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Investigations in Pharmaceutical Polymorph Quantification using PXRD, ATR, FTIR, and FT-Raman at Roche Palo Alto
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Investigations in Pharmaceutical Polymorph
Quantification using PXRD, ATR‒FTIR,
and FT‒Raman at Roche Palo Alto
Richard E. YoungResearch Scientist II
Analytical Research
Roche Palo Alto LLC
12/30/2009 Richard E. Young 2
Agenda
Basic Principles of Polymorphism
Polymorphism’s Importance to Pharmaceuticals
Polymorph Discovery Techniques and the Allied Analytical Tools
Case Study 1: Three Phases of Gancilclovir
Case Study 2: Two Phases of a Roche Research Compound
Conclusion
12/30/2009 Richard E. Young 3
What is a Chemical Polymorph?
A compound with a single molecular structure that possess more
than one crystal form. A polymorph form is often termed a
“phase.”
http://en.wikipedia.org/wiki/Bravais_lattice
12/30/2009 Richard E. Young 4
Differentiating Habit and Crystal Chemistry of
a CompoundJ. K. Haleblian, “Characterization of habits and crystalline modification of solids and their pharmaceutical applications,” J. Pharm. Sci., 64(8), 1270 (1975).
Chemical Compound (Solid)
Habit Internal Structure
AmorphousCrystalline
Single Entity
Polymorphs
Molecular Adduct
Stoichiometric
Solvates (hydrates)
Nonstoichiometric
Inclusion compounds
Channel Layer Cage (clathrate)
The Crystallinity Continuum
The “crystallinity continuum” is expressed by the relative amount
of order of contiguous unit cells
12/30/2009 Richard E. Young 5
Large single crystal
Powdered crystals
Small crystallites(more or less ordered)
Semi-crystalline (short range order)
Amorphous(lacks a distinct crystal form )
Low
High
Cry
sta
lline o
rder
The Importance of Polymorphism in
Pharmaceuticals
• Pharmaceutical performance
Each polymorph may have different physical properties (melting point, solubility, dissolution rate, processibility, etc.), which may affect:
– Stability
– Formulation
– Potency
– Bioavailability
– Storage
• Intellectual Property
– Each polymorph can be patented if it shows better properties than any previously patented polymorph
– A rival company may legally sell the same drug substance in a different crystal form if the new polymorph is not patented
12/30/2009 Richard E. Young 6
Polymorph Discovery Techniques
No method can predict polymorphs.
Discovery must be done by empirical techniques.
• Stability studies with varying temperature, humidity, and time
• Re-crystallization with different solvents
• Melt re-crystallization
• Anti-solvent addition
• Annealing
12/30/2009 Richard E. Young 7
Polymorph Analytical Tools
12/30/2009 Richard E. Young 8
• Powder X-Ra Diffraction (PXRD or XRPD)
• Thermal techniques
– Differential scanning calorimetry (DSC)
– Differential thermal analysis (DTA)
– hermal gravimetric analysis (TGA)
– Melting point
– Thermal microscopy
• Solid State NMR
• Vibrational Spectroscopy
– FTIR (ATR, microscopy, etc.)
