triphenylmethane dyes.
cell, inhibition of glutamine, or
inhibition of bacterial cell wall
synthesis. (The latter being the
action of crystal violet)
1835
Interference with nucleic acid Acridine dyes.
function.
Phenolic disinfectants, in low concentrations, disrupt the
cytoplasmic membrane causing leakage of bacterial cellular
constituents (Gale & Taylor, 1947) and also affect membrane
permeability (Hugo, 1956). At high concentrations they act as
protoplasmic poisons (Hugo, 1957).
Alcohols have the ability to denature proteins. This
denaturation is much more marked in the presence of water,
and hence concentrations of 60–90 per cent v/v are usually
used for disinfection (Arclier, 1945). Actions of alcohols are
discussed by Sykes (1965) and Salton (1961).
Aldehydes usually act by combining with the amino groups of
proteins, while halogen compounds halogenate or oxidize
vital cell components.
Specific combination with thiol (–SH) groups accounts for the
activity of mercury, silver and copper, although in high
concentrations they are protein precipitants. The toxic part, in
the case of mercury, is the mercuric ion Hg2+. This ion reacts
as follows with thiol groups in enzymes and structural
proteins:
(Fildes, 1940).
Basic dyes (triphenylmethane dyes) inactivate bacteria by
reacting with acidic groups in the cell, although inhibition of
glutamine synthesis is the bactericidal action in the case of S.
aureus (Fry, 1957). Gentian violet is thought to inhibit cell
wall synthesis. Acridines impair the function of cellular DNA,
thus interfering with reproduction of bacteria. Albert (1951)
gives a general review of the acridines.
1836
The main action of the surface-active agents, particularly the
positively charged quaternary ammonium compounds is that
they are strongly adsorbed onto the negatively charged
bacterial surface. This is followed by damage to the cell
membrane and cytoplasmic leakage.
Hugo and Longworth (1964, 1965 & 1966) conclude that
chlorhexidine, the main guanidine disinfectant, disrupts and
finally destroys cytoplasmic membrane function. The mode of
action of amidines used in therapy is uncertain, although a
similar chemical compound, pentamidine (an antiprotozoon
drug) is thought to inhibit amino acid transport linked with
phospholipid synthesis.
Suggested reasons for the antibacterial activity of the
nitrofurans include inhibition of hydrogen and electron
transfer enzyme systems, reduction of nitrofurans (thus
reducing the capacity of the reductive enzymes in
metabolism), and controversial evidence of inhibition of cell
wall synthesis. No definite mode of action has yet been
established.
8-Hydroxyquinoline (oxine) chelates with iron or copper to
form a toxic complex, which is thought to oxidize essential
thiol groups (Rubbo & Gardner, 1965).
Properties of Disinfectants
These will be dealt with for each of the 10 main groups of

disinfectants mentioned earlier. Lethal activity is shown in
Table 34.2.
Table 34.2 Lethal activity of disinefectants (a general outline)
1837
Phenols
Phenols used as disinfectants include phenol itself (carbolic

acid), cresol and chlorocresol (p-chlor-m-cresol), xylenols
(the m-isomer being most active), chlorophenols and
chloroxylcnols. Many are produced from coal tar distillates,
e.g. cresols and xylenols, while more costly chlorinated
phenols are produced synthetically. Other important phenols
include arylphenols, e.g. o-phenylphenol and bisphenols, e.g.
hexachlorophane. The chemical structures of the more
important phenols are given in Fig. 34.2.
1838
Fig. 34.2 Chemical structures of the more important phenolic
disinfectants.
With the exception of hexachlorophane the activity of phenols

diminishes markedly with dilution. Activity generally
increases with an increase in temperature, and they are more
active at an acid pH (the phenate ion being much less active
than the free phenol). Organic matter diminishes the
bactericidal action of phenols, but the extent of the reduction
depends on the amount and nature of the organic matter and
the type of phenol concerned. Usually the higher the phenol
coefficient (see section on disinfectant evaluation) the greater
1839
is the reduction of bactericidal activity due to organic matter
(see Table 34.20). The organic matter simply absorbs the
phenol, and thus reduces its concentration.
The simple phenols are readily soluble in water, but the
chlorinated phenols, e.g. chlorocresol and chloroxylenol, have
poor water solubility. The chlorinated phenols have the
advantage, however, that they are more potent, less toxic and
less caustic than simple phenols. Most phenols are readily
soluble in alcohol, the alcohol often enhancing their activity,
but such solutions are extremely toxic to tissues and when
diluted with water the phenolic material is thrown out of
solution. Phenols have high oil–water coefficients, so the
presence of oily material in the environment to be disinfected
will markedly reduce the disinfectant action of the phenol.
Oily solutions of phenol are devoid of bactericidal action.
Activity may be increased by the presence of soap in the
formulation, e.g. Lysol (Cresol and Soap Solution BP) and
Roxenol (Chloroxylenol, Solution BPC).
Simple phenols are corrosive, cause tissue damage, and if
adsorbed systematically (this may occur by adsorption from
tissues) are very poisonous.
Phenol (carbolic acid): Its germicidal properties were
discovered by Lister in 1867. Since many of its derivatives
are less toxic and less caustic, the main uses of phenol itself
are as a standard against which other germicides are
compared; as an added bactericide to multidose injections
(0.5 per cent w/v); in gargles (see BPC) and mouthwashes; in
ear drops (6.4 per cent w/w, but the caustic action is lessened
by the use of glycerin as solvent—this preparation should
never be diluted with water), and as an oily injection (this is
used as a sclerosing agent for internal haemorrhoids). For full
details of the uses of this disinfectant and others mentioned in
this chapter see Martindale (1972).
1840
Cresol: This is a mixture of o-, m- and p-cresols, in which the
meta-isomer predominates, and other phenols obtained from
coal tar. It has similar caustic and toxic properties to phenol,
but has the disadvantage of being less soluble in water (1:50),
though it is more strongly bactericidal than phenol.
Cresol and Soap Solution BP (Lysol): This is a useful
disinfectant, in which cresol is solubilized with soap. Its
corrosive action on living tissue has restricted its use,
although similar formulations using ethylphenols and
xylenols in place of cresol can be used on the skin and yet
have comparable properties to lysol (Finch, 1963). Bacterial
spores (especially spores of clostridia) are resistant to lysol,
but most pathogenic bacteria are susceptible, including
acid-fast bacteria (mycobacteria). It forms a clear solution on
dilution with water. Between 2–5 per cent is recommended
for disinfection of contaminated surfaces. The higher
concentration is recommended for killing mycobacteria,
Report to the Public Health Laboratory Service, 1958.
Chlorocresol: It is used in the sterilization process ‘heating
with a bactericide’, and as an added bactericide to multidose
injections (0.2 per cent w/v for the sterilization process, and
0.1 per cent w/v as an added bactericide). It is only soluble
1:260 in water.
Chloroxylenol: This is even less soluble than chlorocresol.
Solubility is 1:3000 in water, but it can be solubilized with
soap (Roxenol BPC). It is used in many proprietary
disinfectants, e.g. Dettol.
It is active against streptococci, less active against
staphylococci, and almost devoid of action against some
Gram-negative organisms, e.g. Pseudomonas aeruginosa, and
against bacterial spores.
Chloroxylenol Solution BPC (Roxenol): The chloroxylenol is
solubilized by soap, but the formulation also includes
1841
terpineol (an oily carrier which helps solubilize the
chloroxylenol in the form of a complex emulsion on dilution,
and gives the formulation a pine-like odour) and alcohol.
Doubts have been expressed about the effectiveness of the
diluted form of this disinfectant. (Whittet et al., 1965).
Black fluids and white fluids: These are cheaper than
Chloroxylenol and similar solutions. Both fluids are defined
in British Standard B.S. 2462: 1961. Black fluids are
homogeneous solutions of coal tar acids, or similar crude
petroleum acids. They are usually solubilized by soaps (made
from interaction of resin acids with sodium hydroxide, or of
sodium hydroxide with sulphonated oils). An example of a
modified black fluid is ‘Jeyes’ Fluid. White fluids are finely
dispersed emulsions, not solutions, of coal tar or similar crude
petroleum acids, and are more stable on dilution than black
fluids. An example of a modified white fluid is ‘Izal
Germicide’. Black and white fluids are usually used for the
disinfection of drains, agricultural and horticultural
equipment, etc.
Bisphenols: Examples of these are o-phenylphenol and
hexachlorophane. The former has antibacterial and antifungal
properties, with similar potency to chloroxylenol, although its
activity against P. aeruginosa is superior to that of
chloroxylenol. Hexachlorophane, until recently, widely used
in soaps, dusting powders and skin preparations, as a
deodorant and disinfectant, is practically insoluble in water.
Use of hexachlorophane was curbed in 1972, due to its toxic
side effects, particularly in preparations for infants. It has a
relatively weak effect against Gram-negative bacteria. The
activities of bisphenols against S. aureus are listed by Gump
and Walter (1960).
1842
Alcohols
These have a fairly rapid bactericidal action against

vegetative bacteria when diluted to concentrations of 60–70
per cent v/v with water (the water potentiates the denaturation
of bacterial proteins by the alcohol). Both ethanol (60–70 per
cent v/v) and isopropanol (50–60 per cent v/v) are used as
skin disinfectants, while methanol vapour has been used as a
fungicide. Ethanol is not self sterilizing, and if required for
surgery and similar purposes must be sterilized by filtration
before use. Alcohols are used as preservatives in some
vaccines, e.g. 25 per cent ethanol used in T.A.B. Vaccine BP,
and in tinctures. 2-Phenoxyethanol is useful, as it is
particularly active against P. aeruginosa (pyocyaflea), even in
the presence of serum. It has a water solubility of 1 in 43; and
is usually used as a 2.2 per cent w/v solution. Phenylethyl
alcohol (0.25–0.5 per cent w/v) is active against
Gram-negative organisms, except P. aeruginosa, and is used,
usually with another bactericide, to preserve ophthalmic
preparations. Chemical structures of the more important
alcoholic disinfectants are given in Fig. 34.3. Chlorbutol
(2,2,2-trichloro-1,1-dimethylethanol hemihydrate) has limited
applications in the preservation of eye drops and parenteral
injections (0.5 per cent w/v). It is rather unstable on heating,
is thrown out of solution at low temperatures, and
decomposes in alkaline solutions.
1843
Fig. 34.3 Chemical structures of more important alcoholic
disinfectants.
Aldehydes
Formaldehyde (H.CHO) is the main aldehyde used for

disinfection. It is effective as a gas or as an aqueous solution
(Formaldehyde Solution BP, or Formalin) containing 34–38
per cent w/w of CH2O. Formaldehyde tends to polymerize to
form paraformaldehyde. This solid polymer may be
vapourized to yield formaldehyde. Formaldehyde is
sporicidal. It is irritant to tissues and eyes, and causes
hardening and wrinkling of the skin. Alcohol is usually
included in solutions to prevent polymerization, and borax
may also be included to prevent rusting of metal instruments.
Virus infectivity can be destroyed by formaldehyde without
destruction of antigenic properties, and it is therefore used to
prepare certain viral vaccines, e.g. Poliomyelitis Vaccine
(inactivated) BP and Influenza Vaccine BP.
1844
Glutaraldehyde (CHO.CH2.CH2.CH2.CHO) is a dialdehyde
with rapid sporicidal and tuberculocidal action (Rubbo et al.,
1967). It is used as a 2 per cent aqueous solution, buffered
with sodium bicarbonate to pH 7.5–8.5.
Dyes
In general, basic dyes are more effective bactericides than

acidic dyes. Two main classes are used as disinfectants:
acridine dyes and triphenylmethane dyes.
Acridine dyes: Most of these dyes are orange yellow, with the
exception of the nonstaining aminacrine. They are useful skin
disinfectants, as they are not inactivated by serum and are not
adsorbed on dressings. Apart from aminacrine hydrochloride,
the main acridine dyes in use are acriflavine and proflavine.
Problems encountered with acridine dyes include their
relatively
slow action and the development of bacterial resistance to
them. Their chemical structures are shown in Fig. 34.4.
1845
Fig. 34.4 Chemical structures of more important antibacterial
dyes.
Triphenylmethane dyes: Due to their intense staining action

these compounds are only of limited use as antiseptics. They
are not inactivated by serum but are readily adsorbed by
dressings. They inhibit staphylococci and streptococci, but
high concentrations are required to inhibit Gram-negative
1846
organisms. The three main dyes used in medicine are brilliant
green, crystal violet (also known as gentian violet or methyl
violet) and malachite green. Crystal violet agar (containing 1
in 100,000 crystal violet) inhibits staphylococci but not
streptococci and is used as a selective medium. Aqueous
solutions of single dyes or combinations of dyes are used to
treat staphylococcal and mycotic skin infections. Chemical
structures are shown in Fig. 34.4.
Surface-active compounds
There are four basic types of compound; these are: anionic,

e.g. soaps (sodium stearate)—slightly antibacterial; cationic,
e.g. Cetrimide—bactericidal; nonionic, e.g. Sorbitan
mono-oleate— devoid of antibacterial activity; and
amphoteric or ampholytic, e.g. ‘Tego’
compounds—bactericidal and fungicidal. Only cationic and
amphoteric or ampholytic types arc important disinfectants.
Cationic compounds: The compounds used are quaternary
ammonium compounds (QACs or QUATs), and have the
general formula:
They are incompatible with soaps, and are represented in the

BP by Cetrimide, Cetylpyridinium chloride and Domiphen
Bromide. Benzalkonium chloride is listed in the International
Pharmacopoeia. Many are inactivated by nonionic
surface-active agents such as Tween 80 and Lubrol W. In
water they ionize into the halide ion (anion) and the
long-chain ion (cation). The latter is hydrophobic and endows
1847
the compound with its surface activity. They are strongly
adsorbed onto negatively charged surfaces, e.g. bacterial cells,
where they cause damage to the cytoplasmic membrane and
hence leakage of cytoplasmic material. They are widely used
for skin and wound disinfection where their cleansing action
in the presence of oil and grease are particularly useful. Their
action is markedly reduced by organic matter. Unlike the
phenols, the quaternaries are more active in alkaline solution
but are incompatible with alkali hydroxides. At pH 3 many
quaternaries are practically devoid of activity.
The chemical structures of some cationic disinfectants are
given in Fig. 34.5.
Fig. 34.5 Chemical structures of the main surfactant

disinfectants.
Amphoteric or ampholytic compounds: These compounds

contain both cationic and anionic groups in the same
molecule. Their ionic properties therefore depend on the pH
as shown below:
1848
They have the detergent properties of anionic surfactants
combined with the disinfectant properties of cationic
surfactants. In general these materials are said to be
compatible with quaternary ammonium compounds and
phenolic disinfectants. Examples are the ‘Tego’ compounds.
The structures of the main surfactants used as disinfectants
are given in Fig. 34.5.
Halogens
Both chlorine and iodine derivatives, as well as chlorine and

iodine themselves, are widely used as disinfectants. Chlorine
is used universally in the treatment of water supplies, in the
disinfection of swimming pool water, as a disinfectant and
deodorant in sewage, and in the disinfection of dairy
equipment. In medicine, hypochlorites are used in the
treatment of wound infections.
Chlorine and hypochlorites react rapidly and powerfully with
organic matter and are efficient bactericides, even in quite
low concentrations. A chlorine content of 0.2–1.0 part per
million gives a wide margin of safety to drinking water.
Because it reacts so readily with organic matter, much of its
bactericidal activity is lost in the presence of the latter. A
solution of chlorine in water contains hypochlorous acid, and
it is thought that the undissociated form of this acid is
responsible for the activity of chlorine against bacteria.
Chlorine is sporicidal and fungicidal, although some spores
are moderately resistant.
1849
The activity of hypochlorites is markedly affected by pH.
They are most active at low pH values and activity declines
with increasing pH, although stability increases. Increase in
pH produces an increase in ionization of the hypochlorous
acid.
The main chlorine disinfectants include chlorine gas,
chlorinated lime and preparations from this, hypochlorites,
and inorganic and organic chloramines. The main iodine
disinfectants include various solutions and iodophors (where
iodine is complexed with surface-active agents).
Chlorinated lime: This is a cheap, powerful disinfectant and
deodorant. It is used to disinfect faeces, urine and utensils.
Eusol and Dakin’s Solution are both prepared from
chlorinated lime and contain hypochlorites. Both solutions
deteriorate on storage but Dakin’s Solution is somewhat more
stable than Eusol.
Organic chloramines: Those used in medicine include
Chloramine, Dichloramine and Halazone. Their structures are
shown in
Fig. 34.6. Solutions of these compounds are more stable than
those prepared from chlorinated lime. Halazone is used for
sterilization of drinking water (4mg/l, left for 1h). The taste of
residual chlorine can be removed by adding sodium
thiosulphate, usually in tablet form (5.5mg).
Fig. 34.6 Chemical structures of main organic chloramines.
1850
Iodine disinfectants: Iodine itself is a good disinfectant in
aqueous or alcoholic solution. It is remarkably nonselective in
its action. It is sporicidal, fungicidal and active against many
viruses. It is used as a skin disinfectant and for cold
sterilization of surgical sutures. Formulations include Weak
Iodine Solution BP (2.5 per cent Iodine) and Aqueous Iodine
Solution BP (Lugol’s Solution–5.0 per cent Iodine).
Iodophors, in which the iodine is complexed with
surface-active agents, e.g. polyvinylpyrrolidone-iodine are
said to be more stable in dilute solutions, and are nonstaining
and nonirritant. Iodine itself has to be used with care on
sensitive skins.
Iodoform has weak antibacterial properties, but is chiefly
used as a deodorant.
Metals
Metal disinfectants include mercury compounds, silver

compounds and copper compounds.
Mercury compounds: There are two types: simple inorganic
compounds, e.g. mercuric chloride, and more complex
organic compounds such as the phenylmercuric compounds.
Many mercurial compounds are only slowly bactericidal and
fungicidal, and this limits their use as disinfectants. Mercuric
chloride solution (0.1 per cent), although a rapid bactericide,
is highly toxic, corrosive to both tissues and metal
instruments, and is thus rarely used. Mercuric oxycyanide,
which is far less toxic than mercuric chloride, is used at a
concentration of 0.1–0.2 per cent in the treatment of
conjunctivitis. Ammoniated mercury (NH2HgCl) is used in
ointments, often in conjunction with coal tar phenols and
salicylic acid, to treat skin infections. Yellow mercuric oxide
1851
has been used in eye ointments. Mercurochrome, a vivid red
dye, is a comparatively feeble germicide, and has lost
popularity. Thiomersal (Merthiolate) has similar bactericidal
potency to phenylmercuric compounds, but it is unstable in
acid solutions and is therefore only used in solutions of pH 7
upwards. It is used as a preservative (0.01–0.02 per cent) for
bacterial and viral vaccines, as a fungicide and as a skin
disinfectant.
Phenylmercuric nitrate and phenylmercuric acetate are both
effective antibacterial and antifungal agents. The acetate has
the advantage that it is slightly more soluble than the nitrate.
Both the nitrate and the acetate can be used, at a concentration
of 0.002 per cent, in the sterilization process ‘heating with a
bactericide’. They can be used as preservatives for parenteral
injections at a concentration of 0.001 per cent. The activity of
mercurials is modified by organic matter.
The disinfectant action of phenylmercuric compounds is due

to complex phenylmercuric ions; they do not ionize into
phenol ions and mercuric ions.
Silver compounds: Silver nitrate solutions of 0.2–0.6 per cent
have been used to treat eye infections. Silver protein
derivatives (Silver Protein and Mild Silver Protein BPC) have
antibacterial properties, due to the presence of low
concentrations of ionized silver, and are also used in eye
drops.
Copper compounds: These are mainly used as fungicides and
algicides.
1852
Guanidines and amidines
The main guanide disinfectant is chlorhexidine, and is

available as a digluconate, diacetate or dihydrochloride of
1:6-di(N-p-chlorophenyldiguanido)-hexane.
Chlorhexidine: It is bactericidal against a wide range of
Gram-positive and Gram-negative vegetative bacteria, but is
ineffective against acid-fast bacteria, bacterial spores and
viruses. It is nevertheless a very good skin disinfectant.
Variation in resistance occurs in the Pseudomonas and
Proteus spp. Chlorhexidine is most active in neutral or
slightly alkaline pH, but its activity is reduced by blood and
organic matter. The gluconate and hydrochloride are mainly
used. The acetate is used for preservation of eye drops. The
hydrochloride has the longest antibacterial action.
The main are dines are Dibromopropamidine isethionate BP

and Propamidine isethionate BPC 1949. Resistance to the
amidines develops and this limits their use. The action of
these two amidines is not affected by tissue fluids, serum or
pus, and they are used in eye drops and antiseptic creams.
1853
Furan derivatives
Nitrofurazone is the main derivative of interest, as it has

antibacterial action against a number of vegetative bacteria.
Formulations are usually applied topically and include
creams, ointments, solutions and ear drops.
Quinoline and isoquinoline derivatives
8-Hydroxyquinoline is both bactericidal and fungicidal, but

its activity is entirely dependent on the presence of traces of
divalent metals, e.g. copper and iron. The lethal agent is a
metal oxine complex (oxine is another name for
8-hydroxyquinoline), although the ratio of concentrations of
oxine to metals affects the toxicity of the complex.
Dequalinium chloride (Dequadin) and dequalinium acetate
are both antibacterial and antifungal. Their action is little
affected by serum. The main use of the chloride is in lozenges
for treatment of mouth and throat infections.
1854
In addition to these 10 groups of disinfectant compounds,
there are a number of specific antifungal agents, e.g.
undecenoic acid and salts, tolnaftate, chlorphenesin, etc.
Factors Affecting Disinfectant Action
Some of the main factors affecting disinfectant action are:

• Time of contact
• Concentration of disinfectant
• Temperature
• The type of organism present, its numbers and condition
• The presence of organic matter, and other in activators
• Hydrogen ion concentration
• Surface tension
• The formulation of the disinfectant
• The chemical structure of the disinfectant
• The nature of the surface to be disaffected
• Potentiation, synergism and antagonism of disinfectants
1855
Time of contact
A plot of the viable count of a bacterial population against

time, when the population is subjected to a lethal
environment, will give a death or mortality curve. Madsen
and Nyman (1907), and Chick (1908), working
independently, showed the course of disinfection to
approximate that of a unimolecular reaction. It was shown
that the principles of first order kinetics could be applied to
the disinfection process, and that the rate or velocity constant,
k was a measure of the efficiency of the disinfectant.
where
Since this early work the disinfection process has been widely
studied (Withell, 1938, 1942; Jordan & Jacobs, 1944; Berry &
Michaels, 1947; Jacobs, 1960; Prokop & Humphrey, 1970).
The main conclusion of these workers is that the survivor/
time curve is not constant, its shape being influenced by a
number of factors, especially the concentration of the
disinfectant being used. This is shown in Fig. 34.7.
1856
Fig. 34.7 Effect of concentration of phenol on survivor/time
curve of E. coli.
Three main types of death curve are shown in disinfection

processes, and these are given on Fig. 34.8.
1857
Fig. 34.8 Main types of death curve shown in disinfection
processes. (A) Disinfection process obeying first-order kinetic
law (sometimes obtained); (B) Sigmoid curve is most usually
obtained. The process can be divided into 3 stages: (a) a slow
initial kill, mainly of sensitive or susceptible members of the
population, (b) a faster ‘near-linear’ rate of kill showing a
similar pattern to a first order reaction. In this stage organisms
of average resistance are mainly killed, (c) a slower death rate
of resistant members; (C) This curve is often obtained with
high concentrations of disinfectant.
Concentration of Disinfectant
The relationship between concentration and the time taken to

kill the organisms, at a given temperature, is exponential, i.e.
doubling the concentration considerably more than halves the
rate if the concentration exponent is greater than 1. This can
be expressed in the equation:
1858
where
The equation may be written:

n log C + log t = a constant
If therefore a graph is plotted of log t against log C a straight

line is usually obtained, and the slope of the line is the
concentration exponent (Fig. 34.9). The value of n may
therefore be obtained graphically or by substitution in the
equation:
1859
Fig. 34.9 Graphical determination of concentration
exponenent n, of disinfectant; (A) slope of graph 1/1, n = 1;
(B) slope of graph 1/6, n = 6.
where t1 is the death time with disinfectant concentration C1.

t2 is the death time with disinfectant concentration C2.
The approximate values of n for common bactericides are
Table 34.3 Values of n for common bactericides
Bactericide n
HgCl2 1.00
AgNO3 0.75
HCl 1.00
HChO 1.00
1860
NaOh 1.05
H2O2 2.00
Lysol 2.05
Thymol 4.00
Resorcinol 5.00
Phenol 6.00
o-cresol 7.05
p-cresol 8.05
ethanol 11.05
butanol 12.00
The value of n is affected by the factors which influence
disinfection, e.g. temperature type of organism,
environmental factors and the formulation.
A knowledge of the approximate concentration exponent is
useful in determining the effect of dilution on the disinfectant,
as shown in Table 34.4.
Table 34.4 Comparison of increased and decreased

concentration on killing rates of phenol and formaldehyde
against E. coli
Formaldehyde (n = 1)
Phenol (n = 6) 0.7% kills in 100min
0.7% kills in 100min
A. Effect of doubling concentration 1.4% kills in
1.4% kills in
1861
B. Effect of halving concentration 0.35% kills in 100 ×
0.35% kills in 21 = 200min
100×2n = 100×26 = 6400min
This explains why phenolic disinfectants are rapidly
inactivated by dilution, but disinfectants such as
formaldehyde or mercurials are much less affected by
changes in concentration.
Temperature
An increase in the temperature of a bactericide increases the

velocity of the bacterial reaction just as it does the velocity of
a chemical reaction. As the temperature increases
arithmetically the activity of a given concentration of
bactericide against a standard inoculum of bacteria increases
geometrically, the relation between temperature and
extinction time being shown in Fig. 34.10.
1862
Fig. 34.10 Relation between temperature and extinction time
of Salmonella paratyphi in 10 per cent phenol solution.
The relation between temperature and the velocity of a

bactericidal reaction may be expressed by the equation:
where
1863
The reaction velocity, k, is proportional to
Thus, providing the inoculum level is the same, the above

equation becomes:
where
(Extinction time is the time at which no living cells can be

detected in the sample taken.)
The following example illustrates the use of the equation to
determine the value of the temperature coefficient per degree
rise in temperature. In an experiment with ethylene glycol
monohexyl ether, the test organisms (E. coli) were killed in
1864
62min at 20°C and in 10min at 30°C.
The temperature coefficient may also be calculated from the

percentage of survivors knowing:
Some values for θ for different bactericides are shown in

Table 34.5 below. Also recorded are θ10 or ϕ10 values—the
increase in activity for 10°C rise in temperature. All figures
refer to temperature in the range 20–30°C.
Table 34.5 Values of θ for common bactericides
Bactericide θ ϕ10
Phenol 1.15 4.0
o-Cresol 1.18 5.1
p-Cresol 1.19 5.8
Resorcinol 1.22 7.1
1865
ethylene glycol 1.34 18.0
n-Butanol 1.41 31.0
Ethanol 1.46 43
Ethylene glycol monoethyl ether 1.76 2.91
In practice the ϕ10 value is most useful, and bactericides may
be grouped according to this value. The effect of increasing
the temperature of phenol from 20 to 30°C is to increase its
activity four-fold. The effect of increasing its temperature
from 20 to 100°C is theoretically to increase its activity
1.1580 = 70,000-fold, providing the value of θ is constant
over the range of 80°C, which is unlikely. Nevertheless,
increasing the temperature of a phenol from room temperature
to 100° will increase its activity very appreciably and, in
addition, the high temperature itself
will have an adverse effect on microorganisms. The combined
effect of temperature and increase in reaction velocity at the
higher temperature is utilized in the BP sterilization process
of Heating with a bactericide.
Test organism
The type of organism, the number, and the condition of the

organisms all affect the disinfection process. The lethal
activity of disinfectants against the main groups of
microorganisms is given in Table 34.2. It can be seen that
most vegetative bacteria, with the exceptions of acid-fast
bacilli, are rapidly killed by most chemical disinfectants.
Apart from acid-fast bacilli many Pseudomonas spp. are
highly resistant to antimicrobial substances. Bacterial spores
are difficult to destroy but some aldehydes are sporicidal.
Aldehydes and halogens, together with β-propiolactone are
1866
most active virucides. Antifungal activity varies considerably
and many disinfectants have a limited spectrum of activity.
The success of disinfection is often dependent, in part, on the
degree of initial contamination. A large number of
microorganisms initially often leads to longer disinfection
times, or greater concentrations of disinfectant are required to
achieve a satisfactory killing effect.
Resistance of microorganisms varies with their age and the
conditions under which they are grown. A detailed review of
the influence of inoculum history on the response of
microorganisms to inhibitory and destructive agents is given
by Farewell and Brown (1971).
In any description of disinfectant action the inoculum size,
age and past history should be stated.
Pressure of Organic Matter and Other Inactivators
Organic matter often exerts a marked influence on

antimicrobial activity. The protective action may be due to
mechanical protection of the cells against the action of the
antimicrobial agent or to the combination of this with the
organic matter. Chemically active compounds, e.g. the
hypochlorites and formaldehyde, react readily with
extracellular protein with a consequent fall in their
bactericidal potency. The presence of oils and fats markedly
reduces the disinfecting ability of phenolics. Mercurial
disinfectants react with thiol groups in the environment.
Adsorption and inactivation reduce the amount of disinfectant
available to react with the cells, and the interfering substance
may form a protective coat around the cell preventing
penetration to the site of action.
1867
Hydrogen Ion Concentration
The pH during the disinfection process affects:

1. the rate of growth of the microorganisms,
2. the degree of ionization of the antimicrobial substance and
hence its potency,
3. the adsorption of the antimicrobial substance at the cell
surface.
The optimum pH for bacterial growth is in the range 6–8.
Outside this range, growth may be inhibited to some extent.
Some compounds, e.g. phenol, benzoic acid, salicylic acid,
are most active in the unionized form. These compounds have
pKa values of 9.9, 4.2 and 3.0, respectively, and are least
ionized and most active at an acid pH. Phenol, with a pKa
value of 9.9, is about 55 per cent ionized at pH 10, and since
it is the unionized molecule which is active, has little activity
at pH 10. Other examples are given in Table 34.6.
Table 34.6 Effect of pH on ionization of disinfectants
Thus phenolic and acidic antimicrobial agents usually have

greatest activity in acidic conditions. In the acridine
compounds, however, it is the cation which is the active
agent, and hence these are most active in the ionized form.
Most acridines used as skin and wound antiseptics are well
ionized at pH 7.0. Basic dyes, e.g. crystal violet, brilliant
green and cationic surfactants, e.g. cetrimide, increase in
1868
antibacterial activity with increase in pH. A review of the
effects of pH on antibacterial activity is given by Albert
(1973).
Surface Tension and Effect of Formulation
Many surface active compounds and in particular the cationic

quaternary ammonium compounds such as cetrimide are
highly bactericidal themselves, but they can also affect the
bactericidal efficiency of other substances. Alexander and
Tomlinson (1949) have shown that the addition of small
amounts of an anionic surface-active agent to phenol solution
reduces the surface tension of the latter and reduces the
extinction time of E. coli (Fig. 34.11), because of faster
penetration of the bacteria by the phenol molecules.
1869
Fig. 34.11 Relation between extinction time of Escherichia
coli and the inter-facial tension of 0.5 per cent phenol soap
mixtures (After Alexander & Tomlinson, 1949).
Soaps can be used and the more soap that is added, the lower
the surface tension and the extinction time, until the soap
concentration is equivalent to the critical concentration for
micelle formation. In excess of this concentration the surface
tension remains almost constant, but the extinction time
increases, due to phenol leaving the aqueous phase and
entering the interior of micelles. For a review of effects of
surface tension on antibacterial activity Berry (1952) should
be consulted.
1870
Often disinfectants may be formulated in either aqueous
solution or in 70 per cent alcohol, e.g. chlorhexidine and
some quaternary ammonium compounds. The alcoholic
formulation often increases penetrating power and leads to
enhanced antimicrobial activity.
It has already been mentioned that the activity of phenol
varies with the organism concerned, is reduced by oil and
organic matter, and is highest when the phenol is in the
nonionized form, i.e. in acidic pH conditions. In addition the
presence of a
solubilizing or emulsifying agent and the type and
concentration markedly affect the activity of the phenol
(Berry & Stenlake, 1942).
In simple saponaceous solution, the soap acts as a solvent for
the phenols. If the phenol is partially soluble in water, a
marked increase in its overall solubility in the soap solution
occurs at the critical micelle concentration of the soap; if the
phenol is almost water insoluble then virtually no phenol goes
into solution below the critical concentration. The differential
solubility of chloroxylenol in potassium laurate is shown in
Fig. 34.12. A sharp increase in the differential solubility of
chloroxylenol occurs at 0.02M potassium laurate, the critical
concentration; above about 0.04M potassium laurate, when
the micelles are fully formed, there is no further increase in
the differential solubility with increase in soap concentration.
The shaded area in Fig. 34.12 is an area of solubility and the
unshaded area an area of insolubility. An arbitrarily chosen
point (X) within the area of solubility describes the
composition of a solution since the position of the point
indicates the soap concentration and the number of molecule
of chloroxylenol present per molecule of soap. The solution
represented by X is diluted with water, the composition of the
solutions produced by increasing dilution is represented by
1871
points along a line drawn from X parallel to the abscissa. The
broken line in Fig. 34.12 shows the bactericidal activity
against E. coli of solutions produced by dilution of X. A
maximum activity (minimum extinction time) is obtained in
solutions in which the soap concentration is approximately
0.02M (the CMC) and a minimum of activity in solutions in
which the soap concentration is about 0.04M. At 0.02M
potassium laurate the micelles are just forming and are small.
Between 0.02M and 0.04M the micelles increase in size and
reach maximal size at 0.04M. For solutions having a constant
chloroxylenol potassium laurate ratio the percentage
saturation of the micelles by the chloroxylenol decreases as
the soap micelles increase in size. That is, the decrease in
activity which occurs in spite of an increase in the
concentration of both the chloroxylenol and the soap is due to
a decrease in the saturation of the micelles. Since the
chloroxylenol is partitioned between the micelles and the
water, the decrease in the concentration in the micelles is
accompanied by a decrease in the water. Thus the bactericidal
activity of simple saponaceous solutions of halogenated
phenols is independent of the overall concentration in the
system. It is dependent upon the concentration in the micelles
which, in turn, controls the concentration in the water (Bean
& Berry, 1953). For further interpretations of similar systems
reference should be made to papers by Berry et al. (1956),
Berry and Briggs (1956), Cook (1960) and Mitchell (1964).
1872
Fig. 34.12 Influence of soap concentration on the extinction
time of Escherichia coli in soap/chloroxylenol mixtures. Solid
line indicates solubility and the dotted line extinction time
(Bean, 1961).
Further evidence for the above explanation is provided by

Alexander and Tomlinson (1949) who added a surfactant
(dihexyl sodium sulphosuccinate) to 0.5 per cent phenol
solution. Solutions containing about 1 per cent of the soap are
more bactericidal than those containing either a higher or
lower concentration (Fig. 34.11). The increase in bactericidal
activity as the surfactant concentration is increased from zero
to 1.0 per cent is due to the reduction of the surface tension of
the system which reaches a minimum at about 1.0 per cent
soap concentration, the critical concentration for micelle
formation. On increasing the soap beyond this critical
concentration, micelles are formed and there is competition
between the micelles and the water for the phenol. The
concentration of the phenol in the water gradually drops from
the original 0.5 per cent as the micelles are formed, and there
is progressive loss of
1873
bactericidal activity. Thus, the bactericidal activity of phenol
in the surfactant solution is maximal at the CMC.
For convenience and economy it is essential to formulate a
disinfectant solution to be as concentrated as possible and
suitable for dilution with water immediately before use. The
user cannot be relied upon to dilute the disinfectant to the
critical concentration of the soap. Insufficient dilution would
cause loss of activity and overdilution would probably result
in phenol being thrown out of solution. The difficulty is
solved by the inclusion of an oily carrier which is a solvent
for the insoluble phenol, e.g. in Chloroxylenol Solution BPC.
When Chloroxylenol Solution is diluted with water a complex
system is formed. An o/w emulsion of terpineol is produced
by part of the soap; the remainder of the soap is dispersed as
micelles or is in solution in the water. The chloroxylenol is
distributed between the terpineol droplets (most is in this oily
carrier), the soap micelles and the water in accordance with
the partition coefficients. The concentration in the carrier
influences the concentration in the water, and thus selection
of a carrier which gives maximum concentration of the
chloroxylenol in water must be carefully made. Many
organisms have been shown to be resistant to the diluted
forms of formulated chloroxylenol preparations.
Chemical Structure of the Disinfectant
A review of the effect of chemical structure on the activity of

phenols is given by Suter (1941). A summary of this review is
1874
Table 34.7 Effect of chemical structure on activity of
phenols
1. Substitution of an alkyl chain up to 6

carbons in length in para position to
phenolic OH group increases activity.
2. Substitution of an alkyl chain greater
than 6 carbons in length decreases
water solubility and activity.
3. Straight alkyl chains give greater
activity than branched chains.
1. Halogenation increases antibacterial
activity of phenol.
2. With both alkyl and halogen
substitution, the greatest activity is
obtained with the alkyl group in the
ortho position to the phenolic group
and the halogen in the para position to
the phenolic group, as shown.
1. Nitration increases antibacterial
activity and systematic toxicity.
(Nitrophenols, e.g. 2,
4-dinitro-o-cresol, are used as
insecticides, selective herbicides and
ovicides in agriculture.)
1875
Nature of the Surface to be Disinfected
Uneven, porous or cracked surfaces resist chemical

disinfection, due to the inaccessibility of the microorganisms.
Often, deeply situated bacterial flora on the skin remain
unaffected by disinfectants applied to the skin surface. Thus
bactericides work effectively on hard, clean, impenetrable
surfaces. Tests should be made to ensure that the disinfectant
does not react adversely with the surface, does not leave
detrimental residual effects which cannot be easily
eliminated, and, in the case of living tissues is not toxic to
underlying cells.
Potentiation, Synergism and Antagonism of Disinfectants
Potentiation of a disinfectant (usually by inactive substances)

leads to enhanced antimicrobial activity. Synergistic effects
are often shown by two antimicrobial agents working together
and either giving an increased activity (i.e. more than their
additive effect) or an increased spectrum of activity (i.e. lethal
to a greater range of organisms). Examples of potentiation
and synergism have been reported in many types of
disinfectant. A few examples are given in Table 34.8.
Table 34.8 Potentiating agents and antagonists for

disinfectants
Potentiating
Disinfectant Antagonist
agent
Benzalkonium Low
chloride concetrations of
1876
chlorexidine nonionic
diacetate surfactants*
p-Hydroxybenzoates Polysorbate
80**
Chlorine Bromine (or
compounds iodine)
compounds***
Halogens Sodium thiosulphate
Quaternary Anionic agents, e.g.
ammonium Lubrol W + lecithin;
compounds soaps; milk
Mercurials and Thioglycollic acid;
arsenicals sulphydryl
compounds
Chlorhexidine Lubrol W + lecithin
Formaldehyde Morpholine +
dimedone
*
Brown and Richards (1964)
**
Brown (1968)
***
Shere et al. (1962)
Different p-hydroxybenzoate esters show synergistic activity,
and mixtures are often used to obtain adequate preservation.
Phenolic disinfectants are inactivated by dilution and other
factors.
Antagonism leads to decreased antimicrobial activity, and use
is made of antagonists in the elimination of antimicrobial
properties of materials which are being tested for sterility. If
the substance or preparation to be tested has antimicrobial
properties, such properties must be counteracted either by
1877
inactivation with an antagonist, dilution, or by filtration and
washing, using a membrane filter with an average pore
diameter not exceeding 0.470nm.
Disinfectant Evaluation
A comprehensive review of the laboratory assessment of
antibacterial activity has been published by Spooner and
Sykes (1972). Different tests are used to assess bacteriostatic
and bactericidal activity. A summary of the tests used is given
in Table 34.9.
Table 34.9 Tests for disinfectant activity
Bactericidal
Substance tested Bacteriostatic tests
tests
Liquid disinfectants Serial dilution in fluid End-point or
media extinction
time methods
Serial dilution in solid Counting
media methods
Cup-plate, fish-spine Turbidometric
bead and filter-paper assessment
methods
The gradient-plate ‘In use’ and
method other tests
The ditch-plate In addition ‘in
technique vivo’ tests are
applied
1878
All methods can be
used quantitatively; the
final method is usually
used qualitatively
Semisolid Cup-plate methods Modified
antibacterial end-point or
formulations, e.g. extinction
creams, ointments, time
pastes and gels The ditch-plate In addition,
technique ‘in vivo’ tests
are applied
(e.g. skin
tests)
Solid disinfectants, Inhibition on seeded Modified
disinfectant powders agar end-point or
extinction
time
Aerial disinfectants Use of slit-sampler in
test chamber
Tests Applied to Liquid Disinfectants
Assessment of Bacteriostatic Activity
Serial dilution in fluid media: In this method, graded

concentrations of the test substance in a nutrient medium are
inoculated with the test organism and incubated. The
minimum concentration preventing detectable growth
(Minimum Inhibitory Concentration or MIC) is taken as a
measure of bacteriostatic activity. Since the MIC varies
1879
considerably with inoculum size, medium used and
incubation conditions, these factors should be noted with each
MIC obtained. Assessment of bacteriostatic activity can be
observed quantitatively and microscopically by a
microcultural technique (Quastel, 1966; Postgate, 1969).
Alternatively the effect of a single concentration of
antimicrobial on the rate of growth as compared to the normal
growth shown by a control experiment, can be used to assess
bacteriostatic activity (Spooner & Sykes, 1972).
Serial dilution in solid media: A suitable volume of double
strength nutrient agar is diluted with an equal volume of
bacteriostatic solution and poured into a sterile petri dish.
When solidified the surface is dried by incubating at 3TC for
1 h with the lid slightly raised. Drops of 24-h broth cultures of
the test organisms are placed on the dried surface and
incubated for 2–3 days. Up to 27 cultures can be tested on
each plate if a multipoint inolulator (Hale & Inkley, 1965) is
used. A separate petri dish is Lised for each concentration of
bacteriostatic. Choice of the correct inoculum density is
important. The main uses are for turbid bacteriostatic
solutions, or solutions which give turbidity with fluid nutrient
media. Solid media also offer the advantage of economy,
since a number of different organisms can be accommodated
on a single petri dish. A fair degree of correlation between
serial dilution on solid and fluid media was shown by Cook
(1954).
Cup-plate, fish-spine bead and filter paper methods: These
methods are very similar to those used in the assay of
antibiotics. In these methods the agar is melted, cooled
suitably, inoculated with the test organism and poured into a
sterile Petri dish. In the cup-plate method, when the
inoculated agar has solidified, holes about 8mm in diameter
are cut in the medium with a sterile cork borer. In the
1880
fishspine bead, filter paper and the cylinder method the
antimicrobial agent is applied to the surface of the solidified,
inoculated agar and in the cup-plate method it is placed
directly in the holes (Fig. 34.13). In all cases zones of
inhibition may be observed, the diameter of the zones giving
a rough indication of the relative activities of different
antimicrobial substances against the test organism, or the
effects of different concentrations of antimicrobial substance.
A diagram showing the effect is given in Fig. 34.14. The
method can give false indications because the development of
an inhibition zone is dependent on the ability of the
antimicrobial substance to diffuse through the agar.
1881
Fig. 34.13 Methods of applying antibacterials to inoculated
agar: (A) Cup-plate method; (B) Fish-spine head method; (C)
Cylinder method; (D) Filter paper method.
Fig. 34.14 Assessment of bacteriostatic activity by cup-plate,

fish-spine head and filter paper methods.
The gradient-plate method: Two layers of agar are poured as

shown in Fig. 34.15 (Szybalski & Bryson, 1952). The plates
are then incubated overnight to allow diffusion of the
antimicrobial substance. The agar is streaked in the same line
as the slope of the agar (i.e. along the concentration gradient)
and reincubated. An approximate MIC can be obtained from
the following equation:
1882
Fig. 34.15 Assessment of bacteriostatic activity by
gradientplate method. Wedge A; 10ml of nutrient agar with
antimicrobial. Wadge B; 10ml of nutrient agar with no
antimicrobial. After overnight incubation diffusion occurs to
give a concentration gradient across the plate with a
maximum on the left and minimum on the right. Wadges A
and B may be reversed, the plate immediately streaked and
then incubated.
where MIC is the minimum inhibitory concentration.

C = concentration in mg/ml, in total volume (i.e. volume of
wedges A and B),
x = length of growth, in cm,
y = total length of possible growth, in cm (i.e. length
streaked).
The ditch-plate technique: An agar plate is poured, allowed to
solidify, and a trough or ditch cut out of the agar. A solution
of the antimicrobial substance or a mixture of this with agar is
carefully run into the ditch so as to about three-quarters till it.
A loopful of each test organism is then streaked outwards
from the ditch on the agar surface. Organisms resistant to the
antimicrobial grow right up to the ditch whereas susceptible
organisms show a zone of inhibition adjacent to the ditch (see
Fig. 34.16). The width of the inhibition zone gives an
indication of the relative activity of the antimicrobial
substance against the various test organisms.
1883
Fig. 34.16 Assessment of bacteriostatic activity by the
ditchplate technique. The six different test organisms show
varying degrees of susceptibility to the antimicrobial in the
ditch.
Similar methods of testing are used for assessment of both

antibacterial and antifungal activity. In the latter case suitable
media for use in the test include Sabouraud medium and
Czapek Dox medium. The effect of combining two (or more)
antimicrobial agents may be examined by a filter paper strip
method (King et al., 1953), or by a gradient-plate method
combined with filter paper strips (Streitfield & Suslaw, 1954).
The main effects obtained by combining antimicrobial agents
are:
• Antagonism—leading to reduced activity.
• Potentiation—leading to increased activity.
• Synergism—literally a ‘working together’—often leads to
increased activity or a broader spectrum of activity.
1884
• Indifference—neither antimicrobial substance has any effect
on the other.
Assessment of Bactericidal Activity
End-point or extinction time methods: There are two types of

extinction time method: (1) in which the extinction time is
fixed and the concentration of disinfectant needed to kill in
the specified time is estimated, and (2) in which the
concentration of bactericide is fixed and the extinction time is
estimated. The former group (1) are referred to as phenol
coefficient type tests and include: the Rideal–Walker Test
(B.S. 541: 1934), the Chick– Martin Test (B.S. 808: 1938),
the United States Food and Drug (FDA) Method (U.S. Dept.
of Agric., Circular 198), the Crown Agents Test (B.S. 2462:
1954), and the US Association of Official Agricultural
Chemists (AOAC) Phenol Coefficient Test.
Phenol coefficient tests. The Rideal–Walker Test uses:
Standard Rideal–Walker Broth,
Salmonella typhi No. 786—standard subcultures are
specified,
Standard apparatus, e.g. inoculating loop, glassware, etc.,
must conform to the specification given in the Standard.
Dilutions of the test disinfectant and phenol are inoculated
with 0.2ml of the 24-h culture of the organisms, the reaction
mixture being kept at 17.5±0.5°C. Subcultures of each
reaction mixture are taken and transferred to broth after 2t, 5,
7t and 10min (Fig. 34.17). The broth tubes are incubated at
37°C for 48–72 h and are then examined for the presence or
absence of growth. The Rideal–Walker coefficient (R.W.
coefficient) of the test disinfectant is then calculated as
follows:
1885
Fig. 34.17 Schematic diagram of the Rideal-walker test for
disinfectants.
A typical result of the experiment described above might be

follows:
1886
The idealized result shown above may not be obtained on
every occasion, because the loopfuls of reaction mixture
transferred to the broth tubes represent random samples from
the reaction mixture in which the mortality of the organisms
is approaching 100 per cent. A few organisms of abnormal
resistance in the reaction mixture, or the absence of organisms
possessing the normal resistance of the last survivors, would
influence the result. Thus, although not specified in the
Standard, the test ought to be replicated. Since the replicates
are liable to indicate slightly different coefficients the latter
would be more accurately expressed as a range rather than by
a single value. Some typical Rideal–Walker coefficients
quoted by manufacturers are given in Table 34.10.
Table 34.10 Rideal–Wealker coefficients
Phenol 1% in water (by definition) 1

Lysol 3–4
Roxenol 5–5.5
White fluid 10–11
Black fluid 14–15
The other main phenol coefficient tests are given in Table
34.11
Table 34.11 Essential differences between phenol coefficient
tests
1887
As can be seen from the table the Chick–Martin test contains
suspended yeast in the reaction mixture which tends to make
the test more severe as the activity of some bactericides is
markedly depressed by organic matter, together with a longer
contact time of 30min. In the Crown Agents test the reaction
mixture is prepared with artificial sea water. Thus the test is
unsuitable for disinfectants formulated with soap such as the
so-called Black Fluids and disinfectants of the Chloroxylenol
type.
Merits of Phenol Coefficient Tests
1. The tests are thoroughly described and rigorously

controlled by the appropriate standards. The results they yield
are reasonably reproducible, not only from time to time in
anyone laboratory but also between laboratories.
2. The tests are quickly and cheaply carried out and involve
no great outlay in time, materials or labour.
3. The tests provide a ‘yard stick’ by which disinfectants can
be sorted into those possessing activity and those which are
worthless.
Deficiencies of Phenol Coefficient Tests
1888
1. Use of single strain of organisms—all of the tests specify
Salmonella typhi as the test organism. The AOAC test and the
Rideal–Walker S. aureus test (British Standard Institution,
1961) permit S. aureus to be used as an alternative test
organism. The use of S. typhi is undoubtedly due to the fact
that phenol coefficient tests originated in 1903 when the
typhoid organism was a much greater menace than it is in
modem times. The knowledge that a disinfectant has a
specified phenol coefficient against the typhoid organisms is
today of little more than academic interest. In any case, the
typhoid organism is not usually particularly resistant to
disinfectants. The use of a more resistant organism would
provide a much more stringent test for any disinfectant. A
disinfectant which possesses high activity against the typhoid
organism does not necessarily possess a similar activity
against different species. Some bactericides are very selective,
and the tests would be much more valuable if they were
performed with several species of organisms. Another source
of error is variation in susceptibility of the test organism to
the test disinfectant.
2. Tests compare activity of bactericides at only one
concentration with a fixed death time the dilution of both
standard phenol and test disinfectant killing in a specified
time is determined. Thus each test only ascertains the
performance of one concentration of the test disinfectant. This
would not matter if all disinfectants possessed the same
concentration exponent. Fig. 34.18 shows the log
concentration–log extinction
time regression lines for two disinfectants X and Y (the slopes
represent the concentration exponents of the two
disinfectants). If the two bactericides are compared by
determining the dilutions which kill at time a, Y is seen to be
the better bactericide. If the time is fixed at b, identical
1889
concentrations of both bactericides are needed and the phenol
coefficient would be 1. If the time is fixed at c, X appears to
be the better bactericide. Hence phenol coefficients can be
changed by altering the arbitarily chosen reaction time.
Fig. 34.18 Influence of selection of extinction time on

apparent activity of two bactericides X and Y.
3. Tests compare activity of bactericides at only one

temperature—the phenol coefficient tests are usually
performed at one fixed temperature, whereas in practice
disinfectants are likely to be used at widely different
temperatures. The activity of a bactericide at the temperature
specified for the test may be quite different from its activity at
the temperature at which it is used. Every bactericide has its
1890
characteristic temperature coefficient and the knowledge that
a particular bactericide has a certain phenol coefficient at
20°C gives no information about its performance at any other
temperature.
4. Most phenol coefficient tests give no indication of the
activity of the bactericide in the presence of organic matter,
with the exception of the Chick–Martin test, the commonly
used phenol coefficient tests are performed in the absence of
organic matter, whereas in practice most disinfectants and
bactericides are used in the presence of organic matter.
Different disinfectants are affected to different extents by the
same type of organic matter. The activity of phenol is not
seriously affected by the presence of as much as 10 per cent
blood serum, whereas the activity of some emulsified
disinfectants is seriously affected. Formaldehyde and
oxidizing agents such as hydrogen peroxide, chlorine and
permanganates react vigorously with organic matter whereas
the acridines retain their activity in the presence of organic
matter. Thus any phenol coefficient test which does not
include organic matter is inadequate.
5. Phenol coefficient tests give no indication of tissue
toxicity— although Lysol and Roxenol—type disinfectants
have similar phenol coefficients the former would never be
considered for use on the body due to its tissue toxicity. The
latter are relatively nontoxic to tissue. The phenol coefficient
test thus gives no indication of the suitability of a bactericide
for a specific purpose.
6. Phenol coefficient tests give no indication of the effects of
dilution on the activity of the disinfectant.
7. Phenol coefficient tests can only logically be used to
evaluate phenolic disinfectants to use this type of test, with
phenol as a standard, to evaluate nonphenolic disinfectants
contravenes the basic principle of a biological assay of testing
1891
‘like’ against ‘like’. Despite this fact phenol coefficient tests
are used to test the performance of many formulated
disinfectants.
8. Sampling errors are large in phenol coefficient tests—a
very small volume is sampled from a large volume containing
a small number of survivors, which may be in clumped
aggregates. The error in the sampling is dealt with in detail by
Dodd (1969).
9. Recovery conditions in phenol coefficient tests may not be
suitable for ‘damaged’ organisms.
Despite their limitations, phenol coefficient tests are widely
used in preliminary disinfectant evaluation. The
Chick–Martin test was used up to 1970 as a test for
disinfectants for agricultural use. A new order for
disinfectants for agricultural use was made in 1970 (Statutory
Instrument 1970, No. 1372) in which disinfectants are
approved according to their intended use.
Determination of mean death time or mean single survivor
time: In these tests the extinction time is measured for several
different concentrations of bactericide. Berry and Bean (1954)
developed a method of this type. The reaction mixtures were
each distributed, immediately after preparation, into a series
of sterile tubes in which the reaction proceeded at a controlled
temperature until it was quenched by the addition of broth.
Apart from its simplicity the advantage of the method was
that the samples were taken before the reaction mixture had
become heterogeneous due to the clumping of the dying
organisms. Berry and Bean performed their experiments in
replicate, a typical result being shown in the Table 34.12.
Table 34.12 Bactericidal activity of 1% phenol against E. coli
1892
A between-experiment variation is immediately obvious and
stresses the need for replication. A closer examination shows
the results to be less haphazard than at first glance. At each
successive sampling time there is a reduction in the number of
samples containing live organisms. For example, after 40min
exposure to the phenol, live organisms were recovered in all
five experiments; after 60min exposure live organisms were
recovered in only four
of the experiments and after 80min in only one experiment.
The between experiment variations are called sampling errors
and are largely due to the survivors being too few to ensure at
least one live organism being in each sample. The observation
led to the development of a statistical treatment (Mather,
1949) for extinction-time data and the calculation of the
‘mean single survivor time’ which is the time needed to
reduce the number of viable organisms to an average of one
per sample volume. The mean single survivor time is
somewhat shorter than the mean death time because the
mortality level involved is slightly lower. An example of the
calculation of the mean single survivor time (MSST) is given
by Cook and Wills (1954).
Counting methods: A consideration of the Rideal–Walker and
similar end-point methods shows the difficulty of determining
the exact end-point. In the RW test the end-point lies
somewhere between 5 and 71min; taking extreme cases, the
dilution of phenol might kill in, say, 5.1min and the
1893
disinfectant under test in 7.4min; both subcultures will show
no growth after 7t min. The results at the standard time of 7t
min are therefore purely arbitrary. The disadvantages are
avoided if the rate of death is followed by viable counts.
Rates of death can only be determined by counting in dilute
solutions of germicides, i.e. in solutions from which it is
possible to withdraw samples at accurate intervals of time.
Viable counts are not reliable with organisms that clump or
form long chains. Quaternary ammonium’ compounds, e.g.
cetrimide, promote clumping and’ BS 3286: 1960 deals
specifically with evaluation of the disinfectant activity of this
type of compound. In many cases the problem of clumping
can be overcome by the use of a nonionic surfactant. Berry
and Michaels (1947) give examples of statistical methods
applied to the results. Comparison of reaction rates may be
made (Davis, 1940) as shown in Fig. 34.19.
1894
Fig. 34.19 Germicidal effect of 0.5 per cent phenol; A, 0.05
per cent chlorocresol; B, 0.05 per cent chlorobuto; C, on
Staphylococcus aureus in watery suspension at 19–20.5°C
(Davis, 1940).
Other methods of estimating bactericidal activity from viable

count data are available, including comparison of LT50s, the
time taken to kill 50 per cent of the test organisms. Withell
(1942) suggested that a bactericide should be evaluated by
determining.
LT50 for phenol and the bactericide at suitable concentrations.
LT50 for phenol and the bactericide at other concentrations (in
order to determine the concentration coefficients).
1895
The temperature coefficient, θ, by similar methods. Since the
majority of the organisms will possess average resistance, the
LT50 is determined by a large number of organisms whereas
the extinction time detrained by the comparatively few
organisms possessing maximal resistance to the bactericide.
Thus the LT50 is more dependable and more representative
than the extinction time.
Turdidimetric methods: Berry and Cook (1950) developed
this method for evaluating the bactericidal action of solutions
of phenols in potassium ricinoleates. They discuss the
accuracy of the method; for further details the original papers
‘In-use’ and other tests: A more versatile evaluation of
disinfectants is often required, particularly in hospitals, where
the type of organisms, disinfection period, presence of various
organic soiling materials and other factors can vary
considerably. The basis for a more adaptable test appears in
British Standard 3286: 1960 and allows variation in the test
culture(s), disinfection period, presence of organic matter and
other factors. In 1965, Kelsey et al. produced a capacity
use-dilution test. The main aim of this test was to measure the
capacity of the disinfectant to deal with successive bacterial
contamination. Instead of determining the ability of the
disinfectant to cope with one large inoculum, inocula are
made in six increments.
From the British Standard 3286: 1960 and the Kelsey et al.
test was developed the Kelsey and Sykes test (1969), which
incorporates the advantages of both tests. This test is worthy
of mention in more detail.
Kelsey and Sykes test (1969)—the test organisms are S.
aureus NCTC 4163 and P. aeruginosa NCTC 6749. Proteus
vulgaris NCTC 4635 and others, such as E. coli, can be
added.
1896
Disinfectant dilutions are made in water of 300 p/m hardness.
Any number of dilutions can be made, but it is important to
include:
1. the dilution recommended by the manufacturer,
2. a dilution 20–25 per cent weaker than (1) and
3. a dilution 20–25 per cent stronger than (1).
‘Clean’ and ‘dirty’ conditions are simulated in the test. In
both cases the final concentration of bacterial cells should be
about 109/ml. ‘Clean’ conditions are simulated by using broth
as the suspending fluid, and ‘dirty’ conditions by the use of a
yeast suspension or inactivated horse serum as suspending
fluid. The basic procedure is outlined in Table 34.13.
Table 34.13 Procedure for Kelsey and Sykes test
Time
from
Procedure
start
(min)
0 Inoculate 3ml of the disinfectant dilution with 1ml of
bacterial suspension in broth, yeast or serum and
shake gently. (This gives a bactericide/ bacteria
reaction mixture).
8 Remove sample from above reaction mixture with a
50 dropper pipette. Transfer 1 drop to each of 5 tubes
of liquid recovery media or 5 drops to the surface of a
nutrient agar plate.
10 To bactericide/bacteria reaction mixture, prepared at
start (time 0) add a second 1ml of bacterial
suspension.
1897
18 As for 8min (reaction mixture now contains 2ml of
bacterial suspension).
20 Add third incremental addition of I ml of bacterial
suspension to original bactericide/bacteria reaction
mixture. (A total of 3ml has now been added.)
28 As for 8min.
The samples taken at 8, 18 and 28min are then incubated at
30–32°C, and the number of tubes showing growth or the
number of colonies/ drop from surface plate culture is
recorded.
A disinfectant is satisfactory for use at the initial
concentration if: (1) no growth occurs in 2 or more of the 5
tubes of the 18min samples, i.e. subcultures taken after
second incremental addition of bacteria; or (2) there are not
more than 5 colonies from the 5 drops on the agar plate.
Tubes of disinfectant reaction mixture should be kept for 5
days, without further inoculation, and further samples taken to
confirm that undetected surviving cells have not developed.
The main source of error in this test is due to organism
variation, but this test will show the stability of disinfectant
dilutions and their long term effectiveness. An improved
Kelsey–Sykes test for disinfectants has been described by
Kelsey and Maurer (1974). They defined more precisely the
conditions of the test without altering the general principles or
end results.
An ‘in-use’ test was described by Kelsey and Maurer (1966).
In this test samples are taken from situations in which the
disinfectant is used, e.g. liquid from mops storage and rinse
liquids for urine bottles, etc. One ml of the liquid is diluted
with 9ml of one-quarter strength Ringer’s solution (plus
inactivator if necessary) and 10 drops are placed on the
1898
surface of an agar plate with a 50 dropper pipette. If not more
than 5 out of the 10 drops show growth after 48 h at 30–32°C,
the disinfectant is considered adequate.
In addition to the four main types of test for assessing
bactericidal activity, ‘in vivo’ tests must be applied if the
antibacterial is intended to be used on living tissue. If it is to
be used on the skin, the disinfectant action can be evaluated
by placing the test organism on the back of the hand,
subjecting it to the disinfectant then swabbing the infected
area of the hand to ascertain if disinfection has occurred.
Details of in vivo tests are given by Spooner and Sykes
(1972). Assessment of systemic toxicity should be applied to
wound disinfectants. The nature of the surface to be
disinfected may also affect the choice of a method of
evaluation.
Tests Applied to Semisolid Antibacterial

Formulations
These include creams, ointments, pastes and gels. The base

used for the formulation often markedly affects the
antimicrobial activity of the disinfectant substance (Kolstad &
Lee, 1955).
Assessment of Bacteriostatic Activity
In the original method proposed by Reddish (1927) sample

portions of the formulation were placed on the surface of agar
seeded with S. aureus and the zones or inhibition, if any,
measured. The technique was later modified by the
incorporation of 10 per cent horse serum in the agar. The
1899
cupplate or ditch-plate techniques can equally well be applied
to these types of formulation.
Assessment of Bactericidal Activity
Modified phenol coefficient type tests can be used. The test

organism must be well mixed with the semisolid
formulations, samples taken at appropriate intervals, and
placed in a broth which is capable of dispersing the base and
nullifying the antimicrobial activity of the disinfectant
compound. Sampling errors using a loop are large and a
method of transferring the mixture to a hypodermic syrihge
and ejecting small volumes into suitable media was proposed
by Foter and Nisonger (1950).
Skin tests should also be made.
Tests Applied to Solid Disinfectants
In these formulations the disinfectant compound is often

mixed with an inert substance such as talc or kieselguhr to
form a disinfectant powder.
By dusting the powders onto inoculated plates, using the inert
diluent as a control, the extent of inhibitory action can be
ascertained. British Standard (B.S. 1013: 1946) gives details
of the determination of the Rideal–Walker coefficient for
disinfectant powders. A weighed sample is shaken with
distilled water at 18°C for 30min and the suspension used for
the Rideal–Walker test.
Although the lethal process is very similar to that in the liquid
environment, the mechanism of disinfection is quite different.
A concise summary of the evaluation of air disinfectants is
1900
given by Bourdillon et al. (1948), Whittet et al. (1965) and
Sykes (1965).
For the basic evaluation a closed room of approximately
cubic dimensions and 1000 cu. ft capacity should be used.
Fans should be incorporated to ensure uniform mixing of
bacteria and bactericide. S. albus is often used as the test
organism as it is a nonclumping strain. Dispersion of the
organisms into the air can be done with a collision inhaler,
and samples of the air taken at suitable intervals with a slit
sampler. Obviously, the room must be initially free from
extraneous microorganisms (this is done by careful cleaning
and use of ultraviolet light disinfection of the air), and the
temperature and humidity of the air carefully controlled,
although, in practice, such ideal conditions do not occur
naturally. A bactericide achieving an 85 per cent (or more)
kill in 4–6min (RH 55–65 per cent, temperature 20°C) is
considered satisfactory. Cyclopentanol-l-carboxylic acid has
been suggested as a reference standard for air disinfection.
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Martindale. 26 The Extra Pharmacopoeia,. London: The
Pharmaceutical Press; 1972.
Mather K. Biometrics. 1949;5:127.
Mitchell AG. J. Pharm. Pharmacol. 1964;16:533.
Miura K, Reckendorf HK. In: Ellis GP, West GB, eds.
Progress in Medicinal Chemistry, Vol.5. London:
Butterworths; 1967:320.
Morris EJ, Darlow HM. In: Hugo WB, ed. Inhibit ion and
Destruction of the Microbial Cell,. London: Academic Press;
1971.
Postgate JR. In: Norris JR, Ribbons DW, eds. Methods in
Microbiology,.1. London: Academic Press; 1969.
Prokop A, Humphrey AE. In: Bernarde MA, ed. Disinfection,.
New York: Marcel Dekker Inc; 1970.
Quastel JH. J. gen. Microbiol. 1966;45:xiv.
Reddish GF. J. Am. pharm. 1966;45:xiv.
Report to the Public Health Laboratory Service. Mon. Bull
Minist. Hlth. 1958:10.
Rubbo SD, Gardner JF. A Review of Sterilization and
Disinfection. London: Lloyd-Luke (Medical Books) Ltd;
1965.
Rubbo SD, Gardner JF, R.L. Webb. J. appl. Bact. 1967;30:78.
Salton MRJ. Bact. Rev. 1961;25:77.
Semmelweiss JP. Die aetiologie der Bergriff und die
prophylaxis des kindbettfiebers,. Vienna: Pest; 1861.
Shere L, Kelly MJ, Richardson JH. Appl. Microbiol.
1962;10:538.
1904
Spooner DF, Sykes G. In: Norris JR, Ribbons DW, eds.
Methods in Microbiology,.7B. London: I Academic Press;
1972.
1970 Statutory Instrument 1372 (1970). London: HMSO.
Streitfield MM, Suslaw MS. J. lab. din. Med. 1954;43:946.
Suter CM. Chem. Rev. 1941;28:269.
Sykes G. Disinfection and Sterilisation. London: E. & F.N.
Spon; 1965.
Szybalski W, Bryson V. J. Bact. 1952;64:489.
Waksman SA, Horning ES, Welsch M, Woodruff HB. Soil
Sci. 1942;54:281.
Whittet TD, Hugo WB, Wilkinson GR. In: Stenlake JB, ed.
Sterilisation and Disinfection,. London: W. Heinemann
Medical Books Ltd; 1965.
Withell ER. Q. J. Pharm. 1938;9:736.
Withell ER. J. Hyg. Camb. 1942;42:339.
1905
Chapter 35
Sterilization
Definitions
Sterility: Sterility may be defined as the absence of living

organisms from any given milieu. Strictly speaking, it is an
absolute concept and cannot be qualified in any way.
Expressions such as ‘virtual sterility’ and ‘partial sterility’ are
contradictions in terms and the sanction for their use arises
purely from the practical difficulties, examined later in this
chapter, of determining with certainty the point at which
sterility has been attained.
Sterilization: Sterilization is the total process by which
sterility is achieved. Whether it is effected by physical or by
chemical agencies, it is an orderly process proceeding to
extinction, and the dynamics of this process are the same as
those which have been examined in Chapter 34. The latter
term, however, is used whether the lethal process is complete,
resulting in sterility, or whether it proceeds to some
intermediate stage, and it is often restricted to the destruction
of pathogenic and nonsporing organisms (Reddish, 1957;
Rubbo & Gardner, 1965). Sterilization, on the other hand, is a
process by which all microorganisms may be assumed to have
been killed.
1906
Thermal Resistance of Microorganisms
Thermal Death Time
Thermal death time is defined as the time required to kill a

particular species or strain of microorganism at a given
temperature, under specified conditions. The usefulness of the
statistic is, however, greatly reduced by the fact that it is
influenced not only by controllable environmental factors,
e.g. temperature, pH, presence of bactericides, etc., but also
by uncontrollable factors such as the number of
contaminating organisms and their resistance to heat, which
may vary even within recognized strains, due to the age of the
cells and the conditions of growth prior to heat treatment.
Table 35.1 gives some approximate values of thermal death
times. It will be seen that there is a considerable variation
between different types of organisms, the spores of many
bacterial species being much more resistant than nonsporing
bacteria, or the thinner-walled, larger and more structured
moulds. Although the spores of the latter are more resistant
than their hyphal forms, only one mould spore, that of
Byssochlamys fulva, shows any marked resistance to heat and,
although it is quite easily killed by the treatment normally
employed for sterilizing pharmaceutical products, it can cause
trouble in the food industry, e.g. in the canning of soft fruits,
some of which will withstand heat treatments only slightly
more severe than that required to kill the spores of the mould.
Table 35.1 Approximate thermal death times of
microorganisms
1907
It might be supposed therefore that an adequate margin of
safety can be secured by taking care that the temperature used
and the time for which it is applied will exceed those
indicated by the known thermal death times of the most
resistant species expected to be present. A common practice is
to increase the time of exposure indicated by the thermal
death time by 50 per cent, though Darmady et al. (1958)
suggest that, for dry heat, the thermal death time used for the
calculation should be that obtained at a temperature 10°C
lower than that used for sterilization.
However, the inaccuracy of thermal death times (see Table
35.1) makes their use suspect.
Death Rate of Microorganisms
It is not possible to determine exactly, by direct method, the

point in time when sterility is first achieved, because shortly
before this is reached the number of surviving organisms is so
small that accurate determination of it becomes impossible;
due to the very high sampling errors involved. Reliance is
therefore usually placed on extrapolation of the plot of log
survivors against time, because in many cases this is found to
be linear over a large part of its range. However, this
relationship, as in the case of disinfection by chemicals (see
1908
Fig. 34.8) is not always linear and may prove under some
circumstances to be sigmoid in character, finally approaching
the zero survivor level in an asymptotic manner (Hansen &
Riemann, 1963). This has been ascribed to the presence of a
few very resistant organisms, although Rahn (1945) denied
this and regarded it as entirely due to sampling error. Under
such conditions, extrapolation of the linear part of the curve
may give a thermal death time that is too low, and Vas and
Proszt (1957) suggest that in these circumstances the
destruction characteristics can only be described numerically
by the mean destruction time and its standard deviation. It is
generally assumed, however, that provided conditions are so
arranged that the death rate is sufficiently rapid, a linear log/
survivor/time relationship can be assumed to hold effectively
down to the zero survivor level and that the thermal death
time can be determined without undue error. For this reason,
Rubbo and Gardner (1965) recommend that the sterilization
process employed should be as rapid as possible, having
regard to the ability of the materials being treated to withstand
the temperature selected.
Decimal Reduction Time (D)
If one assumes that a linear log/survivor/time relationship will

hold, a graphic method can be used for determining the
thermal death time. Alternatively, making the same
assumption, one can use data from the earlier, assuredly
linear, part of the curve to calculate functions which can be
taken as indicators of the efficiency of the process, without
using the end point itself. One such function is the decimal
reduction time or D value (Schmidt, 1950). This is the time in
minutes required to reduce the number of viable organisms by
1909
90 per cent, i.e. the time corresponding to one log cycle on
the survivor/time curve. Numerically it is also the reciprocal
of the velocity constant of the reaction calculated from the
equation:
where Nt is the number of organisms surviving the treatment

time ‘t’. N0 is the initial number of microorganism and ‘K’ is
the death rate.
Inactivation Factor
The inactivation factor is the degree to which the viable

population of organisms is reduced by the treatment applied,
and is obtained by dividing the initial viable count by the final
viable count. Alternatively, where the complete survivor/time
data is not available, but the D value for the organism is
known, it can be calculated from the equation:
Inactivation factor = 10t/D
where t = treatment time in minutes; D = D value for the

same temperature and conditions.
1910
Z Value
This is defined as the increase in temperature required to

reduce the D value by 90 per cent (Ball, 1923, quoted by
Schmidt, 1957); it is used as an indicator of the relative heat
resistances of the organism under tests, organisms with high z
values being the most resistant. Most nonsporing organisms
have z values of about 4–6°C, while for spores it may be as
high as 16–20°C (Hansen & Riemann, 1963).
Choice of Test Organism
From Table 35.1, it might be supposed that in all cases, spores

of a soil bacterium would be most suitable for testing the
efficiency of sterilization procedures. Other factors besides
heat resistance must be considered, however. The organism
must be easily cultivated and have a distinctive colonial
morphology which will enable it to be recognized and
counted. This rules out most clostridial spores which are
difficult to culture, and many of the genus Bacillus, because
they produce indistinguishable, spreading colonies.
It may also be useful to relate the requirements for the test
organism to conditions in which it is normally found and to
the sterilization process employed. Thus, for dry heat
sterilization of instruments and syringes, Darmady et al.
(1958) argue that a suitable pathogen should be used, and
advocate the use of C. tetani, while Quesnel et al. (1967)
reject this argument and advise the use of strains of Bacillus
subtilis, considering heat resistance and cultural
characteristics to be more important than pathogenicity. One
of the organisms they used, Bacillus subtilis var. niger (B.
globigii), produces distinctive brown colonies and was first
1911
recommended for testing sterilization with ethylene oxide, by
Phillips (1949). Because they represent natural contamination,
soil samples themselves have often been used for testing
autoclaving procedures, but with unidentified organisms in
mixed culture, erratic results may be expected to occur. For
this reason Kelsey (1959) suggested the use of B.
stearothermophilus spores. For radiation sterilization, Powell
(1961) recommended the use of a strain of Bacillus pumilus,
but Quesnel et al. (1967) found it to have only moderate heat
resistance. The Pharmaceutical Handbook (1970) gives a
useful summary of current practice and advocates the use of
B. stearothermophilus for testing both moist heat and dry heat
processes, B. pumilus for ionizing radiations, and B. subtilis
var. niger for ethylene oxide.
Acceptable Standards for Sterilization

Procedures
Terminology
The difficulties of ascertaining with certainty the point at

which sterilization is first achieved have led to a change in
attitude concerning the use of the term ‘sterility’. Although it
is an absolute concept; it is nevertheless one of immense
practical importance and in order to retain the word ‘sterility’
in describing the practical situation it has been found
necessary to sacrifice terminological rectitude to functional
necessity. Consequently, the term ‘virtual sterility’ is
sometimes used to indicate the achievable end point of
sterilization of large volumes of air (Elsworth, 1972). The
Pharmaceutical Handbook (1970) redefines the term ‘sterile’
as ‘free from demonstrable forms of life’, and suggests that
1912
sterilization can be regarded as being associated with a
definite degree of risk, acceptable levels of which must be
decided arbitrarily if methods are to be standardized in codes
of good practice.
Methods of Assessment
One way of defining this risk would be to decide that a given

inactivation factor should suffice. Thus, Powell (1961)
suggested that for radiation sterilization a dose of 2.5
megarads, corresponding to an inactivation factor of 107–1012
would be suitable, and Sykes (1969) gives a factor of
1015–1020 as being acceptable for steam sterilization, while
admitting that a lower level of 108–109 would be necessary
for sterilization with ethylene oxide. Rubbo and Gardner
(1965), however, point out that the residual contamination
depends not only on the inactivation factor, but also on the
original population of contaminants. Thus, if the inactivation
factor is 107 and the original contamination is 10 organisms
perarticle, there is a risk of one unsterile article remaining in
every million processed; but if the original contamination is
105 organisms perarticle there would be a risk that one in
every hundred articles would be unsterile. Clearly the latter
situation is unacceptable, but it remains a matter of opinion
whether the risk of one unsterile article permillion is
acceptable or not. Fortunately, for most purposes
pharmaceutical materials do not carry a very high number of
contaminants before sterilization, though surgical dressings
can prove the exception to this and they also pose a number of
special problems which will be referred to later.
The z value has also been used to determine the temperature
required to produce effective sterility within a predetermined
1913
convenient time, when data is only available for performance
at a different temperature.
All such calculations, carried out using a single type of
organism, must be treated with caution when considering the
requirements for overall standards for sterilization
procedures, and most of the official methods at present in use
were developed from a consideration of end point data rather
than from the use of derived functions such as D and z values.
It must also be realized that other factors such as the nature of
the material being sterilized, its volume and method of
packing, all affect the efficiency of the process, so that the
criteria that have become accepted for the sterilization of
pharmaceutical preparations have been derived from practical
experience in the working situation rather than from isolated
laboratory experiments. In view of the many factors
operating, it is not surprising that the evidence obtained has
been conflicting and that different standards have been
officially adopted in different countries. It is known, for
example, that spores of some soil bacteria will survive the
sterilization procedures laid down in the British
Pharmacopoeia, but despite this Sykes (1965) claims that
pharma ceuticalproducts are unlikely to contain such resistant
organisms and hence the British official requirements have
proved satisfactory in practice. Thus, the evidence available
from the use of both survivor levels and end point
assessments is sufficiently variable to require a final arbitrary
judgment regarding the standards which should be set.
Nevertheless, the abandonment of the goal of complete
sterility in favour of a very low level of residual
contamination associated with an acceptable level of risk
makes quantitative estimation of sterilization efficiency both
possible and valid and the accumulation of data for the wide
1914
range of organisms and sterilizing conditions could lead to a
more precise formulation of acceptable standards.
Sterilization Processes
The processes used to effect sterility of pharmaceutical
preparations may be classified as follows:
Processes involving the use of physical means: These may
involve the utilization of heat in the presence or in the
absence of moisture, or the application of ultraviolet, or
ionizing radiations (see Chapter 32).
Chemical processes: For most purposes the application of
chemicals in solution to, e.g. surfaces of utensils or to skin,
does not produce sterility, and this disinfectant activity has
already been considered in Chapter 34. A chemical
bactericide can however be used in solution together with the
application of heat for the sterilization of certain thermolabile
injectables and this method is permitted in the British
Pharmacopoeia (1973), in some cases. Bactericidal gases
may also be used for the sterilization of apparatus and
materials which might be damaged by heat.
Mechanical processes: In these, the organisms are not killed
in situ, but are removed by filtration.
Sterilization with Moist Heat
Immersion in Boiling Water
Table 35.1 shows that, while boiling water will kill

nonsporing organisms quickly, most spores are considerably
more resistant, and some remain viable for 5h or more,
though these are generally nonpathogenic. As boiling is only
1915
used as an emergency sterilizing procedure for surgical
instruments, it could be argued that pathogenic spores alone
are of significance, but these too are fairly resistant, some
strains resisting boiling for about 95min. As has been said
already, such a figure derived from end point determinations
of the death time, can show wide variation,
and indeed Kelsey (1958), assuming a z value of 10°,
calculated that to obtain the equivalent of killing in 5min at
121°C, which he regarded as offering a reasonable margin of
safety, boiling for 5h would be required. It is not surprising
therefore that in hospitals the method has largely been
abandoned and replaced with the use of sterile, individually
wrapped instruments, from a central sterile supplies depot, or
from commercial sources producing disposable, sterile units.
Some vaccines are sterilized by heating in water at a
temperature of 55–60°C. The vaccine is, or should be, a
suspension of known organisms and free from spores, and the
low temperature is used to kill the organisms present without
impairing their antigenic properties.
Treatment with Steam at Elevated Pressure
Although steam at atmospheric pressure can be used for the

sterilization of, for example, heat sensitive culture media, the
process is unreliable and can often be avoided. For many
media prepared from dried granules, for rubber gloves, glass
apparatus or containers with rubber fittings or liners, for
aqueous injections and for surgical dressings, treatment with
steam at a pressure greater than that of the atmosphere is
generally used. This process is known as autoclaving.
Autoclaving
1916
Principles of Steam Sterilization
If water is boiled in an open vessel, i.e. at atmospheric

pressure, and if the vessel is then closed and heating of it
continued, the temperature of the water and its vapour will
rise above the normal boiling point and the pressure will also
rise. Assuming that all air has been swept out of the vessel
before it is closed, the temperature–pressure relationship will
be as shown in the phase diagram (Fig. 35.1). In this, the
pressure is recorded in kgf/cm2 above atmospheric pressure,
and the phase boundary is the boiling point curve where
steam and water are in equilibrium and the steam is said to be
saturated. Columns 1 and 2 of Table 35.2 give figures which
correspond to points on the curve.
Fig. 35.1 Phase diagram.
Table 35.2 Effect of diluting steam with air on

temperature–pressure relationship
1917
Saturated Steam
When steam is saturated, it has its maximum capacity for

condensing out. In doing so it gives up its latent heat to the
materials on which it condenses. The heat up of objects being
sterilized at temperatures of 115–135°C is therefore rapid,
because the heat energy liberated is about 4–4.5 times that
retained in the same amount of condensed water. The
condensed water also assists in the sterilization process by
hydrating the microorganisms present and allowing them to
be easily killed (see pp. 585). Moreover, when the steam
condenses, a very considerable contraction occurs and more
steam is drawn into the area to re-establish the pressure, so
continuing the build up of local heating until condensation is
complete.
Superheated Steam
If the conditions of temperature and pressure are such that

their effect is shown by a point above the phase boundary in
Fig. 35.1, then the steam will be less than saturated, and is
said to be superheated. Saturated steam may become
superheated if it is isolated from contact with excess liquid
water and either heated further or caused to expand by
reducing the pressure, or by a combination of both provided
that the above conditions are met. This will, of course, always
1918
be so if the temperature rise takes place at constant pressure,
or the pressure falls while the temperature is held constant, as
shown by the lines XA and XB in Fig. 35.1. Conversely, if
steam is cooled or the pressure allowed to rise, condensation
will occur if conditions traverse the phase boundary to a point
lying beneath it.
Steam can also become superheated if mixed with air at
constant pressure, for the partial pressure of the water vapour
will thereby be lowered and the ability of the water molecules
to condense will be reduced. Table 35.2 shows the effect of
such dilution on the temperature of saturated steam at
different overall pressures. If an unknown proportion of air is
present in an autoclave, neither temperature reading nor
pressure reading taken alone will reveal it. But if both
readings are taken together, it can then be seen that the
conditions do not correspond with those for pure water
vapour, and suitable action can be taken. Industrial autoclaves
are therefore fitted with both temperature and pressure
recorders, and careful attention must be paid to these to
ensure that sterilizing conditions are attained. The importance
of this was shown in an incident which occurred in 1971
(Clothier Committee of Enquiry, 1972) where the readings of
the temperature recorder were ignored because it was
assumed to be faulty, though its low readings really signified
the presence of air which had not been voided from the
autoclave.
Superheating can also be produced if local hot spots occur,
e.g. close to the chamber walls of a jacketed autoclave if the
jacket is maintained at a temperature above that of the
chamber, or by the interaction of the water vapour with the
material being sterilized when the heat of adsorption is
positive. Such an interaction occurs when cotton fibres adsorb
and absorb moisture from steam, for the water is in effect
1919
bound as a liquid and the heat of adsorption will be equal to
the sum of the latent heat and the residual heat of the liquid
water. The fibres will therefore be rapidly heated, but
superheating may occur. However, this only becomes
appreciable if the cotton material has previously been dried to
a moisture content of less than 1 per cent (Knox et al., 1960).
As cotton fabrics and dressings normally contain about 5 per
cent of moisture, the heat of adsorption usually produces a
negligible level of superheating.
Tolerable Degrees of Superheating
So far we have considered the equilibrium existing between

water vapour and pure water. If, however, a substance is
dissolved in the water, its vapour pressure will be lowered
and the solution can exist in equilibrium with steam that
would be superheated with respect to water. Savage (1937)
proposed that the bacterial substances could be regarded in
this way and that it could equilibrate with steam showing
some degree of superheating, so that condensation could still
take place. He tested the efficiency of steam having varying
degrees of superheat in killing spores and found that the
degree of superheat that could exist and still provide
satisfactory sterilizing conditions rose as the temperature
itself rose. At the usual autoclaving temperatures, i.e.
115–120°C, sterilization could be achieved within the normal
time schedule, even though two or three degrees of superheat
existed. Savage advocated this procedure in order to ensure
that dressings would be dry after sterilization, but the Medical
Research Council’s Working Party (1959) suggested that
superheating could occur within the dressings due to heat of
adsorption and that therefore no further superheating should
1920
be tolerated. They recommended that steam should be
admitted to the chamber without any superheating and that
the practice then current, of holding the jacket at a
temperature about 10° higher than the chamber should be
abandoned.
Wet and Dry Steam
When steam is produced from a boiler, it contains a large

number of entrained droplets of water. If such ‘wet’ steam is
used for sterilization, it will reduce condensation of water
vapour so that less latent heat will be made available to
produce a rapid heat up. Moreover, if the objects to be
sterilized are absorptive, e.g. surgical dressings, paper
wrappings, they will become sodden. Before admission to the
autoclave, therefore, the excess moisture is removed by
suitable baffles in a separator. The resultant steam freed from
its water droplets, is referred to as ‘dry’ steam.
Design and Operation of Autoclaves
Portable Autoclaves
A portable, or bench, autoclave is essentially very similar to

the familiar domestic pressure cooker. It consists of an
upright aluminium or stainless steel, cylindrical vessel, of
about 15 litres capacity fitted with a lid which can be firmly
secured. In one type the lid is held down with eight screw
clamps and carries a pressure gauge, an air vent and an
adjustable safety valve. The externally fitted lid ensures that
the whole of the capacity of the vessel can be used, but the
arrangement has disadvantages. If one of the clamps fractures,
1921
the strain imposed on others may cause these to fail
successively and an explosion will then follow. It is therefore
essential that all the clamps should be firmly secured and that
they should be carefully maintained. The lid itself is heavy
and does not carry a thermometer as this would be likely to be
damaged when the lid is put down, as it cannot be easily
inverted. Conditions within the autoclave are therefore
indicated solely by the pressure gauge. Although saturation
will always be maintained by the excess water at the bottom
of the autoclave, it is essential that all air should be expelled
before the vent is closed, otherwise the reading of the
pressure gauge will indicate a temperature higher than that
attained.
A more satisfactory arrangement is that shown in the
autoclave illustrated in Fig. 35.2. The lid is fitted under the lip
of the opening at the top of the stainless steel vessel. This
offers maximum safety, because increase of pressure will
only secure the lid more firmly. Both lid and opening are oval
in shape so that the lid can be inserted diagonally with its
narrow axis presented to the wider part of the opening. It is
then rotated into its correct position under and aligned with
the opening and secured by a crossbar passed through the
handle. The bar carries a clamping screw at one end which
can be screwed down on to the lip, thus raising the bar and the
lid suspended from it. The lid is surrounded by a rubber rim
and this is brought tightly against the underside of the lip of
the vessel; it carries only a spring-loaded safety valve and a
pressure gauge and is quite light and easy to handle.
1922
Fig. 35.2 Bench autoclave. (A) Handle of lid. (B) Lid. (C)
Gasket. (D) Armoured thermometer. (E) Thermostat. (F)
Pressure gauge. (G) Spring safety valve. (H) Crossbar. (J)
Screw for tightening lid. (K) Blow-off valve. (L) Gas inlet.
(M) Gas outlet to burner (not shown). (N) Perforated stand.
The thermometer, with its bulb shielded, is inserted through

the lip and not through the lid, so that it is not damaged when
the latter is withdrawn or inserted. The lip also carries a
thermostat which can be preset to maintain any required
temperature in
the autoclave, and this can be adequately monitored because
both temperature and pressure readings can be made. This
1923
type of autoclave is generally designed to be heated on a gas
ring, but electrically heated remodels are also available. If
relatively large objects are to be sterilized, e.g. infusion
bottles, these are placed on a perforated plate which rests on
the bottom of the autoclave. This arrangement gives the
maximum head room, which is necessary as the insertion of
the lid reduces this. Smaller articles can be placed on a wire
basket the legs of which keep them above the water.
A blow-off valve is fitted at the side of the autoclave in order
to void air. Owing to the turbulence created by the boiling
water, air and steam are well mixed and the rather low
position of the valve is therefore no detriment. Unlike the
model first described, the valve is not attached to a siphon
tube inside the vessel. This was used to blow of the excess
water and then the steam at the end of autoclaving in order to
create ‘dry’ conditions. This is really of importance only
when dressings are sterilized and portable autoclaves are not
suitable for this. A siphon tube is therefore not required.
Operation: The operation of this type of autoclave is very
simple. About two litres of water is placed in the vessel the
objects to be sterilized are loaded into it, and the lid is fitted
in place. The air vent is left open and the heat turned on. If
solutions in unsealed containers, e.g. bacteriological cultures
in plugged tubes are being sterilized, they should not be put in
the autoclave until the water has started boiling, otherwise
concentration of the solution may occur during the heat-up
period. When steam has issued freely from the vent for about
5min, the latter is shut. The temperature and pressure then rise
till the former reaches that controlled by the thermostat. When
this is seen to be so, heating is continued for the required time
and the autoclave is then allowed to cool. As soon as the
pressure in the autoclave drops to that of the atmosphere, the
vent is opened in order that the gauge should not be damaged
1924
by the vacuum that would otherwise result. This might also
cause some evaporation of liquids in unsealed containers.
Injections in ampoules may be removed almost immediately,
but intravenous infusions in large bottles, because heat
transfer from them is poor, cool down more slowly than the
autoclave itself. They therefore retain a pressure higher than
that of the atmosphere for some time and, if removed too
early may explode.
If the autoclave is temperature controlled by a thermostat, it is
not absolutely necessary to vent the air from it, for the correct
temperature will be reached and maintained and saturation
will always occur due to the reserve of water present.
Venting, however, decreases the risk of pockets of air
remaining between or within the objects to be sterilized, and
ensures a satisfactory penetration of steam into them.
Horizontal Large-Scale Autoclaves
The portable autoclaves described above can only be used for

small loads of vaccine bottles or for one or two transfusion
bottles. For large loads, horizontal autoclaves are used of the
general design shown in Fig. 35.3.
1925
Fig. 35.3 Horizontal jacketed autoclave.
Main steam is passed through a reducing valve A to bring the

pressure down to that required for operation, and then through
a separator B to remove water droplets. The steam line is then
bifurcated, one branch passing to the jacket surrounding the
chamber, the other leading to the top of the chamber itself
where steam is admitted through the baffle F. The chamber is
fitted with a pressure gauge P and a spring-loaded safety
valve
C, a relief valve 0 and also an air inlet E, guarded by a sterile,
bacteria-proof filter. It is drained at G and the drain pocket
carries an armoured thermometer H and a probe for a
recording thermometer 1. The drain line then passes through a
strainer J, a nonreturn valve K and a steam trap L. The jacket
drain also carries a steam trap M. Both steam traps drain into
a common waste through U-bends, but an air break is
maintained between these and the main drainage system so
that no water can be sucked back when the chamber is cooled
or exhausted and the exit of condensed water can be
observed. The chamber may also be fitted with an exhaust
1926
line 0 passing to an ejector operated by water or steam, or by
a water-sealed rotary pump. These give only a moderate
vacuum, but where a higher vacuum is required, a water ring
pump may be used to suck air through a special ejector
(Whittet et al., 1965), or an oil-sealed pump with means to
remove condensed water may be employed.
Operation: The mode of operation may depend on the type of
material to be sterilized. In the case of porous materials,
particularly surgical dressings, it is necessary to draw a
vacuum to remove air, not only from the chamber itself, but
also from the interstices of the materials being sterilized. For
nonporous materials this is not necessary and use of high
vacuum cycles is inappropriate for bottled liquids (Sykes,
1969); downward displacement with steam is therefore
generally used. In this case, it is not necessary that the
autoclave should be provided with a steam jacket, provided
that it is properly lagged, but it is of course often a matter of
convenience to use a jacketed autoclave for all purposes.
Loading: The load must be carefully stacked in the autoclave
so that channels are left between the articles to allow the
maximum penetration of steam. None of the articles should
touch the chamber wall, and if packed in containers, these
must allow free drainage of air downwards through the pack
and out at its base. The load is often carried on a wheeled rack
with perforated shelves, and this may be partially withdrawn
from the chamber on to a detachable gantry for ease of
operation. When loading is completed, the door is shut and
secured either with shackled clamps arranged peripherally or
for cylindrical chambers, by radial bolts actuated by a wheel
placed centrally on the door.
Removal of air: The next stage consists of admitting steam to
the chamber and removing air from it. As has been said, this
can be done in two ways.
1927
Downward displacements: Steam is admitted to the chamber
through F, the baffles of which are designed to ensure that
steam is directed to the top of the chamber in a turbulent state,
so that an air pocket is not formed there. The steam, being
slightly lighter than air at the same temperature, gradually
displaces the air and air-stream mixtures below it and forces
them out through G. When this process is complete the
temperature recorded at G should have risen to that of
saturated steam at the pressure indicated by the chamber
pressure gauge. In practice a low vacuum can be drawn before
admission of steam even for bottled fluids arid can assist in
removing part of the air before steam is admitted to remove
the remainder (Clothier Committee of Enquiry, 1972).
High prevacuum process: In this process the air is removed
by reducing the vacuum pressure to about 20mmHg. The
vacuum may be applied continually while the steam is
gradually admitted (Alder, 1970), but usually the application
of vacuum and admission of steam are made to alternate; two
periods of evacuation being often employed, each followed
by admission of steam. A vacuum 20mmHg (absolute) is
drawn (Knox & Penikett, 1958), followed by a short burst of
steam to raise the pressure to just above atmospheric. The
vacuum assists penetration of the fibres by the steam which
raises their temperature somewhat, but the subsequent inrush
of steam also entrains air and carries it back into the fibres, so
that as the steam condenses, small pockets of air are formed.
A second vacuum is then necessary to remove these and this
is assisted by the ‘boiling out’ of the condensate.
Wilkinson and Peacock (1961) showed that in closely packed
materials, e.g. hospital towels, better results were obtained if
the jacket temperature was held at 135°C and during the first
steam burst the pressure was raised to 200mmHg. Enough
high temperature steam was drawn into the fibres to raise
1928
their temperature to 45°C and to provide good boiling-out
facility when the second vacuum of 20mmHg was applied. At
the end of this, the temperature of the fibres dropped only to
40°C and steam was readmitted to give 2.11kgf/cm2
(30lbf/m2) gauge for only 3min. This high prevacuum, high
temperature process greatly reduces the time taken for a
complete sterilization cycle as each stage is of short duration,
but it is not suitable for fabrics which have become either
very dry or moisture-laden before sterilization.
Henry and Scott (1963) showed that ‘boiling out’ occurred
more readily with full loads than with an autoclave in which a
large air space was left and suggested that to obviate
difficulties with light loads a high vacuum of better than
15mmHg should be drawn with a steam-jacketed, oil-sealed
pump.
Heat-up time: When large bottles of liquid are sterilized, this
may be considerable, as heat penetration through the
individual items of the load is slow. The actual time required
will vary with the volume of each bottle and the steam
temperature employed, and the rate of heat penetration should
therefore be determined by placing thermocouples in
specimen loads. The recording of the chamber drain
thermometer is often used, but it gives only a crude estimate
of the conditions in the autoclave. For a 500ml transfusion
bottle the heat-up time using steam at 115°C is about 15min
(Pharmaceutical Handbook, 1970).
When the high-vacuum process is used for porous loads, the
rapid penetration of the steam quickly raises the temperature
of the articles being sterilized and it is not necessary to allow
for any further heat-up time.
Sterilization period: When all air has been removed from the
chamber and from the load in the case of porous objects, and
when the whole of the load has been raised to the sterilizing
1929
temperature, this is held for the required time. Appendix 29 of
the British Pharmaceutical Codex (1973) lists the following
temperature–time combinations which are based largely on
those proposed by the Medical Research Council’s Working
Party (1959)
(Table 35.3). Choice of the combination used will depend on
the ability of the material being sterilized to withstand the
conditions imposed.
Table 35.3 Temperature–time–pressure conditions for
autoclave sterilization
Drainage of air and condensate: During downward

displacement of air, this is vented through the drain at the
bottom of the chamber. To prevent excessive loss of steam at
the same time a steam trap is inserted in the exit line. This
may be a bellows-operated trap of the type shown in Fig.
35.4. The flexible capsule contains a liquid mixture which
boils at a temperature slightly lower than that of water. When
air passes through the valve the capsule is riot extended, but
after the air is voided and the steam enters the trap it raises
the temperature, causing the capsule to expand and close the
exit. The trap should open within 3 and close within 2 of the
saturated steam temperature and is therefore referred to as a
‘near-to-steam’ trap. The fact that the capsule is flexible
subjects the liquid inside it to the same pressure as that of the
1930
atmosphere surrounding it; the liquid will then boil at a higher
temperature if the pressure is raised so that near-to-steam
conditions are maintained. Such traps will vent air, air and
steam mixtures and small volumes of condensed water and
can be successfully used during the downward displacement
of air, but during the sterilization period, heavy loads of
nonporous articles, e.g. bottles of liquid, can produce copious
condensation and the bellows-operated trap is unable to cope
with it. A float-operated trap of the type shown in Fig. 35.5
may be used for this purpose, but Barson et al. (1958) showed
that under their test conditions neither bellows-operated nor
float-operated traps were fully satisfactory. The former are
insensitive to small amounts of air and the latter can only be
used to control the expulsion of water. Barson et al. (1958)
suggested that the bellows-operated valve should be provided
with a small permanent bypass and that the whole unit should
be incorporated inside the body of a float chamber so that
both valves and the bypass were all operative.
1931
Fig. 35.4 Bellows-operated steam trap.
Fig. 35.5 Float-operated steam trap (after Whittet et al.,

