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Why and how to carry out thermal characterization of a product before lyophilization?
During the stages that precede lyophilization of a product, it is important to characterize it as fully as possible. Depending on its nature, a whole battery of analyses will be conducted which will identify its size, its shape, its concentration, its structure, its activity; or any other information which will allow it to be understood in the smallest detail.
The golden rule in lyophilization is never to add an ingredient if its value in the lyophilization cycle has not been clearly determined. Thermal characterization contributes to the understanding of the behavior of the product during the lyophilization cycle.
1. Why carry out thermal characterization of the product?
Lyophilization consists of a water sublimation process. By definition, the water must be solid, therefore frozen before being sublimated. But what about the solute! Current standards impose cosmetic criteria on the lyophilized cake. Broadly, the lyophilized product must resemble a very compact powder, if possible adherent to the white walls, etc.
If the solute is not solidified, the image that I like to use is to consider the solute as scaffolding that we have imprisoned in ice with having bolted it together beforehand: if I remove the ice then my scaffolding collapses.
In lyophilization, this collapse generally happens when the product exceeds a certain temperature during the primary drying phase, that is the phase in which the solution water will be removed. If I do not know this temperature, which is specific to the product, then it will be difficult to determine the ideal shelf temperature and the working pressure that must be used during the lyophilization cycle. Indeed, it is commonly accepted that the ideal working pressure in the lyophilizer chamber is between 20 and 50% of the pressure of steam at the surface of the lyophilization cake. This steam pressure is dependent on temperature; without knowing this, it is difficult to determine the ideal pressure. QED! In other words, it is like having a GPS in your car without having the address to be entered!
We note also that a correctly composed lyophilization cake that is not collapsed will also have an impact on the efficacy of secondary drying and the said extraction of water associated with the product. It is also possible to note, in the case of collapse, a slight coloration of the lyophilizate caused by Maillard reactions, let us say a slight caramelization of the product, which is obviously not desired.
2. Which temperatures should be characterized?
Ideally we are seeking to know from which temperature in the product we risk observing the collapse of the lyophilization cake. In other words, when and why the cheese soufflé will deflate when it comes out of the oven!
3 temperatures must be defined: the eutectic temperature ET, the glass transition temperature Tg’ and the collapse temperature TC.
The ET defines exclusively a crystalline product and the Tg’ characterizes an amorphous product. There is no need to know precisely the difference between crystalline and amorphous. However and to use another image, if I have a pallet of well stacked bricks delivered to my house, the assembly is crystalline; I push the bricks into my garden, the assembly is amorphous even if individually each brick remains crystalline.
By experience, less than one product in 100 that we analyze in our laboratory displays a crystalline characteristic therefore an ET! We note in passing that often, the term “eutectic temperature” is used to speak of the critical temperature; which in most cases represents an error of language since we should rather speak by default of Tg’ therefore of the glass transition temperature!
3. Should we speak of eutectic melting or viscous flow?
If the product is crystalline, and consequently an ET has been defined, then, if the temperature at
the center of the product exceeds the ET during primary drying, we will speak of eutectic melting.
This is the example of our scaffolding which will collapse suddenly. The product will doubtless resemble a caramel at the bottom of a well, probably with droplets at the edge of containers above the initial filling level, a sign of partial boiling during the cycle.
If the product is amorphous, the most probable case, then a Tg’ has been defined and we will speak of viscous flow. The product will soften with increasing temperature, rather like a piece of modeling clay that is being stretched would do; it will progressively extend until it’s possibly breaks. The product then displays non-regular reductions in diameter across the whole of the cake for example.
When we measure a Tg’, depending on the method and equipment, there may be slight variability. Either I take into account the moment when I feel that the resistance of my modeling clay is beginning to give way (onset), or the moment when I no longer feel the resistance of the clay but it continues to stretch without breaking (offset). Most often, the analysis suggests to us a midpoint Tg’ measurement, that is between onset and offset. Whatever the case, it is important to note with regard to an amorphous product, that if there is a collapse, then it will necessarily occur after the analyzed Tg’ value. Therefore, in order to be able to define the highest possible collapse temperature (to be able to work at the highest possible shelf temperature), it is preferable to accompany the Tg’ analysis with an additional analysis.