– FT-Raman
– NIR
The Polymorph Analytical Tools to be
Examined
12/30/2009 Richard E. Young 9
• Powder X-Ray Diffraction
• AT-FTIR
• FT-Raman
PXRD Bragg-Brentano Theta-Theta
Configuration
12/30/2009 Richard E. Young 10
• A crystalline solid will produce a distinctive “fingerprint” pattern of sharp peaks;
amorphous materials will produce a broad “hump”
• Phase characterization and identification - not optimum for structure
determinations
• Transmission or reflection configuration
Tube
Divergence slit Antiscatter-
slit
Mono-
chromater
Detector
slit
http://www.thermo.com/eThermo/CMA/PDFs/Product/productPDF_11602.pdf http://www.smcr.fisica.unam.mx/8temasutiles/articulosutiles/Bas-XRD.pdf
Bragg Diffraction
• A crystal modeled as a series of parallel planes with distance
“d” between planes (d-spacing)
• Constructive interference of reflections creates a Bragg peak
12/30/2009 Richard E. Young 11
Bragg’s Law:
nλ = 2d sin θ
θ is the scattering angle
λ is the X-ray wavelength
d is the distance between planes
http://www.smcr.fisica.unam.mx/8temasutiles/articulosutiles/Bas-XRD.pdf)
Powder X-Ray Diffraction Advantages and
Disadvantages
• Advantages
– Well established and accepted (the gold standard)
– Rapid and simple sample analysis
– Can readily differentiate polymorphs
– Can analyze mixed polymorphs
– Quantitative and qualitative
• Disadvantages
– Sensitive to sample preparation technique
– Requires radiation license and fees to operate
– X-ray hazard
– Very expensive
12/30/2009 Richard E. Young 12
PXRD: Example of an Amorphous and
Crystalline Drug Substance Mixture
12/30/2009 Richard E. Young 13
2-Theta
3 10 20 30 40
100% Amorphous
70% Amorphous
50% Amorphous
30% Amorphous
0% Amorphous
N N
N
N
O
O O
O
F
F
F
F
O
O
O
O
RS-104253-146
PXRD: Example of Polymorph Transitions by
Temperature
12/30/2009 Richard E. Young 14
2-Theta
2 10 20 30
30 C
110 C
155 C
175 C
200 C
RO0130830-000
Cl
O
O
S
O
O
NO
O
30 °C
110 °C
155 °C
175 °C
200 °C
Multi-bounce Attenuated Total Reflectance -
FTIR
• Solid & liquid samples may be analyzed without preparation
• Solid samples are firmly clamped against crystal to provide intimate contact reducing the
distorting effect of trapped air
• ATR crystals: germanium, KRS-5, zinc selenide, silicon, diamond
12/30/2009 Richard E. Young 15
Sample
Sample clamp
Multi-bounce
ATR crystal
IR Radiation IR DetectorMirror Mirror
ATR-FTIR (with diamond) Advantages and
Disadvantages
• Advantages
– Sample holder (diamond) scratch & abrasion resistant
– Rapid sample analysis
– Minimal sample preparation required
– Quantitative and qualitative
– Can analyze mixed polymorphs
• Disadvantages– Diamond absorbs in the 2300 to 1800 cm-1 region
– Polymorph distinction is compound dependent
– Not as well established for polymorph analysis
– Expensive (diamond)
12/30/2009 Richard E. Young 16
Raman Scattering
12/30/2009 Richard E. Young 17