1965).
1932
Cooling down period: When the sterilization period is
completed, the inflow of steam to the chamber is stopped and
the autoclave is allowed to cool. Where large volume bottles
of liquid have been sterilized, these may take some time to
cool and the pressure round them must not be allowed to fall
too quickly or they may burst. The steam is therefore vented
slowly through the drain or a bypass. The contents of the
autoclave are then left until the temperature of the bottled
fluids falls below 100°C so that the autoclave can be opened
and the load removed without danger to the operator. When
dressings are sterilized, no such considerations arise and after
sterilization is complete the steam is removed by the pump
and a vacuum is drawn to remove residual moisture from the
load. The jacket temperature is maintained meanwhile to
prevent local condensation. Penikett et al. (1958) suggested
that a vacuum of 50–200mmHg held for less than 3min would
produce suitably dry dressings. At the end of this period the
vacuum is broken by admitting sterile air through the
bacteria-proof filter and the load can then be removed.
The cooling period for bottled fluids can be greatly reduced
by spraying them with jets of warm water (Bowie, 1959).
Wilkinson, Peacock and Robins (1960) found that, if
excessive breakage of bottles was to be avoided, the spray
must form a mist fine enough to prevent localized cooling and
thermal shock, and a
small volume of air must be admitted concurrently to prevent
too rapid a reduction of pressure around the bottles. The
object of spray cooling is riot only to shorten the time of
cooling as an economic measure, but also to reduce the
hazard of exploding bottles by ensuring that they are cool
enough before the door of the autoclave is opened. However,
Beverley et al., (1974) and Myers (1974) showed that
contamination could occur of the outer surface of the bottle
1933
closure and of the interface between the neck of the bottle and
the aluminium screw cap used to confine the closure. If then
the contents of the bottle are poured out for topical use, or if
the closure is pierced by the cannula of a giving set, infection
of the sterilized fluid can occur. Beverley et al. found that
direct contamination of the contents occasionally occurred
during sterilization and spray cooling, but in these cases the
bottle closures were sufficiently defective to permit the entry
of water in volume large enough to be obvious. Although the
Rosenheim Committee (1972) in its interim report suggested
that contamination could be prevented by adequate bottle
closures, Myers considers that the present specifications for
infusion bottles (BS 2463, 1962) and the DHSS standard for
bottles for noninjectable sterile water are inadequate and it is
necessary to provide improved designs for bottles to be used
in spray-cooled autoclaves.
Automatic Process Control
In view of the heavy responsibility that rests upon process

workers carrying out sterilization procedures to ensure that
every stage is adequately monitored and performed,
automation of the control procedure offers an attractive
refinement and provision is made for it in British Standard
3970/2 (1966). Each stage of the process is under automatic
control and the temperature/time combination is controlled by
an integrator operating from a probe placed within the load
and can be varied to give suitable conditions for the
sterilization of different loads, e.g. dressings, surgical gloves,
instruments and bottled fluids. To allow for variations in
atmospheric pressure at different times or places, the switch
controlling the vacuum pump is barometrically compensated.
1934
The door mechanism must be so arranged that steam cannot
enter the chamber before the door is locked, and the door
cannot be opened until the chamber pressure is reduced to
0.2kgf/cm2 and the chamber is vented to the atmosphere.
Alarm systems are also arranged to give warning if failures
occur at any stage.
Performance Tests
Although the monitoring of the sterilization procedure by

careful observation of the temperature and pressure within the
chamber gives some indication that the process has been
properly carried out, it is necessary to perform additional tests
to ensure the sterility of the products because it cannot
necessarily be assumed that the observed conditions are those
which have obtained in the depths of the load, for this can
depend on the nature, moisture content and packing of the
articles being sterilized. It is necessary therefore to carry out
routine tests to ensure that full sterilizing conditions have
been attained and maintained throughout the load.
One way of doing this is by testing random samples of the
load for sterility and this is discussed later in this chapter.
Another is to make estimates of conditions in the load itself.
This can be done in several ways.
Instrumental methods: Temperature conditions within the
load can be sensed by thermocouples or thermistors inserted
into it at various places. In the case of liquids, the probe is
placed in representative bottles and in the case of dressings it
is inserted well into specimen packs. The autoclave must be
fitted with ports to take the leads for the probes and these are
connected to recorders which give a continuous tracing. The
method does not, however, give any direct information on the
1935
humidity conditions and the possible existence of
superheating within porous loads such as surgical dressings.
Bacteriological methods: The use of resistant bacterial spores
is regarded by some workers as providing the only
satisfactory evidence of the effectiveness of a sterilization
process and the choice of suitable test organisms has already
been discussed. The spores are usually dried onto strips or
discs of filter paper or aluminium foil (Kelsey, 1961; Beeby
& Whitehouse, 1965, Cook & Brown, 1965), each test piece
carrying about 106 spores. Kelsey (1961) found that with such
an inoculum of B. stearothermophilus a test piece would
require sterilizing for about 10min at 121°C. For use, the test
pieces are placed in special envelopes arid embedded in the
centre of dressings or other materials to be sterilized. After
the sterilization process has been completed, they are
removed and aseptically withdrawn from the envelopes and
cultured in a medium which will give maximal growth
conditions. One disadvantage of the method is that incubation
of the recovered spores must be continued for several days.
Kelsey (1951) found that very few positives occurred after
three days and chose five to give a margin of safety, but even
this means that the result may not be known until after the
sterilized material is required, and bacteriological tests of this
kind are therefore more useful as indicators of satisfactory
routine conditions than as safeguards in the processing of a
particular batch.
Chemical indicators: The earliest of these, called witness
tubes consisted of single crystalline substances of known
melting point contained in glass tubes, e.g. sulphur (115°C),
acetanilide (116°C), succinic anhydride (120°C), benzoic acid
(121°C). A dye could be included to show more clearly that
the crystals had melted. Such a device, of course, only
indicates that a certain temperature has been reached, but
1936
attempts have been made to indicate the exposure time by
putting the crystals in one end of an ‘hour-glass’ tube, the
volume of the crystals and the diameter of the constriction of
the tube being adjusted so that the time for transfer of the melt
is the same as that required for sterilization at the required
temperature. If, however, the designated temperature is
exceeded during sterilization, the liquid in the tube will flow
through the constriction more quickly and the new
time–temperature relationship will not necessarily correlate
with that required for sterilization. A modification of this
process was devised by Simpkins and Wilkinson (1964), in
which they used a filter paper strip laminated with an
adhesive to aluminium foil acting as a heat distributor. One
end of the strip
is impregnated with a 2,4-dinitrophenylhydrazine of suitable
melting point and on melting the liquid travels along the
paper strip at a controlled rate. The device is sealed in a
perforated polypropylene envelope through which it is
observed.
A slightly different method is used in Browne’s tubes (A.
Browne, Leicester, Ltd.), in which a controlled chemical
reaction is involved in the change of colour of a red liquid
through amber to green. For autoclaving, two types are
available: type I changes to full green in about 16min at
120°C and in 10min at 125°C, type II also changes in about
10min at 120°C. These conditions accord reasonably well
with those officially demanded by the British Pharmaceutical
Codex, but at lower temperatures they give an inadequate
margin of safety. Because the result is dependent on a
chemical reaction, it can still be produced by longer exposure
to sublethal temperatures, so that if extra time is allowed for
the sterilization of a particular load, the results can be
misleading. Unlike the methods which involve the melting of
1937
a pure substance, the chemical system employed introduces
an inherent instability and careful storage in a cool place is
required before Browne’s tubes are used (Brown & Ridout,
1960).
Chemical methods are also available in which the colour of
adhesive tape (3M’s Ltd.) or sheets of paper marked with
sensitized strips (E.S. & A. Robinson Ltd.) changes when
moist heat is applied, but these are only useful when a high
autoclaving temperature (134°C) is employed with a holding
time of not more than 3.5min (Alder, 1970).
Kelsey (1958) constructed a diagram to show the
characteristics of available indicators. An adapted form of this
is shown in Fig. 35.6. Kelsey first plotted the thermal death
times for resistant pathogens which had a z value of about
10°C. He advocated the use of an indicator which would
show the same slope for time/temperature dependency as that
given by the death time curve of the pathogens. The line
representing the characteristics of this ideal indicator should
lie above that given by the death times of the pathogens but
below that indicating the approved schedules for sterilization,
for Kelsey argued that if the indicator showed complete
change under conditions corresponding too closely to those
used for sterilization, too many false negatives would be
recorded. Simpkins and Wilkinson (1964) chose indicators,
the characteristics of which corresponded very closely with
the official sterilization conditions. Kelsey’s ideal indicator
certainly reacts at too low a temperature to ensure absolute
sterility, for, if a mean curve is fitted for known resistant
nonpathogenic spores it lies well above that for the indicator
and indeed above the lower part of the curve provided by the
official sterilization schedules, but reference has already been
made to the view of Sykes (1969) that the occurrence of such
resistant organisms in pharmaceutical materials is too rare to
1938
warrant concern. Kelsey’s diagram also shows that the slope
for Browne’s tubes is much greater than that of the pathogens
or of the official sterilization schedules, so that only at the
higher temperatures could they ensure sterility.
Fig. 35.6 Performance of indicators of sterilization efficiency.
Other Autoclaving Methods
Low pressure method: In this method steam is admitted to a

previously evacuated autoclave to give a negative pressure of
about 360mmHg, resulting in a temperature of 80°C. These
conditions are maintained for 10min in order to kill all
vegetative bacteria. The effectiveness of the process can be
increased by adding formaldehyde vapour to the steam and
spores can then be killed if conditions are held for 2h (Alder,
1970). Residual formaldehyde is removed at the end of the
sterilization period by applying a further vacuum. The method
1939
has been used for sterilization of wooden blankets and of
heat-sensitive surgical instruments such as endoscopes, and
materials such as plastic tubing.
Counterpressure method: Sykes (1969) has pointed out that
when sealed containers of liquid are sterilized, air is not
eliminated from them and it is not always necessary to
remove all the air from an autoclave. Doing so has two
advantages; it provides the maximum condensation conditions
from the saturated steam present, and it enables temperature
and pressure conditions to be easily correlated. These
advantages can be offset by using unsaturated steam at a
higher pressure, provided that the conditions in the autoclave
chamber are registered by adequate temperature recordings
and not from pressure readings. However, as Savage (1959)
pointed out, local condensation in an autoclave can cause
steam and air to separate into two layers, so that air pockets
can occur in which sterilizing conditions are not attained. If
therefore a high-pressure air–steam mixture is used, it must be
continually mixed by the inclusion of a fan in the chamber.
One advantage claimed for the method is that the higher
pressure surrounding sealed bottles of liquid reduces breakage
during sterilization. In this technique a pressure of 2.11kgf/
cm2 (30lbf/m2) is used, the air–steam mixture being adjusted
to give a temperature of 115°C by alternately pulsated jets of
steam and air, under automatic control.
Other Methods of Sterilization with Moist Heat
Tyndallization: This method consists of heating the material

at 80°C for 1h, or at 100°C for less, on three successive days.
It was based on the supposition that after vegetative cells have
been killed in the first heating, spores will germinate before
1940
the next, when they also will be killed. However, some spores
may remain dormant for long periods and heat-damaged
spores may be slow to germinate, so the method cannot
guarantee sterility, and although it was included in the British
Pharmacopoeia 1932, it was eliminated in the Addendum of
1941, Davis (1940) having shown it to be unsuitable for
injections.
Heating with a bactericide: Davis (1940) in his investigation
of tyndallization of injections had shown that the method
could succeed if the medicament itself was bactericidal. Since
the efficiency of bactericides in solution was known to
increase with temperature, an obvious development was to
include a substance of known bactericidal activity in the
injection. Coulthard (1939) found chlorocresol and
phenylmercuric nitrate effective when heated at 100°C for
30min and Berry et al. (1938) confirmed this, pointing out
also that the bactericide must be free from toxicity,
compatible with the medicament and stable under the
conditions of sterilization and storage. The method was
adopted by the British Pharmacopoeia to replace
tyndallization for the sterilization of injections and is still
official. It consists of heating the injection solutions in their
final containers in boiling water or in a steamer at 98–100°C
for 30min, the permitted bactericides being 0.2 per cent
chlorocresol and 0.002 per cent phenylmercuric nitrate. The
method must not be used for intrathecal, intracisternal or
peridural injection, where the bactericides would exhibit
toxicity, nor in intravenous injections’ greater than 15ml in
volume where toxicity would arise from the total amount of
injected bactericide, nor of course is it applicable to the
sterilization of culture media. The method is also used for the
preparation of eye drops; the permitted bactericides being
those specified in Chapter 33 as preservatives (see p. 388).
1941
The same principle is involved in the sterilization of carried
fruit, where the natural acidity permits socialization at lower
temperatures than would be required in neutral solution. It
was also invoked in the now outmoded method of sterilizing
surgical instruments in solutions of sodium carbonate or
borax.
Pasteurization: Although this is not strictly a method of
sterilization, since all organisms present are not necessarily
killed, it may be briefly mentioned here. It was devised by
Pasteur to improve the keeping qualities of wine and is now
applied to the processing of milk in order to kill pathogenic
organisms without significantly affecting the taste, nutritional
value, or emulsification of milk. Two methods are used:
a. Holding method: In this the milk is heated in tanks at
62.8°C for 30min, the milk being mixed by gentle agitation.
A jet of steam is used to disperse foam on the surface.
b. High temperature–short time or flash process: The milk is
passed at a controlled rate through heat exchangers which
rapidly raise its temperature to 71.6°C and hold it so for 15 s,
after which it is as rapidly cooled in a second heat exchanger.
By decreasing the severity of the conditions the process can
be used for the sterilization of large volumes of culture media,
which can then be fed directly to fermentors (Whitmarsh,
1954).
Dry Heat Sterilization
Resistance to Dry Heat
Reference to Table 35.1 shows that sterilization by dry heat

requires higher temperatures and longer exposure times than
those required when moist heat is used. Rahn (1945) assumed
1942
that this was due to a difference in the fundamental processes
involved and ascribed the lethal effect of dry heat to
oxidation, whereas he postulated that the sterilizing action of
moist heat was due to protein denaturation. Hansen and
Riemann (1963), however, consider that the difference is due
to the presence or absence of water of hydration attached to
the protein molecules, and interstitial water held between
them. When heat is applied in the presence of sufficient
water, disulphide bonds and hydrogen bonds between the
protein strands can be broken and the strands have sufficient
mobility to form new linkages resulting in the denaturing of
the protein, which, if it is part of an enzyme, will render it
inactive. In the absence of sufficient water, rearrangement of
the protein is more difficult and more energy is required to
denature it. Hansen and Riemann (1963) applied their
argument only to nonsporing organisms, which are only
slightly more resistant to dry heat than to moist heat. Spores,
however, unlike vegetative cells, contain demonstrable
amounts of dipicolinic acid (DPA), and it has been suggested
that their greater heat resistance is due to the manner in which
the proteins are bound to calcium dipicolinate (Brown &
Melling, 1973), the complex formed having considerable
stability and protecting the protein against thermal
displacement.
Official Requirements
The minimum treatment prescribed by the British

Pharmacopoeia is to hold the material to be sterilized at
150°C for 1h; this applies to fixed oils and oily solutions, and
is also recommended by the British Pharmaceutical Codex
for ethyl oleate, liquid paraffin and glycerol. Many workers
1943
regard this regimen as barely sufficient to ensure sterility and
it is used only because higher temperatures may decompose
the substance being sterilized. For glassware, the British
Pharmacopoeia demands that 160°C should be used for 1h,
while the British Pharmaceutical Codex suggests the
alternative, in addition, of 180°C for 11min. The United
States pharmacopoeial requirements are more severe,
involving the use of 180°C for 2h.
Hot Air Oven
Hot air oven is the equipment most commonly used for dry
heat sterilization. It may be heated by gas or electricity, but
electrically heated, thermostatically controlled, ovens are
generally employed because of their greater convenience and
the fact that the heaters can be placed in the side walls as well
as under the floor, giving the best distribution of heat.
Articles or materials placed in the oven can receive heat by
direct transfer from the hot air circulating in the oven, by
radiation from the oven walls, and by conduction.
Direct transfer of heat from circulating air: Owing to its low
specific heat, air is a poor heating agent, and considerable
amounts of it must pass over the articles in order to raise their
temperature to that of the oven. In the absence of a fan,
circulation of the air over the heating surfaces and then over
the articles to be sterilized, is due entirely to convection
which not only promotes the movement of too little air but
may also distribute it unevenly. The oven is therefore usually
fitted with a fan or turboblower, placed in the back wall. Air
from the oven is drawn through the fan and recirculated over
the heaters before it is passed back into the oven cavity. There
is thus a continuous forced circulation of the hot air in
1944
sufficient volume to impart an effective amount of heat to the
articles in the oven.
Radiation: A considerable amount of heat is radiated from the
heated walls of the oven and this will heat those surfaces
which are accessible to it. Newman (1955), using paper strips
covered in heat-sensitive paint, concluded that radiation is
much more efficient than the air as a heating agent but, while
articles near the wall will be easily heated, they will screen
others and in a heavily loaded oven the contribution of
radiation to the total heating may be lost.
Conduction: Conduction will occur to a limited extent along
the shelves on which the articles are placed, but contact will
usually be too limited to provide for efficient heating. The
articles being sterilized will themselves be penetrated by heat
at a rate dependent upon their own composition and structure.
In the case of liquids this will be assisted by convection
within the material; but in the case of solids which are poor
conductors of heat, e.g. powders, or loosely packed materials
containing entrapped air, the heat-up time may be prolonged.
Performance characteristics of the oven: These are specified
in British Standard No. 3421: 1961 which requires that the
oven should work within the temperature range 140–180° that
its heat-up time for a rise of 140° should not exceed 135min,
and that temperature variations during the heat-up and
subsequent holding periods should not exceed given limits. A
test load of glass jars is used to determine temperature
distribution in the oven, the four corner jars and the central
one on each shelf carrying thermocouples immersed in liquid.
Loading: From the foregoing, it is evident that proper loading
is of the greatest importance. Channels for circulation of the
heated air must be left and if articles must be placed on top of
each other they should be staggered. If sufficient room is
available, articles should be so placed that each can receive
1945
the maximum radiation from the walls and no articles should
be left in contact with these, or overheating and possibly
charring may occur. To ensure adequate internal transfer of
the heat, the bulk of each article or unit should not be too
great. Rubbo and Gardner (1965) recommend that packages
should not exceed 4 × 4 × 12 inches and that the depth of
powders, oils and waxes should not be greater than half an
inch.
Operation: The oven should be brought up to operating
temperature before the load is placed in it, in order to reduce
the heat-up time to a minimum. Since it cannot be assumed, at
least for larger articles, that they will heat up as quickly as the
oven itself, the thermometer measuring oven tem perature
will not satisfactorily indicate when the load has reached the
required temperature throughout its bulk. It will then be
necessary to carry out a pilot test, using thermocouples placed
inside the articles being sterilized by which the rise in tem
perature at the centre of the articles can be recorded. The lag
or heat penetration time for each load can then be assessed
and it must be added to the normal heat-up time of the oven to
give an extended heat-up time after which the temperature
within the load should remain the same as that of the oven.
This condition is maintained for the required holding time and
the current is then switched off and the oven and its contents
are allowed to cool. During the cooling period, of course,
nonsterile air may enter the oven, so articles must be wrapped
in paper, or placed in metal boxes, or as in the case of culture
tubes plugged with cotton-wool or closed with aluminium
caps.
Performance tests: As with autoclaving, routine performance
tests should be carried out when the hot air oven is used for
sterilization. Similar tests to those already described can be
carried out using instrumental, bacteriological and chemical
1946
indicators. The use of instruments is exactly the same as in
autoclaving and the choice of suitable bacteria has already
been discussed on p. 576, but the carriers for the spores must,
of course, beable to withstand the higher temperature of the
oven and are usually made of metal, glass or ceramic.
Browne’s tubes type III are available for use with hot-air
sterilization.
Forced-draught ovens: Quesnel et al. (1967) reported on the
use of an oven in which hot air was forced in a linear stream
from the top, through the load and out at the bottom, where it
passed over the control and recording temperature probes.
The principal object of this was to overcome the viscous drag
of the air adherent to the surface of the articles in the load by
using an air flow of 700ft3/min at a temperature of 200°C.
Both the relatively high speed of flow of the air and its high
temperature would assist in sweeping away the static air film
and improving heat transfer. At the end of the sterilization
period, the heaters were turned off and the incoming air was
passed over water-cooled coils to hasten the cooling of the
load, all stages being automated. Metal strips could be heated
in an overall time of about 20min, sputum cups took about
twice as long, and glass jars, presumably because of their
lower conductivity, somewhat longer.
Infrared Conveyor Ovens
Darmady et al. (1957) described the use of a conveyor oven

heated by infrared projectors, for sterilizing syringes. These
were passed at a controlled rate, on a conveyor belt, through a
shallow tunnel over which the heaters were placed, the
articles to be sterilized being arranged in a single layer in
1947
open trays. Each syringe was contained in a glass or metal
tube or box.
These receive the heat radiated from the projectors and
convey it to the syringes by conduction. Consequently the rate
at which heat is transferred will vary with the material used
for the container, and its surface. It is quickest with glass and
slower for metal containers. The surface finish of the latter is
important; a bright shiny surface reflects much of the
radiation it receives and gives a heat-up time about twice that
of a dull black one. Darmady et al., recommended a holding
time of about 11min, but different passage times are required
for different loads and each load should consist of similar
articles so that the conditions can be preset to suit them. The
method has the advantage of being a continuous process and
because of the short heat-up time has a considerable
throughput. It can be used for small instruments such as
forceps and scissors: penetration of steam between the blades
of the latter can sometimes prove difficult to achieve
(Quesnel, 1967) and infrared heating offers a useful
alternative without the hazards of ionizing radiations and the
specialized equipment for using them.
The conveyor oven is, however, unsuitable for bulky
instruments of varying dimension. For sterilizing these,
Darmady et al. (1961) devised an infrared oven in which a
high vacuum could be drawn and maintained during the
sterilization period. Removal of the air means that no heat is
lost in warming it up, the instability produced by convection
currents is absent and oxidation of metal is avoided. Sterile
nitrogen is admitted during the cooling down period to
minimize this. A very high temperature of 280°C is used and
an exposure time of only 7min is therefore possible.
1948
Thermal Heating Blocks
Although in hospitals instruments are generally supplied from

a central sterile supplies depot, it may be necessary
sometimes to carry out emergency sterilization of syringes or
small instruments. This used to be done by boiling in a
fish-kettle sterilizer, but as has been explained, this is
unreliable. Darmady, Hughes, Jones and Tuke described a
method in which an aluminium block with holes bored
horizontally into it was fixed to an electric hot plate. The
holes were made the right size for the insertion of syringes
and a tray was fitted to the top of the block for small
instruments. The whole block was surrounded by a cover
during heating. Darmady et al. used a temperature of 190°C
for 22min to achieve sterilization.
Radiofrequency Induction Heating
In this process a radiofrequency current, generated by a

suitable oscillator, is passed through a hollow copper coil
surrounding the work piece to be sterilized. Trotman (1969)
advocated its use for the in situ sterilization of the handling
equipment, e.g. metal pipettes and wire loops of automatic
diagnostic systems. The object to be sterilized must, however,
be a conductor and this must limit the use of the method,
although Trotman suggested that it could be adapted for
general use by passing the articles through a horizontal coil
on a conveyor belt. Nonconductors could be attached to a
conducting susceptor which would heat the nonconductor by
contact.
1949
Sterilization by Filtration
Sterilization by passage through a bacteria-proof filter is used

for thermolabile solutions and gases including air.
Thermolabile solutions would suffer damage if subjected to
heat sterilization. The process is also used occasionally as an
alternative to heating methods for the sterilization of
thermostable solutions. The process consists of three main
stages for solutions:
1. Passage of the solution to be sterilized through a previously
sterilized filter unit.
2. Aseptic transference of the filtrate to sterile containers
which are then sealed aseptically.
3. Tests for sterility are carried out on the filtered product.
The third stage is part of the process since there are a number
of hazards in filtration sterilization. For the same reason a
bacteriostatic is usually included in the solution.
The disadvantages of the process often outweigh the
advantages as shown in the following:
Advantages
1. No heating used, thus ideal for thermolabile solutions.

2. Removes all bacteria and fungi, and often clarifies the
solution.
3. Useful process for sterilization of large volume solutions.
4. Useful for eye drops, as dropper bottles do not withstand
heating processes well.
Disadvantages
1950
1. Aseptic technique required. This requires highly trained
staff and sterile equipment and facilities.
2. Sterility tests are required. Except in emergency, issue is
not permitted until tests have been passed. Deterioration can
occur in the 7 days required.
3. Viruses, filterable forms of bacteria, and bacterial products,
such as toxins and pyrogens, are not removed or destroyed.
4. Filter may break down either suddenly or gradual1y in use.
Gradual faults may be undetectable immediately.
5. Filtration unit may leak and permit entry of nonsterile air.
Thus, filter units should have as few joints as possible. Use of
positive pressure (i.e. forcing the solution through the filter
with compressed air) has an advantage over negative pressure
(i.e. sucking the solution through the filter by vacuum) as
leaks of air into the solution which has been filtered do not
occur.
6. Adsorption can occur with some filters, e.g. candles and
fibrous pads.
7. Some filters yield fibres or alkali, e.g. fibrous filters; but
neutralized alkali-free filters are available.
8. Clogging can occur with prolonged filtration, although this
can be minimized by use of suitable prefilters. Bacteria may
grow through some types of filters, with lengthy filtration
runs.
9. Filtration cannot be used for sterilizing suspensions.
10. Oxidation may occur on larger filters, and the medicament
must be stable in the solvent.
Two main types of unit are available. These are the positive
pressure type, where the solution is forced through the filter
by compressed air, and the negative pressure (or vacuum)
type where the solution is sucked through the filter. The
former has more advantages than the latter, but both are used
(Table 35.4).
1951
Table 35.4 Advantages of positive and negative pressure
systems
Negative
Positive pressure pressure
(vacuum)
Unsterile air does not enter via leaking joints Loose joints
are
tightened
Evaporationandfoamingofthe is reduced A dosed
system is
not required
On large scale an aseptic transfer from vacuum
vessel to point of use is not required
Pressure differential is only limited by
equipment not to a maximum of 1 atmosphere
as in negative pressure system
Bacteria-Proof Filters for Solutions
Various types of filter are available for sterilization. They can

be divided into four basic classes:
1. Ceramic filters—usually made of porous porcelain or
kieselguhr.
2. Fibrous pads—containing asbestos and wood cellulose.
3. Sintered (fritted) glass filters—made from powdered
borosilicate glass.
4. Microporous plastic or membrane filters—prepared from
cellulose esters, particularly the acetate and nitrate.
1952
Apart from the above basic classes several filters are available
which incorporate the advantages of two or more classes. An
example of this is the submicron filter composed of
micronized glass and asbestos fibres bound in epoxy saturant.
This filter (Cox M-780) has many of the advantages of
membrane filters, while being less prone to clogging. Depth
and screen filters are compared in Table 35.5.
Table 35.5 Comparison of depth and screen filters
Depth filters Screen filters

Examples Fibrous pad (Seitz, Cellulose membrane
Carlson-Ford) (Oxoid, Millipore,
Ceramic candles Sartorius, etc.)
(Doulton, Berkefeld)
Sintered glass (and
metal)
Filtration
Particles stop at point Particles larger than the

where resistance is pore size are
equal to driving force. mechanically ‘sieved’
Increase in pressure from solution, and are
will drive particle retained on the surface
deeper and sometimes of the filter. Increase in
through filter. This is pressure, and pressure
particularly true when fluctuation does not
large pressure cause particles to pass
fluctuations occur. through the filter.
1953
Advantages Fibrous pad filters are The 0.22μm filter will
less prone to clogging retain all bacteria on its
than screen filters. The surface.
chemical resistance is bacterial
high. ‘grow-through’ occurs.
No pH change.
Very low adsorption.
High flow rate with
solutions containing
few particles.
Ceramic filters: One of the earliest ceramic filters was the
Pasteur–Chamberland, introduced in 1884. These are made of
either porous porcelain or kieselguhr. These are usually
encountered as cylindrical candles with comparatively thick
walls. These are depth filters with cellular walls and are
available in various sizes
and a number of grades of porosity, some types are shown in
Fig. 35.7. Examples of the porcelain candle are manufactured
by Doulton & Co. Ltd., and the kieselguhr type are produced
by British Berkefeld Filters Ltd. The Mandler filter is the
American equivalent of the Berkefeld filter. Kieselguhr filters
have a greater pore density than do porcelain ones and are
therefore more permeable to aqueous liquids. Kieselguhr
filters are rather softer than the porcelain variety and have a
thicker wall. Berkefeld filters are sold for water sterilization,
and an allegedly self-sterilizing Berkefeld filter (Sterasyl
filter) has been developed. This filter is similar to the standard
kieselguhr filter but has been impreganted with ionic silver.
Doubts have been expressed about its self-sterilizing ability
(Sykes, 1965). Both porcelain and kieselguhr filters may be
fitted with nozzle mounts. These mounts may be glazed
porcelain or cemented metal and the jointing is one of the
1954
weaknesses of these filters. During cleaning and sterilization
cracks and leaks may develop at these joints. Unglazed and
unmounted porous porcelain candles are available but are less
easily fitted into filtration units.
Fig. 35.7 Ceramic filters. (A) Kieselguhr filter (metal nozzle).

(B) Bunglazed porcelain filters (a and b have glazed
mountings). (C) Pipeline candle filter. (D) Large supply filter
using a number of filter candles.
It is an advantage to filter on to the outside of the filter as this

is easier to clean than the inside. The porcelain filters can be
cleaned by scrubbing the exterior with a nail brush, or more
thoroughly by the use of strong sodium hypochlorite solution.
The softer texture of the kieselguhr filters means that a softer
brush must be used for scrubbing, or the hypochlorite
treatment used. They can then be dry heat sterilized, although
care must be taken to gradually increase the tem perature and
allow the filters to cool slowly, to prevent cracking. Strong
1955
acids should not be used to clean Berkefeld filters, and
chromic acid should never be used to clean ceramic or
sintered glass filters because chromic ions are strongly
adsorbed by the filter, cannot be removed by washing, and
may oxidize or react with the medicament on subsequent use
of the filter.
Advantages: (1) Relatively inexpensive and (2) ranges of
porosities available.
Disadvantages: (1) Not very robust, particularly kieselguhr
candles; (2) adsorption is high, particularly with kieselguhr
candles; (3) easily clogged and blocked; (4) regular
complicated cleaning needed; (5) relatively high pressure
needed for filtration; (6) leaks often occur at nozzle joints;
and (7) difficult to fit into filter units.
If these filters are used for oily products they are slow, not
very efficient, become more susceptible to breakage and are
very difficult to clean (Avis & Gershenfeld, 1955).
Fibrous pad filters: The pads used are approximately 3mm
thick, usually round for most filter units, but square sheets are
used in filter presses. They are composed mainly of asbestos
fibre, compressed with mixtures of other fibrous material
such as wood cellulose to give adequate porosity, together
with binders and fillers. Various types are shown in Fig. 35.8.
The original German filters were sold under the trade name of
Seitz (grade EK being used for filtration sterilization), and are
available in this country from Carlson-Ford Ltd. in over 40
grades and in several hundred cut sizes (Carlson-Ford filter
sheet grade EKS is most often used for sterilization of
pharmaceuticals). They are pliable and fragile when wet, and
must be supported on a perforated metal, plastic or glass disc.
Care is needed in sterilization by autoclaving to avoid
distortion.
1956
Fig. 35.8 Fibrous pad filters. (A) Negative pressure fibrous
pad filter. (B) Positive pressure fibrous pad filter. (C)
Large-scale fibrous pad filter.
Advantages: (1) A new pad is used for each filtration, so that

filtrate is not contaminated with previous filtration residues or
cleaning agents; (2) pads are inexpensive; and (3) filtration is
rapid with less tendency to clogging. They are better than
ceramic and sintered glass filters for viscous solutions.
Disadvantages: (1) Filtration and adequate removal of
bacteria depends on the pad fibres taking up water and
swelling to reduce interstitial space in filter. Thus fibrous
pads are not suitable for sterilizing nonaqueous products, e.g.
1957
alcoholic and oily preparations; (2) pads may release alkali,
causing precipitation of alkali-sensitive medicaments
(Browne, 1942). Alkali-free presterilized filters are available;
(3) pads may shed fibres. These can be removed from the
filtrate by means of a sterile grade 3 or 4 sintered glass filter;
(4) adsorption is high, particularly at the start of filtration; and
(5) fluctuating pressure may damage the wet pads.
Sintered (fritted) glass filters: Sintered glass filters were first
made by Jena Glassworks, Germany. Borosilicate glass is
finely powdered in a ball mill and particles of the required
size are separated by air elutriation. The selected powder is
packed into disc moulds and heated until suitable adhesion
takes place between the
granules. The sintered discs are finally fused into funnels of
suitable size and shape (see Fig. 18.4) or into line filters (Fig.
35.9). Sintered glass filters are available in several different
porosities, but for filtration sterilization a number or grade 5,
or 5 on 3must be used. Specifications for quality, pore size
and permeability are given in a British Standards
Specification BS 1752: 1963. Filtration through a thick grade
5 (maximum pore size 2μm) filter is slow, but thinner grade 5
tilters are very fragile and thus the 5 on 3 filter was developed
with a thin grade 5 filter supported on a thicker layer of grade
3 filter (pore size 15–40μm). The manufacture and uses of
sintered glass filters are described by Smith (1944) and their
care by Cooper (1951) and Sykes (1958). Microorganisms do
tend to grow through sintered glass filters if left in contact for
more than 18h (Morton, 1943). They are easily cleaned by
passing a reverse stream of water through the filter after use.
Organic matter may be removed by passing strong sulphuric
acid with 1 per cent of sodium nitrate through the filter.
Chromic acid should not be used (see ceramic filters). All
filters must be thoroughly washed after chemical treatment.
1958
Fig. 35.9 Sintered glass in-line filter.
Advantages: (1) Easily cleaned; (2) they yield no fibres,

alkali, etc. to filtrate; (3) adsorption is very low; (4) filtrate
retention by the filter is less than ceramic filters; and (5) they
can be fused into filtration units thus reducing risk of leaks.
Disadvantages: (1) They are relatively expensive; (2) they
have a small area of filtration; and (3) they are fragile.
Membrane filters: A review of membrane filter techniques is
given by Mulvany (1969). They are composed of various
types of cellulose and cellulose esters and are marketed by
Gelman Instrument Company, the Millipore Filter
Corporation, Oxo Ltd. Sartorius-Membrane Filter, and a
number of other companies. A vast range of grades and pore
sizes are available, together with membranes developed for
specialized uses. They are very thin (Oxoid filters are 120μm
thick) and need careful handling. The pore sizes most often
used for sterilization are 0.45μm ± 0.02μm (Millipore grade
HA) or, particularly where very small bacterial contaminants
(e.g. certain pseudomonads) are likely to occur, preferably
0.22 ± 0.02μm (Millipore grade GS). They are sterilized by
autoclaving, in the holder, or packed between thick filter pads
to prevent curling. They are also available ready sterilized (by
ethylene oxide or ionizing radiation). As with fibrous pad
filters membrane filters are supported on a rigid base of
1959
perforated metal, plastic or coarse sintered glass. If the
solution to be filtered has a high content of unwanted sus
pended particulate matter the membrane filter, which acts like
a sieve trapping particles on its surface, will rapidly become
clogged. To avoid clogging preliminary filtration through a
suitable depth filter (e.g. glass fibre filter) will extend the
usage of the membrane filter. The membranes have a high
and uniform porosity permitting a rapid rate of filtration. The
HA grade will filter approximately 65ml/min/cm2 (GS 22ml/
min/cm2) with a differential pressure of 70cm mercury across
the membrane. The membranes can be stored indefinitely in
the dry state, but are brittle when dry, although fairly tough
when wet. They are screen filters.
Advantages: (1) Bacteria are mechanically sieved from
solution. Thus, no bacteria pass through the filter with
prolonged filtration and there is no bacterial growth through it
as occurs with depth filters; (2) membranes are disposable.
No cross-contamination occurs between filtered products; (3)
adsorption is negligible, although some occurs with phenols;
(4) rapid filtration rate; and (5) they yield no fibres, alkali,
etc., to contaminate the filtrate.
Disadvantages: (1) Tendency to clog—not a problem with
most pharmaceutical solutions; and (2) they have less
chemical resistance to certain organic solvents such as
chloroform, ketones, and esters, although, as mentioned
earlier specialized filters (e.g. Millipore Solvinert) have been
developed to overcome this problem.
Details of the setting up of a small-scale ‘Swinnex’ syringe
membrane filter for preparation of eye drops is given in
Chapter 33. Fig. 35.10 shows some other types of units used.
1960
Fig. 35.10 Suitable apparatus for determination of maximum
pore size of bacteriological filters.
Other filters: Many other types of filters have been developed

for sterilization purposes, but only a few can be mentioned
here. Sintered metal filters are the metallic counterpart of
sintered glass filters. They are usually made from sintered
bronze or· stainless steel. They have great mechanical
strength but are liable to attack by the solutions passing
through them (Newman, 1954). Nitrocellulose (collodion)
filters have now been replaced for most purposes by cellulose
acetate and mixed cellulose ester membrane filters. Many
descriptions of filtration units were given in the
Pharmaceutical Journal in the 1930s and early 1940s, and an
enclosed unit for sintered glass or fibrous pad
filters is described by Barfield (1955). Use of centrifugal
force to filter shall volumes of material is employed in the
Hemmings filters (Wyllie, 1955).
Mechanisms involved in filtration sterilization mechanical
sieving: The membrane filters have pores, the diameter of
which are less than the dimensions of the bacteria and it is
obvious that they remove bacteria from solutions by a simple
sieving mechanism. However, although this may be part of
1961
the filtration mechanism in other filters, other mechanisms
must also play a part since the majority of pores in ceramic,
sintered glass and fibrous filters are larger than the bacteria,
e.g. ceramic filters have a maximum pore size up to 2.5μm
and yet can be relied upon to hold back Serratia marcescens,
the dimensions of which are usually less than 1.0μm.
Electrostatic attraction or adsorption on filter: Support for
this hypothesis is found in the observation that filters which
have been ‘insulated’ with oil may not retain the organisms
from a subsequently filtered aqueous suspension of bacteria
(Sykes & Royce, 1950). Evidence for adsorption is given by
Wyllie (Sykes, 1965), with photomicrographs showing
adsorption of yeasts on asbestos fibres. Since ceramic,
sintered glass and asbestos pad filters are negatively charged
and the charge on the bacterial surface is also negative,
repulsion rather than attraction may prevent the bacteria
entering the pores. However, the net negative charge on the
bacterium may be less important than the attraction between
the filter and local positively charged basic groups on its
surface. Both attractive and repulsive forces may play a part
in filter efficiency.
Retention in irregular cellular structure: Liquid filtering
through a depth filter does not pass a straight-through pore
but, due to the cellular structure, has to negotiate up to 2000
bends percm of thickness. Each short path may contain
pockets in which organisms can be lodged. Thus, in its course
through a filter an organism would have a very considerable
number of chances of being trapped but on theoretical
grounds can be expected to ultimately pass through the filter.
This accounts for the fact that depth filters occasionally allow
bacterial contamination to pass, especially when used for
prolonged filtration. The thicker the filter the greater the
delay. The effect of wall thickness and pore size on the
1962
efficiency of filtration is recorded by Royce and Sykes
(1950).
Standardization and Testing of Filters
It is necessary to show that the filter will retain organisms,

and that its flow rate is satisfactory.
The retention ability of the filter can be tested indirectly by
means of bubble pressure techniques and directly by
bacteriological techniques.
Bubble pressure techniques: Direct measurement of the pore
sizes in a bacterial filter is not practicable and an indirect
method of measuring the ‘bubble pressure’ is employed. This
consists of immersing the candles in water (or other liquid) or
filling the funnel with the liquid in the case of a sintered glass
filter, and very gradually applying an increasing air pressure
until the first bubble is seen at the filter/liquid interface. A
suitable apparatus is shown in Fig. 35.11. The pressure
reading can be converted to the approximate pore size by
means of the Becbold formula; useful equivalents are given in
Table 35.6.
1963
Fig. 35.11 Bubble pressure. (A) Millex filter unit. (B)
Microsyringe filtering and dispensing system (Swinnex,
Millex and Swinny) units can be used as filtering system. (C)
Ivex filter unit (Millipore Filter Corporation Ltd.).
1964
Table 35.6 Conversion of bubble pressure into approximate
pore size
Bubble pressure in water Approx. pore size (μm)

(mmHg) (lbf/in2)
413.7 8 5.3
620.5 12 3.5
775.7 15 2.8
930.9 18 2.3
The results are reproducible and it is possible to distinguish
between filters with a pore size difference of 0.25μm.
Mulvaney (1969) describes a suitable apparatus for testing
line filters. The trend is for manufacturers of ceramic filters to
standardize on a bubble pressure of 17lbf/in2. This pressure is
equivalent to a maximum pore size of 2.5μm which will hold
back S. marcescens in aqueous suspension for at least 6–7h.
The bubble pressure method is adopted by a British Standard
(BS 1752: 1963) for the measurement of pore size. The
pressure when the first bubble is seen indicates the maximum
pore size of the filter. The latter is calculated from the
following equation:
1965
Bacteriological techniques: In spite of the apparent reliability
of the bubble pressure test, the British Pharmaceutical Codex
requires bacteria-proof filters to comply with a bacteriological
test. A diluted broth culture of S. marcescens
(Chromobacterium prodigiosum) is filtered through a
previously sterilized filter and unit, employing a pressure
difference across the filter of not less than 400mmHg. At least
50ml of the filtrate is incubated for 5 days at 25°C, the
optimum temperature for growth (and pigment production) of
the organism. The use of a good chromogenic
(pigment-producing) strain is advised since the appearance of
a pink colour in the incubated broth instantly confirms the
presence of Serratia and the failure of the ‘filter’. The
appearance of growth without pigment suggests
contamination after passage through the filter, or some leak in
the unit. The organism chosen is particularly useful since it is
small (0.3–1.3μm long and 0.3–0.4μm wide), aerobic,
nonpathogenic and grows vigorously to produce a red to pink
pigment at 25°C.
Filtration of Air
Sterilization of large volumes of air has become important

due to the development of deep culture fermentation
processes in the manufacture of antibiotics and other products
of microbial metabolism. Many modern drugs require aseptic
handling and various laminar-flow devices producing clean
air environments are available. The principles and
1966
applications of laminar-flow devices are described by
McDade (1969). Treatment of process air for deep culture is
discussed by Elsworth (1969), and factors affecting bacterial
survival in air and gases by Sykes (1963).
Methods available for air sterilization are: (1) mechanical
filtration; (2) electrostatic precipitation; (3) heating methods;
(4) ultraviolet light; and (5) use of chemicals.
Before dealing with mechanical filtration, which is the most
widely used method for air sterilization, the limitations of the
other methods will be outlined. Electrostatic precipitation is a
costly method, but is extremely efficient. The mechanism of
removal is shown in Fig. 35.12. Heating methods are costly
and of marginal importance in air sterilization, Heat sterilizers
are described by Elsworth et al. (1961). Ultraviolet light has
poor penetrating power, and thus does not kill bacteria
embedded in particles. It also suffers from other
disadvantages, such as its harmful effects on the eyes and
skin, high initial and replacement costs, and relatively low
efficiency at low humidities. The use of aerial chemical
bactericides is limited by their slow action, problems of
‘carryover’ of chemical to the fermentation plant, and their
erratic action. Examples of aerial bactericides are glycols
(propy lene and triethylene), phenols (resorcinol and
hexylresorcinol) and sodium hypochlorite.
1967
Fig. 35.12 Mechanism of electrostatic precipitation of
airborne particles.
As with filtration sterilization of solutions both depth and

screen filters are available for air sterilization. A comparison
of the two types of filters for high-volume air sterilization is
given by Russell (1971). Russell indicates the unreliable
nature of polytropic compression of air (a heating method),
and states that filter selection depends on the nature of the
contamination to be removed. Often depth and screen filters
are used in a complementary situation, as in the ‘Millitube’
cartridge filter (Fig. 35.13).
Fig. 35.13 Section of ‘Millitube’ filter.
The main types of depth filters for air sterilization are:

granules, e.g. activated charcoal; fibrous pads, e.g. cotton
wool, slag wool and glass wool and filter papers, cellulose
asbestos or glass fibre. Filters for air sterilization should be
steamsterilizable, reproducible in quality, and preferably
1968
absolute (showing 100 per cent efficiency). Depth filters
cannot be classed as absolute, but steamsterilizable
resin-bonded glass fibre is useful as an alternative to
membrane filters.
Gaseous Sterilization
Chemical vapours have a limited use in cold sterilization of
some thermolabile solid medicaments, and thermolabile
hospital equipment, such as plastic equipment, electrical and
rubber articles and blankets. Formaldehyde was originally
used, but ethylene oxide is the main gas now used for
sterilization. According to the Medicines Commission Report
(1973) on the prevention of microbial contamination of
medicinal products the process of ethylene oxide sterilization
does not lend itself to physical methods of measurement, and
consequently stringent microbiological controls and test
procedures must be applied. The Commission Committee
accepted the value of ethylene oxide but stated that
application to medical products should have due regard to the
risks of chemical incompatibility and the production of toxic
residues and to its inefficacy against organisms occluded in
crystals or otherwise protected from the gas (Abbott et al.,
1956).
Although ethylene oxide is the most widely used gaseous
sterilant in the pharmaceutical and medical fields other
chemicals used are (1) formaldehyde; (2) beta-propiolactone;
and (3) propylene oxide. In addition to these, various glycols,
methyl bromide and alcohol have been used for room
sterilization.
1969
Ethylene Oxide
Use of ethylene oxide is a recognized method of sterilization

in both the British Pharmacopoeia (1973) and the British
Pharmaceutical Codex. In the British Pharmacopoeia it is
among the procedures for sterilization of certain powdered
substances.
Properties and action : It is a volatile cyclic ether with the
following structure:
Its boiling point is 10.8°C and it can be easily liquefied. It

forms explosive mixtures with air, but this disadvantage can
be overcome by using mixtures of 10 per cent ethylene oxide
with 90 per cent carbon dioxide or halogenated hydrocarbons,
or by removing 95 per cent of the air from the apparatus
before use of the ethylene oxide. The latter method of
exposure at subatmospheric pressure is preferred by May
(1961) in his discussion of equipment for ethylene oxide
sterilization. It is irritant and vesicant, and thus rubber gloves
and similar articles should be aired in a sterile air stream for
24h before use. Its antimicrobial action, like that of other
gaseous antimicrobial agents, is due to its ability to alkylate
–SH, –OH, –COOH and NH2 groups in enzymes, proteins
and nucleic acids (Bruch, 1961). For example:
1970
Factors affecting sterilizing efficiency
Concentration of the gas: Sterilization rates depend on the

partial pressure of the gas within the load. The partial
pressure of the gas may be lowered by absorption by the load,
e.g. by blankets rubber and plastics and packaging materials
(Royce, 1959). Royce gives examples of absorption by
various materials after contact with a gas concentration of
200mg/l for 24h at 25°C (Table 35.7).
Table 35.7 Absorption capacity of some materials
Material amount absorbed (mg/g)

Polythene 2
Polyvinylchloride 19.2
Cardboard 10.4
Nonabsorbent cotton wool 4.1
Neoprene rubber closures 15.2
Concentrations used for sterilization range from 200 to
1000mg/l, and these concentrations certainly appear adequate
if compared with the work of Phillips (1961). Phillips
determined the activity of ethylene oxide against spores of B.
subtilis var. globigii (dried on cloth) at 25°C. Some of the
results are given in Table 35.8.
Table 35.8 Exposure time of ethylene oxide
Ethylene oxide Exposure time required to obtain no

concentration (mg/l) recoverable organisms (h)
44 24
1971
88 10
442 4
884 2
Thus, it can be seen that if the concentration is doubled the
exposure time is approximately halved.
Temperature of the load: A rise in temperature increases the
activity. The temperature coefficient (see Chapter 34) is 2.7
for each 10°C change in temperature, but since ethylene oxide
is mainly used for thermolabile materials the usual range of
use is 20–60°C.
Effect of moisture: According to Phillips some moisture is
necessary but a little was better than a lot. The state of
hydration of the microorganisms on the surfaces to be
sterilized seems to be of more importance than the relative
humidity of the gas. A relative humidity of approximately
30–33 per cent seems to be favoured (Kaye & Phillips, 1949).
Dry organisms are much more resistant than moist ones. The
type of surface also affects the sterilization. Organisms dried
on hard impermeable surfaces, such as glass, plastic and
metal, are less easy to kill than those dried on absorbent
surfaces, such as paper and cloth (Opfell et al., 1959; Royce
& Bowler, 1961).
Time of exposure: This will depend on the type of material
being sterilized and the concentration of the gas. Various
combinations have been used successfully including the
following:
a. 850–900mg/l for 3h at 45°C
b. 450mg/l for 5h at 45°C (Perkins & Lloyd, 1961)
c. 200mg/l overnight for 16–18h (Royce, 1959)
The exposure time is dependent also on the power of
penetration of the gas. Paper and fabrics are freely permeable,
1972
but some of the polyesters are not. Polythene and most
rubbers are freely permeable. The British Pharmaceutical
Codex states that hydration and heating of the load can be
more reliably achieved by conditioning in a suitable
atmosphere prior to sterilization.
Condition and accessibility of the organisms: Dried
organisms are slow to rehydrate and thus difficult to sterilize
(Gilbert et al., 1964). Organisms may be protected within
hard crystals (Abbott et al., 1956; Royce & Bowler, 1961;
Beeby & Whitehouse, 1965).
Apparatus and techniques for ethylene oxide

sterilization
Specially designed sterilizers are commercially available. As

shown in Fig. 35.14, they consist of the following:
1. A gas-tight sterilizing chamber capable of withstanding the
necessary changes in pressure.
2. The chamber is fitted with an efficient vacuum pump.
3. Valve regulated gas admittance, linked with controls. Gas
is introduced from canisters or cylinders after evacuation of
the chamber by the pump. Baffles (B) prevent damage of the
load by liquid ethylene oxide.
4. Control devices such as a pressure gauge, P, thermostatic
control, T, and humidity control, H are included.
5. Humidity can be provided from a damp sponge or steam.
6. A heating coil or heating jacket.
1973
Fig. 35.14 Generalized diagram of an ethylene oxide sterilizer
(based on diagram from Kelsey, 1967).
However sophisticated the apparatus, variation in loads means

that very careful microbiological monitoring of the process is
essential. Particular attention should be paid to keeping
microbial contamination of materials to be sterilized to a
minimum. Some typical cycles used commercially in ethylene
oxide sterilizers are quoted by Kelsey (1967) (see Table
35.9).
Table 35.9 Typical cycles in ethylene oxide sterilizers
Perkins and Lloyd (1961) and Mayr (1961) describe

equipment for ethylene oxide sterilization.
Advantages: (1) Few materials damaged; (2) low
temperature can be used, e.g. room temperature; (3)
penetration into porous materials and some plastics good; (4)
little residual effect; (5) effective at low humidities; (6)
bactericidal, not bacteriostatic; and (7) effective against all
organisms.
1974
Disadvantages: (1) Some plastic and nylon wraps must be
left open and sealed aseptically (this is a disadvantage
compared with radiation sterilization); (2) slow; (3) control of
RH and hydration of organisms is critical; (4) cost is higher
than heat processes; (5) it requires special sophisticated
equipment; and (6) toxic and inflammable.
Rubbo and Gardner (1965) give a list of articles for which
ethylene oxide sterilization is suitable. They consider the gas
unsuitable for disposable transfusion sets (dried organisms on
plastic surfaces occasionally survive gassing), vitamins
(which may be destroyed) and hypodermic needles (as gas
cannot penetrate between the plunger and the barrel).
Control of the process
The process must be monitored bacteriologically; it is not

sufficient to rely on physical monitoring. The bactericidal
efficiency is monitored by the following:
1. Insertion of a minimum of 10 bacteriological test pieces in
different parts of the load, particularly those most inaccessible
to the gas. These test pieces consist of aluminium foil on
which has been dried a suspension of at least 106 spores of B.
subtilis Camp Detrick strain NCTC 10073 (B. subtilis var.
globigii). This organism is chosen as it is fairly resistant to
ethylene oxide.
2. Routine random sterility tests on the load. Royce and
Bowler (1959) have described an indicator control device for
ethylene oxide sterilization.
1975
Other Gaseous Sterilants
These are less important than ethylene oxide in the

pharmaceutical and medical fields.
Propylene oxide (see Rubbo and Gardner (1965) for sterilizer
design); it is less effective than ethylene oxide, but less
explosive.
Formaldehyde: This is now mainly used for fumigation of
rooms and hospital blankets. It has poor penetrating power,
polymerizes to paraformaldehyde, and is irritant and pungent.
It is readily inactivated by proteins and organic matter. It
must be used at high humidities in excess of 75 per cent, and
high concentrations are difficult to maintain. Further
information is given in the Public Health Laboratory Report
(1958).
Beta-propiolactone: This has a boiling point of 163°C, and
thus a heated plate vaporizer must be used. Again, as with
formaldehyde, RH of at least 75 per cent is required, and its
penetrating power is low. It is highly virucidal, but is irritant,
vesicant and carcinogenic to animals, and thus needs expert
handling.
Glycols: These are used as aerial bactericides at a
concentration of 0.2–0.5mg/l.
Methyl bromide and methyl alcohol: The former is used as an
insecticide, and the latter for fungal decontamination of
incubators and cold rooms.
1976
Preparation of Sterile Medicaments
Types of Sterile Medicament
Pharmaceutical preparations and materials are sterilized and

supplied in a sterile condition when they are to be injected, or
applied to wounds or mucous surfaces, because body fluids
and tissues provide a good substrate for the growth of many
microorganisms.
Preparations for injection may consist of solutions sterilized
in their final containers or, if the aqueous solution has very
limited stability, of powders sterilized in containers to which
Water for Injections can be added to dissolve the solids.
Sterile liquids or gels may also be required for use in surgical
operations, for irrigation of the urethra, bladder or vagina, or
for lubrication of catheters. Sterile solids may be implanted
under the skin. Other preparations described elsewhere are:
preparations for the eye (Chapter 29), powders to be applied
to wounds or cavities (Chapter 28), surgical dressings (this
chapter), absorbable haemostatics (Chapter 39) and ligatures
and sutures (Chapter 40).
Parenteral Injections
A parenteral injection is one which is injected under one or

more layers of the skin or mucous membranes into a specific
region of the body. The following types are available:
Intradermal or intracutaneous injections: These are injected
into the skin between the epidermis and the underlying
dermis, usually into the flexor aspect of the forearm. The
volume is therefore small, usually being 0.1–0.2m. Such
injections are used as diagnostic agents to test susceptibility
1977
to certain diseases, e.g. diphtheria (Schick test), tuberculosis
(Old Tuberculin, Tuberculin Purified Protein Derivative).
Subcutaneous or hypodermic injections: These injections are
made beneath the skin into the subcutaneous tissue. The upper
arm is most usually used and the volume does not normally
exceed I ml. Larger volumes can be accommodated if
hyaluronidase is added to the injection: it hydrolyses the
hyaluronic acid which holds the cells together so that the
injection can drain away quickly without causing undue
swelling; no permanent damage to the tissue is caused
because the enzyme action is reversible. The method is called
hypodermoclysis and is sometimes used in place of
intravenous infusion if this is contraindicated, and it is
possible to administer as much as 3–4 perday. Conversely, a
vasoconstrictor such as adrenalin may be added to ensure a
local effect with, e.g. local anaesthetics.
Intramuscular injections: These are injected directly into a
muscle, using a longer needle than that required for
subcutaneous injection. The muscles selected are usually
those of the thigh, buttock or shoulders. The British
Pharmaceutical Codex (1973) directs that the volume should
not normally exceed 4ml. Being made into firm tissue, such
injections can cause pain if the process is carried out too
quickly. Both aqueous and oily solutions and also suspensions
can be administered by the intramuscular route, and by
controlling the formulation the rate of absorption can be
controlled. Thus, suspensions of the medicament can be made
of different particle size, the largest particles providing the
slowest absorption. An even slower rate of absorption may
sometimes be obtained by dissolving the medicament in oil
from which it is partitioned into the body fluids, or by making
a suspension of a compound of the medicament of low
solubility.
1978
Intravenous injections: These are injected directly into the
lumen of a vein, the median basilic vein on the innerforearm
being most commonly selected. They are nearly always
aqueous solutions, but a few consist of oil-in-water emulsions
(e.g. Phytomenadione Injection, BP), where the oily
medicament is dispersed in a sufficiently fine emulsion to
prevent damage. The volume injected may be quite small and
in that case the solution can be sufficiently concentrated to be
hypertonic without causing ill effect, because when it is
injected slowly it is easily carried away and diluted by the
blood stream. If a single-dose volume is greater than 15ml no
bactericide must be added. Much larger volumes, of 500ml or
more, are given by intravenous infusion to replace blood
fluids lost as a result of shock, injury, or surgical operation, or
body fluids lost by severe diarrhoea, e.g. in cholera. The
infusion is fed by gravity from a bottle placed above the
patient’s bed, at the rate of about 50 drops permin, which is
monitored by means of an in-line drip tube. Such large
volume injections must not only be free from added
bactericide but also from pyrogens (see below), and they are
usually made isotonic with blood serum.
Intraarterial injections: These are less commonly used than
intravenous injections and are used when an immediate action
is required in a peripheral area. They also must not contain
any added bactericide.
Intracardiac injections: These are aqueous solutions to be
injected directly into the cardiac muscle or ventricle for
emergency treatment and must also be free from added
bactericide.
Intrathecal or subarachnoid injections: These are injected
into the subarachnoid space which surrounds the spinal cord.
The cord narrows just above the third lumbar vertebra, being
continued as the filum term in ale, and the space around this
1979
is sufficiently wide for a needle to be inserted with out undue
danger of injuring the spinal cord. The injection is usually
made between the third and fourth, or between the fourth and
fifth lumbar vertebrae, and is used for spinal an aesthetics.
The density of these is sometimes adjusted in order to
concentrate them above or below the site of injection.
Intrathecal injections normally do not exceed 20ml, must be
dispensed from single-dose containers, and must contain no
added bactericide. Lumbar puncture is also used for the
reverse process of withdrawing samples of cerebrospinal fluid
for diagnostic examination.
Intracisternal injections: At the base of the brain the
subarachnoid space widens into the cisterna magna and
injections can be made into this. Entry is however difficult
and not without danger of damaging the brain, and although
occasionally used for the administration of antibiotics, is
more usually used for the withdrawal of cerebrospinal fluid.
Intracisternal injections are subject to the same official
requirements as intrathecal injections.
Peridural injections: A narrow space exists between the dura
mater which encloses the cerebrospinal fluid and the
vertebrae. Peridural injections can be made into this space in
the thoracic, lumbar and sacral regions. The space is, however
narrow and much skill is required to locate the needle
accurately. Peridural injections are subject to the same official
requirements as intrathecal injections.
Pyrogens
Any substance which on injection causes a rise of temperature

can be called a pyrogen, but the name was originally coined
by Seibert (1923) for those which are derived from the cell
1980
walls of bacteria, and is usually applied specifically to such.
They generally consist of lipopolysaccharides, of which the
lipid portion appears to be the active pyrogen. On its own
however, it is insoluble in water, but it is solubilized by its
attachment to the polysaccharide and is then active. It has
been proposed that the lipid is attached to
2-keto-3-deoxyoctonic acid which is the terminal unit of a
common nonspecific phospholipid–polysaccharide core, to
the other end of which is linked another specific
polysaccharide chain characteristic of the organism producing
it (Ridgway, 1973). The whole lipopolysaccharide appears to
be excreted from the cell as a complex with protein (Work,
1971).
When bacterial pyrogen is injected there is usually a short
latent period after which a small temperature rise is shown.
This subsides a little and is then succeeded by a rapid and
more extended rise showing a peak after about 4–8h. This led
to the hypothesis that the bacterial pyrogens or endotoxins do
not themselves provoke fever, but that they liberate an
endogenous pyrogen from polymorphonuclear leukocytes and
possibly from other cells. The composition of this
endogenous pyrogen is not precisely known though it has
been suggested that it is of protein or lipoprotein composition.
It is active in minute amounts and there is considerable
evidence that it acts upon the thermoregulatory centres of the
hypothalamus, possibly by raising the level of
5-hydroxytryptamine. The sodium/calcium ion balance in the
hypothalamus may also be involved (Feldberg, 1961).
Removal of pyrogens: Bacterial pyrogens are fairly easily
hydrolysed by dilute acid and alkali, but are resistant to the
action of heat and often cannot be inactivated by autoclaving,
though some have been found to be thermolabile (Palmer &
Whittet, 1961). They easily pass through the normal bacterial
1981
filters, though some special filters have been made which will
remove them. These filters probably act by adsorption and ion
exchange rather than by simple filtration (Ridgway, 1973)
and the use of ion-exchange columns has been advocated for
the production of apyrogenic water (Cook & Saunders, 1962).
The method is permitted by some pharmacopoeias, but while
ion-exchange resins efficiently remove pyrogens, they easily
become contaminated by live bacteria and the method is not
permitted by the European Pharmacopoeia (1973). The
official method is therefore distillation, since the pyrogens are
nonvolatile. It is necessary to include an adequate baffle
system in the still head to prevent entrainment of droplets or
panicles which may carryover pyrogens into the distillate.
Test for pyrogens: The official test for pyrogens with which
Water for Injections and some prepared injections must
comply is now contained in the European Pharmacopoeia,
1973. It is a limit test, consisting essentially of injecting the
test liquid into the ear vein of rabbits and measuring the rectal
temperature rise with thermocouples or thermistors. Three
rabbits are used initially, and if the summed temperature rise
of all three lies below a specified value the sample passes,
while if it exceeds a higher specified value it fails. If the
summed response lies between the specified values the test is
repeated with three more animals and the summed response
of all six similarly tested against two further specified values
which give a lessened tolerance. If the temperature rise again
falls between the specified limiting values, a third test may be
carried out in the same way, the tolerance being again smaller
for the larger sample involved. A fourth and final test may
also be given, but in this the specified values become
coincident and the sample either passes or fails. No animal
must be reused for a test within three weeks of the last and
care is required to see that the animals are healthy and not
1982
subjected to any excitation which would itself raise their body
temperature. All glassware, syringes and needles must be
pyrogen free and are sterilized by dry heat at 250°C for 30min
or 200°C for 60min.
A limit test of this kind lacks the precision of a biological
assay because no controls are applied. To do this would
require the use of a stable and reproducible standard
preparation. Such preparations have been produced, the aim
being to obtain a bacterial lipopolysaccharide free from
protein by extracting dried enterobacteria with phenol
followed by alcoholic precipitation. One such preparation was
approved by the National Centre for
Antibiotics and Insulin Analysis of the American Food and
Drugs Administration as a standard in 1970, but stocks of a
similar British preparation have become exhausted. Such
preparations are active in amounts as low as 5μg/kg and so
must be highly purified and therefore expensive to produce. It
can reasonably be argued that for the purpose of protecting
the patient the limit test suffices, but a standard preparation
would be necessary for the satisfactory investigation of
pyrogenic mechanisms and for the biological assay of
antipyretic drugs.
Water for Injections (Aqua injectabilia, EP)
Water for injections was included in the British

Pharmacopoeia (1973), but did not appear in the European
Pharmacopoeia until the Supplement of 1973. Distillation is
the only method of preparation permitted, and pyrogens must
be removed by an effective device to prevent entrainment of
droplets because although the presence of minimal amounts
of pyrogen may not always matter in small-volume injections,
1983
their virtual absence is very necessary in the case of infusion
fluids given in large volume; patients receiving these are
often dangerously ill and the danger may be significantly
increased if a fever is induced. After distillation, the water is
distributed into ampoules or bottles and sterilized by heat.
The British Pharmacopoeia also permits filtration but, since
the object of sterilization is to deal with the odd organism or
two which may have accidentaly contaminated the receiver,
there would seem to be no point in using a sterilization
method involving a further final aseptic transfer which carries
a risk of contamination.
Aseptic Technique
An aseptic technique is one which is designed to prevent

contamination of materials, instruments, utensils, or
containers, during handling. Its importance has already been
stressed in this chapter with regard to filtration sterilization
and in Chapter 33 with regard to the manipulation of cultures,
and it is equally important when sterile liquids or solids are
distributed from bulk into final containers.
Sources of Contamination
Air: This carries a mixed population of microorganisms, the

density of which varies greatly with circumstances. The
majority of the bacteria present are hardy saprophytes such as
micrococci and sarcinae from natural waters, some
enterococci, and spores of soil organisms of the genera
Bacillus and Clostridium, but some pathogenic clostridia may
also occur. In a dry period, the ground may become dusty and
the dust can be swept up into the air by winds, carrying with it
1984
the attached bacteria. Droplets expelled from the mouths of
human beings and animals will also carry bacteria with them,
the heavier drops may settle to the ground but the smaller
ones, carried on the air currents, will dry out till the residual
‘droplet nuclei’ are dispersed as solid specks. Mould spores
are also abundant as most of these are produced on aerial
structures specifically designed to promote dispersal by wind
currents. They are therefore often naked and not attached to
dust particles. Yeasts, although not ejected by the dehiscence
of a fruiting body from a parent structure, can be blown off
the leaves of plants which often form their natural habitat.
Breath: During coughing and sneezing droplets can be ejected
from the mouth and can be propelled a considerable distance.
Therefore apart from their contribution to the atmospheric
flora, direct contamination of articles being handled is
possible. Staphylococci and haemolytic streptococci may thus
be distributed.
Skin: Although the sebaceous secretions exhibit some
antibacterial activity, the skin usually has a resident
population of nonpathogens located in its folds and in the hair
follicles and even sebaceous glands. In addition, a transient
population may contaminate the skin, particularly of the
hands, as a result of touching nonsterile objects. Pathogens as
well as nonpathogens may be picked up when attending the
toilet or blowing the nose.
Hair: Dust can easily settle on the hair and become enmeshed
in it. If it is dry, shaking the head or simply disturbing the hair
may detach considerable numbers of dust particles.
Clothing: This also, unless freshly laundered, may carry a
heavy load of dust particles which can easily be disturbed.
Working surfaces: Dust will, of course, settle and collect on
horizontal surfaces and to a lesser extent on vertical ones, and
if present this dust may contaminate materials being handled.
1985
Methods of Minimizing the Contamination Level
Having recognized the possible sources of contamination, it

requires no more than the application of common sense to
devise methods which will minimize the risk arising from
them.
Airborne contamination: This can be guarded against by
working in a room fitted with a fan drawing in air through a
suitable filter and maintaining a slight positive pressure
within the room so that dust cannot be blown into it from
outside. To prevent a sudden inrush of air when entering or
leaving the room, an entrance porch fitted with doors at each
end is usually provided. Ledges on which dust can
accumulate should be avoided when designing the room.
To avoid contamination from the breath, gauze masks can be
worn, but these must fit closely to the face or they may
simply deflect the breath downwards on to the working area,
and they cannot be fine enough to provide complete filtration
of droplets which will build up on the gauze, dry out and
finally be discharged through the mask. This must therefore
be frequently changed if working for long periods.
As an alternative to the use of masks, or as a supplement to it,
the working area can be covered by a screen. Articles placed
under it must be free from dust, as must the interior of the
screen itself which can be swabbed with a disinfectant
solution. Simple screens like that illustrated in Fig. 35.15 can
be used effectively if care is taken to see that the operator’s
head does not sink to a position in which he blows continually
into the space intended to accommodate his arms. To prevent
this, screens have been devised in which the arms are inserted
through ports
1986
which if necessary can be sealed with long rubber gloves.
Special screens (laminar-flow cabinets) are also available;
filtered air is fed into the screen through a carefully designed
baffle system to prevent turbulence which might disturb
particles of dust or of powders being distributed. The interior
can be sterilized either by ultraviolet light or with ethylene
oxide.
Fig. 35.15 Plastic aseptic screen.
Contamination from the skin: It is impossible to sterilize the

skin without using heroic measures which may be injurious to
it. Careful washing will remove most of the transient flora
and some of the resident organisms, but those embedded
deeply in crevices or ducts will not be removed even by
extensive scrubbing, though this can be effectively used to
clean away dirt lodged under the nails. Before commencing
an aseptic operation the nails should therefore be scrubbed
and the hands and forearms washed thoroughly with detergent
solution. A bactericide can be added to this, though its
effectiveness is somewhat doubtful. Obviously the hands
must not be allowed to touch any part of the apparatus or
utensils which will come into contact with the sterile material
being handled. Direct contamination in this way can therefore
1987
be avoided by careful attention to technique, and it could be
argued that the chief advantage of scrubbing up is to make the
hands moist and so prevent the dislodgement of dirt and dried
skin particles. It would therefore seem more important to add
a humectant to the washing water than a bactericide;
alternatively a suitable cream could be applied.
Hair and clothing: Since the principal problem here is to
prevent the detachment of dust, the obvious course of action
is to cover both with freshly laundered material. Overalls or
gowns should be worn over normal clothing and the sleeves
should be rolled up above the elbow so that they do not pick
up any foreign dirt from unclean surfaces. A cotton cap
should be worn on the head, but if the hair is frequently
washed to remove dirt, skin particles or dandruff, and
particularly if an oily dressing is applied to it, there is no great
risk of contamination if the aseptic manipulations are carried
out under a screen. Long hair should be tied back for obvious
reasons.
Working surfaces: Before commencing operations, the
surfaces of the working bench should be swabbed down with
a bactericidal solution. Cetrimide solutions are useful for this
as they have both bactericidal and detergent activity. This
treatment does not, of course, sterilize the surfaces and, as in
the case of skin, cleanliness and the laying of dust are the
most important considerations, but it is not necessary for this
purpose to provide a permanent pool of disinfectant. The
surfaces of walls and ledges above the actual working surface
must also be kept clean and the floor should be frequently
swabbed to prevent dust rising from it.
Apparatus and equipment: Glass vessels, containers and
equipment, when freshly removed from the sterilizer, will
have those parts covered which may come into contact with
1988
sterile materials. They should be stored in dust-free cupboards
and the exposed parts should be wiped down before use.
Containers for Parenteral Injections
Parenteral injections may be dispensed in single-or

multiple-dose containers. Single doses up to about 10ml are
usually dispensed in ampoules and single-dose injections of
large volumes, such as perfusion fluids, are dispensed in
blood or MRC bottles. Multiple-dose injections are dispensed
in vaccine bottles.
Ampoules
Ampoules are thin glass single-dose containers, the capacity

ranging from 0.5 to 50ml. After filling, they are sealed by
fusion of the glass before being sterilized. The contents can
then be expected to remain sterile until they are used.
Specifications for ampoules are given in BS 795: 1961, and
requirements for the quality of glass used are discussed in
Chapter 43. Ampoules provide the most satisfactory form of
container for most injections and are mandatory when the air
above the solution is replaced by nitrogen or other inert gas.
Spinal injections may only be packaged in ampoules because
the inclusion of bacteriostatics is not permitted, and such
injections may not be dispensed in multiple-dose containers.
Glass ampoules do, however, suffer from one major defect;
they must be opened by snapping off the neck after marking it
with a file, and although they have proved in practice to be
very reliable, there exists always the possibility of glass
spicules dropping in to the solution and being taken up by the
syringe. Special glass ampoules are made with prescored or
1989
preweakened necks which can be snapped off cleanly without
having to be filed, and plastic ampoules are also made in
which the contents are removed by inserting the syringe
directly through the shoulder (Pharm. J., 1973, 210, 110).
A number of devices have been produced to cut down the
time taken by assembling a syringe and using it to withdraw
the contents of an ampoule. One such device is the injection
cartridge (Fig. 35.16) consisting of a length of glass tubing
closed at both ends with tight-fitting rubber plugs. The
cartridge
is inserted into a metal holder forming in effect the barrel of
the syringe. The holder is equipped with a plunger which fits
into one of the rubber plugs which then acts as the piston,
while at the other end the needle mount is prolonged inwards
as a short, strong needle which pierces the other plug of the
cartridge, forming a seal. Plastic syringes are also available
with the injectable solution already in situ, while in other
designs the use of a syringe is avoided altogether. In the
automatic injector shown in Fig. 35.17 the solution is
contained in a glass ampoule the residual space of which is
occupied by an inert gas under pressure. The ampoule tip is
broken by bending the plastic tube after the needle has been
inserted into the recipient any glass fragments are retained by
the filter.
Fig. 35.16 Viule cartridge syringe.
1990
Fig. 35.17 The ‘Ampin’ automatic injector.
Filling ampoules: As supplied by the manufacturer, ampoules

for liquids are usually sealed to exclude dust, having
previously been washed and dried. For use, the ampoule is
filed above the neck and the sealed end broken off, care being
taken to prevent glass spicules from falling inside. The length
of neck remaining should be sufficient to provide adequate
1991
leverage when the completed ampoule is opened. Preliminary
sterilization is not essential if the contents are to be subjected
to a final heating process after sealing, but if the contents are
thermo labile, the empty ampoules must be sterilized before
filling them. In order that the ampoules may be dry, it is best
to sterilize them in a hot air oven, but if they are to be used
for aqueous liquids they can be sterilized by autoclaving
provided that they are well drained. For small batches, filling
is usually carried out under a screen using a syringe, while for
slightly larger batches a burette fitted with a hypodermic
needle covered by a hood can be used.
The necks may then conveniently be sealed with a twin-jet
burner. On a large scale, of course, automatic filling, sealing
and labelling machines are employed.
Single-Dose Containers for Large Volumes
Perfusion fluids are often required in volumes of

500–1000ml. Specifications for suitable bottles are given in
BS 2463: 1962 (amended) which describes tests for the
mechanical strength, thermal resistance and hydrolytic
resistance of the glass to water, saline and citrate solution.
They are made of good-quality glass, stout enough to resist
breakage and capable of repeated use. All bottles before
filling should be scrupulously clean and entirely free from
solid particles internally. Chemical cleanliness alone is
necessary if the contents are to be autoclaved, but if the
solution is not to be heated, the bottles must be sterile.
Most of the common perfusion fluids are sterilized in the
autoclave in the final sealed containers. Containers made of
plastics are now widely used. They are flexible and collapse
as the fluid is delivered, so that it is not necessary to have a
1992
sterile air inlet filter. A plastic giving set is attached to the
plastic bag before sterilization, avoiding the necessity of
aseptic assembly. The plastics used are permeable to water
vapour molecules and to avoid loss of fluid the bag containing
the injection is surrounded by another. Nevertheless, the pack
has a limited shelf life and Myers (1974) found that
‘ballooning’ sometimes occurred between the inner and outer
bags. Injections supplied in plastic containers of not less than
500ml capacity must comply with the limit test for toxicity of
the British Pharmacopoeia (1973).
Multiple-Dose Containers
Multiple-dose containers are used for subcutaneous,

intramuscular and occasionally intravenous injections (e.g.
sclerosing agents). The vials used may contain from 2 to 25ml
and are usually closed with a flanged rubber bung which is
secured by an aluminium capping. This is turned in under the
lip of the neck of the vial and its central portion is cut away to
expose the top of the rubber bung, so that a needle can be
passed through it. The exposed area is protected from dust by
a cap which either simply slips over the closure or is screwed
onto a thread on the bottle neck. As with ampoules, the glass
must conform to necessary standards and similarly the rubber
seal must comply with BS 3263: 1960 (see Chapter 43).
Although multiple-dose containers are convenient in use, they
have several disadvantages, the chief of these being the risk
of contamination from the insertion of a nonsterile needle or
from leakage, and the possibility of measuring the wrong
dose. The contents should normally be used quickly because,
as doses are removed, the increased airspace may accelerate
oxidation of the contents and it may be necessary to add an
1993
antioxidant to the injection. Vials are however useful for the
packaging of sterile,
thermolabile powders (e.g. antibiotics) which are dissolved in
Water for Injections prior to use, because the material can be
dried from solution in the final container.
Multiple-dose injections must contain a bactericide in
sufficient concentration to prevent multiplication of any
organisms accidentally introduced during the withdrawal of
successive doses. The British Pharmacopoeia (1973)
recommends the use of cresol 0.3 per cent w/v, chlorocresol
0.1 per cent w/v, or phenylmercuric nitrate 0.001 per cent
w/v. Injections which are sterilized by the official process of
‘heating with a bactericide’ need no further addition.
Choice of Sterilizing Method
Autoclaving: This is the method of choice for the sterilization

of most aqueous injections, provided that they will withstand
the time–temperature combination used. In the case of
substances which readily oxidize, sodium metabisulphate may
be included in the formulation, e.g. adrenalin, procain amide.
Alternatively, the air in the sealed container may be replaced
with nitrogen, e.g. for promazine and its derivatives, soluble
sulphonamides. Sodium Bicarbonate Injection is gassed with
carbon dioxide before sealing the ampoules or bottles, in
order to prevent conversion to the normal carbonate. Sodium
lactate injections are made by neutralization of lactic acid and
the autoclave is used as a convenient method of heating them
to ensure completion of the reaction prior to adjustment of pH
and sterilization by a second autoclaving procedure.
Autoclaving is the only method applicable to the sterilization
of bulky cotton dressings or fabrics and the special problems
1994
associated with them have already been discussed. Oily
injections cannot, of course, be autoclaved. In the absence of
moisture the process would amount to no more than using dry
heat at a temperature too low to be effective.
Glassware can be autoclaved provided that the steam can
reach both internal and external surfaces but as the articles are
usually required to be dry, they are generally sterilized in a
hot air oven. Some plastic materials can be autoclaved, but
not all, and natural rubbers will also withstand normal
auto-claving temperatures. Delicate rubber articles like
surgeons gloves are liable to perish, however, unless care is
taken to remove all residual moisture by applying an effective
vacuum after sterilization.
Sterilization by dry heat: This is used for all oily vehicles, e.g.
soft and hard paraffins, ethyl oleate and waxes and for a
number of oily injections, e.g. those containing steroids in
solution. If the medicament dissolved or suspended in such a
vehicle will not withstand the temperature used, it must be
sterilized separately by treatment with ethylene oxide or
ionizing radiations or by dissolving it in a volatile solvent
which, after passage through a bacterial filter, can be
removed. The sterile solid is then mixed aseptically with the
sterilized vehicle. Oily suspensions can be sterilized by dry
heat, but in some cases the suspended solid may dissolve at
the higher temperature and recrystallize in larger aggregates
on cooling and care must be taken to minimize this. Glycerol
can also be sterilized by dry heat and is used in Phenol and
Glycerol Injection BP.
Dry heat is also useful for the sterilization of a number of
noninjectable articles. Paraffin gauze dressings can be
sterilized in their final containers by heating in an oven, and
implants of steroids which have melting points higher than
150°C can be made by sterilizing the material in an oven and
1995
then either pouring it aseptically into sterile moulds or
allowing it to crystallize and then tabletting the crystals by
heavy compression.
Silicone rubber can be sterilized by autoclaving, but where
completely dry conditions are required, it can be sterilized by
dry heat. Similarly, syringes and some surgical instruments
can be sterilized by autoclaving, but it is usually more
convenient to use dry heat, especially where the process can
be made continuous as with the infrared tunnel sterilizer.
Sterilizable maize starch can also be sterilized in the hot air
oven and the method is the only suitable one for dusting
powders containing talc. On the small scale the talc is set out
in shallow layers in the oven in order to get adequate heat
penetration. Large amounts of talc are however used by the
pharmaceutical and toiletry industries and sterilization of it is
greatly assisted by its refractory nature. Because it can be
heated to a high temperature without deterioration, large
volumes can be heated in a furnace so that even if there is a
considerable temperature gradient through the material the
innermost regions still reach the necessary temperature. Some
absorbable haemostatics which are prepared by freeze drying,
and therefore have a very low moisture content, are sterilized
by heating at about 130°C for 3h, e.g. human fibrin foam.
Dry heat must not be employed for the sterilization of
aqueous fluids. The explosive power generated by even a few
milli litre of water heated to 150°C in a sealed ampoule is
enormous and potentially lethal.
Gaseous sterilization: This can be used for thermolabile
materials which will not withstand the conditions imposed by
autoclaving or heating in an oven. Ethylene oxide is generally
used and the limitations on its use have already been
discussed. It can be effectively employed for sterilizing some
surgical instruments and equipment made wholly or partly of
1996
plastics where these cannot be sterilized by autoclaving or
ionizing radiations. The method has been used for absorbable
dusting powder, for rubber gloves and for oxidized cellulose.
Formaldehyde is still occasionally used for sterilizing rooms,
but its principal application is in the formaldehyde steam
process for sterilizing woollen blankets.
Sterilization by heating with a bactericide: This process is
permitted by the British Pharmacopoeia as an alternative to
filtration for a few relatively heat-sensitive alkaloids, e.g.
morphine, emetine, and also for mersalyl and sodium
aurothiomalate. It is also officially approved for sterilizing
suxamethonium chloride, but not for the bromide, the
injection of which must be made by dissolving the sterile
solid in the vehicle. Dimenhydrinate Injection contains benzyl
benzoate as an ingredient and no further bactericide is
required. Similarly, some acid solutions, e.g. Procaine and
Adrenaline Injection BP and some alkaline solutions, e.g.
Phenobarbitone Injection BP provide adequate conditions for
sterilization at 98–100° without additional bactericide.
Sterilization by ionizing radiations: This process has been
discussed in Chapter 32. Either high-speed electrons from an
accelerator or g-rays from a radioisotope may be used to give
the necessary penetration, and the method is particularly
useful for some ready-packed disposable surgical equipment
such as catheters, intravenous giving sets and plastic syringes.
It is necessary to choose the right type of plastic or glass for
the purpose. Some materials which would otherwise be
difficult to sterilize can be treated effectively by irradiation,
e.g. catgut, graft tissues and adhesive dressings.
Sterilization by filtration: Where none of the foregoing
methods is applicable, filtration remains the only available
method of sterilization. This may involve the filtration of the
final solution followed by aseptic distribution into containers,
1997
or if the medicament is unstable in aqueous solution it may be
dissolved in a nonaqueous solvent and passed through a
bacterial filter, the solvent being then removed by distillation,
if required under reduced pressure, or by freeze drying, e.g.
antibiotics, hormones and enzymes. Paraldehyde Injection
BPC may not be subjected to heat sterilization and must be
sterilized by filtration; it must be supplied in single-dose
ampoules, contact with rubber or plastics being
contraindicated.
Aseptic operation: As has already been pointed out, some
thermolabile solids are prepared in a sterile condition and
injections are made from them by redissolving them in a
sterile vehicle. In a few cases aseptic dilution of a stronger
solution is prescribed, e.g. Noradrenaline Injection BP.
Insulin Injection BP is sterilized by filtration, but a test
portion is then withdrawn aseptically and assayed, and the
remainder is then adjusted to volume with sterile diluent and
distributed aseptically into the final containers. Cortisone
Injection BP and Hydrocortisone Acetate Injection BP are
sterile suspensions prepared by aseptic technique. Vaccines,
sera and blood products are also prepared aseptically from an
original source assumed to be sterile, and the final product
must therefore be adequately tested for sterility.
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2003
Chapter 36
Microbial Contamination Control and Sterility Testing
Microbial contamination may be important in three ways. In
injections, eye drops and certain dressings and lavage
solutions sterility is essential since any contaminants may
cause infections and the products of contaminants (pyrogens)
have caused harmful and even lethal reactions. Also, infection
may result from contaminated oral and topical preparations,
the most serious incident being the occurrence of typhoid
fever as a sequel to the ingestion of contaminated thyroid
tablets. Finally, excessive microbial contamination may cause
more or less extensive deterioration of the product, but can be
dealt with by a combination of hygienic preparation and
preservation (see below and Chapter 41).
Quality Control
The hygienic production of pharmaceuticals and the

sterilization processes for the production of sterile materials
are aspects of the quality control operation. The same
conditions apply to both hospital and industrial production
and there is no reason to apply different standards in these
two situations, though the methods and equipment used to
achieve satisfactory products will clearly differ.
It must be understood that quality control does not consist
simply of a few analytical procedures carried out by a
laboratory at the end of a production run, but is a series of
procedures which start at the inception of plans for a new
product and continue well beyond the despatch of each batch.
The quality of a product can be no better than that of the
2004
weakest link in the production chain. General guidance to UK
manufacturers is given in the Guide to Good Pharmaceutical
Manufacturing Practice produced by the Department of
Health and Social Security and its appendices.
Principles
The establishment of a proper managerial structure is

probably the most important aspect. Everyone connected with
quality control and production must know clearly what their
duties are, what the chain of command is and how they fit
into that chain. A quality controller must be a senior manager,
independent of production and with access to the highest
levels of management. He must be consulted on the location,
design and maintenance of the buildings, on the selection of
the equipment to be used and in setting the standards of
hygiene and cleanliness appropriate to buildings, equipment
and personnel. Personnel training and retraining are also
important. Further, he will specify exactly what records and
documentation are required to check adequately the various
aspects of each process.
Once production has commenced, under the direction of a
production manager independent of the quality controller, the
quality control laboratory will conduct chemical and other
analyses as well as routine checks on the levels of microbial
contamination of the starting materials, the buildings and their
atmospheres, personnel and equipment and on the product at
various stages of production. These checks include chemical,
physicochemical and biological methods and also the
surveillance of those aspects of production which contribute
to contamination. Biological methods include determinations
of the nature and extent of microbiological contamination of
2005
any nonsterile materials used, and sterility testing, the details
of the latter being dealt with below. Also, aseptic filling
procedures can be verified by filling a nutrient medium in
place of the product, incubating the filled containers and
checking for the presence of microbial growth.
If quality control procedures are be reliable it is essential that
sampling is done exclusively by quality control staff and not
by production workers and that sampling is properly
randomized, for example, by the use of tables of random
numbers.
It must always be assumed that human errors will occur, so
the checks introduced at suitable stages in production are
designed to monitor this possibility.
Finally, all documentation relevant to each batch, from
starting materials to finished product, is collated, checked and
filed for future reference and samples of each batch are
retained and checked at intervals until the entire batch has
certainly been used.
Microbial Contamination of Nonsterile Products
Interest is focused on two points: the extent of the

contamination and its nature. The establishment of standards
is not easy but should be fixed by what is attainable by good
manufacturing practice and with regard to the nature of the
preparation, so that the standards which are set can be
achieved at the point of use.
Extent of Contamination
Standards: The USP XVIII is one of the few pharmacopoeias

which set standards for the numbers of aerobic bacteria in a
2006
variety of products, e.g. gelatin, aluminium hydroxide gel. No
standards limiting the total bacterial population appear in the
BP 1973. An FIP Working Party (Report, 1972) indicated
levels of the order of 106–109/g in substances of animal or
vegetable
origin and of 100/g in synthetic or purified substances, while
some materials, e.g. vitamins, lactose, talc, kaolin, posed
special problems (Table 36.1). The report also gives
recommended standards and methods applicable to various
classes of nonsterile medicaments.
Table 36.1 Limits suggested by the Fip working party

