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Process Analytical Technology (PAT) in Pharmaceutical

Development
Posted : June 20, 2012 in Share 1 Email Print Comments (
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Abstract
The first steps in an Analytical Quality-by-Design (AQbD) method development include understanding the analysis
needs (e.g., purpose, specificity, sensitivity, cycle time, on-line/off-line, qualitative/quantitative, accuracy,
precision) and selection of the technique (which is at the receiving lab) that will meet these criteria. One set of
analytical tools applied during the development and scale-up of drug substances and dosage forms include in-situ
analytics, chemometrics and modeling (i.e., Process Analytical Technology (PAT) tools. Although the tools are
similar, the performance requirements, approaches and drivers for using PAT in development can differ
significantly from those for commercial manufacturing. In-situ analytics provides the potential for greater (and
faster) understanding of the process as compared to traditional off-line analyses. Qualitative or semi quantitative
analyses are often sufficient during process development, and the speed of data analysis is often of highest
importance. The ability to monitor in real-time is invaluable during process development, process understanding
and scaleup. PAT contributes to a greater understanding of the process design space in a Quality-by-Design
(QbD) framework. PAT that measures critical quality attributes (CQA) may be progressed commercially for
process control. However, the majority of PAT applications that are developed for process understanding will not.
This article will provide an overview of typical API/DP PAT toolboxes and discuss case studies in which PAT has
been utilized during the development of pharmaceutical candidates.
Introduction
Quality-by-Design (QbD) is well-established in development and manufacture of pharmaceutical drug substance
and drug productand is discussed in ICH Q8 [1], Q9 [2] and Q11 [3]. The outcome of QbD is a well-designed and
understood quality product that consistently delivers the intended performance. The knowledge obtained during
development helps justify the establishment of a design space, (process) control strategy and set point within the
(regulatory approved) design space. Materials made within the design space will produce an acceptable product,
and changes within the design space are (regulatory) acceptable.
These same principles and concepts have been applied to the development of analytical methods, and termed
Analytical QbD (AQbD). AQbD development for chromatographic methods have been described in detail [4-10].
Analogous to process QbD, the aim of AQbD is to design a well-understood, robust method that consistently
delivers the necessary performance as described in the analytical target profile (ATP). One set of analytical tools
used in support of pharmaceutical development and control include insitu analytics, chemometrics and modeling
(i.e., Process Analytical Technology (PAT) tools.
PAT has been defined as a system for designing, analyzing, and controlling manufacturing through timely
measurements (i.e., during processing) of critical quality and performance attributes of raw and in-process
materials and processes, with the goal of ensuring final product quality [11]. This definition (and relation with
QbD) has been debated and discussed in many venues (e.g., conferences, social media, articles) [12,13]. In
these enthusiastic discussions, one point that is frequently overlooked is that PAT tools are firmly embedded in the
pharmaceutical workflows that underpin development and scale-up, for both drug substance and dosage forms
[14-17].
In-situ analytics offers the potential for greater (and faster) understanding of the process as compared to
traditional off-line analyses (a caveat being that not all processes are readily amenable or require real time
assessments). Development of chemometric models for quantitative analyses are seldom required during process

development (as processes are still being developed, the need for control methods are premature), and the speed
of data analysis (to allow impact to the next set of experiments) is often more important. The ability to monitor insitu and in near real time is invaluable during product development. For example, the following detailed objectives
are frequently requested:
When does a product form and at what rate?
When does a reactant disappear?
Does the reaction proceed via a reactive intermediate?
When does crystallization start and what factors control rates?
What polymorphic form(s) occur during processing?
How does the homogeneity of a blend change with time?
When does wet granulation reach an end point?
How does the tablet potency change during a run?
PAT tools are routinely applied to develop a greater understanding of the process design space under a Qualityby-Design (QbD) framework. The use of PAT tools helps enable the development of robust processes, processes
that are well-understood, with process set points that are controlled within design regions that are well-away from
the edges of failure. As quality cannot be tested into a product; it should be built-in or should be by design [11],
well-designed and controlled processes may not require routine analytical measurements and feedback control
during the manufacture. A PAT tool that measures a critical quality attribute (CQA) may be implemented
commercially for process control, however there are business drivers and regulatory aspects that will contribute to
a final control strategy.
Pat Tool Boxes
Many on-line tools are routinely applied to monitor, measure or control processes. Commonly used PAT tools that
are well-integrated and routinely used in manufacturing include thermocouples and pressure
sensors. Spectroscopic tools (near infrared [18-21], mid infrared [22,23], Raman [24-27]) are utilized due to the
specificity gained by the presence of functional groups routinely found in raw materials, intermediates and drug
substances that are often not part of the matrix (e.g., solvents, excipients). This specificity can allow for qualitative
trending or the quantitative determination of the component(s) of interest. With the use of probes to connect the
spectrometer to the process, the process can be evaluated in real time. An added benefit is the reduced chance of
exposure due to manual sampling. Figure 1 shows popular tools that have been routinely applied to API
processes.
With the advent of handheld/portable
spectrometers, the identity of raw materials can be
confi rmed on the loading dock, often without
opening liners (minimization of exposure hazards).
Many tools are routinely applied to develop and
understand the synthetic route. The choice of tool
will be dependent upon the type of information
required, timeframe of analysis, reaction matrix and
chemical reactivity of the analytes of interest.
Typical information desired will include rate of
product formation (or reactant loss) and formation
of impurities (from side reactions or chemical
degradation). Measurements performed during
isolation will include solvent levels, particle size/shape and polymorphic form. The resultant material may be milled
if the particle characteristics are not appropriate for downstream processing. The finished API is subsequently put
into a dosage form manufacturing process. Figure 2 shows popular tools that have been routinely applied to solid
oral dosage form processes. Analogous to the first step of the API process, the first step is to confirm the identity of