Scattered radiation
Rayle
igh s
catt
erin
g
Sto
kes
Anti-s
tokes
Excitation energy
(laser radiation)
Excitatio
n e
nerg
y
1
2
3
4
Vib
ratio
nal
energ
y s
tate
s
0
Sample
Rayleigh scatter
(same wavelength as excitation energy))
Raman scatter
(stokes & anti-stokes - different
wavelengths than excitation energy)
Exited e
nerg
y
sta
tes
FT-Raman Advantages and Disadvantages
• Advantages
– Rapid sample analysis
– Minimal sample preparation required
– Quantitative and qualitative
– Can analyze mixed polymorphs
• Disadvantages
– Polymorph distinction is compound dependent
– Not as well established for polymorph analysis
12/30/2009 Richard E. Young 18
Case Study 1: Ganciclovir
9-(1,3-dihydroxy-2-propoxymethyl) guanine
• Antiviral drug for the treatment for cytomegalovirus (CMV)
infections
• Four known polymorphs: Phases I, II, & III and Phase I Hydrate
• PXRD quantifiation method for Phases I, II, and III
12/30/2009 Richard E. Young 19
PXRD Patterns of Three Polymorphs of
Ganciclovir
12/30/2009 Richard E. Young 20
2-Theta
2 10 20 30 40
Ganciclovir Phase I
Ganciclovir Phase II
Ganciclovir Phase III
Phase I
Phase II
Phase III
2-Theta
Equations for Calculating Ganciclovir Phase
Percents using PXRD Analysis
12/30/2009 Richard E. Young 21
% Phase II100%
Peak I
Peak II+ 1( )
=
Slope 1
% Phase I % Phase II100% -=
% Phase II100%
Peak III
Peak II+ 1( )
=
Slope 3
% Phase III % Phase II100% -=
% Phase I100%
Peak III
Peak I+ 1( )
=
Slope 2
% Phase III % Phase I100% -=
% Phase I100%
Peak III
Peak I+ 1( )Peak II
Peak ISlope 1( )+ Slope 3
=
% Phase III =Peak III
Peak I( )Slope 3% Phase I
% Phase II % Phase I % Phase III100% - -=
If Only Phases I & II
If Only Phases II & III
If Only Phases I & III
If All Three Phases (I, II, & II)
Phase I Phase II Phase III
Quantifation of Standards of Ganciclovir
Polymorph Mixtures by PXRD (Set A)
12/30/2009 Richard E. Young 22
Ratios Phase I Phase II Phase III
05/95/00 -3.39 3.39 0.00
10/00/90 -1.16 0.00 1.16
45/50/05 -3.64 3.59 0.06
20/75/05 -5.49 6.23 -0.74
60/35/05 -3.78 3.40 0.38
70/05/25 -1.38 -0.48 1.86
80/10/10 -2.21 0.05 2.16
00/95/05 0.00 0.65 -0.65
95/05/00 0.06 -0.06 0.00
95/00/05 -0.45 0.00 0.45
Quantifation of Standards of Ganciclovir
Polymorph Mixtures by PXRD (Set B)
12/30/2009 Richard E. Young 23
Ratios Phase I Phase II Phase III
05/95/00 -5.75 5.75 0.00
10/00/90 0.04 0.00 1.76
45/50/05 -11.04 9.38 1.66
20/75/05 -8.21 7.35 0.87
60/35/05 -5.92 4.86 1.06
70/05/25 -5.25 -0.08 5.32
80/10/10 -2.06 0.55 1.51
00/95/05 0.00 -0.41 0.41
95/05/00 0.20 -0.20 0.00
95/00/05 0.23 0.00 -0.23
Phase I Phase II Phase III
ATR-FTIR Spectra of Three Polymorphs of
Ganciclovir
12/30/2009 Richard E. Young 24
Salari, A. and R. Young, "Application of Attenuated Total Reflectance FTIR Spectroscopy to the Analysis of
Mixtures of Pharmaceutical Polymorphs," International Journal of Pharmaceutics, 163, 157-166 (1998).