(report, 1972) on permissible levels of microbial
contamination of nonsterile medicaments (The procedures
are a compromise between the limits for numbers of
revivable organisms and fixing limits for the exclusion of
specified pathogens.)
Numerical
tolerance Totally excluded
Product
limit of species or genera
bacteria
Injectable Nil All
Ophthalmic None in 1g or –
preparations, large 1ml
volume lavage solutions
for sterile cavities,
burns, ulcers
Topical preparations 102/g or Enterobacteriaceae*
(for damaged skin, 102/ml Pseudomonas
nose, throat, ear) aeruginosa
2007
Staphylococcus
aureus
Other preparations 103/g or Enterobacteriaceae*
3 2
10 /ml (10 /g P. aeruginosa S.
or 102/ml of aureus
yeasts and
fungi)
*
Some materials based on natural sources must be allowed to
contain Enterobacteriaceae, e.g. to the extent of 20/g, but in
such cases strict limits must be applied on the numbers of E.
coli, salmonellae and Shigella.
No general norms can be laid down for starting materials,
but
1. synthetic compounds or pure substances of nonbiological
origin usually contain < 100/g,
2. crude products of biological origin may contain
106–109/g,
3. exceptionally lactose, calcium lactate steroids and mixed
earths may be contaminated with a mostly saprophytic
microflora but including Bacillus, Micrococcus, Staphy-
lococcus, Streptococcus group D, C. tetani (in talc) and
fungi.
The methods laid down in the USP XVIII are standard
bacteriological counting methods. For clear miscible products
the total number of viable aerobic bacteria is determined by
the pour plate method, but with suspensions or emulsions in
which turbidity makes colony counting difficult or impossible
the count may be done by the dilution method (most probable
number, MPN or multiple tube method), although the
accuracy of this is very poor.
2008
If the preparation contains antimicrobial agents, either
naturally or as added preservatives, the inhibitory effect must
be removed by dilution, chemically or by filtration prior to
testing. The latter is done using a sterile membrane filter
which is washed free of inhibitor and the filter can then be
incubated directly on a nutrient medium.
Methods (USP XVIII): A 10g or 10ml sample is derived from
not less than 10×1g or 10×1ml samples, taken from different
containers and blended, and dissolved or suspended in 90ml
of phosphate buffer. Gelatin is treated similarly, except that
further dilution is usually necessary. Hydrophobic materials
are emulsified with polysorbate 80. Two 1ml samples of the
final suspension, diluted further if necessary, are then counted
by the normal pour plate technique, using soya bean–casein
digest (tryptone soya) agar. Colonies are counted after 48–72
h.
If the diluted sample is a suspension, or an emulsion too
turbid to permit colony counts, a multiple tube (MPN) method
may be used, the count being determined by reference to an
MPN table similar to that given in Table 33.4. If it is difficult
to decide whether growth is present or not, the contents of the
tubes are subcultured into fresh medium.
All samples must be tested to ensure that they do not contain
inhibitory substances; if they do the procedure is modified to
remove or neutralize the inhibitory action.
Nature of the Contamination
Only four species are looked for routinely. E. coli is used

universally as an index of faecal pollution of food and water
and can fill this role since it is probably exclusively human in
origin, occurs in large numbers in faeces and survives well
2009
outside the body. Thus there are numerous, rapid, well-proved
methods for detecting this species which is widely used as an
index of hygienic production.
There are numerous Salmonella species comprising the agents
of typhoid and paratyphoid fevers (enteric fever), and many
of the common causal agents of food poisoning. Direct
attempts to isolate these are not usual in water bacteriology
since they may be of animal origin, are present in relatively
small numbers in the intestines of infected patients and the
methods are of doubtful sensitivity. Presumably, interest has
focused on these species since they frequently infect animals
and invade the blood stream after slaughter, so products
derived from animals are likely to be infected. Indeed, several
cases of typhoid fever in Sweden were traced back to infected
thyroid tablets.
Staphylococcus aureus is carried by many individuals in the
nose and throat and sometimes on the skin, as a harmless
parasite. Under appropriate conditions it can cause wound
infections which may be difficult to treat and is a common
cause of food poisoning if some foods infected with it are left
so that the organism can grow and produce exotoxin. It is thus
another index of hygienic production.
Although Pseudomonas aeruginosa is of relatively low
virulence it is a common wound pathogen since it establishes
itself readily in damaged tissue or in debilitated patients. It
has been reported as the causal agent of deaths in burns units,
and of loss of sight, and may also cause systemic infections.
Further, the organism is resistant to most antibiotics, apart
from carbenicillin and colistin, and readily acquires resistance
by the transfer of resistance factors. Other pseudomonads are
very common in water and although these will not ordinarily
grow above 30°C (P. fluorescens, P. putida) they are very
2010
versatile biochemically and can break down many compounds
including antiseptics.
Other organisms such as anaerobic bacteria and fungi, may be
important in particular cases, so reputable manufacturers test
products appropriately. The official standards are to be
regarded, in this as in all other cases, as minimum
requirements which manufacturers augment as necessary.
Methods
E. coli: The BP 1973 recommends that samples should be

inoculated into nutrient broth and incubated. Tubes showing
growth are then subcultured into MacConkey broth and again
incubated at 37°C. Any tubes showing acid and gas
production are subcultured into both MacConkey broth and
tryptone water, which are then incubated at 44±0.5°C.
Production of acid and gas in the former medium and indole
from the latter is presumptive of E. coli.
The USP XVIII requires a 10g or 10ml sample to be added to
a lactose broth and incubated. If growth is present a loopful is
streaked on a plate of MacConkey agar. Brick-red colonies of
Gram-negative rods are streaked on Eosin Methylene Blue
agar for confirmation. Blue-black colonies with a metallic
sheen are presumed to be E. coli and confirmed by further
tests as above.
The methods given above do not conform to current practice
in water bacteriology, in which samples are incubated in
Minerals Modified Glutamate (MMG) medium and positive
(acid and gas) tubes are subcultured into Lactose Ricinoleate
(LR) broth and Tryptone water and incubated at 44±0.2°C.
Growth and lactose fermentation to give acid and gas in the
former medium and indole production in the latter is
2011
considered presumptive of E. coli. These latter methods have
been introduced because selective media generally, and
MacConkey medium in particular, are frequently inhibitory to
the very organisms which they are intended to select. In water
analysis MMG and LR media have been shown to give a
higher number of positive with a minimum of false positive
reactions (Report, 1969); but whether this applies also to
pharmaceuticals is not known.
Salmonella spp: The method given by the BP 1973 is to
enrich the culture by incubating the sample with nutrient
broth, and to add heavy inocula from the enrichment culture
into Selenite F and Tetrathionate media. After further
incubation samples from each tube showing growth are
streaked onto Brilliant Green, Desoxycholate Citrate and
Bismuth sulphite agars. Any suspect colonies are confirmed
by inoculation into Triple Sugar Iron and Urea media. The
USP XVIII uses the remainder of the lactose broth culture
prepared for the E. coli test and adds portions to
Selenite–Cysteine and Tetrathionate media. After 12–24 h at
30–35°C portions of each enrichment culture are streaked on
Brilliant Green, Xylose–Lysine–Desoxycholate and Bismuth
Sulphite agars. Suspect colonies are confirmed on Triple
Sugar Iron agar, final confirmation being done by further
biochemical tests.
The requirement to use both selenite and tetrathionate media
is a reflection of the inhibitory nature of these media to
Salmonella spp. and therefore the results should be viewed
with caution since counts may be low.
The colony characters used to characterize these and other
organisms are given in Table 36.2.
Table 36.2 Colonial and morphological characters of
contaminants of interest in nonsterile pharmaceuticals
2012
S. aureus: The BP 1973 does not give any tests for the
presence of this organism. The USP XVIII directs that
samples should be incubated in soya bean–casein digest
(tryptone soya) broth followed by subculture from tubes
showing growth onto Vogel–Johnson agar. Black colonies of
Gram-positive cocci surrounded by a yellow zone are
presumptive of S. aureus and this is confirmed by a positive
coagulase test, thus, i.e. cultures are able to coagulate rabbit
serum.
P. aeruginosa: The BP 1973 recommends inoculation into
0.03 per cent cetrimide broth, incubating at 30°C for 72 h and
then streaking from this onto 0.1 per cent cetrimide agar. All
colonies showing green pigmentation are tested by the
oxidase test and Gram staining. The oxidase test consists of
spreading a colony on paper saturated with
N,N′-p-aminodimethylaniline hydrochloride, when oxidase
positive organisms, e.g. P. aeruginosa, give a purplish colour.
2013
The USP XVIII uses the same primary culture as for S.
aureus and then streaks onto an agar medium containing 0.03
per cent cetrimide. All ‘generally greenish’ fluorescent
colonies are presumed to be P. aeruginosa and are tested by
the oxidase test. Oxidase positive organisms are presumed to
be P. aeruginosa, which may be confirmed by further
biochemical tests.
The USP is generally safer than the BP since it defines the
composition of its cetrimide agar fairly closely. The selective
effect of the cetrimide depends markedly on the nature of the
ingredients of the medium, and pigmentation is similarly
sensitive. Several pigments may be produced, pyocyanin
which is blue-green, fluorescein which is pale
yellowish-green and fluorescent and the red pigment,
pyorubin. Melanin may also be produced. Thus the
pigmentation may be anything from pink to purple or black.
The production of visible pigment is unreliable and it is
generally accepted that growth plus fluorescence is the best
guide. Also, about 10 per cent of strains are nonpigmented.
Finally, incubation at 30°C will permit the growth of saprobic
pseudomonads, which produce the fluorescent pigment only,
and other Gram-negative rods (F. lavobacterium) which
cannot be differentiated from pseudomonads by the tests
described above. Thus it is essential to test each batch of
media with known strains to ensure that the proper growth
patterns are produced. This is also desirable for all the
procedures described for all four organisms and is the
procedure given by the BP, which lists the strains to be used
for controlling the tests for E. coli, Salmonella spp. and P.
aeruginosa, though whether the range of test strains is
adequate is open to doubt.
The most satisfactory medium for P. aeruginosa so far
devised is that of Lilly and Lowbury (1972), based on a
2014
controlled formula containing 0.02 per cent cetrimide and
nalidixic acid. These workers used growth and fluorescence
as their criteria.
Ophthalmic Ointments
These are required to pass tests for total bacterial count and
for freedom from S. aureus and P. aeruginosa. The technique
used is to dissolve 1g of bulked sample in 100ml of sterile
isopropyl myristate and to filter the solution through three
0.22 μ membrane filters. Each membrane is then washed with
5×100ml portions of peptone/beef extract broth containing
(p-tert-octylphenoxy) polyethoxyethanol as a solubilizing
agent for isopropyl myristate and residual ointment base. The
membranes are then incubated on soya bean–casein digest
(tryptone soya) agar and the colonies developing on the
surfaces of the membranes are counted. Finally the colonies
are streaked onto Vogel–Johnson and Cetrimide agar media to
test for the presence of the specific contaminants.
Sterility Testing
In the main, sterility tests are applied to products intended to

be sterile to check that the products are free from detectable
contamination, both bacterial and fungal. Additionally, the
test is applied to products known to contain viable
microorganisms such as Smallpox Vaccine, oral Polio
Vaccine and BCG Vaccine to ensure freedom from
extraneous microorganisms.
The central proposition of the sterility test is extremely
simple: samples are inoculated into suitable media and the
media are incubated and examined for growth. However, on
2015
examining this proposition in greater detail, numerous
problems occur.
Sample Size
The European Pharmacopoeia Vol. II and the USP XVIII

specify the sample sizes to be used and these are given in
Table 36.3.
Table 36.3 pharmacopeial recommendations on sample
volumes to be taken in sterility testing
It is doubtful whether there is any logic in such specifications

except where the volume tested is one human (or animal)
dose since what we need is security that the dose as
administered in its entirety is unlikely to cause infection or
other untoward effects. Thus the simple proposition should be
to test one human dose. However, this is impracticable where
products have a very small dose, e.g. 0.1ml, so that when
tuberculin, eye drops, Schick test toxin and certain insulin
preparations, etc., are tested, a volume larger than one dose
must be tested and this gives additional security.
If a single aerobic/anaerobic medium is used in testing for
bacteria, it is clear that the sample volumes must be doubled
to give the same security of testing as if two media had been
used.
2016
Statistical Considerations
The argument over sample size is reinforced when the

statistics of sampling are examined.
The distribution which fits the sterility test system is the
hypergeometric distribution, and Knudsen (1949) has shown
that the chance of detecting even a heavily contaminated
batch is small, that the probability of detection depends
primarily on sample size and that batch size is almost
irrelevant in the range 50–104 items (Fig. 36.1).
2017
Fig. 36.1 Probability of passing defective batches with
different levels of contamination, for different batch and
sample sizes (hypergeometric distribution).
A good approximation to the hypergeometric distribution is

given by the binomial distribution, which is much easier to
handle mathematically.
The probabilities of 0, 1, 2, …, n defectives in a sample of n
items, drawn at random from a batch with a proportion of
2018
defective (contaminated) items p and a proportion of
satisfactory (sterile) items q, are given by the successive
terms of the expansion of (q + p)n. Thus the probability of n
contaminated is pn of n sterile is qn and of some contaminated
is (l – qn – pn). For example, if n = 4, q = 0.9, p = 0.1, the
result given in Table 36.4 is obtained, which shows that with
10 per cent of contaminated items in a batch and a sample of
four, about 66 per cent of samples will contain no
contaminated items, i.e. the batch will be accepted. From this
it is again clear that when sampling by attributes (pass/fail), a
small sample gives a very crude estimate of the proportion
contaminated, even if this reaches the exceptionally high level
of 10 per cent.
Table 36.4 probability of passing a batch with 10 per cent
contaminated items using a sample of four items (binomial
distribution)
Further, since the probabilities depend only on p and n, the

conclusion of Knudsen that batch size is irrelevant is
substantiated.
It must be emphasized that both the statistical treatments
discussed above assume that the whole of the contents of each
container will be tested. However, sampling from containers
is permitted (Table 36.3) and if samples are taken from
containers in a sterility test, e.g. 1ml samples from a 500ml
infusion fluid, the probability of detection falls to even poorer
levels than those indicated above.
Finally the optimum number of items to be taken to detect
particular levels of contamination, or to give acceptable levels
2019
of safety to the patient, must be considered. These two aims
are not identical. To satisfy the requirement to detect
contaminated batches with reasonable security it can be
shown that the probability of detection increases rapidly with
the number sampled at first, but then decreases, there being
no worthwhile benefit in taking more than 40 items. To give a
minimum risk of passing an unsatisfactory batch, Bentzon
(WHO Report, 1960) showed that the sample size should
equal the square root of the number of items in the batch.
However, it is unrealistic to take large proportions from small
batches or to take a very large number of items from a large
batch, in view of the low probability of detecting
contamination. Compromises are therefore made and the
numbers of items required to be taken by some
pharmacopoeias are given in Table 36.5. Even at these
reduced levels the cost of testing may be a major part of the
total cost of production and any suggestion of increased
sample sizes is strongly resisted by manufacturers.
Table 36.5 Sample sizes to be taken in sterility testing
European Pharmacopoeia, Vol. II

Number of containers in the Number of items to be
batch taken
Not more than 100 10 per cent or 4, whichever
is the greater
More than 100 but not more 10
than 500
More than 500 2 per cent or 20 whichever
is the less
2020
United States Pharmacopoeia
Sterilization method Number of items to be
taken
Autoclaved at 121 for 15min 10
(minimum conditions)
Sterilized in final container but 20
not autoclaved at 121 for15min
If a biological indicator is used 10
Not sterilized in final container 30
If the bulk has already passed a 20
test for sterility
Indian Pharmacopoeia 2007
Parenteral preparations Not 10 per cent or 4 containers,
more than 100 containers whichever is greater
More than 100 but not more 10 containers
than 500 containers
More than 500 containers 2 per cent or 20 containers,
whichever is less
For large-volume parenterals 2 per cent or 20 containers,
whichever is less
Ophthalmic and other 2.5 per cent or 2
nonparenteral preparations Not containers, whichever is
more than 200 containers greater
More than 200 containers 10 containers
Surgical dressings and devices 2 per cent or 5 packages,
Catgut, surgical sutures and whichever is greater, up to
2021
other sterile medical devices for a maximum of 20
use packages
Not more than 100 packages 10 per cent or 4 packages
whichever is greater
More than 100 but not more 10 packages
than 500 packages
More than 500 packages 2 per cent or 20 packages,
whichever is less
Bulk solids Less than 4 Each container
containers
4 containers but not more than 20 per cent or 4 containers,
50 containers whichever is greater
More than 50 containers 2 per cent or 10 containers,
whichever is greater
Table 36.6 Composition of fluid thioglycollate medium—for

use with clear fluid products
Ingredients Quantity
L-Cystine 0.50 g
Sodium chloride 2.50 g
Dextrose monohydrate/anhydrous 5.50
g/5.00 g
Granular agar (moisture content less than 15 per 0.75 g
cent, w/w)
Yeast extract (water-soluble) 5.00 g
pancreatic digest of casein 15.00 g
2022
Sodium thioglycollate or 0.50 g
Thioglycolic acid 0.30ml
Resazurin sodium solution (0.1 per cent), freshly 1.00ml
prepared
Distilled water to 1000ml
pH of the medium after sterilization 7.1±0.2.
Media
The media used must be capable of supporting the growth of

small numbers of exacting microorganisms.
What this means is often not defined precisely, for example in
the USP XVIII, but the EP Vol. II suggests tests with S.
aureus (an aerobic bacterium), Clostridium (Plectridium)
sphenoides (an anaerobic bacterium) and Candida albicans (a
yeast). The WHO Report (1960) also includes Streptococcus
pyogenes (Group A). However, it is well known that damaged
bacteria are especially fastidious in their growth requirements,
(Harris, 1963b) though this does not seem to apply to fungal
spores (Chauhan & Walters, 1962). No pharmacopoeia has
attempted to tackle this problem and adequate tests for media
capable of growing small members of damaged organisms
will be difficult to devise.
The USP XVIII recommends the following media and should
be consulted for details. It also requires each batch of medium
to be tested for growth-promoting properties using two
nutritionally exacting strains.
Fluid thioglycollate medium is an anaerobic medium with
resazurin as oxidation–reduction indicator, and is intended for
2023
use with clear, fluid products. Inoculations into anaerobic
media must always be made into the (reduced) depths of the
medium with a Pasteur pipette.
Method: Mix the ingredients other than the thioglycollate or
thioglycolic acid and the resazurin sodium solution, in the
order given above, in a mortar, with thorough grinding. Stir in
some heated distilled water, transfer to a suitable container,
add the remainder of the distilled water, and complete the
solution by heating in a boiling water bath. Dissolve sodium
thioglycollate or thioglycolic acid in the solution and, if
necessary, add 1M sodium hydroxide so that, after
sterilisation, the solution will have a pH of 7.1±0.2. If
filtration is necessary, heat the solution again without boiling
and filter while hot through moistened filter paper. Add the
resazurin sodium solution, mix and distribute the medium into
suitable vessels that provide a ratio of surface to depth of
medium such that not more than the upper half of the medium
has undergone a colour change indicative of oxygen uptake at
the end of the incubation period. Sterilize in an autoclave at
121° for 20min. If the medium is to be stored, cool promptly
to 25° and store at 2–30°, avoiding excess of light. If more
than the upper one-third of the medium has acquired a pink
colour, the medium may be restored once by reheating in a
water bath or in free-flowing steam until the pink colour
disappears, and cooling rapidly, taking care to prevent the
introduction of nonsterile air into the container. When ready
for use, not more than the upper one-tenth of the medium
should have a pink colour. Medium more than 4 weeks old
should not be used.
Alternative thioglycollate medium is similar in formula to
fluid thioglycollate medium but does not have the resazurin or
the agar and is used for testing turbid or viscous products and
for devices having tubes with small lumina. It must be
2024
recently boiled and cooled to remove oxygen before use
(Table 36.7).
Table 36.7 Composition of alternative thioglycollate

medium—for use with turbid and viscid products and for
devices having tubes with small lumina
L-Cystine 0.50 g
Dextrose monohydrate/anhydrous 5.50 g/5.00 g
Yeast extract (water-soluble) 5.00 g
Pancreatic digest of casein 15.00 g
Sodium thioglycollate or 0.50 g
Thioglycolic acid 0.30ml
Heat the ingredients in a suitable container until solution is

affected. Mix/add 1M sodium hydroxide, if necessary, so that,
after sterilization, the medium will have a pH of 7.1±0.2.
Filter, if necessary; place in suitable vessels; and sterilize at
121°C for 20min. Store at a temperature between 2 and 25°C
in a sterile sealed container, unless it is intended for
immediate use.
The medium is freshly prepared or heated in a water bath and
allowed to cool just prior to use. It should not be reheated.
Use alternative thioglycollate medium in a manner that will
2025
assure anaerobic conditions for the duration of the incubation
at 30–35°C.
Soya bean–casein digest medium is a medium giving rich
growth of many organisms and is recommended for detecting
small numbers of aerobic bacteria and fungi. The formula is
identical with that for ‘oxoid’ tryptone soya broth (shown in
Table 36.8).
Table 36.8 Composition of soya bean–casein digest medium
Pancreatic digest of casein 17.0 g
Papaic digest of soya bean meal 3.0 g
Dipotassium hydrogen phosphate (K2HPO4) 2.5 g
Dextrose monohydrate/anhydrous 2.5 g/2.3 g
Dissolve the solids in distilled water, warming slightly to

effect solution. Cool to room temperature and add, if
necessary, sufficient 1M sodium hydroxide so that after
sterilization the medium will have a pH of 7.3±0.2. Filter, if
necessary; distribute into suitable containers; and sterilize in
an autoclave at 121°C for 20min. Use soya bean–casein digest
medium by incubating it at 20–25°C under aerobic
conditions.
The EP Vol. II makes no recommendations on the formulae
of media, but requires them to be adequately sensitive and
2026
nutritive. The WHO Report (1960) gives the formulae for
additional media, including cooked meat medium, probably
the most satisfactory of all the anaerobic media.
No pharmacopoeia lays down any requirements for tests for
viruses, rickettsiae or chlamydiae because of the technical
difficulties involved and because they have a low heat
resistance and so are unlikely to be present in the majority of
sterilized products, but tests are applied to specific viral and
rickettsial vaccines according to the hazards involved.
Media for Penicillins and Cephalosporins
Where sterility test media are to be used in Method B

described under Test Procedures, modify the preparation of
fluid thioglycollate medium and the soya bean–casein digest
medium as follows. To the containers of each medium,
transfer aseptically a quantity of penicillinase sufficient to
inactivate the amount of antibiotic in the sample under test.
Determine the appropriate quantity of penicillinase to be used
for this purpose by using a penicillinase preparation that has
been assayed previously for its penicillin- or
cephalosporin-inactivating power. Note that supplemented
penicillinase media can also be used in Method A.
Alternatively (in an area completely separate from that used
for sterility testing), confirm that the appropriate quantity of
penicillinase is incorporated into the medium, following
either method under Validation of Tests, using less than 100
CFU of S. aureus (ATCC 29737) as the challenge.
Typical microbial growth of the inoculated culture must be
observed as a confirmation that the penicillinase
concentration is appropriate.
2027
Suitability of Media
The media used should comply with the following tests,

carried out before or in parallel with the test on the
preparation under examination.
Sterility: Incubate portions of the media for 14 days at the
temperatures indicated under each medium. No growth of
microorganisms occurs.
Growth promotion test: Test each autoclaved load of each lot
of the medium for its growth-promoting qualities using
suitable strains of microorganisms indicated in Table 36.9.
Table 36.9 Conditions and medium for various test
microorganisms
Inoculate duplicate portions of each medium with a small

number (not more than 100 CFU) of the microorganisms
specified, using separate portions of the medium for each of
the microorganisms and incubating according to the
conditions specified in Table 36.9.
The media are suitable if a clearly visible growth of the
microorganisms occurs. The tests may be conducted
simultaneously with any test for sterility done using the same
lot of media. However, such tests will be considered invalid if
2028
the test media show inadequate growth response. If freshly
prepared media are not used within 2 days, they should be
stored in the dark, preferably at 2–25°C.
Finished media, if stored in unsealed containers, may be used
for not more than 1month provided they are tested within 1
week of use.
Validation of tests: Carry out a test as described under test
procedures using exactly the same methods with the
following modifications.
Samples Possessing Inherent or Added Antimicrobial

Activity
Where samples falling into this category are to be tested they

have to be treated so that the antimicrobial activity is
abolished completely. This may be done by neutralization,
inactivation or removal and the principal recommended
techniques are given in Table 36.6. However, none of the
methods given is sacrosanct and, since it is known that
nonionic detergents inactivate phenols and most biocides and
biostats there is no reason why Letheen (Lecithin plus Tween
80) or Lubrol media should not be used for most preparations,
provided that it could be proved that this was at least as
effective as the recommended methods.
Membrane filtration: This is now the method of choice for
sterility testing since it permits virtually the complete removal
of any antimicrobial agent, the testing of large volumes of
sample and the testing of oily preparations and certain soluble
powders.
The membrane filter is a thin disc of mixed cellulose esters of
a closely controlled pore size, 0.45μ being commonly used
though 0.22μ membranes may be used for special purposes.
2029
Hydrophilic materials may be filtered directly or dissolved or
diluted in peptone water, the solution then being filtered
through a sterile membrane, adding if necessary, substances
such as penicillinase or other antimicrobial inhibitor. In the
latter cases the membrane is washed with portions of 0.1 per
cent w/v peptone water to remove any traces of inhibitor.
Since substances are often absorbed in the margin of the
membrane where it is trapped in the filter unit, the use of
membranes with a hydrophobic edge may be desirable. The
procedures suggested by the USP XVIII are summarized in
Table 36.10.
Table 36.10 Some techniques for the neutralization of

antimicrobial activity
Antimicrobial agent Neutralization method*

Quaternary ammonium Medium with nonionic surfactant
compounds and other (Lubrol or Tween 80/lecithin)
surfactants
Sulphonamides Medium with p-aminobenzoic
acid
Phenolic compounds Dilute to less than 0.01 per cent or
as for quaternary ammonium
compounds
Halogens Neutralize with thiosulphate
Dilute to less than 1 per cent
Acids and alkalis Neutralize
2030
Heavy metals (Hg, As, Medium with sulphydryl
Cu, Ag, Zn) compound (thioglycollate,
cysteine)
Dyes Membrane filtration
Formaldehyde Neutralize with bisulphite,
membrane filtration
Penicillin Incubate with penicillinase
Other antibiotics Membrane filtration
*
Membrane filtration is the method of choice for all tests on
products containing antimicrobial agents. Where indicated
as the sole method it is the only possible one.
It is then often recommended that the membrane be divided
and that half should be added to aerobic/anaerobic bacterial
medium and the other half to aerobic mycotic medium.
However, this is open to the same objection as was voiced
previously about the use of samples taken from large volume
containers and it is preferable to filter the whole of the
contents of one container, add the membrane to aerobic
bacterial medium, and
then filter the contents of two more containers, the
membranes being incubated in mycotic and anaerobic media.
This procedure gives adequate one-dose test security, though
at the expense of additional samples, membranes, media, etc.
The testing of hydrophobic products (powders, oils, lecithin,
soft paraffin products) presents special difficulties both in
physical handling and in attempting to ensure the complete
recovery of revivable organisms from the product. Some
approaches are also suggested in Table 36.11.
2031
Table 36.11 A summary of the membrane filter procedures
of the USp XVIII
Nature of
Procedure
sample
Nonviscous Filter directly
homogeneous
Viscous Dilute with Fluid A* and filter
liquid
Has inherent Filter and wash with one to three 100ml
bacteriostatic portions of Fluid A
properties
Contains Filter and wash one to three 100ml portions of
lecithin Fluid B
Ointments Dissolve 1g in 100ml of sterile isopropyl
and oils (not myristate. Filter and wash with 2×200ml
containing Fluid B and 100ml Fluid A. Transfer
soft paraffin) membrane to medium containing TOPPE
Products Dissolve is isopropyl myristate and filter.
containing Wash with 3×100ml of special rinse medium.
soft paraffin Transfer membrane to medium containing
TOPPE
Insoluble Dilute if necessary filter and wash as
solids and appropriate
sus -
pensions
2032
*
Diluting Fluid A: 0.1 per cent peptone water Diluting Fluid
B; 0.1 per cent peptone, 0.1 per cent (p-tert-octylphenoxy)
polyethoxy ethanol (TOPPE)
Special Rinse Medium: 0.05 per cent peptone, 0.03 per cent
beef extract, 0.1 per cent (p-tert-octylphenoxy) polyethoxy
ethanol
Further problems occur with insoluble powders due to
blockage of the membrane and this may be overcome by
layering the membrane with sterile Hyflo filter aid, a special
diatomaceous earth, and adding further Hyflo to the
suspension before filtration.
It will be clear that sterility testing in general and the
membrane filter technique in particular requires an
exceptional degree of skill and knowledge and is not to be
undertaken lightly. The question of controls has still to be
mentioned and successful control procedures are an integral
part of the whole sterility test procedure, whether conducted
by membrane filtration or otherwise.
Controls
Two types of control are used. Positive (growth) controls are

intended to ensure that the sterility test system, i.e. medium
plus sample plus inhibitor (plus membrane filter if
appropriate) will support the growth of fastidious
microorganisms and is therefore likely to detect all potentially
viable contaminants. Negative controls ensure the sterility of
all materials, media and apparatus used in the test.
When tests are set up on several items from a single batch
these must be done separately, but it is necessary to set up
only one set of controls. The EP Vol. II requires the positive
controls to be done in duplicate.
2033
Control organisms may vary widely according to the
particular application, but the organisms suggested by the EP
Vol. II have been referred to already under ‘Media’, and tests
for Mycobacterium tuberculosis may be controlled with strain
H37RV. The use of S. aureus as an aerobic control organism
may be criticised since it is a facultative anaerobe and a
strictly aerobic exacting Micrococcus would be preferable.
For positive controls small numbers of organisms, about 100,
should be used.
It is clear from what has been said that although sterility tests
by membrane filtration require three membranes for each test,
one for aerobic bacteria, one for anaerobic bacteria and one
for fungi, six membranes are required for each set of controls
if the requirements of the European Pharmacopoeia are to be
complied with, two each for aerobic bacteria, anaerobic
bacteria and fungi. If proof of sterility is required, further
membranes are necessary.
Time and Temperature of Incubation
The incubation temperature and time are important, since the

temperature must be suitable for growth and the time must be
long enough for visible growth to be achieved even with
slowly germinating spores or damaged bacteria, which are
known to have very long lag phases. The WHO Report (1960)
recommended for bacteria either incubation at 15–22°C and
35–37°C or, if only one temperature is used, 30–32°C. The
EP Vol. II follows the second procedure while the USP XVIII
requires temperatures of 30–35°C. In the test for mycotic
sterility the WHO Report and the USP XVIII both give an
incubation temperature of 20–25°C.
2034
Regrettably there is no real rationale behind these decisions,
except convenience, since it is known that damaged bacteria
usually revive best at temperatures different from the
optimum temperature for the growth of undamaged cells of
the same species (Harris, 1963a).
So far as the time of incubation is concerned the EP Vol. II
follows the recommendation of the WHO Report (1960) and
requires an incubation period of 7 days for bacteria, though
the USP XVIII specifies periods varying from 7 to 14 days. A
period of 14 days is usual for fungi. The times used are
undoubtedly a compromise between the need to give ample
opportunity for growth, and the desire to avoid undue cost to
the manufacturer. In fact, most manufacturers would tend to
use rather longer incubation periods, if experience shows that
this is desirable, to protect the quality of their products.
The EP Vol. II lays down 37°C for 42 days for tests for
Mycobacterium tuberculosis.
Recording and Interpretation of the Test
The following information must be recorded clearly. The

nature, size, composition and origin of each item in the
sample, the method of testing and the nature and volume of
media and of any neutralizing agents employed (if necessary)
and the results of all tests and controls. The presence of
growth may be detected at periodic inspection by turbidity,
centrifugation and microscopy of the sediment and by
subculture.
The sample passes the test if all ‘tests’ and the negative
controls show no growth and all positive controls show
growth. Note that samples are not reported as sterile due to
the statistical and technical uncertainties of the procedure.
2035
The sample fails the test if one or both ‘tests’ show growth,
the negative control shows no growth and the positive
controls show growth.
The test is invalid, and should be repeated after investigation
of the causes, if a negative control shows growth or if one or
more of the positive controls shows no growth.
The EP Vol. II, but not the USP XVIII, permits a sample
which fails the first test to be retested. If growth of the same
microorganism occurs in the second test the sample fails, but
if a different microorganism grows in the second test, the test
may be repeated for a third time. If no growth occurs on the
third occasion the sample passes the test. Such a procedure,
previously permitted in the BP 1968 and earlier editions, is
very unsound and any manufacturer using such a practice
would be taking considerable risks both with the health of
users of the product and with their own reputation, especially
since even the theoretical basis for the procedure is very
dubious. The same comments naturally apply to products
produced in the hospital service.
Special Modifications of Technique
Tests for Mycobacterium tuberculosis in BCG vaccine: This

is a special hazard since the virulent organism grows under
the same conditions as the attenuated BCG and carriers of the
virulent organisms are not uncommon. Accidental
contamination with virulent M. tuberculosis would give a
dangerously toxic product. The test involves low speed
centrifugation of 25ml of product, suspending in saline or
preservative inhibitor, centrifuging again, resuspending in
saline and inoculating into 10 tubes each of liquid and solid
2036
medium of proven growth capacity. Incubation is at 37°C for
42 days.
Sutures: Containers are sterilized externally and tested for
leakage simultaneously by immersion in an antiseptic dye
solution before opening the tubes and transferring the sutures
directly to suitable media. The test is made more rigorous by
applying and releasing a vacuum while the containers are in
the solution. Any leaky containers are regarded as
contaminated and set aside for bacteriological examination.
Nonleakers are then tested for sterility. However, most
sutures are nowadays sterilized by irradiation in a foil pack.
Those which will not withstand radiation sterilization, e.g.
polypropylene, are sterilized with ethylene oxide and
transferred to foil packs aseptically. There is now no
preservative included in any packing fluids, except some
sutures which are tubed in alcohol, but this is diluted out on
transfer of the suture to medium. Prolonged incubation
periods are not required, though 14 days is commonly used.
Devices: The whole device should preferably be incubated in
an aerobic/anaerobic medium. Failing this, crucial parts could
be incubated or the article could be rinsed through with sterile
medium and the rinsings tested.
Dressings: The whole dressing up to 500g, or up to 2×50g
portions from the innermost part of the sample, are transferred
to media.
The technical difficulties of sampling from large dressing
packs are such that it is often recommended (e.g. BPC, 1973)
that technical controls should be carried out, sampling from,
say, 20 ‘oversterilized’ packs to assess the probability of
chance contamination. It is doubtful whether this is necessary
under modern conditions using laminar flow cabinets, with
which the level of technical contamination is very low.
2037
Paraffin gauze: The testing of this product is a controversial
subject. The USP XVIII method involves shaking a sample
with fluid thioglycollate medium plus agar and gelatin at
52°C to melt the soft paraffin, cooling, breaking the paraffin
seal and incubating and 20–25°C for 7 days before further
subculture. However, heating presumably damaged organisms
at 52°C is likely to render potentially viable cells nonviable.
An alternative procedure would be to dissolve the soft
paraffin away from the gauze using isopropyl myristate and to
test the resulting solution by membrane filtration and the
residual gauze by direct inoculation into media.
Biological indicators: When articles are awkward to sample
or too large to test satisfactorily, e.g. large dressings,
bronchoscopes, a useful procedure is to include test pieces
contaminated with resistant microorganisms, such as soil or
the spores of B. globigii, B. subtilis var. niger, B. pumilus, B.
stearothermophilus or C. botulinum Type E, according to the
application. The test piece is then checked for sterility,
assuming that if the test piece is sterile then the actual article
is also sterile. Although there are dangers inherent in such a
proposition, the technique can work well under skilled
supervision.
When products are sterilized in their final containers by a
method other than autoclaving at 121°C for 15min and
biological indicators are used to monitor the sterilization
process, the USP XVIII permits the number of units taken for
the sample to be reduced from 20 to 10.
References
British Pharmacopoeia. London: HMSO; 1973.
2038
British Pharmaceutical Codex. London: Pharmaceutical Press;
1973.
Chauhan NM, Walters V. J. Pharm. Pharmacol.
1962;14:605–610.
1971 European Pharmacopoeia, Vol. II (1971).
1971 Guide to Good Pharmaceutical Manufacturing Practice
(1971) Department of Health and Social Security. London:
HMSO.
Harris ND. J. Pharm. Pharmacol. 1963;15:196T.
Harris ND. J. Appl. Bact. 1963;26:387.
Knudsen LF. J. Am. Pharm. Assoc. 1949;38:332.
Lilly HA, Lowbury EJL. J. Med. Microbiol,. 1972;5:151.
1970 Pharmacopoeia of the United States of America. X VIII
Revision (1970). Including the First USP XVIII Supplement
(1971).
Report. Requirements for Biological Substances. 6. General
Requirements for the Sterility of Biological Substances Wid.
Hlth. Org. techn. Rep. Ser. 200. Geneva: HMSO; 1960.
Report. The Bacteriological Examination of Water Supplies.
Reports on Public Health and Medical Subjects,. London:
HMSO; 1969. No. 71
Report. J. Mond. Pharm. 1972;15:88.
2039
Chapter 37
Vaccines and Sera
Historical Review
Vaccines and sera are the pharmacologically useful
derivatives of the science of immunology. Both may be used
for the prevention of infectious disease and, in addition, sera
may be used in the treatment of several established
conditions. The pharmacological activity is, in almost all
instances, due to the modified γ-globulins present in the
serum after vaccination or serum treatment.
The first vaccine was developed in 1798 by the
Gloucestershire naturalist and physician, Edward Jenner
(Jenner, 1798), who tested the folk belief that an attack of the
relatively innocuous and localized disease, cowpox, provided
immunity from the disfiguring and often fatal smallpox.
Jenner took a sample of the lymph from a cowpox pustule on
the hand of a milkmaid and scratched it into the arm of a boy.
The boy developed a cowpox pustule as expected, but when
later challenged with lymph from a smallpox pustule he was
found to be completely immune. Jenner’s technique became
the accepted method of smallpox prophylaxis and it was from
the Latin for cowpox, vaccinia, that the word vaccine was
derived. Almost a hundred years later Louis Pasteur was to
extend the meaning of the word to indicate not only the
vaccine lymph used for the prevention of smallpox, but all
microbial preparations intended for the prevention of
infectious disease.
2040
Despite the success of smallpox vaccination, progress towards
the development of vaccines to prevent other infectious
diseases was insignificant until the last 25 years of the
nineteenth century.
Then, as men came gradually to accept the microbial theory
of infectious disease, the conditions matured for new
developments and the significant advances recorded in the
diagram (Fig. 37.1). Louis Pasteur, bearing in mind the work
of Jenner, developed strains of chicken cholera, anthrax, and
even rabies microbes, so attenuated in virulence as to be quite
innocuous when injected into animals but capable of inducing
immunity to the respective infectious diseases (Pasteur et al.,
1881). Three years later, in America, Daniel Salmon and
Theobald Smith (1884) showed that the same effect could be
obtained by the injection of killed microbes and between
1895 and 1898 in Britain, Almroth Wright used a suspension
of killed typhoid bacilli as a typhoid vaccine. Since that time
vaccines made from killed microbes have been used for the
prophylaxis of many diseases for, unlike the attenuated
vaccines of Pasteur, they are free from the danger of reversion
to virulence and the disasters which such a change would
inevitably entail. It is interesting to note, however, that the
latest virus vaccines (poliomyelitis, measles, rubella and
mumps) are all made from living attenuated viruses
manipulated with such care that the possibility of reversion to
virulence is very small.
2041
Fig. 37.1 Significant events in the history of vaccination and
serotherapy.
While Pasteur and his followers were devising vaccines to

prevent diseases caused by the multiplication of microbes
which characteristically invade the tissues of their hosts, other
workers were engaged on prophylactics to prevent the clinical
manifestations of the powerful toxins secreted by certain
bacteria, the most important of which were the diphtheria
bacillus, isolated by Loeffler (1884), and the tetanus bacillus,
isolated by Kitasato (1889). The isolation of these two
organisms was quickly followed by the separation of the
respective toxins and thus to the great discoveries of von
Behring and Kitasato (1890). These workers injected animals
with sublethal doses of the toxins and later found in the
animals’ sera neutralizing substances specific for each of the
toxins. These substances, the antitoxins, were of immense
importance; prepared in large volumes in horses, they were
the first specific drugs for the treatment of either diphtheria or
tetanus. Diphtheria antitoxin, in addition to its use in the
treatment of diphtheria, was also used to detoxify diphtheria
2042
toxin. The nontoxic toxin–antitoxin floccules formed in this
reaction were used with relative safety as a vaccine for
humans. Vaccines of this toxin–antitoxin type, however, were
regarded by many as potentially dangerous, because of the
possibility of dissociation with the release of toxin, and after a
time they were superseded by vaccines containing antitoxin
combined with toxin that had been converted by the action
of formaldehyde to nontoxic ‘toxoid’. Later the antitoxin was
omitted and the immunizing power of the toxoid was
improved by the addition of an alum salt (Glenny et al.,
1926). Still further improvements included the use of highly
purified toxoid and the use of aluminium phosphate (Holt,
1950) or aluminium hydroxide (Schmidt & Hansen, 1933)
instead of alum.
The need for technical developments held up the progress
towards the production of vaccines capable of preventing
virus diseases and it was not until 1937 that a third virus
vaccine suitable for general use was developed (Theiler &
Smith, 1937). It was yellow fever vaccine prepared from virus
grown in fertile hen’s eggs and was followed in 1944 by an
effective influenza vaccine made from influenza virus grown
in the same way (Salk et al., 1945). The need for living cells
in which to propagate the viruses required for these vaccines,
however, proved a continuing obstacle to rapid progress and it
was not until 1949 that this problem was overcome by John
Enders and his colleagues (Enders et al., 1949) who grew
poliomyelitis virus in tissue cultures of human embryo. By
doing so they pioneered the way in which tissue cultures
could provide the vast quantities of virus needed to make all
the various types of virus vaccine that are available today.
2043
The Immune State
Immunity is resistance to attack by microorganisms. Apart
from the natural resistance which most animal species have to
certain of the diseases which attack other species, immunity
depends on the presence in the serum of the immune
individual of modified γ-globulins known as antibodies. Such
antibodies, and the immunity they provide, may be acquired
either naturally as the result of a biological event or
artificially as the result of medication.
Natural immunity is the usual consequence of infection, either
overt or inapparent. The presence of the invading microbes
within the tissues of the host stimulate the production of
antibody, which not only eliminates the infection but provides
subsequent immunity to a further infection by the same
species of microbe. Since the immunity which follows
infection is a response of the host to the invading microbes it
is known as active immunity. Antibodies produced as a
consequence of infection are transferred during pregnancy
across the placenta from mother to fetus so that a newborn
infant is immune to those infections to which the mother is
immune. However, since there is no production of antibody
by the infant this form of natural immunity is known as
passive immunity.
Artificial immunity, like natural immunity, may be either
active or passive. Active artificial immunity is the immunity
which develops as a consequence of vaccination; following
successful vaccination, the presence of the vaccine in the
tissue of the host stimulates the production of antibody in
much the same way as a natural infection. On the other hand
the injection of antibody-containing serum obtained either
from man or animals induces a state of artificial passive
2044
immunity and it is on this technique that serum prophylaxis
and therapy are based.
Natural Resistance
Some animals are naturally resistant to certain bacteria and

viruses although these same microbes may be highly lethal to
other animal species. Humans are unaffected by the
myxomatosis virus so lethal to rabbits and, conversely, a
herpes virus (B virus), endemic and benign in some species of
monkey, is lethal to man. It is interesting to note also that Old
World monkeys are susceptible to poliomyelitis viruses but
New World monkeys are naturally resistant. Herpes zoster
and chickenpox viruses infect man alone, and fowl leucosis
viruses are unique to the domestic fowl; on the other hand
there are few, if any, mammals resistant to rabies virus.
Just as several viruses are restricted to specific hosts there are
many examples of virus specificity in cell cultures.
Poliomyelitis virus infects simian and human tissue whether
in primary or continuous culture, but is without effect on
rabbit tissue. An even more subtle differentiation is shown by
a simian virus (SV40) which does not cause marked changes
in rhesus monkey kidney tissue but is easily recognized in
African green monkey kidney cell cultures in which it causes
complete destruction. The isolation of rhinoviruses had to
await the production of human cell cultures since many will
not grow in cells derived from other sources.
Immunity After Infection
The immunity remaining after infection by viruses can vary

from transient to permanent. Second attacks of measles,
2045
smallpox or yellow fever, for example, are very rare whereas
multiple attacks of influenza and the common cold are well
known. This may be due, in part, to the many different
serotypes causing the cold syndrome and a series of colds
may be caused by immunologically unrelated agents. Thus,
against antigenically stable viruses, antibodies are generally
effective but when the antigenic structure alters (influenza in
man, foot-and-mouth in animals) the immunity, based on
antibody, may fail. The same is true for some bacterial
infections. With cholera for example there are two serological
strains, Ogawa and Inaba and each has the El Tor biotype
differentiated by biochemical reactions. Indeed the bacterial
infections that have been most successfully mastered by
immunological methods are those caused by an exotoxin of
the organism for which the toxoid may be used as the specific
prophylactic.
In the early days of virology it was a common belief that
infection with a virus altered the cell susceptibility, thus
having a marked effect on reinfection, but the work of the last
20 years has given much more weight to the importance of
protection by specific antibodies. In many careful studies with
herpes, measles and poliomyelitis, immunity to the disease
coincides with the appearance of antibodies and passive
immunity which can reduce the severity of or completely
abort disease can be effected by injecting convalescent serum.
This is the basis of globulin therapy practised in the UK and
on a much larger scale in the USA.
It is not yet clear why immunity to some virus infections is
permanent or, indeed, why high antibody titres are maintained
for years. In studies with bacterial infections a high antibody
response is obtained to a reinforcing stimulus by the antigen.
It has been postulated, therefore, that the antibody titres after
measles and yellow fever, for example, could be maintained
2046
only by a continuous antigenic stimulation, but its source is
not always evident. After the majority of virus infections or
injection of a virus vaccine, however, the initial high antibody
titre falls but there is a rapid response to a booster dose.
Action of Humoral Immunity
Antibodies, whether antitoxic or antibacterial, play a major

role in immunity to bacterial infections; in the first case the
toxin is neutralized, in the second the bacterium is rendered
more susceptible to phagocytosis. Similarly humoral
immunity plays an important part in protection against viral
diseases. It is now common practice to measure responses of
man to virus diseases and vaccine by neutralization tests in
which a constant test dose of virus is mixed with serum
dilutions and, after a suitable incubation time, inoculated into
susceptible animals or cell cultures. Infection or cytopathic
effect occurs when the serum has been diluted beyond the
point of neutralization. Agglutination or precipitation of virus
by antiserum and complement fixation are other serological
techniques by which immunity may sometimes be measured.
Combination of virus and antibody undoubtedly occurs,
making the virus noninfectious but immediately after mixing
the virus and antiserum the majority of the virus particles can
be recovered as infectious entities. This has been shown both
by diluting the mixtures to decrease the neutralizing power of
the serum (Bedson, 1928; Todd & Crawford, 1928;
Andrewes, 1928) and by centrifuging the virus particles out of
such mixtures (Sabin, 1935). With many viruses a period of
hours and sometimes days at temperatures of 25° or higher is
required before complete neutralization occurs (Bedson &
Crawford, 1928; Andrewes, 1930).
2047
Interaction of virus and antibody has been studied in cell
cultures and it has been shown that the addition of antiserum
to cell cultures before the addition of virus, or the mixing of
the virus with antiserum before addition to cell cultures, will
prevent infection of the cells. No amount of antiserum added
after the virus has been in contact with the cells, however, it
will protect the culture (Andrewes, 1930). The antibody, in
combining with the virus particle, in some way prevents entry
into the cell. This combination is most effectively
demonstrated in the hemagglutination test with influenza
virus, which has the property of attaching itself to
mucoprotein receptors of red blood cells; aggregates are
formed and the red cells are agglutinated. The addition of
specific antiserum to the virus prevents this hemagglutination
since it coats the virus and blocks the initial combination of
virus and red cells.
In general it is clear that, whatever the protective mechanism
against disease may be, antibodies play a most significant part
and attempts at prophylaxis are concerned with obtaining the
greatest antibody response and maintaining circulating
antibody throughout life.
Passive immunity induced by the transference of preformed
antibody, although useful in an emergency, is not a procedure
that can be used for the elimination of disease from a
community. Frequent injections would be needed and
furthermore the passive immune host may be infected and
become a carrier of the disease without showing any clinical
symptoms. Active immunity is the only means of eradication
of a disease, and the time at which the antigenic stimulus
should be given and the nature of the antigen used are
important considerations.
2048
Response of the Subject
There is much to be said on psychological grounds for

immunizing infants during the first months of life. At this
time the mother is anxious to have her baby protected against
diseases and the baby experiences very little discomfort. On
scientific grounds it is also worth considering because a basal
immunity and a reinforcing dose of vaccine can both be given
before the child is exposed to an infectious environment. Two
factors, however, militate against successful vaccination at
this time.
Maternal Antibody Inhibition
A baby is born with antibody concentrations equal to those of

his mother and these maternal antibodies are lost at the rate of
50 per cent every three weeks. Working with poliomyelitis
vaccine, Perkins et al. (1958) showed that infants with high
maternal antibody titres at the time of primary vaccination
had no increase in antibody titre after two doses of vaccine,
whereas some infants with low or no antibody titre before
vaccination responded (Fig. 37.2). In the absence of and
observable rise in antibody titre it was not possible to say
whether the maternal antibody had completely inhibited or
merely masked a response.
2049
Fig. 37.2 Responses of 10-week-old infants to two doses of
inactivated poliomyelitis (type 1 component) and their
responses to a booster dose given 10 to 12 months later. The
open circles represent infants giving a primary response.
The infants were recalled (Perkins et al., 1959a) 10–12

months later (Fig. 37.2) when the maternal antibody had been
lost and their responses to a reinforcing dose observed.
Clearly a high maternal antibody titre at the time of primary
immunization completely inhibited the response, an
intermediate level of maternal antibody permitted some
response and a low level of maternal antibody had no
inhibitory effect.
These findings are not unique to poliomyelitis antigens, for
Butler et al. showed in 1954 that maternal antibody inhibited
the response to diphtheria toxoid and Gaisford et al. (1961)
have shown this to be so for response to whooping cough
vaccine. This phenomenon has not, however, been observed
with tetanus toxoid.
2050
Age of the Infant
By selecting infants of different ages, all of whom were

without maternal antibody, Perkins et al. (1959b) observed
that the proportion of older children responding was higher
than that of young infants and, furthermore, the older children
gave higher antibody titres (Fig. 37.3). The reason for this is a
delay in production of γ-globulin which does not begin to
appear until the 4th to 12th week of life and does not reach
normal levels for at least six months (Gitlin et al., 1959).
Since there is a close association between antibody and
γ-globulin, it is not surprising therefore that the young infant
does not respond as well as the one-year-old child.
Fig. 37.3 The effect of age of infants on their responses to

poliomyelitis vaccine. The figures at the top of each column
denote percentage of children responding.
2051
Nature of the Antigen
Concentration
For all antigens in all animals there is a dose–response

relationship; the more antigen given the higher the response
until a maximum is reached. Thus the inhibition by maternal
antibody and the poor response of the young infant may be
counteracted by the use of a greater quantity of antigen, either
by giving an additional dose of vaccine or by increasing the
concentration of antigen in the vaccine (Perkins et al., 1959c)
(Fig. 37.4).
Fig. 37.4 The effects of the number of doses and concentrate

of antigen on the response of infants to poliomyelitis vaccine.
2052
The figures at the top of each column denote percentage of
children responding.
Studies using inactivated poliomyelitis vaccine which

contains the antigens of Types 1, 2 and 3 viruses, have
indicated a qualitative difference between the antigens. In
young infants both the proportion responding and the mean
titres have been highest for Type 2, not so high for Type 3
and lowest for Type 1. Beale (1961) measured the
concentration of antigen in the vaccines and, in order to
obtain similar antibody responses to the three viruses a much
greater concentration of Type 1 antigen was required than of
Type 3, which, in turn, required a larger dose than Type 2.
Adjuvants
As long ago as 1926, Glenny and his colleagues found that

when alum was added to diphtheria toxoid a very much better
antitoxin response was induced. Since that time adjuvants
such as aluminium hydroxide and aluminium phosphate have
been used on a large scale to give enhanced responses to both
toxoids and bacterial vaccines.
The mode of action of an adjuvant is not clearly understood
but efficient adjuvants appear to be irritants as well as
allowing only a slow release of the antigen into the body, thus
giving a prolonged and continuous antigenic stimulus. More
recently, antigens have been effectively adjuvanted by
incorporation into a water in oil emulsion, and the antibody
response to inactivated influenza virus is both greater and
longer lasting when incorporated in such an emulsion.
The inability of a young infant to respond to an antigenic
stimulus can also be successfully overcome by use of an
2053
adjuvant. Osborn et al. (1952) showed that infants under two
weeks of age responded as well as older children to a single
dose of adsorbed tetanus toxoid.
Live or Dead Antigens
When sufficient antigen can be produced and contained in a

single, painless, reaction-free potent injection, this is certainly
the method of choice of vaccination. For some antigens,
however, this has not been possible and the alternative has
been to produce a vaccine from the living microorganism
which has been manipulated in such a way that the infection it
causes will not progress to the untoward or sometimes fatal
sequelae of the natural disease. Thus smallpox vaccine is
made from an attenuated strain grown in the skin of animals
and yellow fever vaccine is a living attenuated strain grown in
fertile eggs. Furthermore, immunity to tuberculosis is given
by a particular living bovine strain of the tubercle bacillus.
Immunization against poliomyelitis was the first occasion on
which there was a choice of living vaccine given by mouth or
dead vaccine given by injection. The obvious reason for the
development of the living vaccine was a deliberate attempt to
simulate a natural infection using a safe strain of virus but
there has been considerable discussion concerning the
advantages of the live poliomyelitis vaccine. For a number of
years vaccination with killed vaccine was practised in several
countries, and although the incidence of paralytic
poliomyelitis fell dramatically, there have been small sporadic
local outbreaks of the disease. These cases almost always
occurred in nonvaccinated subjects or in those having an
inadequate number of doses of vaccine.
2054
Because of the more acceptable method of administration,
many countries used live vaccine given orally on a mass scale
as soon as it became available, and this always resulted in
elimination of the disease from the community. From 1962,
live vaccine has been used in this country as a routine
immunization procedure, and although the disease has not
been entirely eliminated, the number of cases since 1965 has
been the lowest of the century and has remained at a low
level.
Immune Sera
Immune sera have the great advantage that they provide the
individual into whom they are injected with an immediately
effective supply of antibacterial or antiviral antibodies, or
antitoxins. Consequently, immune sera can be useful
prophylactically in unvaccinated persons exposed to
infection, and therapeutically in persons with established
infectious disease. In general, antitoxic sera have proved far
more effective than either antibacterial or antiviral sera and
thus it has been in the prophylaxis and treatment of diphtheria
and of tetanus that serotherapy has been most used. The
incidence of both these diseases, however, has been much
reduced during the last quarter of a century by active
immunization and thus the demand for diphtheria and tetanus
antisera is now relatively small.
The production of diphtheria, tetanus and gas gangrene
antitoxins is almost always carried out in horses. Healthy
horses are immunized with a series of injections of the
appropriate toxoid and, when a trial bleed shows that a
satisfactory amount of antitoxin is present, the animals are
bled from the external jugular vein. The blood is separated
2055
into cells and plasma and the plasma partly digested with
pepsin. The antitoxin is then precipitated from the digest with
ammonium sulphate, dialysed against water, concentrated by
ultrafiltration, brought to the desired concentration and filled
into containers.
Serotherapy as a method of prophylaxis suffers from two
serious disadvantages. The first is that immune horse serum
injected into a human is immediately recognized as foreign
protein, and is eliminated from the body so rapidly that even a
large dose is unlikely to provide protection for longer than a
few weeks. Moreover, as the proteins of horse serum are
antigenic in the human they stimulate the production of
antibodies against themselves and thus a second injection of
horse serum given at a later date is eliminated even more
rapidly. The second disadvantage is the occasional reaction
which certain individuals suffer following the injection of
foreign protein. Reactions to horse serum are particularly
likely to occur in individuals who have received an earlier
injection of this therapeutic agent and they may vary in
severity from a trivial rash to immediate death from
anaphylactic shock.
In the serotherapy of established disease the necessity to
neutralize circulating toxin usually outweighs the risks
attendant on the administration of immune horse serum.
Immune sera, therefore, still have a part to play in the
treatment of both diphtheria and tetanus, but it is usual for
these therapeutic agents to be administered only after tests
have shown that the individual to whom it is intended to
administer the serum is tolerant of horse serum proteins. For
victims of tetanus sensitive to horse serum proteins, antitoxic
serum prepared in sheep is available and in recent years,
human tetanus immunoglobulin has also become available.
2056
In countries where venomous snakes abound it is customary
for antisera to be prepared against the venoms of the
indigenous species. Such sera are generally used to infiltrate
the area of the bite and, by intravenous injection, to neutralize
circulating venom. The bites of the only species of venomous
snake in the UK, Viper bents, are not sufficiently dangerous
to justify the injection of antisera containing large amounts of
horse serum protein.
Potency Assay of Immune Sera
The potency of an antitoxin is determined by comparing its

neutralizing power with that of an accepted standard antitoxin
to which an arbitrary potency in units has been assigned. The
comparative test is performed in two stages and in the case of
diphtheria antitoxin may be carried out as follows.
In the first stag of the test a series of dilutions of diphtheria
toxin is made and to each dilution is added 1.0 unit of the
standard diphtheria antitoxin. The toxin and the antitoxin in
the mixtures are allowed to react for an arbitrary time and
then each mixture is injected subcutaneously into a guinea
pig. The guinea pigs are examined four days after injection
and those injected with the mixtures containing the largest
amounts of toxin are found to have died and those which had
the mixture with the smaller amounts of toxin have survived.
It is thus possible to determine the smallest dose of toxin
which, when mixed with
1.0 unit of antitoxin, is sufficient to cause the death of a
guinea pig; this dose is known as the L + (Limes Tod or death
limit) dose. In the second part of the test a series of dilutions
of the antitoxin which is to be compared with the standard
antitoxin is made and each dilution is mixed with 1.0L + dose
2057
of the toxin as determined in the first part. After standing as
before the mixtures are again injected into guinea pigs and
after four days it is again possible to observe which mixture
contained just sufficient free toxin to kill the guinea pig into
which it was injected. Since this mixture contains the L +
dose as determined in the first part of the test it must also
contain 1.0 unit of antitoxin. The concentration of antitoxin in
the material being tested may then be calculated from the
dilution factors involved. In everyday practice the L + dose is
seldom employed on account of the extravagant amounts of
antiserum and toxin used and it is usually replaced with the L
+/10 dose which provides equally satisfactory results.
Furthermore, the accuracy of the test is improved if several
guinea pigs are injected with each mixture. Since diphtheria
toxin is erythrogenic, however, it is possible to perform the
same type of test using erythema of guinea pig skin as the end
point rather than death. The dose of the toxin in this type of
test is known as the Lr (Limes Reaktion) dose and it is usually
used at the Lr/1000 level. The intradermal tests give results
which are in accord with the lethal test but has the advantage
of considerable economy, for as many as 20 mixtures may be
injected into the depilated flanks and back of a single animal.
Complementary to the in vivo methods for the titration of
diphtheria antitoxin is the in vitro flocculation technique. In
this method, serial dilutions of antitoxin, usually in the range
20–40 units per ml are mixed with a constant amount of toxin.
The mixtures are partly immersed in a water bath at 44°C so
that convection currents ensure continuous mixing and after a
variable time the union of antitoxin and toxin produces
readily visible flocculation. The time taken for flocculation to
appear is dependent on the relative concentrations of the two
reagents and in the tube that flocculates most rapidly the
reagents are said to be in optimal proportions. Such a mixture
2058
is said to contain a number of Lf of toxin equivalent to the
number of units of antitoxin in that mixture. If serial dilutions
of an antitoxin of unknown potency are then mixed with the
same amount of toxin under the same conditions, and the
mixture that flocculates first is again observed, this mixture
will contain antitoxin and toxin in amounts equivalent to the
amounts of these reactants in the tube that flocculated first in
the first part of the test, and thus the potency of the antitoxin
can be calculated.
Tetanus antitoxin can be titrated for neutralizing and
flocculating potency by methods similar to those used for
diphtheria antitoxin except that, since tetanus toxin is not
erythrogenic, the intradermal test cannot be used. However,
since tetanus toxin readily kills mice, considerable economies
can be made by using mice instead of guinea pigs. Gas
gangrene antitoxins are titrated by the lethal method using
mice and an intravenous technique for the injection of the
mixtures.
Vaccines
Laboratory Control
When a licence to sell a vaccine is granted to a laboratory

under the Medicines Act 1968, the manufacturer is obliged to
allow representatives of the Licensing Authority to inspect his
premises. The care and attention invested in the design of the
production facilities is almost always reflected in the final
product and it is essential to know where and by whom each
vaccine is made. The production of each immunological
product must be carried out in a separate area and, if two
2059
different vaccines are being made on the same premises, there
must be physical separation of the two processes.
Even with these precautions there are some products that
should never be made in the same building since accidental
contamination may have serious consequences. For example,
tetanus vaccine should always be made in a separate area and
a living infectious vaccine given by the oral route (e.g. oral
poliomyelitis vaccine) should not be made in the same
building as a vaccine given parenterally.
Buildings are expensive and the problem of using a single
building for the production of several substances is often
overcome by sequential production. After a sufficient quantity
of any particular vaccine has been made, the building is
sterilized with such chemicals as formalin or ethylene oxide,
washed down or redecorated, and the production of a second
vaccine begun.
The safety tests applicable to any biological substance are
determined by the potential hazards that may arise in the
course of production and in considering vaccines it is suitable
to discuss these under (1) the seed strain, (2) the substrate,
and (3) tests for adventitious agents and (4) safety tests.
Although the production of bacterial and virus vaccines have
several principles in common, these are better considered
separately.
Bacterial Vaccines and Toxoids
Less than twenty years ago the name ‘vaccine’ would have
been more closely associated with a toxoid or pertussis
vaccine and less likely to bring to mind a virus vaccine, yet in
spite of the enormous modern developments in virus vaccines
little change has taken place in bacterial vaccines in this time.
2060
The two toxoids (diphtheria and tetanus), pertussis (a killed
bacterial vaccine) and Bacillus–Calmette–Guerin (BCG, a
living bacterial vaccine) are the only successes, whereas
vaccines against staphylococci, typhoid and cholera are less
satisfactory. In general, the control of bacterial vaccines is not
so complicated as that of the virus vaccines.
Bacterial Seed Strain
Since toxoid production preceded the manufacture of

bacterial vaccines, great stress was placed on a search for the
bacterial strain giving the greatest yield of toxin and,
thereafter the strain was maintained without alteration of its
biological properties.
Provided that no contaminants grow in the culture and
introduce unwanted by-products, the problems of control are
reduced to a minimum. In the case of toxins which are filtered
from the culture and toxoided, the yield of toxin is most
important but the inherent safety of the original bacterial
strain has little significance. Even with the bacterial
suspension vaccines, in which the bacteria are killed, there is
much greater emphasis on the immunogenicity of the strains
than on their toxicity, and the only danger to man lies in the
quantity of protein injected in the human dose. All the
bacterial vaccines give some local reactions but these are
regarded as being more uncomfortable than dangerous.
With living bacterial vaccines such as BCG, however, the
situation is much more like that of virus vaccines, and safety
tests are applied to ensure that the vaccine strain does not
differ from the original material shown to be safe by clinical
trials in man (Medical Research Council, 1958). Any
deviation must be regarded as dangerous and the rate of
2061
growth, bacterial size and reaction of guinea pigs to
intradermal injection are significant tests.
Substrate for Bacterial Growth
The production of bacterial toxins presents few difficulties

from the point of view of safety of the substrate. Peptones are
used as growth media and if serum is not used in the growth
of the organisms there is little of the substrate present in the
final purified product. Even with bacterial vaccines the
organisms are invariably washed free from culture medium
before heat or chemical inactivation. The large quantity of
protein present in the form of the bacterial suspension far
outweighs any traces of proteins from the substrate in the
final product. The only concern in a killed bacterial
suspension vaccine is the presence of an endotoxin, the
concentration of which may be affected by the substrate, and
intradermal tests in animals can control this.
Safety Tests of Bacterial Vaccines
The toxoids have simple controls since animal tests to ensure

complete toxoiding, adequate potency and freedom from
abnormal toxicity and in vitro tests to ensure bacterial sterility
suffice.
Killed bacterial vaccines have tests similar to the toxoids with
the additional safeguard against excessive protein in a single
human dose. Thus a lower limit is placed on potency and an
upper limit on bacterial concentration. With the living BCG
vaccine, however, strict control of the approved strain is
exercised and care is taken to prevent its contamination by
prohibiting work on other strains in the production area.
2062
Control of the bacterial count is essential, as are tests to
ensure that the course of infection on animal inoculation
follows its usual pattern.
Virus Vaccines
Testing virus vaccines, both inactivated and live attenuated, is

much more time consuming and extensive than testing
bacterial vaccines. The production of virus vaccines involves
the use of complex biological systems and demands the
constant attention of experts. Overall responsibility must be
taken by qualified scientists, and all persons signing any
section of a production protocol must be registered with the
Licensing Authority.
Virus Strain Used for Vaccine Production
When a killed virus vaccine is made, the only demands placed

on the seed strain are that it shall be killed in a regular manner
and shall be immunogenic. The reason why killed
poliomyelitis vaccine was several years under development
was because all early attempts to kill the virus also destroyed
antigenicity. However, once the critical concentration of
formalin was found which killed the virus and retained
antigenicity, no additional requirement for the use of a
particular strain was necessary. Extensive tests were made
with a number of strains for each virus type and the most
immunogenic were selected. With an infection such as
influenza, however, the problem is quite different because
new antigenic variants are constantly appearing. Since it is
important to prepare vaccine from the virus strains involved
2063
in the most recent epidemics, the composition of influenza
vaccines is constantly under review.
For vaccines prepared from living attenuated viruses the data
required for the approval of a seed strain are much more
complex. Invariably the originally isolated wild virus is
attenuated in cell cultures (e.g. monkey kidney tissue
incubated at 35°C was used for poliomyelitis viruses whereas
chick embryo fibroblast cultures were used to attenuate
measles virus). A change in pathogenicity of the virus as
shown by some laboratory animal tests (e.g. attenuated
poliomyelitis viruses no longer paralysed monkeys and
attenuated measles virus no longer produced a rash in
monkeys) gives an indication that the virus may now be
subjected to a small pilot clinical trial to test reactivity in
man. This is followed by larger trials to prove safety and
immunogenicity and general acceptability when used on a
wide scale. Having carried out such courageous and carefully
controlled trials, leading to the approval of the particular
strain for vaccine production, it is important that the control
tests ensure that the approved seed virus has not changed
during production of the vaccine. It is essential to ensure that
the attenuated strain has not reverted to the wild strain, which
may be dangerous, and it is equally important to ensure that
the strain has not become further attenuated and possibly less
immunogenic.
Having selected the seed strain and tested the seed pool for
the presence of extraneous agents or an undesirable biological
property the ‘seed virus system’ is rigidly applied. In such a
system the seed pool is kept frozen or dried in suitable
aliquots and each production batch of vaccine originates from
the approved seed. For the live attenuated vaccines the
production batch must not be more than a limited number of
passages from the seed strain, the absolute number of which
2064
is determined by the genetic stability of the virus. For
example, measles vaccine may be as many as ten passages
from the seed virus whereas Type 3 poliomyelitis virus must
not exceed two passages.
Tests on Cell Substrate
It is far better to prevent extraneous viruses from

contaminating the vaccine than to attempt to detect a few
contaminant viruses in the presence of a large population of
vaccine virus or indeed to attempt to eliminate the
contaminating viruses. Thus a certain proportion (about 25
per cent) of the tissue prepared for vaccine production is set
aside as uninoculated controls and the tissue and fluids are
examined for extraneous viruses (Fig. 37.5).
2065
Fig. 37.5 Diagrammatic representation of the testing of live
virus vaccines.
The control tissue and the tissue used for vaccine production
are incubated under identical conditions and the fluids are
taken for examination at the time the production tissue is used
for virus inoculation and harvest. In addition, the control
tissue is incubated for 10–14 days after the virus is harvested
from the production tissue and a further search is made for
extraneous viruses.
2066
Tests on Virus Harvest
The virus harvest from the cell cultures shown to be free from
contaminating viruses is also subjected to stringent tests for
extraneous agents. These tests differ from those of the control
cell cultures since there is now a large population of vaccine
virus which must be neutralized with monospecific serum
before a search is made for extraneous viruses. Tests in a
number of different cell cultures and in small animals are
done in an attempt to cover all possible contaminating
viruses.
Extraneous agents are detected by cytopathic effects, by
interference effects in cell cultures, or by clinical signs in
animals and there are a number of techniques available to
detect the presence of unknown contaminants. Not all viruses
cause cytopathic degeneration of cell cultures and some (e.g.
the fowl leucosis viruses and rubella virus) may be detected
only by their ability to make the infected cell cultures
resistant to challenge by a second virus normally causing
cytopathic degeneration in uninfected cultures—hence the
name of interference. Some viruses may also be detected by
staining the cell sheets with nucleic acid fluorescent stains,
and others may be revealed by the examination of cell
cultures under the electron microscope.
Contaminating viruses are most likely to be isolated at the
time of virus harvest because it is at this stage that some
vaccines are killed by the addition of formalin or
β-propiolactone. With killed vaccines it is essential to follow
the course of virus inactivation and any deviation from the
normal must be regarded as a danger signal. After a specific
time of inactivation, tests are done to ensure complete
inactivation and further searches made for extraneous agents.
2067
All ‘in process’ tests applied during vaccine production can
be made only by the manufacturer but all tests on the final
bulk material are done by both the manufacturer and the
control laboratory. These tests for extraneous agents are the
most expensive and time consuming part of safety testing. No
test can be taken as an absolute guarantee of freedom from
extraneous agents and the confidence limits are dependent
upon the plating efficiency of the cell system. It is quite likely
that they are no better than those of a bacterial sterility test.
The pattern of safety testing of virus vaccines is now almost
stereotyped and the stages are shown in the summary in Fig.
37.6.
2068
Fig. 37.6 Stages in the testing of a virus vaccine.
Potency Tests
The clinical effectiveness of vaccines is assessed by various

potency tests, most of which are based on the responses of
groups of animals to fractional doses of the vaccine. The
responses measured are in all cases antibody responses
although the method of measurement varies from test to test.
In some tests the measure is the result of challenge of the
2069
vaccinated animals with live microbes of the type against
which the vaccine is intended to protect, in others it is the
measurement of antibody titres, and in yet others it is
screening of the sera of the vaccinated animals for an
arbitrary level of antibody. All these methods depend on the
relationship which exists between the logarithm of the dose of
the antigen administered and the magnitude of the antibody
response. This relationship, known as a dose–response curve,
is generally sigmoid in character (Fig. 37.7). The middle
range of the response, however, is sufficiently linear to be
used to compare the potencies of any two vaccines of the
same type which have slopes of the same steepness.
Fig. 37.7 The antibody responses of animals to increasing

doses of vaccine.
An example of a potency test which involves the challenge of

vaccinated animals is the Kendrick test used in the potency
assay of pertussis vaccine (Kendrick et al., 1947). In this test
three doses of vaccine separated by five-fold dilution steps
are used to immunize three groups each of sixteen mice. At
the time when the vaccine on test is injected, three further
2070
groups of mice are immunized with comparable dilutions of a
standard vaccine. Fourteen days later all the mice are
challenged intracerebrally with live pertussis microbes, and
after a further fourteen days the survivors in each group are
counted and a graph constructed as shown in Fig. 37.8. The
graph is then used to calculate the doses of each of the
vaccines which would protect half the mice from death due to
the challenge, so comparing the vaccine on test with the
standard vaccine—in this case a five-fold difference.
Fig. 37.8 The Kendrick test: estimation of the immunogenic

potency of a pertussis vaccine by comparing part of its dose
response curve with that of a standard vaccine.
If for technical reasons the response is measured by antibody

titration rather than by the results of lethal challenge, the
determination of two complete dose–response curves as in the
Kendrick test tends to be extravagant with animals and very
time consuming. A more economical but less statistically
valid method is to use only a part of the dose–response curve.
The potency assays of diphtheria and tetanus toxoids as
2071
described in the British Pharmacopoeia are examples of this
type of test. Both tests involve immunization of a group of
guinea pigs at a single point on the dose–response curve. The
criterion of adequate potency in tests of this type is a fixed
and arbitrary level of antibody response which, in the case of
diphtheria toxoid (plain), is determined from the results of
intradermal challenge with a standard dose of diphtheria toxin
and, in the cases of diphtheria toxoid (adsorbed) and tetanus
toxoids, involves measurement of the antibody titres of the
sera of the inoculated animals.
A test which is similar in principle but rather different in
execution is frequently used for the assay of the potency of
killed poliomyelitis vaccine. In this test groups of chickens
are immunized with serial dilutions of vaccine and after six
days the animals are killed and bled out. The chicken sera are
then screened for antibody at a single arbitrary level and the
dilution of vaccine calculated which evokes in 50 per cent of
the chickens an antibody response equivalent to the level at
which the screening is operated. By this method, the potency
of all three antigenic components of a poliomyelitis vaccine
may be compared with the potency of the corresponding
standard vaccines.
The potencies of live vaccines such as BCG, smallpox,
poliomyelitis vaccine and measles vaccine cannot be assayed
by dose–response curve methods as the microbes of each of
these vaccines either infect or fail to infect the individuals to
whom they are given and thus they evoke an ‘all or none’
response. However, since larger doses of live vaccines
generally produce a larger percentage of infections, the
efficacy of vaccines of this type may be estimated
approximately by counts of viable particles. These are
performed by colony counting methods on bacteriological
media in the case of BCG vaccine, and by infectivity
2072
titrations or plaque counting methods in eggs or on cell
monolayers in the case of the virus vaccines.
Vaccines Used in Prophylaxis

Bacterial Vaccines
Bacterial vaccines are made either from the whole organisms

or from the exotoxin, which has been shown to be responsible
for the clinical symptoms of the disease. They are listed in
Table 37.1.
Table 37.1 Classification of some commonly used vaccines
Disease Type of vaccine

Anthrax Killed organisms
Cholera Killed organisms
Diphtheria Toxoid
Leprosy Living organisms (BCG)
Plague Living attenuated or killed organisms
Tetanus Toxoid
Tuberculosis Living organisms (BCG)
Typhoid Killed organisms
Whooping cough Killed organisms
In the case of the toxoids it is clearly established that these
antigens stimulate the production of antibody, which provides
protection from the disease. With whole bacterial vaccines,
however, it is not known which part of the bacterium is the
2073
important antigen. Clinical trials of vaccines in areas where
the disease is endemic are the only means of obtaining such
information, but as these are difficult to arrange progress
tends to be slow. The salient features of each vaccine are as
follows.
Anthrax
Anthrax is a highly infectious disease of animals, especially

ruminants, caused by Bacillus anthracis and it may be
transmitted to man either directly or indirectly through the
handling of animal products, in particular wool or hide. The
disease in this country is confined to the carpet, tanning and
agricultural industries and may take the form of cutaneous or
pulmonary anthrax. In general the disease is treated with
antibiotics, but vaccines consisting of killed organisms have
been prepared for those in high-risk groups.
Cholera
Cholera is caused by Vibrio cholerae and is spread by the

ingestion of water or foods contaminated by the faeces of
infected subjects.
Cholera vaccine is prepared by growing in separate cultures
the Ogawa and Inaba strains and their E1 Tor biotypes. The
microbes are killed with formaldehyde or phenol and a mixed
suspension is prepared with a total bacterial count of
8000×106 per ml.
2074
Diphtheria
Diphtheria is an infectious bacterial disease caused by

Corynebacterium diphtheriae. Active immunization with
diphtheria toxoid is effective protection against the disease.
The toxoid is made by growing a high toxin producing strain
(usually Park Williams 8 strain) in a suitable liquid medium.
After incubation of the cultures at 34–37°C for 7–10 days the
organisms are filtered off. The filtrate containing the toxin
may be purified at this stage and then toxoided by
formaldehyde or toxoided before any purification takes place.
The purification involves precipitation by ammonium
sulphate in an attempt to obtain a highly immunizing antigen
giving no untoward reactions.
When it is necessary to determine whether a person is
naturally immune to diphtheria or whether an immunization
course has been effective it is usual to perform a Schick test
on the subject. This test involves the intradermal inoculation
of that amount of toxin that would be neutralized by 1/1000
IU of diphtheria antitoxin. A person having sufficient
circulating antitoxin to neutralize the toxin shows no reaction
(Schick negative) whereas a person having no immunity to
diphtheria shows an area of inflammation greater than 1.0cm
at the site of the injection (Schick positive).
Leprosy
Leprosy is a chronic mildly contagious infectious disease

caused by Mycobacterium leprae. Drugs (such as sulphones,
thiosemicarbazones or ethyl mercaptan derivatives) are used
in the treatment of leprosy and BCG has given encouraging
results.
2075
Plague
Plague is a rapidly progressing acute febrile disease caused by

Pasteurella pestis. Streptomycin and sulphonamides have
been used in treatment, but a prophylactic vaccine made from
a living attenuated strain of organisms has been shown to
increase resistance to the disease. A vaccine made from killed
organisms also protects against the disease but immunity is
shortlived and a booster dose is required each year.
Tetanus
Tetanus is an acute infectious disease caused by Clostridium

tetani and characterized by tonic spasms of voluntary muscles
caused by the tetanus toxin. Immunization with the toxoid
protects against the disease. The preparation of toxoid is
similar to that for diphtheria to which reference should be
made.
For many years the treatment of an individual injured in
circumstances likely to be associated with infection with C.
tetani has included the injection of antitoxin, but recently
some physicians have relied on debridement and the
bactericidal effects of penicillin. This regime has
occasiona1ly proved dangerous, since some tetanus spores
may survive and give rise to the disease after subsequent
trauma. The modern treatment is passive immunization with
tetanus antitoxin (preferably human tetanus immunoglobulin)
together with the first dose of toxoid in a course of active
immunization. It is important to ensure that the course of
active immunization is completed.
2076
Tuberculosis
Tuberculosis is an acute or chronic communicable disease

caused by Mycobacterium tuberculosis.
The vaccine is a suspension of living attenuated BCG
organisms shown to multiply at the site of intradermal
inoculation and to produce protection against tuberculosis
without causing any of the dangerous sequelae of the natural
disease. The salient feature of the production in the UK is the
use of a particular liquid medium giving growth in small
groups or single organisms rather than the large pellicles so
characteristic of the growth of tubercle bacilli in the majority
of liquid media. The freeze drying is carefully controlled so
that the final vaccine has a predictable viable count (in the
UK the vaccine has a count between 4 and 9×106 organisms
per ml).
The immune status to tuberculosis is shown by an intradermal
inoculation of old tuberculin or PPD (purified protein
derivative) prepared by extracting tuberculin from tubercle
bacilli with hot trichloracetic acid. Injection of 5–10
tuberculin units produces redness, induration and oedema of
the subcutaneous tissue 48–72 hours later in the immune
patient (tuberculin positive). A negative reaction (tuberculin
negative) indicates absence of immunity and a need for BCG
vaccination.
Typhoid
Typhoid fever (enteric fever) is an acute generalized infection

caused by Salmonella typhi. Vaccines are prepared from
killed bacilli and usually contain S. typhi, S. paratyphi A and
S. paratyphi B. Clinical trials have given conflicting results
2077
concerning the best method of killing the organisms and at the
same time preserving the protective antigen. Some trials have
shown that phenolized vaccine is better than that made from
alcohol killed organisms and more recent trials have shown
that acetone killed and dried vaccine may be the most
effective. None of the vaccines is ideal and protection does
not last long.
Whooping Cough
Whooping cough is an acute, highly communicable infectious

disease caused by Bordetella pertussis. In some countries
infection with B. parapertussis is reported as giving rise to
the same clinical symptoms as those of whooping cough.
The vaccine is made by growing separately freshly isolated
strains of B. pertussis either on solid medium or in suitable
liquid medium. The organisms are harvested, washed, killed
and blended into a suspension with a maximum bacterial
count of 20×109 organisms per human dose. The vaccine is
given mixed with diphtheria and tetanus toxoids as DTP
(diphtheria, tetanus and pertussis vaccine). If parapertussis is
known to be endemic in a community, the vaccine may
contain these organisms also.
Virus Vaccines
Influenza
Influenza is a highly infectious acute disease caused by

inf1uenza viruses. Both killed and live attenuated vaccines
have been used to immunize against influenza, but the
assessment of their value has been complicated by the
2078
appearance of antigenic variants to the different virus strains.
The first influenza A strain was isolated in 1933 and antigenic
variation within this strain was recognized when viruses
recovered from different epidemics were not antigenically
identical. In 1946, an antigenic variant of influenza A
appeared in Australia. This spread throughout the world and
all epidemics for the next few years were caused by the A1 (A
prime) strain until in 1956 another new A variant named A2
or Asian virus appeared. This A2 strain was responsible for
the pandemic of 1957. The antigenic differences between the
influenza A viruses are small compared with the marked
difference in the antigenic properties of a virus which caused
influenza in New York in 1940 and, for differentiation, was
called Type B. Antigenic variants of Type B have also been
found since 1940, although the differences between them are
not so marked as those between the Type A strains. In 1949, a
virus from a sporadic case of influenza was isolated and
found to be antigenically distinct from Types A and B and
was termed influenza Type C; this strain, however, has been
found only in minor respiratory cases and has not been
involved in any epidemic.
The production of an effective prophylactic requires the
inclusion of strains of both Types A and B isolated during the
most recent epidemic and unless a new variant appears there
is much evidence to show that the vaccine will be effective.
Influenza virus for vaccine manufacture is prepared in
embryonated hen’s eggs. The vaccine is prepared by
harvesting the allantoic fluid at a suitable time after the virus
inoculation of the allantoic cavity (Fig. 37.9). The harvested
material is purified, killed with formalin and usually
concentrated by centrifugation. The Type A and Type B
components are standardized by hemagglutination titrations
before dilution and blending into a vaccine. In some vaccines
2079
a mineral carrier or oil adjuvant is incorporated and although
such vaccines have stimulated higher antibody responses they
have not received general acceptance.
Fig. 37.9 Membranes and activities of a 12- to 15-day-old

chick embryo.
A second method of immunization is that developed in the

USSR where living attenuated virus is sprayed into the nose.
The vaccine is an egg or tissue culture preparation of a strain
passaged in eggs or cell cultures and selected because of its
ability to multiply in the nose and appear in nasal secretions.
Unlike the killed vaccine this live prophylactic is said to be
effective even
when used during an influenza epidemic. Clinical reactions
are minimal in adults but may be severe in young children.
Recent findings show that the isolated hemagglutinin of the
virus is immunogenic and does not give rise to the febrile and
toxic reactions seen after vaccination with the whole virus.
2080
Parainfluenza
This virus is the cause of some respiratory diseases in

children. Experimental killed alum-adsorbed vaccines have
been found to give good antibody responses in man but their
protective efficacy has not been evaluated.
Respiratory Syncytial Virus
Respiratory syncytial virus (RSV) is a cause of both upper

and lower respiratory tract illnesses in young children.
Alum-adsorbed killed vaccines give an antibody response in
man but their protective value is not yet known.
Adenovirus
Both killed and live vaccines have been used in the USA on a
large scale, particularly in military units, and have given good
protection. Recently, however, it has been shown that some
serotypes of this group (including 3, 7, 12, 18 and 31) are
oncogenic (tumour producing). Although an enteric coated
capsule of adeno 4 living virus vaccine is still being used with
success, the other vaccines may have to await purification of
the virus components.
Rhinovirus
Rhinoviruses are the main cause of common colds in adults

and of both upper and lower respiratory tract disorders in
children. Already over a hundred distinct serotypes have been
isolated and, with the numbers increasing rapidly, the
2081
possibility of controlling the infections with a vaccine is
remote.
Smallpox
Smallpox is an acute highly infectious disease caused by

variola virus. Passive immunization with adequate doses of
γ-globulin prepared from the plasma of recently vaccinated
donors may be expected to protect unvaccinated household
contacts of smallpox or persons last vaccinated many years
previously. Generalized vaccinia and vaccinial infections of
the eye may also be controlled by γ-globulin; the dose varies
from 500mg to 2.0g depending upon the age of the patient.
Smallpox vaccine is generally prepared from the vesicular
eruption scraped from the skin of animals, e.g. calves, water
buffaloes or sheep. To each gram of pulp 1ml of
trifluorotrichloroethane (Arcton 113) is added and a 10 per
cent (w/v) suspension of the vaccinial material is made by
mechanical homogenization in dilute buffer solution (pH =
7.4) containing 0.5 per cent (w/v) phenol. During subsequent
slow centrifugation up to 70 per cent of the nonvirus material
is sedimented in the Arcton fraction (specific gravity = 1.5).
The supernatant fluid is incubated at 25°C for 24 hours to
reduce the bacterial count and when the bacterial
contamination of the extract is within the permitted limits,
glycerol and peptone are added to give concentrations of 40
and 1 per cent respectively. The bulk vaccine is assayed for
potency and stored at –15°C. Before issue it is assayed again
and the potency adjusted to 5×108 pock-forming units per ml
by dilution with a solution of glycerol and peptone to which
has been added brilliant green dye to a concentration of 5g
per litre. Vaccinia virus may also be grown in chick embryo
2082
chorioallantoic membranes or monolayer cultures of chick
embryo or rabbit kidney cells. The resulting vaccine is
bacteriologically sterile and equal in prophylactic value to the
conventional product.
Chickenpox (Varicella)
Chickenpox is an acute infectious disease caused by a virus

having a close relationship to herpes zoster. The virus can be
recovered from the vesicles and grown in human embryonic
cell cultures. At this moment the virus yield is not adequate
for the purposes of vaccine production.
Convalescent serum has been used in the prevention of
varicella but the results have been conflicting. Good results
have been claimed with use of γ-globulin but controlled trials
have not substantiated these claims.
Herpes Simplex (Febrillis)
Herpes simplex is a recurrent virus infection. There is some

indication especially from America that in cases of
disseminated herpes γ-globulin is effective but in England it
is thought that no specific preventive measures are practical.
Yellow Fever
Yellow fever is an acute infectious virus disease occurring in

tropical and subtropical zones. The vaccine is prepared by
grinding up chick embryos infected with the living attenuated
17D strain and drying from the frozen state. The vaccine is
reconstituted in sterile normal saline and a single dose,
usually 0.5ml, is injected subcutaneously. All reconstituted
2083
vaccine not used within 30 min should be discarded because
of the instability of the virus. Administration of the 17D
vaccine by scarification although possible is not as effective
as by subcutaneous injection. Two scratch vaccinations
separated by an interval of 14 days using a mouse brain 17D
vaccine have been shown to give 98 per cent protection and
may soon be acceptable for general use.
Western Equine Encephalomyelitis (WEE) and Eastern