It involves determining the collapse temperature Tc which will be necessarily equivalent to or higher than the Tg’, in order not to deprive oneself of the possibility of gaining several °C during the cycle, without however affecting the quality of the lyophilization cake.
4. What are the different methods of thermal characterization?
The most common method used to determine the nature of the product (ET or Tg’), is probably DSC (Differential Scanning Calorimetry). DSC measures the flow of heat “in & out” of a sample over a temperature range in comparison with a reference sample, most often empty. Currently, modulated DSC “mDSC” will generally be preferred to DSC. mDSC allows the generation of temperature ramps with a regular wave that enables the differentiation of reversible thermal transitions (glass transition) from non-reversible transitions (eutectic melting). MDSC will therefore allow the dissociation of thermal events within the product which will not be observable in classic DSC. mDSC effectively allows the separation of concurrent events; observable for example with histidine, mannitol or glycine.
A publication of Biopharma Technology Ltd (BTL), DSC vs mDSC**, compares among other things the results of the analyses of an aliquot of 20μL of a solution (1) of Mannitol 5% at 50.49mg/ml and of a mixed solution (2) of Mannitol 2.5% at 25.24mg/ml + Glycine 2.5% at 25.55mg/ml. The analysis of the two solutions was performed on a TA instruments Q100 mDSC and a Linkam DSC450 station with LNP96 and T96 controllers.
The analysis is conducted according to the following protocol:
Step 1: ramp of 20°C/min to -70°C, then 5 min stabilization at -70°C
Step 2: ramp of 5°C/min to 20°C
For the mDSC analysis, modulations @ 3°C/min.
The mDSC analysis of the mannitol solution (1) shows a single crystallization event on the non reversing heat flow line at -26.5°C with a peak at -23.6°C then melting of the solvent at -2.6°C (Figure 1). While its DSC450 analysis shows a crystallization event at -25.3°C with a peak at -24.2°C then melting of the solvent at -3°C (Figure 2). Which is completely comparable.
The mDSC analysis (2) of the mannitol/glycine solution revealed several events starting with the onset of the glycine glass transition at -46.3°C; and therefore, a change in mobility which caused crystallization of the glycine at -43.8°C. The glass transition of mannitol then began at around -34.8°C then its crystallization at -34.1°C. The DSC450 revealed only the two crystallization events at -43.7°C and -33.5°C respectively, events almost concurrent with the two glass transitions, making them very difficult to observe.
There is a third possibility, DTA-impedance measurement (Differential Thermal Analysis and impedance analysis). This analysis is conducted on a Lyotherm, a device developed by Biopharma Process Systems and the late Professor Louis Rey, that in the 2000s, transferred its lyophilization activity to the Centre de Ressources Technologiques, Aerial.
DTA operates on the same principle as DSC but measures the temperature differential in place of heat flow. The Lyotherm also measures the impedance value (Z) which among other things, allows the observation of other transitions of the product potentially the cause of micro events such as micro collapses for example. This is why we prefer this method since we will draw more information from it.
In this example we observe on the pink impedance line the beginning of the softening of the frozen matter that the red DTA line would not have let us anticipate. It happens in fact that the increased mobility of the material detected in impedance analysis appears at a temperature significantly lower than the detection of the collapse temperature Tc measured by cryomicroscopy as shown in the table below.
As the aim is to acquire the maximum possible amount of information about the product, this is why I recommend DTA-impedance and the Lyotherm analysis rather than mDSC or classic DSC. However the choice of one or more methods to be used must take account of the following considerations:
– An mDSC or DSC analysis requires 20μL of product while DTA-impedance requires 4 to 6 mL of product. The volume necessary to carry out the analysis will perhaps be a selection criterion to the detriment of the analysis.
– Once dry, you should carry out new thermal characterization analyses this time to determine the Tg and no longer the Tg’. This vitreous transition of the dry product will allow you to determine the critical storage temperature of your product. This analysis is generally done by DSC or mDSC. Thus, a single piece of equipment will allow you to perform both analyses.