the ingoing dosage form materials (excipients and API). An added aspect of the dosage form identity test is an
assessment of physical properties (e.g., particle size). NIR is often used to confirm chemical identity and physical
properties. The tableting process is made up of a series of blending/ mixing/lubrication steps followed by
compression and film coating. In the early process steps, the homogeneity of the mixture is most important, and
NIR is often used to determine homogeneity. During granulation steps, evaluation of polymorphic form change
and wet granulation end point are commonly tested. Once the tablets are compacted, potency assessments are
made of the finished product, and NIR and Raman are the most often employed spectroscopic tools. The types of
coating measurements are dependent upon the film coat type, functional or elegance. Film coatings can be
assessed for weight gain, or spectroscopic tools (e.g., terahertz, chemical imaging) can be used to determine
thickness.
Although the concepts, tools and approaches are similar, the (scientific and business) drivers for using PAT tools
in development can differ from those in a commercial setting. The vast majority of PAT tools and real time or insitu applications support the development and understanding of processes in a lab-based environment (or in pilot
facilities), with few transferring as quantitative measurements and feedback controls into the production plant.
Figure 3 represents this graphically as a PAT pyramid, with the PAT base and foundation set by in-situ analytics
for the development of a process. One can also compare this to a PAT iceberg, where the visible PAT activities
undervalue the vast base that underwrites the knowledge and understanding.
API Pat examples
Raman and mid infrared (MIR) spectroscopy are complementary techniques. Both have found widespread use in
the development and scale-up of API. Figure 4 shows the reaction of a thiol dosed into a bromobenzene
compound. Raman was chosen for this reaction, as there is a strong band at 292cm-1 (CBr vibration). Monitoring
at 292cm-1 will show the debromination of reactant (1) as it is consumed (either degraded or reacted) to form
product (3). The S-H band can also be monitored by Raman during this reaction. By monitoring at 2582cm-1, the
addition of reactant (2) can be monitored followed by its consumption. In this case, following the consumption of
both raw materials, the endpoint can be determined and adjusted during process refinement. The Raman trend
tells the chemist the reaction is dose controlled, and rapid. The entire reaction takes approximately 5 minutes
from reactant (2) addition to reaction completion.

Figure 5 shows the trend plot for a continuous

reaction forming an oxazole using MIR. The
formation of the product is observed at 1570 cm-1.
In this reaction, off-line HPLC is used to confirm the
MIR results. From the trend plot, steady state is
achieved around 70 percent yield. One benefit of
continuous processing is the ability to rapidly
change and evaluate the impact of process
parameters on quality attributes. In this case, a
subsequent change in the process parameters
resulted in a decreased yield. The yield is just one
quality measurement, and the impact will be
determined in combination with other
measurements, for instance purity data, and the
purgability of the resultant impurities.
Drug Product Blend Monitoring
The spectral homogeneity of blends can be easily
monitored using near infrared (NIR) spectroscopy
[28,29]. (Note: spectral homogeneity is defined as
when changes in the blend composition are less
than what can be detected by the instrument and
measurements are no longer changing, e.g.,
system steady state/ equilibrium is achieved).
Figure 6 shows the trend plot for API level in three
blends. Note that the level of the API rapidly comes
to steady state (spectral homogeneity) for all
blends within approximately 75 blender rotations.
With the NIR spectrometer, other components can
generally be monitored as well. Although the
uniformity of the blend is critical for a quality
dosage form, blending is seldom a quality concern
requiring the routine use of an on-line tool. The use
of PAT is useful for fault detection and identification
of root causes if manufacturing issues occur.
Drug Product Content Uniformity (Cu)
NIR is used for dosage form potency assessments
(content uniformity testing) [30,31] and Raman is
also finding use [32,33]. The samples can be
evaluated by qualitative trending, or a quantitative
determination can be made. As NIR is sensitive to
both chemical and physical properties of the material, appropriate variance must be built into the model prior to
use, and diagnostics used to ensure the test material falls within the model. Calibrator tablets are generated for
the purpose of systematically adding the variance to the model [34]. Typical sources of variance will include API
percentage, hardness, weight, water content, and excipient source (Figure 8).
The manufacture of calibrator tablets is not generally performed until the formulation and manufacturing process
is set, and qualitative trending is often sufficient in developing and understanding the process (quantitative data
can be generated using other analytical techniques).
Water Content