Equine Encephalomyelitis (EEE)
These viruses are found in the west and east of America,

Venezuela and the Caribbean region.
Vaccines against western equine encephalitis and eastern
equine encephalitis have been prepared by formalin treatment
of the virus grown in chick embryo tissue. Although these
vaccines, containing one or both strains, are mainly used to
prevent the disease in horses, two injections being given
annually, they have also been used for laboratory workers in
contact with the viruses. The incidence of outbreaks is so low,
however, that general use of these vaccines is not indicated.
The causal agent of the sporadic encephalitis of Great Britain
is unknown.
Japanese B Encephalitis (JBE)
This disease is the new form of encephalitis occurring in

Japan, so called to distinguish it from von Economo disease,
or epidemic encephalitis lethargica which is called Japanese
A encephalitis A vaccine consisting of a 10 per cent
suspension of infected mouse brain in normal saline with the
virus killed by 0.2 per cent formalin at 4°C was given to
2084
hundreds of thousands of American troops in the Far East
between 1942 and 1945. In 1942, the Russians used a similar
vaccine which was effective against Russian autumn
(Japanese B) encephalitis. A chick embryo vaccine was used
over a 3-year period in children in an endemic area in Japan
and a reduced incidence of illness resulted in the vaccinated
group.
The use of this vaccine has been abandoned by the United
States Armed Forces and a more purified mouse brain
preparation (protamine-treated) is being used for the
vaccination of children in Japan and some other countries.
Recently the virus has been attenuated by workers in Japan
and the USA; the attenuated strain is grown in hamster kidney
cells in a serum-free medium and the killed vaccine prepared
from it is believed by some to be safer and more antigenic.
Russian Spring Summer Encephalitis (RSSE) or

Tick-Borne Encephalitis (TBE)
This tick-borne disease was first described in 1953 occurring

in forest areas of the far eastern USSR and later is Siberia and
western USSR. A formalin-treated vaccine prepared from a
suspension of infected mouse brains has been used
successfully in both man and animals. In man, incidence of
the disease amongst the vaccinated was reduced to 10 per cent
and there were no fatal cases in this group.
Recently an aluminium adsorbed killed vaccine grown in
chick fibroblast cell cultures has been used on a large scale.
2085
Dengue
Low passage mouse-adapted strains of dengue virus Types 1

and 11 have produced a modified disease in man giving solid
homologous immunity and an immunity lasting a few months
against heterologous strains. A more attenuated Type 1 strain
has also provided protection. No data are available on the
transmissibility of the vaccine strain from man to man by
Aedes aegypti.
Epidemic haemorrhagic fever of unknown aetiology has
occurred in North Korea and Manchuria and the acute disease
was treated with convalescent serum. Recent epidemics in
Bangkok, Singapore and Calcutta were associated with
dengue viruses; and in South India Chikungunya virus was
isolated from all but a few cases (Myers et al., 1965).
Attenuated vaccines of the type mentioned above may
possibly be useful prophylactics of this disease in the future.
Rift Valley Fever
A killed vaccine grown on monkey kidney or hamster kidney

cell cultures and killed with formaldehyde, has been shown to
be safe and immunogenic, apparently giving protection to
scientists working with this infectious agent.
Louping-Ill
Formalin treatment of infected mouse brains has produced a

vaccine which invokes a high titre of neutralizing antibodies
in immunized laboratory workers. Propagation of the virus in
tissue culture and inactivation by ultraviolet light and
2086
β-propiolactone suggest that it may be possible to produce a
suitable vaccine.
Poliomyelitis
Poliomyelitis is an acute virus infection in which only a small

proportion of those infected show clinical symptoms. Passive
immunization against this disease is certainly not the method
of choice. When a paralytic case occurs in a family it is more
than probable that the family contacts were exposed to the
disease simultaneously or are already well into the incubation
period and γ-globulin may not be effective. There are data,
however, to suggest that γ-globulin may help to neutralize the
viraemia when administered in the early stages of the disease
before the virus has infected the nerve cells. There are special
cases where γ-globulin may be used; children who have
recently undergone tonsillectomy are at special risk, as are
nurses and medical students entering an infectious area. A
dose of 500mg of γ-globulin for infants under 1 year, 1g for
children 1–6 years and 1.5g for children 7 years and older
should be used.
Poliomyelitis is now a preventable disease and the advantages
and disadvantages of the killed and live attenuated
prophylactics have already been discussed earlier in this
chapter. These vaccines have been subjected to more stringent
controls than any other prophylactic and both vaccines are
undoubtedly safe.
The killed vaccine is produced by infecting monkey kidney
cell cultures separately with each type of poliomyelitis virus
(Brunenders Type 1, MEF-1 Type 2, Saukett Type 3). The
virus suspensions are harvested 3 days later, killed with
formalin and blended to make a trivalent vaccine. A full
2087
course of immunization consists of two doses given by the
intramuscular route at an interval of 4–6 weeks followed by a
third similar dose given 9–12 months later. A fourth dose is
recommended 5–6 years later but nothing is known of the
necessity for further booster doses to maintain lifelong
immunity. The killed vaccine can be incorporated with
diphtheria, tetanus and pertussis prophylactics into a
quadruple vaccine.
The live vaccine is also made by infecting monkey kidney or
human embryo lung fibroblast cell cultures but with
attenuated virus strains shown to be safe by large-scale
clinical trials. The virus suspensions are harvested 3 days later
and stringent control procedures ensure, as far as possible,
that no changes have taken place from the original strains
during the course of production. In many countries the
vaccine is given orally as monovalent virus in the order Type
1 followed by Type 3 and finally Type 2 with an interval of 6
weeks between each dose. In this country, in Canada and in
Russia three doses of trivalent vaccine are given at 6- to
8-week intervals and a reinforcing dose is given at school
entry. In Russia, a dose of vaccine is given each year to
children between 2 months and 3 years and little is known
about the period of immunity following primary
immunization.
Rabies
Rabies is an acute infection of mammals caused by rabies

virus. Clinical rabies (hydrophobia) is fatal in man. The
infection usually has a long incubation period after the
introduction of the virus by the bite of a rabid animal. If a
high level of immunity can be stimulated while the virus is
2088
slowly travelling centrally via peripheral nerves its
establishment in the brain may be prevented. Modern practice
combines passive and active immunization to attain a high
concentration of antibody as rapidly as possible. The majority
of rabies vaccines used today consist of suspensions of virus
infected sheep, rabbit or mouse brain tissue (usually 5 per
cent w/v) and the virus may be inactivated by exposure to
phenol (Sample type), β-propiolactone or ultraviolet
irradiation. In the wet state rabies vaccine has a limited life
even when stored between 2 and 5°C. Lyophilized vaccine is
more stable, but only a very small proportion of the total
output of rabies vaccine is dried. The presence of nerve tissue
in the vaccine makes it potentially dangerous since it may
induce demyelination in the patient analogous to the ‘allergic’
experimental encephalomyelitis which can be produced in
experimental animals by the injection of either homologous or
heterologous brain tissue. The reported incidence of this
complication of antirabic treatment varies from country to
country, but is probably between 1:4000 and 1:10,000 of the
patients treated. In any case, even a ‘light’ course of treatment
produces extremely painful local reactions to the later
injections.
Antirabic treatment, therefore, must not be embarked on
without careful consideration, but if it is decided that
treatment is necessary, every effort must be made to ensure
that it is successful. Bites and other wounds should be given
local treatment by thorough washing with soap or detergent
and water. Bites by wild vectors (wolves, foxes, skunks, bats,
mongooses, etc.) or severe exposure (multiple or face, head,
neck or finger bites) call for the immediate application of
antirabies serum, some of which should be infiltrated around
and beneath the wound if this is possible. The recommended
dose of serum is not less than 40 IU per kg body weight. At
2089
least 14 daily doses of vaccine should be given (up to 21 after
severe exposure); and where serum is given, supplemental
doses of vaccine should be given 10 and 20 days after the
completion of the treatment. If possible the supplemental
vaccine should be nonencephalitogenic.
Vaccine prepared from nonneural tissue should be free from
encephalitogenic material. To this end rabies virus strains
have been adapted to growth in chick and duck embryos. Live
avianized vaccines of attenuated virulence are not widely
used because of the difficulties in producing batches of
uniformly adequate potency. However, virus grown in duck
embryos and inactivated by β-propiolactone appears to be
reasonably effective. A different approach to the preparation
safe rabies vaccine is to grow the virus in the brains of very
young animals. Infected brains harvested before the start of
myelination are a rich source of fixed rabies virus, but the
brains appear devoid of encephalitogen when tested in guinea
pigs. Vaccines prepared in Chile, the USSR and Holland from
brains of suckling mice, rats and rabbits have had very
satisfactory potencies by the usual tests. Human subjects
immunized with them have developed higher concentrations
of neutralizing antibody than controls immunized with
conventional nervous tissue vaccines. However, the large
numbers of immature animals needed and the difficulties
associated with their care make it improbable that this type of
vaccine will displace the more usual sample type, except for
limited use in special circumstances.
Rabies antiserum is usually produced in horses. The animals
are primed by a course of injections of inactivated fixed virus
in nervous tissue and subsequently hyperimmunized by
repeated courses of fully infectious fixed virus. Plasma from
hyperimmune horses may be concentrated and refined by the
same methods used for antitoxic sera, including peptic
2090
digestion. In practice, reactions to even refined globulins have
about the same incidence as reactions to other refined antisera
of animal origin, and the usual precautions should be taken to
avoid them.
Active immunization against rabies will remain an
unsatisfactory procedure until highly potent, safe, inactivated
vaccines are available. Current research on the suitability of
human diploid cells and other types of cell culture as
substrates for the growth of high concentrations of rabies
virus is now showing great promise and safe vaccines will be
available in the foreseeable future.
Hepatitis
Hepatitis occurs sporadically or in epidemics and is caused by

a virus spread by ingesting food and water contaminated with
faeces.
Epidemics of infectious hepatitis (viral hepatitis A) have been
successfully controlled by an injection of γ-globulin prepared
from normal adult serum although this has been relatively
ineffective against serum transfusion hepatitis (viral hepatitis
B). Prophylactic γ-globulin is recommended to all contacts of
infectious hepatitis, especially pregnant and postmenopausal
women, as early as possible after exposure and confers
protection even if given as late as 6 days before the onset of
symptoms. The dosage is 250–750mg for subjects under 10
years of age and 500– 1500mg for older subjects. Modern
production methods ensure that the γ-globulin is virus free; in
the absence of γ-globulin, plasma or serum should on no
account be substituted. There have been a number of reports
of the isolation of hepatitis virus in tissue culture but none has
been confirmed and no vaccine is available.
2091
Measles (Rubeola)
Measles is a highly infectious acute disease caused by

measles virus. The disease can be attenuated or completely
prevented by γ-globulin prepared from pooled adult serum.
Early attempts to produce a killed vaccine by formalin
treatment of virus grown in either monkey kidney or dog
kidney cell cultures met with little success. The antibody
responses to
such a vaccine were very poor although a single dose of killed
vaccine, even in the absence of antibody response, was able to
protect against the rash and febrile reaction caused by the
injection of a live attenuated vaccine. Concentration of the
killed vaccine and especially the addition of a mineral carrier
has greatly improved the antibody responses but the duration
of immunity is short.
Several attenuated strains of reduced pathogenicity have been
developed. These vaccines, though provoking a lower
incidence of reaction, give antibody responses in as high a
proportion of vaccines as some less attenuated strains. The
immunity to the disease given by the live attenuated vaccines
used in the UK has lasted without signs of warning for a least
9 years (the duration of the trial up to 1974).
German Measles (Rubella)
German measles is an exanthematous contagious disease

caused by the German measles virus.
There is a well-recognized connection between maternal
rubella during the first 3 months of pregnancy and
miscarriages, stillbirths and congenital defects such as mental
retardation, deaf mutism, cardiac abnormalities and cataract.
2092
Although γ-globulin is not very effective in treatment it has
been used successfully to prevent infection in contacts. The
best results were obtained with 1.5g given within a week of
exposure. Delay should be avoided and where there is more
than one exposure at intervals of longer than 2 or 3 weeks a
further dose should be given after each contact.
Administration of γ-globulin is unnecessary after the first 3
months of pregnancy as rubella rarely infects the fetus in the
later months.
In 1966, Meyer et al. in America announced the successful
attenuation of the rubella virus after 77 passages in African
green monkey kidney cell cultures (HPV 77 strain). The
attenuated virus was given to children in a nursery with some
uninoculated children serving as controls. Antibody appeared
in all inoculated children but in none of the controls.
Although the virus could be isolated from some of the
inoculated children all specimens from the control children
were negative.
Vaccines are now available prepared from any of three
strains:
1. the HPV 77 further attenuated in either duck embryo
fibroblast cells HPV 77 DE 5 or dog kidney cells HPV 77 DK
12,
2. the Cendehill strain isolated in monkey kidney tissue and
attenuated in rabbit kidney cells, and
3. RA27/3 strain isolated and attenuated in human diploid
embryonic lung fibroblast cell cultures.
All vaccines give good antibody response with little reaction
in children and it is hoped that protection against the disease
will last many years. In adults, however, the HPV 77 DK 12
vaccine has given an unacceptably high incidence of reactions
and this vaccine has been withdrawn from the market. In the
2093
UK vaccine is being given to girls between the age of 11 and
13 years.
Mumps (Infective Parotitis)
Mumps is an acute infectious generalized virus disease caused

by mumps virus. γ-globulin prepared from adult donors is
valueless. γ-globulin prepared from mumps convalescent
serum given in 20ml doses within 24 hours after the onset of
illness has reduced the incidence of orchitis to 7.7 per cent as
compared with 27.4 per cent in controls.
A live attenuated vaccine has been grown in chick cell tissue
and the results are encouraging. Only a really effective and
lasting immunity to mumps would justify the use of a mumps
vaccine in children since a transient or partial immunity
would leave them susceptible to the disease after puberty
when complications such as orchitis would be harmful. There
is every prospect that this will be realized with the use of the
live attenuated vaccine.
Trachoma
Trachoma is a chronic contagious viral conjunctivitis and is

the greatest single cause of progressive loss of sight in the
world. The agents, causing trachoma and inclusion
conjunctivitis (TRIC) are closely related, belong to the genus
Bedsonia and the vaccines so far tested in man have been
prepared in the yolk sacs of chick embryos. In most trials
killed vaccines have been used, but there are indications that
live vaccines may be more effective. The latest conclusions
are that TRIC agents are poor antigens and a fully effective
vaccine is not available.
2094
Balance of Risks
No vaccination or form of serum therapy is free from all risk.

Thus the acceptability of protection against a disease is an
assessment of the balance of the risk against the benefits
expected from it.
Each disease must be considered separately for its severity
and communicability and each vaccine and antiserum must be
judged for its efficacy and the severity of undesirable
reactions. These factors differ from place to place, time to
time and in different social and economic groups. Reactions
to a vaccine giving good immunity against a serious disease
would certainly be tolerated whereas protection against a mild
disease requires a vaccine free from reaction.
Although safety must be a cardinal factor in the development
of vaccines, tests must be based on fact and not on theoretical
considerations which may hinder progress. It is equally
important, however, that the need for a vaccine is also
assessed on facts, and not on speculation.
References
Andrewes CH. J. Path. Bact. 1928;31:671.

Andrewes CH. J. Path. Bact. 1930;33:265.
Beale AJ. Lancet. 1961.1166.
Bedsib SP. Br. J. Exp. Path. 1928;9:235.
Bedson SP, Crawford GJ. Br. J. Exp. Path. 1928;8:138.
Von Behring E, Kitasato S. Dtsch. Med. Wschr.
1890;16:1113.
Butter NR, Barr M, Glenny AT. Br. Med. J. 1954;i:476.
Enders JF, Weller TH, Robbins FC. Science, N.Y.
1949;109:85.
2095
Gaisford W, Feldman GV, Perkins FT. J. Pediat. St Louis.
1961;58:493.
Gitlin D, Gross PAM, Janeway CA. N. Engl. J. Med.
1959;260:21.
Glenny AT, Pope GC, Waddington H, Wallace V. J. Path.
Bact. 1959;29:31.
Holt LB. Development in Diptheria Prophylaxis. London:
Heinemann; 1950.
Jenner E. An Inquiry into the Causes and Effects of the
Variolae Vaccinae. London: Low; 1798.
Kendrick PL, Eldering G, Dixon MF, Misner J. Am. J. Publ.
Hlth. 1947;37:803.
Kitasato S. Z. Hyg. Infec. Kr. 1889;7:225.
Loeffler F. Mitt. Reichsgesundt. Amt. 1884;2:421.
Medical Research Council. Brit. Med. J. 1958;i:79.
Meyer HM, Carey DE, Reuben R, Jesudass E, Rantz CDS,
Jadhav M. Ind. J. Med. Res. 1965;53:694.
Osborn JJ, Dancis J, Julia JF. Pediat. Springfield. 1952;9:736.
Pasteur L, Chamberland C, Roux E. C. R. Hebd. Seanc. Acad.
Sci. Paris. 1881;92:1378.
Perkins FT, Yetts R, Gaisford W. Br. Med. J. 1958;11:68.
Perkins FT, Yetts R, Gaisford W. Br. Med. J. 1959;i:680.
Perkins FT, Yetts R, Gaisford W. Br. Med. J. 1959;ii:530.
Perkins FT, Yetts R, Gaisford W. Br. Med. J. 1959;i:1083.
Sabin AB. Br. J. Exp. Path. 1935;16:70. 84, 158, 169
Salk JE, Menken WJ Jr., Francis T Jr.. Am. J. Hyg.
1945;42:57.
Salmon DE, Smith WJ. Proc. Soc. Biol. Wash. 1884;3:29.
Schmidt S, Hansen A. Acta Path. Microbiol. Scand.
1933;16(Suppl.):407.
Theiler M, Smith HH. J. Exp. Med. 1937;65:787.
Todd C. Br. J. Exp. Path. 1928;9:244.
2096
Chapter 38
Antibiotics
Microorganisms produce a great diversity of metabolites with
structures as simple as that of ethanol or as complex as that of
a polypeptide antibiotic. The biological activity of these
metabolites has been long known; Pasteur in 1877 observed
that the growth of Bacillus anthracis was inhibited by
contamination with other bacteria and in 1896 Gosio found
that Penicillium brevi-compactum produced a substance,
mycophenolic acid, which although bacteriostatic towards the
anthrax bacillus was too toxic for clinical use.
In 1929 Fleming observed that Penicillium notatum produced
a substance which inhibited the growth of Staphylococcus
aureus and other Gram-positive organisms. He suggested that
the culture filtrate, which was nontoxic, could be used for the
treatment of infections and named the active constituent
penicillin. With the facilities then available, Fleming was not
able to isolate and purify penicillin and it was not until after
the outbreak of war in 1939 that the potential of this
substance was fully appreciated and it received the intensive
investigation necessary to isolate, purify and elucidate its
structure. This work was carried out at many centres in the
UK and the USA and the results were published in The
Chemistry of Penicillin (Clarke et al., 1949).
In 1944 Waksman isolated streptomycin from a culture of
Streptomyces griseus; the value of this antibiotic lay in its
broad spectrum of activity against Gram-positive and
negative organisms and Mycobacterium tuberculosis. This
discovery accelerated the search for other antibiotics, and soil
samples from all over the world were screened for the
2097
production of biologically active metabolites. Many
thousands of moulds and bacteria have been examined and
activity has been found in several thousand strains. From
many of these the active substance has been isolated and its
structure elucidated by chemical degradation and physical
studies. Some of the more common antibiotics found in this
way are given in Table 38.1.
Table 38.1 Common antibiotics.
Antibiotic Source Spectrum of activity

Penicillin (1929) Penicillium notatum Gram-positive
Griseofulvin Penicillium Antifungal
(1939) griseofulvum
Streptomycin Streptomyces Broad,
(1944) griseus Mycobacterium
tuberculosis
Chloramphenicol Streptomyces Broad, some
(1947) venezuelae Rickettsia
Polymyxin Bacillus polymyxa Gram-negative
(1947)
Cephalosporin Cephalosporium Broad
(1948) brotzu
Chlortetracycline Streptomyces Broad
(1948) aureofaciens
Neomycin Streptomyces Broad
(1949) fradiae
Oxytetraycline Streptomyces Broad
(1950) rimosus
2098
Erythromycin Streptomyces Gram-positive,
(1952) erythreus some Rickettsia,
some viruses
Novobiocin Streptomyces Gram-positive,
(1956) spheroides, some negative
Streptomyces niveus
Fusidic acid Fusidium coccineum Broad, penicillin
(1962) resistant
staphylococci
Gentamicin Micromonospora Broad, particularly
(1963) purpurea Gram-negative
Antibiotic Research and Production

The production of antibiotics proceeds along well-defined
lines and the general principles apply for all; details differ,
but much of this information is either unpublished or
contained within the patent literature and cannot be included
here.
The Search for a New Antibiotic

Most antibiotics are obtained either directly by fermentation,
or by chemical modification of a fermentation product. The
first stage in the search for a new antibiotic is the screening
either of pure cultures obtained from a collection, or of soil
samples which contain bacteria and moulds in abundance. In
the latter case, soil suspensions are plated out into petri dishes
containing different media, and after incubation selected
colonies are transferred to a nutrient agar slope to establish
2099
the culture. To test these or the pure cultures for antibiotic
activity they are then grown in agar media and when growth
has been established plugs are
cut out and incubated on large agar plates seeded with a test
organism (frequently Staphylococcus aureus). Where the
culture has produced an antibiotic and inhibited the bacterial
growth, a clear zone is obtained. Alternatively, the organism
may be grown in a liquid medium and the filtered brew
placed in cups cut into a seeded agar plate, again giving zones
of inhibition similar to those shown in Fig. 38.5.
Having established that an organism produces an antibiotic, it
is tested against a range of bacteria in order to obtain an
indication of its possible clinical value and the extent to
which the activity is novel.
The next stage in the study is the growth of the organism on a
laboratory scale, using 5- or 10-litre vessels (Fig. 38.1) to
define some of the conditions required for its production by
deep culture. These studies include the effects of medium
composition, pH, fermentation time, aeration and stirring
rates and inoculum size. Methods for the isolation of the
metabolite are also studied, the usual method being extraction
with a variety of water-immiscible solvents over a range of
pH. Purification may be achieved by crystallization of a
suitable salt, ion-exchange chromatography or adsorption
followed by extraction, but in the case of a mixture, or an
intractable product, it is sometimes only possible to obtain a
freeze-dried extract at this stage.
2100
Fig. 38.1 Laboratory fermenter.
Before proceeding to large scale production it is necessary to

carry out pilot plant studies in 100- to 2000-litre vessels (Fig.
38.2) to optimize the conditions and to give sufficient
material for the extensive pharmacological and toxicological
investigations which have to be carried out before any clinical
studies can be started. At the same time the structure of the
antibiotic is established and possible variants prepared
chemically.
2101
Fig. 38.2 Fermentation pilot plant.
A continual search is made for strains of the mould or

bacterium which will produce greater yields of the antibiotic;
for this purpose mutants are produced by X-ray or ultraviolet
irradiation or treatment with radiomimetic substances such as
nitrogen mustard.
Antibiotic Production
Originally penicillin was produced by surface culture, the
mould being grown in small static containers, the mycelium
forming a mat on the surface of the medium. In spite of the
extremely cumbersome nature of the process it was used for
all the early production of penicillin in the UK. The
production of penicillin was revolutionized by the discovery
at Peoria, that a strain of Penicillium chrysogenum (obtained
from an over-ripe Cantaloupe melon) would produce high
yields of penicillin under conditions of deep or submerged
2102
culture. The growth of a mould is aerobic and, in surface
culture, growth and production of antibiotic is limited by the
rate at which oxygen can diffuse into the medium. In
submerged culture the mould is grown in an agitated tank and
supplied with a continuous flow of air to give nonlimiting
conditions.
The medium used in fermentation will vary for the particular
antibiotic being produced but all media contain a source of
carbon, which may be lactose or glucose, nitrogen as
ammonium salts and trace elements such as phosphorus,
sulphur, magnesium, iron, zinc and copper. In addition,
corn-steep liquor is added for penicillin production and soya
bean meal and dried distillers residues for streptomycin; these
provide various factors which increase the yield of product.
Before use, the medium as well as the fermentor and
associated equipment is steam sterilized, since bacterial
contamination could destroy the antibiotic.
The selected culture is transferred from storage as the master
culture first to an agar slope, then to culture to give a seed
suspension, and finally it is grown in seed vessels in the plant
for 24–48h before transfer to the main fermentors (Fig. 38.3).
Fermentation is continued for 3–5 days during which period
the vessel is cooled to keep the temperature between 23 and
27°C, stirred and aerated with sterilized air. The introduction
of large volumes of air causes frothing which is controlled by
the addition of antifoams such as lard oil, octadecanol or
silicones.
2103
Fig. 38.3 Production fermenters.
Antibiotic Assay
When fermentation is complete the mycelium is removed on a
rotary filter and the antibiotic extracted with an organic
solvent, after adjustment of the pH. Alternatively, as with
streptomycin, the brew is passed through a carboxylic acid
resin from which it is subsequently removed with dilute acid.
The extracted antibiotic is converted into the particular
derivative which is to be used, products for injection being
rendered sterile by passage of their solution through
sterilizing filters followed by final crystallization or
precipitation under sterile conditions.
When a new antibiotic has been isolated it is essential to have
an assay method available in order to follow the processes of
purification, its distribution within the blood and tissues when
given to animals and finally humans, and also the potency of
the various formulations used. In the absence of a chemical
method, a biological assay against a standard sample of
agreed potency is performed, using a suitable test organism.
2104
A biological assay is also used for the determination of low
concentrations of an antibiotic, such as are obtained in blood
and urine, where a chemical assay might be insufficiently
sensitive.
The cup–plate method, which is preferred, requires the test
organism to be very sensitive to the antibiotic, giving clear
zones of inhibition with well marked changes in zone
diameter with small changes in concentration. The antibiotic
must also diffuse readily through the agar medium; if this is
not so, assay is carried out using serial dilution or
turbidimetric methods to measure its effect upon the test
organism.
Petri dishes or rectangular glass trays are filled to a uniform
depth with nutrient agar medium which has been inoculated
with a suitable organism. The British Pharmacopoeia 1973
lists organisms to be used, e.g. Bacillus pumilus for
erythromycin, Bacillus subtilis for novobiocin, etc. When the
agar has solidified, sterile cylinders of glass, stainless steel,
porcelain or aluminium 5mm in diameter are placed on the
surface. Alternatively, holes 5–8mm in diameter are cut into
the medium using a sterile borer. Solutions of various
concentrations of the standard and also solutions of the
preparation under test, presumed to be of similar
concentration, are placed in the holes. When petri dishes are
used (Fig. 38.4) the standard and test solutions are alternated
in the dishes, and when rectangular trays are used (Fig. 38.5)
the solutions are arranged in the form of a randomized Latin
square. The plates are then maintained at room temperature
for 2h to allow the antibiotic to diffuse into the medium.
2105
Fig. 38.4 Cup–plate (top) and cylinder–plate (bottom) assay.
2106
Fig. 38.5 Cup–plate assay in a tray.
If the agar is uniform, diffusion of the antibiotic will occur

uniformly around the cup and a concentration gradient will be
established around it and at a certain distance from the cup,
depending upon the concentration of the antibiotic within it,
the concentration in the agar will be just sufficient to inhibit
the growth of the organism. When the plates have been
incubated at a suitable temperature (usually 37–39°C) for
16h, each cup will be surrounded by a clear zone of
inhibition, the diameter of which is proportional to the
logarithm of the concentration of antibiotic in the cup. By
plotting zone diameter against concentration for both standard
and test, the potency of the test relative to the standard may
be obtained by measuring the horizontal displacement
between the two lines which should be parallel. Any lack of
parallelism indicates either that the test was faulty or that
another antibiotic was present with a different dose response
curve.
Penicillins
From 1940 on, the penicillins were the subject of considerable
investigation at a number of industrial and university
laboratories in the UK and in 1943 this collaboration was
extended to the USA. During the early days of this research,
considerable differences in analytical and degradative results
were obtained from different laboratories. These were
resolved when it was demonstrated that the mould produced
six different penicillins. In the UK the medium used was
synthetic and penicillin F was the main product while in the
USA corn-steep liquor was added to increase the yield of
2107
penicillin and here penicillin G was the major product. Early
studies on the structure of penicillin were hampered by the
low yields and purity of the unstable product. Later when
crystalline material became available, the structure was
elucidated by degradation and partial synthesis and confirmed
by X-ray crystallographic analysis.
The molecule was shown to contain a carboxyl group, a
β-lactam ring (four-membered cyclic amide) fused to a
thiazolidine ring (five-membered ring containing nitrogen and
sulphur) and an acyl amino group, and the various penicillins
differed only in the structure of the acyl group, R, of the side
chain. The general structure is:
Of the natural penicillins only G, benzylpenicillin, (R =

C6H5.CH2–) is used therapeutically and this compound has
been the most extensively studied both in its chemistry and in
improving methods of production. The stimulation of yield by
corn-steep liquor was shown to be due to the presence of
β-phenylethylamine and this provided the side chain
phenylacetyl group. Subsequently, it was found that the
addition of phenylacetic acid greatly enhanced the yield of
benzylpenicillin and this is now added as a regular practice.
Penicillin Breakdown
The presence of the intact β-lactam ring in the penicillin

molecule is essential for antibiotic activity. The structure is,
2108
however, reactive and it is at this ring that attack can occur to
give a variety of products the structure of which depends on
the particular conditions.
Penicilloic acids are readily formed by hydrolysis under

alkaline conditions or in the presence of the bacterial enzyme
penicillinase (more correctly β-lactamase) and it is the
secretion of this enzyme which can be responsible for the
resistance to penicillin by bacteria, for example, some strains
of S. aureus.
Applications of Benzylpenicillin
Benzylpenicillin acts specifically on bacteria by interfering

with the mechanism of cell wall synthesis; it is of very low
mammalian toxicity and consequently has been used for the
2109
treatment of a wide range of infections. Almost all the
Gram-positive and some of the Gram-negative pathogens are
sensitive, e.g. S. aureus, S. pyogenes, S. pneumoniae, C.
welchii, B. anthracis, N. gonorrhoeae.
In moderately acid solution the carbonyl group of the side
chain reacts with the β-lactam ring to give a penicillenic acid
while at a lower pH, and particularly in the presence of heavy
metals, a penillic acid is formed by such a reaction followed
by a complex series of rearrangements. Because of the ready
decomposition of most penicillins under acid conditions they
are usually administered as their neutral salts.
Neisseria meningitidis: As it is rapidly destroyed by acid and

poorly absorbed from the stomach it is almost invariably
administered by injection, although occasionally it is given
orally.
Forms of Benzylpenicillin
Benzylpenicillin is official in the British Pharmacopoeia as

its sodium and potassium salts which give high blood levels
for only a few hours unless administered repeatedly. In order
to obtain prolonged but lower blood levels, the
water-insoluble salts with procaine (diethylaminoethyl
p-aminobenzoate) and benzathine
2110
(N:N′-dibenzyl-ethylenediamine) are used. Procaine penicillin
will give detectable blood levels after 24h and benzathine
penicillin after several weeks.
Assay of Benzylpenicillin
The basis of the chemical assay for benzylpenicillin is that

penicillins do not react with iodine in neutral aqueous
solution, but their penicilloic acids consume a quantity of
iodine, which although nonstoichiometric is reproducible
under constant conditions. Thus the difference between the
amount of iodine consumed by a sample in neutral solution
and one which has been hydrolysed to the penicilloic acid is
proportional to the amount of penicillin present. A sample of
known potency is assayed concurrently in order to obtain the
actual potency of the sample under test.
Phenoxymethylpenicillin
When it was discovered that phenylacetic acid added to a

penicillin fermentation was incorporated in the molecule as
benzylpenicillin, large numbers of substituted acetic acids
were screened to discover if they were incorporated and if so
whether the resulting penicillin had desirable properties. As a
result of this investigation, it was found that phenoxyacetic
acid was accepted by the mould and the resulting
phenoxymethylpenicillin (penicillin V) was acid stable.
Although there was no great change in the antibacterial
spectrum or its sensitivity to penicillinase, this represented a
considerable advance in convenience since it could be
administered orally in tablets, capsules or syrups.
2111
Applications of Phenoxymethylpenicillin
The spectrum of activity of phenoxymethylpenicillin is

similar to that of benzylpenicillin but it is slightly more active
against resistant staphylococci since it is more slowly
destroyed by penicillinase, slightly less active against
streptococci and much less active against Gram-negative
bacteria. It is particularly useful in the oral treatment of
Gram-positive infections.
Forms of Phenoxymethylpenicillin
Phenoxymethylpenicillin is official as the free acid, its

calcium and potassium salts and in the form of tablets and
capsules.
Assay of Phenoxymethylpenicillin
The total penicillin content of phenoxymethylpenicillin is

determined iodometrically against a standard sample. As
phenoxymethylpenicillin may contain traces of other
2112
penicillins, the phenoxymethylpenicillin content is also
determined photometrically.
Semisynthetic Penicillins
The range of structures accepted by the Penicillium mould as

precursors is limited to acetic acid derivatives and, of the
penicillins which can be prepared by this process, only
penicillin V is of therapeutic value. Batchelor et al. (1959)
showed that in the absence of any added precursor
Penicillium chrysogenum produced 6-aminopenicillanic acid,
which could be isolated using ion-exchange resins and
subsequently it was found that this compound could also be
prepared by the enzymic deacylation of penicillin G or V.
Although 6-aminopenicillanic acid itself has only very slight

antibiotic activity, it can be acylated chemically to give a
penicillin of any desired structure which could not be
prepared by the precursor technique. A very large number of
penicillins have been prepared and it has been shown that
with a suitable side chain it is possible to obtain compounds
which are stable to acid, such as phenethicillin; resistant to
penicillinase, such as methicillin and cloxacillin, or with a
broad spectrum of activity including Gram-negative
organisms, such as ampicillin and carbenicillin, the last
having particular value as it is also active against
2113
Pseudomonas aeruginosa. Further penicillin derivatives are
Table 38.2 Penicillin derivatives
R Penicillin
Phenethicillin
dl-configuration dl-α-phenoxyethylpenicillin
Methicillin 2:6-dimethoxyphenylpen-icillin
Cloxacillin
3-(2-chlorophenyl)-5-meth-yl-4-isoxazolylpenicillin
Flucloxacillin
3-(2-chloro-6-fluoro-phenyl)-5-methyl-4-isox-azolylpen
Ampicillin d(-)-α-aminobenzylpenicillin
Amoxycillin d(-)-α-amino-p-hydroxy-benzyl-penicillin
2114
Carbenicillin dl-α-carboxybenzylpen-icillin
*Assymetric carbon
Applications of the Semisynthetic Penicillins
Phenethicillin: This analogue of phenoxymethylpenicillin

shows a similar antibacterial spectrum but is better absorbed
and so gives higher blood levels. It is always administered
orally.
Methicillin: Highly resistant to staphylococcal penicillinase
and is consequently clinically effective against
penicillinase-producing and penicillin-sensitive strains of S.
aureus. It is readily destroyed by acid and has to be
administered parenterally.
Cloxacillin: Resistant to penicillinase and acid, used orally
and parenterally for the treatment of Gram-positive infections
particularly those due to penicillinase-producing
staphylococci.
Flucloxacillin: Similar in properties to cloxacillin but
considerably better absorbed when given orally.
Ampicillin: Slightly less active than benzylpenicillin against
Gram-positive but much more active against Gram-negative
bacteria, e.g. Haemophilus injluenzae, Salmonella and
Shigella species, most strains of E. coli and
non-penicillinase-producing strains of Proteus mirabilis.
Ampicillin is highly resistant to acid and is administered
2115
orally as its zwitterion of low water solubility or by injection
as its soluble sodium salt.
Amoxycillin: Similar in activity to ampicillin but much better
absorbed from the gastrointestinal tract, giving considerably
higher blood levels. Administered orally as its zwitterion.
Carbenicillin: Broad spectrum with predominantly
Gram-negative activity extending to Escherichia coli,
Pseudomonas aeruginosa and strains of Proteus vulgaris,
Proteus rettgeri and Proteus morganii. Carbenicillin is not
absorbed orally and is administered parenterally as its highly
soluble disodium salt.
Forms of the Semisynthetic Penicillins
Phenethicillin: This is official as the potassium salt and in the

form of tablets and capsules.
Methicillin: This is official as the sodium salt which is used
for injection.
Cloxacillin
This is official as the sodium salt which is used for capsules

and injection.
Flucloxacillin: It is used as its sodium salt for oral and
parenteral administration.
Ampicillin: The free acid exists in two forms, as a trihydrate
and the anhydrous compound, both of which are official and
may be formulated into capsules. The sodium salt is used for
injection.
Amoxycillin: The free acid is used as the trihydrate which
may be formulated into capsules and a dry syrup mix to
which water is added before use.
2116
Carbenicillin: This is official as the disodium salt which is
used for injection.
Assay of the Semisynthetic Penicillins
Phenethicillin, methicillin, cloxacillin and flucloxacillin: Are

assayed by heating with an excess of a known amount of
alkali. The penicilloic acid produced by the hydrolysis of the
β-lactam ring consumes an equivalent amount of alkali which
is determined by titrimetric estimation of the amount
remaining. As the formation of the penicilloic acid is
stoichiometric this assay is absolute and does not require the
use of a standard.
Ampicillin: Determined by acid hydrolysis in the presence of
a copper catalyst to give α-aminobenzylpenillic acid which is
estimated photometrically against a standard sample of
ampicillin of known potency.
Carbenicillin: Assayed by iodometric assay for total
penicillins with correction for the trace of benzylpenicillin,
produced by decarboxylation, by agar-gel electrophoresis.
Cephalosporins
In 1945, Brotzu isolated from a sewage outfall in Sardinia a
strain of Cephalosporium which produced metabolites with
some activity against typhoid. Studies by Abraham and
Newton (Abraham, 1967) showed that the mould produced a
complex mixture of antibiotics one of which, cephalosporin
C, was active against Gram-negative and penicillinase
producing organisms. Chemical degradation followed by
X-ray crystallographic analysis showed that the structure was
related to the penicillins in that it also contained a β-lactam
2117
ring bearing an acylated amino group, but it was fused to a
dihydrothiazine ring instead of the thiazolidin-c ring present
in penicillins.
The side chain of cephalosporin C cannot be removed

enzymically, but this can be accomplished chemically, for
example with nitrosyl chloride to give
7-aminocephalosporanic acid which like 6-aminopenicillanic
acid can be acylated to give a whole range of semisynthetic
cephalosporins. In addition to acylation, the group at carbon 3
can be modified to improve the properties of the compounds.
A large number of cephalosporins have been prepared, of
which those in common use are given on following pages.
Applications of Cephalosporins
Cephaloridine
This shows activity against all strains of staphylococci and

streptococci, except Streptococcus faecalis. Of the
Gram-negative bacteria Neisseria species are highly sensitive,
Haemophilus influenzae, Escherichia coli, Proteus mirabilis,
Salmonella and Shigella species less so. Cephaloridine is not
absorbed orally and is administered parenterally.
2118
Cephalothin
Similar spectrum of activity to cephaloridine but frequently

slightly less active against certain organisms.
Cephaloglycine
Active against many Gram-negative bacteria but enterococci,

indole-positive Proteus and Enterobacter are usually
resistant, Pseudomonas invariably so. Absorbed from the
gastrointestinal tract sufficiently well to be used for urinary
tract infections. Metabolized to the desacetyl compound
which also has antibacterial activity.
2119
Cephalexin
Similar in spectrum of activity to the parenteral

cephalosporins but less active against resistant staphylococci.
Well orally absorbed in man, most of the compound being
excreted unchanged in the urine.
Forms of the Cephalosporins
Cephaloridine
Official as the betaine (α or δ form) for injection.
Cephalothin
Official as the sodium salt for injection.
Cephaloglycine
Available as zwitterion dihydrate.
Cephalexin
Official as the monohydrate in the form of capsules and

tablets.
Assay of Cephalosporins
The β-lactam portion of the molecule is assayed

iodometrically by a procedure similar to that used for
benzylpenicillin. The pyridine content of cephaloridine is
2120
determined by reaction with bromine and potassium cyanide
to give a red colour which is estimated photometrically.
Chloramphenicol
Chloramphenicol was isolated in 1947 from a culture of
Streptomyces venezuelae and chemical degradation showed
that the structure was d(–)-threo-2-dichloroacetamido-1-p-
nitrophenyl-1:3-propanediol. The most surprising feature of
this relatively simple compound was the presence of an
aromatic nitro group, which was previously unknown in
nature.
Although chloramphenicol was originally obtained by

fermentation, a number of syntheses have been devised and it
is now exclusively prepared synthetically. Numerous
analogues of chloramphenicol have been synthesized but
these have shown reduced activity or increased toxicity.
Applications of Chloramphenicol
Chloramphenicol is bacteriostatic to a broad spectrum of

organisms being particularly valuable for the treatment of
typhoid and rickettsial infections. It is now less used than
formerly since very high doses can produce granulocytopenia
and aplastic anaemia. Chloramphenicol is well absorbed
orally but it has an intensely bitter taste. To overcome this,
the primary hydroxyl group is esterified with palmitic acid to
give a bland ester which is very suitable for use in syrups.
2121
The water-soluble monosodium salt of the hemi-ester of
succinic acid is used parenterally.
Forms of Chloramphenicol
Chloramphenicol and chloramphenicol capsules are official in

the British Pharmacopoeia. It is assayed photometrically.
Polypeptide Antibiotics
The polypeptide antibiotics all consist of amino acids linked
by peptide bonds into cyclic structures of some considerable
complexity containing unusual amino acids and saturated
aliphatic acids.
Bacitracin
Bacitracin was isolated in 1945 from cultures of Bacillus

licheniformis obtained from the leg wound of a young girl. It
has been shown to be a mixture of five related polypeptides,
the material which is produced commercially by deep
fermentation being predominantly bacitracin A.
Applications of Bacitracin
Bacitracin is active against Gram-positive organisms

particularly certain strains of clostridia. Its nephrotoxicity
limits its parenteral use but as it is not absorbed its main use
is topical, it has been used for sterilization of the gut. It is
official as the zinc salt.
2122
Polymyxin
Polymyxin was isolated in 1947 from Bacillus polymyxa in a

soil sample. Like the other members of this class of antibiotic,
polymyxin was found to be a mixture of five antibiotics each
of which is separable into two closely related substances. Of
the polymyxins only B and E (colistin) are used
therapeutically, the other members of the group being too
toxic.
Polymyxin B
This is basic and forms a water-soluble sulphate which is used

in the treatment of Gram-negative infections such as E. coli
and Ps.
Pyocyanea
It is administered orally, topically and by injection. The

sulphate is official.
Colistin
Its use is similar to polymyxin B, being administered orally as

tablets of its sulphate or by injection as the sodium salt of its
tetramethanesulphonate (colistin sulphomethate) prepared by
reacting the free amino compound with formaldehyde and
sodium bisulphite. Colistin sulphate and sulphomethate
sodium are official.
2123
Carbohydrate Antibiotics
This group, of which the most important members are
streptomycin and neomycin, is produced by streptomycetes.
They are basic compounds giving crystalline, water-soluble
salts and consist of sugars and amino sugars linked
glycosidically.
Streptomycin
Streptomycin was isolated by Waksman in 1944 from a

culture of Streptomyces griseus obtained from a chicken’s
throat. Two years earlier, streptothricin had been isolated
from S. lavendulae and although it possessed a broad
spectrum of activity, it was too toxic for use. Streptomycin
was far less toxic and in addition to its Gram-negative activity
it was found to be the first useful antibiotic active against M.
tuberculosis.
2124
Streptomycin is a triacidic base consisting of three units;
streptidine, a diguanidino derivative of inositol; streptose, an
aldose, and N-methyl-l-glucosamine.
Early production of streptomycin was by surface culture,
meat extract, peptone and sodium chloride being added to the
medium. Subsequently, it was found that deep culture
techniques were applicable, the meat extract could be
replaced by a much cheaper extract of soya bean meal and
distillers’ solubles and this process is now used on a large
scale. After fermentation and clarification of the broth, the
antibiotic is absorbed on to a carboxylic acid ion-exchange
resin and then eluted from the washed resin with dilute acid.
The concentrated streptomycin salt solution so obtained is
then purified by crystallization of the complex formed
between two molecules of streptomycin trihydrochloride and
one of calcium chloride. From this purified salt the sulphate is
prepared, either crystalline for oral use, or sterile for injection.
Catalytic hydrogenation of the aldehyde group in
streptomycin gives the corresponding alcohol,
dihydrostreptomycin which was thought to be less toxic than
the parent compound; this is now believed not to be so and
the compound is no longer described in the British
Pharmacopoeia.
Applications of Streptomycin
Streptomycin is chiefly used in the treatment of tuberculosis,

particularly in combination with other drugs such as
isonicotinic hydrazide or p-aminosalicylic acid, which delay
the development of resistance by the bacterium. It is also used
for the treatment of plague and tularaemia. Although well
absorbed by injection, it is not absorbed orally, and has been
2125
used for the treatment of gastrointestinal infections and
sterilization of the gut prior to abdominal surgery. The most
serious side effect of streptomycin is on the eighth nerve
causing vertigo and also deafness.
Assay of Streptomycin
Streptomycin may be assayed biologically using B. subtilis, or

chemically by heating with sodium hydroxide, when the
streptose fragment of the molecule rearranges to give maltol
which is estimated colorimetrically by the purple colour
produced with ferric ammonium sulphate.
Neomycin
Neomycin is a mixture of three closely related antibiotics

(neomycins A, B and C) first isolated from Streptomyces
fradiae in 1949. It consists of three basic sugars and d-ribose
linked glycosidically.
2126
Applications of Neomycin
Neomycin has a broad spectrum of activity and as it is not

absorbed orally its sulphate is used for sterilization of the gut
and for the treatment of intestinal infections. It is of
considerable value for the topical treatment of infections due
to staphylococci and Gram-negative bacteria, and is
frequently used in combination with polypeptide antibiotics to
prevent the development of resistant strains.
2127
Kanamycin
Kanamycin was isolated in 1957 by Umezawa from a culture

of Streptomyces kanamyceticus obtained from soil collected
in Nagarov in Japan. It is a mixture of predominantly
kanamycin A together with kanamycins B and C.
Kanamycin A has the structure shown below B and C differ

in the structure of the amino sugar linked to the
2-deoxystreptamine ring. The structures of all three
compounds have been confirmed by total synthesis.
Applications of Kanamycin
Kanamycin has a spectrum of activity similar to the other

carbohydrate antibiotics against Gram-positive and negative
organisms. It is not usefully absorbed from the alimentary
tract and hence is used for the treatment of infantile
gastroenteritis and for sterilizing the gut. Although it does
exhibit some ototoxicity it can be administered by repeated
2128
intramuscular injection particularly for the treatment of
tuberculosis.
Kanamycin is administered as its readily water-soluble
monosulphate (official)
Gentamicin
Weinstein in 1963 isolated gentamicin, a mixture of

water-soluble basic antibiotics from Micromonospora
purpurea and M. echinospora. The mixture of components is
complex but the structures of gentamicins A and C have been
elucidated; A having been prepared in a pure crystalline form
has been shown to consist of paromamine (a component of
the neomycin analogue paromomycin) linked to a novel
3-methylamino-3- deoxy-pentapyranose (gentosamine).
Gentamicin forms salts with mineral and strong organic acids,
the sulphate (official) being used clinically.
2129
Applications of Gentamicin
An antibiotic with Gram-negative activity particularly against

Aerobacter, Escherichia, Klebsiella, Salmonella and some
Proteus species. Its most significant activity is against P.
aeruginosa and it is largely used for the treatment of
infections caused by this organism.
Like all the other carbohydrate antibiotics it is not absorbed
orally and must be administered by intramuscular injection as
its sulphate (official).
2130
Tetracyclines
The tetracyclines are a group of broad-spectrum antibiotics
possessing a hydronaphthacene skeleton bearing a wide
variety of functional groups. They are amphoteric, forming
crystalline salts with strong acids and bases and chelates with
many metal ions and it has been suggested that this last
property is responsible for their antibacterial action. They are
prepared by deep culture fermentation of streptomycetes and
have been isolated by a number of methods; as their calcium
or mixed barium and magnesium salts, as their iron chelates
or as salts with cationic surfactants.
Because of the clinical value of the tetracyclines and the
number of functional groups capable of modification, many
have been synthesized in attempts to obtain maximum
antibiotic
activity and blood levels, modified absorption excretion
patterns and improved chemical stability (Blackwood &
English, 1970). At least eight tetracyclines are produced
commercially of which half are obtained by chemical
modifications of fermentation products. The most important
at the present are chlortetracycline, oxytetracycline,
tetracycline, demethylchlortetracycline, doxycycline and
methacycline.
Chlorteracycline
The first member of this group to be isolated was

chlortetracycline in 1948 from Streptomyces aureofaciens. Its
structure was established shortly after Woodward elucidated
that of oxytetracycline in 1953. Chlortetracycline
hydrochloride is a yellow crystalline solid which is assayed
2131
biologically against B. pumilus and is usually administered
orally in capsules.
Oxytetracycline
Oxytetracycline was isolated in 1950 from the soil organism

Streptomyces rimosus. As may be seen it differs from
chlortetracycline in the absence of a chlorine and the presence
of an additional hydroxyl group. The total synthesis of
dl-oxytetracycline has been performed by Muxfeldt and the
product shown to possess 50 per cent of the biological activity
of the natural, optically active, material (Muxfeldt et al.,
1968).
Oxytetracycline is used as its hydrochloride in injections and

capsules and as the less soluble dihydrate of the free base in
tablets.
2132
Tetracycline
Tetracycline was originally prepared by hydrogenolysis of

chlortetracycline or later from oxytetracycline. More recently
mutant strains of Streptomyces have been isolated which
produce tetracycline directly. The antibacterial spectrum of
tetracycline is similar to the ‘chloro’ and ‘oxy’ derivatives but
it is better absorbed orally. Tetracycline hydrochloride is
administered orally or by injection.
Demethylchlortetracycline
This antibiotic was isolated in 1957 from a mutant strain of S.

aureofaciens and its structure was soon established by
degradation and comparison of its ultraviolet spectrum with
that of chlortetracycline.
Chemical modification of oxytetracycline or methacycline

yields doxycycline (α-6-deoxytetracycline) which is more
active against most bacteria than tetracycline and in addition
is well absorbed orally with a prolonged serum half-life.
2133
Methacycline
Methacycline is prepared synthetically from oxytetracycline,

its activity and absorption characteristics are similar to those
of demethylchlortetracycline with slightly higher blood levels
during the first eight hours after administration.
Methacycline is official as its hydrochloride and is

administered in capsules.
Applications of the Tetracyclines
The tetracyclines as a group are of considerable value by

virtue of their activity against a wide range of Gram-positive
and Gram-negative bacteria, rickettsiae, actinomycetes,
spirochaetes and the psittacosis virus. The various members
differ slightly in their pharmacological properties but all have
a low toxicity and are well absorbed orally. They are used
particularly for the treatment of brucellosis, chronic bronchitis
and other respiratory infections.
2134
Forms of the Tetracyclines
Chlortetracycline
Hydrochloride, capsules.
Oxytetracycline
Hydrochloride for injection and in capsules. The dihydrate of

the free base in tablets.
Tetracycline
Hydrochloride capsules, tablets and for injection.
Demethylchlortetracycline
Doxycycline
Hemihydrate, hemiethanolate of the hydrochloride, capsules.
Methacycline
2135
Erythromycin
This antibiotic, discovered in 1952, is prepared by the
fermentation of the soil organism Streptomyces erythreus. It
is a basic compound consisting of three linked units, a basic
sugar, desosamine; a neutral sugar, cladinose; and a large ring
lactone, erythronolide.
Erythromycin is a crystalline compound with a bitter taste,

only slightly soluble in water, and activity rapidly destroyed
at a low pH. In order to overcome the flavour problem and
improve absorption by delaying attack by gastric acid, the
hydroxyl group in the desosamine ring can be esterified to
give the stearate, propionate or estolate (the lauryl sulphate
salt of the latter). Water-soluble salts for injection are
obtained with glucoheptonic or lactobionic acids.
Applications of Erythromycin
Erythromycin is an antibiotic of low toxicity with an

antibacterial spectrum similar to benzylpenicillin. It is active
against many Gram-positive and some Gram-negative
bacteria such as Neisseria, Haemophilus and Brucella strains;
also some activity against Rickettsia. It was particularly
valuable before the advent of penicillinase resistant penicillin,
2136
since it is unaffected by this enzyme. Erythromycin is usually
administered orally; for parenteral use a soluble salt is used.
Forms of Erythromycin
Erythromycin tablets, erythromycin stearate tablets,

erythromycin estolate capsules.
Novobiocin
Novobiocin has at various times been isolated from several
different strains of streptomycetes and is now prepared from
Streptomyces niveus. Novobiocin has been shown to consist
of a coumarin linked to a substituted benzoic acid and a
neutral nitrogen containing sugar.
The hydroxyl group in the coumarin portion of the molecule

is acidic and gives salts with strong bases such as sodium or
calcium which are used in tablet formulations. Novobiocin is
well absorbed orally and is well tolerated and has been used
in the treatment of infections due to Gram-positive bacteria
resistant to other antibiotics.
Fusidic Acid
Fusidic acid was isolated in 1962 from a strain of Fusidium
coccineum found in monkey droppings in Japan. The
structure of fusidic acid is unusual in that antibiotic activity is
rarely associated with steroids or triterpenes although recently
2137
the antibiotics cephalosporin P1 and helvolic acid have been
shown to possess similar structures.
Fusidic acid is sparingly soluble in water but the crystalline

sodium salt is readily soluble and is administered in capsules.
Applications of Fusidic Acid
Fusidic acid is active against Gram-negative cocci and

Gram-positive bacteria particularly S. aureus. It is of low
toxicity, well absorbed orally and has been principally used
for treatment of severe staphylococcal infections.
Griseofulvin
Griseofulvin was isolated in 1939 from the mycelium of
Penicillium griseofulvum and has been used clinically since
1958. It is now prepared commercially by deep fermentation
of Penicillium patulum.
Griseofulvin is a spiran and its structure has been established
by degradation, X-ray diffraction studies and synthesis. Many
2138
analogues have also been synthesized but none has so far
proved superior to griseofulvin against dermatophytes.
Griseofulvin is only very slightly soluble in water and in

order to ensure absorption when given orally, it is essential
for the material to be very finely divided, the British
Pharmacopoeia requires a particle size of less than 5μm.
Applications of Griseofulvin
Griseofulvin has no antibacterial action but it is very active

against the dermatophytes that affect animal and human hair,
nail and skin such as Microsporum audouini, Trichophyton
rubrum and Trichophytonrubrum and Trichophyton
mentagrophytes. It is administered orally in tablets.
Assay of Griseofulvin
Griseofulvin is assayed photometrically at a wavelength of

291 nm.
Lincomycin
Lincomycin was isolated in 1962 from cultures of
Streptomyces lincolnensis var. lincolnensis. Chemical
degradation to trans-1- methyl-4-n-propyl-l-proline,
2139
d-allothreonine and d-galactose has indicated the structure
shown below, which has been confirmed by synthesis.
Lincomycin is a basic antibiotic forming a readily
water-soluble hydrochloride which is used orally and
parenterally. The hydrochloride monohydrate is official in
capsules and injection.
Applications of Lincomycin
Lincomycin resembles erythromycin in its activity against

Gram-positive organisms, particularly the haemolytic
streptococci, pneumococci and staphylococci including those
producing penicillinase. It is readily absorbed orally with a
low toxicity and is generally used where benzylpenicillin is
contraindicated.
Clindamycin
Modification of lincomycin by the insertion of chlorine into
the allothreonine moiety has yielded clindamycin
(7-chloro-7-deoxylincomycin) which is considerably more
active than the parent compound against staphylococci and
pneumococci and of at least comparable activity against other
2140
sensitive species. The compound is well absorbed orally and
is administered as the hydrochloride hydrate in capsules, as
the palmitate ester hydrochloride in syrup formulations and as
the phosphate for parenteral use.
Vancomycin
Vancomycin was isolated in 1955 from Streptomyces
orientalis. It is an amphoteric substance but little is known of
its structure. Hydrolysis yields a number of amino acids,
glucose and a compound containing chlorinated phenyl
residues.
Applications of Vancomycin
Vancomycin is bactericidal to many Gram-positive cocci,

including S. aureus, by inhibition of bacterial cell wall
biosynthesis. It is not absorbed orally and on intramuscular
injection it tends to produce pain and necrosis, hence it is
usually administered intravenously. It is mainly used for the
treatment of septicaemia caused by staphylococci or
streptococci resistant to other antibiotics.
Vancomycin is administered as its hydrochloride (official).
2141
Rifampicin
In 1959 rifamycin B was isolated from a culture of
Streptomyces mediterranei, it was active against
Gram-positive bacteria M. tuberculosis and some
Gram-negative organisms. The compound was poorly
absorbed from the alimentary tract and caused local irritation
when injected. In addition, its solution was unstable,
increasing in potency on storage. It was established that this
change was due to oxidation and hydrolysis to give a
quinonoid compound, rifamycin S, which could be reduced
with ascorbic acid to the phenolic rifamycin SV. This
compound was more active and less toxic than the parent.
Over 400 semisynthetic rifamycins have been prepared by
chemical modification in order to obtain optimal activity and
oral absorption. A Mannich reaction between rifamycin
2142
S formaldehyde and dimethylamine followed by ascorbic acid
reduction yields the 3-dimethylaminomethyl derivative of
rifamycin SV [R1 = H, R2 = –CH2N(CH3)2] from which the
aldehyde [R1 = H, R2 = –CHO] is obtained by oxidation. The
orally absorbed hydrazone, rifampicin, is obtained by reaction
of the aldehyde with 1-amino-4-methylpiperazine.
Rifampicin acts as an antibiotic by blocking the initiation of
ribonucleic acid synthesis, and because of this the compound
is also active against various pox and adenoviruses.
Applications of Rifampicin
Rifampicin is well absorbed orally and is used for the

treatment of tuberculosis, respiratory, urinary tract and
Gram-positive infections.
References
Abraham EP. Q. Rev. 1967;21:231.

Batchelor FR., et al. Nature, Lond. 1959;183:257.
Blackwood RB, English AR. Adv. Appl. Microbiol.
1970;13:237.
Clarke HT, Johnson JR, Robinson R. The Chemistry of
Penicillin. Princeton: Princeton University Press; 1949.
Fleming A. Br. J. Exp. Path. 1929;10:226.
Muxfeldt H., et al. J. Am. Chem. Soc. 1968.
Umezawa S., et al. Bull. Chem. Soc. Japan. 1969;42:529.
2143
Chapter 39
Blood Products and Plasma Substitutes
Whole Human Blood BP

While blood may in many respects be regarded as a
‘therapeutic substance’, and is listed in its alphabetical
position in the British Pharmacopoeia, it has, relative to other
entries, certain unique properties. These derive from the fact
that the red blood corpuscles are living cells. They are not
capable of growth and reproduction but they contain a
complex intracellular structure and a multiplicity of enzymes
and enzyme systems. If, after transfusion, the corpuscles are
to perform their basic physiological role of oxygen transport,
it is necessary that their structural and functional integrity
should be maintained. Because of this, and other related
factors the collection and preservation of blood presents
considerable problems, and its administration involves risks
to the patient which cannot be completely eliminated. These
risks fall into four categories.
Deterioration During Storage
Red blood cells may be damaged or haemolysed by exposure

to heat, by freezing, by excessive agitation, by hypertonic or
hypotonic solutions, by incorrect environmental pH, or by
storage beyond the specified dating period. Incorrect
collection procedures may cause clotting of the blood. In
normal circumstances some small clots may be present, and
2144
blood must always be administered through a suitably
designed ‘giving’ or ‘recipient’ set (as defined in British
Standard 2463:1962, Transfusion Equipment for Medical
Use). This type of set includes a filter with a large surface
area, which will remove clots, but will not easily be blocked
during the transfusion.
Bacterial Contamination
Blood cannot be sterilized by heat or by chemical agents

without causing irreparable damage to the red cells and
plasma proteins; nor can it be sterilized by filtration. The
prevention of bacterial contamination of whole blood
prepared for transfusion therefore depends upon the use of
properly sterilized equipment, a meticulous technique of
collection, and storage at 4–6° at all times, including
transportation. Even then thus collected a small proportion of
donations contain a few viable organisms derived from the
donor’s skin. With few exceptions these die out, or are
prevented from proliferating to a dangerous level by storage
at 4–6°. Rarely, blood may be contaminated by cryophilic
Gram-negative organisms which grow at 4°, usually without
causing macroscopic changes. Depending on the number of
organisms present, transfusion of such blood may cause a
mild, severe or rapidly fatal reaction.
Transmission of Disease from the Donor
Certain diseases, for example syphilis, malaria and hepatitis,

can be transmitted by blood transfusion. A serological test for
syphilis is always made, but a negative test is not a complete
safeguard. Apart from this test, whether or not a donor is free
2145
of disease transmissible by transfusion is decided from his
medical history. The greatest risk is that of transmitting
hepatitis B (serum hepatitis), a serious illness with a
significant mortality rate. It has been found that a high
proportion of hepatitis carriers can be identified by the
presence in their blood of hepatitis B surface antigen
(previously termed Australia antigen), which can be detected
by immunological tests (Prince, 1968; Blumberg et al., 1969;
Ling & Overby, 1972; Reesink et al., 1973; Cayser et al.,
1974). All blood donations are now screened by such tests.
The number of symptomless donors in the UK who carry the
antigen is estimated to be about 0.1 per cent.
Sensitization to Blood Group Antigens
The transfusion of blood has been described as a kind of

homograft, that is, the transfer of living tissue from one
individual to another. As with other homografts the body may
react to the introduction of the foreign tissue. Antibodies
develop in the plasma, which reject red blood cells of the type
introduced, by reacting with antigens on the cell surfaces. In
the case of the ABO blood group antigens, isoantibodies are
present in the blood even when there has been no previous
transfusion of blood, and will react with cells of the wrong
group if these are transfused.
The rejection reaction caused by the action of antibodies on
red cells results in intravascular agglutination, lysis or
disruption of the cells transfused, and may have a serious or
fatal effect on the patient. Therefore, before blood is used, it
is tested and labelled according to its blood group; the patient
is grouped and blood of the appropriate group selected; as a
further check, a compatibility test is performed, i.e. the cells
2146
to be transfused are tested against the patient’s serum to
confirm that it contains no antibodies that will agglutinate or
lyse the cells. In order to avoid blood of the wrong group
being transfused in error, it is necessary to maintain an
elaborate system of labelling, recordkeeping and
cross-checks.
On account of the risks attaching to the use of blood, and of
the consequent legal implications, the supervision of a
hospital blood bank and of associated laboratory work should
always be the direct responsibility of a pathologist fully
trained in
haematology. Responsibility for the storage and issue of
blood and of plasma and plasma fractions should not be given
to or accepted by pharmacies.
Bleeding
To obtain blood, an area of the donor’s arm over the

antecubital vein is thoroughly cleansed and swabbed with an
antiseptic solution. A local anaesthetic is then injected, and
the sterile needle of a blood donor set is inserted in the vein.
The needle connects, via the tubing of the set, to a bottle or
plastic bag containing 2.0–2.5g disodium hydrogen citrate, 3g
dextrose and water to 120ml (acid–citrate–dextrose or ‘ACo’
anticoagulant). Volumes of 420ml of blood are usually
collected, with appropriate mixing with the solution in the
container, and two samples are taken, one for syphilis and
blood group tests before the blood is issued, and one for the
‘compatibility’ test which is made before the blood is given to
a particular patient. The citrate, by binding calcium ions,
prevents the clotting of the blood which would otherwise
occur within a few minutes of collection. Dextrose preserves
2147
red cells, increasing their ‘life’ in storage from 4 to 7 days in
citrate alone, to 21 days in ACo. Other anticoagulants are
also, for example, citrate phosphate dextrose (CPD).
On standing, the cells sediment to form a dark red layer
occupying about half the fluid volume, with a yellowish layer
of plasma above. The latter may be clear or cloudy depending
on the amount of lipid ingested by the donor in his meals
before giving blood. Blood which is contaminated, or
haemolysed through improper storage, may be visibly
abnormal and a careful inspection should always be made
before blood is given to a patient.
British Pharmacopoeia requirements for whole human blood
include the following:
1. That the blood is cooled to 4–6° immediately after
withdrawal from the donor and is maintained at that
temperature throughout its dating period of 21 days, except
for short periods, not exceeding 30 min, which are necessary
during transportation or testing.
2. That the haemoglobin concentration of blood-anticoagulant
mixture is not less than 9.7g/dl.
3. That the ABO blood group is determined by examination
of both the corpuscles and the serum, and the Rh group by an
examination of the corpuscles.
4. That the blood should meet the British Pharmacopoeia
requirements for sterility testing. It is not practicable to test
the sterility of the blood before it is transfused and the usual
practice is to test a proportion of containers of blood older
than 21 days as a check on the technique of collection and
storage.
5. That the label should state the ABO and Rh groups, the
volumes of blood and anticoagulant solution present, the date
on which the blood was collected, the expiry date and
required storage conditions, that the contents must not be used
2148
if there is any visible sign of deterioration, and a number or
code by which the history of the preparation can be traced
back to the original donor.
Uses
Whole human blood is transfused to replace red blood cells,

clotting factors or other normal constituents partly or
completely missing from the patient’s blood, or to restore
blood volume after acute haemorrhage.
For further information concerning the preparation, grouping,
storage and use of whole human blood see Bowley and
Dunsford (1967), Mollison (1972).
Concentrated Human Red Blood

Corpuscles BP
To obtain this preparation most of the upper plasma layer is
removed from harvested blood in containers which have been
left standing, or have been centrifuged. The quantity of fluid
removed is not less than 40 per cent of the total volume. In
the case of centrifuged blood, a certain amount of plasma is
left so that the cell preparation is not too viscous for
administration. The blood from which the concentrate is
prepared meets the Pharmacopoeia requirements for whole
human blood and is not more than 14 days old. The
haemoglobin concentration of the final preparation is not less
than 15.5 per cent w/v.
Concentrated red cells from blood collected in glass bottles
should be used within 12h of preparation because of the risk
of bacterial contamination during the separation of the
2149
plasma. The concentrate should be stored at 4–6° pending
transfusion. Blood from each of the donors contributing to the
concentrate must have been grouped and compatibility tested
against the blood of the intended recipient. Labelling
requirements are generally similar to those for whole human
blood, but include in addition a statement of the date and time
of removal of the plasma. Red cell concentrates are used
principally in the treatment of anaemia.
Concentrates of Platelets and White

Blood Corpuscles
By centrifugation under controlled conditions the red blood
cells can be sedimented from fresh blood, leaving the platelets
suspended in the supernatant plasma. The separated upper
layer is used in treatment, or is recentrifuged at high speed
and the resulting deposit suspended in a small volume of
plasma, to give a highly concentrated platelet preparation.
Such concentrates are used primarily to prevent haemorrhage
in patients suffering from thrombocytopenia and to treat
patients with leukaemia who are undergoing
immunosuppressive therapy. White blood cell concentrates,
similarly prepared, are not as yet in general use.
Plastic Transfusion Equipment:

Plasmapheresis
In recent years disposable plastic blood bags or packs have
become available and have some advantages over glass
2150
bottles. In the form of ‘double’ or ‘triple’ packs they are
convenient for
preparing separated blood components. The double pack
consists of two bags, one fitted with a blood collecting tube
and both with ‘ports’ for the insertion of a giving set. The two
bags are joined by tubing. One bag contains standard ACD
anticoagulant, in which the blood is collected. The complete
double unit is then centrifuged. The connecting tube between
the two bags is opened and a proportion of the upper plasma
layer is expressed from the bag containing the blood into the
empty one. The tubing is then sealed and cut, giving a unit of
red cell concentrate and a unit of platelet-rich plasma. This
plasma can be used as it is or processed further to give
platelet concentrate and plasma. The latter can be utilized as
such or fractionated.
A further application of plastics equipment is in the technique
known as ‘plasmapheresis’, in which red blood cell
concentrates prepared by the above procedure are returned to
the donor, who thus has in effect donated plasma without any
significant loss of his red blood cells. It has been found that
healthy donors can give relatively large quantities of plasma,
provided that red blood cells are not harvested at the same
time; as much as one litre of plasma per week has been
removed from a single donor over a period of years without
untoward effect (Simson et al., 1966). This procedure can be
applied to donors whose plasma has a high content of a
protein of a particular therapeutic value, for example
coagulation Factor VIII, anti-D antibody or tetanus antitoxin.
2151
Plasma, Serum and Plasma Fractions
During storage the red corpuscles progressively lose their
capacity to survive in the circulation of the transfused
recipient. When blood 21 days old is transfused
approximately 70 per cent of the cells remain in the patient’s
circulation 24 hours later. Blood older than 21 days is thus not
normally considered suitable for transfusion. However the
plasma proteins are more stable and the normal procedure is
to aspirate the plasma from the sedimented red cells of
time-expired blood and to use it for therapeutic products.
Freshly collected blood is centrifuged to provide fresh plasma
for preparing certain labile components, which cannot be
recovered in active form from time-expired blood.
It should be noted that plasma and certain fractions made
from it, even when prepared, as is now the practice, from
blood screened for hepatitis B surface antigen, may carry the
virus of hepatitis B (Berg et al., 1972). They should thus be
used only when the benefit likely to accrue to the patient
outweighs the risk of transmitting hepatitis. These fractions
should not be transfused merely as a vehicle for administering
a drug or other substance. Dried plasma and serum are being
replaced as volume expanders by albumin preparations which
do not carry this risk (see below).
Proteins are complex macromolecules and are easily damaged
or ‘denatured’ by exposure to heat, so their storage
requirements must be strictly observed. Because of their
instability in solution some protein-containing products are
issued as a freeze-dried powder, sealed in presence of dry
nitrogen. Such preparations are hygroscopic and may become
unstable or insoluble if moisture gains access, for example
through a loose or faulty seal.
2152
The British Pharmacopoeia contains sections relating to
plasma, serum and plasma fractions, and should be consulted
for detailed specifications. Requirements are laid down with
respect to sterility, identity, freedom from pyrogens, total
protein content, electrolyte content, the presence of
preservatives and stabilizers, and, in the case of freeze-dried
preparations, solubility and residual moisture content. In
addition special requirements for individual plasma proteins
define required protein composition, as determined by
electrophoretic analysis or other procedures. General labelling
requirements apply to these products. The label must include:
(1) the correct name of the product, (2) an identifying batch
number, (3) information concerning potency or concentration,
(4) name and address of manufacturer or authorized
distributor, (5) date of manufacture, (6) expiry date, (7)
required storage conditions and (8) nature and concentration
of any added bacteriostatic agent. Any additional labelling
requirements are given below.
Products used in blood volume replacement therapy,
including plasma, human albumin preparations and solutions
of various substances used as plasma substitutes have been
reviewed by Gruber (1969).
Dried Human Plasma, BP
The plasma of some donors contains haemagglutinating

antibodies of the ABO system which on transfusion into
patient of certain blood groups may cause intravascular
agglutination and haemolysis. This risk can be avoided by
neutralization of the haemagglutinins with the soluble blood
group substances present in the plasma of other donors of
appropriate blood groups. Plasma is pooled from donations of
2153
blood selected so that the normal distribution of ABO groups
is represented; thus a ten-donor pool contains plasma from
about equal numbers of A and 0 donations, together with at
least one B or AB donation.
It was shown many years ago that when plasma pools were
restricted to ten donors the risk of transmitting hepatitis B was
low; such ‘small-pool plasma’ is issued for use in this
country, the risk of transmitting hepatitis being about one in
500 patients transfused. Attempts to inactivate the virus with
ultraviolet irradiation or with β-propiolactone have been
unsuccessful. A combination of ultraviolet irradiation and
β-propiolactone inactivates the agent, but plasma so treated
shows electrophoretic and other abnormalities.
Plasma is difficult to filter and it is not practicable to sterilize
large numbers of small pools by filtration. As whole blood
cannot be assumed to be sterile it is therefore necessary to test
each ten-donor pool for sterility. Pools which have passed
these tests are then redistributed in transfusion bottles in
quantities suitable for freeze-drying (Greaves, 1946). The
dried plasma is a light to deep cream-coloured powder, free
from streaks of red or pink indicative of red cells or
haemoglobin. It is reconstituted to the original volume with
Water for Injection at room temperature and dissolves
completely in less than 10 min to give a cloudy solution. The
protein content is not less than 45g/l. Addition of 17g/l
calcium chloride to 1ml should cause coagulation,
demonstrating the presence of fibrinogen.
Storage
Under dry conditions; below 50°; protected from light.
2154
Labelling
In addition to general requirements the label states: (1) the

names and percentages of anticoagulant and other added
substances, (2) the quantity of water for injections required to
reconstitute to the original volume, (3) the protein content of
the reconstituted liquid and (4) that the contents must not be
used more than 3h after reconstitution.
Uses
For the restoration of plasma volume in patients suffering

from burns, scalds or crush injury.
In emergencies, to restore blood volume when whole blood is
not available or while awaiting the results of compatibility
tests. In an emergency when fibrinogen concentrate (see
below) is not available, dried plasma, reconstituted to one
third or one quarter of the original volume, may be used in the
treatment of acute fibrinogen deficiency. The dried residue
from 400ml plasma contains about 1g fibrinogen. Dried
plasma prepared from time expired blood does not contain
useful amounts of labile clotting factors such as Factor V and
VIII.
Fresh Frozen Plasma
Plasma prepared by centrifugation from whole human blood

within a few hours of its collection from the donor is stored in
the frozen state, preferably below –30°. If it is not pooled it
must be labelled, and used, according to the stated blood
group. For use the plasma is thawed by immersion in a water
2155
bath at a temperature not exceeding 37°; thawing takes about
45min.
Uses
In fresh frozen plasma labile clotting factors are preserved. It

is used, in particular, as a source of Factor VIII for treating
minor haemorrhage in mildly affected haemophiliacs.
Dried Human Serum, BP
Blood collected without the addition of an anticoagulant from

donors who meet the requirements specified for whole human
blood is allowed to clot, and the separated fluid pooled,
bottled and freeze-dried. The ratio of blood groups in the
pool, and the pool size, are as for dried human plasma, and all
other requirements are identical with those for this product,
with the exceptions that the protein content must not be less
than 65g/l, and that the test for coagulation with calcium
chloride does not apply. Its uses are similar to those of dried
plasma, except that it cannot be used as a source of
fibrinogen.
By precipitation, individual protein components of human
plasma can be separated from each other and prepared in
concentrated form for use in the prophylaxis or treatment of
certain conditions. The principal preparations of this type are
concentrates of blood coagulation factors, concentrates of the
plasma antibodies or immunoglobulins, and albumin
preparations.
The fractionation procedures used make use of the following
facts: (1) proteins are selectively precipitated from solutions
without denaturation by the addition of organic solvents such
2156
as diethyl ether or ethanol, provided there is efficient mixing
and the temperature is maintained at or below 0°; (2) the
different proteins are minimally soluble at different pH
values; and (3) solubility in presence of organic solvents is
differentially affected by variations in the salt concentration.
In a series of precipitation steps in which these factors are
carefully controlled, various components are separated from a
single pool of plasma. At each stage the precipitate is
separated by centrifugation. If reproducible separations are to
be obtained, precise control must be maintained throughout
over temperatures of solutions protein concentrations, rates of
addition of reagents, stirring speeds, equilibration times, and
centrifugation speeds and temperatures.
The final sedimented paste of proteins containing the desired
component in concentrated form is dissolved in a suitable
solvent, the composition of which is carefully controlled with
respect to pH and salt content. The solutions obtained are
usually at this stage sterilized by filtration and freeze dried.
Freeze drying removes residual organic solvent, and gives a
stable product, suitable for storage and transport.
Immunoglobulin and albumin are however sufficiently stable
to be dispensed in solution, which is prepared by redissolving
the freeze-dried material, adjusting the protein concentration
to the desired value, filtering and bottling.
For the preparation of the more labile coagulation factors it is
necessary to start with fresh plasma, separated from blood
within a few hours of collection, and to complete the
fractionation without delay.
At all stages precautions must be taken to prevent bacterial
contamination, the introduction of pyrogens, and denaturation
of protein. In the case of some fractions large volumes may be
administered intravenously, and it is essential that the
2157
solutions are free from pyrogens, toxic substances, particulate
matter and biological material from nonhuman sources.
In addition to routine tests for sterility, pyrogenicity, identity,
solubility, protein and moisture contents, the quality of the
plasma protein fractions is controlled by: (1) electrophoretic,
immunoelectrophoretic, ultracentrifugal and chromatographic
analysis; (2) assay of specific activities, such as coagulation
factor or antibody activity; and (3) tests of heat stability.
The scheme for the fractionation of plasma by ethanol was
originally developed in the United States by Cohn and his
coworkers (Cohn et al., 1946; Oncley et al., 1949) and that by
ether by Kekwick and Mackay (1954) in the UK. The ethanol
fractions obtained are sometimes called Cohn fractions, e.g.
Cohn Fraction I. In many laboratories a simpler modification
of the original procedure, first described by Deutsch et al.
(1946),
and later applied on a large scale by Kistler and Nitschmann
(1962), is now used. The properties of human plasma
proteins, and methods for their fractionation have been
reviewed by Schultze and Heremans (1966).
Coagulation Factors
Shed blood clots because of the polymerization of fibrinogen,
a soluble plasma protein with a molecular weight of 3,40,000.
The fibrinogen molecules are elongated, and when clotting
occurs they interact irreversibly to form a three-dimensional
network of a semisolid polymer, called fibrin. The
polymerization of fibrinogen is brought about by the action of
an enzyme, thrombin, which in turn results from the
activation of prothrombin, another high molecular weight
substance present in human plasma.
2158
Substances liberated from damaged tissues, of exposure of
blood to ‘foreign’ surfaces initiate a complex series of
reactions which leads ultimately to the activation of
prothrombin to thrombin. These reactions require the
presence of platelets, calcium, and a number of plasma
factors, which are proteins. They are designated Factors V,
VII, VIII, IX, X, XI and XII. In a number of hereditary,
congenital or acquired conditions, a deficiency of one of these
factors may occur, resulting in impaired clotting function and
a tendency to bleeding. Concentrates of some of these factors
can now be prepared, and are used to arrest haemorrhage or to
prevent it when surgery is necessary in patients with such
deficiencies. The products available are fibrinogen and Factor
VIII concentrates; concentrates of Factors II (prothrombin),
VII, IX and X are at present under development. Preparations
of thrombin and fibrinogen derivatives are made for use as
local haemostatic agents (see Biggs & Macfarlane, 1966;
Biggs, 1972).
Dried Human Fibrinogen, BP
Fibrinogen is one of the least soluble component of the

plasma proteins and is precipitated when ethanol is added to
plasma at 0° and neutral pH to give a final concentration of 8
per cent v/v. After further purification, the fraction, obtained
in the form of a centrifuged deposit, is dissolved in a citrate
saline solution. The citrate binds calcium ions and prevents
spontaneous clotting of the product. The solution is
freeze-dried, yielding a white powder or friable solid.
To reconstitute for use, the stated volume of Water for
Injection at not less than 15° is added to the container and the
contents mixed gently so as to avoid frothing. The cloudy
2159
solution obtained after 15–30 min contains between 10 and
15g/l of fibrinogen, and the fibrinogen comprises at least 70
per cent of the total protein present. The fibrinogen content is
determined by adding thrombin to a known volume of
solution and measuring the protein content of the separated
and washed clot. The electrophoretic mobility of the main
component in aqueous phosphate buffer at pH 8.0 lies
between that of human β- and γ-globulin.
Storage
Under dry conditions: protected from light; below 25°.
Labelling
Additional to general requirements: (1) the amounts of

fibrinogen clottable by thrombin, of sodium chloride and of
sodium citrate contained in it; (2) the quantity of Water for
Injection required for reconstitution; (3) that it be used
immediately after reconstitution; and (4) that it be
administered through a recipient set fitted with a filter.
Uses
For the treatment of fibrinogen deficiency, particularly that

associated with pregnancy. In conjunction with thrombin it
may be used to repair severed nerves and to aid the adhesion
of grafts.
Indication: Fibrinogen may transmit hepatitis B.
2160
Radio-Iodinated Human Fibrinogen
Human fibrinogen which meets the BP requirements for

clinical use, and also certain other requirements relating to
stability, is labelled with the radioactive isotope 125I or 131I.
It is an aid to the diagnosis of deep vein thrombosis by
external monitoring, such fibrinogen is prepared from the
blood of donors specially selected and tested to reduce the
risk of transmitting hepatitis B.
Concentrates of Human Coagulation
Factor VIII (Antihaemophilic Factor)
Clotting Factor VIII is absent or deficient in the blood of

persons suffering from haemophilia A, i.e. haemophiliacs or
‘bleeders’. Concentrates of the missing protein are prepared
from pooled normal plasma: Kekwick and Wolf (1957) have
described an ether-fractionated, and Blomback et al. (1958)
and Jorpes et al. (1962) an ethanol-fractionated material. A
glycine precipitated fraction is also made (Webster et al.,
1965).
The product is a freeze-dried protein, white in colour. On
reconstitution its activity is at least three times that of fresh
liquid plasma. Its protein composition is similar to that of
human fibrinogen, fibrinogen being the principal constituent,
and Factor VIII a trace component. Quality is controlled by
assay of Factor VIII, and of total and clottable protein.
Temperature requirements for storage have not yet been fully
established. For prolonged storage of the dried product a
temperature below –20° is desirable. However for some
weeks a temperature of 4–6° is safe and the product can be
2161
transported unrefrigerated. Reconstitution is in Water for
Injections at 20–30° and may be slow. The solution should be
transfused without delay as activity may be lost on standing.
The product is normally available only for specialized teams
which have facilities for assaying Factor VIII in the patient’s
blood and in the products transfused.
Factor VIII Concentrates may Transmit Hepatitis B
Recent papers have described large scale procedures and the

preparation of concentrates which can be given in small
volumes by syringe (Brinkhous et al., 1968; Newman et al.,
1971; Wickerhauser, 1971).
Human Plasma Cryoprecipitate
A protein fraction containing Factor VIII is obtained by

freezing fresh plasma and then thawing it under controlled
conditions (Pool & Shannon, 1965). Plasma proteins which
are sparingly soluble in the cold separate during thawing:
these contain much of the Factor VIII. Products prepared in
this way are now widely used. Because of the simplicity of
preparation the cryoprecipitate can be made in transfusion
centres and blood banks without highly specialized facilities.
After separation from the supernatant plasma, the
cryoprecipitate, suspended in a small amount of plasma, is
frozen and stored at 30°. It is possible to recover red cell
concentrates at the same time and the residual plasma can be
used for the preparation of other therapeutic protein fractions.
2162
Factor VIII Concentrate Derived from Animal
Plasma
Concentrates of Factor VIII made from bovine or porcine

plasma are commercially available. They are prepared by
methods similar to those used for the human fractions and are
distributed freeze-dried in ampoules (Bidwell, 1955). Because
of the high content of Factor VIII in bovine and porcine
plasma, concentrates with a very high specific activity can be
prepared but they have the serious disadvantage that, after a
limited period of treatment, the recipient becomes sensitized
to the foreign protein and cannot thereafter be given the
preparation concerned. The use of these animal products is
thus confined to circumstances in which they are deemed to
be life-saving. Like the human fractions. They are labile and
expensive and their use should be controlled by assays carried
out on the patient’s blood during treatment.
Concentrates of Human Coagulation Factors II,