Phase I
Phase II
Phase III
Ganciclovir Polymorph Calibration Standards
• Single Phase Standards
I, II, & III
• Binary Phase Standards
I & II I & III II & III
Three sets: 5, 10, 25, 50, 75, 90, 95 wt% each
• Ternary Phase Standards
I, II, & III
– Six mixtures consisting of 10, 30, 60 wt% each
– One mixture of 33.3 wt% each
12/30/2009 Richard E. Young 25
Int J of Pharm 163, 157-166 (1998)
ATR-FTIR Ganciclovir Polymorph Calibrations
Using Partial Least Squares
12/30/2009 Richard E. Young 26
Phase I r2 = 0.962
Phase II r2 = 0.964
Phase III r2 = 0.972
Int J of Pharm 163, 157-166 (1998)
FT-Raman Spectra of Ganciclovir Polymorphs
12/30/2009 Richard E. Young 27
Phase I
Phase II
Phase III
Quantifation of Standards of Ganciclovir
Phase I Polymorph by ATR & FT-Raman
12/30/2009 Richard E. Young 28
Actual
wt%
Mean Stnd Dev Difference
ATR RAM ATR RAM ATR RAM
0.0 2.8 -1.2 4.0 2.0 -2.8 1.2
5.0 7.6 6.6 5.7 2.2 -2.6 -1.6
10.0 8.3 12.2 1.8 2.4 1.7 -2.2
25.0 21.8 26.9 3.5 1.5 3.2 -1.9
30.0 19.7 32.2 1.8 3.3 10.3 -2.2
33.3 25.2 33.5 0.8 3.8 8.1 -0.2
50.0 50.9 54.2 5.2 4.3 -0.9 -4.2
60.0 56.3 65.2 3.2 2.8 3.7 -5.2
75.0 71.6 75.9 9.2 5.2 3.4 -0.9
90.0 92.4 88.8 8.8 3.3 -2.4 1.2
95.0 95.0 93.1 1.2 3.7 0.0 1.9
100 106 99.3 3.2 3.2 -6.0 0.7
ATR Raman
Int J of Pharm 163, 157-166 (1998)
Quantifation of Standards of Ganciclovir
Phase II Polymorph by ATR & FT-Raman
12/30/2009 Richard E. Young
Actual
wt%
Mean Stnd Dev Difference
ATR RAM ATR RAM ATR RAM
0.0 -0.9 0.0 4.3 1.6 0.9 0.0
5.0 4.0 4.5 1.3 1.1 1.0 0.5
10.0 12.5 10.0 2.8 0.7 -2.5 0.0
25.0 29.2 26.6 3.0 2.6 -4.2 -1.6
30.0 32.6 28.4 3.8 2.0 -2.6 1.6
33.3 39.8 33.0 3.0 2.7 -6.5 0.3
50.0 47.0 47.0 5.4 4.6 3.0 3.0
60.0 66.8 56.2 2.7 2.9 -6.8 3.8
75.0 73.0 76.8 8.8 2.2 2.0 -1.8
90.0 87.1 89.3 8.0 1.3 2.9 0.7
95.0 89.1 94.2 10.5 1.5 5.9 0.8
100 94.0 102 9.7 1.7 6.0 -2.0
ATR Raman
29
Int J of Pharm 163, 157-166 (1998)
Quantifation of Standards of Ganciclovir
Phase III Polymorph by ATR & FT-Raman
12/30/2009 Richard E. Young 30
Actual
wt%
Mean Stnd Dev Difference
ATR RAM ATR RAM ATR RAM
0.0 2.9 1.30 5.6 2.3 -2.9 -1.3
5.0 4.8 6.1 1.3 2.5 0.2 -1.1
10.0 12.6 9.50 5.8 1.7 -2.6 0.5
25.0 22.2 21.8 6.9 1.9 2.8 3.2
30.0 27.3 27.4 0.6 5.3 2.7 2.6
33.3 33.9 33.5 3.2 1.5 -0.6 -0.2
50.0 48.1 47.1 6.6 3.5 1.9 2.9
60.0 62.8 60.1 7.3 2.2 -2.8 -0.1
75.0 75.4 73.4 6.4 2.9 -0.4 1.6
90.0 89.1 88.8 7.6 3.5 0.9 1.2
95.0 95.9 92.9 2.0 3.4 -0.9 2.1
100 102 107 7.7 0.4 -2.0 -7.0
ATR Raman
Int J of Pharm 163, 157-166 (1998)
Ganciclovir Polymorph Validation Mixtures
12/30/2009 Richard E. Young 31
Validation
Mix ID
Phase I
(wt%)
Phase II
(wt%)
Phase III
(wt%)
Phase I 100 0.0 0.0
Phase II 0.0 100 0.0
Phase III 0.0 0.0 100
Mix 1 5.6 21.2 73.2
Mix 2 7.3 9.8 82.8
Mix 3 14.2 43.1 42.7
Mix 4 14.1 78.6 7.4
Mix 5 26.8 56.0 17.2
Mix 6 33.6 11.4 55.0
Mix 7 40.8 18.2 41.0
Mix 8 46.4 32.9 20.7
Mix 9 46.5 28.2 25.4