– DTA-impedance measurement is by nature the most complete and the most indicated method specific to lyophilization applications; particularly if your thermal characterization dossier feeds into your acceptance testing validation dossier.
5. Cryomicroscopy analysis dedicated to lyophilization (Lyostat)
We have seen previously that most products will generally reveal a glass transition temperature Tg’. Completion of the analysis by cryomicroscopy, or more precisely lyophilization cryomicroscopy (Lyostat), will then be highly recommended, to determine among other things the collapse temperature, Tc.
This involves observing a droplet of product under a thin slide, this slide is placed in a cell under vacuum on a plate whose temperature can be regulated. Thus it is possible to observe the sublimation front of a thin layer of product in the lyophilization cell.
1 to 2μL of sample is deposited on the quartz slide mounted on a silver block. The sample is then covered with a glass coverslip above a 70μm spacer as follows:
The sample is then stabilized at low temperature, generally -50°C, then a vacuum is created in the cell to generate the dry matter on the sublimation front. The temperature is then gradually increased until a deterioration of the sublimation front is induced. This is detected visually, but there are now image analysis software options that automatically determine the temperature from which deterioration of the sublimation front appears.
It is possible, from the observation made in Figure 5, to lower the temperature of the plate again to re-establish the structure of the frozen sample to refine the reading of the collapse temperature and so to define it with greater accuracy as presented in Figure 6.
Cryomicroscopy dedicated to lyophilization has other benefits. For example, it will allow visualization of micro collapses in mixtures. This can occur particularly during eutectic melting of crystalline elements within a rigid amorphous structure, or the reverse, that is to say viscous flow of amorphous elements within a rigid crystalline structure.
Figure 7 shows a glucose 1%/mannitol 2% mixture where we can see areas of micro collapse at around -41°C, that is the temperature close to the approximate Tc of glucose.
Crust formations can be also observed on the product surface. As in the example in Figure 7b.
Some materials may display several critical temperatures and coexist naturally in amorphous and crystalline form. They may be defined in the literature as being metastable. Mannitol displays this characteristic and while we estimate its glass transition temperature Tg’ to be in the vicinity of -32°C, as it is very difficult to measure, we know the eutectic temperature of its crystalline form at -1.4°C. We therefore understand the benefit of working in lyophilization with crystalline mannitol which will allow us to envisage higher working temperatures and therefore potentially a shorter cycle duration. In this type of situation it may be of value to envisage an “annealing” consisting in:
1) reducing the temperature below the Tg’,
2) stabilizing,
3) raising the temperature to a point between the Tg’ and the ET,
4) stabilizing.
The annealing carried out in this way should make it possible to opt for thermal processing of mannitol in its crystalline form.
If your cryomicroscope is equipped with a polarizer then the formation of the crystalline form will generate an observable color change. It is therefore possible to use the cryomicroscope to establish the potential benefit (or not) of carrying out annealing, at different temperatures.
The example in Figure 8 is a mannitol solution that was first frozen then brought to -5°C.
Conclusion
If you wish to establish a validated lyophilization acceptance test, it seems very difficult not to carry out a complete thermal characterization of the product, unless you perform numerous tedious tests until deterioration is observed in your lyophilization cakes. As the approach consists in defining as many characteristics as possible in advance that may affect the behavior of the product during lyophilization, it will allow you to anticipate the numerous pitfalls to be avoided and also to develop your knowledge and your control of the process.
The purpose of this article was to present the different recommended methods of thermal characterization. I believe the ideal combination for your thermal characterization consists in carrying out an analysis by DTA-impedance measurement (as long as you have enough product) followed by cryomicroscopy. Cryomicroscopes which today may be fitted with a DSC station. Thus, complete thermal characterization of the product will allow you to anticipate numerous non-conformities and pitfalls and also to have a complete validation dossier that is justified scientifically.
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Antoine BABIN – Biopharma Technologies France
antoine.babin@biophamatech.fr
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