VII, IX and X*
Concentrates containing these factors are prepared (Bidwell et

al., 1967; Dike et al., 1972) and are generally available for
patients with congenital absence of Factor IX (Christmas
disease). Soulier et al. (1964) in France have made a similar
product, as have Wickerhauser and Sgouris (1972) in the
USA.
It should be noted that patients with a deficiency of Factor IX
cannot be treated successfully with concentrates of human or
animal Factor VIII. Specific concentrates should not therefore
be used in patients with a bleeding tendency until the
diagnosis has been confirmed by laboratory investigation.
2163
Dried Human Thrombin, BP
The active enzyme thrombin is prepared from a

prothrombin-containing protein fraction precipitated from
fresh plasma by organic solvents. The prothrombin is then
activated by human tissue thromboplastin in the presence of
calcium ions. The solution is clarified, sterilized by filtration
and dried from the frozen state. The potency of the fraction is
defined in terms of ‘clotting doses’, or ‘units’, one unit being
the quantity of thrombin required to produce a visible clot in
1ml of 1.0g/l saline solution of fibrinogen at pH 7.2 in 15s at
37°.
Storage
Under dry conditions, protected from light, below 20°.
Labelling
Besides general requirements; the number of clotting doses

present.
Use
Thrombin has a limited use as a local haemostatic agent,

usually applied by impregnating fibrin or other foam that is
absorbed by the tissues, with the solution obtained by
reconstituting the dried product.
Thrombin must not be injected intravenously; the label
normally bears the words ‘Do Not Inject’ in bold type. The
product must be carefully distinguished from
2164
prothrombin-containing preparations intended for intravenous
use. Thrombin may transmit hepatitis B.
Human Fibrin Foam
To prepare this material thrombin is added to a solution of

fibrinogen and the mixture immediately and rapidly made to
foam. The semisolid foam of fibrin is then freeze-dried; and
the freeze-dried material fixed and sterilized by dry heat at
130°. It is issued in suitably sized and shaped pieces in sealed
sterile containers and should be stored below 20° protected
from light. For use as an absorbable surgical haemostatic
agent it is usually impregnated with human thrombin and
applied locally. It is however not widely used, alternative
materials such as oxidized cellulose or gelatin sponges now
being preferred.
The antibodies formed in man may be composed of any or all
of the three classes of serum proteins designated as IgG, IgM
and IgA immunoglobulins respectively. The antibodies
associated with two other, more recently described, classes,
IgD and IgE, are under investigation.
Human immunoglobulin is the name given to that fraction,
separated from human plasma; which consists almost entirely
of IgO immunoglobulin, i.e. the slowest moving group of
proteins in plasma analysed by moving boundary
electrophoresis. This fraction was previously known as
γ-globulin or immune serum globulin. When the fraction is
prepared from random pools of human plasma it is named
human normal immunoglobulin. Preparations containing
specified amounts of particular antibodies are called ‘human
immunoglobulin anti-’ followed
2165
by the name of the appropriate antigen (x). More often the
name used is ‘human anti-(x) immunoglobulin’. This name
replaces the terms ‘hyperimmune γ-globulin’ or ‘convalescent
γ-globulin’. The human specific immunoglobulins are
prepared from plasma obtained at the optimum time from
convalescent patients or immunized donors or from donations
found to be rich in the required antibody. (For a discussion of
nomenclature of human immunoglobulin, see WHO Bulletin
1964 30, 447.)
The antibodies in the IgG immunoglobulin are almost
exclusively those against viruses and bacterial toxins. Thus
human normal immunoglobulin usually contains significant
amounts of antibodies against the viruses causing measles,
rubella, hepatitis and poliomyelitis. According to the
circumstances of the population from which the starting
plasma was obtained it may also contain useful amounts of
tetanus and diphtheria antitoxin, and antibody against
α-staphylolysin, streptolysin and mumps. Since human
normal immunoglobulin contains little or no IgM, it does not
contain antibodies against Gram-negative bacteria and is
therefore valueless against infection due, for example, to
Pseudomonas aeruginosa or Escherichia coli. The
prophylactic uses of the various preparations of
immunoglobulin are described below; it is true to say that, in
general, immunoglobulin has been shown to be of little value
in treatment.
The different antibodies in human plasma have closely similar
solubilities and it is not yet feasible to separate antibodies of
different specificities during fractionation.
For reviews on the clinical use of immunoglobulins, see
Janeway et al. (1967), Pollock (1969) and WHO Technical
Report (1966).
2166
Human Normal Immunoglobulin Injection, BP
This preparation is a solution of IgG immunoglobulin

separated from random pools of plasma. Each pool is derived
from not less than 1500 individual donations of blood. To
obtain the immunoglobulin in its final form, the paste
obtained by solvent precipitation is freeze-dried and then
dissolved to give a solution which is adjusted to the required
pH, salt concentration and protein concentration, usually 15
per cent w/v for the standard product. Other concentrations
may be used in order to give the required dose of a particular
antibody in suitable volume. The solutions contain 0.9 per
cent w/v sodium chloride, 0.01 per cent w/v of thiomersal or
other bactericide in suitable concentration, and are adjusted to
pH 6.8 ± 0.4. In some countries they may contain 2.25 per
cent w/v glycine, which is thought to improve stability on
storage. The Therapeutic Substances Regulations include
specifications relating to analysis in the ultracentrifuge, both
on the original solution and after incubation at 37° for 1
month. The quality is also controlled by electrophoresis, at
least 90 per cent of the protein being required to have the
mobility of γ-globulin. Antibody assays with respect to
certain antibodies are carried out. The solution should contain
not less than 4–8 IU measles antibody per ml. It is clear and
pale yellow or light brown in colour. A trace of flocculent
protein may precipitate during storage.
It has been shown empirically that human immunoglobulin
prepared by the cold ethanol or ether technique or by cold
ammonium sulphate precipitation does not transmit hepatitis.
It cannot be assumed that material prepared by other
fractionation methods will be safe. Thus immunoglobulin
prepared by procedures such as ion exchange chromatography
2167
or preparative-scale electrophoresis should not be used until
shown to be free of hepatitis virus.
Labelling
Additional to general requirements: (1) the amount of

immunoglobulin as total protein, (2) the nature and amount of
preservative and (3) not for intravenous injection.
Uses
Measles: To prevent or attenuate the disease. When the

subject is in good health, the dose is selected to bring about
attenuation only so that active immunity will ensure. In
debilitated infants and others in whom an attack of measles
would be dangerous, the dose used is one which will prevent
the disease. If it is desired to prevent infection
immunoglobulin should be given within 4 days of exposure to
infection.
To prevent complications of vaccination against measles in
infants and children suffering from certain pulmonary and
cardiac conditions a dose of 4–8 IU is given at the same time
as the vaccine.
Rubella: To prevent the disease. When a woman contracts
rubella in the first 4 months of pregnancy, her child may be
born with certain abnormalities. For many years in the UK
women in the first 4 months of pregnancy, exposed to rubella,
were given 750mg normal immunoglobulin since this
preparation contains considerable amounts of rubella
antibody. Evidence suggests however, that this dose is
ineffective (Public Health Laboratory Service Report, 1968a).
Whether a larger dose would be effective is not yet known.
2168
When immunoglobulin is given, it should be given as soon as
possible after exposure.
Infectious hepatitis: Normal immunoglobulin is effective in
preventing clinical disease and is particularly useful in
nurseries, mental institutions and other situations where the
risk of spread is great. In day schools only classmates are
usually protected. A single dose will protect for 6 months.
Travellers who intend to visit countries where the incidence
of hepatitis is greater than in Western Europe or the United
States should be given immunoglobulin (Public Health
Laboratory Service Report, 1968b; WHO Technical Report,
1964).
Hepatitis B: The value of normal immunoglobulin in
preventing the disease is not yet defined.
Chickenpox: Normal immunoglobulin will modify the disease
but not protect against it. Its use is confined to prophylaxis or
treatment in subjects at special risk, e.g. premature and
newborn infant contacts.
Hypogammaglobulinaemia (MRC Report, 1969). Patients
with this condition are particularly susceptible to bacterial
infections, particularly with Gram-positive bacteria. The
regular administration of normal immunoglobulin lessens the
incidence of infection but does not necessarily protect against
chronic infection of the respiratory or gastrointestinal tracts.
Human Antivaccinia Immunoglobulin
This specific immunoglobulin is prepared from the blood of

donors revaccinated against smallpox during the previous
three months. The method of preparation is the same as for
human normal immunoglobulin. It should contain not less
than 500IU per ml.
2169
It is used (1) to prevent complications of vaccination in
children with eczema or in eczematous children accidentally
exposed to vaccinia, and (2) to provide immediate passive
protection in previously unvaccinated smallpox contacts who
have just been vaccinated to produce active immunity. It is
also used to treat eczema vaccinatum generalized vaccinia
and progressive vaccinia. It is of no value for treating
postvaccinial encephalitis.
Human Antitetanus Immunoglobulin
Prepared from the blood of donors who have been immunized

against tetanus. The method of preparation is the same as for
human normal immunoglobulin. The preparation is of special
value for protecting persons known to be sensitive to animal
tetanus antitoxin. An injection of 250 IU will give a serum
level of 0.01–0.05 IU per ml which is usually regarded as
protective.
Human Anti-D Immunoglobulin
Anti-D immunoglobulin is used to suppress sensitization of

Rh-negative mothers to the Rh(D) antigen. This may occur
when an un sensitized Rh-negative mother gives birth to an
Rh-positive infant. Rh(D) positive foetal cells may escape
across the placenta into her circulation during labour. If this
occurs the mother becomes permanently sensitized, so that
any further Rh-positive infant will suffer from haemolytic
disease of the newborn.
If anti-D immunoglobulin is given to the mother within 60h
of delivery, it interacts with the foetal Rh(D) positive cells,
causes them to disappear from her circulation and prevents
2170
them from stimulating her antibody-forming tissues to
produce anti-D immunoglobulin (Clarke, 1968).
The specific immunoglobulin is prepared from plasma
obtained from Rh-negative persons whose blood contains
incomplete antibody to the Rh(D) antigen. At present the
most numerous donors of such plasma are Rh-negative
mothers who have been sensitized to the Rh(D) antigen
derived from an Rh positive pregnancy. Suitable plasma is
also obtained from Rh-negative volunteers who have been
deliberately sensitized to this Rh(D) antigen. The method of
preparation is the same as for human normal immunoglobulin
(WHO Technical Report, 1971; Woodrow, 1970).
Anti-HBs Immunoglobulin
A preparation of immunoglobulin containing antibody to

hepatitis B surface antigen is under investigation. This
antigen has been found to be associated with the carrier state
in hepatitis B, and the specific immunoglobulin, prepared
from selected donors who have been found by testing to have
the antibody, may be of value in preventing or modifying
serum hepatitis, e.g. in laboratory or hospital staff
accidentally exposed to infection with the virus, or possibly in
patients inadvertently transfused with hepatitis B surface
antigen-positive blood.
An important function of the plasma protein is to contribute to
the maintenance of blood volume. The protein which is
present in plasma in greatest amount is albumin and in
purified form it can be used as an alternative to whole plasma
as a volume expander.
2171
Albumin Preparations
An important function of the plasma protein is to contribute to
the maintenance of blood volume. The protein which is
present in plasma in greatest amount to albumin and in
purified form it can be used as an alternative to whole plasma
volume as a volume expander.
The albumin preparations for clinical use have been heated in
solution for 10h at 60°, which inactivates the virus of hepatitis
B. They thus have an important advantage over whole
plasma, but the disadvantage that their preparation is complex
and the yield is poor. A less pure albumin fraction, made by a
simplified fractionation procedure, has been developed which
gives a better yield at lower cost (Hink et al., 1957; Mealey et
al., 1962; Kistler & Nitschmann, 1962). It contains up to 10
per cent of proteins other than albumin but these are
sufficiently stable to withstand heating for 10h at 60°, without
serious denaturation.
Human Albumin Fraction (Saline), BP (Plasma

Protein Fraction, BP)
This product is dispensed in liquid form. The total protein

concentration is about 45g/l, and it exerts an osmotic pressure
equivalent to that of ACD plasma recovered from whole
human blood. Albumin, as determined electrophoretically,
forms at least 90 per cent of the protein present. The pH is
7.0±0.3 and sufficient sodium chloride is added to make the
solution isotonic. It contains in addition a stabilizing agent,
such as 0.004M sodium caprylate, which improves the heat
stability of the albumin and other proteins present.
2172
Storage
Protected from light; 2–25°.
Labelling
Additional to general requirements: (1) the total amount of

protein; (2) the concentrations of sodium, potassium and
citrate ions; (3) the nature and concentration of any protein
stabilizer
or other substance added; and (4) that the contents should not
be used if the solution is turbid or contains a deposit.
Human Albumin Fraction (Saline) may also be distributed in
freeze-dried form.
Uses
Similar to those of dried plasma except that it cannot be used

as a source of fibrinogen.
Human Albumin (Purified)

Purified albumin contains less than 5 per cent globulins as
determined by moving boundary electrophoresis. It is
prepared in the UK as a salt-poor freeze-dried product,
usually in 25g quantities. The fraction obtained by solvent
precipitation techniques is made up without the addition of
sodium chloride. The sodium content of the product must not
exceed 12mg sodium per g protein. For clinical use the
freeze-dried powder is reconstituted with Water for Injection,
or, at protein concentrations below 15 per cent Dextrose
2173
Injection, 5 per cent, giving a clear solution in less than
10min. In many countries purified albumin is distributed as a
salt-poor solution containing 20 or 25 per cent protein.
Storage and labelling requirements are similar to those for
Human Albumin Fraction (Saline), BP. The label must
include particulars of the total sodium content.
Uses
(1) As for Human Albumin Fraction (Saline) and (2) plasma

volume or protein replacement in any patients in whom
sodium intake is being restricted, for example in renal failure
not responding to diuretic therapy.
Iodinated (125I) Human Albumin Injection, BP
Human albumin labelled with a radioactive iodine isotope is

used for the determination of blood volume and for localizing
tumours and the placenta. The albumin used for
radio-iodination must meet the requirements for Human
Albumin BP and must in particular have been treated for 10h
at 60° to inactivate the virus of serum hepatitis. The British
Pharmacopoeia monograph for the product specifies a
maximum concentration of free radioactive iodide, and that
the label must state total radioactivity in microcuries or
millicuries, with the date of determination.
Plasma Substitutes
Certain obvious limiting factors and disadvantages are
inseparable from the use of human blood and plasma and their
derivatives. As a result many attempts have been made to find
2174
substances, mostly not of human origin, which could be used
to restore a depleted blood volume. Such a substance would
among other things, have to be nonantigenic, nontoxic,
completely excreted or metabolized and possess the property
of exerting a colloid osmotic pressure. Many substances have
been investigated, including gum acacia, modified globin
(derived from human haemoglobin), synthetic polymers such
as polyvinyl pyrrolidone, hydroxyethyl starch, modified
gelatin and dextran. Dextran and, to a lesser extent, gelatin
have been more widely used than any of the others.
Fluids in use or proposed as blood volume expanders,
including plasma and albumin preparations in addition to the
substitutes listed above, have been reviewed by Gruber
(1969).
Since Gronwall and Ingelman (1944) suggested that certain
polysaccharides of bacterial origin, known as dextrans, might
be used as volume expanders, these substances have been
extensively examined (see Squire et al., 1955; Gronwall,
1957; Segal, 1964). The dextrans are long chain polymers of
dextrose (D-glucose) in which the subunits are joined mainly
through a 1:6 glucosidic linkages. Dextran for clinical use is
produced commercially (Foster, 1968) by large-scale
fermentation, using a strain of the bacteria Leuconostoc
mesenteroides (National Collection of Industrial Bacteria No.
8710) specified in the British Pharmacopoeia. Dextran,
precipitated from the fermentation medium, and purified to
remove pyrogenic and antigenic substances, provides a
clinically useful volume expander similar to plasma in its
colloid properties.
2175
Dextran 110 Injection, BP
For therapeutic use it is desirable to have a dextran with a

relatively homogeneous molecular size and an average
molecular weight of 110,000. In the fermentation process a
polymer with a higher molecular weight is produced, which is
subjected to controlled hydrolysis, followed by fractionation
with ethanol or acetone. The final product should not contain
much material with a molecular weight above 2,40,000 as this
tends to aggregate and ‘sludge’ the erythrocytes in the
patient’s veins. On the other hand, dextran with too Iowa
molecular weight, below the renal threshold, will be excreted
rapidly. The distribution of molecular weight in Dextran 110
Injection is controlled by the following British
Pharmacopoeia tests:
1. Determination of the intrinsic viscosity of the material
precipitated by the addition of 4 volumes of 95 per cent
ethanol (intrinsic viscosity values are related to mean
molecular weight). A value within the range 0.27–0.32 is
required.
2. Determination of the intrinsic viscosity of the ‘top 10 per
cent’, i.e. of the material in the first 10 per cent of the total
dextran present to be precipitated when the ethanol
concentration is progressively increased. The intrinsic
viscosity for this fraction or ‘cut’ should not exceed 0.40.
3. A urinary excretion test in the rabbit. A high excretion rate
indicates an excessive content of material of too small a
molecular size.
Dextran 110 Injection is a solution of the polymer in Dextrose
Injection 5g/l, or in Sodium Chloride Injection, which has
been sterilized either by autoclaving or filtration. It is an
almost colourless, slightly viscous solution, which should not
2176
be used if it is cloudy, or if a deposit is present. Further tests
listed in the British Pharmacopoeia specify (1) the permitted
pH range,
(2) maximum permitted contents for heavy metals, acetone,
ethanol, nitrogen and reducing sugars and (3) maximum
sulphated ash. Tests for foreign protein and pyrogens are also
required.
Storage
Dextran 110 Injection in 5g/l dextrose stored below 25° will

retain its properties for at least 5 years. In Sodium Chloride
Injection, Dextran 110 stored at temperatures up to 40° will
retain its properties for at least 5 years.
Labelling
Additional to general requirements: (1) concentration of

dextran (2) the name of the solvent and (3) the strain of L.
mesenteroides.
Use
Emergency restoration of blood volume.

Large infusions of dextran have been reported to interfere
with blood coagulation; caution should therefore be exercised
if Dextran 110 is given to patients with a bleeding tendency.
Rouleaux formation may occur after large infusions of
dextran and complicate blood group and compatibility tests.
There are various ways of overcoming these difficulties
(Ricketts, 1966).
2177
Dextran 40 Injection, BP
This preparation has an average molecular weight of 40,000.

Small molecular weight dextran of this size has a specific
action in diminishing red cell aggregation (Gelin & Thorsen,
1961). Because of its small molecular size it exerts a
considerable osmotic pressure but the consequent expansion
of blood volume is brief, 75 per cent of the dextran being
excreted in 24h. Small molecular weight dextran is used to
promote blood flow in circumstances where this is
endangered, as in thromboembolic conditions.
The method of preparation, the appearance of the product and
the required control tests are similar to those described for
Dextran 110. Dextran 40 Injection should be stored at a
temperature not exceeding 25°; temperature fluctuations
should be avoided. Under these conditions, it may be
expected to retain its properties for at least 5 years.
A dextran solution with an average molecular weight of
70,000 is also used in the UK and in certain other countries.
Its properties in general are similar to those of Dextran 110.
Gelatin
Gelatin from bone or hides is subjected to controlled

hydrolysis to produce a material with a suitable molecular
weight. Gelatin solutions have been used on a limited scale as
volume expanders in the USA and have also been introduced
in some European countries.
2178
References
Berg R, Björling H, Berntsen K, Espmark A. Vox Sang.

1972;22:1.
Bidwell E. Brit. J. Haematol. 1955;1(35):386.
Bidwell E, Booth JM, Dike GWR, Denson KWE. Brit. J.
Haematol. 1967;13:568.
Biggs R, ed. 2nd Human Blood Coagulation, Haemostasis
and Thrombosis. Oxford: Blackwell Scientific Publications;
1975.
Biggs R, Macfarlane RG, eds. Treatment of Haemophilia and
other Coagulation Disorders. Oxford: Blackwell Scientific
Publications; 1966.
Blombäck M. Ark. Kemi. 1958;12:387.
Blumberg BS, Sutnick AI, London WT. J. Am. Med. Ass.
1969;207:1895.
Bowley CC, Dunsford I. 2nd Techniques in Blood Grouping.
Edinburgh: Oliver & Boyd; 1967.
Brinkhous KM, Shanbrom E, Roberts HR, Webster WP,
Fekete L, Wagber RH. J. Am. Med. Ass. 1968;205:613.
Cayser I, Dane DS, Cameron CH, Denning JV. Lancet.
1974;1:947.
Clarke CA. Lancet. 1968;II:1.
Cohn EJ, Strong LE, Hughes WL Jr., Mulford DJ, Ashworth
JN, Melin M, Taylor HL. J. Am. Chem. Soc. 1946;68:459.
Deutsch HF, Gostling LJ, Alberty RA, Williams JW. J. Biol.
Chem. 1946;164:109.
Dike GWR, Bidwell E, Rizza CR. Brit. J. Haematol.
1972;22:469.
Foster FH. Process Biochem. 1968;3:15. 55
Gelin LE, Thorsen AKA. Acta Chir. Scand. 1961;122:303.
2179
Greaves RIN. Medical Research Council Special Report
Series No. 258. London: HMSO; 1946.
Gronwall A. Dextran and Its Use in Colloidal Infusion
Solutions. Stockholm: Almquist & Wiksell; 1957. Oxford:
Blackwell Scientific Publications
Grönwall A, Ingelman B. Acta Physical. Scand. 1944;7:97.
Gruber UF. In: Oxtoby L, Armstrong RF, eds. Berlin:
Speinger-Verlag; 1969.
Hink JH Jr., Hidalgo J, Seeberg VP, Johnson FF. Vox Sang.
1957;2:174.
Janeway CA, Rosen FS, Merler E, Alper CA. The Gamma
Globulins. London: Churchill; 1967.
Jorpes JE, Blombäck B, Blombäck M, Magnusson S. Acta.
Med. Scand. 1962;171(Suppl. 379):7. Suppl.
Kekwick RA, Mackay ME. Medical Research Council
Special Report Series No. 286. London: HMSO; 1954.
Kekwick RA, Wolf P. Lancet. 1957;I:647.
Kistler P, Nitschmann H. Vox Sang. 1962;7:414.
Ling CM, Overbury LR. J. Immunol. 1972;109:834.
Mealey EH, Larsen LH, Dwyer RC, Mulford DJ. Vax Sang.
1962;7:414.
Medical Research Council Report. Lancet. 1969;I:163.
Mollison PL. 5th Blood Transfusion in Clinical Medicine.
Oxford: Blackwell Scientific Publications; 1972.
Newman J, Johnson AJ, Karpatkin MH, Puszkin S. Brit. J.
Haematol. 1971;21:1. 21
Oncley JL, Melin M, Richert DA, Cameron JW, Griss PM Jr..
J. Am. Chem. Soc. 1949;71:541.
Pollock TM. Human Immunoglobulin in Prophylaxis,. Brit.
Med. Bull. 1969;25:202.
Pool JG, Shannon AE. New Engl. J. Med. 1965;273:1443.
Prince AM. Proc. Natl. Acad. Sci., Wash. 1968;60:814.
2180
Public Health Laboratory Service Report. Brit. Med. J.
1968;3:203.
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Reesink HW, Duimel WJ, Brummelhuis HGJ. Lancet.
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Ricketts CR. Brit. Med. J. 1966;2:1423.
Schultze HE, Heremans JF. Molecular Biology of Human
Proteins.1. Amsterdam: Elsevier; 1966.
Segal A. The Clinical Use of Dextran Solutions. New York
and London: Grune & Stratton; 1964.
Simson LR, Lien DM, Warner CL, Oberman HA. Am. J. Clin.
Path. 1966;45:367.
Soulier JP, Blatrix Ch, Steinbuch M. Presse Med.
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Squire JR, Bull JP, Maycock Wd’A, Ricketts CR. Dextran. Its
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Webster WP, Roberts HR, Thelin GM, Wagner RH,
Brinkhous KM. Am. J. Med. Sci. 1965;250:643.
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WHO. Prevention of Rh Sensitization. 1971. Technical Report
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2181
* Synonyms: II = prothrombin; VII = stable factor; IX =
Christmas factor or antihaemophilic factor B; X =
Stuart-Prower factor.
2182
Chapter 40
Sutures and Ligatures
The use of strings made by twisting vegetable and animal
materials is described in the most ancient of surviving records
of the history of mankind. Animal skins, intestines and sinews
were used for musical instruments, bows and many other
items. Vegetable fibres, spun and woven, date back to
prehistoric times. Linen as spun strand was well known by
5000 BC and probably was first prepared long prior to this
date.
In surgery, susruta (1500 bc) records the use of ligatures for
tying umbilical cord and celsus in the first century ad
described the ligature as of ancient origin. In the highly
developed civilization of ancient egypt, surgeons closed
wounds with sutures. Galen (c. ad 200) used silk and hemp
cords as ligatures and also recommended the use of animal
gut. The term catgut is said to be derived from the gut used to
string a musical instrument known as a kit, an Arabic word
for a dancing master’s fiddle, hence kitgut. The Arabian
surgeon rhazes (c. ad 900) used harp strings made from sheep
intestine to repair abdominal wounds, but the use in surgery
of twisted animal intestines was not generally practised as the
patients nearly always became infected.
Ambroise Pare (1517–90) appears to have revived the use of
ligatures and there are numerous references in his works to
their use, particularly in amputations where he preferred them
to the cautery. His valuable work, however, appears not to
have been generally recognized and surgeons continued with
the old methods of the hot knife and searing iron.
2183
The credit for the reintroduction of catgut is given to P.S.
Physick (1816) house surgeon to J. Hunter, and later
Professor of Surgery in Philadelphia, but his observations,
and publications of other workers of the same period, did not
persuade surgeons to adopt the material.
It was not until 1869 that Joseph Lister, as a result of his
Observations on the Ligature of Arteries on the Antiseptic
System opened the way to the modern surgical suture
techniques. The first step had been to show that sepsis was
due to the growth of microorganisms from the site of
infection. From that time onwards the search to find means of
preventing infection has not ceased. The history of this work
applied to surgical sutures and ligatures during the past
seventy years is too large a subject for this chapter but the
investigations by a host of dedicated workers into hundreds of
different procedures has led to the highly efficient methods
being employed today.
For further details on the historical aspect, see Fandre (1944).
Although the terms ligature and suture are often used in the
same sense, and they are of the same material, there is
nevertheless a technical difference. A ligature is a thread used
to constrict and seal off a blood vessel, vein or artery—hence
to ligate. The thread is a suture when it is used to stitch
together the edges of various tissues, e.g. skin, fascia, muscle,
tendon, peritoneum, etc. Hence a needle is always used for a
suture (sewing) but not for a ligature.
Sutures and ligatures are classified as absorbable, or
nonabsorbable, depending on the materials from which they
are made.
2184
Absorbable
Absorbable sutures and ligatures are absorbed by the tissues
in which they are implanted, and the time taken for complete
disappearance is dependent on a number of factors which will
be treated more fully later in this chapter. Absorbable
materials are catgut (nonboilable and boilable), reconstituted
collagen, synthetic absorbable polymers, kangaroo tendon,
ribbon gut and fascia lata.
Nonabsorbable
Nonabsorbable sutures and ligatures are not absorbed by
tissue and, unless they are on the surface, remain in the body
after the wound has healed. Some, notably silk, fragment after
a long period of time; others are encapsulated by fibrous
tissue, while others remain as inert implants. The most
commonly used are silk, linen, nylon (polyamides), polyester,
polyolefines and stainless steel wire, and to a very small
extent: cotton, horsehair, human hair, silkworm gut and wires
of other metals, e.g. tantalum, silver, phosphor bronze, etc.
The polymeric materials are also used in the form of woven
meshes particularly for hernia repair and silk and nylon in
floss form have specialist uses also.
Mention should also be made of the use of clips (Michel,
Kifa, etc.) for surface application and the past few years have
seen a good deal of development, particularly in Russia and
the USA in the use of small wire staples (usually stainless
steel) which are implanted by means of stapling guns.
2185
Standards and Legal Requirements
for Sutures and Ligatures
Although the national pharmacopoeias of most countries
publish monographs on surgical sutures, the standards
nowadays for
EEC countries, Denmark, Sweden and Switzerland, i.e. the
signatories to the convention, are established by the European
Pharmacopoeia. Volume II of the first edition published in
1971 contained monographs for sterile catgut, sterile
reconstituted collagen strings and sterile nonabsorbable
strands including braided silk. Braided polyester, braided
polyamides 6 and 6/6, monofilament polyamides 6 and 6/6
and linen thread. Some amendments were introduced in
Volume III published in 1975 to approximate to the USP XIX
(1975).
Both these compendia have adopted a metric numbering
system whereby the gauge number applied to the suture
represents the actual diameter in tenths of a millimetre.
Previously a so-called conventional system was used and,
although in the case of the UK and the USA the sizes
represented were comparable, the values for diameter differed
between absorbable and nonabsorbable materials. The
conventional systems employed by other countries themselves
differed and there was a lack of flexibility as finer sutures
were developed for modern surgical techniques. (See table.)
Former conventional size
Metri Catgut/ Nonabsorbables synthetic
number collagen absorbables
0.1 − −
2186
0.2 − 10/0
0.3 9/0 9/0
0.4 − 8/0
0.5 8/0 7/0
0.7 7/0 6/0
1 6/0 5/0
1.5 5/0 4/0
2 4/0 3/0
3 3/0 2/0
3.5 2/0 0
4 0 1
5 1 2
6 2 3 and 4
7 3 5
8 4 6
Sutures have always been the odd man out as far as
legislation is concerned and have been classed sometimes as
‘drugs’ and sometimes as ‘devices’. In the UK the
manufacture and sterilization of catgut and other products of
animal origin became subject to control by licensing under
the Therapeutic substances Act in 1929 largely as a result of
the reports of T.J. Mackie and of Bulloch et al. This control
now extends to various ‘surgical materials’ of animal origin
and to synthetic materials capable of being absorbed.
The Medicines Act is in process of taking over from the
Therapeutic substances Act. Anomalies still remain however
2187
that in the meantime nonabsorbable materials of vegetable or
synthetic origin are not subject to such control.
Absorbable Materials
Surgical Catgut
Sterilized surgical catgut consists of a strand prepared from

collagen derived from healthy mammals purified and
sterilized. The most widely used source is the submucosa of
the small intestine from sheep or lambs and to a lesser extent,
the serosa from beef cattle. The length of ovine intestine is
about 20m and it is desirable in the preparation of surgical
catgut that the diameter of the intestine should not be more
than 18mm. A number of factors are important in the
selection of suitable intestinal material. Obviously intestines
will vary considerably depending on the age of the animal,
the pasture, climate, etc., and it is not uncommon to find that
intestines from some animals have been affected by scar
tissue and are not suitable for preparing surgical catgut.
Generally speaking the younger the animal the smaller its
intestine, and less likely to be affected by feed.
A number of manufacturers of catgut use only the first 8m of
intestine measured from the duodenum. In the meat trade such
intestines are described as ligature casings or runners.
In the slaughterhouse the gut is removed from the animal by
the gut pullers and is first of all cleaned to remove faecal
matter after which it is inspected, measured and then
preserved either in a frozen state or salted. The largest
supplies of intestines come from Australia and New Zealand
and the slaughterhouses in these countries are well equipped
to deal with the vast number of animals involved. The
2188
intestine of any cadaver is the most vulnerable to bacterial
attack and decomposition of this part of the body always
begins earlier than any other. It is, therefore, vitally important
that the slaughterhouse technique involves rapid cleaning and
freezing or preservation by other methods in order to keep the
bacterial growth as low as possible.
The ovine intestine consists of four layers (Fig. 40.1). The
outermost is known as tunica serosa or serous layer, much of
which is torn off in removal from the animal; next the tunica
musculosa made up of two layers, one longitudinal and the
other circular; the third layer is the tunica submucosa from
which catgut is prepared, and the innermost layer is the tunica
mucosa or mucous coat which is the wall to the lumen of the
intestine. The intestine receives its blood supply from the
mesenteric artery and being some 28 times the length of the
sheep itself is twisted into a mass of convolutions until near
its end where it ascends to join the colon.
Fig. 40.1 Diagrammatic section of intestine.
2189
The Medical research council Report on the preparation of
catgut contains interesting microphotographs of the
submucosal layer.
The manufacturer of surgical catgut receives intestines either
intact or rough scraped at the abattoir, made up as knots or
bundles which may be frozen, salted or in brine, and the first
step is to soak these in water to thaw out or to remove salt and
prepare them for splitting. It may be noted in passing that the
intestines destined for sausage skins are not split but are
cleaned and scraped in the tubular form and known as sausage
casings. This cleaning usually takes place in the abattoir and
the product is marketed in barrels or casts.
Splitting
The splitting or cutting operation is carried out by inserting

the curved horn of a cutting tool into the end of the intestine
and pulling the runner over cutting blades (Fig. 40.2). The
number of ribbons produced can be varied but is usually two
or three. The horn follows the curvature of the intestine and
therefore can be said to locate down the track of the
mesenteric vein, which is often called the rough side as
distinct from the upper part known as the smooth side. The
two parts of the intestine are kept separate throughout the
process as they behave in different ways physically and
chemically.
2190
Fig. 40.2 Splitting of intestine (Ethicon Ltd., Edinburgh).
Cleaning of submucosa
The next step is to remove the mucosa, muscle and any

remaining serosa, or, if the material has been cleaned in the
abattoir; the remnants of these layers, and this is facilitated by
treatment with alkaline solution. The general method of
scraping is to fix the ribbons in a frame or on suitable flat
surfaces so that the submucosa can be cleaned of unwanted
material (Fig. 40.3). Often this is carried out by hand and is a
very skilled operation. In other cases an apparatus known as a
sliming machine is employed.
2191
Fig. 40.3 Slimming machine for removal of mucosal and
muscular coats from the submucosa of intestinal ribbon
(Ethicon Ltd., Edinburgh).
When the ribbons are judged satisfactorily cleaned they are

cut to a predetermined length and assembled in multiples of
ribbons of the same type and mounted on to string loops at
either end. The number of ribbons will determine the ultimate
size of the spun strand.
Spinning
The apparatus used by manufacturers for spinning ribbons of

catgut is largely dependent on the manufacturer’s choice. The
number of hooks on the machine to which the string loops are
attached varies from 2 to 20. In some cases spinning takes
place from both ends of the strand and may take place
immersed in water or alkaline solution. The spinning of catgut
destined for surgical use is a highly skilled operation.
Multiples of ribbons which are overspun will tend to lack
2192
elasticity and will curl when dry. On the other hand, if they
are underspun the elasticity will be too great and the tensile
strength reduced. The angle of ply to the horizontal is to some
extent a guide as to whether a string has been properly
prepared, but many other factors can affect the ultimate
quality of the catgut. Because catgut is a biological material it
must of necessity vary considerably and no one animal
intestine is exactly the same as another. The spinning of
catgut is, therefore, still largely on art rather than a
mechanical operation. After spinning, the catgut is mounted
on drying frames, the conditions of drying time and humidity
being carefully controlled. The resulting strand of dried catgut
is known at this stage as raw catgut and is usually between 3
and 5m long.
Polishing
strands of catgut can be prepared with such care and attention

to manufacturing detail that they will vary only slightly in
diameter and need only a light manual polishing, but more
usually the manufacturer employs a technique which
produces an approximate size and then polishes or grinds the
string to a predetermined diameter. This process is achieved
by means of machines, either by rotating the strings while a
carriage bearing an abrasive paper moves to and fro along
their length, or by using a pair of grinding wheels similar to
those employed by engineers and setting the wheels the
required distance apart. Both methods have to be very
carefully controlled to avoid damage to the plies of the strand
with consequent loss in tensile strength. The finish, moreover,
must be such that the gut is neither ‘whiskery’ nor so smooth
2193
that the surgeon’s knots will slip and cause the wound to
re-open.
Gauging
The methods of gauging carried out by various manufacturers

vary with their own particular preferences, but the final
control instrument for checking diameter is a gauge of the dial
reading type, in which the details of pressor foot and weight
loading are specified (Fig. 40.4). As the diameter of catgut
will vary with the relative humidity of the atmosphere, the
control test as laid down is the diameter in a relative humidity
between 60 and 80 per cent and at a temperature between 16
and 21°C.
Fig. 40.4 Baty gauge (London Hospital Ligature

Laboratories).
The normal gauges used in British surgery vary from the

finest size 1 in ophthalmic work to the thickest, size 7, which
is occasionally used for specialist surgery.
2194
Standards
Length: This is determined immediately after removal of the

strand from its container and is measured without stretching.
The length must be not less than 90 per cent of the length
stated on the label.
Tensile strength: The test is carried out on a machine of the
deadweight type, having a movable jaw with a constant rate
of traverse of 30cm/min, and a capacity so that when the
strand breaks, the angle which the pendulum arm makes with
the vertical is not less than 9 and not more than 45. The clamp
heads are specially designed and any strands breaking within
12.5mm of the clamps are disregarded. The strands are tested
within 15 min of removal from their container and in a
temperature between 16 and 21°C and in an atmosphere in
which the relative humidity is between 60 and 80. As catgut is
inevitably knotted in the patient, the test is always carried out
on strands in which a surgeon’s knot (Fig. 40.5) has been
formed at a point midway between the two clamps. The knot
strength is approximately half of the figure which would be
obtained on an unknotted sample.
Fig. 40.5 (A) Surgeon’s knot (sample knot tied on double

knot); (B) nylon knot.
2195
Labelling: The label on or in the container must state by
indelible marking or perforation the length of the strand, the
gauge number, whether the strand is plain, hardened or
chromicized, and that the container should not be subjected to
heat treatment. The label on the box must state the name and
percentage of any bactericide in the fluid in which the sutures
are immersed.
Storage: sterilized surgical catgut should be protected from
light and stored in a cool place.
Packaging: The British Pharmacopoeia states that sterilized
surgical catgut is packed either in glass tubes sealed by fusion
of the glass, or in other suitable containers which once opened
cannot be resealed. Although glass tubes are probably the
ideal method of packaging surgical sutures in that they are
transparent, inert and impermeable, they are nevertheless
regarded as a nuisance in the operating theatre because they
have to be broken, and a large variety of flexible packages
based on aluminium foil or plastic films which can be torn
open, have in the past few years tended to replace glass. The
bottle packs, which are still used to some extent in continental
Europe, in which a continuous length in the form of a cocoon
of catgut is packed in ingenious dispensing devices, is
considered to introduce an element of risk of contamination,
and this form of packing is no longer used in Great Britain.
Sterility testing: The Therapeutic Substances Act in Great
Britain lays down the fundamental required for
bacteriological testing of surgical catgut. Definitions are
given of the term batch, the percentage of samples from each
batch which are to be tested and broad definitions of the
media and incubation times to be employed. The technique to
be adopted where any bactericides present are liable to inhibit
growth in the medium is specified. The medium is so
designed that it will detect the presence both of aerobes and
2196
anaerobes. If after an incubation period of 14 days no growth
or microorganism is found in any tube, the sample may be
regarded as having passed the test. If growth of
microorganisms is found in any tube a further sample may be
taken from the batch and the test repeated. If no growth
occurs the sample shall be regarded as having passed the test,
but if any microorganism is found the batch is treated as not
sterile.
Sterilization of Catgut
Lister’s work on catgut in 1869 using aqueous phenol and

later phenol and olive oil was the forerunner of antiseptic
technique applied to sutures. His experiments and resulting
papers stimulated work in which a very large number of
chemical compounds were investigated with varying success
to bring about a reduction in the number of microorganisms
present in surgical catgut.
The variety of substances employed was very numerous and
is surveyed in detail in the Medical research council report on
The Preparation of Catgut for Surgical Use (Bulloch et al.,
1929). Bulloch checked the efficacy of a large number and
found most to be of very doubtful value. As with most newly
presented ideas each substance had its adherents and at a time
when a large number of hospitals preferred to sterilize their
own catgut sutures there were bound to be failures and many
patients became infected as a result. The preparation of bulk
sterile material by present day skilled technological methods
was, before 1929, in its infancy and the problems of
inactivating microorganisms in catgut were not then fully
appreciated.
2197
Mammalian intestine in the living animal is normally
relatively free of microorganisms but immediately after death
growth of microorganisms proceeds at a very rapid rate.
Conditions in slaughterhouses, however clean, are, moreover,
not conducive to aseptic techniques and the intestines
inevitably carry a large bacterial population. The freezing or
salting of the material inhibits further growth but does not kill
these organisms. Staphylococci, streptococci, with a large
proportion of Streptococcus faecalis, and Escherichia coli are
commonly found in intestinal material but although a number
may be pathologically significant they are relatively
susceptible to sterilizing techniques. Even if they survive the
manufacturing process, many would be killed by the alcohol
in the final container. Sporing aerobes mostly nonpathogenic,
such as Bacillus subtilis and its phage type, used to be known
as B. mesentericus ruber, or the catgut bacillus, are very
numerous, but the potentially dangerous organisms are
Bacillus anthracis and the anaerobic spore bearing types,
among them Clostridium sporogenes, C. tetani, and C.
welchii. The spores of both aerobes and anaerobes are not
easily killed, the aerobic types being generally more resistant.
The fact that they revert to the spore form if conditions for
growth are unsatisfactory further complicates the situation.
The difficulty is exacerbated by the structure of the catgut
strand where ribbons twisted together will carry any
contamination throughout their whole cross section and at the
centre of the string any organisms are well insulated. The
successful means of attack on these microorganisms is by
either chemicals (liquid or gaseous), heat or radiation. The
choice of method must, however, be related to other
desiderata. It is useless, for instance, to use a method to
sterilize the material which will ruin its physical
characteristics such as tensile strength and absorbability.
2198
Ideally, the aim will be to interfere as little as possible with
the inherent structural advantages of collagen as a strong,
flexible and elastic fibre that will be absorbed by the body in
a surgically acceptable manner.
The three methods will now be discussed in further detail.
Chemical sterilization
The chemical method must employ a material which is

sporicidal as distinct from bactericidal. Most inorganic or
organic compounds in common use as antiseptics,
disinfectants or bactericides are active against
microorganisms in the vegetative phase. certain products such
as the quaternary ammonium compounds are even more
limited in that they are specific, i.e. they will kill
Gram-positive organisms and leave Gram-negative types
unaffected. Other preparations will be effective against most
organisms but certain genera will not be killed and, most
important of all, none of these compounds are sporicidal and
are therefore useless in bringing about sterility in catgut.
The available sporicidal compounds are, in fact, relatively
few. The main substances are formaldehyde, hydrogen
peroxide, hypochlorite, glutaraldehyde, ethyl iodide, methyl
bromide, iodine, ethylene oxide and β-propiolactone. Of these
still fewer are suitable for commercial sterilization of catgut.
Histological techniques employing formalin introduced about
1893 led to its application to catgut sterilization by
Cunningham (1895). Although a number of workers
demonstrated that formaldehyde solutions of the order of 5
per cent for prolonged periods were necessary to destroy
anthrax spores and that this treatment seriously affected
catgut, the ‘formalin period’ lasted for about 15 years and
2199
there is little doubt that a great deal of unsterile material was
used. The resulting catgut, moreover, was so hardened that its
absorption in the body was considerably delayed and its
tensile strength much reduced.
Hydrogen peroxide will effectively sterilize catgut but results
in a material which is of poor quality. The compound has,
however, sometimes been used to improve the colour of
catgut by treating the collagen in the ribbon form, i.e. before
spinning.
Solutions of sodium or potassium hypochlorites although
sporicidal, particularly in acid solution, are not suitable for
catgut as their penetrative power is very poor and the catgut is
unduly swollen and of poor tensile strength.
Glutaraldehyde behaves very much in the same way and is
only active in sodium bicarbonate buffered solutions. The
solution only retains its sporicidal activity for about two
weeks.
Iodine remained, as the only suitable chemical for large scale
commercial sterilizing of catgut. Ethyl iodide and methyl
bromide in alcohol and mixtures of iodine and iodine
trichloride have also been used.
Basically the process consisted of immersion of standard
lengths of catgut wound on frames or reels in a carefully
standardized aqueous solution of iodine, potassium iodide and
potassium iodate, the pH being rigidly controlled. The catgut
must absorb about 12 per cent of its own weight of iodine and
when this has taken place the catgut is transferred
from the solution and excess iodine removed by sterile
solvent often containing a bacteriostatic. The sterile strands
are then transferred under aseptic conditions to their final
container, sterile fluid is added (usually 95 per cent ethanol or
90 per cent isopropanol) and the container sealed. Processes
involving ethyl iodide or iodine and iodine trichloride are
2200
carried out in alcoholic solution but in other respects the
process is similar to the aqueous method.
Ethylene oxide may be employed as a sterilizing agent in the
gaseous form or in solution. The important factors to be
controlled are concentration, moisture time and temperature
employed. It is an explosive gas and is usually supplied
mixed with carbon dioxide or freon. The process is usually
monitored with spore strips of B. subtilis var. niger (B.
globigii). Care must be taken to limit the residual ethylene
oxide in the suture material. It is usually necessary to carry
out an aseptic procedure for filling and sealing the final
container.
Heat Sterilization
Raw catgut contains 12–25 per cent by weight of combined

moisture, depending on storage conditions. Heating above
80°C will result in hydrolysis of the collagen and the resulting
gelatine or glue would render it useless for surgical purposes.
All heat sterilizing processes, therefore, are based on the
fundamental necessity of removing this combined moisture
before the strings can be raised to sterilizing temperature of
150–165°C. The process varies with different manufacturers,
but basically consists in inserting gauged standard lengths of
coiled catgut into glass tubes which are then plugged, placed
in ovens and the strings dehydrated by gradually raising the
temperature. Baskets of tubes are then placed in a sterilizing
chamber and the catgut covered with an organic fluid of high
boiling point and the temperature raised to about 160°C.
Alternatively, the tubes are subjected to the vapour of the
organic fluid usually toluene or xylol under pressure, the
temperature again being held at about 160°C for a suitable
2201
time. Any condensed fluid is removed by a further heating
period. Most variations in the methods have been aimed at
reducing the fire and explosion hazards and at the same time
producing a more acceptable catgut.
After sterilizing the tubes are allowed to cool and are then
drained if necessary. The catgut at this stage is very brittle
and could not be used in surgery. Under full aseptic
conditions a suitably hydrated sterile alcoholic fluid is added
in order to put back the necessary moisture and the tubes are
sealed. This is the origin of the term tubing fluid, which is still
used by many manufacturers even though the tube has been
replaced with other forms of pack. After a few days the catgut
is sufficiently rehydrated to be usable.
Boilable catgut: Although catgut in Great Britain is now all of
the nonboilable type, up to a few years ago a boilable variety
was prepared by some manufacturers. The term was used to
indicate to operating theatre staff that the external surface of
the tubes could be sterilized by boiling in water.
Boilable catgut was prepared by the heat sterilizing method
outlined above but instead of adding a hydrated tubing fluid
the strands were immersed in a nonaqueous compound such
as toluene. The catgut, when removed from the tube, was
hydrated by the operating theatre staff by soaking it in sterile
saline or water some time before it was required for use.
Radiation Sterilization
Currently by far the most commonly employed method of

sterilization for sutures is that of irradiation by electron
particles or by gamma rays. More than 50 per cent of the
suture companies in Europe use this process. Whilst the
original commercial method in 1957 made use of electron
2202
machines, since 1961 most suture manufacturers now employ
gamma radiation usually from cobalt 60 sources. The
recognized sterilizing dose for sutures is 2.5 megarad. The
method has the advantage that sterilization is effected in the
final sealed container, indeed some manufacturers apply it to
the complete sales package.
Reconstituted Collagen
The limitations on length imposed by the length of intestinal

material combined with the natural biological variations in
thickness and character have led manufacturers to search for
many years for a means of overcoming these disadvantages.
Collagen is available from a large number of sources. It is the
major constituent of skin, tendon, ligament, etc. As a protein
built up of some 11 amino acids, it is partially soluble in
acids. The basic process has been to obtain an acidic solution
of collagen prepared from hides or tendons which can be
extruded into a coagulating solution and the resulting fibres
oriented by stretching. The filaments can then either be spun
or rolled to make up the necessary sizes of strand required.
Reconstituted collagen is produced mainly in the finer sizes
0.5, 1 and 2 for ophthalmic and cuticular surgery.
Synthetic Absorbable Material
The search for evenness and continuous length has also been
pursued among synthetic organic compounds. A number of
patents have been obtained for filaments produced from the
polymerization of certain lactides, hydroxy acids, etc. and two
such products are gaining acceptance in surgery. The USP
XIX describes absorbable surgical suture as ‘a sterile strand
2203
prepared from collagen derived from healthy mammals or
from a synthetic polymer’.
Kangaroo Tendon
This absorbable material consists of the tail tendons of the

wallaby. The tendons, which were usually preserved with
naphthalene, were prepared and graded into various sizes, e.g.
fine, medium, and stout. Lengths were 30–40cm. They were
sterilized as for catgut and their main use was for hernia
repair and bone surgery. This material is virtually
unobtainable today.
Ribbon Gut
Ribbon gut as its name suggests is in the form of ribbon

approximately 12mm wide and usually about 45cm long. Its
use is limited but is preferred by some surgeons for the repair
of large ventral herniae and in the closure of the kidney after
nephrotomy. The material is prepared from bovine
oesophagus and is sterilized in the same way as catgut.
Fascia Lata
This may be excised from the patient, or prepared from

bovine thigh muscle, cleaned and sterilized. It is supplied in
lengths of about 30cm×6mm wide and is used surgically for
hernia repair, urethral slings, etc.
2204
Absorption of Catgut in the Body
Catgut is used in surgery because it is capable of being
absorbed by animal and human tissues. This concept was
propounded by Lister who recognized that the continued
presence of a nonabsorbable material presented a focus for
infection. The term absorption is often wrongly used to
describe the loss of tensile strength of holding power of the
suture in the wound and this is more rapid than the
disappearance of the material itself. Formerly, terms such as
10 day, 20 day, 30 day and even 40 day were applied to
catgut sutures. The basis for such claims was never stated and
indeed in 1940 Holder showed that in the case of iodine
sterilized catgut the terms were meaningless since the
hardening effect of the iodine process was greater than that of
any treatment applied to catgut. These descriptions are now
obsolete although they occasionally occur in surgical papers.
When the term 20 day is used it is taken to refer to the
presentday ‘medium chromic material’. Medium chromic,
now often abbreviated to ‘chromic’, or hardened material is
catgut which has been subjected either in the ribbon form or
as a string to a mild basic chrome tanning.
Lawrie (1955), working mainly with heat sterilized material
implanted in the lumbar muscle of the rat, followed the rate of
loss of tensile strength and evolved the concept of Half
Strength Time (HST) which was the time required for the
strength of the material to be reduced to 50 per cent of its
original strength in vivo. Plain catgut was shown to possess a
HST of 5–7 days and to reach zero strength in 3–4 weeks,
while medium chromic catgut had a HST of 19 days and took
about 5 weeks to reach zero strength.
2205
The process which takes place in the body when catgut
implants are made has been extensively studied by
histological observation from the day after insertion of the
material up to its complete disappearance in the tissue
(Lawrie et al., 1959, 1960). It is undoubtedly the reaction of
the tissues to the foreign body protein that brings about what
is termed the absorption process. Although catgut prepared
and sterilized by different methods tends to show different
behaviour in the body, nevertheless the general histological
picture is similar.
At first, around the site of the implant there is a fairly rapid
gathering of polymorphonuclear leucocytes together with
varying proportions of a fibrinous exudate. These cells are
evident as early as one day after implantation of plain catgut
which tends to excite a greater reaction in the tissue than
chromicized material which does not begin to attract
polymorph formations until up to 10 days after implantation.
It should be understood that tissue reaction, i.e. inflammation,
is the inevitable result of leucocytic concentrations (pus).
With plain catgut the polymorph phase begins to die down
after about 5 days and there is an increasing accumulation of
macrophages, by which time the catgut is considerably
fragmented and any ultimate suture material is absorbed by
phagocytosis.
With chromic catgut the mechanism is not necessarily exactly
the same although with certain types of suture material very
little difference can be observed. Where a difference is
present the longer absorption usually involves fragmentation
by phagocytes, histiocytes and foreign body giant cells. These
observations do not, of course, explain why the catgut
disappears and although a considerable amount of research
has taken place, the actual proteolytic enzymes responsible
have not been isolated. At present the leucocytes or
2206
histiocytes themselves are believed to carry their own
proteolytic enzyme system, and at one time this was thought
to be very closely related to α-chymotrypsin. The cellular
reaction varies somewhat in different animals but the process
in the rat is very similar to that which occurs in human tissue
although absorption periods are somewhat longer. Very many
attempts have been made by manufacturers of surgical catgut
to try to relate the in vivo absorption of catgut to a
standardized in vitro control. These latter methods have
generally been based on exposing catgut to standard solutions
of proteolytic enzymes such as trypsin, pepsin, papain, etc.,
and although the results obtained are of some practical use, it
has not been possible to incorporate them into a reliable
system of evaluation.
Nonabsorbable Sutures
Silk
Silk consists of strands prepared from filaments of the cocoon

spun by the silkworm of the Bombyx family before it enters
the chrysalis stage. Three forms are used in surgery—twisted
(sometimes known as Chinese twist), floss and plaited or
braided silk. Silk in its natural state contains up to 25 per cent
of natural gum and strands prepared from this are described as
undischarged. Twisted silk suture material is prepared from
unbleached, undischarged filaments spun in multiples to the
British Pharmaceutical Codex range of diameters and may be
dyed with nontoxic dyestuffs. The surgical use of twisted silk
has very much declined in favour of the braided type.
Floss silk is prepared from the coarser filaments on the outer
surface of the silkworm cocoon and is used in its spun glossy
2207
white form mainly in the repair of herniae. Its use is
diminishing fast as the plastic polymer meshes gain in
popularity.
Plaited or braided silk is the material in large-scale use in
modern surgery. It is prepared from discharged silk and the
range of sizes is dependent on the number of strands braided
together. As the gum has been removed it is not serum proof
or noncapillary and for most surgical purposes it is therefore
treated with proofing waxes or silicones.
Silk is identified chemically by warming with mercuric nitrate
solution when a brick-red colour is produced and it is stained
yellow by trinitrophenol solution. Silk, because of its
strength, softness and general ease of handling is used in
many sites of surgical operation, the fine strands being
particularly suited to ophthalmic and neurosurgery. Silk
sutures are classified as nonabsorbable in the body and are
normally encapsulated by fibrous tissue. However, many
cases have been reported where after a considerable length of
time the silk has fragmented or even migrated from the
original site of implantation.
Silk is sterilized either by autoclaving, which causes a certain
loss in its tensile strength, or by radiation or ethylene oxide
sterilization.
It is normally supplied by suture manufacturers to comply
with the monographs published in the British Pharmaceutical
Codex.
Linen
Linen sutures consist of selected fibres made into a twisted

strand from flax (Linum usitatissimum). The strand is
normally prepared by spinning three cords together, the size
2208
of the cords being chosen to produce the ultimate desired
gauge of thread. For surgical use it must be firmly and evenly
spun and free from fuzziness. Identification is by microscopic
examination.
Linen may be dyed with any nontoxic dyestuff but although a
certain amount of black thread is used the majority of
surgeons prefer off-white or ivory colour.
It is extensively used in many surgical techniques and
frequently needs to be rendered noncapillary and serum proof
by treatment with suitable proofing agents similarly to
braided silk.
It can be sterilized by autoclaving or ethylene oxide.
Radiation sterilization does however cause a considerable loss
of strength.
It is the subject of a monograph in the British Pharmaceutical
Codex to which all British manufacturers conform.
Polyamides
In the UK these polymers are better known by the word nylon

but as this is a registered trade mark in certain European
countries, it is likely that the word polyamide will be used in
the future. These compounds are formed from the
polymerization of the reaction product of an acid and an
amine. Hitherto, they have been known by suffixing the word
nylon with a number, e.g. Nylon 6, Nylon 66, Nylon, 10, 11,
12, etc. Polyamide 66 is formed by the combination of
hexamethylenediamine and adipic acid. Polyamide 6 is
formed by the polymerization of caprolactam.
All the polyamides and suture materials are produced by an
extrusion process, the size of the orifice on the extruder head
determining the size of the filament. The bulk of the material
2209
used in surgery is produced in the form of monofilament. Its
main use is in skin suturing although it is sometimes used
internally. Polyamide mesh finds a use in hernia repair.
Finer filaments of polyamide are braided together to form
braided nylon on nonabsorbable surgical sutures.
Monofilament polyamide is normally coloured with
distinctive nontoxic dye stuffs or pigments in order to
improve its visibility. It may be sterilized by autoclaving, by
ethylene oxide or by radiation treatment, but is incompatible
with phenol and its homologues and other phenolic
substances. The knotting of polyamide requires a special knot
(Fig. 40.5).
Polyester
This suture material is usually prepared in the plaited or

braided form and consists of filaments prepared by
polymerizing the ester formed by a combination of ethylene
glycol and terephthalic acid. In its commercial form it is
known under the trade marks Terylene (ICI) and Dacron (Du
Pont). The number of filaments in the braid determines the
size of the completed strand.
The polymer has a softening temperature of not less than
255°C and may be sterilized by autoclaving, ethylene oxide or
radiation treatments. In order to improve its visibility in tissue
it is often dyed or pigmented with nontoxic materials.
Stainless Steel Wire
Stainless steel wire has largely replaced the various wires

which have been used in surgery in past years, such as silver,
tantalum, phosphor bronze, etc. It is supplied for surgical
2210
purposes in three forms, namely, monofilament, twisted and
plaited or braided. The British Pharmaceutical Codex
includes monographs on all three types and lays down
standards for diameter and tensile strength.
In all three cases the wire is prepared from austenitic
chromium–nickel stainless steel and is fully annealed. The
austenitic steels are nonmagnetic and only capable of being
hardened by cold working. The wire is made to British
Standards Specification 4106:1967.
It may be sterilized by dry heat, autoclaving, ethylene oxide
or radiation but it is important that the wire should be fully
degreased when heat treatment is used.
Its main use is in orthopaedic work, but very fine wire is also
used in plastic surgery and for repair of tendons.
Suture Clips
Michels and Kifa clips are used to some extent for long skin
wound approximations and find a considerable use in research
work on animals where they are less irritating in the skin
surface than sutures.
Wire Staples
A considerable amount of experimental and clinical work is

now being carried out, particularly in the USSR and the USA,
on the use of very small wire staples, usually of stainless
steel. The field of investigation is very wide and papers have
been published on their use in orthopaedic, cardiovascular
and arterial work and in the USSR. The results of many
thousands of cases of gastric resection have been reported.
2211
Surgical Needles
Whenever a suture is required to close a wound, needles to
arm the suture material are necessary. The number of sizes
and the variety of different shapes of needles run into many
thousands. The range supplied by manufacturers is usually
classified into types for specific surgery, as for example,
arterial, general purpose, intestinal, obstetric, ophthalmic,
plastic and retention. Shapes are designated as: straight,
curved, 1/2-circle, 5/8-circle, etc., and the sections as round
bodied, triangular cutting edge, triangular reverse cutting,
cutting point and trocar point. In addition the length of the
needle from point to hilt is specified in millimetres and the
hilts are designed to take the various diameters of suture
material employed. Needles are chosen by the surgeon to suit
his operating technique and it is largely because of the
surgeons interest in improving suture efficiency that the
development of surgical needles has taken place. In very
many cases the surgeon himself has caused needles to be
made to his own design and a large number of commonly
used needles are referred to by the name of the inventing
surgeon.
Surgical needles are of two types; those which have an eye
through which the suture is threaded, and eyeless needles
where the suture is inserted into the hollow hilt and held in
position by swaging the metal around it. The first patent on an
eyeless needle was obtained by the late Sir Henry Souttar in
1921, but in the UK their use has only increased appreciably
in the past few years. In the USA 70 per cent of the suture
needles are of the eyeless type.
The needles themselves are made either of stainless steel or of
carbon steel, the latter usually being plated to resist corrosion.
2212
At one time the carbon steel needle had a better resistance to
bending than its counterpart in stainless steel, but recent
technological advances have improved stainless steel needles
and they now compete in strength with carbon steel and have
the added advantage that they will not corrode and do not
present the surgeon with the dreaded emergency of having to
locate and extract the broken point of a needle embedded
somewhere in the tissues of an unfortunate patient.
References
Bulloch W, Lampitt LH, Bushill JH. The Preparation of

Catgut for Surgical Use. 1929. Medical Research Council
Special Report, No. 138
Cunningham RH. New York Med. J. 1895;61:494.
Dawson JO, Roylance TW, Smith T. J. Pharm. Pharmacol.
1964.(16):121T.
Fandre A. Le Catgut. Paris: Masson et Cie; 1944.
Holder EJ. Desirable Factors in Surgical Sutures. William
Blackwood & Sons Ltd: Edinburgh; 1946.
Lawrie P. Studies in the Absorption of Surgical Catgut.
William Blackwood & Sons Ltd: Edinburgh; 1955.
Lawrif P, Angus EA, Reese AJM. Br. J. Surg. 1959;46:638.
Lawrif P, Angus EA, Reese AJM. Br. J. Surg. 1960;47:551.
Lister J. Lancet,. 1869;i:451.
Mackie TJ. An Inquiry into Post-operative Tetanus—A
Rreport to the Sscottish Board of Health. 1928.
2213
Section VI Formulation and Packing
2214
Chapter 41
Formulation
It is only on relatively few occasions that a drug, as such, may
be directly administered to a patient. Usually, the medicament
must be mixed with adjuvants, stabilizers, preservatives, etc.,
and subjected to various processes to give a practical dose
form: in other words the medicament must be formulated. The
practising pharmacist is ethically and legally required to
supply medicines complying with accepted specifications and
for this reason must be aware of the relevant formulation and
storage requirements for those medicines. These requirements
are likely to be particularly stringent for the complex, more
recently developed, medicaments, but care is needed even
with apparently simple products such as aspirin tablets if all
the main aims of formulation are to be satisfied. These aims,
not in order importance, are that the product shall be:
1. economical for large scale manufacture,
2. acceptable,
3. chemically and physically stable,
4. correctly packaged,
5. preserved against microbial contamination,
6. able to provide correct dose of drug, and
7. therapeutically effective.
Economic Large-Scale Manufacture

Earlier formulation studies will have established the main
product requirements and possible means by which these may
be achieved. Difficulties may arise when bench or even
2215
pilotscale methods are translated to full commercial
production; Oldshue (1961), for instance, has discussed
scale-up problems for solid/liquid mixing processes.
Particular attention must be given to those processes, which
are prolonged on the industrial scale. It may be necessary, for
instance, to pass a stream of nitrogen or other inert gas
through an industrial comminutor if the drug is heat or
oxygen sensitive and its transit time in the equipment is long.
Heat-up and cool-down times for a manufactured batch may
be increased by a large factor compared with bench
experiment, and a degradative reaction that may be ignored
during initial studies may assume crucial importance on the
large scale. Theoretical treatment of the problem leads to
mathematical difficulties (see Eriksen et al., 1958), but even a
small additional loss, regardless of cause, could be significant
within the context of the overall degradation during the life of
the product and it may be necessary, for instance, to install
cooling coils within the processing vessel. Alternatively, new
equipment might be purchased or a completely original
production facility designed. These points require a good
knowledge of pharmaceutical engineering and the resources
available to the particular organization, as well as an
awareness that equipment and manufacturing costs must bear
a reasonable relation to the expected throughput and selling
price of the product.
Acceptability
A product must be acceptable to those who handle or use it.
The doctor, for instance, will note those features of a product
that facilitate its administration to the patient. An injection
that is so viscous that it cannot readily be drawn into the
2216
syringe is unlikely to attract continued use if an alternative
more readily administered product is available. Ultimately, it
is the patient who uses a product. The success of a treatment
often depends on strict adherence to a given dose regimen that
may extend over a considerable period of time. The patient
may well find, for example, a gritty ointment or an
unpalatable mixture, completely unacceptable, and may
abandon treatment or ask the physician for an alternative form
of the drug.
Flavour and Perfumes
These are available to the formulator as concentrated extracts

and alcoholic or aqueous solutions or they may be adsorbed
on powder carriers or micro-encapsulated. They are usually
mixtures of natural and synthetic materials; concentrated fruit
extracts or juices are used to prepare fruit syrups. Volatile oils
still find use although their solubility tends to be limited by
the terpene fractions. These may be removed and the
deterpenated oil is more soluble in water and dilute alcohols,
has a finer flavour lacking the terpene overtones, and is some
2–8 times stronger than the original oil. Short (1960) makes
the point that removal of terpenes leads to a less readily
oxidized oil. Some flavours, and most perfumes, tend to
‘disappear’ when first added to a product but develop their
full effect later. When deciding the optimum level at which to
use these materials, products having a range of concentrations
should be prepared and assessed after a short period of
storage.
Only the bitter, sweet, salt or acid elements of a flavour are
perceived by the taste buds of the tongue, all other flavours
and perfumes being recognized by smell. A heavy cold causes
2217
almost complete obliteration of taste and smell. As
water-insoluble materials have little or no taste, unpleasant
drugs may be rendered more acceptable by administration as
a water-insoluble
derivative—a classical example is chloramphenicol
palmitate—although acceptability obtained in this way may
cause problems of sedimentation, bioavailability, etc. If an
insoluble derivative cannot be used, a strong perfume or
flavour may be required to mask an unpleasant drug but there
is the high probability that a strong identifiable perfume or
flavour, initially acceptable, may eventually be actively
disliked if the treatment is prolonged. It must be remembered
that the preferences of the sick adult or child do not
necessarily coincide with, and are likely to be more capricious
than those of the healthy subject. Where possible it is
probably better to use a neutral but nevertheless pleasant and
effective flavour or perfume that is not recognized by the
patient. The problems of flavouring are most acute for
paediatric preparations where a very strong flavour may itself
cause nausea and vomiting. Few situations are more difficult
than the firmly shut mouth of a child refusing to take a
medicine.
There are associations between colours and flavours, e.g.
yellow with lemon, red with cherry, etc. and between
flavours, e.g. acids with citrus flavours. It is generally true
that lime flavour, for instance, is more appropriate to a pale
green, faintly acid product than to one which is neutral and
coloured red. With the wide range of flavours available to the
formulator it is not surprising that there has been a tendency
for the traditional materials to be ignored but there is still a
case for the judicious use of pharmaceutical substances such
as oils of dill and caraway, and oleoresins of capsicum and
ginger, particularly in those situations where their carminative
2218
action may be useful in allaying any gastric upset caused by
the drug. A persistent flavour of the chocolate type, or the
local anaesthetic action of menthol, pure or in peppermint oil,
is particularly effective in covering bitter unpleasant tastes—a
combination of both may be tried if the taste of ferrous salts
must be masked. Charnicki and Kober (1957), in describing
all stages of the flavouring trials for an aqueous oral
penicillin/sulphonamide product, noted that a flavouring
agent may also adversely affect product stability. Vanillin
accelerated decomposition, whereas clove and aniseed were
without effect. As will be seen, sulphur dioxide used to
preserve fruit juices and syrups against microbial spoilage has
been implicated in the fading of colouring substances.
Apart from flavouring it may be necessary to cover a bitter
taste by means of a sweet vehicle. While sucrose is likely to
remain the most widely employed sweetening agent, glycerin
and chloroform may be of value and have preservative action
in sufficient concentration. Alternatively, given suitable
preparations, honey, liquorice and treacle have useful
sweetening action. Soluble saccharin (the sodium salt) is said
to have a less obtrusive bitter after-taste than saccharin itself
and, depending on concentration, is about 200–700 times
sweeter than sugar; it is best used in conjunction with sugar at
trial concentrations of 0.02–0.05 per cent. The cyclamates are
20–30 times sweeter than sugar but until their freedom from
toxicity has been completely established it would be wise to
avoid their use in formulation. Sorbitol is recommended as a
replacement for sugar in diabetic preparations but has only
half the sweetening power, is more expensive and is said to
have some laxative action. It is converted to fructose in the
liver and is contraindicated where there is intolerance to that
sugar. It may be noted also that lactose used in tablets may
give trouble with galactosaemic patients. These problems are
2219
most acute for children where the dose of carbohydrate
related to body weight is higher than for adults. A useful
review is given by Leach (1970).
Colours
These may be derived from natural sources (Cochineal) or

made synthetically (Tartrazine). They may be soluble in water
(Amaranth) in oil (Scarlet Red) or insoluble in both solvents.
In the latter group those of pharmaceutical interest include a
few pigments (Bole) and the lakes which are insoluble
calcium or aluminium complexes of water-soluble dyes.
Carmine is the aluminium lake of the colouring matter from
cochineal. Lakes are included in tablets and tablet coating
because of their greater light stability compared with the
corresponding water-soluble dye. Opacification of the shell of
capsules of chlordiazepoxide and some other drugs by lakes,
etc., is carried out where it is necessary to exclude light and
avoid photodecomposition.
The majority of dyes used in formulation are synthetically
produced and are usually salts. The coloured ion may react
with substances of opposite polarity; thus both Tartrazine and
Amaranth give insoluble salts with solutions containing
nicotine. Dyes vary in their stability to pH, light and reducing
agents as discussed by Swartz and Cooper (1962). Nonionic
surfactants may promote accelerated fading due possibly to
interaction between the ethylene oxide moiety of the
surfactant and the chromophoric group of the dye (Scott et al.,
1962). The effect of such variables should be checked in the
formulated product for the proposed range of dyes.
Dyes are used to standardize or improve an existing colour, to
mask an innocuous colour change, to complement a flavour or
2220
odour or for identification purposes. Unfortunately there is
evidence that some dyes may act as carcinogens or are
otherwise undesirable and for this reason are not permitted in
foodstuffs or, by implication, in drugs or cosmetics. Dyes
must be selected with care as there is no internationally
recognized list of permitted colours, a colour which is
allowed in one country may be totally banned in another. A
useful summary of the situation is given in the Extra
Pharmacopoeia (Martindale, 1972). In Great Britain the
colouring agents which may be used are given in the
Colouring Matter in Foods Regulations, 1966 (S.I. 1966: No.
1203) and for Scotland in S.I. 1966: No. 1384. If it is
imperative to include a dye in the formulation, the lowest
concentration should be used, especially for paediatric
products, since children are likely to vomit with consequent
staining of clothes.
Stability
The main causes of physical and chemical instability have
been discussed elsewhere in this volume. Here only a number
of details in the use of anhydrous vehicles and in the
formulation of suspensions will be discussed.
Anhydrous Vehicles
If these are needed for the formulation of water sensitive

drugs in oral products, either a water miscible or an oily
vehicle may be considered. The former could comprise
various mixtures of ethyl or isopropyl alcohols, glycerol,
propylene glycol or the low molecular weight
polyoxyethylene glycols. Ethylene glycol must not be used as
2221
it is metabolized to oxalic acid which is toxic. Generally,
vehicles based on alcohols and glycols have an unpleasant
burning taste but are much more acceptable if diluted with
water immediately prior to administration. If the stability of
the medicament is such that it will have a reasonable shelf life
in the presence of a limited amount of water, a combination of
the alcohols with a suitable syrup produces an acceptable
vehicle of the type used for the official elixirs.
As well as olive and arachis oils, a number of other oils are
suitable for the formulation of oily vehicles. Cottonseed,
soybean and corn oils are all used for culinary purposes and
are sufficiently bland for consideration as oily vehicles for
oral preparations. Fractionated coconut oil is virtually
colourless, odourless and tasteless; it is used as a diluent for
Phenoxymethylpenicillin Mixture BPC. Such vehicles are
rather difficult to flavour except with vanillin, volatile oils or
other oil-soluble flavours. Sweetness may be improved by the
addition of saccharin.
Anhydrous vehicles are also much used for the formulation of
ointments, suppositories and parenteral solutions. In the first
two types of product a suitable consistency is obtained by the
inclusion or exclusive use of fats and waxes. Absorption from
topical preparations and the pharmacological basis of topical
therapy are discussed by Wagner (1961) and D’Arcy (1965)
respectively. Systemic medication per rectum is convenient
where oral administration may induce nausea or vomiting,
onset of action is usually faster than by the oral route and (in
common with buccal absorption) enterohepatic recycling is
avoided. The lower efficiency of rectal absorption may dictate
a dose larger than that given by mouth. The formulation of
suppositories and related matters are discussed by Senior
(1969a & b) and Wagner (1971). Anhydrous injection
vehicles have been reviewed by Speigel and Noseworthy
2222
(1963), who note that care is needed in selecting the vehicle if
unwanted modification of drug activity is to be avoided.
Polyoxyethylene glycol vehicles markedly increase the
toxicity of nitrofurantoin and are incompatible with many
phenolic substances. If the drug is only partially soluble in the
vehicle, temperature fluctuation may cause a coarsening of
the particle size of the undissolved portion. For completely
soluble drugs it is necessary to check that this condition also
obtains at a suitably low temperature, say –5°C, as material
deposited at a lower than normal temperature may not readily
redissolve when the temperature rises again.
Suspensions
The stability of these depends both on the properties of the

dispersed solid and on those of the vehicle. Apart from
gravitational sedimentation which is a function of particle
size, the behaviour of the solid may be determined by the zeta
potential. If this is small, say in the range +25 to –25mV, nett
attractive forces cause particles to aggregate and settle rapidly
to form a high volume loosely packed sediment which is
readily redispersed on shaking. At larger zeta potentials
repulsive forces predominate and particles sediment
individually and slowly to form a densely packed, clay-like,
dilatant sediment which is not easily redispersed by shaking.
From the point of view of product formulation neither system
is satisfactory but, as discussed by Haines and Martin (1961),
it may be possible to adjust the zeta potential of the
suspended particles by addition of electrolytes to give the
optimum compromise between the slow sedimentation of the
deflocculated state and the ready redispersion of sediment that
is characteristic of the flocculated system. For this purpose,
2223
polyvalent ions are usually most efficient; for example,
sodium citrate controls the degree of flocculation of the
bentonite in Calamine Lotion, and hence its consistency; it
will also deflocculate a 100 per cent w/w barium sulphate
paste to give a thin pourable suspension. Matthews and
Rhodes (1968a & b) reported that satisfactory griseofulvin
suspensions may be prepared by zeta potential control with
Al3+ ions.
Even with correct control of the zeta potential, the size or
density of the particles may be such that they still settle too
rapidly for the proper quantity of medicament to be poured
out, drawn into a syringe or topically applied. For dilute
suspensions the rate v at which a particle of density D and
radius r settles in a liquid of viscosity η and density d is given
by Stokes’ equation in the form:
(41.1)
In general, for more concentrated dispersions crowding and

other effects will reduce the rate of settling. The densities of
the particles and vehicle are fixed by product requirements
while processing methods, therapeutic requirements, etc., may
determine the optimum particle size in which case it is only
by increasing the viscosity of the vehicle that the
sedimentation rate may be decreased. For this purpose, as
well as traditional suspending agents such as tragacanth and
acacia, the alginates and cellulose derivatives should also be
considered. As noted elsewhere in this volume, modification
of the naturally occurring cellulose chain produced the first
commercial plastics; it is also a fruitful starting material for a
2224
large number of hydrophilic colloids. Cellulose is an extended
open chain some 1000–3000 anhydro-β-glucose units long
(Fig. 41.1). Steric hindrance near the -O-linkages limits
rotation of the glucose units relative to one another. This,
together with the rigidity of the glucose units restricts the
flexibility of the chain. Interchain attraction is very high due
to hydrogen bonding between neighbouring –OH groups and
as a result cellulose is not thermoplastic, cannot be plasticized
and is insoluble in all but very acid or alkaline aqueous
media. If the –OH is modified by the formation, of an ester,
e.g. cellulose acetate, or ether, e.g. methyl cellulose, hydrogen
bonding is much reduced and the properties of the resultant
product will depend on the degree of substitution, the average
chain length and the distribution of chain lengths. In general
the degree of substitution controls the solubility (Table 41.1)
while the chain length and distribution determines the
viscosity grade. The propoxyl group is sufficiently
hydrophobic for propyl cellulose to be insoluble in water at
all levels of substitution. The viscosity grade is indicated by a
number after the name, i.e. Hypromellose 20 BPC would be
that grade of hydroxypropylmethylcellulose which, at a
concentration of 2 per cent in water gives a solution with a
viscosity of 20 centistokes. A 2 per cent solution is also used
for standardizing methylcellulose but the concentration is 1
per cent for sodium alginate and sodium
carboxymethylcellulose. Sodium alginate is a purified
substance extracted from Laminaria type seaweeds. Alginic
acid is a d-mannuronic acid polymer; solutions of the sodium
salt at a given concentration become more viscous as the
degree of polymerization of the acid is increased. A wide
variety of viscosity grades is available but only one (30–60) is
official. Carboxypolymethylene is a totally synthetic vinyl
polymer with a high degree of carboxyl substitution. The acid
2225
powder is dispersed in water and then neutralized with a base
to give a viscous solution that is most stable between pH 6
and 11. Unless protected by an antioxidant the solutions lose
viscosity on exposure to sunlight.
Fig. 41.1 Part of the cellulose chain.
Table 41.1 The effect of substitution on the solubility of

cellulose esters
Substances that desolvate the polymer chain of suspending

agents reduce the viscosity of their solutions and may,
eventually, precipitate the polymer. Typical of such
substances are inorganic salts and high concentrations of such
hydrophilic materials as alcohol, glycerol and sucrose.
Heating solutions of the polymers changes their viscosity
2226
reversibly thus solutions of methylcellulose or
hydroxypropylmethylcellulose gel at a certain temperature,
the so-called gel-point, which is lower for methyl- than for
hydroxypropylmethyl cellulose. Above the gel-point the
polymer is precipitated. Prolonged heating, however, of most
natural and synthetic suspending agents leads to
depolymerization and permanent loss of viscosity. This loss
of viscosity may amount to some 25 per cent when, for
instance, sodium carboxymethylcellulose solutions are
sterilized by autoclaving.
Sodium alginate, –carboxymethylcellulose and
–carboxypolymethylene give insoluble salts with a number of
multivalent metal ions and the acids are precipitated at a
sufficiently low pH. Hypromellose is the preferred polymer
for thickening ophthalmic solutions as these are clearer and
have fewer undispersed fibres. The official preparation is
used for the replacement of lachrymal secretion where this is
deficient.
The availability of a wide range of viscosity grades permits
the selection of the grade and type of polymer best suited to
the needs of the product. Assume, for instance that it is
required to suspend a powder of 50μm maximum diameter
and density 1.5g/cm3. If the mixture is to be taken every 4
hours an arbitrary decision might be taken that the largest
particles must not sediment more than 1cm in that time. The
density of the vehicle may be taken as 1.0g/cm3. Substituting
in Eq. 40.1.
2227
whence
(41.2)
From Fig. 41.2 it would appear that the most economical

materials for providing a vehicle of this viscosity would be
Tragacanth or Sodium carboxymethylcellulose 3500 at a
concentration of about 0.7 per cent. Smoother pouring
characteristics might result from using a lower viscosity grade
suspending agent at a higher concentration. Additionally, less
suspending agent than is implied by the above calculation
would probably achieve the desired performance as the
majority of particles would have a diameter less than 50μm.
In any case their concentration is likely to be greater than that
for which Stokes equation is strictly applicable and
sedimentation would be hindered by crowding and other
effects. Clearly, the foregoing effects would need to be
investigated by direct experiment.
2228
Fig. 41.2 Viscosity of some solutions of hydrocolloids as a
function of concentration. These curves should be used as a
guide only as the viscosity is very dependent on the method
of measurement and the technique used to prepare the
solutions.
For lotions and related products it may be possible to thicken

the product with bentonite or related materials that form
structured gels with water. The intention is that vigorous
shaking would break the structure to give a thin pourable
product but on standing the structure would reform and so
prevent sedimentation of dispersed solids.
2229
(Packaging is considered in Chapter 43.)
Preservation Against Microbial

Spoilage
In the strictest sense microbial spoilage is another form of
product instability but is conveniently discussed here as a
separate issue. There is an obvious connection with the
addition of bacteriostatics to multidose quantities of injections
to prevent the development of microorganisms accidentally
introduced during use; indeed, this is a specific instance of the
general problem of preventing microbial spoilage where
failure may have
particularly serious consequences. The addition of
antimicrobial substances to nonsterile preparations is intended
to stop the multiplication of microorganisms present when the
product was manufactured as well as those subsequently
introduced. It is important that preservative measures should
have a broad spectrum of activity because of the wide range
of the likely contaminants both bacterial and fungal, the
impossibility of predicting the kind of contamination that may
occur during the life of the product, and the nutrient
properties of many pharmaceutical products.
Physical Methods of Protection
These include sterilization and pasteurization, low moisture

content, unfavourable pH, low temperature, minimum
nutrient content and high osmotic pressure. It may be noted
that a number of Aspergillus and Penicillium spp. will grow at
a pH as low as 2.0 while osmophilic yeasts are found in
2230
honey. However, the major disadvantage with physical
methods of protection is that they become inoperative as soon
as the particular constraint is removed, for example, the
product is stored in a warm rather than cool place or the
closure is taken out of a vial of sterile product. It is generally
preferable to use a method that is largely independent of the
environmental conditions namely the addition of a chemical
substance that will kill contaminating organisms or at least
prevent their multiplication in the product during storage and
use.
Chemical Methods of Preservation
In addition to the specific requirement that an antimicrobial

substance shall have a wide range of activity against
contaminating organisms it must also comply with the more
general requirements for all pharmaceutical adjuvants. It
should be:
1 effective in low concentration,
2. nontoxic, nonirritant and nonsensitizing,
3. odourless, tasteless, colourless and soluble in the proposed
vehicle,
4. stable and effective, unaffected by pH,
5. inert, nonvolatile, readily prepared in a pure state, easily
standardized, and
6. compatible with all other product constituents.
A list of commonly used preservatives is given in Table 41.2.
Table 41.2 Substances used as antimicrobial preservatives
2231
Usual
Substance concentration Remarks
per cent w/v
For oral use:
Ethyl alcohol At least 10 These hydroxylic
materials probably act by
increased osmotic
pressure. Ethylene glycol
is toxic and must not be
used (see text)
Isopropyl alcohol At least 10
Glycerol At least 25
Propylene glycol At least 25
Sugar At least 65
Sulphur dioxide 400ppm. Used in foodstuffs
and sulphites,
e.g. sodium 0.1 Oxidizes and loses
metabisulphite efficiency; may reduce
dyes
Benzoic acid 0.1 Rapid loss of
effectiveness above pH
5.0. Soluble about 0.3 per
cent in water at room
temperature
Dehydroacetic 0.1 More effective in acid
acid products
Sorbic acid 0.1 More effective in acid
products. Soluble about
2232
0.15 per cent in water at
room temperature
Methyl 0.2 Less effective above pH
p-hydroxybenzoate 8.0. Soluble about 0.3 per
cent in water at room
temperature
Propyl 0.02 Less effective above pH
p-hydroxybenzoate 8.0. Soluble about 0.03
per cent in water at room
temperature
Mixtures of these esters
have a wider range of
action. May be used as
carbon source by one
species of Pseudomonas
aeruginosa (Hugo &
Foster, 1964)
Solutions of the sodium
salts are strongly alkaline
Chloroform 0.25 Chloroform water
0.5 Double strength
chloroform water
Has warm sweet taste, is
very volatile and easily
lost from the product
For other uses:
Alcohols and See above. Sorbic acid
glycols may cause skin irritation
Benzoic,
dehydroacetic and
2233
sorbic acid
p-hydroxybenzoic
acid esters
Formaldehyde Very effective and highly
reactive may cause skin
irritation. Rarely used in
pharmaceutical products
but 0.05 per cent may be
used in shampoos
Benzyl alcohol 1.0 Has weak local
anaesthetic action
Phenylethyl 0.5 Has been used in
alcohol ophthalmic preparations
β-Phenoxyethyl 1.0 Very little action against
alcohol Gram-positive organisms
Chlorbutol 0.8 Soluble about 0.8 per cent
action is erratic due to
losses by volatilization
and hydrolysis HCI is
produced and may acidify
the product
Phenol 0.5
Cresol 1.3
Chlorocresol 0.1
Thiomersal 0.01 Unstable at pH lower than
7
Phenylmercuric 0.001 Maximum solubility
sails about 0.1 per cent
2234
depending on salt used.
The highly insoluble
chloride may be
precipitated if product
contains chloride ions.
Chorhexidine salts 0.01 Has been used for
ophthalmic preparations.
Salts of low solubility
formed with many anions
particularly of the anionic
surfactants
Quaternary 0.01 Incompatible with anionic
ammonium salts, surfactants, alkali
e.g. Benzalkonium hydroxides and
chloride carbonates.
Benzalkonium chloride
has been used in
ophthalmic preparations
Selection of Antimicrobial Preservatives
In addition to the simple subdivision into oral and other use

(Table 41.2) there may be other restrictions that narrow the
range of choice when selecting a preservative. Apart from
gross incompatibilities there are a number of situations in
which activity may be impaired. Either the proportion of the
active form of the preservative may be reduced (as with the
effect of unfavourable pH) or (as occurs with hydrocolloids,
surfactants and oil phases) the active form may be bound and
not available for action.
2235
Adjustment of the pH of a solution may affect both the
chemical stability and the activity of the preservative. The
former effect is, however, usually slight. If it is accepted that
most pharmaceutical products will have a pH in the range
3–8, the only commonly used preservative for which serious
chemical instability problems are likely to arise is thiomersal
which degrades in acid media. Within the assumed pH range
there will, however, be a marked variation in the activity of
the ionized preservatives. In general, it is the unionized form
of these that has antimicrobial activity and the proportion of
that form at any pH may be calculated by means of the
Henderson–Hasselbalch equation arranged as follows:
(41.3)
Bandelin (1958) examined the effect of pH on the activity of

a number of ionizable preservatives against Chaetomium
globosum, Alternaria solani, Penicillium citrinum and
Aspergillus niger. The substances chosen for the study were
benzoic, sorbic and dehydroacetic acids and the esters of
p-hydroxybenzoic acid. As expected, he found that the
activity decreased as the pH increased. In general, A. niger
was the organism most resistant to the antifungal action of the
preservatives. His data for that
organism is summarized in Fig. 41.3. Winsley and Walters
(1965) also grew A. niger in media of differing pH in the
presence of benzoic acid and determined the concentration of
this that just stopped growth—see also Fig. 41.3. By
multiplying the minimum inhibitory concentration by the
proportion of unionized molecules at the particular pH they
were able to calculate the minimum inhibitory concentration
2236
for the completely unionized acid. The constancy of this value
(0.0169–0.0185) argues strongly in favour of the view that it
is the unionized form of the benzoic acid which is responsible
for antifungal action. With a knowledge of the pKa and the
minimum inhibitory concentration for the unionized form it is
possible to calculate the minimum inhibitory concentration at
any pH. Suppose it is required to preserve a product of pH 4.7
with benzoic acid and that A.niger is a likely challenge
organism. The pKa of benzoic acid is 4.2 and substituting in
Eq.41.3:
Fig. 41.3 Effect of pH on the minimum inhibitory

concentration of some acid preservatives against A. niger
(Winsley & Walters, 1965; Bandelin, 1958).
Proportion of unionized benzoic acid at pH 4.7
2237
Preservative concentration of acid at pH 4.7
It would be good practice to allow a safety margin and use,

say, 0.1–0.15 per cent of the preservative in the product.
The activity of preservatives is reduced if these are bound by
another substance. Hydrophilic colloids of the type used for
suspending insoluble solids are particularly liable to cause
trouble. The hydroxybenzoate esters, for instance, are
indifferent to the presence of tragacanth and sodium
carboxymethylcellulose but show loss activity in the presence
of methylcellulose, polyvinylpyrrolidone and gelatin
(Miyawacki et al., 1959). On the other hand, methylcellulose
diminishes the activity of cetylpyridinium chloride (Delucca
& Kostenbauder, 1960). As there is no simple rule by which
interaction may be predicted it is advisable directly to check
antimicrobial activity where hydrocolloids are employed in a
formulation.
In their active form many preservatives are predominantly
lipophilic and tend to partition between the hydrophilic and
lipophilic phases of a two-phase system. The absorption of
preservatives by rubber and plastics is discussed elsewhere
but it must be remembered that absorption may also occur
with any other lipophilic solid. A solution of water-soluble
2238
surfactant may be regarded as another type of two-phase
system with an aqueous and a lipophilic micellar pseudophase
between which the preservative may partition; the effect is
well known in the field of phenolic disinfectants. In the
presence of polyoxyethylene sorbitan oleate loss of activity
has been shown to occur with sorbic acid (Blaug & Ahsan,
1961a), cetylpyridinium chloride (Delucca & Kostenbauder,
1960) and the p-hydroxybenzoic acid esters (Pisano &
Kostenbauder, 1959). The foregoing surfactants at a 5 per
cent concentration, caused a four-fold increase in the amount
of methyl p-hydroxybenzoate required for effective
preservative action (Blaug & Ahsan, 1961b). It is possible to
determine the amount of preservative in the aqueous phase of
a surfactant solution; this allows comparison of the activity of
solutions with and without surfactant, but having the same
concentration of preservative in the aqueous phase.
Humphries et al. (1968) found a higher than predicted activity
for benzoic acid/nonionic surfactant systems which they
ascribed to micelles acting as reservoirs for preservative and
to other effects.
Emulsions are more obvious examples of two-phase systems.
In the simplest model, a mechanical dispersion of oil in water,
lipophilic antimicrobial substances will partition between the
oil and water until:
The weight of preservative in the system is C(V0 + Vw) = Cw

Vw+ V0C0 where C is the concentration of preservative in the
whole system and Vw and V0 are the volumes of water and
oil, respectively. If V0/Vw = φ
2239
and
(41.4)
The effect of partitioning in a simple oil-water system is

described in a paper by Bean and Heman-Ackah (1964). For a
liquid paraffin-water system at 15°C the partition coefficient
of phenol is 0.062. If ϕ is 1.0, i.e. a 50 per cent v/v dispersion
and the overall concentration (C) of phenol in the preparation
is 0.5 per cent, the concentration of that substance in the
aqueous phase is:
This is due to the fact that the partition coefficient as defined

above is less than 1.0. The efficiency (E) of an antimicrobial
substance is given by:
(41.5)
where p is a constant and n is the concentration exponent; for

phenol and chlorocresol n may be put equal to 6. If,
arbitrarily, the efficiency of a 0.5 per cent phenol solution is
2240
set at 1.0 the relative activity of a 0.94 per cent solution is:
The foregoing enhanced activity may be compared with the

decrease that occurs when chlorocresol is employed under
similar circumstances. The partition coefficient is 1.34 at
15°C and a suitable value for C is 0.1 per cent. The
concentration of
preservative in the aqueous phase of a 50 per cent v/v
dispersion may be calculated as 0.086 per cent and the
efficiency is reduced to 0.41, that is, less than half the value
for the corresponding simple aqueous solution having the
same overall concentration of chlorocresol.
Bean and Heman–Ackah point out that the partition
coefficient usually changes in favour of the oil as the
temperature is raised and this may explain the failure of
products in a warm climate that have proved satisfactory in a
more temperate environment. Thus, if the temperature of the
above dispersion were raised to 35°C (when the partition
coefficient for chlorocresol at 35°C is 1.78) the concentration
of preservative in the aqueous phase is only 0.072 per cent
and a relative efficiency 0:14 as compared with 0.41.
A real emulsion might include an emulgent which could
provide a micellar pseudophase into which the antimicrobial
substance would partition. The behaviour of a preservative in
a real emulsion is therefore more complex than in the
two-phase system described above and a full theoretical
treatment would reflect this. By finding experimentally the
ratio (R) of the total preservative in the aqueous phase to the
2241
free preservative in that phase Bean et al. (1969) were able to
simplify the theoretical treatment and derived the expression.
(41.6)
where the symbols have the previously defined meanings.