Mix 10 58.2 18.2 23.5
• One of Each Pure Phase
– 100 % Phase I
– 100% Phase II
– 100% Phase III
• Ternary Phase Mixtures
– Ten mixtures of all three
phases in varying
amounts
Int J of Pharm 163, 157-166 (1998)
Quantifation of Validation Mixes of Ganciclovir
Phase I Polymorph by ATR & FT-Raman
12/30/2009 Richard E. Young 32
Validation
Mix ID
Actual
wt%
Calc wt% Difference
ATR RAM ATR RAM
Phase I 100 102 99.3 -2.0 0.7
Phase II 0.0 3.2 -2.7 -3.2 2.7
Phase III 0.0 5.6 -4.6 -5.6 4.6
Mix 1 5.6 9.0 6.9 -3.4 -1.3
Mix 2 7.3 9.0 9.7 -1.7 -2.4
Mix 3 14.2 21.4 10.2 -7.2 4.0
Mix 4 14.1 12.5 14.3 1.6 -0.2
Mix 5 26.8 23.6 27.4 3.2 -0.6
Mix 6 33.6 39.5 44.8 -5.9 -11.2
Mix 7 40.8 45.6 42.2 -4.8 -1.4
Mix 8 46.4 47.7 45.9 -1.3 0.5
Mix 9 46.5 47.2 49.9 -0.7 -3.4
Mix 10 58.2 61.5 59.7 -3.3 -1.5
ATR Raman
Int J of Pharm 163, 157-166 (1998)
Quantifation of Validation Mixes of Ganciclovir
Phase II Polymorph by ATR & FT-Raman
12/30/2009 Richard E. Young 33
Validation
Mix ID
Actual
wt%
Calc wt% Difference
ATR RAM ATR RAM
Phase I 0.0 -2.1 -0.1 2.1 0.1
Phase II 100 104 102 -4.0 -2.0
Phase III 0.0 1.2 -2.7 -1.2 2.7
Mix 1 21.2 22.0 21.7 -0.8 -0.5
Mix 2 9.8 11.1 10.0 -1.3 -0.2
Mix 3 43.1 46.0 47.8 -2.9 -4.7
Mix 4 78.6 86.8 82.4 -8.2 -3.8
Mix 5 56.0 65.9 58.4 -9.9 -2.4
Mix 6 11.4 7.2 4.9 4.2 6.5
Mix 7 18.2 22.7 17.7 -4.5 0.5
Mix 8 32.9 37.5 34.5 -4.6 -1.6
Mix 9 28.2 35.4 28.1 -7.2 0.1
Mix 10 18.2 21.1 18.1 -2.9 0.1
ATR Raman
Int J of Pharm 163, 157-166 (1998)
Quantifation of Validation Mixes of Ganciclovir
Phase III Polymorph by ATR & FT-Raman
12/30/2009 Richard E. Young 34
Validation
Mix ID
Actual
wt%
Calc wt% Difference
ATR RAM ATR RAM
Phase I 0.0 -1.1 0.8 1.1 -0.8
Phase II 0.0 -6.7 0.3 6.7 -0.3
Phase III 100 94.1 107 5.9 -7.0
Mix 1 73.2 68.5 71.4 4.7 1.8
Mix 2 82.8 80.3 80.3 2.5 2.5
Mix 3 42.7 32.2 42.0 10.5 0.7
Mix 4 7.4 0.7 3.2 6.7 4.2
Mix 5 17.2 10.2 14.1 7.0 3.1
Mix 6 55.0 54.7 50.3 0.3 4.7
Mix 7 41.0 31.6 40.0 9.4 1.0
Mix 8 20.7 14.3 19.6 6.4 1.1
Mix 9 25.4 17.0 22.0 8.4 3.4
Mix 10 23.5 17.6 22.2 5.9 1.3
ATR Raman
Int J of Pharm 163, 157-166 (1998)
Summary of Case Study 1
Three Polymorphs of Ganciclovir
• ATR and Raman have the capability to quantify complex
mixtures of polymorphs
• ATR and Raman produced quantitative results comparable to
the PXRD
• The Raman, in general, gave smaller differences than ATR or
PXRD
12/30/2009 Richard E. Young 35
Case Study 2: Anhydrate and Hydrate Phases
of a Roche Research Compound in Tablets
Research Compound & excipients (50:50) in 150-mg
tablets
• Anhydrate (“Phase A”)
• Hydrate (“Phase B”)
• Excipients (“Placebo”): Pharmatose 350M, Povidone K30,
Ac-Di-Sol, Avicel PH102, magnesium stearate
12/30/2009 Richard E. Young 36
Identification and quantification of two phases of a Roche
research compound in the presence of excipients
PXRD Patterns of Phase A, Phase B,
and Placebo
12/30/2009 Richard E. Young 37