NIR has very good specificity for water, and has found widespread use for this analysis [35-37]. If technically
feasible, the same spectra used to confirm tablet
identify can be re-purposed for the determination of
water content and also tablet potency. The ability to
rapidly test for tablet identity, potency and water
content has contributed to real time release testing
(RTRt). Figure 7 shows the NIR spectra (raw and
processed) for a drug product. The red boxes show
the spectral regions for the water bands. Each
spectrum was taken through a (glass) vial to
minimize staff exposure to the material and to
reduce environmental impacts to the sample water
level. The data can be used for trending the water
content in each vial, or with the creation of a
calibration curve developed using a reference
method (e.g., Karl Fischer), quantitative data for
each vial. This type of non-destructive testing has
significant advantages over destructive methods as
the materials can subsequently be evaluated by
other analytical methods. Consequently, this allows
a 1:1 correlation of water data with another attribute
(for instance purity). If the material stability is
related to moisture content, the contents of an
environmentally compromised container could be
identified by NIR (results a high water content) and
visually inspected prior to performing any additional
testing (fault detection).
Feed Forward Controllers
Raw material variability can be a significant factor
to product variability in the absence process adjustments to account for this variable input [38]. The use of feed
forward controllers can allow for the adjustment of the process within the design space to compensate for (or
reduce the impact of ) the raw material variability on the final quality attributes of the product. This can be done
prior to the initiation of the process (which differs from feedback controllers which modify process conditions
based upon observations (measurements) during the process). In the course of the development of the process,
the impact of the raw materials can be assessed along with the process understanding DoE studies to achieve a
correlation between the raw material attributes, process parameters and product quality attributes [39,40]. Figure
8 shows an example of a Principal Component Analysis (PCA) scores plot of raw material certificate of analysis
data.
This PCA can be used to select material lots with differing properties for inclusion into DoE studies. Via
development of simulators, process parameters can subsequently be simulated to minimize the resultant product
variability prior to initiating the manufacture. This approach can be utilized to reduce lot to lot product variability
without the incorporation of in-situ analytics during the manufacture.
Conclusions
PAT tools (e.g., in-situ analytics and modeling) are well-established and are habitually used within the
pharmaceutical community in the development, understanding and optimization of rugged processes (at various
scales). With the understanding gained, in laboratory-based and pilot settings, via a QbD framework, sufficient
understanding around process design space will facilitate the development of the control strategy. A PAT tool that
measures a critical quality attribute (CQA) may be implemented commercially for process control; however there
are business drivers and regulatory aspects that will contribute to the final control strategy.

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Authors Biographies
George Reid, Ph.D., is a Research Fellow in the Quality-by-Design Method Development group at Pfizer
Worldwide Research and Development in Analytical Research and Development. In this role, he has
responsibilities in the area of separation science, spectroscopy and process modeling/understanding.
George obtained his Ph.D. in Analytical Chemistry from the University of Missouri - Rolla under Professor Daniel
Armstrong and his B.S. in biochemistry at Beloit College.
Howard W. Ward II is a Principal Scientist in the Development Analytics API group at Pfizer Worldwide Research
and Development in Analytical Research and Development. In this role, he has responsibilities in the area of
spectroscopy/PAT to aid in process understanding and control during both API route selection and scale up. Will
has extensive experience in PAT for API and drug product, spectroscopy (NIR, MIR, Raman, UV-Vis),
chemometrics and automation.
Will obtained his B.S. in Chemical Engineering from the University of New Haven.
Andrew Palm is a Scientist in the Development Analytics API group at Pfizer Worldwide Research and
Development in Analytical Research and Development. In this role, he has responsibilities in the area of
spectroscopy/PAT to aid in process understanding and control during both API route selection and scale up. Andy
has experience in spectroscopic method development (MIR, Raman), particulate analysis and PAT for API. Andy
obtained his B.S. in Chemistry from the University of Delaware.
Koji Muteki, Ph.D., is a Principal Scientist in the Quality-by-Design Method Development group at Pfizer
Worldwide Research and Development in Analytical Research and Development. He received his Ph.D. in
Chemical Engineering in 2006 from the McMaster University (Ontario, Canada) with Professor John. F.
MacGregor. His interests include QbD, PAT, Chemometrics, Scale-up, Process Optimization and Advanced

Process Control.