Extending the previous example with chlorocresol as the
preservative (φ = 1.0, K = 1.34 and C = 0.1 per cent) with R =
3 that is, three quarters of the total amount of preservative in
the aqueous phase is locked in micelles:
and
It will be clear from the above calculation why it is so

difficult to preserve emulsions against microbial
contamination. In general, the oil and emulgent concentration
should be kept to as low a value as possible, the selected
antimicrobial substance should have a low concentration
exponent and all components should be chosen to minimize
the value of K and R. The amount of preservative in the
aqueous phase will, of curse, be raised by substances that
increase its solubility in that phase. Hibbott and Monks
2242
(1961), for example, reported that the partition coefficient of
methyl hydroxybenzoate is changed in favour of the aqueous
phase if this contains glycerol or propylene glycol. These and
many other factors that affect the preservation of emulsified
preparations are discussed in considerable detail by
Wedderburn (1964). It should be noted that many countries
now require creams to be supplied in a sterile condition, or at
least with a very low level of contamination; this is the main
purpose of official instructions for the preparation and
packaging of creams. For complete assurance of sterility it
may be necessary to heat the cream in which case there will
be problems of physical stability superimposed upon those
associated with preservative activity.
Assessment procedures usually reveal the minimum
concentration needed to protect the product against specific
organisms. A safety margin must, however, be provided to
take account of manufacturing tolerances. By way of
illustration assume that 0.3 per cent phenol is found to be the
best preservative for a given lotion. It may be considered that
90–110 per cent of the nominal amount of preservative is a
reasonable manufacturing tolerance. By substitution in Eq.
41.5, however, it can be shown that reduction of the
concentration of phenol to 90 per cent of the nominal value
will have a very marked effect on the bactericidal efficiency
of the preparation. Thus for phenol n = 6 and:
A reduction of the phenol concentration of 10 per cent has

therefore reduced the bactericidal efficiency to 53 per cent of
2243
its original value. Clearly, to provide for the worst conditions
of manufacture, the amount of phenol must be increased to:
In practice an even higher concentration, perhaps 0.5 per cent,

would be used to ensure efficient protection during the whole
life of the product.
Testing preservative efficiency: There is no standard method
for testing the activity of a preservative in a product.
Although details vary there is general agreement that
performance should be compared in normal and sterilized
products when challenged by a variety of bacteria and fungi.
These should also include a mixed culture obtained at the
manufacturing unit, organisms isolated from failed samples
and any special organisms relevant to the end use of the
product, e.g. it is advisable to challenge eye-drops with
several pseudomonad species and in particular with P.
aeruginosa, This organism is exceptionally resistant to the
action of most preservatives which are acceptable for use in
ophthalmic preparations (Brown & Norton, 1965).
Inoculated samples should be incubated for at least 10 weeks
at a variety of temperatures between 20 and 40°C. Samples
must be examined at intervals appropriate to the product, e.g
an hour or less for ophthalmic preparations as a rapid kill is
required, whereas less frequent sampling would be more
appropriate to mixtures. If possible the test should be carried
out in such a way that quantitative results may be obtained.
2244
Correct Dose
Although every care may be taken in the manufacture of a

drug preparation the patient will not receive the correct dose
if the product has deteriorated in storage. Chemical
degredation leads to a reduction in the amount of the active
constituent and low dose follows directly from this. If the
product is physically unstable then the correct total amount of
drug may be present but this may be unevenly distributed
throughout the product.
In this way the patient may receive a variable dose of drug.
This situation is potentially dangerous in those cases where
the drug forms a dilatant sediment which is not easily
dispersed by shaking the full container. Early doses might
contain less than the correct amount of drug. Later, because
shaking may be more efficient with a partially emptied
container, the sediment may become dispersed and the patient
could be exposed to an overdose.
Uneven distribution may also arise from unsuspected faults in
the manufacturing process, particularly if this involves the
dispersion of one solid phase with another. The difficulties in
obtaining even distribution of a small amount of drug in a
much larger quantity have been discussed in the sections
concerned with mixing, and with tablets and capsules in
Chapters 19 and 21 respectively. It should be noted that, even
if the correct manufacturing procedures have been employed,
bulk powders may demix during storage and transport and
every care should be taken at the formulation stage to foresee
and eliminate this possibility.
Finally, the correct amount of drug in a product, as
determined by analysis, does not guarantee that the desired
2245
clinical response will be elicited in the patient. This matter is
considered in the next section.
Therapeutic Effectiveness
With very few exceptions a drug must be in aqueous solution
to exert its therapeutic action.
Often the site of action is remote from the site of
administration and therefore a transport system is required;
this is provided by the circulation of blood (Fig. 41.4). When
administered by buccal, rectal, intramuscular, or
subcutaneous routes, the drug directly diffuses into the blood
from the absorbing tissue. Onset of action from this route
will, therefore, be somewhat slower than by intravenous
administration where the drug is directly injected into the
blood. Onset of action is even longer by the oral route. This is
partly due to the transit time of the drug to that part of the
gastrointestinal tract from which it is best absorbed, to the
nature of the absorbing tissue, hepato-enteric recycling and to
the nature of the oral product. Simple solutions tend to act
faster than suspensions as time will be required for the
suspended solid to dissolve so that it can exert its effect.
Similarly, suspensions (fine particles) will act faster than
powders (coarse particles), which in turn act faster than
capsules and tablets. As far as the body is concerned all drugs
are foreign substances and mechanisms are available for their
elimination. The drug may be excreted in the faeces, urine or
saliva, etc., either unaltered or as metabolites. The therapeutic
response is often related to the amount of drug in the blood
which in turn is determined by the nett effect of the
absorption, transport and elimination processes. Products may
therefore be ranked in order of promptness of response and
2246
duration of action as in Table 41.3. Each type of product will
have a characteristic response, thus without considering the
relevant theory at this stage, the graph for the time course of
action for an oral product may be sketched as in Fig. 41.5. If
the characteristic response of any product is to be modified
for whatever purpose, there are three main ways in which this
may be done: biological, chemical and pharmaceutical.
2247
Fig. 41.4 Distribution of drugs in the body.
Fig. 41.5 Typical time course of action for a dose of drug.
Table 41.3 Therapeutic effectiveness of pharmaceutical

products
Biological
A classic example is the coadministration of adrenalin with

local anaesthetics to cause local vasoconstriction which
minimizes leakage of anaesthetic from the injection site and
therefore prolongs its action.
2248
Chemical
The compound diethylaminoacetanilide (I) is clearly related

to lignocaine (diethylaminoacet-2,6-xylidide) (II), and yet has
only transient local anaesthetic action. This is due to the
absence
of methyl groups in the 2,6 positions that allows hydrolytic
enzymes to gain access to the –NH.CO–group which is
rapidly hydrolysed and the activity of the drug destroyed.
Pharmaceutical
By embedding a drug in wax, the rate of release of the drug

may be slowed down and the activity prolonged in suitable
cases.
Most frequently the formulator will use the third method to
modify drug action but there are occasions where the second
method may be more applicable. Two examples will be
quoted here. Above a certain dose level, the duration of action
of oestradiol by deep intramuscular injection is independent
of the dose. The diproprionate ester is the preferred form of
the medicament for depot injections as in vivo hydrolysis of
the ester controls the release of the hormone and the duration
of the action is dose dependent. Basic drugs form insoluble
tannates from which the base is released in the body at a
controlled rate by hydrolysis. The tannates of pheniramine,
mepyramine and phenylephrine have been combined in both
2249
tablet and suspension formulations to provide a sustained
action product. Regardless of the method chosen, the
formulator may be concerned either with correcting
unintentional deficiencies in an existing product of
conventional type or with the design of a modified dose form
with defined performance. In general these objectives may be
attained by attention to the biological availability of the drug.
Often, this is defined with reference to a ‘standard’
preparation but in quantifying this parameter it is also
necessary to take account both of the total amount and rate of
release of drug, particularly in relation to the nature of the
required therapeutic action. The definition is best illustrated
by reference to Fig. 41.6. For product A the onset is rapid and
the response is maintained above the minimum effective level
for a suitable period of time, i.e. the biological availability is
high. Although the same amount of drug is released by
product B, at no time is the minimum effective level attained
and therefore the biological availability is low. On occasion it
may be desirable to delay the release of drug because, for
instance, it is inactivated by acid gastric secretions. The curve
for product C best expresses the type of response that is
required for high biological availability under these
circumstances.
2250
Fig. 41.6 Time course of action characteristics for
conventional and modified products. (A) Effective
conventional product; (B) Noneffective conventional product;
(C) Modified product.
Biological Availability of Drugs from

Conventional Preparations
It is axiomatic that a drug preparation shall be therapeutically

effective yet only in the past decade or so has it been realized
how wide may be the margin between potential activity as
inferred from the known drug content and the actual activity
observed in clinical use. For example, Anderson (1966)
related the low therapeutic activity of a chloramphenicol
palmitate preparation to the use of the wrong polymorph
(q.v.). As noted earlier, the formulator’s efforts are best
directed at securing the correct rate of release of drug from
the product. Although solutions usually give the highest rate
of release, care should be taken to ensure that precipitation of
active substance does not occur due to dilution of the vehicle
or pH changes. When sodium phenylbutazone solution is
2251
injected intramuscularly the drug is precipitated at the
injection site due to pH changes and the rate of release is
limited by the dissolution rate of the solid material.
Apart from such examples, biological availability problems
are most likely to occur if the product is a solid or a
dispersion of a solid in a liquid. In these circumstances there
is a high probability that the dissolution rate is the key factor
(Fig. 41.7).
Fig. 41.7 Course of drug utilization for conventional products.
In the Noyes and Witney (1897) model of dissolution,

diffusion of solute from the interface to the bulk solution
across the stationary film at the surface of the solid was the
rate
determining step. Alternative models assume that the
dissolution process is rate determining or that macroscopic
packets of solvent transport solute to the bulk solvent. Each
model requires a different mathematical treatment (see
Higuchi, 1967), but in all cases the rate of dissolution may be
2252
related to the difference between the concentration (Cs) of the
solute in solution adjacent to the interface–often assumed to
be saturated–and that in the bulk solvent (C), the surface area
(S) exposed to attack and other factors (K) such as the
viscosity and the degree of agitation of the solvent. The
generalized equation may be written:
(41.7)
If C is small and is only a small fraction of Cs then (Cs – C) ≈

Cs and the dissolution is then said to be proceeding under sink
conditions and:
The parameter Cs is temperature dependent and is affected by

those factors that determine the intrinsic solubility of a solid
such as its chemical and physical state. Generally, the salts of
weak acids or bases are more soluble and better absorbed than
the parent weak acids or bases; phenoxymethylpenicillin, for
instance, gives lower blood levels than the corresponding
potassium salt. It is not always the most soluble form of drug
that is preferred. The soluble sodium salt of tolbutamide has a
rapid onset and an intense but short action that may put the
patient into a transient state of hypoglycaemia. As the diabetic
patient will be on a permanent dose regimen, rapid onset is of
secondary importance and the less soluble tolbutamide is the
drug of choice.
The physical form of a drug also affects its solubility. In the
amorphous condition the atoms or molecules lack the regular
arrangement of a lattice that is characteristic of a crystal;
some drugs, e.g. penicillin, insulin, novobiocin can exist in
2253
both amorphous and crystalline states. For many crystalline
drugs there is also the possibility of different lattice
arrangements and these amorphous and different crystalline
forms are known as polymorphs. Only one polymorph is
stable under given physical conditions and all other forms
tend to revert more or less rapidly to that stable form. The
lifetime of some polymorphic forms may be so long that the
polymorphs appear to have a separate existence and are said
to exist in a metastable state. From the formulator’s point of
view it is an unfortunate fact that the most stable form is also
the least soluble and thereby is potentially the least active. In
the case of novobiocin, the amorphous form of the acid is an
effective antibiotic whereas the less soluble crystalline variety
is inactive at the same dose level (Mullins & Macek, 1960).
The crystalline sodium salt is converted to the amorphous
state under the acid conditions of the stomach and the calcium
salt is amorphous; both forms are active in vivo.
Chloramphenicol palmitate exists in an amorphous and three
crystalline forms. Aguiar et al. (1967) showed that
administration of 1.5g of the most stable form of the ester to
adults produced a mean peak blood level of about 2.5μg/ml
whereas the most solub1e variety of the drug gave a peak
concentration nearly ten times higher.
Polymorphic forms of drugs occur more frequently than is
generally realized and lack of awareness of their existence can
lead to unwelcome therapeutic effects even though chemical
analysis would reveal nothing amiss. The low potency of
some chloramphenicol palmitate preparations which have
been marketed was due to the selection of the most stable but
least active polymorph (Anderson, 1966). Equally dangerous
is the higher activity and incidence of side effects that might
occur if a product formulated on the basis of clinical trials
with the stable variety was inadvertantly manufactured with
2254
the metastable polymorph. The problem is further
complicated by the possibility that the metastable variety may
revert to the stable state during the lifetime of the product.
Such changes may often be prevented by added substances,
such as hydrocolloids and surface active agents, that poison
the crystal lattice. Mullins and Macek found that
benzalkonium chloride increased the rate of crystallization of
solutions of amorphous novobiocin. Methylcellulose, on the
other hand, had the reverse effect and increased the time for
crystals to appear in the solution from 22 days at 37°C to
more than 365 days at the same temperature. Calcium
novobiocin, although amorphous, did not revert to the
crystalline form at 37°C even after storage for 2 years.
Surface area: Particle size reduction is a familiar
pharmaceutical operation employed to secure better
dispersion of a drug in its vehicle. The process also increases
the surface area per given weight of material (the specific
surface area) and can therefore affect the biological
availability. As originally submitted to clinical trial,
griseofulvin had a specific surface area of 0.4m2/g, a particle
diameter of about 10μm and a recommended dose of 250mg.
Subsequently the manufacturing procedure was changed and
yielded a powder with a specific surface area of 1.5m2/g and a
particle diameter of 2.7μm. The more rapid dissolution rate of
the finer powder allows the dose to be halved. The official
description a white to pale cream powder the particles of
which are generally up to 5micrometres in maximum
dimension is framed to give a powder with an average particle
size smaller than this to ensure the correct biological
availability for the antibiotic. Modern insulin preparations
provide a further example of the importance of particle size
and polymorphic form as factors controlling the biological
availability of a drug. An insulin–zinc complex can be
2255
precipitated either as 10–40μm crystals or as amorphous
particles up to 2μm in size. If a mixture of both types is
injected the amorphous particles dissolve rapidly for prompt
response which is maintained by the slower dissolution of the
crystals. The proportions of each type of particle determine
the release profile of the preparation and may be varied to suit
the individual needs of the patient.
As was the case with tolbutamide it is not always the most
rapidly absorbed form of the drug that is most satisfactory for
clinical use. A similar situation has arisen with nitrofurantoin
where the 10μm powder, in suitable dose forms, gives a
satisfactory concentration in the urine at an oral dose level of
50–100mg but nausea and vomiting is a problem for a
significant number of patients. It has been shown (Paul et al.,
1967) that
although side effects rarely occur if the coarser 100–150μm
powder is used, neither the urinary concentration nor the
amount of drug absorbed are markedly changed. It may also
be necessary to avoid a small particle size powder if local
action in the distal parts of the gastrointestinal tract is
required and the drug has appreciable water solubility.
Premature dissolution and absorption of the drug in, say, the
stomach might give rise to toxic effects and would certainly
reduce the amount available for the required local action.
The Variable (K)
For the three types of dissolution mechanism that have been

proposed K will include a factor for viscosity and degree of
agitation as well as for specific effects peculiar to the
particular type of preparation. The viscosity is important in
that it determines the speed with which the molecules move
2256
away from the interface to the bulk dissolution medium.
Hydrocolloids are often included in the formulae of
pharmaceutical products to suspend solids, to prevent
polymorphic changes or to act as binders during the moist
granulation of powders for tableting. At best the hydrocolloid
may mix with the dissolution medium, increase viscosity and
slow down diffusion of the dissolving molecules: at worst it
may adsorb onto the solid surface to form a thin layer having
an extremely high viscosity which will considerably delay
diffusion. If adsorption occurs, the effect is out of all
proportion to the actual concentration of hydrocolloid in the
product. Instead of being adsorbed, these materials may be
precipitated on to the particle surface by interaction with the
contents of the gastrointestinal contents. Whatever the cause
the effect is well illustrated by the following data from
Davidson et al. (1961).
The degree of agitation is important both from the point of
view of drug dissolution in vivo and also for possible tests for
dissolution rate in vitro. In any static dissolution system there
is a tendency for a stagnant pool of solution to form in the
vicinity of the dissolving solid. As a consequence, the
concentration gradient is reduced and further dissolution of
the solid is inhibited. Such evidence as is available (Levy,
1963) suggests that the degree of agitation in the
gastrointestinal tract is only moderate. It will be recalled that
large doses of rapidly soluble materials such as the alkali
metal halides must be dissolved in water before
administration to avoid the nausea and vomiting that would
arise from high local concentrations of solute in the stomach.
Furthermore, if the density of the product is unusually high it
may become lodged in lower parts of the stomach and in the
case of iron preparations this has led to gastric erosion. In
normal situations however the degree of agitation in the
2257
stomach is probably sufficient to ensure that the rate of
dissolution is not limited by poor mixing.
Apart from viscosity and agitation effects it is convenient to
include in the variable K a number of factors peculiar to
certain types of dose form. Suspensions should be free from
effects other than those that may be attributed to factors
already discussed above. Nevertheless, as an instance of the
way quite minor changes may influence the time course of
action of griseofulvin it was noted by Duncan et al. (1962),
that a suspension prepared by dispersing the antibiotic
directly in a solution of wetting agent gave a lower peak
blood level than a product containing the same concentration
of adjuvant added as a solid to the drug prior to dispersion
with water.
The simplest model of a hard capsule comprises a powder
mass enveloped in a water-soluble shell. It might be thought
that such a system would be free from dissolution problems.
The work of Aguiar and coworkers (1968) suggests that this
is far from the truth; their examination of four nominally
identical brands of chloramphenicol capsules showed peak
plasma levels in adults varying from 2.2 to 9.5μg/ml. The
observed differences were related to the rate of deaggregation
of the drug during dissolution. In the wider range of
chloramphenicol capsules examined by Withey and Mainville
(1969) the time for dissolution of 50 per cent of the dose of
drug (t50) varied from 2.4 to 20 minutes and with one brand, a
soft capsule, only a quarter of the drug had dissolved in 30
minutes as compared with 60–90 per cent for the hard capsule
preparations. Several experimental capsules were also studied
and confirmed earlier reports that the capsule shell interferes
with the initial stages of dissolution. Many hard capsule
formulations contain lactose in addition to the drug and in
high concentrations this may also depress the dissolution rate.
2258
For drug mixtures containing 43 per cent of the sugar t50 was
about 4 minutes but was increased to about 13 minutes with
80 per cent of the adjuvant in the mixture. On the other hand,
when lactose was substituted for calcium sulphate in
manufactured batches of phenytoin capsules, enhanced
activity and a much higher incidence of side effects were
noted. Tyrer et al. (1970) have reported blood serum
concentrations (20–25μg/ml) for the formulation with lactose
and only about a third of this value for the product with
calcium sulphate.
There are so many variables in the production of tablets that it
is difficult to disentangle the many possible interactions that
may have a bearing on biological availability. One such
attempt has been described by Ganderton et al. (1967). In
studies with phenylindione tablets they reported a maximum
dissolution rate at compaction pressures in the range
400–800kg/cm2 within which range it is known from other
studies that there is also a maximum in the internal surface
area of the tablets. At less than about 800kg/cm2 compaction
pressure the dissolution rate is increased by small granule
size, surfactant to promote wetting by the dissolution
medium, and starch to aid disintegration. Conversely, the
hydrophobic nature of magnesium stearate used as the
lubricant has the effect of decreasing dissolution rate. It is
shown elsewhere that this effect can be put to good use in the
formulation of sustained action tablets.
Dissolution Rate Tests
When designing Jest apparatus means must be provided for

agitating the dissolution medium, supporting the sample
without impeding the flow of liquid and estimating the
2259
quantity of drug that has dissolved. Closed circuit systems
have been devised by, for example, Marshall and Brook
(1969), to take advantage of the methods that now exist for
continuously monitoring the concentrations of solutes in
liquids. Provision may also be made for replacing part of the
dissolution medium from
time to time or for changing its nature; both modifications are
intended to give a closer simulation of actual conditions
within the gastrointestinal tract. A more intractable problem is
that of ensuring the right degree of agitation and it would
appear that this is probably less than is commonly assumed by
designers of test apparatus. Often the dissolution rate
becomes sensibly constant above a certain (high) level of
agitation—see, for instance, Flanagan et al. (1969). If a high
level of agitation is accepted for the sake of experimental
reproducibility, it must be recognized that the dissolution may
be proceeding under conditions quite different from those
which are thought to obtain in vivo. Some workers, for
example, have used the official tablet disintegration test
apparatus with a finer mesh to retain all particles in the
oscillating tube. According to Levy (1963) these conditions
are too severe, as this method did not distinguish between
tablets shown to be different by other methods and by trial in
vivo.
That no universally acceptable apparatus has so far been
designed is evidenced by the large number of devices that
have been described in the literature; Hersey (1969) has
provided a useful review. With proper attention to operating
conditions dissolution tests provide valuable in vitro data for
the development of pharmaceutical products, an indication of
relative potential in vivo performance and means for quality
control. Certainly, there is now considerable evidence to show
that in a given series of products, the one with the highest
2260
dissolution rate will probably produce the most rapid and
intense response in vivo. It is not even necessary for the
products to be all of the same type: Bates et al. (1969), for
example, compared suspension and tablet formulations of
salicylamide and demonstrated that their in vivo behaviour
ran parallel to their in vitro dissolution rates. It is now also
clear that the tablet disintegration time is, in most cases, a
poor guide to the biological availability of the drug. In the
series of aspirin tablets examined by Levy (1961), the one
with the longest disintegration time gave the highest rate of
excretion. There was however an obvious correlation between
the amount (E) of drug excreted in the first hour after the
administration of 600mg of aspirin to adults and the
dissolution rate (D) expressed as the weight of drug dissolved
from the tablets in 10 minutes under stated conditions. In two
series of experiments (A and B) the data were described by
the equations:
(A)
(B)
The nearly identical slopes indicated that the mechanisms of

absorption and excretion were identical in both series but the
author attributed the different values of the constant (6.2 and
1.0) to the fact that in the series A experiments, a glass of
water was taken half an hour before the administration of the
tablets and 200ml with the dose, whereas in series B a glass
of water was taken one hour before and only 100ml when the
tablets were taken. The higher liquid intake for the first series
2261
of experiments probably caused more rapid gastric emptying
and absorption of the aspirin.
Modification of the Onset, Intensity and Duration

of Therapeutic Action
It was noted earlier that the time course of action curve for a
drug is a composite of the absorption transport and
elimination processes. Frequently, it is found that once the
peak response is past, a plot of the logarithm of response, e.g.
concentration in the blood is, for all practical purposes, a
linear function of time (Fig. 41.8). By analogy with chemical
kinetics theory this is a first order process that is, the rate of
elimination is effectively proportional to the concentration of
drug in the blood, thus:
(41.8)
which when integrated gives
(41.9)
2262
Fig. 41.8 Biological half-life of a drug.
CB is the response at time t, CB0 is the response that would be

required to produce the observed data in the absence of other
processes and k is the elimination constant, which has the
dimensions of time−1. The elimination rate is more easily
visualized however, in terms of the time taken to eliminate
half the drug originally present in the blood. This is called the
biological half-life (t1/2) and is related to the elimination
constant as follows:
2263
or
(41.10)
The biological half-life may be short (benzylpenicillin, 30

minutes), a few hours (theophylline, 3h) or even longer
(tetracycline, 8h). It is important to ensure, where data are
used for calculation of the required dose or for other
purposes, that the measured parameter, e.g. blood
concentration, from which the biological half-life is
calculated is positively related to the therapeutic effect.
Reserpine activity, for instance, persists for about two days
even though the apparent biological half-life (calculated from
blood level data) is less than half an hour. This is because
reserpine probably acts by interfering with the amine binding
mechanisms associated with the biogenic amines and these
take a day or so to return to normal after a single dose of the
drug.
In most cases, treatment with drugs involves administration of
doses at fixed intervals of time. The activity will, therefore
alternately rise and decline as reported, for example, by Drain
et al. (1959) for doses of p-aminosalicylic acid and its esters.
To ensure continuous therapeutic effect each dose must be
given at a time when there is still an effective response from
the previous administration. Each peak will be higher than its
predecessor but will ultimately attain an equilibrium value as
the rate of decline of response is proportional to, and
therefore increases with, the peak value of the response. If the
correct dose and timing is chosen, the peaks and troughs of
response will fall within the upper and lower limits for
2264
effective therapy (Fig. 41.9). When doses are too widely
spaced, the troughs will fall below the level required for
proper treatment but, on the other hand, if they are
administered too frequently the peaks may exceed the level
for acceptable incidence of side effects.
Fig. 41.9 Time course of action for several doses of drug.
When thinking of preparations with modified time course of

action it is easy to forget that there are situations in which
shortened, rather than prolonged, drug action is required.
Numerous medium to long-acting general anaesthetics are
known and yet it is only recently that safe short-acting general
anaesthetics for use in dentistry and minor surgery have
2265
become available. It is worth recalling also hat it is not always
easy or convenient to administer medicaments by the
intravenous route in very young or very old patients. If large
volumes of liquid must be given parenterally in these
circumstances, it is possible to inject subcutaneously at up to
about 10ml/minute provided hyaluronidase is used to increase
tissue permeability (Wilson, 1959). There are also occasions
(the treatment of diabetes by insulin is an obvious example),
where a reduction in the frequency of dose administration
would be a great convenience to the patient; but for
dose-forms other than injections the argument for reducing
the frequency of dose administration is more tenuous.
Nevertheless, in suitable cases, there are other good reasons
for increasing the duration of action of individual dose units.
For reasonable duration with a normal dose, the response to
the drug is likely to be in excess of that necessary for
effective therapeutic action (Fig. 41.10, curve A); if the dose
is reduced to avoid this situation, the period of effective
action is reduced (curve B). The amount of drug in excess of
that strictly necessary for effective therapy would be more
usefully employed in stretching the period of activity as
shown in the shaded portions of curves A and C. The benefits
are obvious; curative action has been extended without
increasing the total amount of drug while the reduced peak
response will probably lower the incidence of side effects. It
is unlikely, however, that these factors would extend the
useful period of activity by more than about a third; thus,
assuming the normal effective period of action to be some
four hours, it would be extended to just over five hours.
2266
Fig. 41.10 Prolongation of drug action.
For a worthwhile prolongation of drug action it is necessary

to combine a prompt dose for rapid onset with a maintenance
dose or doses to obtain therapeutic action for about twelve
hours (Fig. 41.11), but the total amount of drug in the dose
unit will be several times the normal dose. In addition to the
advantages noted above, such a system would eliminate
deficiencies in treatment due to incorrect timing of individual
doses.
2267
Fig. 41.11 Type of prolonged action oral dose forms. (A)
Repeat action preparation; (B) Sustained action preparation.
Prolonged action preparations are not without disadvantages.

No matter how well formulated and manufactured, there is
always the chance, however small, that the unit will fail to
release the drug in the correct manner. It is shown later that a
prolonged action preparation may contain 2–5 times the
normal dose of drug, so that in the event of failure the patient
is either deprived of drug or exposed to a serious overdose for
a long period. This problem is particularly serious with very
potent short half-life medicaments which are probably
unsuitable for formulation as sustained action preparations. If
the half-life is very long there is very little point in attempting
to extend the duration of action, at least for oral products.
The maximum practical size for a solid dose unit is 1–1.5g
depending on the density of the product. This value could
easily be exceeded with a prolonged action preparation if the
normal dose is large, perhaps 0.5g, and the biological half-life
is short. Finally, although products have been specifically
designed to release drugs under specific physiological states
or at specific sites in the body, this is not a universally
applicable product design philosophy as it is well known that
there is always considerable interpatient variation in the
2268
response to medication and also variation from day to day for
a particular patient.
Formulation of Prolonged Action Preparations
Oral sustained action products are of two kinds depending on

the way in which the maintaining dose is released (Fig.
41.11). For the so-called repeat action and timed release
products the maintaining doses become available at discrete
time intervals. If the maintaining drug is continuously
released, the product is of the prolonged action or sustained
release type. Although other names are used for branded
products there is no widespread
agreement on nomenclature; the terms used in the text should
be self-explanatory. In spite of the diversity of names the
formulator may use coatings, erosion, diffusion or a limited
combination of these to control drug release from oral
products. Additionally there is a group of miscellaneous
products where biological availability is controlled by the
dissolution rate, partitioning, chemical reaction within the
body and by other means.
Coatings: Enteric and barrier coatings are used. Enteric
coatings are intended to resist the acid gastric secretions but
dissolve in the intestinal fluids. Cellulose acetate phthalate
and some other polymeric films avoid most of the problems
associated with earlier materials and provide reliable enteric
action. Their use in the formulation of sustained action
products is less clearly defined. Once the coating has
dissolved, the release of drugs is identical with that of the
uncoated dose-form but is displaced by a period equivalent to
the transit time from the mouth to the stomach or intestine
and by the time taken for the coating to dissolve. The latter is
2269
a primary function of coating thickness, as above pH 6.0 the
dissolution rate of the coating is not markedly affected by the
reaction of the solvent.
It is not possible to control the transit time, however, as this is
dependent on the stomach emptying rate. An average value
for the stomach emptying time is 4 hours but is longer if the
stomach is empty and less if the drug is taken with plenty of
fluid. The emptying rate is also affected by the posture of the
patient; it is less if the patient lies on the left side as this
requires the gastric contents to follow the natural uphill curve
of the stomach towards the duodenum.
In general, the foregoing problems do not arise with
permeable barrier coatings; for these the only requirement is
that water shall be available for diffusion through the barrier
to provide solvent for the drug so that it may diffuse outwards
through the barrier, to the gastrointestinal tract.
Ethylcellulose, nylon and acrylic plastics modified by
hydrophilic groups are polymeric materials that have been
used to give permeable films that are applied in much the
same way as cellulose acetate phthalate. These coatings may
be applied to whole tablets or to pellets formed by coating
preformed sucrose seeds with drug dissolved or suspended in
an adhesive solution. Alternatively, drug crystals may be
coated by mechanical microencapsulation (Nack, 1970) or
coacervation (Nixon, et al., 1968). Sustained action tablets
prepared by compressing polymer film coated crystals have
been evaluated (Bell et al., 1966).
As an alternative to polymers, lipophilic coatings comprising
paraffin waxes, fatty alcohols and acids, glyceryl
monostearate and distearate may also be used to form
permeable barriers. For a given coating composition the
release rate is decreased if the thickness is increased or, for a
given coating thickness, the more polar materials allow water
2270
to penetrate more rapidly and this results in a faster release of
drug (Jack, 1961). Release is delayed by the time taken for
water to penetrate to the solid and for this to diffuse outwards.
In one product using this method of controlling release, the
drug is formed into small pellets as described above and these
are treated with a wax composition dissolved in a suitable
solvent. Normal pan coating is used. The batch of pellets will
have a mean value for the delay and release rate. Due to the
nature of the pan coating process the values of these
parameters will vary by a greater or lesser extent about the
mean values for the batch. A typical sustained action
preparation consists of a capsule containing untreated drug
pellets together with pellets that have been given different
thicknesses or compositions of wax coatings. On ingestion the
capsule shell dissolves and the uncoated drug pellets provide
a prompt dose which is maintained by release from the
different coated pellets at timed intervals. The release profile
is shown in Fig. 41.11. The statistical release of drug from
each batch of pellets smoothes out the peaks and troughs in
the response. A dextamphetamine product of this type
behaves in the expected manner (Beckett & Tucker, 1966).
It is worth noting that if product performance is to be assessed
by urinary excretion data, it is necessary in the case of ionized
drugs to control the pH of the urine so that tubular
reabsorption is avoided.
Erosion control: The finely powdered medicament is
embedded in a wax formed from one or more of the
following—stearic acid, hydroxystearic acid, hardened castor
oil and fatty alcohols. If
necessary, water penetration may be controlled by the
inclusion of a hard polyethylene glycol in the wax. The drug
is dispersed in molten wax, rapidly solidified on a cold drum
or in trays and the flakes passed through a swing-hammer
2271
granulator. The granules are compressed in the normal
manner to give a sustained action core onto which is
compressed a dose of the same drug formulated for prompt
release. When administered, the coating disintegrates to
provide the prompt dose which is maintained by gradual
erosion of the core that constantly exposes fresh surface from
which drug may be dissolved. Wax embedment has been used
to produce sustained action liquid oral products containing
sulphaethidole. The molten mixture is either spray congealed
(Raghunathan & Becker, 1968) or dispersed in dilute
surfactant solution to form a mechanical emulsion and chilled
(Robinson & Becker, 1968). The wax spheres containing drug
formed by these processes are very small and it is likely that a
diffusion, rather than erosion, mechanism is responsible for
the sustained action properties.
Diffusion control: This may be exerted by a gelled layer of
hydrophilic colloid, a plastic matrix or by ion exchange
resins. In the first of these methods the drug is mixed with
inert filler, hydrophilic colloid and lubricant and compressed
in the normal way at high compaction pressure. Tragacanth,
hydroxypropylmethyl cellulose and a number of other gums
have been used as the gelling agent. The lubricant is usually
employed in a higher than normal concentration to raise the
contact angle of the pores and thereby control penetration of
liquid into the tablet. The initial release of drug is rapid as it is
dissolved from the surface but the rate subsequently slows
down as the colloid hydrates to form the gelled layer through
which drug must diffuse to provide the maintenance dose. It
is possible that in vivo there may be some erosion of the
gelled layer.
Diffusion governed drug release from an insoluble plastic
matrix is also used to provide sustained action products.
Polythene polyvinyl acetate or chloride, ethylcellulose and
2272
other plastics have been used. Tablets are prepared by mixing
the drug with powdered plastic and compressing in the
normal way or, alternatively, the mixed powders may be
moist granulated with a solution of the plastic in a suitable
organic solvent.
Higuchi (1963) derived equations for the release of drug from
matrices and showed that for a range of conditions the amount
of drug (Q) released should vary as the square root of time,
that is:
(41.11)
where m is a constant relating to the matrix and elution

conditions. In vitro tests have shown that Eq. 41.11 applies to
a wax matrix under non-eroding conditions (Schwartz et al.,
1968) and to plastic matrices (Desai et al., 1966a & b)
provided the dissolution fluid contains a surfactant to promote
pore wetting and air is removed by vacuum treatment. The
plastic matrix does not disintegrate but is excreted unchanged.
Ion-exchange resins provide a means for binding ionized
drugs inside a diffusion controlling insoluble matrix. The
maximum size of the molecule that may be accommodated
within the molecular mesh of the resin is determined by the
degree of cross-linking. This factor and the size of the resin
beads determines the rate of release, which is slower for
partially saturated resins (Chaudry & Saunders, 1956). Drug
is released regardless of the nature of the gastrointestinal
fluids; taking the case of a cationic drug bound to an anionic
sulphonic acid resin the appropriate reactions in the stomach
and intestine are: Stomach:
2273
Intestine:
The utility of ion-exchange resins for the formulation of

sustained action products is limited in that only ionic drugs
are suitable and the capacity of the resin for the drug is small.
There is also the possibility that the body electrolyte balance
may be disturbed by absorption of ions by the resin. An
example of this type of medication is afforded by an
antitussive mixture, formulated by suspending the
ion-exchange resin complexes of pholcodine and
phenyltoloxamine in a syrupy vehicle.
Other Long-Acting Preparations
It is often possible to extend the duration of activity by

forming a derivative of the drug that has low solubility. The
utility of this approach in the case of insulin preparations has
been described already. Deep injection into muscle and the
use of an oily vehicle may also help to prolong action
provided the latter is viscous enough to form a localized depot
rather than spread along the muscle fascia.
Early penicillin injections used oil thickened with beeswax
but were difficult to use unless thinned by gentle warming
prior to administration. According to Buckwalter and
Dickison (1958), oily depot injections of procaine penicillin
gelled with aluminium stearate give higher and more
2274
prolonged blood levels than corresponding products with
beeswax or plain oil. Ober et al. (1958) investigated aqueous
depot injections of the same antibiotic derivative. Using a
high (40–70 per cent w/v) concentration of the drug together
with sodium citrate as deflocculating agent they produced a
series of injections having as a characteristic rheological
property a spur in the shear stress/ shear rate curve. Suitable
products were obtained when the spur had a value which, on
their rotational viscometer, was equivalent to a torque in the
range 105–106 dyne cm. The shear stress in the needle
exceeds the upper value and the product can be withdrawn
from the vial and injected into the patient. In muscle, where
the shear stress is less than the lower value, structure build-up
takes place and the injected material sets to form a depot.
A broad range of particle size is desirable to provide
immediate response by the dissolution of fine particles and a
sustained effect lasting several days by the less rapid
dissolution of the coarser particles.
It is also possible to control the release of drug by adsorption
onto insoluble carriers such as zinc or aluminium hydroxides
or phosphates. Corticotrophin depot injections are produced
in this way: zinc phosphate carriers tend to crystallize on
storage and must be produced by precipitation of the carrier in
the container just prior to injection. This procedure is not
necessary with the zinc hydroxide carrier as the latter does not
crystallize when stored.
With suitable drugs it is possible to produce depot injections
with an effective duration of several weeks while even longer
periods are possible with implants. Preparations of these types
are only feasible with drugs that are effective in very low
dosage and which are also very insoluble in water. This
combination of therapeutic and physicochemical requirements
limits the range of medicaments that are worthwhile
2275
formulating as ultra long-acting drugs to the steroid hormones
and a few other substances. They also form esters that
hydrolyse in vivo at rates convenient for formulation
purposes, as discussed earlier. Depots of drug are formed by
deep intramuscular injection of aqueous suspensions of the
drug or oily solutions of these. Oestradiol, testosterone,
methylprednisolone and fluphenazine are examples of drugs
available as depot injections.
If a longer period of therapy is required the drug may be fused
or compressed into a pellet (implant) and inserted into the
muscle by a minor surgical operation. The use of additives for
the production of implants is prohibited. Obviously, the
surface area of the implant will decrease as the drug
dissolves. Nevertheless, for the purpose of dose calculation,
Edkins (1959) has shown that the average daily dose over a
given period may be related to the initial surface area of the
implant. Thus, for deoxycortone acetate implants:
If an average daily dose of 1.2mg for 83 days is required then

4×25mg would be implanted in the muscle. Generally, as in
the case of testosterone, the release is sufficiently limited by
the dissolution rate that there is no need to employ the ester. It
will be appreciated that the complete prohibition of additives
and the need for rigorous aseptic precautions during
manufacture pose formidable technical problems.
Calculation of doses for sustained action products: The total
dose of drug, Dt, in a prolonged action preparation comprises
the normal (prompt) dose, Dn, and the sustaining dose Ds i.e.,
2276
(41.12)
If the first order elimination rate constant is k, the rate at

which drug is eliminated when a normal dose is given is Dnk
which is the rate at which drug must be replaced if the peak
blood level is to be maintained. Given a maintenance period t
the maintenance dose (Ds) is Dn kt. The total dose is
therefore:
(41.13)
Suppose the biological half-life is 1.73 hours, Dn is 80mg and

t is 10 hours, substituting in Eq. 41.13:
For a t1/2 of 3.46 hours
The use of the normal dose does not take into account the fact
that to obtain a reasonable duration of action it may be
necessary to accept a peak response near that at which side
2277
effects become noticeable. Nelson (1957) suggested that a
factor (f) should be used in calculation to adjust the amount of
drug such that lower but still therapeutically effective blood
levels are attained. Fig. 41.12 shows the calculated response
curve for an 80mg oral dose of drug having a biological
half-life of 3.46 hours and it is assumed that the upper and
lower limits of blood concentration for effective therapy are
3.5–5.5μg/ml respectively. The peak blood level is 5.35μg/ml,
the onset about 35minutes and the duration about 4½ hours. If
a reasonable blood level is 4.0μg/ml the value of Dn for Eq.
41.13 must be reduced by the factor (f) equal to 4.0/
5.35=0.75. The total dose may be recalculated as follows:
2278
Fig. 41.12 Time course of action curves for intravenous and
oral administration of 80mg of drug having biological
half-life of 3.46h.
Even with these reduced amounts of drug the concentration in

the blood may be higher than intended due to the
simultaneous release from both the prompt and maintenance
forms. There is also the possibility (Rowland & Beckett,
1964) that there may be an initial peaking of the blood level,
particularly for drugs with short biological half-lives. It must
be stressed that some products, for example those of the
repeat action type, are not subject to this particular problem.
Similarly, the problem may be avoided if the release of drug
from the maintenance form is deliberately delayed by, say,
the use of film coating.
Further sophistication of the calculations for the amounts of
the prompt and sustaining doses requires more elaborate
theoretical treatment than has been used so far. A
fundamental theory of the time course of action of drugs
relies on a knowledge of the effective concentration of drug at
the ultimate site of action but this is not accessible. One
approach, widely used, is that of compartmental analysis due
to Teorell (1937). A compartment may be regarded as a
transferable reservoir of drug the amount of which changes
with time. Strictly, a compartment is a convenient
mathematical device for simplifying calculations and need not
be identified with a particular part of the body but it is often
convenient to do so. The method may be illustrated by a
2279
model that comprises a single compartment (equivalent to the
blood, tissues and extravascular fluids) into which the drug is
rapidly introduced and from which it is eliminated by first
order processes. The model mimics rapid intravenous
injection in those cases where it can be assumed that
equilibrium between the blood and tissues is so rapid relative
to other processes that it has negligible effect on the time
course of action.
By integration,
(41.14)
where D0 is the total dose given by rapid intravenous

injection, DB is the amount of drug present in the body at
time t and k is the rate constant for elimination. DB cannot be
determined directly –only the body fluids are accessible and
these will have a concentration CB of drug. The term VD is
the apparent volume of distribution such that DB = VD.CB it
too is a mathematical device used to account for the mass of
drug in each part of the model and should not be identified
with the total body fluids. The value of VD is calculated from
the data obtained in each particular study of drug action but
an acceptable value for the purposes of these calculations is
10 litres (10,000ml). Substitution gives:
2280
(41.15)
Clearly, eqs. 41.14 and 41.15 are alternative forms of Eq.

41.9. Assume the dose of 80mg (80,000micrograms) used in
the previous calculations and a biological half-life of 3.46h,
that is k = 0.2h−1. The blood level after 1h is:
and for other times is shown in Fig. 41.12.

It must be emphasized that compartmental analysis is applied
to the results of in vivo investigations to obtain the
mathematical model that best fits the experimental data. Apart
from providing information about the mechanisms of
absorption metabolism and excretion the model allows the
effects of dose size, rate of release, dose frequency and other
factors to be calculated. Subsequent in vivo experiments to
determine the optimum values for those parameters are
thereby reduced and this is of the greatest importance if tests
are to be conducted with human volunteers.
Applying the method to the formulation of a sustained action
tablet, assume that a single compartment model is known to
provide a good fit to the available in vivo data. The model is:
Zero order release from the sustaining dose ensures a constant

level of drug in the blood; the rate constant is ks. If, as before,
2281
k = 0.2h−1 the design value of CB is 4μg per ml and the drug
is completely absorbed, i.e. F = 1
If VD = 10 litres and the sustaining time (T) is 10 hours the

sustaining dose Ds is
For the zero-order sustaining process
(41.16)
Which on integration gives:
(41.17)
The release and absorption of drug from the prompt dose is

first order overall and rate constant is ka. Theappropriate rate
equation is:
(41.18)
2282
Which, on integration, gives:
(41.19)
For F = 1, ka = 1.0h−1, D0 = 80mg, k = 0.2h−1 and VD = 10

litres the blood concentration at, say, 2h is:
The complete curve is given in Fig. 41.12.

Clearly, when the additional drug released from the
maintenance dose is also taken into account, at say, 2h after
administration of the sustained action tablet, the blood level
would be very much in excess of the design level. Calculation
shows that a peak level of the order of 6.8μg per ml would be
produced thus the level beyond which side effects become
serious would also be exceeded as shown in Fig. 41.13. By
reducing the amount of prompt dose these problems may be
avoided and it has been suggested that a suitable value would
be:
(41.20)
which for the preparation considered here is:
2283
Fig. 41.13 Combined effect of 80mg of prompt and sustaining
doses of drug having a biological half-life of 3.46h.
Eq. 41.17 for the sustaining dose and Eq. 41.19 for the
prompt dose may be combined to give Eq. 41.21.
(41.21)
2284
This may be solved for different values of prompt dose (D0)
until the desired release profile is obtained as shown in Fig.
41.14.
Fig. 41.14 Calculated effect of size of prompt dose (D0) on

blood levels attained by a sustained action preparation for
which Ds = 80mg, k = 0.2h−1, ka = 1.0h−1, k8 =0.8mg h−1.
At the end of the sustaining period the normal exponential

decline in the value of CB occurs. If the concentration of drug
in the blood at the end of the sustaining period is CT, for this
part of the time course of action curve:
(41.22)
2285
From these calculations it would appear that a tablet
comprising a prompt dose of 40mg and a sustaining dose of
80mg should meet the design specification. In practice several
trial formulations would be made and then tested in vivo.
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Aguiar AJ, KRC J Jr., Kinkel AW, Samyn JC. J. Pharm. Sci.
1967;56:847.
Aguiar AJ, Wheeler LM, Fusari S, Zelmer JE. J. Pharm. Sci.
1968;57:1844.
Anderson CM. Austr. J. Pharm. 1966;47:544–546.
Bandelin FJ. J. Am. Pharm. Assoc. (Sci. Edn) 1958;47:691.
Bates TR, Lambert DA, Johns WH. J. Pharm. Sci.
1969;58:1468.
Bean HS, Heman-Ackah SM. J. Pharm. Pharmacol.
1964;16:58T.
Bean HS, Konning GH, Malcolm SA. J. Pharm. Pharmacol.
1969;21:173S.
Beckett AH, Tucker GT. J. Pharm. Pharmacol. 1966;18:72S.
Bell SA, Murray B, Holliday WM. J. New Drugs.
1966;6:284.
Blaug SM, Ahsan SS. J. Pharm. Sci. 1961;50:138.
Blaug SM, Ahsan SS. J. Pharm. Sci. 1961;50:441.
Brown MRW, Norton DA. J. Soc. Cosmet. Chem.
1965;16:369.
Buckwalter FH, Dickison HL. J. Am. Pharm. Assoc. (Sci.
Edn) 1958;47:661.
Charnicki WF, Kober ML. J. Am. Pharm. Assoc. (Sci. Edn)
1957;46:481.
Chaudry NC, Saunders L. J. Pharm. Pharmacol. 1956;8:975.
2286
Davison C, Guy JL, Levitt M, Smith PK. J. Pharmacol., Exp.
Ther. 1961;134:430.
D"arcy PF. Pharm. J. 1965;194:637–643.
Delucca PP, Kostenbander HB. J. Am. Pharm. Assoc. (Sci.
Edn) 1960;49:430.
Desai SJ, Singh H, Sunonelli AP, Higuchi WI. J. Pharm. Sci.
1966;55:1230.
Desai SJ, Singh H, Sunonelli AP, Higuchi WI. J. Pharm. Sci.
1966;55:1235.
Drain DJ, Lazare R, Poulter GA, Tattersal K, Urbanska A. J.
Pharm. Pharmacol. 1959;11:139T.
Duncan WAM, Macdonald G, Thornton MJ. J. Pharm.
Pharmacol. 1962;14:217.
Edkins RP. J. Pharm. Pharmacol. 1959;11:54T.
Eriksen SP, Paul JF, Swintosky JV. J. Am. Pharm. Assoc.
(Sci. Edn) 1958;47:697.
Flanagan TH, Broad RD, Rubinstein MH, Longworth AR. J.
Pharm. Pharmacol. 1969;21:129S.
Ganderton D, Hadgraft JW, Rispin WT, Thompson AG.
Pharm. Acta Helv. 1967;42:152.
Haines BA, Martin AN. J. Pharm. Sci. 1961;50:753.
Hersey JA. Mfg. Chem. & Aerosol News. 1969;40:32.
Hibbott HW, Monks JM. J. Soc. Cosmet. Chem. 1961;12:2.
Higuchi T. J. Pharm. Sci. 1963;52:1145.
Higuchi WI. J. Pharm. Sci. 1967;56:315.
Hugo WB, Foster JWS. J. Pharm. Pharmacol. 1964;16:209.
Humphries KJ, Richardson G, Rhodes CT. J. Pharm.
Pharmacol. 1968;20:4S.
Jack D. J. Mond. Pharm. 1961;4:10.
Leach RH. Pharmaceut. J. 1970;205:227.
Levy G. J. Pharm. Sci. 1961;50:388.
Levy G. J. Pharm. Sci. 1963;52:1039.
Marshall K, Brook DB. J. Pharm. Pharmacol. 1969;21:790.
2287
Martindale. The Extra Pharmacopoeia. London:
Matthews BA, Rhodes CT. J. Pharm. Pharmacol.
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1959;48:315.
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1960;49:245.
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Nixon JR, Khalil SAH, Carless JE. J. Pharm. Pharmacol.
1968;20:528.
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Oker SS, Vincent HC, Simon DE, Frederick KJ. J. Am.
Pharm. Assoc. (Sci. Edn) 1958;47:667.
Oldshue JJ. J. Pharm. Sci. 1961;50:523.
Paul HE, Hayes KJ, Paul MF, Borgman AR. J. Pharm. Sci.
1967;56:882.
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Edn) 1959;48:310.
Raghunathan Y, Becker CH. J. Pharm. Sci. 1968;57:1748.
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Rowland M, Beckett AH. J. Pharm. Pharmacol.
1964;16:156T.
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2288
Tyrer JH, Eadie MJ, Sutherland JM, Hooper WD. Br. Med. J.
1970;4:271.
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Withey RJ, Mainville CA. J. Pharm. Sci. 1969;58:1120.
2289
Chapter 42
Pharmaceutical Aerosols
Aerosols or pressurized packs have been in use since the
1940s by which time they had been developed for the
dissemination of insecticides. The term aerosol has a specific
meaning denoting a fine dispersion of liquid or solid particles
in a gas where the particle size is less than 50μm in diameter,
as for example, a mist or smoke. In the packaging sense
however, aerosol is generally understood to refer to a
self-contained sprayable product operating under the Pressure
of a liquefied or compressed gas known as the propellant.
The range of such products has developed rapidly,
particularly in the household field where convenience of use
has offset the increased cost of this form of packaging.
In the pharmaceutical field the advance has not been so rapid.
To some extent this may be due to a shortage of personnel in
the pharmaceutical industry suitably trained in pressurized
packaging and to the time required to assimilate the ideas and
possibilities of such a comparatively new technology. Also
the capital cost of setting up aerosol development laboratories
and filling equipment has in many cases resulted in
manufacturers using contract specialists to produce their
products.
The administration of medicines by aerosols probably poses
greater problems in stability, toxicity and particularly
formulation, than the more traditional methods of presentation
and certainly medicinal aerosols require more stringent
attention and perhaps a more conservative approach than
other forms of aerosol. Even so, an impressive number of
pharmaceutical and veterinary preparations are at present
2290
available. These fall into a number of categories according to
their use.
Categories
Topical Preparations
These are intended for application to the external surfaces of

the body.
Local Analgesics
The refrigerant effect of the evaporating propellant is used to

produce surface analgesia. Ethyl chloride spray is an early
example. The ethyl chloride acts both as propellant and
analgesic agent.
Local Anaesthetics
These usually contain benzocaine or xylocaine.
Antiseptic and Skin Sterilizers
Chlorhexidine, benzalkonium chloride, surgical spirit, etc.,

may be used for preoperative skin sterilization and in the
treatment of burns where swabbing with antiseptic is
minimized or obviated. This results in less discomfort to the
patient and prevents the transfer of microorganisms to other
areas. Care is required here since, in contradistinction to local
anaesthetics, the refrigerant effect of the evaporating
propellant may cause trauma when applied to the damaged
2291
skin. Surgical spirit is easily formulated into an aerosol for
the prevention of bed sores. In at least one hospital this has
resulted in a saving of spirit over the usual swabbing
technique on cotton wool, which more than covered the
increased cost of aerosol presentation with less discomfort to
the patient.
Skin Dressings
Based on polymers (e.g. acrylic resins), these may be sprayed

on to serve as surgical dressings. They provide a flexible
water resistant and microorganism-proof barrier applied with
less discomfort, more easily and quickly than traditional
dressings.
Fungicidal Agents
Undecylenic acid derivatives and 3-p-chlorophenoxypropane

1:2 diol are used for the treatment of such conditions as
athletes’ foot.
Antiparasitic Agents
These are used in the treatment of scabies.
Antibiotics
Neomycin, polymyxin, tyrothricin and gramicidin are used as

powder aerosols. They give good coverage in micronized
suspension and some have been used as spray-on ointments in
oleaginous bases.
2292
Anti-inflammatory agents, e.g. hydrocortisone and its
derivatives.
Antipruritics, e.g. fluocinolone acetonide.
Preparations for Administration to Body Cavities
Ear: The treatment of otitis media by the local application of

an aerosol is said to be more successful than older methods.
Nose: Nasal decongestants such as quinine, camphor,
menthol, chlorbutol, thymol, oil of eucalyptus, methyl
salicylate and ephedrine hydrochloride are used, either singly
or combined, for the treatment of nasal congestion. The
inclusion of various germicides is said to give cold relief.
Throat: Similar preparations traditionally given by atomizer
give relief in sore throats. A benzocaine preparation is
available for use in preparing the patient for laryngoscopy.
Oral: Antiseptic and odoriferous agents are used for mouth
hygiene and halitosis. Amethocaine hydrochloride and
benzocaine are included in an aerosol for use in dentistry
Oral inhalation: A number of preparations are available for
oral inhalation which are intended to produce either a local or
a systemic effect. The problems associated with these and
their formulation are discussed later.
Local action in the lungs: Isoprenaline, noradrenaline,
adrenaline and atropine salts are used for the treatment and
relief of bronchospasm in asthma, chronic bronchitis and
emphysema. Accurate dosage is applied through a metered
valve and suitable oral inhalation adaptor. The greater
convenience and facility in use of the aerosol method of
presentation over traditional inhaler methods has led to some
fatalities due to too frequent usage. Lobeline hydrochloride is
used as an antismoking inhalant. Radiological diagnostic
2293
agents such as propyliodone have also been formulated as
aerosols for X-ray examination of the respiratory tract.
Systemic action via the lungs: Many drugs, are readily
absorbed systematically through the tracheobronchial tree.
Systematic rather than local effects may be achieved by
suitable formulation.
Veterinary products: The vast majority of these are for topical
application and consist of antiparasitics (pyrethrum,
pybuthrin, lindane), shampoos, preparations to protect bitches
in season, poultry pecking preventatives, ear tick treatments,
cat and dog repellants, sheep foot-rot treatments, lamb
fosterage aids, ringworm treatments (dichlorophen,
undecylenic acid), postsurgical anti-infectives, spray
bandages.
Advantages and Disadvantages of Aerosols
The number and variety of aerosol packs clearly indicates that

they possess some advantages over the more traditional
methods of presentation. The advantages are many and the
disadvantages few, though not negligible.
Advantages
1. Convenience, speed and ease of application.

2. Efficient dispersion.
3. Avoidance of manual contact with the medicament.
4. Immediate local application.
5. High concentration of the medicament over a limited area.
6. Application without manual contact with the patient thus
producing minimum irritation of painful areas.
7. Rapid response to the medicament.
2294
8. Controlled and uniform dosage produced by metered
valves.
9. By changing the pressure in the pack or using special
valves the spray characteristics may be varied from a coarse
wet spray to a fine dry mist.
10. A fine mist is easily formed for inhalation purposes.
11. Insufflation of pressurized powders is available.
12. If the drug is soluble in the propellant few formulation
difficulties are encountered.
13. No contamination of the product from the environment
since the system is pressurized.
14. The sterility of sterile products is maintained since no
organisms can enter the pack when the valve is opened.
15. The exclusion of light by all but clear glass containers
protects photolabile constituents.
16. Absence of air in the container prevents oxidation of
susceptible drugs.
17. Hydrolysis of ingredients can be prevented since
propellants contain no water.
18. Drugs given by oral inhalation are less liable to
decomposition since they do not pass through the
gastrointestinal tract.
Disadvantages
1. The container, valves, propellants and filling methods are

more expensive than traditional packs.
2. Disposal may be difficult. Residual amounts of propellants
in exhausted packs continue to exert a pressure and may
constitute a hazard in disposal through the usual methods. The
number of aerosol packs however is small compared with the
total amount of domestic refuse disposed of and local
2295
authorities seem not to have experienced any special
difficulties.
3. Aerosol packs must not be subjected to heat since high
pressures can develop. Most pharmaceuticals should not be
exposed is heat in any case.
4. Where the drug is not soluble in the propellant, cosolvent,
emulsion, or suspension systems must be used. This may
result in formulation difficulties greater than those met in
conventional packs.
5. The toxicity of propellants, though very small, may cause
problems where inhalation therapy takes place over a
considerable period of time. There is some present disquiet
that heart patients may be at risk if propellants are inhaled.
6. The refrigerant effect of highly volatile propellants may
cause discomfort on injured skin.
7. Catalytic oxidation of drugs such as ascorbic acid and
epinephrine has been caused by traces of metal from valve
parts or container.
8. It is necessary to test the formulation againstall parts of the
container and valve, including gaskets, for stability.
Basic Aerosol Technology

Aerosol Systems
All aerosols or pressurized packs consist of a container and

valve together with a propellant or mixture of propellants and
the active ingredient. The propellants supply the pressure
required to eject the product from the pack when the valve is
opened and may also form the solvent for the active
ingredient. Fig. 42.1 shows the simplest form, namely, a
two-phase system. The liquid phase consists of the propellant
2296
or propellant mixture with the active principle in solution.
The vapour phase consists of the vapour of the propellant(s).
Since the vapour, pressure of the propellant(s) is high, the
contents exert a pressure against the walls of the container.
When the valve is opened by pressing the actuator button this
internal pressure forces the liquid contents up the dip tube or
stand pipe through a valve orifice, valve stem and actuator
button orifice into the atmosphere where the propellant
instantly vapourizes leaving a fine dispersion of the active
principle. Where the active principle is not soluble in the
propellant, modifications are necessary. Cosolvents may be
used to achieve solution but these will affect the vapour
pressure of the system. Solution of the active principle in a
suitable solvent which is immiscible with the propellant gives
rise to three-phase systems consisting of the propellant liquid
phase, the solution liquid phase and the vapour phase. If the
propellant is lighter than the solution, the dip tube must reach
to the bottom of the container as in Fig. 42.2A. If it is heavier
the dip tube must be shortened as in Fig. 42.2B so as to avoid
spraying propellant and not product. The two liquid phases
may also be emulsified to produce an emulsion system which
may be oil-in-water or water-in-oil, the propellant
representing the oil phase. The characteristics of these two
forms of emulsion are quite different. The oil-in-water system
produces a foam whilst the water-in-oil system generally
produces a coarse wet spray or stream. Suspended powder
aerosols are examples of three-phase systems. They consist of
a solid phase (the powder) suspended in a liquid phase (the
propellant), the vapour phase consisting of propellant vapour.
The inclusion of lubricants and close control of particle size
of the powder are usually necessary. Aerosols consisting of
the powder as the ingredient, and a compressed gas as the
propellant, are examples of solid–gas two-phase systems.
2297
Fig. 42.1 Diagram of a simple form of aerosol package.
Fig. 42.2 Aerosol three-phase system’s (A) and (B).
2298
Propellants
The propellants used in aerosol systems may be classified into

liquefied gases: (a) fluorinated hydrocarbons, and (b)
hydrocarbons; and compressed gases: (a) insoluble in water,
i.e. nitrogen, argon, and (b) soluble in water, i.e. carbon
dioxide, nitrous oxide.
Liquefied Gases
Fluorinated hydrocarbons: A large number of

fluoromethanes and fluoroethanes are available under the
trade names of Arctons, Algofrenes, Freons, Genetrons,
Isceons, Isotrons and Ucons. The most commonly used in
practice by far are trichlorofluoromethane,
dichlorodifluoromethane and dichlorotetrafluoroethane. A
numbering system used by the refrigeration industry has been
generally adopted to designate these propellants. Reading the
number from right to left the first digit is the number of
fluorine atoms in the compound, the second digit is the
number of hydrogen atoms plus one and the third digit is the
number of carbon atoms minus one. If the latter digit is zero,
it is omitted. The number of chlorine atoms is determined by
subtracting the sum of hydrogen and fluorine atoms from the
total number of atoms which can be attached to the carbon
atoms. When one carbon atom is present this sum is four,
when six carbon atoms are present it is six. Where isomers
occur the same number is given to all but the letters a, b, c,
etc., are appended to indicate increasing asymmetry (see
Table 42.1).
2299
Table 42.1 Fluorinated hydrocarbons
Name Formula Designation

Trichlorofluoromethane C.Cl3F 11
Dichlorodifluoromethane C.Cl2F2 12
Dichlorotetrafluoroethane C.ClF2C.CIF2 114
Dichlorotetrafluoroethane C.Cl2FCF3 114a
Each propellant exerts its own absolute vapour pressure. The
gauge pressure which is found by subtracting one atmosphere
is that pressure exerted by the propellant alone when enclosed
in the container. It can be measured by suitably applying a
pressure gauge to the pack. The gauge pressures exerted by
the commonly used propellants at 21.1°C are as follows:
Comparative figures and conversion factors are as follows:
Since these propellants are miscible it is clear that suitable

mixtures will provide an infinite variety of pressures up to
2300
about 70 psig (4.92kg/cm2). The use of
chlorodifluoromethane can extend this range to 122.5 psig
(8.613kg/cm2). This is a very useful facility, since pressure
plays a large part in determining the spray characteristics of
the finished product. Most aerosol formulation and testing is
done at 21.1°C, hence most data are provided for that
temperature. Fig. 42.3 shows the pressures of mixtures of
propellants 12 and 114 and also the effect of temperature on
these. Fluctuations in temperature of more than a few degrees
may affect the satisfactory operation of the aerosol pack.
Fig. 42.3 The effect of temperature on the absolute pressure

(in psig for kg/cm2 conversion factors is 0.070308) of
mixtures of propellants 12 and 114 A, 100 per cent propellant
12; B, 20 per cent propellant 12; C, 60 per cent propellant 12;
D, 40 per cent propellant 12, E, 20 per cent propellant 12, F,
100 per cent propellant 114 (for gauge pressure subtract
14.7).
2301
Calculation of Vapour Pressure of a Mixture of Liquefied
Gases
If the solution is ideal the resultant vapour pressure of a

mixture of two liquefied gases may be calculated according to
Raoult’s Law by multiplying the sum of the mole fraction of
each component present by its vapour pressure, for example:
From the following data calculate the gauge pressure of a
mixture of 30ml propellant 114 and 70ml propellant 12,
assuming atmospheric pressure to be 1.033kg/cm2.
Propellant 114 Propellant 12
Molecular weight 170.9 120.9
Vapour pressure at 21.1°C 1.9kg/cm2 6.0kg/cm2
Density of liquid at 21.1°C 1.468g/ml 1.325g/ml
Convert to weight
30ml propellant 114 = 30 × 1.468
70ml propellant 12 = 70 × 1.325
2302
Since the solution of the two liquefied gases is not usually
ideal, the calculated pressure usually falls below the measured
pressure by up to about 10 per cent. Aerosol propellant
manufacturers can usually supply nonograms from which the
resultant pressure of mixtures of propellants can easily be
read for different temperatures.
Hydrocarbons: Fluorinated hydrocarbon propellants are
themselves nonflammable]. Paraffin hydrocarbons such as
propane, butane, pentane and hexane however, which may
have found greater use in some countries because of their
comparative cheapness, have been limited to some extent by
their flammability. They are largely used to replace part of the
fluorinated hydrocarbons in order to lower the price of the
pack. They may also be used in three-phase systems where
the propellant and product are immiscible. The low density
hydrocarbons form the upper layer and are not sprayed until
2303
the whole of the product has been dispersed. Fig. 42.4 shows
the vapour pressure– temperature relations of the hydrocarbon
propellants. Mixtures may be used.
Fig. 42.4 (A) Hexane; (B) Pentane; (C) Isopentane; (D)

Butane; (E) Isobutane; (F) Propane. The vapour
pressure–temperature relationships of hydrocarbon
propellants (adapted from Pressurized Packaging (Aerosols),
Herzka and Pickthall, Butterworths Scientific Publications).
Since the pressure in an aerosol pack is determined mainly by

the vapour pressure of the liquefied propellant or propellant
mixture and not by the amount present, it follows that this
pressure will be sensibly maintained so long as a drop of
propellant remains. This is a great advantage over the use of
compressed gases where the pressure falls as the product is
used.
Excess pressure: The presence of air in an aerosol pack gives
rise to a pressure in excess of that calculated for the
propellant– product system. This can be quite appreciable as
indicated in Fig. 42.5. For this reason, air must be removed
2304
either by the application of a vacuum which is broken by the
propellant fill, or by purging with a small amount of
propellant.
Fig. 42.5 Excess pressure due to presence of air. Propellants

11 and 12 equal parts in mixture.
Toxicity: The classification of toxicity groups of common

refrigerants (some propellants are used as refrigerant gases),
Table 42.2, has been used to assess the life hazard of
propellants when present in air in the absence of flame or hot
surfaces. Thus inhalation toxicity classification places
propellants 12 and 114 in Group 6 and propellant 11 in Group
5. However, decomposition of fluorohydrocarbons at high
temperatures in the presence of moisture; which may occur if
they are sprayed into a flame or on a red-hot surface, results
in the formation of hydrogen chloride hydrogen fluoride and
some phosgene. Care should therefore be taken that flame
extension tests for flammability are carried out in a suitably
ventilated environment. There is some indication that persons
2305
suffering from heart conditions may have a sudden collapse
as a result of inhaling propellants.
Table 42.2 Toxicity classification
Group Lethal effects or serious injury at

Concentration in air
Exposure time
volume per cent
1 0.5–1.0 5min
2 0.5–1.0 30min
3 2.0–2.5 1h
4 2.0–2.5 2h
5 Considerably less toxic than group 4, more toxic than
group 6
6 20.0 No harmful effects after
exposure for 2h
From Nuckolls, A.H., The Comparative Life, Fire and

Explosion Hazards of Common Refrigerants. M.H. 2375,
1933, 106. Underwriters Laboratories. Chicago.
Compressed Gases
Insoluble gases: Nitrogen and argon being substantially

insoluble in the product, pose problems when used as
propellants. As the product is used the gas expands with the
increasing headspace and the pressure falls. This can result in
changing spray characteristics and even failure to deliver the
whole contents of the pack. Higher initial pressures are
2306
necessary and suitable one-or two-piece containers required
to withstand the pressures involved. Assume that 30 psig
(2.11kg/cm2) pressure is required to produce a satisfactory
spray from a product filled two-thirds full with one-third
headspace when the last of the product is being dispersed. At
this point the gas will have expanded to three times its
volume, hence an initial pressure of 90 psig (6.33kg/cm2)
would be necessary. For liquid preparations the output is
usually in the form of a wet stream rather than a spray and
special break up spray actuators are necessary.
Soluble gases: Nitrous oxide and carbon dioxide are soluble
in aqueous products. The gas in solution is in equilibrium
with the gas in the head space and dependent upon the
pressure of the gas in the container. As the head space
increases this equilibrium is re-established by gas coming out
of solution. There is a fall in pressure but it is less pronounced
than that observed with insoluble gases. With suitably
formulated products and using a foam actuator, foams may be
produced as the gas in solution expands on leaving the nozzle.
Containers
Aerosol containers may be composed of tin plate, aluminium,

glass, plastic-coated glass, plastics or stainless steel.
Tin plate containers are three-piece being composed of a
cylindrical body and a top and bottom. The body consists of a
rectangular sheet of tin plate formed into a cylinder by means
of, usually, a soldered joint or seam. The tin plate is
composed of a rolled sheet of mild steel plate or black plate
which has been coated with tin usually by an electrolytic
process, more exceptionally by a process of hot dipping,
where the steel plate is plunged into a bath of molten tin. The
2307
former process produces a more even coat more cheaply. Tin
plate thus produced has a complete tin coating over both
surfaces and also over the edges. When such a large sheet is
cut into suitably sized rectangular areas from which to form a
cylinder, the cut edges will be raw, not plated. The exposed
raw edges present a source of corrosion especially as they are
lapped and soldered to form the walls of the container. Such
joints consisting of tin, mild steel plate and solder can form
the electrodes of electrolytic cells. Corrosion can he
minimized by coating both surfaces of the finished container
with a suitable lacquer. The outer surface usually consists of
the decoration of the container. The inner surface is especially
at risk when propellant 11 is used, resulting in acid products
or where the product includes alcohol, resulting in the
production of alcoholates. From an economic point of view
the coating should be as thin as possible. Pinholes in the
lacquer may occur resulting in concentrated points of attack
which may even puncture the container. The top and bottom
of the containers are jointed with a suitable elastomeric
material between them to form a seal. Because of these top,
bottom and side seams such containers are usually limited in
practice to pressures of about 45–50 psig (3.16–3.52kg/cm2),
these pressures being suitable for products contained therein.
Aluminium containers may be two-piece or monobloc.
Two-piece containers have the sides of the cylinder and the
top formed in one piece from a plug of aluminium suitably
extruded and formed with, usually, a tin-plate base attached.
Since there is only one joint at the base these will withstand
higher pressures. The base is usually dome-shaped inwards
the better to withstand the pressure. Monobloc containers are
formed in one piece by extrusion from a plug of aluminium,
the top being subsequently formed to accept the one-inch cup
valve. Such containers will withstand even higher pressures
2308
and are often used when the propellant consists of insoluble
or soluble gases.
Glass containers are moulded so as to accept 13, 15, 18 or
20mm bottle valves. Since the strength of the walls depends
upon the condition of the glass surfaces, low pressures of
some 15 psig (1.06kg/cm2) are maximal.
Plastic-coated glass containers are glass containers as above,
dipped in molten plastic so as to form a coat. The plastic
coating is complete up to the neck so that when the valve is
crimped on, the joint encloses the plastic. A single large or a
number of smaller holes in the plastic coating on the base
allows the more gentle escape of the contents in the event of
the fracture of the glass, the glass fragments being contained
by the plastic coat. (Fracture of an uncoated glass container
will result in an explosion scattering fragments of glass). Such
plastic-coated containers can be filled to pressures of some 25
psig (1.76kg/ cm2).
Plastic containers are now formed with thick walls of acetal
resins or polypropylene and will withstand somewhat higher
pressures. Possible loss of contents to the plastics container
and leaching of contents from the compounded plastics to the
product must be considered in formulation.
Stainless steel containers are also available in small sizes,
suitable for use with bottle valves. They are strong and also
reduce corrosion problems.
Valves
These consist basically of two types. One inch cup valves

where the valve cup has a diameter of one inch and is swaged
into the container via a gasket of elastomeric material and 13,
15, 18 or 20mm bottle valves where the valve is crimped over
2309
the neck of the usually glass, plastic coated, glass, plastics or
stainless steel container. The former are usually in more
common use in the wide field of aerosols, whereas the latter
are usually used on smaller containers. The parts of a simple
one-inch cup valve are shown in Fig. 42.6. An actuator button
is fitted to the top of such a valve.
Fig. 42.6 A one-inch cup aerosol valve (Metal Box C. Ltd.).
When this is depressed against the valve spring the contents

enter the dip tube and valve and are extruded from the
container via the actuator button. The explosive effect of the
propellant produces a spray. Within the confines of these two
2310
valves a vast number of variations are available. Variations in
the dimensions of the valve parts can affect spray pattern and
delivery rates. Similarly variations in design of the actuator
button can affect these parameters and mechanical break-up
buttons with baffles, and foam heads are used with suitable
formulations.
Metered valves are usually fitted to pharmaceutical
preparations when a definite volume of the product is released
in one operation of the valve button. Such valves contain a
reservoir of defined volume. These are of two types.
Depression of the valve button may release the contents of the
reservoir which refills on release of the button, or depression
of the valve button may fill the reservoir the contents of
which are ejected on release of the button. Other variations
are available.
Basic Aerosol Formulation

The basic principles of aerosol formulation depend upon the
solubility of the active principle in the propellant or
propellant mixture. This determines the form in which the
constituent is presented.
1. The active principle is soluble in the propellants. In this
case the active principle is dissolved directly in the propellant
or propellant mixture. Usually a mixture of propellants is
used, their relative proportions being adjusted to produce the
desired pressure (see Fig. 42.3).
2. The active principle is not soluble in the propellants but is
soluble in a cosolvent. Assuming for example, that the active
principle is not soluble in propellants 11 or 12 but is soluble
in ethanol, the ternary diagram ethanol/propellant 11/
propellant 12 is used in selecting the proportions of these
2311
three liquids (Fig. 42.7). This diagram has been prepared by
measuring the pressures exerted by various mixtures and
plotting the different isobars. Spray characteristics have also
been examined and areas of satisfactory spray pattern shaded
on the diagram. Points may be selected on the diagram so as
to formulate for suitable pressures and spray patterns. Each
point represents a different proportion of the
three liquids by weight. The nearer to propellant 12 on the
diagram, the greater the proportion of the high-pressure
propellant 12, and the higher the pressure and the finer the
spray. The nearer to propellant 11, the greater the proportion
of the low pressure propellant 11, and the lower the pressure
and the coarser the spray. The nearer to alcohol on the
diagram on any isobar, the wetter the spray. Within these
confines a number of test preparations may be made and the
most satisfactory selected. One difficulty experienced in
formulation is that when the filled test preparations are
produced, since most containers are opaque, the contents
cannot be seen and the presence of two liquid phases instead
of one not easily determined. This may be obviated in either
of two ways. Naarden compatibility testers consist of thick
resistance glass containers to which valves can be fitted.
These can be filled by any of the normal methods and the
contents inspected. Alternatively, and more cheaply, small
glass bottles such as are used for pressurized drinks may be
cold filled and crown caps fixed on. These are usually placed
for safety in boxes with transparent plastic fronts through
which they may be examined for phase relationships and
deposits after raising to 21.1°C. They are subsequently
emptied by cooling to –30°C and removing the cap.
Vapour pressure contour psig kg/cm2
A 5 1.38
2312
B 10 1.74
C 15 2.09
D 20 2.44
E 25 2.79
F 30 3.14
Fig. 42.7 Ternary system, propellants 11, 12 and ethanol.
3. The active principle is neither soluble in the propellant nor

in a cosolvent, but is soluble in water. Since water and
propellants are immiscible two possibilities exist.
a. The container is filled with an aqueous solution of the
active principle and the propellant introduced. Two liquid and
one vapour phase are produced. If the propellant phase is
lighter than water (e.g. hydrocarbons, propane, butane,
hexane, etc.) the propellant phase will float on the aqueous
phase (Fig. 42.2A). The dip tube should therefore reach the
bottom of the container. If the propellant phase is heavier than
the aqueous phase (e.g. fluorohydrocarbons) it will sink to the
2313
bottom and the dip tube must be cut short or propellant phase
only will be ejected (Fig. 42.2B). With such systems even
higher pressures will still result in unsatisfactory spray
patterns since the propellant is not ejected and its explosive
effect at the outlet is nonexistent. Mechanical break-up
actuators fitted with baffles are required to produce a finer
spray.
b. An emulsion is formed, the propellant being the oily phase
and the solution of the active principles in water being the
aqueous phase. Using appropriate emulgents and
phase-volume relationships such an emulsion may be
water-in-oil or oil-in-water. Since the propellant in
oil-in-water emulsions is the internal phase its expansion on
release from the valve tends to produce a foam and a foam
actuator should be fitted. Water-in-oil emulsion however can
be sprayed, since the propellant here is the external phase.
Generally speaking, larger quantities of propellant are
required for emulsion systems and they should be vigorously
shaken before use.
4. The active principle is an insoluble solid. Here the active
principle in a suitable form of subdivision is presented as a
suspension in the propellant mixture. In contradistinction to
all previous methods the particle size of the active principle
depends upon its size reduction before adding to the
formulation. Too large particles may clog the valve. The
smallest valve orifices are of the order of 400μm diameter.
Agglomeration of particles however, occurs and much smaller
particles may cause clogging. Particles passing a 325 mesh
sieve possess a maximum diameter of 43μm. Such particles
can be sprayed in suitable formulations up to 5 per cent,
exceptionally 10 per cent, by weight. Recommended sizes are
5–10μm, none greater than 50μm. Formulation should be
directed towards preventing agglomeration. Particles should
2314
be thoroughly wetted by the liquid phase and a dispersing
agent may be required. Impaction of the solid phase on
standing may require mechanical aids such as ceramic balls to
disperse it. The inclusion of a fraction per cent of a mineral
oil ensures maximum powder impaction on the target area.
Factors Affecting Spray Characteristics
A number of factors affect the spray characteristics of the

finished product and these must be considered during the
development of the formulation.
Viscosity
As the viscosity of the formulation increases, so does the

particle size of the spray which therefore becomes coarser.
Further increase in viscosity may produce a stream instead of
a spray.
Vapour Pressure of the Propellants
The higher the vapour pressure of the propellant or propellant

mixture the smaller the particle size produced and the finer
the spray. This is due to the increase in the disruptive forces
of the propellants as the pressure increases.
Propellant Product Ratio
The greater the proportion of propellant in the formulation the

finer and drier the spray. Adjustment of this ratio of
propellant to product and adjustment of the relative
proportions of the two propellants are the two factors having
2315
greatest immediate effect on spray characteristics. A given
product may therefore be presented in all variations between a
coarse wet spray and a fine dry one. A single propellant of an
intermediate pressure gives a finer spray than a mixture of
two propellants having the same vapour pressure.
Presence of Solvents
The solvents or cosolvents frequently used in aerosol

formulations may affect the pressure. Such effects may be
determined from the appropriate ternary diagrams. The
vapour pressure of the solvent may also affect the lifetime of
the particles in the spray. Low-pressure solvents evaporate
more slowly and produce particles with longer lifetimes than
high-pressure ones.
Temperature
Figs. 42.3 and 42.4 indicate the rapid change in vapour

pressure of propellants with temperature. Formulation should
take into account the temperature at which the aerosol product
is likely to be used since the spray characteristics change with
the resulting change in vapour pressure. Most formulation and
testing is done at 21.1°C and this is usually satisfactory for
temperate climes although changes of more than a few
degrees either way may alter the spray pattern between coarse
and fine. The expected ambient temperature must therefore be
considered in the formulation of products for overseas
markets.
2316
Aerosol Filling
The machinery used for aerosol filling ranges from simple

laboratory apparatus through semi-automatic to automatic
equipment. There are two basic filling methods, pressure
filling and cold filling.
Pressure Filling with Hydrocarbon and

Fluorohydrocarbon Propellants
The procedure is as follows, using the laboratory burette filler

(Fig. 42.8). The same principles apply on larger machines.
1. The product is filled into the container.
2. A short burst of low pressure propellant is introduced into
the container to purge the air.
3. The valve and cup are immediately swaged on with a
swaging machine. This exerts a downward pressure on the
valve cup gasket forming an effective seal and at the same
time expands the vertical sides of the valve cup under the can
opening to form a secure closure. Some commercial machines
use a vacuum to purge the air at this stage.
4. The valve orifice is offered up to the filling head of the
machine and the valve opened by gentle pressure. The needle
valve of the filling machine is opened and the appropriate
volume of low pressure propellant run in. Due to the low
pressure such filling is often slow. It may be speeded up by
previously immersing the container in ice, warming the
cylinder of propellant slightly or applying pressure to the
liquid from a cylinder of inert gas. This is usually necessary
because as soon as one drop of the propellant enters the
container the vapour pressure exerted is the same as that in
the propellant cylinder. Commercial machines push the
2317
propellant into the container via a piston operated by
compressed air.
5. The container is then removed and offered up to the filling
head of the high pressure propellant which is similarly filled.
Due to its higher pressure no difficulty is usually experienced.
6. The container is removed and shaken to homogenize the
contents.
Fig. 42.8 Laboratory burette filler (Courtesy of Aerofill Ltd.).
2318
Using such a method and employing a laboratory burette
filler, varying amounts of two propellants may be filled into
each successive container. This is necessary during
formulation experiments. Commercial apparatus is adjusted to
fill definite volumes of the propellants or of a propellant
mixture and will produce a repetitive series of containers
filled to the same condition. Transfer filling is a useful
method for use during formulation experiments and is also
adaptable to small scale filling in a hospital dispensary. It is a
form of pressure filling. A series of large aerosol containers is
charged with different propellants or propellant mixtures.
Such containers may be purchased ready filled from the
propellant manufacturers or filled from the appropriate
machines. The product is filled, the air purged and the valve
swaged on to the container as before. The propellant container
without a dip tube is inverted over the product container and
the contents expelled to weight through a transfer button
which connects the two valves together. Slight pressure is
required to open both valves.
Cold Filling with Hydrocarbon and Fluorohydrocarbon

Propellants
In this method the propellants are refrigerated to a

temperature at least 5°C below their boiling points when they
emerge from the plant as liquids. Propellant 12 has a boiling
point of about –30°C hence refrigeration should be to –35°C.
The cold filling plant consists of a tank filled with spirit
which is cooled by the addition of solid carbon dioxide to the
required temperature. Electrical methods of refrigeration may
also be used. The propellants are fed via cooling coils in the
tank to taps from which the filling is done. Asbestos gloves
2319
should be worn and care taken not to 1et any of the
refrigerated propellants touch the skin as serious cold burns
can ensue. The procedure is as follows:
1. The (often precooled) product is placed in the container.
2. The appropriate amount of low pressure propellant is run in
to weight.
3. The appropriate amount of high pressure propellant is run
in to weight. During this process air is purged by the natural
evaporation of the propellants.
4. The valve and cup are quickly swaged on and the container
shaken to homogenize the contents.
Cold filling is unsuitable for products whose active principle
is destroyed by low temperatures.
Soluble and insoluble compressed gases are filled by pressure
filling until the correct pressure has been reached as indicated
on the gauge. The rate of solution of soluble gases is
increased by using shaker-gassing equipment where the
containers are shaken as the gas is applied.
Testing of Aerosols
A number of testing procedures has been evolved to ensure

the safe and satisfactory operation of the finished product.
Most testing is carried out after the containers have been
equilibrated to 21.1°C.
Leakage
Each individual container is passed completely immersed

through a bath of hot water so that the contents reach a
temperature of 54.4°C, and examined for leakage. The bath is
often illuminated for easier inspection and covered by a grill
2320
for safety. The points examined are the valve itself, the valve
cup and the top, bottom and side seams. Leakage at the valve
cup gasket indicates unsatisfactory swaging and the collets of
the swaging machine may require adjustment. Some
pharmaceuticals aerosols may be exempted from this test if
the contents are thermolabile.
Internal Pressure
This is measured with a pressure gauge having a suitable

adaptor to fit the valve orifice. The actuator button is removed
from the valve stem, the container shaken vigorously and the
adaptor offered up to the valve orifice. On depression of the
valve with the gauge the pressure is recorded by inverting the
container, clearing the dip tube by depressing the valve, and
applying the gauge in the inverted position. For more accurate
pressure determinations three readings are taken with two
minutes re-equilibration to 21.1°C between each. These
usually show a slightly diminishing series which can be
plotted and extrapolated to give the true pressure. Barometric
corrections should be applied.
Spray Pattern
Spray pattern is largely determined by the internal pressure,

the product–propellant ratio and the viscosity of the product.
The spray may be examined visually on depression of the
valve actuator but a closer and more permanent record can be
made by determining the spray pattern. One technique (Root,
1956) is to mix a water or oil soluble dye appropriate to the
solvent in the pack with talc and brush it on to vellum paper.
The product is then sprayed on to the paper from a fixed
2321
distance for a fraction of a second in a closed box and the
patterns thus produced are photographed. Some difficulty
may be experienced in accurately timing the length of time of
the burst. Dixon’s method (1959) has proved more
satisfactory. The target consists of a photographic quarter
plate from which the backing and emulsion have been washed
and a coating applied from burning magnesium ribbon. This
is placed behind a shutter with an adjustable slot. The
container is placed at a fixed distance from the shutter. As the
actuator button is depressed the shutter is also released thus
slicing through the spray and allowing a representative
sample of spray to impinge on the target via the slot (Fig.
42.9). A permanent record, is obtained by placing the target,
coated side downwards, on to photographic paper and
printing.
Fig. 42.9 Apparatus for the determination of spray pattern

(from Dixon, 1959).
2322
Discharge Rates
The determination of discharge rates gives an indication of

the number of operations required to empty the container and
hence the most suitably sized container for the particular
product. It is also useful in the determination of doses
delivered by medicinal aerosols. The container is immersed in
a water bath at 21.1°C for half an hour (or such time as is
required for the contents to reach that temperature), removed
from the bath, discharged for approximately five seconds to
remove water and non-homogeneous mixtures from the valve
and dip tube, wiped dry and weighed. The valve is held open
for 10±1/5 seconds and the container reweighed. The
difference in weight, or discharge rate, is expressed in gm per
second. Three such determinations are made unless the results
differ by more than 0.1g/s when a fourth and fifth
determination is made. The average discharge rate is
calculated for each container and the arithmetic mean,
standard deviation and standard error of the mean of these
averages calculated.
Flammability
Although fluorohydrocarbon propellants are not inflammable

the inclusion of cosolvents such as ethanol may result in a
flammable product. In the flame extension test the valve is
operated for about 15–20 seconds 18cm from the flame of a
standard candle. The length of any flame produced is
measured with the standard candle as zero. Flame extensions
of over 20cm indicate that the product is combustible and
over 45cm, flammable. Any containers which flash back to
the valve are classed as flammable.
2323
The modified Tagliabue open cup test gives an indication of
the flammability of the product alone if there has been a leak
resulting in loss of propellant and where the residual contents
are heated to cause excessive evaporation or boiling. The top
of the dispenser is punctured with a fine hole so as to allow
the propellant to escape. The hole is enlarged, the contents
warmed to 15.56°C and transferred to the Tagliabue open cup
in the apparatus up to the test line. The contents are now
heated at the rate of 1.11°C a minute and the gas flame testing
burner applied until the contents flash completely across the
top of the cup or the volume falls 6mm from the original
level. In the latter case if there is no flash the contents are
recorded as having no flash under the conditions of the test.
Products which flash below 37.78°C are considered
flammable and those which flash between 37.78 and 148.9°C
combustible.
The drum test gives an indication of the hazards which may
result if excessive quantities are sprayed into a confined space
where a flame is present The equipment consists of a
55-gallon drum placed on its side, one end consisting of a top
hinged cover which will open at 5 psig (0.35kg/cm2) pressure.
The closed end has three 2.5cm diameter shuttered openings
each 5cm from the circumference, one at the top, one at the
bottom and one mid-way between. In the centre is a 15cm
square opening of safety glass for visual inspection of the
container. A plumber’s candle is placed on the bottom
midway between the two ends. In the open drum test the drum
is placed outside at a temperature of 15.56–26.67°C. The
dispenser is discharged for approximately one minute into the
upper half of the drum with the hinged cover held in the open
position. Any propagation of flame away from the source of
ignition is regarded as positive, while unsustained burning in
the vicinity of that source is negative. In the closed drum test
2324
the hinged cover is allowed to rest freely against the end of
the drum. Each of the three shutters is opened in turn and a
burst of about 1 minute duration directed into the drum. Any
explosion or raising of the hinged cover is regarded as a
positive result and the product is considered flammable.
Particle Size Analysis
Particle size is of major importance for inhaled medical

aerosols to ensure that the particles reach deep down into the
respiratory tract and are not exhaled. With insecticidal space
sprays too large particles may fall out of the atmosphere too
quickly, whereas too small particles may slipstream around
the insect without impact upon it. Most of the usual methods
of particle size analysis may be used but the cascade impactor
is less laborious than many. This consists of a series of tubes
of diminishing diameters arranged at right angles to each
other with a glass slide across each corner and a standard rate
of air flow through the apparatus. Because of this standard
rate of air flow, the diminishing diameters of the successive
tubes causes increasing velocities therein. This results in the
inertial deposition of successively smaller particle sizes on
each slide as the discharged aerosol spray passes through the
apparatus. The slides are coated with a suitable medium to
collect the particles which are then sized with a microscope.
Light scattering methods have also been used.
Moisture Determination
The presence of moisture in pressurized packs can give rise to

corrosion problems especially when propellant 11 is used.
Where the pack can be sacrificed, it is punctured to allow the
2325
low boiling point propellants to evaporate. Moisture is
determined in the residue by the standard Karl Fischer
method. Where the pack is to be retained a sample may be
introduced into the moisture determination apparatus by
inserting a sawn-off hypodermic needle into the actuator
orifice. If a dip tube is fitted the dispenser is held in the
normal vertical position. The vapour phase or head-space is
introduced by first inverting the dispenser and clearing the dip
tube and valve.
Analysis of Propellant Mixtures
This is carried out by gas-liquid chromatography using

kieselguhr packed columns impregnated with dionylphthalate
the apparatus being maintained at 100°C. The sample is
introduced into a nitrogen stream.
Aerosols for Oral Inhalation
The administration of drugs by oral inhalation is a method

which has long been used in the treatment of certain diseases
and conditions. For example, asthma has been alleviated by
the inhalation of smoke from burning stramonium and lobelia
herb. Preparations of compound tincture of benzoin added to
hot water and the vapours inhaled have been useful in the
symptomatic relief of bronchitis and hay fever and menthol
and eucalyptus oil suitably formulated have been used in
nebulizers is sprays for similar conditions. Accurate dosage is
difficult to obtain with these methods. With the aerosol
metered valve, however, the correct dose of medicament can
be given accurately and with greater facility. Small containers
of the more active substances can be carried on the person for
2326
use when required. The ease of such administration has
resulted in a number of fatalities due to overuse. The
propellants themselves are inhaled directly into the lungs and
this has recently raised the problem of cardiotoxic responses
in those suffering from cardiac conditions. Nevertheless, such
preparations have been used with great effect. The fact that a
suitable aerosol is readily available has relieved stress in
asthmatic patients and possibly resulted in the reduced onset
of attacks. Although most preparations
are formulated for local action in the respiratory tract, this
route offers the possibility of general systemic absorption of
potent drugs, and could, in certain circumstances, replace
injection resulting in greater comfort and convenience. Table
42.3 shows the retention of particles of different sizes in
various regions of the respiratory tract and indicates that
particle size is of prime importance in deciding the place of
deposition. Certain conclusions can be drawn. Impaction and
retention of the larger particles takes place in the upper
regions of the respiratory tract. Smaller particles reach deeper
into the lungs but may also be exhaled. Hence the total
amount of drug retained is less than for larger particles. The
total retention of very small particles increases again probably
due to the effect of gravimetric sedimentation, diffusion and
Brownian motion. Particles of all sizes are carried deeper into
the lungs before impacting on deeper inspiration (increased
tidal volume) even though the respiratory rate remains the
same. There is probably an increase in total retention and in
transpulmonary absorption on holding the breath after
inspiration, since this increases the time in which the forces of
deposition can act. Drug impaction in the respiratory tract
depends upon inertial forces, gravitational forces and
Brownian motion.
2327
Table 42.3 Percentage retention of inhaled aerosol particles in
various regions of the respiratory tract
Inertial Forces
When an air current changes direction, the particle tends to

continue along its original path. Deposition therefore
increases with particle size and is of more significance in the
upper regions of the respiratory tract. Gravitational forces
cause the sedimentation of particles and this effect is more
noticeably in the deeper regions of the lungs where the air is
more still. Brownian motion causes sub-micronic particles to
deposit in the alveoli. Retention in the respiratory tract is
approximately proportional to the particle diameter. Where
hygroscopic substances are present in the formulation the
particles increase in size as they pick up moisture and rate of
impaction increases. For this reason particle size
measurements made in comparatively dry air may be
inadmissible.
In general, the formulation and testing of aerosols for oral
inhalation follow the precepts previously mentioned under
these headings, but additional problems arise.
2328
Where local pulmonary action is required the drug is used in
dilute solutions. Careful control of the particle size
distribution can result in the introduction of a minute quantity
of a potent substance sufficient to produce a local effect but
not large enough to produce a systemic effect by
transpulmonary absorption.
It has been calculated that one litre of air emanating from a
particle generator producing particles of 0.3μm in diameter
contained 15 billion such particles. Assuming that the human
lung contains 700 million alveoli, one breath would introduce
more than 150 particles into every alveolus for a few
micrograms of drug. The inclusion in the formulation of
pneumodilators and vasoconstrictors enhances this local
activity. Some single drugs such as phenylephrine and
cyclopentamine act in both capacities. The general systemic
actions of most drugs can be produced by providing a suitable
dose of larger particle size since most drugs are readily
absorbed from all regions of the respiratory tract. The
inclusion of vasodilators increases this effect and the amount
of drug found in the blood depends upon the amount
deposited in the tract.
Once the formulation has been produced consideration must
be given to stability and packaging. Loss of active principle
due to leaching of reactive materials from the whole container
or its absorption by the container, especially where plastics
are concerned, could give rise to serious results. Such
problems may be considered under the following headings.
The stability of the formulation with respect to the
components of the aerosol package. Each ingredient in the
formulation may come into contact with plastics (valve
components, gaskets, containers), glass (container), or metals
(container, valve components). Loss or change in any of these
ingredients may cause breakdown of the formulation and/or
2329
failure of the pack to operate correctly. It is preferable to test
each individual ingredient against all components of the
package as well as the completed formulation, under different
temperature conditions. Such tests should include an assay for
the final activity of the active principle chemically, physically
or biologically, as appropriate. Leaching of alkali from a glass
container may cause an undesirable change in pH. The active
principle or any other component of the formulation may be
absorbed by plastics resulting in breakdown or loss of
activity.
Additives in the plastics composition may result in
inactivation of the active principle. The nature of the
elastomeric material may change, causing leaks at gaskets.
Metal ions may catalyse a degradative reaction in the
formulation or the metal valve parts may rust and
malfunction.
Since air or oxygen is not present in the pack, oxidation is not
usually a problem. The propellants themselves do not support
microbial growth and may even be self-sterilizing. Microbial
decomposition is not usual although it should be considered.
Exposure to light only occurs in glass containers.
The compatibility of the active principle and ingredients in
the formulation with the propellant system should be
examined, including the solubility of the active principle in
such propellants. This is usually limited and in the majority of
systems a cosolvent is used. This will usually depress the
vapour pressure of the formulation and result in increased
particle size and coarser sprays. The Cosolvent is also inhaled
and may give rise to taste problems.
A suspension of the drug in the propellants is often desirable
to obviate these effects. Attention must be given to the initial
particle size reduction of the drug to obtain the desired effect.
Particle growth may take place on storage, hence, particle size
2330
distribution should be examined over a period of time under
different temperature conditions. Subsequent valve clogging
may occur. Sedimentation and impaction of solid particles
may be apparent and attention to the difference in densities
between the drug particles and the supporting medium can
reduce these effects. The closer the densities of the two
phases the less the problem.
The metered valve must reproduce accurate doses throughout
the life of the package regardless of the amount of product
left in the container. This is not usually a problem where
hydrocarbons or fluorohydrocarbons are used, since the
pressure remains sensibly the same. The time and type of
shaking required to produce a homogeneous dispersion must
be examined. On storage, sedimentation of the larger particles
takes place, the finer ones being deposited last. Inadequate
shaking may give rise to a dispersion of finer particles from
the upper layers in the first instance, and subsequently of the
coarser particles. Variation in the dose of active principle in
the same delivered volume could thus occur.
Uniformity of Dosage Through the Adaptor
The mouthpiece used for inhalation may itself impact

particles of the drug resulting in reduced dosage. Studies
should be made of the actual dose delivered by the
mouthpiece.
Uniformity of Valve Delivery
This can be tested by discharging the metered dose into a

quantity of reagent and assaying for the active principle.
2331
References
Root MJ. J. Soc. Cosmet. Chem. 1956;7:153.