PXRD Patterns of Polymorph Standards
(% Phase B in Phase A & Placebo)
12/30/2009 Richard E. Young 38
Phase A
9.0 2θ
Phase B
13.1 2θ
PXRD Reference Intensity Ratio (RIR)
Technique for Two Polymorph Mixtures
• wt% B is the weight percent of Phase B in the sample
• m is the slope of the line of the (XB / XA) vs (IB / IA) linear regression
• IA is the peak height of the Phase A peak at 9.0 2θ in the sample
• IB is the peak height of the Phase B peak 13.1 2θ in the sample
12/30/2009 Richard E. Young 39
wt% B = 100 %
1 + (m × IA÷ IB)
PXRD RIR Slope Determination for Weight%
Ratio Versus Peak Intensity Ratio
12/30/2009 Richard E. Young 40
(XBXA) = 1.976 × (IB/IA) – 0.0013 r2 = 0.991
0
0.2
0.4
0.6
0.8
1
1.2
1.4
1.6
1.8
2
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8 0.9 1
Weig
ht
% R
ati
o (
XBX
A)
2θ Peak-Height Ratio (IB/IA )
ATR-FTIR Spectra of Phase A, Phase B,
and Placebo
12/30/2009 Richard E. Young 41
Placebo
Phase A
Phase B
FT-Raman Spectra of Phase A, Phase B,
and Placebo
12/30/2009 Richard E. Young 42
Placebo
Phase A
Phase B
ATR-FTIR and FT-Raman Polymorph
Calibrations
12/30/2009 Richard E. Young 43
ATR-FTIR r2 = 0.989
FT-Raman r2 = 0.970
Calculated vs Actual Plot - Phase B
Corr. Coeff.: 0.99445 RM SEC: 1.54
Calibration
Validation
Correction
-2 51Actual
-25
1C
alc
ula
ted
Calculated vs Actual Plot - Phase B
Corr. Coeff.: 0.98488 RM SEC: 2.53
Calibration
Validation
Correction
-2 51Actual
-25
1C
alc
ula
ted
Determined Weight% of Phase B by
PXRD, ATR-FTIR, and FT-Raman
12/30/2009 Richard E. Young 44
Sample ID PXRD ATR-FTIR FT-Raman
Rep-1 0.0 1.7 2.2
Rep-2 0.0 0.0 -0.10
Rep-3 0.0 1.0 0.7
Rep-4 0.0 2.0 1.8
Rep-5 0.0 2.0 2.4
Mean 0.0 1.3 1.4
Stnd. Dev. 0.000 0.853 1.07
Lot 1: 0 wt% Phase B
Determined Weight% of Phase B by
PXRD, ATR-FTIR, and FT-Raman
12/30/2009 Richard E. Young 45
Sample ID PXRD ATR-FTIR FT-Raman
Rep-1 12 12 16
Rep-2 12 12 10
Rep-3 11 14 15
Rep-4 11 15 16
Rep-5 12 14 17
Mean 12 13 15
Stnd. Dev. 0.548 1.34 2.77
Lot 2: 10 wt% Phase B
Summary of Case Study 2
Two Polymorphs of a Research Compound
• PXRD produced quantitative results superior to either ATR or
Raman.
• ATR produced quantitative results superior to Raman
• Another chemometric calibration method might work improve the
vibrational spectrocopic results
12/30/2009 Richard E. Young 46
Conclusions
• All of the Techniques (PXRD, ATR, Raman) are Non-destructive
• All of the Techniques can be Applied to APIs as well as Drug Products
• The Vibrational Techniques (ATR and FT-Raman) have Demonstrated
Capabilities for Quantification of Complex Polymorph Mixtures
• The Superiority of a Particular Technique for Quantification is on a
Case by Case Basis
12/30/2009 Richard E. Young 47
Acknowledgements
• Amid Salari
• Kewei Xu
• Fujun Li
• Tobin Koppelmaa
• Lourdes Javier
• Lilia Limon
12/30/2009 Richard E. Young 48
Questions
12/30/2009 Richard E. Young 49