Dixon K. J. Soc. Cosmet. Chem. 1959;10:220.
2332
Chapter 43
Packaging
A product is not correctly formulated unless it is properly
packaged, and in some cases the major part of the formulation
process may be concerned with selecting the right package for
the product. The stability of a pharmaceutical may be totally
dependent on proper functioning of the package, for example,
there must be rigorous exclusion of light and oxygen from
oily vitamin preparations if loss of potency due to oxidation is
to be avoided.
A package consists of the container in which the product is
placed, the closure which seals the container to exclude
oxygen, carbon dioxide, moisture, bacteria, etc., and equally
important, prevents the loss of water and other volatile
substances from the product, the carton or outer, constructed
from a variety of materials such as cardboard, moulded wood
pulp or expanded polystyrene, which gives secondary
protection against mechanical and other environmental
hazards, and also serves for the display of written
information, the box in which multiples of the product are
packed. The box provides primary defence against external
hazards and usually incorporates suitable shock absorbing
features.
The suitability of the container and closure for their particular
purpose depends on:
1. their ability to contain the product without loss by spillage
or permeation,
2. the protection they afford against environmental hazards,
3. whether they are suited to the function of the product both
in form and size, for example, a volume of injection intended
2333
to provide several doses for use on different occasions should
not be packed in an ampoule,
4. freedom from interaction between product and container,
and
5. reasonable cost in relation to the cost of the product and
that of alternative packages which may offer some marginal
advantages.
This technically formidable specification is derived, in large
measure, from the concept of an ideal package. To match this
as closely as possible is a function of the materials from
which the package is formed and these must first be
discussed.
Packaging Materials
With very few exceptions containers and closures are
fabricated from metals, rubber, plastic, glass or a combination
of these. These materials may be divided into two groups. On
the one hand the metals are polycrystalline, that is, composed
of a large number of small, randomly orientated, crystalline
structural units (grains) separated, by a grain boundary, about
two or three atoms distances wide, in which the atoms do not
belong precisely to either of the adjacent lattices (Fig. 43.1).
On the other hand plastics, rubber and glass are all polymers
formed by the bonding together of a large number of
molecular units. The basic structural elements in polymers are
therefore long chains of repeating molecular units which
intertwine to form a three-dimensional network.
2334
Fig. 43.1 Polycrystalline structure of metals.
Metals
There are over 70 metals in the periodic table but of these

only tin, lead, aluminium and iron are of significance in
pharmaceutical packaging. In use, small stresses sufficient to
cause only elastic deformation are accommodated by changes
in the distances between the atoms in the crystal lattices of the
grains. Larger stresses bring about relative slippage of the
crystal planes (dislocation) and the deformation is permanent.
Tin
This metal is very resistant to chemical attack and readily

coats a number of other metals. Tin-coated lead tubes
combine the softness of lead with the inertness of tin and for
this reason were formerly used for packaging fluoride
toothpaste. The high cost of lead has resulted in the use of the
much less expensive lacquered aluminium tubes for this
2335
purpose. Currently, some eye ointments are still packaged in
pure tin ointment tubes.
Iron
Although iron as such is not used for pharmaceutical

packaging, large quantities of tin-coated steel are employed
for the fabrication
of drums, screw caps and aerosol cans. Tin-coated steel,
popularly called tin, combines the strength of steel with the
corrosion resistance of tin. The performance of tin-coated
steel is dependant on the uniformity of the coating. If an
aqueous liquid can penetrate a pinhole or other fault in the
layer of tin, what is virtually a short-circuited galvanic cell is
set up and the intense chemical action which results brings
about rapid failure of the underlying steel. As a further
protection measure tinned steel packaging components may
be given a thin coating of lacquer.
Aluminium
This metal has a very low atomic weight implying that it

should be very reactive. The surface, however, reacts with
atmospheric oxygen to form a thin, tough, coherent,
transparent coating of the oxide, of atomic thickness, which
protects the metal from further oxidation. Any substance
which reacts with the oxide coating can cause corrosion, e.g.
products of high or low pH, those which complex aluminium,
mercurials, etc. As a result of the corrosion process hydrogen
may be evolved. Aluminium ointment tubes (Pharmaceutical
Journal, 1957), containers for tablets and other unit-dose
products (Glowacki, 1966) and screw caps, are widely used in
2336
pharmaceutical packaging. Some official creams such as
those containing Cetrimide, Neomycin or Hydrocortisone
may be packed in aluminium tubes provided a phosphate
buffer is included in the formulation to inhibit corrosion and
evolution of hydrogen. Alternatively an internally lacquered
tube may be suitable but care must be taken to ensure that the
coating is of sufficient thickness and satisfactory composition,
and is free from pinholes and other faults.
Polymers
The polymer chains may be free to glide independently over

one another or may be partially constrained in relation to
neighbours by chemical cross-links as shown for silicone
rubber in Fig. 43.2. The cross-link is formed, in the example
given, from methyl groups attached to silicon atoms in
adjacent chains.
2337
Fig. 43.2 Polymer structure.
The similar form of the molecular structures of plastics,

rubber and glass, leads to similarities in their physical
behaviour. All three materials have a glass transition
temperature (Tg) below which they become hard, rigid, brittle
solids and are said to be in the glassy state. In this condition
they are not crystalline but are supercooled liquids of high
viscosity as explained in the section on glass. If rubber is
cooled in liquid air below its glass transition temperature it
becomes brittle and shatters like glass if subjected to
mechanical shock. Above Tg there is a progressive loss of
rigidity. The familiar properties of polymers depend therefore
on whether Tg is greater (glass: about 1000°C;
polymethylmethacrylate: 110°C) or less (polypropylene:
2338
–27°C; rubber: about –60°C) than the normal ambient
temperature. Thermoplastics, such as polyethylene, soften and
melt if heated to a high enough temperature. Other plastics
are very highly cross-linked and for these thermosetting
plastics Tg is so high that decomposition takes place before
the material can soften and melt; urea–formaldehyde plastics
are of this type. Below Tg the rotational freedom of the bonds
and relative movement of the molecular chains of
thermoplastics are severely restricted. Near the glass
transition temperature there are, in addition to greater freedom
of movement for the chains, changes in density, refractive
index and other physical parameters. Above the molecular
chains are able continuously to move about, change their
shape and intertwine with neighbours. Nevertheless, there is
evidence from X-ray diffraction studies that disorder is not
complete and that zones exist
wherein the chains are more regularly aligned than elsewhere
(Fig. 43.3). Such zones are said to be ‘crystalline’ but it must
be clearly understood that the term in this context refers to the
regular arrangement of molecular chains, not of atoms. Some
polymers, polypropylene, for example, can be prepared in a
highly crystalline form, and the crystalline polymer has a
higher density than the truly amorphous variety because of
closer packing of the chains. Other polymers, such as rubber,
attain a higher state of order when placed in tension, as this
causes the molecular chains to align themselves in the
direction of the applied force. With thermoplastics the
stretching force may overcome the relatively weak bonds
holding the chains together and permanent deformation
follows. There is sufficient cross-linking with rubbers to
prevent interchain slip, elastic deformation occurring up to
very high stress levels.
2339
Fig. 43.3 Crystalline zone in a polymer.
Fig. 43.4 shows diagrammatically the effect of temperature on

the modulus of elasticity for amorphous, lightly cross-linked,
and partially crystalline varieties of a thermoplastic such as
polystyrene. Above the glass transition temperature the
cross-linked variety exhibits a rubbery behaviour which is
barely discernible with the amorphous form of the plastic.
The partially crystalline form has a glass transition
temperature but this is obscured by the modifying influence
of the crystalline regions.
2340
Fig. 43.4 Effect of temperature on elasticity of a polymer. (A)
Amorphous; C–L, lightly cross-linked; P–C, partially
crystalline.
Plastics
Plastics are high molecular weight polymers, usually based on

a carbon ‘backbone’ they are good thermal and electrical
insulators and their density falls in the range 0.9–1.5. The
polymerization process may generate nonfunctional side
chains that hinder close packing of the polymer molecules.
High pressure polymerization of ethylene gives a
polyethylene of lower density (0.92–0.94) than that made by
the low pressure process (density about 0.96). These varieties
are known as low and high density polyethylene respectively.
Depending on type, plastics may be useable at temperatures
as low as –100°C or as high as 350°C but individual materials
have a more restricted useable temperature range. Although
less rigid, they are as strong as metals on a weight to weight
basis. Generally, they show a high degree of resistance to
2341
attack by inorganic reagents but are usually softened or
dissolved by organic solvents (Childs, 1955).
The first plastic, celluloid, was obtained by nitrating
cellulose. Many different cellulose polymers have been made
since and are still important today. If dissolved and
reprecipitated, the chain length is shortened and this modified
cellulose is suitable for the production of textile products such
as rayon dressings–see the BPC 1973. Nitration yields an
explosive (gun cotton), a plastic (celluloid) or a lacquer (the
official Collodions), depending on the reaction conditions.
Other pharmaceutically important polymers derived from
cellulose are the water soluble suspending agents such as
methyl cellulose (see Chapter 41) and film forming agents
like Cellulose Acetate Phthalate (see Chapter 21) which is
employed for enteric coating.
For large-scale direct synthesis of plastic a catalyst is added to
the monomer to initiate the growth of chains. Polymerization
may take place in the gas phase (polyethylene), in bulk
(polystyrene), as a mechanical dispersion in water
(polyvinylchloride, PVC) or as an emulsion (polyvinyl
acetate). Thermoplastics are formed from monomers with
only two functional groups which, in theory, can only form
long linear chains. Reaction of ethylene glycol with
terephthalic acid (Fig. 43.5) gives polyethylene terephthalate,
variously known as Terylene or Dacron and used as a suture
material. Trifunctional glycerol has a ‘spare’– OH group for
cross-linking and with orthophthalic acid gives an alkyd resin
of the type used in lacquer and paint manufacture. The
chemical structures of some plastics are given in Fig. 43.6.
2342
Fig. 43.5 Effect of functionality on polymer type.
2343
Fig. 43.6 Some common plastics (glass transition temperature
in brackets).
Compounding Plastics
Although some plastics may be used directly to form the

finished article, it is usual to add other substances for
improved stability, processing behaviour, or in-use
2344
performance. Stabilizers are often necessary because side
reactions during polymerization produce a proportion of
unsaturated, potentially unstable compounds while high
processing temperatures may degrade the polymer molecule.
Under certain conditions polyvinyl chloride loses a molecule
of hydrogen chloride with the formation of a double bond;
considerable darkening of the plastic occurs at the same time.
Many PVC stabilizers are, therefore, basic substances capable
of removing HCl although one of the most efficient
stabilizers, octyl tin, seems not to act in this way. Plastics are
also vulnerable to oxidation. The antioxidants added to
provide protection combine with free radicles much in the
manner of their counterparts used to prevent rancidity in oils.
The most efficient antioxidants for plastics (and rubber) are
sterically hindered phenols and secondary amines, e.g.
NN´-di-β-naphthyl-p-phenylenediamine:
Pigments are sometimes included: apart from their decorative

use they may absorb in the UV region and thereby reduce
photodegradation. For clear plastics organic absorbers such as
4-biphenylsalicylate are used. Fillers are often employed to
cheapen the product but in some cases may be essential for
correct product performance. Bakelite, a
phenol-formaldehyde resin, is a brown brittle material quite
unsuited for the manufacture of screw caps unless mixed with
a filler such as wood flour. Among other fillers are whiting,
asbestos and mica. Plasticizers are added to lower the glass
transition temperature by directly reducing the attractive
physical forces between polymer chains, and by increasing
the interchain distance. As a result the plastic is softened, it
can be processed at a lower temperature and the final product
2345
has greater flexibility. Camphor is used as a plasticizer for
celluloid, and castor oil for collodion. More generally, high
boiling esters are employed as these have low volatility and
do not evaporate from the product. Dibutyl sebacate, tritolyl
phosphate and dioctyl phthalate are among the many esters
employed for this purpose. Cellulose acetate phthalate, used
as a film forming agent for enteric coating, may be plasticized
with substances such as castor oil or butyl stearate.
Thermosetting plastics are compounded by mixing a suitable
precursor with a cross-linking agent. For Bakelite the
precursor is a phenol-rich partially cross-linked condensate
with formaldehyde which when mixed with filler and
hexamine (a source of further formaldehyde) may be placed
in a suitable mould and heated to complete the cross-linking
reaction. One of the curing agents for the epoxy resins is
triethylamine tetramine. Activators and accelerators may be
added to lower the temperature at which the ‘cure’ takes place
and to reduce the time for its completion. In this way
degradation and darkening due to overheating may be
avoided. The similarities with the compounding of rubber will
be noted.
The substances required for the rough mix of thermoplastics
are passed through two or three heated rollers to complete the
dispersion process. The resultant crude sheet is chopped up
into small cubes or flakes ready for the forming process.
Rods, tubes or films are made by heating the compounded
plastic to a temperature at which it has the consistency of
dough, when it may be extruded under pressure through a
suitable nozzle, rather like squeezing ointment out of a tube.
If individual articles are required the dough may be squeezed
into a closed mould (injection moulding) or extruded tubing
may serve as the feedstock for blow moulding whereby a
portion of tube is trapped in a hot mould and blown to shape.
2346
Extruded sheet may be heated and forced to take the shape of
a suitable jig (thermoforming); for thermosetting plastics the
compounded material is fed into a mould, compressed and
heated to complete the cross-linking (compression moulding).
(See Paine, 1967, for an introductory text.)
Moulds must be made to very rigid tolerances if given
dimensions are to be maintained throughout a batch. A faulty
cavity in a multiple mould would produce a small proportion
of faulty articles which might not be detected if the quality
control sample was too small, an identical problem is
encountered in tabletting. Long (1961) has reported the
sporadic failure of polyethylene plug closures due to a fault of
this type.
Toxicity
Plastics are probably inert physiologically; it is the additives

which give rise to toxicity problems. As noted earlier, octyl
tin is an excellent stabilizer for PVC but is known to be toxic
(Cooper, 1966). Biological tests on extractives prepared with
different solvents, and implantation of pieces of plastic in
animals are among the control procedures proposed. Simpson
(1969) has commented that the solvents and the amounts
injected into the animal may themselves give rise to
biological effects. He suggested that an aqueous extract of the
plastic should be examined for pyrogenicity as some of the
chemicals used for compounding purposes are known to be
pyrogenic. The British Pharmacopoeia 1973 requires that the
additives to plastics for pharmaceutical packaging shall be
nontoxic and prescribes a test with which containers must
comply to ensure freedom from toxic extractives in use,
particularly if a sterilization procedure is involved. In
2347
particular, autoclaving accelerates the leaching process and
represents the most rigorous in-use condition to which the
plastic container is ever likely to be exposed.
Permeability
When using plastics for packaging it is necessary to consider

not only the permeability to oxygen, water vapour and carbon
dioxide but also the permeation or absorption of product
constituents. For a flexible pack of dusting powder containing
camphor it is the loss of this latter to the environment that is
important. On the other hand, if the product is an oxygen
sensitive steroid, it is the permeation of oxygen from the
environment into the product via the container wall that must
be considered.
Assuming there are no cracks or other defects, and that the
plastic is not heavily ‘filled’, the passage of gases and
vapours occurs by diffusion. Above the transition temperature
the polymer chains are in continuous thermal motion and the
spaces between them constantly form and disappear. If a high
concentration is established at one surface of the plastic,
diffusing molecules will move from space to space to the low
concentration side. Applying Fick’s Law:
(43.1)
Q is the quantity of gas diffusing in time t under the influence

of a linear concentration gradient dc/dx. The plastic has a
thickness l, area A and diffusion constant D. According to
Henry’s Law, c = pS where p is the partial pressure of the
2348
diffusing species and S its solubility coefficient for the plastic.
Integrating Eq. 43.1, making the appropriate substitutions and
rearranging:
(43.2)
where p1,and p2 are the partial pressures at the surfaces of the

plastic and P is the permeability constant. If, as was assumed
in deriving Eq. 43.2, the diffusing gas obeys the gas laws
reasonably well, the effect of temperature is given by an
Arrhenius type equation:
D0 may be regarded as a measure of the number of interchain

‘spaces’ in the plastic at a given moment in time. Fewer
spaces will be available for diffusion in the crystalline or
cross-linked plastic than in the corresponding amorphous
form. This is in line with Flück’s (1966) observations that
amorphous forms of a particular plastic are usually more
permeable than the crystalline or cross-linked varieties.
Plasticizing also increases permeability—it is well known, for
instance, that moist gases permeate nylon films more rapidly
than dry gases, as water is adsorbed and acts as plasticizer.
The factor S0 is a function of the relationship of the affinity of
the diffusing molecules for plastic molecules to their affinity
for each other. In general, low molecular weight, highly polar
2349
molecules permeate less rapidly than lipophilic molecules
having structural similarities to those of the polymer.
It will be appreciated, therefore, that the physical properties
of a given plastic will vary markedly according to the nature
of the additives and the treatment it has undergone in
manufacture—see, for instance Busse and Hughes (1969).
The data in Table 43.1 must be regarded as approximate, but
will serve as a comparative guide to the permeability of a
number of plastics to oxygen and water vapour.
Table 43.1 Permeability constant (P) of plastics to oxygen
and water vapour polyethylene (P in units of cm3/cm2/mm/
sec/cm Hg × 1010)
Plastics in the Packaging of Pharmaceutical Products
Compared with glass, plastics offer the obvious advantages of

lightness, resistance to mechanical hazards and low cost.
There is also the possibility that a particular property of a
plastic, flexibility say, may be exploited to obtain greater
package functionality. Against these advantages must be set
the problems of permeability and toxicity, neither of which
arise with glass, and of disposal. In selecting plastic
containers it is necessary to check that:
1. toxic substances are not leached from the plastic into the
product,
2350
2. product constituents are not lost by absorption or
permeation,
3. loss or gain of moisture or permeation by oxygen takes
place at an acceptable rate, and
4. no other interactions can occur between product and
container.
Large numbers of plastic containers are now employed for
dispensing mixtures, tablets, capsules, ointments, etc.
Although polyethylene and polypropylene were used for
some of the containers examined by Jolly et al. (1970) the
majority were fabricated from high impact polystyrene. This
is a polystyrene/ styrene–butadiene rubber formulation which
is as rigid but less brittle than polystyrene. Perfusion fluids
and retention enemas are now packaged in plasticized PVC
‘sachet’ packs. These have the merit of collapsing as fluid is
withdrawn and with perfusion fluids this obviates the use of
an air bleed which was necessary on the older type of giving
set with glass transfusion bottle. Water loss by permeation
from sachet type containers can be as much as 10 per cent per
annum but may be reduced to a quarter of this value by a
polythene wrapper. Single applications of some eye drops are
now packed in low density polythene sachets, container and
contents being sterilized by γ-radiation. A further advantage
of the sachet type packages for applications such as these is
the reduced amount of particulate matter shed from the
container surface, which is a particular problem with the
corresponding glass containers. Metal particles are sometimes
found in ointments packed in metal tubes in spite of careful
cleansing of the tube prior to filling—a difficulty which does
not arise with plastic ointment tubes. Because its walls remain
in opposition as the contents are removed, it has been said
that a metal ointment tube is the only container that is
completely full until it is completely empty. The same
2351
comment could not be made of the early plastic ointment
tubes, which regained their original shape–sucked
back—after each removal of contents, leading possibly to
oxidation and microbial contamination problems. Suck back
is less of a problem with the modern plasticized PVC tubes.
Considerable economies are now possible in the manufacture
of suppositories since the introduction of a machine that uses
a preformed plastic package which also serves as the mould.
Suitable grades of polypropylene (and some other plastics)
may be autoclaved. This is possible because the viscosity of
the plastic at the autoclaving temperature, which is about 150
above Tg, is still high enough for the article to resist the
deforming effect of its own weight. As described in the
section on glass, this viscosity is of the order of 1013 poises or
more.
Finally, two other methods of packaging which do not rely on
a primary container and closure should be noted. In strip
packaging, the tablet is sandwiched between two layers of foil
or paper coated with a thermoplastic material such as
polyethylene. This is fused together around the periphery of
each tablet. Each strip is usually two tablets wide and several
tablets long depending on requirements. Water vapour
resistance normal to the surface is excellent but is lower
round the edges. Where tablets are to be taken in a given
sequence, they are deposited into a pocket thermoformed in a
sheet of PVC and sealed in position with a foil laminate. The
tablet is released by pushing it through the foil.
Rubber
Rubber is an elastic polymer (elastomer), and may be

obtained from natural sources or by synthetic methods. It has
2352
a glass transition temperature well below the normal ambient
temperature; for natural rubber Tg is about –60°C.
Natural Rubber
The basic material is a colloidal dispersion (latex) obtained

from the rubber tree Hevea braziliensis, containing about
30–35 per cent rubber hydrocarbons and up to 5 per cent
overall of resins, proteins, sugars and salts, the rest being
water. The solids may be precipitated by the addition of acid
and the coagulum dried. In the smoke of a wood fire when it
acquires a dark brown colour and absorbs sufficient phenolic
substances to prevent microbial spoilage during shipment. If
pale crepe rubber is required, bisulphite is added prior to
precipitation and the coagulum is dried at air temperature.
The bisulphite stops oxidative discolouration and inhibits
mould growth. For a number of purposes it is convenient to
maintain the rubber in a ‘liquid’ state. To avoid the expense
of shipping water the crude latex is either creamed by the
addition of common salt or concentrated by evaporation or
centrifugation. Preservative is added to inhibit subsequent
microbial spoilage.
Synthetic Elastomers
These are manufactured by polymerization of the reactants

while emulsified in a soap solution. For styrene–butadiene
rubber (SBR) the reactants are styrene and butadiene (Fig.
43.7). The dispersed polymer (latex) is either concentrated by
the addition of salt which causes creaming, or solid obtained
by addition of acid. The compositions of a number of other
synthetic rubber polymer chains are also given in Fig. 43.7.
2353
Fig. 43.7 Synthetic rubbers.
2354
Further Processing
The polymer chains of natural rubber consist of some

1000–40,000 isoprene units (Fig. 43.8A). In common with
synthetic rubber polymer chains they possess double bonds
that readily oxidize on exposure to air and light. Furthermore,
although the coiled and intertwined molecules unravel when
the polymer is placed in tension there is slip between the
chains and therefore a considerable deformation, which
remains when the tension is released. The familiar elastic
properties of rubber are obtained by providing sufficient
cross-links per chain such that the product is not rigid but the
chains may still uncoil although constrained in their
movement relative to one another when the rubber is
stretched. The cross-links ensure that the rubber returns, more
or less, to its original shape when the stretching force is
released.
2355
Fig. 43.8 Natural rubber: (A) polymer chain from latex; (B)
Cross-linked polymer chain after vulcanization.
The cross-links between silicone rubber chains are formed

from the methyl groups attached to the silicon atoms, whereas
natural and synthetic rubbers are cross-linked by heating with
sulphur. Polysulphide rubber has ‘built in’ sulphur which can
be caused to cross-link by heating with zinc oxide. The
cross-linking, curing or vulcanization process (Fig. 43.8)
when applied to natural rubber gives a tough material with
reduced sensitivity to oxidation, which is swelled but not
dissolved by organic solvents and which has a high degree of
elasticity. As originally developed some 8–30 per cent of
sulphur was needed for the vulcanization process and the high
temperatures used brought about inevitable degradation of the
rubber. Nowadays, accelerators (Fig. 43.9) are added to speed
up the cross-linking process, reduce the amount of sulphur
required (0.5–3.0 per cent is now typical) and lower the
temperature at which vulcanization is carried out. Activators
raise the efficiency of the accelerators—zinc oxide, stearic
acid or zinc stearate are commonly employed. The vulcanized
rubber still possesses unsaturated bonds therefore
antioxidants, which persist in the final product, are added to
minimize oxidation both during and subsequent to
vulcanization. Traces of manganese or copper are known to
catalyse the oxidation of rubber, and a sequestering
agent, which may also act as an antioxidant, may be added to
the compounded rubber mix prior to vulcanization. The cost
of a rubber article may be reduced by using a proportion of
reclaimed rubber or an extending filler such as whiting or
talc. To modify the hardness or other mechanical properties,
reinforcing fillers such as clays, magnesium carbonate or
further quantities of zinc oxide are added as necessary to the,
2356
rubber mix. These fillers are believed to combine in some
way with the polymer chains (Haworth, 1953; Reznek,
1953b). Pigments may be added both for decorative purposes
and to absorb: ultraviolet radiation which promotes oxidation.
Fig. 43.9 Some rubber additives.
If the article is to be made by moulding, rubber solids are

finely minced in a masticator and the other compounding
ingredients added. The rollers of the masticator are heated to
soften the rubber but it may also be necessary to add a
softener such as pine oil or tar, petroleum or coal tar fractions
to obtain even dispersion. For some synthetic rubbers a
plasticizer may be required. The mix has the characteristics of
a dough. For dipping compounds the concentrated latex
(about 60 per cent solids) is mixed with accelerators and a
stabilizer to control the viscosity of the liquid so as to give the
required film thickness. Foam rubber is produced by the
2357
addition to the mix of a blowing agent which decomposes
during vulcanization to evolve gas (usually nitrogen). Wood
and other resins may be added to provide surface stickiness or
‘tack’. Small amounts of waxes that migrate to the rubber
surface during vulcanization can be added to improve
resistance both to water absorption and to oxidation.
To produce moulded articles a mould of the required shape
and size is filled with the rubber dough which is then
vulcanized by heating. It is usual to dust the surface of the
dough with a mould release agent such as talc or zinc stearate
so that the rubber is easily removed from the mould after
vulcanization. Dipping is used where the thickness of rubber
is small, e.g. surgeons gloves, rubber teats. A glass or
porcelain former is dipped into the compounded latex and the
film coagulated in an acid bath. The process is repeated until
the required thickness of rubber is built up and this is then
vulcanized by heating in hot air. The composition of the
moulding and dipping compounds given in Table 43.2 are
illustrative of those used for the manufacture of vaccine bottle
caps and rubber teats respectively. The rubber mix for
closures to be used in less demanding situations would
contain less rubber and a much higher proportion of filler.
Table 43.2 Rubber moulding and dipping formulations
2358
For the majority of purposes natural rubber, or natural rubber
with a proportion of styrenebutadiene gives the best all round
performance. Synthetic rubbers are used in high proportion
where special properties are at a premium. Nitrile rubber, for
instance is not as resilient as natural rubber but has a very
high solvent resistance that is only surpassed by the
polysulphide rubbers. Butyl rubber exhibits high resistance to
attack by oxygen, ozone and chemical reagents as well as
very low permeability to oxygen and water vapour. Trials
with butyl rubber wads (Bloom & Drennan, 1957) were
disappointing due to the low resilience of the rubber which
led to permanent deformation and poor reseal performance.
Neoprene combines good general rubber qualities with a high
order of resistance to solvent and chemical attack; it is also
flame resistant due to the chlorine atoms in the polymer
chain. Silicone rubbers are completely saturated, inert and
may be autoclaved many times, an in-use condition that
would result ln the rapid failure of normal rubber. They retain
their resilience over a very wide range of temperature.
2359
Rubber in the Packaging of Pharmaceuticals
Rubber is used exclusively as a closure and wad material. The

specification of the BP 1973 is based on British Standard
3263: 1960 with certain amendments. The specification
excludes reclaimed rubber which is known to yield inferior
closures and sets standards for dimensional tolerances. The
force required to penetrate the closure with a hypodermic
needle must not be excessive and a value for this parameter is
specified. A further test limits the number of fragments of
rubber detached during penetration by the hypodermic needle.
Finally, if the contents of a multidose container are to remain
free from microbial contamination the rubber must have good
reseal properties and a test is described to assess this
characteristic.
Like plastics, rubber may be regarded as a solid organic
solvent and it is necessary in evaluating a particular closure to
determine the oxygen and water vapour permeability, the
leaching of substances from the rubber and the absorption of
constituents from the product An average value for the
permeability constant P, as previously defined, is 230 for
oxygen and 25,000 for moisture vapour, the units being
cm3/cm2/mm/ sec/cm Hg × 1010. Since the performance of a
closure probably depends more on its fit in the container
(hence the standard for dimensional tolerances) than on its
permeability, the British Standard describes a practical test of
performance. In this test, the gain in weight of a desiccant
sealed in a container by the test closure is compared with the
gain in weight where the closure is one which has previously
been found to be acceptable.
2360
The process of compounding rubber suggests that two types
of material which persist after the vulcanization process may
be
extracted, namely zinc and organic substances. Reznek
(1953a & b) studied the extraction of zinc from rubber used
as the plunger in dental anaesthetic cartridges. Generally, the
amount extracted from the plunger increased with the acidity
of the solution, storage time and temperature and content of
zinc in the rubber. With 16.1cm2 of rubber surface exposed to
50ml of 0.1 N HCl for 56 days at 50°C the final concentration
of zinc in the solution varied from 14 to 78 ppm as the zinc
oxide content of the rubber was increased from 0.41 to 1.01
per cent by weight. Direct experiment will show that zinc is
readily extracted from closure rubber by solutions of both
high and low pH and also at more neutral pH values if the
leaching solution contains a substance such as citrate which is
capable of complexing the zinc. Some of the organic
compounds used for compounding rubber are virtually
insoluble in water, while many accelerators are destroyed
during the vulcanization process. Nevertheless, leaching of
thiuram disulphide and other organic substances was noted by
Lachman et al. (1963b) during studies of preservative uptake
by rubber closures. The toxicological significance of zinc and
organic substances extracted from rubber is not clear. The
British Standard limits the amount of water soluble extractive
and also describes a test for the compatibility of product and
closure. Natural rubber contains a proportion of protein and
this has caused allergic reactions in sensitive individuals.
Nonallergenic rubber is now available.
Absorption of substances from the product is, of course, very
important. It may be expected that lipophilic substances are
more likely to be taken up than those more polar in nature.
Unfortunately, the former group includes a high proportion of
2361
the antimicrobial preservatives which depend on lipophilic
properties to pass the microbial cell wall. If these are
absorbed by the closure, the product is left without protection
against microbial contamination. Wing (1955, 1956a & b)
examined some thirty rubber formulations for preservative
uptake and found that the initial rapid absorption slowed
down with time and eventually reached an equilibrium
situation. The rate of uptake increased with temperature but
often the partition coefficient was less favourable to the
rubber at the higher temperatures. Wing noted extremes of
partition coefficient, for instance from 0.3 to 1.7 for phenol
and 7–47 for chlorocresol depending on the rubber
composition. Silica fillers and some softeners increased the
partition coefficient in favour of the rubber, the former
presumably by physical adsorption and the latter by providing
a more favourable solvent for the preservative (Royce &
Sykes, 1957). Sykes (1958) and Lachman et al. (1962, 1963a
& b) have reported studies which are in general agreement if
the inevitable variations in the compositions of the rubbers
used by these workers are taken into account. Contact of
rubber with phenol, cresol or methyl-p-hydroxybenzoate
solutions results in the uptake of about a third of the
preservative. Under similar conditions up to 90 per cent of
chlorocresol, chlorbutol, cetrimide and phenylmercuric nitrate
would be lost from solution. As the cetrimide would be
completely ionized, adsorption rather than absorption is the
most likely mechanism whereby that substance is removed
from solution. The phenylmercuric nitrate is probably
inactivated by –SH groups in the rubber. For the same reason
specially formulated rubber caps are used for penicillin
preparations. If the preservative is volatile–for example
cresol—it may evaporate from the rubber surface into the
atmosphere, a process that would continue until almost all the
2362
preservative has been removed from solution. Rubber also
interacts with sodium metabisulphite.
Attempts to mitigate the undesirable effects that attend the
use of rubber closures have involved the application of a wax
or lacquer coating. Although these give short-term protection
they eventually flake off, or perhaps worse, may block the
hypodermic needle. The most successful approach is to
presaturate the rubber with those absorbable substances with
which it is to come into contact. This is the official method
and the reader is referred to the official monographs for
details. It is sufficient here to note that the closures must be
carefully washed to remove mould lubricant and dust, and
that both the quantity and concentration of solution to be used
for soaking is specified to ensure correct saturation of the
closures.
Glass
Structure and Composition
Even the weak bonds between the molecules of a liquid will

effectively permit a random disordered structure; the viscosity
of a liquid is a measure of the amount of energy which must
be available for disrupting the intermolecular bonds during
flow. If the viscosity exceeds some 1013 poises the liquid
deforms so slowly under the influence of its own weight that
for all practical purposes it behaves like a solid. For a liquid
to crystallize, energy must also be available to break the
intermolecular bonds so that these can subsequently reform to
give the ordered lattice configuration of the crystal. In the
case of very viscous liquids the energy required may be so
large that the initial bond cleaving step is unlikely to occur
2363
and the liquid may remain more or less permanently in the
supercooled state at or below the normal crystallization
temperature. Technically, ‘glasses’ may be defined as liquids
which may be supercooled to temperatures at which the
viscosity exceeds 1013 poises, in which condition they exhibit
the properties of a solid while retaining the disordered
internal structure of a liquid. A large number of substances
can be obtained as glasses, e.g. sulphur, many plastics, arsenic
trisulphide, and these all have in common a well-developed
molecular network. In everyday usage, however, the term
glass is applied to the hard, brittle, transparent material, based
on a network of silicon and oxygen atoms, that is widely used
for making products as diverse as electric light bulbs,
windows and bottles.
Silica melts at about 1700°C and on cooling yields a glass
commonly known as fused silica. This material is very
resistant to the attack of all chemicals except strong alkalis,
hydrofluoric acid and related substances and, since the
coefficient of linear expansion is low (0.5 × 10–6), silica ware
can be subjected to sudden large temperature changes
(thermal shock) without breaking. Fused silica lacks the
regular crystal lattice of quartz but possesses instead an open
random three-dimensional network in which each silicon
atom is surrounded by four oxygen atoms,
each of the latter being shared by two silicon atoms (Fig.
43.10). The high melting temperature of silica derives from
the strong covalent Si–O bonds which may be pictured as
radiating from the central silicon atom and directed towards
the four corners of a tetrahedron so that the bond angle is
fixed at about 108°C (cf. carbon). The angle between the two
bonds associated with each oxygen atom is not so rigidly
fixed and this provides the flexibility necessary for the
formation of the network. Both the extreme viscosity of
2364
molten silica and the high temperature at which it must be
worked preclude the widespread use of fused silica. More
useful glasses result from the addition of modifiers to the
silica, which have the effect of lowering the working
temperature and viscosity, though not without some loss of
mechanical strength, resistance to thermal shock and chemical
durability. Monovalent metals, e.g. Na+ and K+, disrupt the
silica network and have the most marked effect on the
working properties, but the glass has too low a resistance to
chemical attack to be of any practical value. Calcium,
magnesium barium and other divalent metals can take part in
the network by sharing two oxygen atoms. The structural
distortion and replacement of a strong covalent bond by two
weaker electrovalent bonds results in a useful reduction of
working temperature without sacrificing too much chemical
durability. Suitable combinations of both mono- and divalent
metals yield glasses which are readily worked and yet possess
adequate strength and chemical durability for use in
noncritical situations (Fig. 43.10). ‘Soft’ or lime-soda glass is
of this type and is employed in the production of many of the
containers used in pharmacy. The performance of such
containers falls short of the ideal when exposed to the more
severe conditions encountered in, for instance, sterilization by
autoclaving. In these circumstances it may be necessary to use
a ‘harder’ glass, in which the content of mono- and divalent
metals has been reduced and replaced by multivalent elements
such as aluminium and boron. These elements are called
network formers because they can take part in the network by
covalent bonding in much the same way as silicon itself. The
chemical durability, resistance to thermal shock and
mechanical strength are thereby much improved but the glass
is more expensive.
2365
Fig. 43.10 The network structure of glass. (A) Fused silica;
(B) Soft glass.
Four main types of glass are in common use for the

production of the containers used in pharmacy. Table 43.3
gives an approximate composition, in terms of the appropriate
2366
oxide, that is representative of each type. The low values of
some elements is due to their presence as contaminants in the
raw materials, e.g. magnesium in limestone. It is necessary to
use a high grade sand as the source of silica, as ordinary
grades contain large amounts of iron, which produces a green
tinge in the glass and decolourizers, usually selenium
compounds, are ineffective if the ferric iron content is greater
than about 0.1 per cent. Certain elements may be deliberately
added to produce a coloured glass, the following being of
pharmaceutical interest:
Table 43.3 Approximate compositions of some glasses used
for the production of containers used in pharmacy
Amber: Carbon and sulphur or iron and manganese.

green: Chromium with some iron and manganese.
Blue: Cobalt with, occasionally, some copper.
The light absorption phenomenon is discussed on p. 167. At
one time arsenic was used as a decolourizer. Alkaline
preparations were known to dissolve glass and, to avoid
contamination, arsenic
free glass containers, distinguishable by their blue colour,
were used to package such preparations. In this way a blue
glass container has become associated with Mixture of
Magnesium Hydroxide, and is still used, even though the
2367
glass employed for the fabrication of pharmaceutical
containers is now arsenic (and lead) free.
Container Production
Furnaces for large scale glass production are typically

rectangular in shape, about a metre deep and 100m2 in area.
For the production of soft glass, high grade sand, soda,
limestone and alumina together with waste glass of the same
kind are continuously fed into the furnace and heated to about
1400. The bubbles of carbon dioxide and other gases formed
during the reaction rise to the surface as the glass approaches
the furnace outlet where the temperature is higher and the
viscosity of the melt much reduced. A ‘bridge’ across the
outlet skims off impurities as the melt flows into a fore-hearth
at which point the temperature is about 1000°C and the
viscosity is suitable for the start of container manufacture.
Full details of the methods used are given by Moody (1963),
but in each case a preformed blank or ‘parison’ is blown into
the final form inside a mould. A small gap between the halves
of the mould allows air to escape as the container is blown to
shape—its position is revealed by a fine ridge seam on the
outer surface of the finished container. Careful design of the
mould is necessary to ensure that the quantity of glass in the
blank mould gives container walls of the correct thickness at
the blowing stage.
By the time the container has been formed its external surface
has cooled to approximately 300°C and is rigid enough to
maintain the final shape. The inside, however, is still hot and
the stresses set up by uneven cooling would lead to early
failure of the container in service. To overcome this problem
the temperature is raised to about 550°C in an annealing kiln
2368
or lehr so that stress dissipation by internal flow can take
place. Subsequently, further stress formation is avoided by
allowing the container to cool slowly and uniformly as it
travels towards the exit of the kiln. Prior to entering the lehr it
is usual for the moulding ridges on the rim of the neck to be
removed by local heating (fire polishing).
Mechanical Strength
As the covalent Si–O bond is very strong, this should be

reflected in the mechanical strength of glass. Freshly drawn
fibres can support loads of the order of 1500MNm–2
(15,000kg cm–2) but the tensile strength of bulk glass varies
from about 200MNm–2 when new, to about a fifth of this
value after being used for some time. The variable low value
for the strength of bulk glass as compared with freshly drawn
fibres is attributed to the presence of submicroscopic cracks
on the surface of bulk specimens and these will tend to be
more numerous on the surface of used specimens, due to
damage in service. These cracks open up under tension and,
since the glass is a liquid, there are no internal boundaries to
inhibit their propagation. The cracks do not open up when
compressive loads are applied and glass is found to be some
ten times stronger in compression than in tension.
Glass containers are subject to a number of mechanical
hazards both on the filling line and in service. If they rub
together abrasion scars are formed that seriously weaken the
glass as described above. They are prone to fracture on
impact, particularly if full of liquid and for this reason must
be packed for transport and handling in cartons with shock
absorbent partitions around each container. The filling and
capping head may impose a vertical load on the container and
2369
this condition also obtains when the cartons of filled
containers are stacked for storage or transport. The vertical
load which a bottle will support without fracture is roughly
proportional to the radius of curvature of the neck.
As glass is weaker in tension than in compression, the aim of
modern design is to ensure that the shoulder and sides are
evenly compressed by vertical loading, and tensile stresses
reduced as much as possible by using the largest radius of
curvature for the shoulder that is appropriate to the particular
size and function of the container. In this way it has been
possible to increase the vertical load resistance from some
200kg for the older, square shouldered ‘winchester’ to ten
times this value for its modern more rounded counterpart
(Fig. 43.11). Similar changes may be seen in the shape of
most modern glass containers used for packaging
pharmaceutical products. The modern shape also facilitates
mould design to secure uniform thickness of glass at the
shoulder Finally, the shape must be considered in terms of the
internal pressure that the bottle must withstand in use. The
cooling of a full transfusion bottle, for instance, usually lags
behind that of the autoclave. As a consequence the bottle may
still be under pressure when the chamber of the autoclave has
reached atmospheric pressure.
2370
Fig. 43.11 Improvements in container design: (A) Old; (B)
New.
Where mechanical strength is of paramount importance it

may be necessary to employ a hard glass container, but the
mechanical strength of soft glass containers may be improved
by a process known as titanizing. After the container has been
reheated at the start of the annealing process, the outer surface
is sprayed with a tin or titanium compound. This decomposes
to leave an oxide film which dissolves in the glass to give a
thin surface layer that significantly reduces glass-to-glass
friction and the tendency to form submicroscopic cracks. The
process allows wall thickness to be reduced and yet, with
suitable designs, the resistance to breakage from impact,
abrasion scars and vertical loading can be better than that of
similar untreated containers.
2371
Resistant to Thermal Shock
The outside of a hot glass container cools and contracts if

exposed to a cold environment, that is, to downwards thermal
shock. The thicker the container wall the lower the rate of
heat transfer from the warm interior and in any case this rate
is low, due to the poor thermal conductivity of glass. Thus the
transient temperature difference which is rapidly established
between the inner and outer surfaces of the glass is greater for
thick than for thin walled containers. The outer wall cannot
contract to the full extent implied by the decrease in
temperature and the coefficient of linear expansion, because it
is constrained by the warmer glass to which it is attached.
Thus, the outer surface is placed in tension while the inner
surface is placed in compression but, since glass is much
stronger in compression than in tension it is the cooled
surface that determines the subsequent behaviour of the
container. If the tensile stress in that surface is greater than
the tensile strength of the glass; the container will shatter.
A number of factors determine the resistance of a particular
container to thermal shock, for example, tensile strength and
coefficient of linear expansion of the glass, wall thickness and
variations of wall thickness. Shape is also very important,
particularly where the base joins the side walls and the small
radius of curvature at that point imposes severe bending
stresses on the glass under conditions of thermal shock.
Where possible these stresses are minimized by a gentle in
sweep of the container wall that increases the effective radius
of curvature near the base. It will be clear that the calculation
of the resistance to thermal shock of a given container is a
matter of some complexity but an approximate value for the
maximum temperature jump (Tmax in °C) that may be safely
2372
imposed on a soft glass cylindrical container by chilling the
outer surface is given by:
Tmax = 32d–1/2
where d is the wall thickness in centimetres. The wall
thickness of a container is inevitably a compromise between
the opposing requirements of strength (thick wall) and
resistance to thermal shock (thin wall). In some cases it may
be necessary to use the mechanically stronger neutral or
borosilicate glasses; the latter has the particular advantage
that its coefficient of linear expansion is only a third of that of
soft or neutral glass. In practice, ‘winchesters’ (2 litre) will
survive a temperature drop of at least 30°C, large (half-litre)
containers about 50°C and small thin-wall containers about
70°C; these values may be doubled for thermal shock
provided by rising temperature increments of the same order.
These factors emphasize the great care that should be taken
when handling hot glassware. The most serious condition
arises when products which have been sterilized are
prematurely removed from the autoclave. The resultant
thermal shock when the container is exposed to the much
colder environment outside the autoclave often leads to
explosive shattering of the glass, as the container and contents
will still be under pressure.
Chemical Durability
Ideally, product and package should not interact and material

derived from the package that finds its way into the product
must be regarded as a contaminant. Nevertheless, even the
silicate glasses which are probably the most inert materials
likely to be used for the fabrication of containers are attacked
at all pH levels by aqueous liquids and it is necessary to apply
2373
realistic tests to ensure that the amount of contamination is
within acceptable limits. Attack by alkaline solutions leads to
the steady dissolution of glass, often without apparent change
in appearance (Dembleby, 1953). The only visual evidence of
such attack may be the formation of insoluble silicates in the
product. Hydrofluoric acid and a few related fluorine
containing substances also dissolve glass, but for all other
acidic or neutral aqueous solutions the attack proceeds by an
ion exchange process in which monovalent and, later, divalent
cations in the surface are replaced by hydroxonium ions. The
layer of hydrated silica formed by this process affords some
protection for the glass if the attacking liquid is acidic and
neutralizes the cations as they diffuse from the surface. Under
conditions of severe attack by water the extracted alkali may
cause dissolution of the hydrated silica layer thus exposing
the glass beneath to attack. The deterioration of a glass
surface under adverse storage conditions involves both kinds
of action. If the humidity is high, moisture condenses on the
surface and extracts cations. Subsequently the film may dry to
leave behind a white deposit which contains a high proportion
of sodium carbonate. When moisture again condenses on the
surface the deposit dissolves and the concentrated alkaline
solution attacks the silica network. The resultant loss of
surface brilliance is known as weathering. In severe cases the
surface acquires a white etched appearance that cannot be
improved by normal washing procedures; a similar effect may
be noted with soft glass containers that have been autoclaved
many times.
The rate at which a glass surface is attacked depends on the
type of glass and any surface treatment to which it may have
been subjected, the wetted area, the type and temperature of
the attacking solution and the time it has been in contact with
the surface. For alkaline solutions the rate of attack falls off
2374
with time due to the accumulation of silica and other
components of glass in the attacking solution. If M is the
amount of material dissolved in time t from unit surface area
and the amount of silica etc. accumulating in the attacking
solution is proportional to M then:
dM/dt = K/(r + kM)
where K, k and r are constants. Under neutral conditions the
attack is diffusion controlled by a hydrated silica layer of
thickness d proportional to the amount of cations M leached
from the surface that is:
where P and k’ are constants. Actually, the process involves

outward diffusion of Na+ H3O+ ions but if, as seems likely,
only one of these processes is the rate controlling step, the
foregoing treatment is valid. As with attack by alkaline
solutions the rate decreases with time, in this case because of
the increasing thickness of the hydrated silica layer. Both
fundamental rate equations lead to a parabolic time law (M2 ∞
t) of attack. Furthermore, as both chemical reaction leading to
dissolution of the glass and loss of surface alkali by diffusion
are activated processes, the Arrhenius relation may be
applied, that is:
2375
where E is the activation energy, R the gas constant and C a
constant. Hubbard and Hamilton (1941) and Douglas and
Isard (1949) have confirmed that this relationship applies to
the attack on a number of glasses by alkalis and by water
respectively.
Surface treatment of soft glass offers a possible means for
reducing the interaction with aqueous fluids. Silicones
appeared to be suitable agents as they are chemically related
to glass and produce water repellant films. With these
substances protection was good initially, but the film tended
to detach on storage or autoclaving. A more satisfactory
treatment is based on the early observation that the outer
surfaces of glass containers that had been annealed in a coal
or gas fired lehr were more resistant to attack by water than
the inner surfaces. Sulphur dioxide and other acidic
components of the furnace gases had reacted with the Na+
ions in the surface to form salts which were removed on
washing the containers. The annealing process ensured that
the silica rich layer which was left behind was compacted and
firmly bonded to the underlying glass. Unfortunately, furnace
gases do not readily penetrate the interior of a container,
hence its lower resistance to attack by aqueous liquids, and in
any case some lehrs are now heated electrically. To overcome
these problems an acidic atmosphere is artificially formed by
placing an ammonium sulphate pellet in the container prior to
annealing. The process is known as sulphating.
Flake and Spicule Formation
The chemical durability of glass is assessed by exposing it to

attack by appropriate chemical reagents and measuring the
effect on that reagent or on the glass itself. The BP 1973 has
2376
adopted the tests of the European Pharmacopoeia (Vol. II)
1971. The hydrolytic resistance test sets a limit on the amount
of alkali that may be extracted from the containers used to
package injectable products. The containers are filled with the
nominal volume of freshly distilled water and autoclaved. The
alkali leached by the water from the glass and is then titrated
with N/100 HCl. According to the provisions to the test for
1ml ampoules, the extracted alkali must not exceed that
equivalent to 0.02ml of N/100 HCl. As about 5cm2 of internal
surface is wetted by the nominal contents of 1ml ampoules in
current use the foregoing corresponds to an extraction rate of;
Similar calculations for 10ml (28cm2 wetted surface) and

50ml (78cm2, wetted surface) give extraction rates of 0.82
and 0.88mg cm–2 respectively. Thus, the hydrolytic resistance
test relates the amount of extracted alkali to the internal
surface area of the container. In this way it differs from the
test for alkalinity of glass in the BP 1968 which limited the
concentration of extracted alkali in the container contents
irrespective of the size.
A further set of tests, not previously described in a British
Pharmacopoeia, but having affinities with tests in the United
States is intended to distinguish between neutral, surface
treated and soft glass. A crushed glass test is used to
determine whether the container has been fabricated from
neutral or soft glass. A further test in which the internal
surface is exposed to the action of hydrofluoric acid to
remove for example, the silica rich layer of a sulphated
2377
container, allows the latter to be differentiated from similar
components made from neutral glass.
There is one further effect due to the reaction between the
glass surface and acidic or neutral solutions. When the cations
are replaced by hydroxonium ions, additional water molecules
are also carried into the surface. To accommodate the
hydroxonium ions and water molecules, the surface layer
swells and in some cases may rupture the bonds at the
interface with the unattacked glass below, so that silica rich
laminae (flakes) or needlelike fragments (spicules) detach
from the surface. If the attack takes place at room temperature
a considerable period may elapse before flake or spicule
formation becomes visible. If the temperature of the container
and its contents is raised, additional stresses due to
differential expansion of the glass and the hydrated silica
layer causes more prompt rupture of interfacial bonds and the
detachment of flakes or spicules. It is known that nearly
neutral solutions containing citrates, phosphates, tartrates and
bicarbonates are most prone to trouble from flake and spicule
formation. Presumably, this is due to some attack of the silica
network itself, in addition to the swelling and thermal effects
noted above. Such products may often be packed and
sterilized in new sulphated lime-soda bottles, but have a
tendency to flake and spicule contamination if the bottle has
been in use for some time. Although Groves and Major
(1964) have confirmed the previously held view that the
rubber closure, rather than the glass container, was the major
source of contamination in commercially available
transfusion fluids, the presence of particles of any kind should
be suspect as even particles smaller than 1 μg in diameter
have given rise to adverse physiological effects (Stehbens &
Florey, 1960). Sterile pharmaceutical solutions completely
2378
free of particles could probably not be manufactured on a
commercial scale.
Groves (1966) proposed a limit of not more than 50 particles
greater than 5μm in size per ml of product (see also Cooper &
Barrett, 1970). The BP 1973 requires that all injections must
be free from particulate matter that can be observed by visual
inspection. Additionally, specified products must conform to
a limit for 2–5 μg particles and for particles larger than 5μm.
Such products include large volume perfusion fluids
containing, for example, sodium chloride and sodium lactate.
The European Pharmacopoeia distinguishes between three
types of glass: type I has high hydrolytic resistance due to its
composition and includes the neutral glasses; type II derives
its hydrolitic resistance from surface treatment, e.g.
sulphating; type III includes soft glass and has only moderate
hydrolytic resistance. Type III glass may be used to package a
wide variety of products such as ointments, lotions, mixtures,
powders for the preparation of injections and nonaqueous
injections. All other parenteral products must be packaged in
type I or II glass containers. Sufficient alkali could be
extracted from soft glass to cause the precipitation of basic
substances. Thus, strychnine has a pkb of 6.0 and a solubility (
So) in water of only 1 in 7000 (0.0143 per cent) at room
temperature. For an aqueous injection containing, say 1mg
per ml (S = 0.1 per cent) of the alkaloid as a salt the pH at
which that alkaloid will just precipitate (pH) is given by:
2379
Direct experiment shows that occasionally enough alkali may
be leached from the inner surface of a soft glass ampoule to
raise the pH of the contents to or above this level. Formerly,
the liberation of narcotine from its salts was used in Germany
as a performance test for glass containers. Many bases are
sufficiently soluble in water at high pH that precipitation is
unlikely to occur. Thus, with atropine, adrenaline and
procaine accelerated decomposition in alkaline conditions
rather precipitation is the problem. Some medicaments such
as Adrenaline Acid Tartrate have inherent buffering capacity
in the pH range which is optimum for stability. For
Chloramphenicol Eye Drops the balance between solubility
and stability is maintained by a pH 7.0 borate/boric acid
buffer (Heward et al., 1970).
Another example where the extraction of alkali must be
limited by the use of hard glass containers is in the packaging
of Insulin Injection. The isoelectric point of this polypeptide
is 5.5–5.6 and, although the injection is adjusted to pH
3.0–3.5, sufficient alkali could be extracted from
unsatisfactory containers to bring the pH to the isoelectric
point thus causing precipitation of insulin. The major danger
with this medicament is, however, the very much accelerated
degradation of the polypeptide that occurs if the pH exceeds
7.5. Borosilicate glass is too expensive for widespread use as
a container material. The cheaper neutral glasses provide an
2380
acceptable alternative and are available in two grades (Table
43.1), one of which is formulated for a low fusion
temperature to facilitate the sealing of ampoules (B.S. 795:
1961). Although the coefficient of linear expansion is similar
to that of soft glass, thermal shock is rarely a problem as the
ampoule walls are thin. The container grade of neutral glass is
employed for the production of multidose injection containers
antibiotic vials, etc. Transfusion bottles (B.S. 2463: 1962) can
be made of neutral glass but sulphated lime-soda glass
provides a cheaper alternative which is now much used for
eye drop bottles (B.S. 1679: 1965). To avoid the danger of
flaking with repeated use, surface treated eye drop bottles are
employed once only and are therefore known as ‘one-trip’ eye
drop bottles. Some injections such as those containing
apomorphine, ascorbic acid or papaveretum are light
sensitive, and amber coloured ampoules have been much used
for packaging them. However visual evidence of
deterioration, e.g. flaking, colour changes, etc., should be
readily discernible and it is now more usual to pack the
product in colourless containers and exclude light by means
of the ampoule box. Another reason for using colourless
containers is that the product might be contaminated by the
elements used to colour the glass, and Girard and Kemy
(1950) have reported that iron extracted from amber glass
may interfere with the stability of adrenaline solutions. For
nonparenteral products the packaging requirements are less
stringent and as amber containers are no more expensive than
the colourless variety, the majority of chemicals, galenicals,
etc. are now routinely packed in amber glass bottles
regardless of the light sensitivity of the packaged material.
2381
Closures
An ideal closure will seal the container to prevent loss of

product and ingress of gases or other substances. Where
necessary the closure should withstand sterilizing conditions
and prevent subsequent contamination by microorganisms.
The closure and product must not react together. Finally, if
only part of the contents of the container is to be used at a
time, it should be easy to remove and replace the closure, and
the reseal properties must be adequate for this purpose.
Except for this last requirement, a glass fusion seal is as
perfect a seal as it is possible to make; all other seals are less
satisfactory. If the product absorbs water vapour, the partial
pressure for that substance inside the container will be lower
than that in the environment. This provides a concentration
gradient across any imperfection in the closure and leads to
continuous diffusion into the container and hence into the
product. Additionally, any change in ambient temperature or
pressure will result in a flow of air into or out of the container
via the imperfections in the closure—the container is said to
‘breathe’. Over a period of storage the combined effects of
breathing and diffusion may lead to the transfer of
considerable quantities of water to the product and may result
in instability.
The basic types of closure are folded, push-on, bung,
screw-cap and fusion.
Folded Seals
These will be familiar both as the seam down the side of

tinned-steel containers and as the folded end of ointment
2382
tubes. If the product inside the tube is very viscous there will
be a considerable back pressure as the product is forced out of
the nozzle and this will tend to unfold the seal. In commercial
practice, when the folds have been formed they are crimped
by corrugated jaws and this prevents unfolding of the seal
(Fig. 43.12). Seepage via the folded seal may be prevented by
the use of latex sealing compounds.
Fig. 43.12 Crimped end of ointment tube.
Push-on Seals
These are often used for tubes of lozenges and rely on the
resilient distortion of the closure both for pushing the cap
over the retaining ring at the rim of the tube and also for
maintaining a tight seal between the neck and the rim (Fig.
43.13).
2383
Fig. 43.13 Push-on closure.
Bung Seals
These are among the oldest known closures. They are conical
and can be inserted for about half their length into the neck of
the container (Fig. 43.14A). Sideways pressure due to
distortion of the bung on insertion provides a seal the
perfection of which depends both on the bung material and
finish of the neck. Cork usually gives a good seal for general
purposes but eventually becomes permanently distorted with
consequent loss of reseal properties. Rubber is an excellent
material for bung closures but cannot be used for oils or
solvents due to swelling, or for lubricant products as the bung
tends to eject from the neck of the container. There are many
varieties of this type of closure. With vaccine bottle caps,
bung action is assisted by a ‘skirt’ that folds over the outside
of the neck of the bottle. A wire loop round the skirt ensures
that the bung is not ejected during heat sterilization. Another
type of bung closure, now much used is that used for vials of
penicillin powder. The bung is held in place by a thin
aluminium cap which is spun round a retaining ring on the
neck of the vial (Fig. 43.14B).
2384
Fig. 43.14 Bung seals.
Screw-cap Seals
The essential features (Fig. 43.15) are a cap with thread

matching that of the container, and a tough liner behind which
is placed a resilient wad. When the cap is screwed down the
liner makes contact with the rim, distortion of the wad
maintaining the liner in close contact with the rim. For
efficient sealing, the thread on the cap must match that on the
container; the rim of the container must be square and free
from moulding imperfections. Although formerly a source of
trouble, moulding imperfections have virtually been
eliminated by the fire polishing process before entry of the
glass container into the lehr as described in the section on
glass. The performance of plastic containers in this respect
has yet to be determined. The depth of the cap must be such
that it does not foul the annulus on the neck of the bottle.
Overtightening must be avoided as this may crack or distort
2385
the cap. If a rubber wad is used (a liner is not required) elastic
recovery from overtightening may lead effectively to
loosening of the closure. Finally, the screw cap must be
dimensionally stable. Should an aluminium cap be
overtightened the free edge may stretch and will not properly
fit the screw thread on the container. Phenol-formaldehyde
bottle caps are often filled with wood flour. If the cap is
basically of poor quality the wood flour swells in contact with
moisture from alkaline products with an effect similar to that
described for overtightened aluminium caps. Aluminium
hydroxide gel and magnesium hydroxide mixture have both
been implicated in cap distortion of this type. At one time,
tinned-steel screw caps were much used but tended to rust
where friction with the thread damaged the tin coating. Both
thermoplastics and thermosetting plastics are now much used
for screw cap production.
Fig. 43.15 Conventional screw-cap closure.
Liners for screw caps must be tough. Ceresine impregnated

paper, aluminium foil and plastics such as polythene are much
used. Rubber is a good wad material provided it is not
2386
overtightened; it is inert to most materials, except as
described elsewhere, and does not support mould growth.
Plastics share most of the properties of rubber but lack its
resilience. For cheaper closures, wood pulp and felt board
wads are employed but resilience is low and the reseal
properties poor. Glue or resin bonded cork chips are also used
but the former disintegrate in contact with aqueous liquids
and support mould growth. The resin bonded variety is much
better in these respects but distorts readily. Labour costs can
be reduced if the wad and liner are bonded together to give
for instance, a polythene-faced resin-bonded cork wad. For
some modern dispensing bottles the wad and the liner are
replaced by a lip moulded into the scre wcap (Fig. 43.16).
Rolled-on screw caps avoid the problem of matching cap and
container thread by using a straight-sided blank cap which is
held firmly against the rim of the neck while a rotating head
forms the thread on the cap against that on the neck, A
particular advantage of the rolled on type of seal is that
provision can be made for an extended perforated skirt to fit
over the annulus. The perforations must be broken before the
cap may be removed. This particular system provides a
pilfer-proof closure.
Fig. 43.16 Modern screw-cap closure.
2387
Fusion Seals
This type of seal is used for ampoules and when properly

made is hermetic. Products of the sachet type use a plastic
fusion seal.
Package Testing
Each product has its own particular packaging problems, and

some typical examples are discussed by Stephenson (1953).
In general, it is necessary to establish:
1. the amount, kind and toxicity of any materials that may be
extracted from the package by the product and how this may
be avoided;
2. whether any of the product constituents are being absorbed
and how this may be prevented or minimized,
3. the amount, size and kind of any particulate matter that
may appear in the product and the steps necessary to prevent
this,
4. the light transmission characteristic if the product is
photosensitive,
5. closure efficiency: this is best achieved by placing the
product in the proposed package and noting, say, weight
changes over a period. An unfilled control will establish
weight changes due to the package alone.
6. any specific interactions, how these arise and how they
may be minimized, and,
7. whether the package satisfies legal requirements both in the
country of origin and in those to which the product may be
exported.
2388
Filling
Packaging does not finish with the selection of a suitable

container for the product; the latter must be filled into the
container. This involves further processing and handling
procedures which themselves may have an effect on the
long-term stability of the product. If the batch is small, hand
filling may be appropriate but on an industrial scale a batch
may consist of thousands of product units, requiring for
economic filling semiautomatic or automatic equipment. Such
equipment would assemble the containers and closures,
dispense the medicament into the container, apply the closure
and label and carry out such other operations as may be
necessary such as placing the product into a carton. As filling
operations are common to many industries, a wide variety of
equipment is available to the pharmaceutical manufacturer.
Different organizations therefore are unlikely to adopt the
same system for a given operation. Nevertheless, there are
problems basic to the filling of liquids, semisolids, powders
and unit-dose products, regardless of the production method,
and these are briefly discussed here.
Liquids
There are obvious problems in filling suspensions,

particularly official preparations of kaolin, magnesium
trisilicate, etc., which do not contain a suspending agent. If a
product of the correct composition is to be packaged, the bulk
must be continuously and thoroughly stirred throughout the
entire filling operation with particular attention to the corners
of the main container where stirring is relatively ineffective
and where solid may accumulate. Furthermore, the transit
2389
time of the product from the bulk to the final container must
be short to minimize sedimentation in the filling head. Apart
from inaccuracies in the composition of the filled product,
accumulating solid may jam the head mechanism. Even
solutions present filling problems if the surface tension is low
and the foam stability high. The liquid from the filling head
(Fig. 43.17A) jetting into the product already in the bottle
causes considerable agitation and build up of a persistent
froth. It is necessary for the vacuum line to suck off to the
trap a large volume of froth before the bottle is properly filled
with liquid product. A variant of the standard head, that is
normally successful in avoiding this problem, is shown in Fig.
43.17B. The liquid jets onto the wall of the container and
gently flows as a thin film without frothing. As these types of
head fill to a given distance below the rim of the neck,
volumetric accuracy of filling is entirely dependent on the
observance of rigid tolerances during manufacture of the
container. Furthermore, it is, not easy significantly to vary the
filling volume from the nominal value for the container.
Machine driven automatic syringes are employed if greater
versatility is required, a method which finds considerable use
in large scale ampoule filling. The syringe size and plunger
stroke determine the volume transferred to the container.
2390
Fig. 43.17 Filling head for (A) non-foaming and (B) foaming
liquids (diagrammatic).
Semisolids
The filling of extracts, pastes, ointments, creams and other

semisolids is sometimes facilitated by warming the product to
reduce viscosity. The technique must be applied with care as
it may accelerate a degradative chemical reaction or have an
effect on physical characteristics or stability. Sedimentation
of suspended solids may occur if the viscosity of the vehicle
is excessively reduced by heating, while permanent changes
in consistency resulting from the breakdown of gel structure
when creams are stirred or heated must be allowed for at the
formulation stage. Viscous products, particularly those
containing surfactants, are prone to aeration. Apart from the
fact that aeration may accelerate oxidation, the entrained air
bubbles are highly compressible and interfere with pumping
when the product is homogenized or filled. Finally, it may not
2391
be possible to get the required amount of aerated product into
the selected container.
Powders
It is often possible to resolve a powder filling problem into a

powder flow problem—the subject is discussed in Chapter 19.
It is worth bearing in mind, however, that the filling machine
may demix the powder by stirring, may cause some particle
size reduction by attrition in the feed screw and may expose
the powder to atmospheric oxygen or water vapour. If the
product is particularly water sensitive, for example,
ampicillin, it may be necessary to provide low humidity
filling conditions; it is generally accepted that, for stability, 1
per cent represents the maximum water content that may be
permitted for penicillin formulations in powder form. There is
often a dust hazard associated with the filling of powders and
this must be carefully controlled to avoid toxic effects on the
operatives and contamination of other products.
Unit-dose Products
These are usually packed in submultiples or multiples of a

hundred. The tablets or capsules are placed in the filling
machine and each unit separately interrupts a light beam or
other mechanism that actuates a counting device whereby the
product feed is shut off as soon as the correct number of units
have been placed in the container. The filling process subjects
the product to tumbling action and for this reason tablets
should be formulated for high resistance to abrasion,
particularly at the edges. To minimize abrasion when the
tablet is in the container, the head space is filled with
2392
‘necking’ material. Formerly, cotton wool was much used but
unless thoroughly dried its normal moisture content is
sufficient to promote the degradation of sensitive products.
Preformed polyurethane foam is now used for necking; it is
easier to insert and has a very low moisture content.
Repackaging
After manufacture a product may undergo one further

packaging process if prescription requirements do not match
available pack sizes. The repackaging process often affects
stability and poses other problems as well as those
specifically associated with the correct choice of dispensing
container. It might seem that these difficulties would be
mitigated by the shorter period of further storage typical of
dispensed items, but the prescribed quantity of drug may be
intended to last the patient several months, e.g. Tolbutamide
or Primidone, and this factor must be assessed and taken into
account. For most official preparations the packaging and
storage requirements are stated in the relevant monographs. It
should be noted that there are now precise meanings attached
to such familiar phrases as light resistance, freshly prepared,
etc.
Official directions for the preparation of creams are intended
to minimize microbial contamination of the product, and this
must not be increased during the repackaging operation.
Additional problems are the possible interaction between the
new container and the product and the selection of the correct
diluent (if required) for the avoidance of incompatibilities and
significant change in rheological behaviour. The latter is also
a factor to be considered in the provision of dispensing
containers for mixtures and lotions. Although the original
2393
pack may serve as a guide, it is worth remembering that, even
when thinned by shaking, thixotropic products such as
Aluminium Hydroxide Gel and Mixture of Magnesium
Hydroxide are more readily poured from a container with a
wide neck. As discussed earlier, some woodflour filled
phenol-formaldehyde screw caps may swell or distort in
contact with products of this type. Very thorough shaking of
suspensions before dispensing is essential if the original
composition is to be maintained in both the dispensed and
remaining material. If the product is to be supplied in a
diluted form, care must be taken that specific stabilizers and
preservatives are present in sufficient quantity for efficient
protective action. The oxygen permeability of a plastic
container may be crucial to the stability of the product if
absorption or dilution of the antioxidant has taken place.
Tablets are often repacked from bulk supplies, and the danger
exists that progressive abrasion will occur as the tablets are
tumbled when taken from the bulk container. The latter is
frequently an aluminium or tinned-steel container or an amber
glass bottle, all of which provide protection against light. The
container selected for repackaging must also possess this
property if the product is photosensitive. A high proportion of
the moisture sensitive drugs exhibit adequate stability if
stored and dispensed in a well sealed container. More
sensitive preparations—Effervescent Potassium Tablets, for
example, require a much higher level of moisture exclusion.
In commercial packs the tablets are sealed in a polythene bag
with a desiccant sachet, enveloped in a further polythene bag
and then issued in a sealed aluminium screw-capped
container. Unless this order of moisture protection can be
maintained in repackaging, it is probably best to obtain the
prescriber’s agreement for the supply of the nearest size
commercial pack.
2394
It cannot be too strongly stated that thoughtful repackaging
may be ruined if appropriate directions for storage and use are
not given and explained to the patient.
References
Bloom C, Drennan M. Pharm. J. 1957;178:416.

British Standard 3263: 1960, Rubber Closures for Injectable
Products. British Standards Institution, London.
British Standard 795: 1961, Ampoules. British Standards
Institutions, London.
British Standard 2463: 1962, Transfusion equipment for
medical use. British Standards Institution, London.
British Standard 1679: 1965, Eye Dropper bottles. British
Standards Institution, London.
Busse MJ, Hughes DA. Pharm. J. 1969;203:338.
Child CL. J. Pharm. Pharmacol. 1955;7:793.
Cooper D, Barrett CW. Pharm. J. 1970;205:186.
Cooper J. Pharm. J. 1966;197:391.
Dembleby V. J. Pharm. Pharmacol. 1953;12:969.
Douglas RW, Isard JO. J. Soc. Gglass Technol. 1949;33:289.
Flu¨ck H. Pharm. J. 1966;197:428.
Groves MJ. J. Pharm. Pharmacol. 1966;18:161.
Groves MJ, Major JFG. Pharm. J. 1964;193:227.
Haworth J. J. Pharm. Pharmacol. 1953;12:990.
Heward M, Norton DA, Rivers SM. Pharm. J. 1970;204:386.
Hubbard D, Hamilton EH. J. Res. Nat. Bur. Stand.
1941;27:143.
Jolly SC, Lund W, John EG. Pharm. J. 1970;204:291.
Lachman L, Weinstein S, Hopokins G, Slack S, Eisman P,
Cooper J. J. Pharm. Sci. 1962;51:224.
2395
Lachman L, Weinstein S, Urbanyi T, Ebersold E, Cooper J. J.
Pharm. Sci. 1963;52:241.
Lachman L, Urbanyi T, Weinstein S. J. Pharm. Sci.
1963;52:244.
Long WR. Pharm. J. 1961;187:165.
Moody ME. Packaging in Glass. London: Hutchinson; 1963.
Paine FA. Packaging Materials and Containers. London:
Blackie; 1967.
Pharmaceutical Journal (1957) 178, 424.
Reznek S. J. Am. Pharm. Assoc. (Sci. Edn) 1953;42:288.
Reznek S. J. Am. Pharm. Assoc. (Sci. Edn) 1953;42:291.
Royce A, Sykes G. J. Pharm. Pharmacol. 1957;9:814.
Simpson BJ. Pharm. J. 1969;203:335.
Stehbens WE, Florey HW. Q. J. eExp. Physiol. 1960;45:252.
Stephenson D. J. Pharm. Pharmacol. 1953;12:999.
Sykes G. J. Pharm. Pharmacol. 1958;10:40.
Wing WT. J. Pharm. Pharmacol. 1955;7:648.
2396
Chapter 44
Pilot Plant Manufacturing
Pilot plant scale-up techniques can be defined as a part of the
pharmaceutical industry where a laboratory scale formula is
transformed into a viable product by the development of
liable practical procedure for manufacture. Research and
development (R&D) personnel develop the drug dosage
forms at small level and then convert them into production via
pilot plant scale-up. Scale-up can be defined as the art of
designing of replica using the data obtained from the pilot
plant model.
The objectives of pilot plant can be as follows (Robert and
Albert, 2003):
1. Production of physically and chemically stable therapeutic
dosage forms
2. Review of the equipment processing to determine whether
it is compatible, economical, simple and reliable in the
production of the product
3. Availability of the raw material
4. Determination of the physical space and plant layout
required
5. Guidelines for process control
6. Evaluation and validation
7. Identification of the critical features of the process
8. Development of master manufacturing formula
In addition to this, appropriate records and reports are issued
to support good manufacturing practices (GMPs) and to
provide the historical development of the production
formulation, process, equipment and specification.
2397
A pilot plant allows the investigation of a product and process
on an intermediate scale before large amounts of money are
committed for full-scale production.
A pilot plant technique involves the industrial implementation
of processes in which conversion of material takes place into
the dosage form. Most processes are scale dependent; that is,
they behave differently on small scale (in laboratories or pilot
plants) and on large scale (in production). It is indicated
clearly by the above discussion that meaningful product
reprocessing procedures can only be developed and validated
at pilot plant scale. In this connection, all critical features of a
process must be identified so that as the product is scaled up it
can be adequately monitored to provide assurance that the
process is under control, and that the product produced at
each level of the scale-up maintains the specified attributes
that were originally intended (Lieberman et al., 1990; Aulton,
2006).
General Considerations
Reporting Responsibility
Actually the pilot plant function can be a part of the R&D or

operation-oriented groups. If it is a part of the R&D, then
there is a requirement of separate staff members and emphasis
is also given on consideration of hierarchy of responsibility to
scale up formulations developed by the R&D department and
that come out as the product. Alternatively, the formulator
who developed the product can take it into production and
provide support even after transition into production.
Some companies prefer to have the pilot plant as a technical
service group, which is operations oriented. The advantage of
2398
such a group would be that the pilot plant will be more
realistic and accessible to operations. Some companies have
adopted a combination of both approaches in the hope of
achieving the best attributes of both—the R&D and the
operations-oriented systems. Whichever approach is adopted
by the company, the goal of a pilot plant is to facilitate the
transfer of a product from the laboratory to the production.
The effectiveness of the pilot plant is determined by the ease
with which new products or processes are brought into
routine production. This can be achieved by good
coordination between the various departments, like R&D,
processing, packaging, engineering, quality assurance and
quality control, administration and marketing.
Personnel Requirement
A pilot plant organization requires a team of personnel with

good theoretical and practical knowledge of pharmacy—a
team composed of personnel having good communication
skills and designing ability, to integrate processes into an
existing facility. The team is also responsible for defining
equipment specifications and the physical relationship of
process operations in order to comply with regulatory
standards. The personnel must be aware of the relevant
scale-up criteria to be used because their misapplication can
lead to significant performance differences between
bench-top and manufacturing plant scales. For this reason,
stepwise scale-up is recommended. In addition, successful
scale-up requires that manufacturing personnel be properly
trained on process requirements and GMPs to provide an
efficient and seamless transition into commercial production
2399
within the shortest possible time. Experience within the group
should encompass both formulation process and equipment
experience in the actual production environment. Personnel in
the pilot plant must recognize the intent of the formulator and
at the same time understand the perspective of production
personnel. For these reasons successful pilot plant
organizations frequently include scientists with experience in
both areas.
Space Requirement
Four types of space requirement for a pilot plant are discussed

below.
Administration and Information Process
Adequate office and desk space must be provided for both

scientists and technicians. These areas should be adjacent to
the workplace but sufficiently isolated to avoid any
disturbance to the people at work. There should be a specified
meeting area where 4–5 people of different sections can meet
and interact on subject(s) of mutual concern. Space should be
allotted for the computer terminals (with all advanced
facilities) for data entry, retrieval and archiving for stability
data protocols, historical files and also to enrich the
knowledge of latest updates.
Physical Testing Area
There should be an adequate working area in which samples

can be laid out and examined and physical tests on these
samples can be performed. This area should provide
2400
permanent bench-top space for routinely used equipments like
balance, pH meter, UV spectroscope, viscometers, etc.
Standard Pilot Plant Equipment Floor Space
The third area is discrete plant space where equipments can

be arranged in proper manner for manufacturing of all types
of pharmaceutical dosage forms. This arrangement helps to
assure the quality of the scale-up data collected, when
concerned with prudent and expensive materials. There
should be separate sections for solid dosage form, liquid
dosage form and sterile products. Further subdivision of the
areas should allow multiple operations to be conducted
simultaneously without raising GMP concerns.
The utilization of pilot plant equipment is sporadic and
dependent on project assignments; therefore the equipment
should be made portable wherever possible and can be stored
in a relatively small area. There should be a provision of extra
space, if equipment is brought in for evaluation on a loan or
rental basis. In all pilot plant operations, there must be a
provision for adequate cleaning space for pilot plant
equipment.
Storage Area
Separate provision should be made for the storage of active

ingredients and excipients. The area should be segregated into
approved and unapproved areas according to GMPs. There
should be generous storage areas for in-process materials,
finished bulk products from the pilot plant and material from
experimental scale-up batches made in production, which for
GMP reasons cannot be stored in operations storage areas.
2401
Space should be provided for the storage of retained samples
from pilot plant and experimental production batches. All of
these space requirements are in addition to the controlled
environment space allocated for storage of stability samples.
Finally, there should be storage space for packaging material,
and for storing bottles, closures, tubes, vials and ampoules,
etc.
Review of the Formula
A thorough review of each aspect of the formulation is

important and should be carried out early in the scale-up
process. The use of each ingredient and its role in the final
product manufacturing on small-scale laboratory equipment
should be known very well. Then, predict or recognize the
effects of scale up using equipment at large scale that may be
subject to stresses of different types and degrees.
Raw Materials
One of the most important functions of pilot plant techniques

is the approval and validation of the active and excipient raw
materials used in pharmaceutical preparations. The quality of
active ingredients needs to be verified, if there is any change
in the supplier. These alternate materials (materials supplied
by other supplier) may affect the performance of formulation
and stability of the finished product.
Processing Equipments
It is well known that most formulation development work has

been carried out in small and simple equipments. During
2402
further scale-up of the same, equipments that are alternative,
most economical, simple, effective and most capable of
consistently producing product within the proposed
specification should be evaluated. The size of this equipment
should be such that experimental trials that are meaningful
and relevant to the production size batches that will
eventually be made can be run. If the pilot plant equipment is
too small, the process developed will not scale-up well. If the
equipment is too large, excessive costs will be incurred; there
will be wastage of new and expensive active ingredients in
large quantities. When a reasonable process has been
developed on the pilot plant equipment, intermediate-size
experiment should be run which are economical also. If the
equipment is not available in-house, one can avail the facility
of the equipment vendor. Selection of equipment is based on
the ease of cleaning, particularly if multiple products are
designed to be manufactured in the equipment. The time
required in tearing down the equipment to clean and change
from one product to another should be determined. To
evaluate these and other parameters accurately, trials should
be run at the vendor’s facilities. Such experience helps in
determining the true capability of the equipment and the
quality of technical support available from the proposed
vendors.
Process Evaluation
The knowledge of the effect of important processes like

mixing speed, time, rate of addition of granules, granulating
agent, solvents, solution of drugs, heating and cooling rates,
etc., are some of the prime requirements for optimization and
validation of in-process and finished product quality. The
2403
purpose of process validation is to confirm that the selected
manufacturing procedure ensures the quality of the product at
various critical stages in the process and also in the finished
form. This can be done by monitoring the within-batch
variation of measurable parameters, and the data obtained
indicate whether the process is performed as intended and
where problem areas may be found. The manufacturing
process and quality and quality control information should be
reviewed on an annual basis, and if deemed necessary, some
revalidation studies should be carried out to ensure that
changes have not occurred.
Preparation of Master Manufacturing Procedure
The full procedure is detailed in a master formula, which

describes the preparations to be made, the equipment to be
used and the method to be followed. GMP documents from
WHO and other countries require that a master formula be
prepared and approved for each batch size of every product
manufactured. The master formula describes in detail all the
manufacturing instructions for that specific batch of the
product. The master formula explains detailed step-by-step
instructions for the production process. The details include
the specific types and amounts of components and raw
materials, and the details of the processing parameters; they
indicate what is required in process quality controls, and
specifications for intermediates and environmental
monitoring and control. The master formula is written with
blank spaces at each point where data or information is to be
recorded to document that the production events occurred as
directed. For some steps, the master formula may refer to an
2404
standard operation procedure (SOP), which describes a
specific part of the production process.
The sections described in the master formula should
correspond to the chronological operations for the major
manufacturing steps. It should have a first section with
component preparation such as cleaning, equipment
preparation, raw material preparation, etc., and any deviations
that may occur must be recorded at the time in the margins.
Verification signatures or initials of another operator may be
required for critical processes and space should be provided
accordingly for these steps. Space for review by a supervisor
must be included. All products, equipment and facility areas
listed in the master formula should have reference numbers
associated with them to permit traceability. The format for the
master formula should be a formal document with the
company name, product name, batch size and site of
manufacture, a document number with revision number, and
approval signatures and dates. Each page should be numbered
and spaces should be provided to fill in the lot number of the
batch and for approval signatures. The master formula and
any revisions must be approved, with dated signatures, by
both Production and QA officials. The original should be filed
in a safe place and approved copies are made for each
production run. The lot number of the batch is filled in on
each page and approval signatures and information are filled
in as required and distributed for use for each production
order. An SOP describing the writing, approval, distribution
and use of the master formula should be prepared. The
detailed manufacturing steps for the batch of harvest will
finish with the completion of the batch processing records
filled out in the production area.
2405
GMP Considerations
Good manufacturing practice (GMP) is part of a quality

system covering the manufacture and testing of active
pharmaceutical ingredients, diagnostics, pharmaceutical
products and medical devices. GMPs are guidelines that
outline the aspects of production and testing that can impact
the quality of a product. Many countries have legislated that
pharmaceutical and medical device companies must follow
GMP procedures. They have created their own GMP
guidelines that correspond with their legislation (Lieberman
et al., 1990; James & Fraderick, 2008).
Although there are a number of guidelines, few basic
principles are discussed below:
• Manufacturing processes are clearly defined and controlled.
All critical processes are validated to ensure consistency and
compliance with specifications.
• Manufacturing processes are controlled and any changes to
the process are evaluated. Changes that have an impact on the
quality of the drug are validated as necessary.
• Instructions and procedures are written in clear and
unambiguous language.
• Operators are trained to carry out any document procedures.
• Records are made, manually or by instruments, during
manufacture that demonstrate that all the steps required by the
defined procedures and instructions were in fact taken and
that the quantity and quality of the drug matched
expectations.
• Deviations are investigated and documented.
• Records of manufacture (including distribution) that enable
the complete history of a batch to be traced are retained in a
comprehensible and accessible form.
2406
• The distribution of the drugs minimizes any risk to their
quality.
• A system is available for recalling any batch of drug from
sale or supply.
• Complaints about marketed drugs are examined, the causes
of quality defects are investigated and appropriate measures
are taken with respect to the defective drugs and to prevent
recurrence.
GMP guidelines are not prescriptive instructions on how to
manufacture products. It is a series of general principles that
must be observed during manufacturing. When a company is
setting up its quality program and manufacturing process,
there may be many ways it can fulfil GMP requirements. It is
the company’s responsibility to determine the most effective
and efficient quality process.
A list of GMP items that should be part of scale-up or new
product or process introduction is as follows (Lieberman et
al., 1990):
• Equipment specification
• Process validation
• Regular schedule for maintenance
• Regular process review and revalidation
• Relevant written SOPs
• Use of competent, technical and qualified personnel
• Provision for training programme
• A well-qualified technical personnel
• A well-defined technology transfer system
• Validation of cleaning procedure
• Arrangement of equipment properly so as to ease material
flow and prevent cross-contamination
2407
Transfer of Analytic Methods to Quality
Assurance
During the scale-up of a new product the analytic test

methods developed in research must be transferred to the
quality assurance department. Well-trained personnel
performed the quality assurance operations/tests on the final
product and if required, the assay method can be reformatted
and rewritten using terminology and procedures consistent
with current quality assurance laboratory practice. To
complete the operation, QA persons should go through the all
the steps involved and the data obtained during the validation
studies, to verify that the analytic methods have not been
altered in a way that might affect the reliability, precision or
accuracy of the tests.
Solid Dosage Forms

In scaling up the manufacture of tablets and capsules from
experimental laboratory batch sizes to intermediate and large
scale production each stage of the operation must be carefully
considered. The following are the typical unit operations
involved in production of solid dosage forms (Robert &
Alfred 2003; Michael, 2002; Satyabrata, 2010):
Mixing or Blending
Materials that have similar physical properties will be easier

to form a uniform mix or blend and will not segregate as
readily as materials with large differences. Following
parameters must be considered during the process of
blending:
2408
Mixing or Blending Technique
Diffusion (tumble), convection (planetary or high-intensity),

or pneumatic (fluid-bed) are some of the techniques which
can be used to mix or blend materials. Selection of the mixing
techniques is dependent on whether mixing the drug and
excipients for a direct compression formulation or adding the
lubricant (e.g. magnesium stearate) for granulation.
Fig. 44.1 Twin shell tumbler mixer.
www.pharmag.de
Mixing or Blending Speed
The factors like intensity (low/high shear) and/or speed (low/

high/optimal shear) (rpm) of the mixing or blending may also
be an important factor. Mixing the drug and excipient will
require more intense mixing than adding the lubricant to the
final blend.
2409
Mixing or Blending Time
The mixing or blending time will be dependent on the mixing

or blending technique and speed. Evaluation should be done
to determine the overmixing or demixing. Demixing can
occur due to the difference in physical property, e.g. particle
size distribution and density. For example, demixing can
occur in a direct compression formulation in which the drug
substance having the size 5μm and the excipients are of
<500μm (granular).
Drug Uniformity
Content uniformity is usually performed to determine the

uniform distribution of drug throughout the mix or blend.
Representative samples should be taken throughout the mix or
blend. The sampling technique and handling of the materials
are key criteria in obtaining valid content uniformity results.
Segregation of the sample can occur by overhandling,
resulting in inaccurate results.
Excipient Uniformity
Excipients have the major parts in a tablet. Besides drug

uniformity, excipients need to be uniformly distributed in the
granulation or blend discussed below.
Lubricant: The lubricant needs to be distributed uniformly in
the mixture/granulation for the high-speed compression
operation. Uneven distribution of the lubricant can result in
picking and sticky problems during compression. It can also
lead to tablet a performance problem that is low dissolution
due to excessive lubricant in some tablets.
2410
Colour: The colourant(s) need(s) to be evenly distributed in
the mixture so that the tablets have a uniform appearance (e.g.
colour, hue and intensity). The colouring agent may need to
be prescreened or more uniformly dispersed in the blend prior
to compression to avoid speckling or shading of the colour.
The various steps involved for the validation of wet grinding
are given in Table 44.1.
Table 44.1 Steps for validation of wet grinding
Wet Granulation
To scale-up a granulation process in the most efficient

manner, the purposes for granulation must be clearly known.
The most common reasons for granulations are as follows:
1. To impart good flow properties to the material so that the
tablet presses and encapsulators can be properly fed and a
uniform tablet or capsule weight maintain
2. To increase the apparent density of the powder
3. To change the particle size distribution so that the binding
properties on compaction can be improved
2411
4. To properly mix the potentactive ingredients. A small
amount of a potent active ingredient can be dispersed most
effectively in a carrier granulation when the drug is dissolved
in the granulating solution and incorporated into the batch
during granulation.
Some of the equipment are more suitable than others for
developing the desired characteristics of a finished
granulation. Traditionally, wet granulation has been carried
out using sigma blade (Fig. 44.2) or heavy-duty planetary
mixers (Fig. 44.3).
Fig. 44.2 (A) Stainless steel ‘Z’ blade mixer (Courtesy:

AARON Process); (B) shows the blade which exert the
folding and kneading action on the granules powdered.
Source: AARON Process
2412
Fig. 44.3 Planetary mixers. Source: www.pharmag.de
Low-shear (e.g. Hobart), high-shear (e.g. Diosna,

GEI-Collette) or fluid-bed (e.g. Glatt, Fluid Air) are the
techniques that will produce granules with different physical
properties and will require monitoring of different processing
parameters. Wet granulation parameters to be considered
during development are:
Binder Addition
Binders are added in tablet formulations to make powders

more compressible and to produce tablets that are more
resistant to breakage during handling. Some of the binders are
added in dry state and others are dissolved or dispersed in the
granulating fluid.
2413
Binder Concentration
During formulation of a tablet, there is a need to determine

the optimal binder concentration. If the binder is to be
sprayed, the viscosity of binder solution needs to be such that
can be easily pumped through the spray nozzle. It should also
be sufficiently concentrated to form granules without over
wetting the materials.
Amount of Binder Solution/Granulating Solvent
Nonaqueous solvents or solution containing water or water

miscible solvents are used to improve granulation properties
of the formulation or to disperse poorly soluble drugs. Too
much binder or solvent solution will over wet the materials
and prolong the drying time. The amount of binder solution is
related to the binder concentration.
Mixing Time
Granulating dough that is not mixed long enough can form

incomplete or weak granules. These granules may have poor
flow and compression properties. On the other hand,
overmixing the granulation can lead to harder granules and a
lower dissolution rate.
Drying
There are various types of drying techniques, e.g. tray, fluid

bed and microwave. Their selection depends on factors such
as drug or formulation properties and equipment availability.
Switching over from one dryer technique to another could
2414
affect tablet properties like hardness, disintegration,
dissolution and stability. The optimal moisture content of the
dried granulation needs to be determined. High moisture
content can result in:
1. Tablet picking or sticking to tablet punch surfaces
2. Poor chemical stability as a result of hydrolysis
An overdried granulation could result in poor hardness and
friability. Moisture content analysis can be performed using
the conventional loss-on-drying techniques or such
state-of-the-art techniques as near-infrared (NIR)
spectroscopy.
Inlet/outlet temperature of the dryer should be monitored
during drying of the granules. The inlet temperature is critical
to the drying efficiency of the granulation and should be set
high enough to maximize drying without affecting the
chemical/physical stability of the granulation. The outlet
temperature is an indicator of the granulation temperature and
will increase toward the inlet temperature as the moisture
content of the granulation decreases (evaporization rate).
Heat uniformity of the dryer (e.g. tray), amount of granulation
per tray and incomplete fluidization of the bed are factors that
could also affect the moisture uniformity of the granulation.
Depth of the granules on the tray should be such where
efficient drying takes place and also if, soluble dyes are
involved, then migration of the dye to the surface should not
occur.
There should be sufficient airflow to ensure removal of
moisture-laden air from the wet granulation. Insufficient
airflow could prolong drying and affect the chemical stability
of the drug. Airflow and the inlet/outlet temperature are
interrelated parameters and should be considered together.
Equipment capability and capacity is another factor that
should be monitored during the operation. The load that can
2415
be efficiently dried within the unit needs to be known. A
larger load will require more moisture to be removed on
drying and will affect the drying time. In the case of fluid bed
drying (Fig. 44.4), a maximum dryer load is that load above
which the dryer will not fluidize the material.
Fig. 44.4 Fluid-bed dryer. Source:

www.shaktipharmatech.com
Milling
The milling operation will reduce the particle size of the dried
granulation. Compression factors that may be affected by the
particle size distribution are flowability, compressibility,
uniformity of tablet weight, content uniformity, tablet
hardness and colour uniformity. If granules having large
2416
particle size and insufficient fines are unable to fill the die.
cavities uniformly during compression and the weight of the
tablets vary considerably. Whereas if too much fines are
present, resultant in weight variation of tablets because of
improper flow of the fine granules.
A higher speed of a mill will result in a smaller particle size
and possibly a wider particle size distribution. But it can also
generate more heat to the product, depending on the screen
size and feed rate, which could affect the stability of the
product. Capping is also exaggerated by the high speed of the
mill. In this way oversized and under sized granules can
adversely affect the tablet content uniformity. An optimal
particle size/size distribution for the formulation will need to
be determined.
Size uniformity can be achieved by passing all the material
through an oscillating granulator or a hammer mill (Fig.
44.5A and B) or through a mechanical sieving device or some
other screen devices. Oscillator device can only work
efficiently if oversized portion of the granulation including
lumps or agglomerates is not too hard. Feed rate is dependent
on the mill capacity, screen size and mill speed and should be
controlled during the operation. If load is high in this
equipment, an excessive number of fines are produced and
also because the rub bars come in contact with the screen, the
wearing action may introduce a small amount of fine metallic
material into the batch. Breaking of the screen may also occur
because of the wearing action which leads to introduction of
large particles of hazardous metal into granulation.
2417
Fig. 44.5 (A) Oscillator type granulator (Courtesy: Jicon
India); (B) hammer mill open front. Source:
enwikipedia.orgen
Hammer mill is also used to mill dried granules to a specified

size distribution. Particle size can be controlled by varying the
screen size, speed of mill, type and number of hammer blades
used and the rate of material feed. To prevent a varying
2418
particle size distribution, a uniform feed rate must be
maintained.
Dry Blending and Direct Compression
Order of addition of components, mixing speed and time, use

of supporting equipment of the mixer, mixing action and
blender load are some of the aspects of dry blending
operations of directly compressible material that can be
adjusted to optimize the process. For the addition of potent
active ingredient may be mixed with two portion of the
directly compressible vehicle to improve dispersion and/or
avoid loss to the surface of the blender. Mixing time should
be adjusted as per the nature of the ingredients present in
formulation. The time can be decreased if materials to be
consistently and uniformly mixed in less time, some time
there is need to increase the time of mixing if the produce
material with borderline uniformity. The use of auxiliary
dispersion equipment also plays an important role in
formulation. For example, intensifier bar or chopper blade are
few auxiliaries in a twin shell mixer which can be used to
increase efficiency of dispersion of solid and liquid
ingredients and also used to reduce agglomerates that may be
present in a material, thereby intensify the operation of
dispersion. Mixing action is determined by the mechanics of
the mixer and can only be changed by converting from one
blender to another or by modifying the blender through
addition of baffles or plates, which would alter the mixing
characteristics. The amount of material volume to total mixer
volume affects the efficiency of the blender. Overloading of
the blender retards the free flow of the granulation and
reduces the efficiency of the blender. Localization of contents
2419
also leads nonuniform distribution of medicament in finished
dosage form. On the other hand, if the load is too small, the
powders slide rather than roll in a blender and proper mixing
does not occur, or much time is required to uniformly mix the
materials.
Dry Granulation (Slugging)
If dry powder blends cannot be directly compressed because

of poor flow or compression properties, they may sometimes
be processed using a slugging operation. Dry granulation
processes create granules by light compaction of the powder
blend under low pressures. The compacts so formed are
broken up gently to produce granules (agglomerates). This
process is often used when the product to be granulated is
sensitive to moisture and heat. Dry granulation can be
conducted on a tablet press using slugging tooling or on a roll
press called roller compactor. Dry granulation equipment
offers a wide range of pressures to attain proper densification
and granule formation.
Tablet Compression
The basic mechanical unit of compaction/compression

consists of three parts: (1) an upper punch, (2) a lower punch
and (3) a die. Producing a finished tablet involves the
compaction of a powdered solid between two punches and
within the confines of a die, with the application of an
external force. There are three definitions needed to
accurately describe this process: (1) Compaction is the
compression and consolidation of a two-phase (particulate
solid/gas) system by the application of an external force; (2)
2420
compression causes an increase in the apparent density (or a
reduction in volume) by the displacement of air; and (3)
consolidation is defined as an increase in mechanical strength
due to particle–particle interaction. When the external force is
applied to the powder in the die cavity, the bulk volume will
decrease through the following mechanism: (1) initially it
occurs through repacking of the particles (this effect is limited
because the mass will quickly become more like a single
body); (2) with an additional load, densification occurs
through elastic deformation (a reversible process); and (3) if
the elastic limit of the material is exceeded, then ‘plastic
deformation’ and/or ‘brittle fracture’ will occur. The exact
type and mechanism of the material deformation will be
dependent on its viscoelastic properties. It should be noted
that when the upper punch moves away to release the applied
load and allow ejection from the die, the viscoelastic
behaviour of the material, i.e. the relaxation of the compacted
material combined with the forces necessary for ejection, can
determine whether the tablet will survive intact or whether
lamination or capping might occur. It is generally accepted
that this decompression behaviour is equally as important as
the compression behaviour. (Note that if ejection of the tablet
represents a problem in production, the use of tapered dies
sometimes alleviates the problem.) The
monitoring of the consolidation, i.e. the bonding process to
create the tablet strength is more difficult. In this operation
the physicochemical properties of the powder and the
equipment used to perform this operation are important
parameters.
Compression is a critical step in the production of a tablet
dosage form. The materials being compressed will need to
have adequate flow and compression properties. The material
should readily flow from the hopper onto the feed frame and
2421
then into the dies. Inadequate flow can result in ‘rat holing’ in
the hopper and/or segregation of the blend in the hopper/feed
frame. This can cause tablet weight variation and content
uniformity problems. As for the compressibility properties of
the formulation, it should be examined on an instrumented
tablet press (Fig. 44.6). Factors to consider during
compression are as follows:
Fig. 44.6 Tablet compression machine: (A) Rotary multistage

tablet compression machine; (Source: www.pharmag.de) (B)
Single-punch tablet compression machine. Source:
www.pharmag.de
Tooling
The shape, size and concavity of the tooling should be

examined based on the formulation properties and
commercial specifications. For embossed (intagliation)
tablets, factors such as the position of the embossed on the
tablet and their depth and style should be examined to ensure
that picking of the emboss impression during compression or
fill-in of the intagliation during coating does not occur.
2422
Compression Speed
The formulation should be compressed at a wide range of

compression speeds to determine the operating range of the
compressor. The adequacy of the material’s flow into the dies
will be determined by examining the tablet weights.
Compression/Ejection Force
The compression profile for the tablet formulation will need

to be determined to establish the optimal compression force to
obtain the desired tablet hardness. The particle size/size
distribution or level of lubricant may need to be adjusted in
order to have a robust process on a high speed compressor.
The following in-process tests should be examined during the
compression stage:
1. Appearance
2. Hardness
3. Tablet weight
4. Friability
5. Disintegration
6. Weight uniformity
Tablet Coating
Tablet coating can occur by different techniques (e.g. sugar,

film or compression). Film coating has been the most
common technique over recent years and will be discussed in
this section. Key areas to consider for tablet coating include:
2423
Tablet Properties
Tablet properties such as hardness, shape and intagliation (if

required) are important to obtain a good film-coated tablet.
The tablet needs to be hard enough to withstand the coating
process. If tablet attrition occurs, the tablets will have a rough
surface appearance. For tablet shape, a round tablet will be
easier to coat than tablets will multiple sides or edges because
of the uniformity of the surface. For intagliated tablets, the
intagliation style and depth should be developed to prevent
fill-in or chipping of the intagliation.
Equipment Type
The type of coater will need to be selected. Conventional or

perforated-pan and fluid-bed coaters are available (Fig. 44.7).
2424
Fig. 44.7 (A) Schematic presentation of coating process; (B)
Pan coater. Source: www.pharmag.de
Coater Load
Coater load should be optimum, if it has more pan load, it

could cause attrition of the tablets because of the overall
tablet weight in the coater. In the case of a fluid bed coater,
there may not be sufficient airflow to fluidize the tablets.
2425
Pan Speed
It is interrelated to other coating parameters, such as inlet

temperature, spray rate and flow rate.
Spray Guns
The number and types of guns should be determined in order

to efficiently coat the tablets. The spray nozzles should be
sized properly to ensure even distribution over the tablet bed
and to prevent clogging of the nozzles. The location and angle
of the spray gun(s) should be positioned to get adequate
coverage. If the spray gun is positioned too close, it will lead
a portion of the tablets over wet.
Application/Spray Rate
The optimal application/spray rate should be determined.

Spraying too fast will cause the tablets to become over wet,
resulting in clumping of tablets and possible dissolution of the
tablet surface. Spraying too slowly will cause the coating
materials to dry prior to adhesion to the tablets. This will
result in a rough tablet surface and poor coating efficiency.
Tablet Flow
The flow or movement of the tablets in the coater should be

examined to ensure proper flow. There should be sufficient
tablet bed movement to ensure even distribution of the
coating solution onto the tablets. The addition of baffles may
be required to provide adequate movement of tablets for
tablet coating.
2426
Inlet/Outlet Temperature and Air flow
These parameters are interrelated and should be set to ensure

that the atomized coating solution reaches the tablet surface
and then is quickly dried.
Coating Solution
The concentration and viscosity of the coating solution will

need to be determined. The solution will need to be
sufficiently diluted in order to spray the material on the
tablets. The concentration of the coating solution will also
determine the amount and volume of solution to be applied to
the tablets. The stability of the coating solution should be
investigated to establish its shelf life.
Coating Weight
A minimum and maximum coating weight should be

established for the tablet. Sufficient coating material should
be applied to the tablets to provide a uniform appearance;
however, it should not be great enough to cause fill-in of the
intagliation. Fig. 44.7A exhibits the schematic presentation of
coating process.
Appearance testing of the tablets is critical during the coating
operation. Following parameters should be checked:
1. Cracking or peeling of the coating
2. Intagliation fill-in
3. Surface roughness
4. Colour uniformity
5. Coating efficiency should be determined for the coating
operation
2427
In-process tests:
1. Moisture content of ‘dried granulation’
2. Granulation particle size distribution
3. Blend uniformity
4. Individual tablet/capsule weight
5. Tablet hardness
6. Tablet thickness
7. Disintegration
8. Impurity profile
Finished product tests:
1. Appearance
2. Assay
3. Content uniformity
4. Tablet hardness
5. Tablet friability
6. Impurity profile
7. Dissolution
These key test parameters are the yardsticks by which the
major processing variables in solid dosage forms are
evaluated. Some processing variables are listed below:
1. Mixing time and speed in blenders and granulators
2. Solvent addition rates in granulators
3. Time, temperature and airflow conditions in dryers and
coaters
4. Screen size, feed rate, and milling speed in mills
5. Machine speed and compression force in tablet presses
Process validation testing is generally done on the first three
batches of product made in production-size equipment.
Revalidation testing is only done when a ‘significant’ change
has occurred. A significant change is one that will alter the
in-process or final product specification established during
the validation program or a change in formula, process or
equipment.
2428
Liquid Dosage Forms
Liquid dosage forms are considered under the category of
nonsterile preparation. Simple solutions are the most
straightforward to scale-up but they need tank for mixing of
components with suitable heating or cooling device (to
increase the dissolution of the components), adequate transfer
system, filtration assembly to ensure proper filtration of
impurity without affecting active and adjuvant of formulation.
All equipments should be designed with inert material, and
also easy to clean.
Generally, two types of stainless steel are used for fabrication
of equipments, i.e. 308 and 316; mostly 316 is used because it
is less reactive in nature, but it reacts with acidic materials.
Problem of reactivity in such cases can be prevented by the
process known as passivation in which it is treated with acetic
acid or nitric acid which react with alkali present over the
surface of the steel. However, this process should be repeated
between and end of the every operations. The reactivity of
surface can also be reduced by the use of glass or
polytetrafluoroethylene (teflon) coating. Although it is very
inert type coating but, having certain disadvantages like
cracking, breaking, flaking and peeling of the lining which
results the contamination of the product.
Scale-up process of the suspension is quite difficult as
compare to simple liquid dosage form because of the presence
of the suspending, wetting agents, etc. Simple sprinkling and
vortexing are involved for the dispersion of suspending agent
at laboratory scale but at large scale it is not as simple as
above. At large scale, there are chances of formation of lumps
which can be avoided by making the slurry of the suspending
agent with a part of vehicle. Such a slurry facilitates rapid and
2429
complete hydration of the suspending agent when added to
the large portion of the vehicle. The time and temperature
required for the hydration is critical and quality of suspension
is adversely affected if, other ingredients are added before the
hydration process. Addition of the active agents depends on
the physical nature of the agent, if it is wetted easily,
dispersed readily and not agglomerated then simple addition
of the chemicals or ingredients are required at a convenient
stage during the manufacturing process. Whereas in the
opposite case, where the material is not easily wetted, then
prepare the slurry with the wetting agent and add with the
help of high shear mixing device. In another method, it is to
pretreat the hard to wet material by blending it in a high shear
powder blender with one or some of the liquid ingredients
possible with a surfactant included. This approach minimizes
the wetting problem and eliminates the formation of the
agglomerates in the finished products. In agglomerated
system there is inclusion of the air which may cause
separation (creaming) of the layers and ultimately affects the
stability of final product.
In preparing pharmaceutical suspension the required
equipment like type of mixer, pumps, mills and power motor,
etc., should be selected carefully and their selection should be
based on the batch size and the maximum viscosity of the
formulation during production. If mixer is not in appropriate
size then improper mixing taken place as well as much time is
required for the distribution of the material. Similarly, high
speed mixing can results in the incorporation of excessive air
in the form of the small bubbles which affects both physical
and chemical stability of the products as well as
reproducibility of filling operation. Versator (Fig. 44.8) is an
equipment that can be used to remove entrapped air. During
operation of a versator, product is drawn into a vacuum
2430
chamber through an inlet line where it is spread onto the
centre of a high speed rotating disk. The centrifugal force
produced by the rotation of the disc causes the product to
form a thin film on the disc surface. As the film thins and
moves towards the outer edge of the vacuum chamber, the
entrapped air is drawn off and the deaerated product is
collected from the outer edge of the vacuum chamber.
Fig. 44.8 Versator used to remove entrapped air. Courtesy:

Eiger Torrance Ltd
Unwanted particulate material can be removed by the

filtration of the finished suspension through and appropriate
size screen. Mesh size of screen should be that it must retain
the particulate material and be able to pass active ingredients
present in the suspension. The most active ingredients are in
the size range of 10–25μm; therefore, select a screen of
150mesh having an opening of 100μm, which is able to
remove unwanted suspended materials without retaining the
suspended active ingredient(s).
At the completion of the batch, the transfer and filling of a
finished suspension should be carefully monitored. If
2431
suspensions are not constantly mixed or recirculated during
transfer processes, they may settle out and uniform
distribution of the active ingredient is affected by this
phenomena.
Emulsion is similar to the suspension except that the
dispersed phase is a finely divided immiscible liquid instead
of a solid. Dispersed phase is usually oils or waxes in solid or
liquid state. Processing parameters and procedures that must
be adjusted and controlled for the various types of emulsion
includes temperature, mixing equipment and homogenizer, in
process or product filtration devices, screens, pumps and
filling equipments. The viscosity and physical stability of an
emulsion is affected by the degree of globule size.
Manufacturing system, that utilizes high speed mixer, leads to
air entrapment and may adversely affect the physical and
chemical stability. The use of vessels that can be operated
with the contents under a controlled vacuum avoids the
problem of unwanted aeration. The emulsion is to be filtered
to remove particulates originating from the raw materials or
introduced during processing as they can affect the quality of
the emulsion. The unwanted particulates are most efficiently
removed by a separate filtration of oil and water phases
before emulsification.
Paste, gels, ointments and creams are closely related to
suspensions, liquids and emulsions except that they are
products with high viscosities. The scale-up of these products
is similar to
lower-viscosity products but the higher viscosity renders
certain aspects of the scale-up of semisolid products more
critical. For preparation of homogeneous ointment and cream,
the mixing equipments should be capable of effectively and
continuously moving the semisolid mass from the outside
walls of the mixing kettle to the centre and from the bottom to
2432
the top of the kettle. This action is required for both, to
distribute the ingredients and to bring about a rapid and
efficient heat transfer to and from the product during the
heating and cooling steps. The power required to mixing is
depended upon the viscosity of the product. Motor used to
drive the mixing system of semisolid manufacturing
equipment must be such that it handles the product at its most
viscous stage. Motor that drives the mixers used to disperse or
dissolve components that have been added early in the
manufacturing sequence, when product viscosity is low, may
be required to operate at a slower speed to prevent splashing
of the intermediate phases. For this reason, most of semisolid
equipments are designed to provide variable speed mixing.
Improper temperature control can have adverse effects on the
particle size of the poorly soluble active ingredients. If these
materials are added at high temperature, the solubility may be
artificially increased; creating a metastable product and
subsequent cooling may lead to crystal growth or
recrystalization from the saturated solution. This recrystalized
material may have different polymorphic form or a different
crystal type or size. The result may be a change of particle
size distribution, yielding a gritty, less elegant product or one
with altered stability or biologic activity. The most critical
processing steps that need to be carefully evaluated and
controlled during the manufacturing of a cream are the
emulsification of the two phases and the dispersion of any
suspended active ingredients. Pharmaceutical equipments
used in the homogenization of the emulsion and dispersion of
suspended active ingredients include various types of high
shear mixers, i.e. homogenizers and colloidal mill (Fig. 44.9A
and B). Colloid mill is used in most of the cases which have
the fixed stator plate and a high speed rotating rotor plate.
Material drawn or pumped through an adjustable gap set
2433
between the rotor and stator is milled or homogenized by the
physical action. Centrifugal force is created by the high speed
rotation of the rotor which operates within 0.005–0.010 inch
of the stator. Sonic homogenization is also used for the same
purpose. It accomplishes emulsification by imparting
sufficient energy to the material through rapidly vibrating
vanes that break up a liquid stream into small, discrete
droplets. Positive displacement pumps are mostly used to
pump semisolid without applying excessive shear and without
incorporating air. They are self priming and can create
adequate head pressure to force product through long transfer
lines and filtration equipment. In choosing the size and type
of pump for a particular operation, product viscosity, desire
pumping rate, product compatibility with the pump surfaces
and the pumping pressure required, should be considered.
2434
Fig. 44.9 (A) Homogenizer; (Source: www.pharmech.com/
liquid-section) (B) Colloidal mill. Courtesy: Frymakoruma,
info@moodydirect.co.uk
2435
Suppositories are manufactured on both a small scale, in
batches of 10–20, and a (semi)automatic scale (Fig. 44.10), in
batches of up to 20,000 per hour. Essentially the mode of
manufacture is similar in both cases and involves melting of
the vehicle, mixing the drug and the molten vehicle,
dispensing in a former, cooling to solidify and, if necessary,
packing in the final container. Nowadays most of
suppositories are packed individually in a plastic (PVC) or
aluminium foil pack. Requirements leading to a good
protection against moisture and oxygen can be deduced from
the individual needs of the drug and the properties of the
packaging materials.
Fig. 44.10 Suppository and lipstick moulding apparatus.

Source: www.phar-mag.de
Contract Manufacture
Contract manufacturing is a process that established a
working agreement between two companies. Contract
manufacturing requires fulfilling the need for additional
manufacturing capacity, higher specialized technology, or
2436
specialized equipment. At the time of selecting a contractor
experience, capability and reputation of the contractor within
the industry must be considered. In addition to that, the
technical competences of the contractor’s personnel and
compliance to GMP are important factors in the choice of
contractor. Personnel who have the knowledge of production,
QA, QC and GMP visit the contractor at the manufacturing
site and assess the available facilities, equipment, personnel
and policies.
GMP regulation provides a checklist of items:
• Review of procedure, facility and personnel (training and
documentation) involved in acquisition, storage, testing and
handling of raw materials.
• Equipment availability, utilization and maintenance,
documentation of equipment operator training, equipment
cleaning procedures and equipment calibration.
• Adequacy of manufacturing facilities (size spatial
separation, cleanliness, design, cleanability, dust, temperature
and humidity control).
• Adequacy of storage space for in-process quarantine and
approved bulk finished goods storage.
• Controls for preventing product mix up and
cross-contamination.
• Label storage, approval, dispensing, and accountability
procedures and controls.
• Packaging equipment utilization, maintenance, cleaning and
use controls.
• Packaging component control procedures.
• Structure and function of the quality control unit, including
personnel, training, SOPs and responsibilities.
• Warehouse space, separation of products, procedures control
and environmental controls.
• Record control policies.
2437
After complete review of the checklist and mutual
discussions, division of responsibilities between the company
and the vendor/contractor should be finalized in form of a
comprehensive document. That document outlines all areas of
responsibility and that can serve as the basis for follow up
investigations by the pilot plant scientist and/or the quality
control department.
References
Aulton ME. 2 Pharmaceutics, the Science of Dosage Form

Design. Churchill Livingston; 2006.
James A, Frederick JC. 3 Validation of Pharmaceutical
Processes. New York: Informa Healthcare; 2008.
Lieberman HA, Lachman L, Schwartz JB. 2 Pharmaceutical
Dosage Forms, Tablets. 3. New York: Marcel Dekker; 1990.
Michael L. Pharmaceutical Process Scale-Up. New York:
Marcel Dekker; 2002.
Robert AN, Alfred HW. 3 Pharmaceutical Process
Validation. New York: Marcel Dekker; 2002.
Satyabrata J, Arjun G, Ravipati AK, Kumar S, Vinod KR,
David B. Int. J. Pharm. Sci. Rev. Res. 2010;4:145.
2438
Thank you for your purchase. Please note that your purchase
of this Elsevier eBook also includes access to an online
version. Please click here (or go to
http://ebooks.elsevier.com) to request an activation code and
registration instructions in order to gain access to the web
version.
2439
Index
A
Absolute alcohol production, 253

Absorbers, tenth thickness of, 489
Absorption coefficient, Bunsen, 12
Absorption rate and particle size, 277
Acetic acid as solvent, 14
Acetone as solvent, 14
Acetylsalicylic acid. See Aspirin
Acridine, 567
Acridines
disinfectant action and pH, 566
disinfectants, 563–565, 567
Acriflavine, 558
Active transport across membranes, 85
Adenovirus vaccine, 638
Adjuvants, 630
Adrenaline
oxidation of, 167
stability of solutions and redox potential, 181
Adsorbents
for decolourization, 112
for pyrogens, 113
for water vapour, 112
medicinal uses, 112
standardization of, 112
Adsorption
from solutions, 111
on solids from liquids, 213
2440
physical, 109
selective, 111
Aerosols
metered, 392
Agar, 385
Aggregation number, 65
Air filtration, 270
Albumin
human iodinated, 665
human purified, 665
preparations, 664
Alcohols
disinfectants, 567
Aldehydes
disinfectants, 567
Alginic acid as disintegrant, 317
Alkaloids, solvent extraction of, 205
Allopurinol, kinetics of hydrolysis, 184
Allotropy, 27
Alpha-decay, 463
Alpha-particles
energies, 467
range–energy relationship, 467
specific ionization produced by, 467
Alums, isomorphism of, 28
Amidines, disinfectants, 570
Aminacrine hydrochloride, 567
Amphipath
concentration and aggregation of, 66
See also Surface-active agents and Surfactants
solution, free energy of, 67
Ampoules, 610
filling, 611
2441
Analysis
activation, 496
radioisotope dilution, 495
radionuclides in, 495
Analysis of variance, 481
Anion exchange reactions, 121
Anisotropic, 72
Antacids, 123
Antagonists, disinfectants, 577
Anthrax vaccine, 636
Antibiotics
assay, 596
carbohydrate, 650
cephalosporins, 649
chloramphenicol, 650
common, 643
fermenters, 645
history, 643
miscellaneous, 653–656
penicillins, 646, 647
polypeptide, 650
production, 644
tetracyclines, 652
Antibodies, 628
Antigen
concentration, 630
live or dead, 631
nature of, 630
Antigen–antibody reactions, 551
complement fixation, 553
flocculation, 551
lysis, 553
precipitation, 551
2442
Antigens
blood group, 555
Antimicrobial activity
neutralization of, 622
Antimicrobial agents
for eye drops, 398
mode of action, 558
resistance to, 558
genetic basis, 559
Antimicrobial preservatives, 685
selection of, 685
Antioxidants
butylated hydroxyanisole as, 180
butylated hydroxytoluene as, 180
gallates as, 180
mode of action, 180
nordihydroguaiaretic acid, 180
synergists, 181
tocopherols as, 180
Antonoff’s rule, 53
Apparatus for extraction
continuous, 206
small scale, 206
Applications of complexation, 47–48
Aromatic-type complexes, 36
Arrhenius equation, 151, 186, 195
Ascorbic acid
reversible oxidation, 167
tablets, colour stability of, 184
Aseptic technique, 525, 609
Aspirin
hydrolysis of, 175, 178
effect of surface-active agents on, 178
2443
stability of solutions, 178
tabletting behaviour, 338–339
Assay
antibiotics, 139
radiochemical of enzymes, 496
Asymmetry potential, 23–24
Atomic fission, 460
Atomic mass unit, 459
Atomic nucleus, 508
Atomic number, 459
Autoclaves
automatic process control, 595
design, 591
high pressure, 596
large scale, 592
horizontal, 592
operation, 592
performance tests, 595
chemical indicators, 595
portable, 591, 592
operation, 592
steam traps, 593
Autoclaving
counterpressure, 596
high pressure, 596
low pressure, 596
Autoimmune diseases, 555
Autoradiography
contact, 477
stripping film, 477
Autoxidation
effect of surface-active agents on, 182
factors effecting rate of, 168
2444
Axis of symmetry, 27
Azeotropic distillation
for drying solutions, 253
Azeotropic mixtures
binary, 252
ternary, 252
Bacillus
anthracis, 517, 547, 588, 636
polymyxa, 516, 643, 650
Bacitracin, 650
Background
counting rate, 476–477
Background radiation, 486
Bacteria
acid-fast staining, 514
Bacillus anthracis, 514, 517, 547, 636, 643, 673
polymyxa, 516, 650
capsules, 517
cell wall structure, 514
chromosome replication in, 516
Corynebacterium diphtheria, 543, 547
counting methods, 582
culture, sample transfer, 524
cytoplasm, 515
definition, 513
Diplococcus pneumoniae, 513, 514, 517
endospores, 515
structure, 516
endotoxin production, 547
2445
Escherichia coli, 514, 517
exotoxin production, 547
flagella, 552
forms, 514
Gram-negative, 514
Gram-positive, 514
Gram stain, 514
growth curve, 530–531
growth rate, 522, 531
and cations, 551
and nutrient concentration, 522
and oxidation–reduction, 533
potential, 533
and temperature, 533
identification, 516
mesosomes, 515
metabolic activity measurement, 528
motility, 516
Mycobacterium leprae, 546, 636
nucleus, 515
pili, 516
plasma membrane, 515
Pseudomonas aeruginosa, 517
Salmonella typhi, 517
slime layer, 517
spore staining, 514
staining reactions, 514
Staphylococcus aureus, 514–515
Streptococcus pyogenes, 514, 517
Streptomyces griseus, 514
structure, 516, 517
total counts, 529
Breed’s method, 529
2446
Coulter counter, 529
opacity methods, 529
Treponema pallidum, 514, 553
types of growth, 528
viable counts, 527
dilution methods, 528
membrane filter counts, 527
plating methods, 527
Vibrio cholerae, 557, 636
Bacterial filters, 608
Bacterial vaccines, 632, 633, 636
safety tests, 633
Bactericidal activity assessment, 579, 584
extinction time method, 518
Bactericides
definition of, 563
evaluation of turbidimetric, 583
method, 583
for eye drops, 398
mean death time determination, 581
temperature coefficients, 573
Bacteriostatic activity assessment
cup-plate method, 577, 578
ditch-plate technique, 577, 578
filter paper method, 577, 578
fish-spine bead method, 577, 578
gradient-plate method, 577, 578
serial dilution, 577
Bacteriostats definition, 563
Balantidium coli, 520
BCG vaccine, 618, 624
Bdellovibrio bacteriovorus, 546
Benzaldehyde autoxidation, 182
2447
Benzalkonium chloride, 398, 569
Benzocaine hydrolysis, effect of caffeine on, 179
BET adsorption isotherm, 110
Beta-decay, 464
negatron emission by, 464
positron emission by, 464
Beta-dose rates, 488
Beta-particles, 467
energies, 464
energy spectrum, 464, 465
range–energy relationship, 467
shielding against, 488
transmission of by Geiger–Müller counters, 475
Beta-propiolactone, sterilization with, 607
Binding energy nucleus, 460
Binding energy–mass number
relationship, 460
Bingham’s equation, 158
Bioavailability
of drugs, 48, 305
particle size and, 305
Biological effects of radiation, 485
Bisphenols, 567
Black fluids, 567, 580
Blood
coagulation factors of, 660
for transfusions, hazards, 657
Whole Human BP, 657
Blood flow studies with radionuclides, 497
Blood group antigens, 555, 657
Bloom gelometer, 150
Bloom number, 150
Body composition determination, 497
2448
Boiling point, 231
variation with pressure, 231
Boiling point diagrams and fractional distillation, 247, 251
Bone scanning, 500
Boric acid as lubricant, 317
Bottles, metric, 382
Breed’s method for counting bacteria, 529
Bremsstrahlung, 467
Brilliant green, 617
British National Formulary, 353, 354, 359, 367, 374
British Pharmaceutical Codex, 353, 354, 361, 367
British Pharmacopoeia, 351
tablet disintegration tests (1968)331
tablet uniformity (1973)330
Brownian movement, 92, 103, 104, 137, 207
Buffer solutions, 22
Butter, consistency of, 157
Butylated hydroxyanisole as antioxidant, 180
Butylated hydroxytoluene as antioxidant, 180
Cachets, 380
dispensing of, 380
Caffeine and other drug complexes, 38–39
Caffeine, reduction of benzocaine hydrolysis with, 179
Calcium gluconate solutions
stability of, 184
Calcium Hydrogen Phosphate USP, as tablet diluent, 311
Calcium Phosphate BPC as tablet diluent, 311
Calculations, pharmaceutical, 367–371
Camera, gamma, 500
2449
Capillary forces between particles, 295
Capsules, 342–345, 517
containers, 394, 399
disintegration, 341, 345
drug content, 345
enteric coated, 381
filling of, 345
hard, 344
quality control of, 345
soft, 343
soft gelatin, 145, 343
Carbohydrate antibiotics, 650
Cardiac output determination, 499
Cardioplegia solutions, 411
Cascara, extraction of, 236
Casein, 386
Catgut. See Sutures, catgut
Cathartics, mode of action, 139
Cation exchange
carbonaceous material, 120
in silicates, 119
reactions, 121
Cell membranes, 558
Cell walls of bacteria, 608
Cellophane for dialysis, 93
Cellulose, 684
esters, solubility of, 684
microcrystalline, 311, 316–317
as disintegrant, 311
as tablet diluent, 311
Cells
effect of radiation on, 485
electrodialysis, 93
2450
eukaryotic, 513
prokaryotic, 513
Centrifugation
particle sedimentation, 260
theory of, 257
zonal, 259–260
Centrifuges
De Laval clarifier, 262
horizontal, 262
laboratory, 259
large scale, 260
solids ejecting, 262
super, 260
vertical, 260
Cephalosporins, 621, 649–650
Cetrimide, 568–569
Cetylpyridinium chloride, 569, 587
Charcoal
decolorizing, 112
gas adsorbing, 112
medicinal, 112
Chelates-type complexes, 35–36
Chelating agents in combination with antioxidants, 181
Chemisorption, 111
Chick–Martin test, 579–581
Chickenpox vaccine, 638
Chlamydiae (Bedsoniae), 546
Chloramine, 569–570
Chloramines as disinfectants, 569
Chloramphenicol, 650
hydrolysis of, 165
palmitate polymorphic forms, 28
Chlorbutol, 567
2451
hydrolysis kinetics of, 174
Chlorhexidine, 570, 577
Chlorine as disinfectant, 569
Chloroform as pharmacy solvent, 14
Chlorothiazide, decomposition of, 175
Cholera, 636
vaccine, 636
Chromatography
adsorption, 115
adsorbents, 115
method, 116
solvents, 116
applications, 119
gas, 118
paper, 117
method, 117
zone location, 116
partition, 116–117
method, 117
streak reagents, 116
thin layer (TLC), 118
Chromosome replication bacteria, 516
Circulation studies with radionuclides, 497–498
Claisen flasks for distillation, 249
Classifiers, 280
Alpine Mikroplex, 280
Cutrock, 280
Hosokawa, 280
Clays
bentonite structure of, 105
Clindamycin, 655
Coagulation
blood, 661
2452
factors, 661–662
human concentrates, 661, 662
Coatings, enteric, 326
Coefficient of variation, 481
Colloidal silica as tablet diluent, 311, 317
Colloids
adsorption, 98
electrical properties, 97
electrophoresis, 98
hydrophilic, as stabilizers, 101
ionization, 98
light scattering, 95
lyophilic, 91, 101
precipitation, 100
lyophobic, 100
precipitation, 100
stability, 102
osmotic pressure, 96
particle interaction, 101
particle size determination, 95
sols, 91
ultracentrifugation, 450
ultrafiltration, 94–95
Colours, 682
Columns
fractionating, 247, 253, 254
efficiency of, 254
reflux ratio, 254
Vigreux, 253
Widmer, 253–254
Comminution
machinery, 274
mechanism of, 273
2453
particle size, 280
size distribution during, 274
theory of, 273
Committee on Safety of Medicines, 359
Complexation, 33–48
Compressibility of liquid films, 84
Compressing weight
dry granulation, 318
moist granulation, 319
preliminary compression, 318
Compression coating tablets, 327
Compton continuum, 479
Compton scattering, 468
Condensers as heat exchangers, 597
Consolute temperature, 10
Contact angle, 86
dynamic, 86
Containers
capsules, 381
eye drops, 399
eye lotions, 401
eye ointments, 401
Contamination
bacterial, 657
microbial
minimization, 609
sources, 609
Contract manufacture, 748
Control of dusts, 288
Copolymerization, 120
Copper compounds as disinfectants, 570
Cortisone acetate
polymorphic forms, 27
2454
stable aqueous suspension, 27, 183
Corynebacterium diphtheriae, 514, 543, 547, 636
Cosolvency, 15
Counters
efficiency of, 483
electronic equipment, 477
Geiger-Müller. See Geiger-Müller counters
geometric efficiency in, 483
selection of, 484
Counting
associated problems, 477
background rate, 477, 481
temperature effect, 481
liquid phosphors, quenching in, 477, 484
liquid scintillation, quench correction in, 484
statistical considerations, 480
Cream
Aqueous BP, 394
Dimethicone BPC, 356
Hydrocortisone BPC
Oily BP, 394
zinc, 394
Zinc BP, 394
Creams, 394
aqueous, 394
containers for, 394
contamination with Pseudomonas
aeruginosa, 394
oily, 394
preparation, 394
Creep testing, 157
Cresol chloro, 566
Cresols, 566
2455
Crown Agents’ test, 579–580
Crystal violet, 565, 568
Crystallization
and particle size, 278
crystal size, 28
fractional, 30
from supersaturated solutions, 28, 278
mechanism of, 28
water of, 30
Crystallization equipment, 278
Crystals
allotropic, 27
growth in suspension, 29
isomorphous, 28
polymorphic, 27
precipitation, 30
Curie, definition of, 463
Cyanocobalamin, photochemical decomposition, 171
Cyclamic acid, hydrolysis of solutions, 176
Cyclotron theory, 470
Cyclotron irradiations, 470
Cytoplasm bacteria, 515
Dakin’s solution, 569

Dalton’s law, 8, 12
Decay
alpha, 463
beta, 464
negatron emission, 464
positron emission, 465
2456
Decay curves
binary radioactive mixtures, 463
of radionuclides, 469
Decay schemes, 465
Dendrimers, 454
Dengue vaccine, 639
Dequadin, 571
Dequalinium chloride, 571
Dermatology, use of emulsions in, 298
Desorption, 112
Detection of radiation, 471
Detergents, 59
Dextrose
solutions deterioration on autoclaving of, 170
Dibromopropamidine Isethionate BP, 570
Dichloramine, 569
Dies, 323
Diffusion
coefficient, 137
Fick’s laws, 137
measurement, 150
of drugs from tablets, 139
through gels, 138
through membranes, 139
Dilatancy, 158
Diluents used in tabletting, 311
Diphtheria vaccine, 551
Diplococcus pneumoniae, 513, 514, 517
Diseases, factors affecting spread of, 556
Disinfectant action
concentration and, 572
dilution coefficient, 572
2457
factors affecting, 571
organic matter and, 574
pH and, 574
surface tension and, 50
surface type and, 576
temperature and, 573
time of contact and, 571
Disinfectant evaluation, 577
aerial, 564, 577
semisolids, 583
solids, 584
Disinfectants
activity spectrum, 643
alcoholic, 567, 574
aldehydes, 567
amidines, 570
antagonists, 577
definitions, 563
dyes, 567
furans, 571
guanidines, 570
halogens, 564, 569
history, 574
ionization
pH and, 574
isoquinolines, 571
metals, 570
mode of action, 564
phenolic, 564
potentiators, 577
properties of, 565
quinolines, 571
surface-active agents, 565, 569, 577
2458
synergists, 576
temperature coefficients, 22
Disintegrants used in tabletting, 317
Disintegration
capsules, 345
protracted, 324
sodium bicarbonate tablets, 339
starch tablets, 342
tablets, 342
theory, 341
Dispensing liquids, 384
Dissolution rates, 693
Distillation
apparatus for small scale, 247
at atmospheric pressure, 255
azeotropic
for drying solutions, 253
mixtures, 252
Claisen flasks, 249
fractional, 251, 255
and boiling point diagrams, 251
theory of, 251
under reduced pressure, 254
immiscible liquids, 255
large scale, 248
Manesty Automatic Water Still, 248
molecular, 254
prevention of foaming, 249
steam. See Steam distillation under reduced pressure 249
vacuum stills, 250
Distribution
coefficient, 8
drug in vivo, 690
2459
law, 8
solute and immiscible liquids, 8
Domiphen, 569
Dose rate, variation of gamma-energy with, 487, 488
Dose–response curves, 696
Drug action, prolongation of, 122
Drug decomposition
absorption of water, 182
accelerated, 184, 187
by moisture, 187
limitations of, 186
by decarboxylation, 169
by oxygen contact, 181
by polymerization, 169
change in colour, 184
effect of pH on, 176
hydrolytic and solvent dielectric, 177
loss of volatile materials, 183
of insoluble forms, 177
photochemical, 182
accelerated, 186
solvent dependency, 176
Drug isomerization, 168
Drug-resistant organisms, 558, 559
clinical problems, 559
Drug stability, 682
solubilization and, 77
Drug solutions, crystal growth from, 183
Drug sterilization by gamma irradiation, 172
Drugs
acceptability, 681
bioavailability, 691
biological half-lives, 694
2460
controlled-release preparations, 690, 691
distribution in vivo, 690
dose–response curves, 635
effectiveness, 689
formulation, 681
hydrolysis of, 165
microbial spoilage prevention, 684
oxidation of, 166
rate of absorption of, 139
response–time curve, 691
sustained-release formulations, 696
Drug targeting, 442
Dryers
drum, 226
fluidized bed, 225
heat sources, 225
infrared, 225
rotary, 224
rotary louvre, 224
spray, 226
laboratory model, 226
tunnel, 223
Dry granulation, 743
Drying
equipment, 222
theory of, 221
Duplex film, 54
Dusting powders, 395
bacterial contamination, 395
Dusts
as explosion hazards, 288
control of, 288
Dyes
2461
acridines disinfectants, 564, 567
disinfectants, 564, 567
structures of antibacterial, 568
triphenylmethane disinfectants, 564, 567
Ear drops, 391

Einstein’s law of photochemical equivalence, 171
Elasticity, measurement of, 150
Electrolyte balance, control of, 123
Electrolytes, solubility of, 3
Electron
capture, 465
microscopy, 524
negative staining, 524
shadowing, 524
Electro-osmosis, 99
Electrophoresis, 98
Elementary particles, properties of, 459
Emulsification, 296
spontaneous, 296
Emulsifiers
APV Gaulin homogenizer, 299
machines, 298
Ormerod QP homogenizer, 299
Premier colloid mill, 300
Rapisonic homogenizer, 300
Silverson mixer, 299
Emulsifying agents, 292, 385
Emulsifying Wax BP, 393
Emulsion testing
2462
dilution method, 298, 528
dye solubilization method, 298
electrical conductivity method, 298
Emulsion type, testing of, 298
Emulsions, 291, 292, 293, 294, 296
and dermatology, 298
breaking of, 292, 296–297
chromatic, 297
containing hydrophilic colloids, 294
containing solids, 295
creaming, 296
definitions of, 291
flow properties of, 157
globule size and, 297
in pharmacy, 298
interfacial energy considerations, 295
Marangoni–Gibbs effect, 292–293
micro, 291
multiple, 291, 294
oil-in-water, 291
bodying effect on, 293
containing amphipaths, 292–293
stability determination, 187
stability of, 296
preparation, 292
preservation of, 297
properties of, 292
shear stress in
stability, 186–187, 296
accelerated tests of, 186–187
transport, 288
viscosity of, 151
water-in-oil containing amphipaths, 292–293
2463
Enantiotropic, 27
Encephalitis vaccines, 638
Endospores bacteria, 515–516
Enemas, 389–390
Energy
interfacial, 86
spectrum beta-particles, 464
Entamoeba histolytica, 520, 522
Enteric coatings, 697
tablets, 325
Entropy and micellization, 67
Enzymes
purification by dialysis, 93
radiochemical assay, 496
Epidemic diseases, 556
potential, 556
Epidemiology, 556
Epimerization, 169
Equilibrium
secular, 462
transient, 462
Ergometrine
epimerization of, 169
isomerization to ergometrinine, 169
Erythromycin, 654
Escherichia coli, 502, 564, 575, 648, 649, 663, 673
detection of, 617
Esters, hydrolysis of, 165
Ether as pharmacy solvent, 14
Ethers, peroxide removal of, 15
Ethyl alcohol
as pharmaceutical solvent, 13
disinfectant, 567
2464
Ethyl benzoate emulsions, stability of, 178
Ethyl oleate as pharmaceutical solvent, 14
Ethylene oxide
sterilization apparatus, 606
sterilization with, 605
European Pharmacopoeia, 353
Eusol, 569
Evaporation
atmospheric pressure, 234
film coefficients, 232
heat transfer, 232
large scale methods, 233
separation of liquid and vapour, 233
small scale methods, 233
theory of, 231
under reduced pressure, 249
Evaporators
calandria, 235
heat transfer, 233
heating by steam, 234
vacuum, 235
climbing film, 236
horizontal film, 236
inclined tube, 235
single effect, 237
triple effect, 239
Exsiccation, 31
Extra Pharmacopoeia (Martindale), 354
Extract
Liquorice Liquid, 205
Nux Vomica Liquid, 204
Senega Liquid, 205
Extraction
2465
counter-current, 9
immiscible solvents, 9
liquid–liquid, 214
Eye drops, 397, 401
bacterial contamination, 397
bactericide incorporation, 397
containers for, 398
Factory No. 401
Hypromellose BPC, 399
labelling of, 400
pH and, 398
preparation of, 399
preservatives for BPC, 398
sterilization, 397
tonicity and, 399
viscosity and, 399
Eye lotions, 401
containers, 402
labelling, 660
Eye ointments, 401
containers, 402
preparation, 401
Fabrics, water repellency of, 88

Fats, autoxidation of, 167
Fatty acids
adsorption in water, 60
long-chain autoxidation of, 167
Ferrous sulphate, oxidation of, 170
Fibrin foam, human, 662
2466
Fibrinogen, Dried Human BP, 661
Fick’s laws, 137
Film coating of tablets, 326
Films
gaseous, 82
liquid compressibility, 83
macromolecular, 84
Filter aids, 264
Filter funnels
Buchner, 265
Hirsch, 265
sintered glass, 265
Filter papers
comparison of performance, 268
glass-fibre, 267
Filter press, 268, 269
advantages and disadvantages, 269
Carlson Pilot Princess, 269
Filters
bacterial, 600
ceramic, 600
fibrous pad, 601
membranes, 602
miscellaneous, 602
pore size measurement, 603
sintered glass, 601
standardization, 603, 604
testing, 603, 604
drum filter, 270
membrane, 266
Meta filter, 269
Millipore, 266
Millitube, 604
2467
Pax rotary vacuum, 270
Seitz, 266
Filtration
air, 288
equations, 264
filter aids, 264
for drug sterilization, 266
heat pretreatment of materials, 264
mechanism of, 263
methods, 264
rate factors affecting, 263
sterilization by, 599
Filtration media, 263
Flagella, bacterial, 516
Flavours, 681
Flow rate
of magnesia granules, 285
of powders and particle size, 284
Fluids, intravenous strengths, 367
Forces, intermolecular, 49
Formaldehyde
disinfectant, 567
polymerization of, 169
Formulations, controlled-release, 690
Fraction, Human Albumin (Saline) BP, 664
Fractionating columns. See Columns, fractionating
Free radicals, 167
Freeze-drying
heat requirement for evaporation, 228
preliminary freezing, 228
theory of, 225
vacuum evaporation, 228
2468
Freundlich adsorption isotherm, 109
Friction, angle of, 284
Fungi
definition, 518
general morphology, 518
life cycle, 519
Mucor hiemalis, 519
mycelium types, 518
reproduction, 518
asexual, 518
budding, 518
sexual, 519
spore formation, 518
Rhizopus stolonifer life cycle, 519
Furans, disinfectants, 565, 571
Fusidic acid, 654
Gallates as antioxidants, 180

Gamma camera, 500
Gamma-dose rates, 487
Gamma-emission, 465
Gamma-energy, variation of dose rate with, 488
Gamma-radiation, 466, 468
Compton scattering, 468
energy loss and, 468
half-thickness-energy curve, 468
linear absorption coefficient, 468
negatron–positron production, 468
plants for, 506
photoelectric absorption, 468
2469
Gargles, 391–92
Gauge, Bourdon, 223
Geiger–Müller counters, 473–74
Geiger–Nuttall rule, 464
Geiger region, 471, 472
Gelatin, 666
elasticity, 150
solution, 386
structure, 104
Gels
diffusion through, 138
elastic, 104
elasticity of, 150
determination, 150
preparation of, 104
rigid, 105
structure of, 104
syneresis, 105
thixotropic, 104
Gentamicin, 652
German measles vaccine, 641
Giardia lamblia, 520
Gibbs equation, 61
application, 62–63
verification, 63–64
Glass containers, light transmission of, 182
Globules, water charges on, 291
Glutaraldehyde disinfectant, 565
Glycerin as pharmaceutical solvent, 13
Glycerin phenol in ear drops, 391
Glycogelatin, 343, 387
Glycols
2470
as pharmacy solvents, 13
GMP considerations, 739
Gold number, 101
Good manufacturing practices, 194, 739
Gram stain, 514
Granulating agents adhesive, 313
Granulation, 309
Beken change-pan mixer, 312
dry, 316
moist
disintegrants for, 316
dry screening, 315
drying of, 314
drying of granules, 315
flavours for, 316
lubricants for, 316
methods of, 315
powder mixing before, 316
use of change-pan mixers, 311
use of solvents in, 313
wet screening, 313
of powders, 288
preliminary compression, 315
screen sizes and, 313
slugging, 315
wet
of powders, 312
Granulation processes, 310
Granulators
Calmic fluid bed, 315
oscillating, 314
Granule flow lubricants, 337
2471
Granules
core requirements, 328
compressing weight, 318
preparation of, 288
properties, 309
Griseofulvin, 655
Guanidines, disinfectants, 570
Haemodialysis, 94
Halazone, 570
Half-life
biological drugs, 694–695
metastable nuclides, 465
radioactive atoms, 496
determination, 496
Hazards, radiation, 485
Henry’s law, 12
Hepatitis vaccine, 640
Herpes simplex vaccine, 638
Hexachlorophane, 566, 567
Hexamine, tabletting behaviour, 338, 339
Humidity
and temperature relation between, 222
concept of, 221
Hydrates, vapour pressure of, 31
Hydrocortisone acetate dissolution, 5
Hydrogen bonding, 39, 41
Hydroperoxides, formation by autoxidation, 168
Hydrophile–lipophile balance, 292
Hydrotrophy, 15
2472
(–)-Hyoscyamine, racemization of, 169
Hyperalimentation solutions, –411
Hypersensitivity, 554
delayed, 554
immediate, 554
Hypochlorites
disinfectants, 564, 569
ICH, 189
evolution, 189–190
guidelines for stability testing, 189–198
history, 189–190
q-guidelines, 193
Immune sera, 631
potency assay, 631
Immune state, 628
Immunity
acquired, 548
active, 549–551
after infection, 628
antigenic materials used to produce, 551
humoral, 629
immune tolerance, 550
passive, 549–551
response of the subject, 629
transplantation, 555
Immunoelectrophoresis, 552
Immunoglobulin
anti-Hb, 664
antitetanus, 664
2473
antivaccinia, 664
human, 662–664
anti-D, 664
production, 548–549
time course of, 549
Immunoglobulins, 548
Immunoliposomes, 448
Immunological products, uses in medicine, 550
Immunological reactions
undesirable, 554
Immunosuppression, 556
Inclusion/occlusion compoundcomplexes, 39–41
Indicators, 22–23
Infection
acquired immunity, 548
constitutive defence against, 548
host defences against, 548
inducible defence against, 548
Influenza, 637
vaccine, 637
Infusions, 382
Inhalation
Benzoin BPC, 391
Menthol and Eucalyptus BPC, 392
Inhalations, 392
Initial spreading coefficient, 53–54
Injection
Dextran 40 Injection, BP, 666
Dextran 110 BP, 665
Gold BP, 93
Human Normal Immunoglobulin BP, 663
Phytomenadione BP, 607
Water for, 248
2474
Injections
intracameral, 397
intracisternal, 608
intravitreous, 397
parenteral, 607, 610
containers for, 610–611
peridural, 608
retrobulbar, 397
subconjunctival, 397
water for, 608–609
Injector, Ampin automatic, 611
Inorganic-type complexes, 34
Insoluble solids, mixtures, 383
Interface
liquid–gas, 50
liquid–liquid, 50
liquid–solid, 86
Interfacial
curvature, effect of hydrophilic and lipophilic groups, 294
energy, consideration of in emulsions, 295
tension, 50–57
Interferon, 553–554
Intermolecular
forces, 49
interactions magnitude, 49
Internal conversion, 465
International Pharmacopoeia, 352–353
Iodine
disinfectant, 564–571
utilization in humans, 498
Iodophor, 77
Ion exchange resins, 120
capacity, 121
2475
deionization, 122
medicinal uses, 122
recovery, 122
uses, 122
Ionization
chambers, 472–473
constant, 17
determination, 18
detectors, 475
semiconductor, 475
spark chamber, 476
Ionizing radiation, 466
Irradiation, cyclotron, 470
Irrigating solutions, 411
Isomeric transition, 465
Isomorphous, 28
Isotherm
BET adsorption, 110
Freundlich adsorption, 109
Langmuir adsorption, 109
Isotope effect, 495
Isotopes, 459
Jelly tester (FIRA), 150

Jenike shear cell, 286
Jet milling. See Micronization
Kanamycin, 652
2476
Kelsey, Beeby, Whitehouse test, 583–584
Kelsey, Sykes test, 583
Kendrick test, 635
Kick’s law, 274
Kilogram, international definition, 362
Kozeny–Carmen equation, 264
Krafft-point, 69
Lactose
diluent, 379
intolerance, 379
Lactose BP
as tablet diluent, 309–310
use in tabletting, 317
Laminar-flow environment, 422
Langmuir–Adam trough, 79
Langmuir adsorption isotherm, 109
Lanolin, hydrogenated, in ointments, 393
Lassar’s paste, 395
Law of mass action, 172
Layer-type complexes, 39
Leaching processes, 201
choice of, 203
effect of enzymes on, 206
effect of solvent on, 204
effect of temperature on, 205
factors affecting the efficiency of, 204
Legislation, drug, 358
Leprosy vaccine, 636
Ligatures. See Sutures
2477
Light and drug decomposition, 169–170
Light liquid paraffin as pharmacy solvent, 14
Light microscopy, 523
dark ground, 524
interference, 524
negative staining, 524
phase contrast, 524
Light petroleum as pharmaceutical solvent, 14
Limes Reaction, 632
Lincomycin, 655
Liniment
Ammonia BPC 1949, formation of soap in, 293
Turpentine, preparation of, 296
White, preparation of, 293
Liniments, 391
Lipopolysaccharides as pyrogens, 514
Lipoproteins structure, 454
Liposomes, 445–447
Liquid
crystals structure of, 70
flow
plastic, 158
pseudoplastic, 158
mixtures, 381
phosphors, quenching in, 484
preparations, 381
for external use, 391–92
triturates, 383
Liquid Paraffin BP, viscosity determination, 152
Liquids
adhesion, 53
cohesion, 53
dispensing of, 384
2478
flow properties, 157
monolayers, 53
Newtonian, 157, 161
non-Newtonian, 157, 161
flow properties, 157
removal of dissolved gases, 13
shear stress in, 154, 162
spreading, 53
streamline flow, 151, 157
turbulent flow
viscosity of
Litre, definition of, 362
Lotion
Calamine BP, 391
Oily Calamine, 294
Lotions, 391
Lubricant, talc as, 317
Lubricants
die-wall, 316
disintegration times and, 316
suppositories, 388
theory, 317
use in tabletting, 317
Lugol’s solution, 570
Lysol
partial phase diagram of, 77
Maceration, 201
Magnesia granules, flow rate of, 285
Magnesium
2479
aluminium silicate as disintegrant, 317
stearate as lubricant, 317
Malachite green, 568
Male fern extract emulsification, 386
Mannitol BP, as tablet diluent, 311
Marangoni–Gibbs effect, 292, 293
Martindale (Extra Pharmacopoeia), 354, 682
Mass defect, 460
Mass number, 459
Mass number–binding energy relationship, 460
Master formula, 739
Measles vaccine, 633, 635
Medicine bottles, metric, 382
Medicines Act, 351, 352, 354, 359
Meier’s theory, 29
Membranes
biological, 85
diffusion through, 139
permeability of, 139
semipermeable, 79, 94, 100, 403
Mercury compounds, disinfectants, 570
Merthiolate, 570
Mesomorphism, 72
cholesteric, 72
nematic, 72
smectic, 72
Mesosomes, bacteria, 515, 516
Metabolism studies with radionuclides, 497
Metal ion complexes, 33–36
Metals, disinfectants, 570
Metastable state radioactive nuclides, 465
Methantheline bromide, hydrolysis of, 178
Methyl alcohol
2480
as additive to prevent formaldehyde polymerization, 169
Methyl bromide, sterilization with, 673
Methylcellulose, as disintegrant, 317
Methylcellulose BPC, 385
Metre, international definition of, 361
Metric system, 361
capacity, 362
length, 361
liquid measures, 362
mass, 362
Micelle formation
electrolytes and, 68
nonelectrolytes and, 68
pH and, 75
temperature and, 69
thermodynamic factors and, 67
Micelle solubilization, 73
Micelles, 63, 65–75, 453
critical concentration, 66
factors affecting formation, 67
formation, 67
stability, 72
structure of, 70
Microbial contamination, 615–618
minimization, 609
sources, 609
Micronization, 276
Microorganisms
allosteric control, 539
cell organization, 513
classification by nutritional type, 522
continuous culture, 531
2481
culture, 524–526
anaerobic media, 535
diagnostic media, 525, 526
growth media, 525
production of anaerobiosis, 533
sample transfer, 524
selective media, 526
D value, 588
death rate, 587
decimal reduction time, 588
distribution, 513
DNA function, 538
energy sources, 522
glucose utilization, 536
growth
desiccation and, 532
electromagnetic radiation and, 535
osmotic pressure and, 535
oxidation–reduction potential and, 533
pH and, 533
pressure and, 536
surface tension and, 536
ultrasonic energy and, 536
growth curves
decline phase, 530
exponential phase, 530, 531
lag phase, 530
stationary phase, 530, 531
growth rate and nutrient, 522
concentration, 522
identification, 559
inactivation factor, 588
2482
invasiveness, 547
isolation in pure culture, 530
microscopy, 523
miscellaneous
counting of, 530
normal body flora, 546
nutrient requirements and environment, 523
nutrition
carbon sources, 522
inorganic materials, 521
pathogenicity of, 547
protein synthesis, 538
control, 539
operon theory, 539
radiation sensitivity
respiration, 536, 537
energy from, 536, 537
tricarboxylic acid cycle, 536–537
thermal death time, 587
thermal resistance, 587
toxigenicity, 547
visualization of unstained bacteria, 524
z value, 588
See also Bacteria, Fungi, Infection, Protozoa, Viruses
Microparticles, 449
Microscopy
electron, 524
light, 523
Milling, general, 277
Mills
Apex Comminuting, 275
ball, 275
2483
Hardinge, 276
speed of, 276
edge runner, 275
end runner, 274
Fitz, 314
impact and hammer, 275
Manesty Fitzmill
pin, 275
Reddrop-Periflo, 275
vibration, 276
GECVM25 electromagnetic, 276
Minimum inhibitory concentration, 577, 687
Mixed crystals, formation of, 28
Mixers
drum, 287
Manesty, 287
Rotocube, 311
Mixing of solids, 286
Mixture
Phenoxymethylpenicillin BP, 683
Mixtures, 381
labelling of, 382
liquid, 383
soluble solids, 383
Modulus
bulk, 149
rigidity, 149
Young’s, 149
Moisture and drug decomposition, 170
Molarity, 3, 368
percentage strength and, 368
Monolayers formation, 78
gaseous, 81
2484
insoluble, 77
mixed, 83
structure and state of, 80
Monomolecular-type complexes, 49
Mortar and pestle, 274, 384
Moulds for suppositories, 388
Mouth–washes, 392
Mucilage, Tragacanth BPC, 382
Mucor hiemalis, 519
Mumps vaccine, 641
Murein, mucopeptide, 514
Mycobacterium
leprae, 546
tuberculosis tests for, in BCG vaccine, 624
Nanoparticles, 450
Nasal drops, 392
Needles, surgical, 677
Negatron emission, 464
Neomycin, 651
Neutron sources, laboratory, 470
New drug delivery systems, 441–455
Newtonian liquids, 150
Niosomes, 447
Nitrofurazone, 571
Non-Newtonian liquids, 157
Nordihydroguaiaretic acid as antioxidant, 180
Normal distribution, 480
2485
Novobiocin, 654
Noyes–Whitney equation, 6
Nuclear
decay, 463
fission, 465
isomers, 465
reactors, 469
fission products, 470
moderators for, 469
reactions in, 469
sodium chloride irradiation, 470
UK, 469
stability, 459
Nucleon, 459
Nucleus
bacteria, 515
atomic structure of, 459
Nuclides, 459
Oil, cod liver, production of, 215

Oils
animal, rendering of, 215
hydrogenated vegetable, as lubricants, 317
solvent extraction of, 205, 214
vegetable
expression of, 214
refining of, 215
solvent extraction of, 215
volatile, steam distillation of, 216
Ointment
2486
Cetomacrogol Emulsifying BPC, 393
Cetrimide Emulsifying BP, 393
Emulsifying BP, 393
Macrogol BPC, 393
Paraffin BP, 392
Wood Alcohols BP, 393
Ointment bases, consistency of, 157
Ointments
absorption bases, 393
emulsifying bases, 393
ophthalmic sterility, 618
paraffin bases, 393
preparation, 393
fusion, 394
trituration, 393
water-soluble bases, 393
Opium tincture, preparation of, 202
Optical isomerization, 169
Organic molecular complexes, 38–39
Organization, 190
Organ visualization with radionuclides, 500
Osmolality, 368
Osmotic pressure colloids, 96
Ostwald ripening, 5
Ovens
hot air, 597
forced-draught, 598
operation, 598
performance, 598
infrared conveyor, 598
Oxidation–reduction. See Redox
2487
P
Paints, 391
Pan coating tablets, 325
Pans, evaporation, 234
Parachor, 51
Paraffin bases for ointments, 392
Paraldehyde emulsification, 386
Parenteral
containers, 424–425
formulations, 407–440
dialysis solutions, 411
Particle range, 466
Particle shapes, 283
Particle size
and absorption rate, 277
and comminution, 277
and crystallization, 278
and flow rate of powders, 284
bioavailability and, 692
determination, 280
Coulter counter, 282
gas adsorption, 283
gas permeability, 282
Lea and Nurse method, 282
methods, 280
microscopy, 280
Perkin–Elmer sorptometer, 283
Rigden method, 282
sedimentation, 281
reduction. See Comminution, solubility 5
Particles, capillary forces between, 295
2488
Paste
Lassar’s, 395
Magnesium Sulphate BPC, 395
Zinc and Salicylic Acid BP, 395
Pastes, 395
Pasteurization, 597
Penicillins, 646–649
metabolism, 646
natural, 646
semisynthetic, 647
structure, 646
Peptization, 98
Percolation, 202
reserved, 203
Percolator, commercial scale, 202
Perfumes, 681
Peritoneal dialysis solutions, 411
Perkin triangle, 254
Pessaries, 389
Pestle and mortar, 274
pH
definition of
determination of, 22
colorimetric, 22
electromagnetic, 23
effect on disinfectant ionization, 574
effect on disinfectants, 574
eye drops and, 398
meters, 23
significance in pharmacy, 24
standard solutions, 24
Pharmaceutical assay chromatographic, 119
Pharmacopoeia
2489
British, 351
European, 353
Extra, 354
International, 352
Pharmacosomes, 448
Phenol, 566
disinfectant action and pH, 574
effect of soap on, 575
effect on E. coli, 571
effect on Salmonella paratyphi, 573
o-phenyl, 566, 567
Phenol coefficient tests, 580
deficiencies of, 580
merits of, 580
Phenolphthalein, tautomeric forms, 22
Phenols
disinfectants, 566
structure–activity relationships, 576
structures, 566
Phenylmercuric
acetate, 398, 570
nitrate, 398, 570
Phospholipids, 85
Phosphors
inorganic, 476
organic, 476
scintillation, 476
properties, 476
Photochemical reactions, 171
Photons, 134
Physostigmine
irradiation of, 172
Picric acid-type complexes, 39
2490
Pili, bacteria, 516
Pilocarpine stability and pH, 176
Pilot plant techniques, 738–748
Plague vaccine, 636
Plait point, 12
Plasma
Dried Human BP, 659
dried, preparation by freeze-drying, 227
fractionation of, 660
fresh frozen, 660
membrane, bacteria, 515
proteins, fractionation of, 216
substitutes, 665
Plasmodium vivax life cycle, 521
Plastic flow of liquids, 158
Platelets, Concentrated Human, 658
Poiseuille equation, 151, 264
Poisson distribution, 480, 481
Poisson’s ratio, 150
Poliomyelitis, 556
vaccine, 639
Polyethylene glycol as lubricant, 317
Polymers, solution properties of, 158
Polymer-type complexes, 38
Polymorphism, 27, 183
identification of, 27
Polymyxins, 650
Polypeptide antibiotics, 650
Polypeptides, isolation and purification of, 216
Positron emission, 464
Potassium chloride, tabletting behaviour, 338
Potential energy curves, 49
Potentiators for disinfectants, 576
2491
Poultice, Kaolin BPC, 395
Poultices, 392
Powder, Compound Tragacanth BP, 382
Powders, 377–379
bulk, 379
cohesive
handling properties, 285
shear stress in, 286
cohesiveness determination, 285
dispensing of, 377
flow contours of, in a hopper, 285
granulation, 288
mixing, 286
mixing before moist granulation, 311
moistening
before granulation, 311
stages in, 312
particle size and flow rate, 284
phenomenon of vena contracta, 285
sliding and flow, 284
slugging of, 288
transportation of, 288
wet granulation of, 288
Precipitation, 277
Prescriptions
Apothecary conversion to metric, 384
dispensing of, 384
Preservatives
antimicrobial, 401, 685, 686
selection of, 686
Procaine
decomposition of, 173
hydrochloride, kinetics of hydrolysis, 173
2492
hydrolysis of, 170
Proflavin, 567, 568
Propamidine isethionate BPC, 570
Proportional counters, 473
gas flow, 473
iso-Propyl alcohol
as pharmaceutical solvent, 13
disinfectant, 567
iso-Propyl myristate, as pharmaceutical solvent, 14
Propylene oxide
Protein
binding, 45–47
isolation and purification of, 216
Mild Silver BPC, 102, 570
salting out process, 216
silver, 102, 570
Protozoa
Balantidium coli, 520
Ciliophora, 520
definition, 520
Entamoeba histolytica, 520, 522
general morphology, 520
Giardia lamblia, 520
Mastigophora, 520
Sarcodina, 520
Sporozoa, 520
Plasmodium vivax life cycle, 520
Trichomonas vaginalis, 520
Pseudomonas aeruginosa, 517, 616
detection of, 617
eye drop contaminant, 397
Pseudoplastic flow of liquids, 158
2493
Pseudoplastic solutions, 163
Pumps, vacuum, wet, 236
Punches, 323
Pyrogens, 608
removal of, 608
tests for, 608
QSEM, 190, 191

Quality control, 615–618
capsules, 345
tablets, 329
Quellung reaction, 552
Quinhydrone-type complexes, 39
Quinoline8-hydroxy, 571
Rabies vaccine, 640

Racemization, 169
Rad, definition of, 485
Radiation
background, 486
barrier to, 483
beta-dose rates, 488
biological effects of, 485
biological monitoring, 490
detection, 471, 477
detector, 471
dose units, 485
effect on cells, 486
2494
effect on human body, 486
external dose rate estimation, 487
film badge, 489, 490
gamma-dose rates, 487
genetic damage, 486
hazards, 485
internal dose rate estimation, 489
laboratory monitoring, 490
maximum permissible dose, 487
measurement of exposure doses, 489
monitoring, 491
personnel dosemeters, 490
scattering of, 483
self-absorption in source, 483
thera, 500
Radiation laboratories
contamination control, 493
handling techniques, 494
safety rules, 493
waste control and disposal, 494
Radiation sensitivity, of microorganisms, 502
Radiation sterilization, 502
criteria for, 505
dose size, 505
electron beam processing, 507
plants for, 506
survivor–dose curves, 502
Radioactive
decay, 460
decay constant, 460
equilibria, 460
2495
Radioactivity
definition of, 460
half-life, 460
units, 463
Radiochemical applications, 494–508
Radiochemical laboratories
classification, 492
design, 491
organization, 491
statutory controls, 491
Radioimmunoassay, 496
Radioisotope
assay, chromatographic, 119
dilution analysis, 495
scanning, 499–501
Radiological safety, 485
Radiolysis of water, 485
Radionuclides
activation analysis with, 496
analysis, 495
beta-particle energies, 464
blood circulation studies, 498
body composition determination with, 498
bone scanning with, 500
cardiac output determination with, 499
colloids for radiotherapy, 501
decay curves of, 461
enzyme assay, 496
medical applications, 497
metabolism studies with, 498
organ visualization with, 499
production, 419
protection procedures, 423
2496
radioimmunoassay with, 496
solubility determinations, 496
solutions for radiotherapy, 501
teletherapy with, 501, 502
therapy with, 497, 500–501
toxicity grading of, 492
tumour visualization with, 499, 500–501
Radiosterilization
advantages, 507
applications, 508
comparison of gamma-ray and electron beam, 507
Radiotracer techniques, principles, 495
Raoult’s law, 4, 231, 251, 706
Reaction rate, definition of, 172
Reactions
first-order, 173
half-life of, 173
molecularity of 172
order of, 172
pseudo-first-order, 173
rate of, 172
second-order, 174
third-order, 175
zero-order, 174
Red Blood Corpuscles
Concentrated Human BP, 658
Redox
indicators, 25
potentials, 25
systems, 25
standard potentials of, 25
Rem, definition of, 485
2497
Repose, angle of, 284–285
Resealed erythrocytes, 452
Reserpine, extraction from rauwolfia powder, 205
Resins, ion exchange, 120
Resistance
natural, to microbes, 628
to antimicrobial agents, 558–560
genetic basis, 559
Respiratory virus vaccines, 638
Reynolds number, 153
Rhinovirus vaccine, 638
Rhizopus stolonifer, 519
Rickettsiae, 546
Rideal–Walker
coefficient, 579, 580
test, 579, 580
Rifampicin, 656
Rigidity, modulus of, 149
Rittinger’s law, 274
Roentgen, definition of, 485
Routes of administration, 407
Roxenol, 567, 581
Safety, radiological, 485

Salicylamide, tabletting behaviour, 338
Salicylic acid, β-cyclopentyl-propionyl hydrolysis of, 177
Salmonella
agglutinating antigens in, 552
species, 616
detection of, 616
2498
typhi, 517, 526
Sandwich compounds, 37
Saturation, degree of, and solubility, 5–6
Scanning
bone, 500
brain tumours, 499
radioisotope, 499
Scanning electron microscopy, 524
Schick test, 607, 618
Scintillation counters, 476
Secular equilibrium, 462
Sedimentation balance, 282
Sera
historical, 627
See Immune sera
Serotherapy, 627, 631
Serum, Dried Human BP, 660
Shear stress
in emulsions, 162
in liquids, 162
in suspensions, 162
Shielding against radiation, 488
Shields, tenth thickness of, 489
Sieves
Alpine Airjet, 279
British Standard, 278
specifications
perforated plate, 278
wire mesh, 278
Sieving, 278
Sifters, 280
brush, 280
Pascal turbine, 280
2499
Sigma complexes, 37
Silica, colloidal, as lubricant, 317
Silicates, cation exchange in, 119
Silver compounds, disinfectants, 570
Slugging of powders, 288
Slurries, evaporation of, 222
Smallpox vaccine, 618, 638
Sodium
aminosalicylate, decarboxylation of, 169–170
bicarbonate
decarboxylation of, 169–170
tablets, disintegration times, 337, 339
Carboxymethylcellulose BPC, 382
chloride
irradiation, 469, 470
tabletting behaviour, 338
Chloride BP, as tablet diluent, 311
lauryl sulphate as disintegrant, 317
metabisulphite
as stabilizer, 183
prevention of decomposition by irradiation, 165
Solid lipid nanoparticles, 450–451
Solid preparations, 377–384
for external use, 375, 391
Solids
adsorption of liquids, 86
drying of, 222
elastic, 149
in emulsions, 295
mixing of, 286
removal of dirt, 87
wetting of, 87
Sols
2500
lyophilic, 92
lyophobic, 92
preparation, 92
purification
by electrodecantation, 93
by electrodialysis, 93
by dialysis, 93
by ultrafiltration, 94
Solubility
curves, 7
degree of saturation and, 5
determination, 9, 496
radiochemical, 496
influence of pH, 308
particle size and, 5
temperature and, 4, 10
Solubilization
drug stability and, 77
electrolytes and, 74
micellar, 73
pH and, 75
pharmaceutical applications, 76
Soluble solids, mixtures, 383
Solute, distribution of between immiscible liquids, 8
Solution
Aqueous Iodine BP, 570
Chloroxylenol BPC, 566, 570
Cresol and Soap BP, 566
Dakin’s, 569
Lugol’s, 570
Weak Iodine BP, 570
Solutions
2501
buffer, 22
evaporation of, 226
gases, preparation, 12
gases in liquids, 12
haemodialysis, 94
ideal, 4
liquids in liquids, 10
percentage, 367
peritoneal dialysis, 411
preparation, 383
pseudoplastic, 158
saturated
preparation, 8
solids in liquids, 6
standard
pH of, 24
stock, 383
supersaturated, 9
Solvent action, mechanism of, 3
Solvents
mixed, 4, 14
recovery, 15
used in pharmacy, 13
Specific activity, radioactive atoms, 463
Specific gamma-ray constants, 487
Specific ionization, 466
alpha-particles produced by, 467
Spectrometry, pulse size-gamma radiation energy
relationship, 479
Spray solutions, 392
Stability
testing, 184, 192
nuclear, 459
2502
Standard
deviation, 481
error, 481
potentials of redox systems, 25
Staphylococcus aureus, 514, 515, 616
detection of, 617
Starch
as disintegrant, 317
tablets, disintegration times, 342
Steam
dry, 591
saturated, 590
properties, 234
superheated, 590
Steam distillation, 247
large scale apparatus, 256
of camphor
of turpentine
of volatile oils
of xylene
small scale apparatus, 256
theory of, 255
Steam traps, 199
autoclaves, 594
bucket, 242
thermostatic, 242
Stearic acid as lubricant, 317
Sterile drugs, preparation of, 607
Sterility
definition, 587
testing, 618
membrane filtration, 622
2503
preferred method, 622
statistical considerations, 618
Sterilization
air, 604
autoclaves
counterpressure, 596
low pressure, 596
autoclaving, 590
boiling water, 589
by ethylene oxide, 605
apparatus for, 606
by filtration, 599–604, 613
advantages, 599
disadvantages, 599
mechanisms, 603
catgut, 673
choice of method, 612
drinking water, 570
dry heat, 597, 612
hot air ovens, 597
official requirements, 597
resistance to, 597
eye drops, 397
gaseous, 605, 612
heating with bactericide, 597, 612
moist heat, 589
pasteurization, 597
procedures
acceptable standards, 589
test organisms, 588
radiation, 502
criteria for, 505
2504
dose size, 505
plants for, 506
survivor-dose curves, 502
radio-frequency heating, 599
steam, 590–591
high pressure, 596
saturated, 590
superheated, 590
tolerable degrees of superheating, 591
thermal heating block, 599
tyndallization, 597
Stern layer, 102
Stock solutions, 383
Stoke’s equation, 154, 187, 196, 302, 307, 683
Streaming potential, 100
Streptococcus pyogenes, 514, 517
Streptomyces griseus, 514
Streptomycin, 651
Structure–activity relationships, phenols, 576
Sucrose, tabletting behaviour, 338, 339
Sugar coating, tablets, 325
Sulphathiazole
polymorphic forms, 27
suspensions, stability of, 187
tabletting behaviour, 339
Super liquids, 82
Superficial density, 466
Suppositories, 387–390
bases, 387
dispensing, 389
glycerin, absorption of water, 183
lubricants, 388
moulds, 387
2505
preparation, 387–390
Surface
activity, 60
ageing, 64
curvature, 51
energy, 50
potential, 79
pressure, 78
monolayers and, 80
rheology, 79
measurement, 79
tension, 50
drop volume and, 57
measurement, 54
pendant drop and, 56
temperature and, 50
viscosity determination, 80
Surface-active agents
amphoteric, 569
cationic, 568
disinfectants, 565, 568, 569
effect on drug hydrolysis, 177
structures of disinfectant, 569
See also Amphipath, Surfactants
Surfactants
classification, 60
examples, 59
solutions, bulk properties, 64
Suspending agents, 382
Suspensions
formulation, 683
2506
preparation, 383, 384
shear stress in, 162
stability, accelerated tests of, 187
Sustained-release preparations, 696–701
Sutures
absorbable, 669
catgut
absorption in vivo, 675
sterilization, 673
clips, 676
collagen, 674
fascia lata, 675
history of, 669
kangaroo tendon, 674
linen, 676
nonabsorbable, 669
polyamide, 676
polyester, 676
ribbon gut, 675
silk, 675
stainless steel wire, 676
standards for, 669
wire staples, 677
Swinnex-25 filtration unit, 400
Synergists disinfectants, 576
Syringes, 610
Ampin automatic injector, 611
Viule cartridge, 610
Tablet
2507
Compression
die filling, 322
removal of air, 322
compression cycle, 270
machines
Manesty Rotaflow feeder, 322
recent developments in, 322
production, 319
rotary machines, 320–322
single punch machine, 319
Tablets
advantages and disadvantages of, 309
binding in the die, 324
capping, 324, 336
coating, 325
automated, 326
coatings, performance of, 329
colouring, 332
compaction pressure arid, 334, 335
compaction process theory, 333
compression coating, 327
core
requirements, 328
die-wall lubricants, 339
diffusion of drugs from, 139
dimensions arid properties, 336
disintegration of, 341
disintegration tests
dissolution tests, 331
drug content, 325
drug instability, 325
Effervescent Potassium BPC, 309
enteric coating, 326
2508
excessive weight variation, 324
film coating, 326
fissured surface, 324
granule flow lubricants, 337
hardness, 332
testers, 332, 333
lamination, 324, 336
lubrication, 337
theory, 337, 338
materials hardness and, 337
mottled, 325
multilayer, 323
pan coating, 325
picking, 324
pitted surface, 324
profiles, 323
prolonged disintegration time, 324, 325
properties and dimensions, 336
protracted disintegration, 324
quality control, 329
soft, 324
sticking in the punch, 324
sugar coating, 325
types, 309
uniformity of, 329, 330
uses, 309
variation of drug content, 325
Tabletting
diluents used in, 311
disintegrates used for, 317
lubricants used in, 317
problems, 324
rheology, 333
2509
theory, 333
Talc as lubricant, 316, 337
‘Tego’ disinfectant, 568, 569
Teichoic acid, 514, 515
Teletherapy, 501, 502
Temperature
and humidity, relation between, 222
and surface tension, 50
critical solution, 10, 11
solubility and, 4, 10
wet bulb, definition of, 222
Ternary systems, 11
Testing of sterility, 618
Tetanus vaccine, 363
Tetracyclines, 652
Theobroma oil, 387, 388
Theoretical plates, 252, 253
Therapy, radiation, 497, 500
Thiomersal, 570
Thixotropy, study of, 159
Thrombin, Dried Human BP, 662
Tincture
Aromatic Cardamom, 202
of Belladonna, 204
of Stramonium, 204
opium, preparation of, 202
TLC, 118
Tocopherols as antioxidants, 180
Tonicity, eye drops and, 399
Toxoids, 632
Trachoma vaccine, 641
Tragacanth, powdered, 383, 385
Transdermal drug delivery system, 451
2510
Transient equilibrium, 462
Transportation of powders, 286
Traube’s rule, 60
Tray dryer, 222
Treponema pallidum, 514, 553
Trichomonas vaginalis, 520
Triphenylmethane dyes, 568
disinfectants, 564
Triple point, 227
Triturations, 378
Tuberculosis vaccine, 637
Tumour
scanning, 499
therapy, with radionuclides, 497, 500
visualization with radionuclides, 497, 498–500
Tyndall effect, 92, 95
Tyndallization, 597
Typhoid vaccine, 637
Ultramicroscope, 95
Uranium reactor fuel, fission of, 470
Urea, tabletting behaviour, 338, 339
Vaccines
bacterial, 632, 633, 636
safety tests, 633
for prophylaxis, 636
historical, 627
2511
laboratory control, 632
viral, 633, 637–641
testing of, 633–635
Vaccinia virus, 541
Vancomycin, 656
van der Waals
adsorption, 109
forces, 49, 91, 103
Vapour pressure, 231
effect of dissolved substances, 231
of hydrates, 31
of immiscible liquids, 255
of miscible liquids, 251
Variation, coefficient of, 481
Vehicles, anhydrous, 683
Vibrio cholerae, 517, 547, 557, 636
Virus
harvest, tests on, 634
infections, chemotherapy of, 545
immunity in, 553
vaccines, 633, 637–641
vaccines, testing of, 633–635
Viruses
characteristics, 540
classification of, 546
common animal, 544–546
composition, 540
counting of, 545
cultivation, 544
comparison of methods, 545
embryonated egg culture, 544
tissue culture, 544
whole host inoculation, 544
2512
identification, 561
inactivation of, 545
lysogenization, 543
phage replication, 540, 542
plaques, 542, 545
replication, 540
size, 541
structure, 540
T-even coliphage structure, 541
Viscometer
Brookfield Synchrolectric, 155
capillary tube, 151
cone and plate, 156
extrusion, 157
falling sphere, 153
Ferranti portable, 155
Ostwald, 152
rolling sphere, 154
rotating cylinder, 154
Rotovisko (Haake), 156
Viscosity
coefficient of, 151
determination of, 151
eye drops and, 399
of emulsions, 163
Vitamin A palmitate, isomerizatic in aqueous solution, 169
Vitamin assay, chromatographic, 119
Volatile oils See Oils, volatile
2513
W
Warburg manometer, 529

Water
as pharmacy solvent, 13
globules, charges on, 294
irradiation of, 172
radiolysis of, 477, 485, 504
repellency, 88
softening, 119, 122
Waters, medicinal, 382
Wax
Cetomacrogol Emulsifying BP, 393
Emulsifying BP, 296, 393
Weights and Measures (Metric System) Act, 361
Wet granulation, 741
Wetting agents, 415
White
Blood Corpuscles Concentrated Human, 658
fluids, 567
Liniment, preparation of, 294
Whooping Cough Vaccine, 627, 630
Witepsol, 387
Witness tubes, 595
X-rays, 465
Xylene, steam distillation of, 234
Xylenol, 566
chloro, 566
effect of soap on, 566
2514
Y
Yellow fever vaccine, 628, 631

Young–Laplace equation, 51, 55, 87
Young’s equation, 86–87
Young’s modulus, 149
Zwitterions, 43
2515

Bentleys Textbook Pharmaceutics

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Bentley’s Textbook of Pharmaceutics

Sanjay K. Jain MPharm, PhD Professor of Pharmaceutics

Vandana Soni MPharm, PhD Associate Professor of

E.A. Rawlins MSc PhD FPS

Mosby, Saunders, Churchill Livingstone, Butterworth

All rights reserved. No part of this publication may be

This adaptation is based on Bentley’s Textbook of

Original ISBN: 978-81-312-2481-6

Medical knowledge is constantly changing. As new

Published by Elsevier, a division of Reed Elsevier India

Publishing Manager: Ritu Sharma

Typeset by Chitra Computers

Printed and bound at Rajkamal Electric Press, Kundli,

Preface to the Adaptation

Preface to the 8th Edition

Contributors to the Adaptation

Contributors to the 8th Edition

Section I Physicochemical Principles

Chapter 2 pH, EMF and Redox Potentials

Chapter 3 Crystatalline Solids

Chapter 5 Interfacial Phenomena

Chapter 6 Colloidal Systems

Chapter 8 Ion Exchange And Chromatatography

Chapter 9 Diffusion and Dissolution

Chapter 11 Drug Stability

Chapter 12 ICH Guidelines For Statability Testing

Section II Pharmaceutical Operations

Chapter 19 Comminution, Sizing and Handling of Powders

Chapter 20 Coarse Dispersion

Chapter 21 Tablets and Capsules

Section III Pharmaceutical Practice

Chapter 23 Weights and Measures

Chapter 24 Pharmaceutical Calculatations

Chapter 26 Oral Preparations

Chapter 27 Rectal Administrations

Chapter 28 External Preparations

Chapter 29 Preparations for the Eye

Chapter 30 Parenteral Formulations

Chapter 31 New Drug Delivery Systems

Section V Microbiology and Animal Products

Chapter 33 Principles of Microbiology

Chapter 37 Vaccines and Sera

Chapter 39 Blood Products and Plasma Substitutes

Chapter 40 Sutures and Ligatures

Section VI Formulation and Packing

Chapter 42 Pharmaceutical Aerosols

Chapter 44 Pilot Plant Manufacturing

The Publishers regret to have to announce to the readers of

P. Hurkat MPharm (Chapter 30, with S.K. Jain)

R. Dubey MPharm (Chapter 12, with S.K. Jain)

A. Jain MPharm (Chapter 44, with S.K. Jain and v. Soni)

S. Shilpi MPharm (Chapter 4, with v. Soni)

A. Gulbake MPharm (Chapter 31, with S.K. Jain and v. Soni)

M.G. Aiken BPharm, MPS (Chapters 34 and 35)

J.E. Carless PhD, FPS (Chapters 1, 2, 3, 6, 8, 9, 10, 14, 15,

J.O. Dawson BSc, FPS (Chapter 40, with C.C. Yates)

D. Ellis BSc, PhD (Chapter 39, with W. d’A. Maycock)

R.P. Enever BPharm, PhD, ARIC, MPS (Chapter 11)

J.P. Hall MSc, FPS, MInst Pkg (Chapter 42)

W.d’A. Maycock CBE, MD (Chapter 39, with D. Ellis)