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This special edition of the Journal of Pharmaceutical Sciences is dedicated to Professor Raj Suryanarayanan (Professor and WilliamMildred Peters Endowed Chair, University of Minnesota, School of Pharmacy) and honors his extensive and distinguished career as a scientist, educator and mentor. The goal of this commentary is to provide an overview of Professor Suryanarayanan's noteworthy career path and summarize his key research contributions. The commentary concludes with the personal summaries by guest editors.

Scale-up and transfer of lyophilization processes remain very challenging tasks considering the technical challenges and the high cost of the process itself. The challenges in scale-up and transfer were discussed in the first part of this paper and include vial breakage during freezing at commercial scale, cake resistance differences between scales, impact of differences in refrigeration capacities, and geometry on the performance of dryers. The second part of this work discusses successful and unsuccessful practices in scale-up and transfer based on the experience of the authors. Regulatory aspects of scale-up and transfer of lyophilization processes were also outlined including a topic on the equivalency of dryers. Based on an analysis of challenges and a summary of best practices, recommendations on scale-up and transfer of lyophilization processes are given including projections on future directions in this area of the freeze drying field. Recommendations on the choice of residual vacuum in the vials were also provided for a wide range of vial capacities. Graphical Abstract

The freeze-drying process scale-up and transfer remain a complicated and non-uniform practice. We summarized inefficient and good practices in these papers and provided some practical advice. It was demonstrated that using the same process set points/times in laboratory and commercial scale dryers may lead to loss of product quality (collapse or vial breakage). The emerging modeling approach demonstrated practical advantages. However, the upfront generation of some input parameters (vial heat transfer coefficient, minimum controllable pressure, and maximum sublimation rate) is essential for model utilization. While the primary drying step can be transferred with a high degree of confidence (e.g., using modeling), and secondary drying is usually fairly straightforward, predicting potential changes in product behavior during freezing remains challenging. Graphical Abstract

The model glass-former glycerol and its aqueous mixtures were investigated with terahertz-time domain spectroscopy (THz-TDS) in the frequency range of 0.3--3.0\,THz at temperatures from 80--305\,K. It was shown that the infrared absorption coefficient measured with THz-TDS can be theoretically related to the reduced Raman intensity ($\propto \alpha/\omega^2$) and the reduced density of states ($\propto \alpha/\omega^3$) and the agreement with experimental results confirms this. The data were further used to investigate the behaviour of model glasses in the harmonic (below the glass transition temperature $T_{\text{g}}$), anharmonic (above $T_{\text{g}}$), and liquid regime. The onset temperature of the molecular mobility as measured by the infrared active dipoles, $T_{\text{g}}$, was found to correlate with the onset of anharmonic effects, leading to an apparent shift of the boson peak and obscuring it at elevated temperatures. The influence of clustered and unclustered water on the dynamics, the boson peak, and the vibrational dynamics was also investigated. A change in structural dynamics was observed at a water concentration of approximately 5\,wt.\%, corresponding to a transition from isolated water molecules distributed homogeneously throughout the sample to the presence of small water clusters and an increased number of water-water hydrogen bonds which lower the barriers on the potential energy surface., Comment: 13 pages, 8 figures

International audience; Properties of polyhydroxycompounds, such as sugars and polyols, which are used to stabilize various pharmaceuticals and biological objects during freezing, desiccation, and storage, depend on water content. In this investigation, glycerol-water mixtures containing 40 to 0 wt% water are studied by FTIR spectroscopy and molecular dynamics simulation. The HOH bending (approx. 1640 cm−1) band in the FTIR spectra is essentially independent of water content in the range of 0 to approx. 12 wt% water, whereas a red shift to lower wavenumbers is observed as water content increases beyond 12 wt%. Water clustering patterns, which obtained from MD simulations, show a gradual decrease of unclustered water molecules at a higher water concentration, with the corresponding increase in small (3–4 water molecules) water clusters. Large water clusters (>30 molecules) appear at 9 to 12 wt% water; at 25 wt% water, smaller water clusters disappear, with essentially all water molecules belonging to continuous water domain. The water clustering and hydrogen bonding patterns are discussed in view of fundamental physical chemical processes including proton transfer, water catalysis of chemical reactions, and freezing behavior.

Protein structural changes during freezing and subsequent thawing are of great importance to a variety of biopharmaceutical applications. In this work, we studied the influence of non-ionic surfactants (polysorbate 20 and poloxamer 188) on protein structural changes during freeze and thaw using lysozyme as a model protein. Small-angle neutron scattering was employed to characterize protein structures in both liquid and frozen solution states. The results show minimal impact of polysorbate 20 on lysozyme structures during freeze and thaw using practically relevant concentrations. Polysorbate 20 used at 0.04% (w/w) completely prevents freeze-induced aggregation of lysozyme. Poloxamer 188 seems to interact with lysozyme; when applied at high concentrations (10% w/w), such interaction prevents protein crowding or close packing typically associated with freeze concentration. Despite such interactions, lysozyme aggregation is observed with 10% (w/w) of poloxamer 188 during freezing, although the aggregation is reversed upon thawing.

Water play an important role in many structural and physicochemical properties of lyophilized proteins. Molecular dynamics simulations were employed to study the explicit water distributions on four structurally diversed proteins: insulin-like growth factor 1 (IGF1), immunoglobin G1 (IgG1), human serum albumin (HSA), and collagen. The MD simulations were combined with the literature data on water vapor sorption isotherms. To account for the heterogeneity of protein surface, the water molecules were classified into different groups according to the binding strengths. A mechanistic mathematical model was built to describe the type-II vapor sorption isotherms and successfully applied to all four model protein systems. Although commonly used Brunauer-Emmett-Teller (BET) theory has a good fitting to the experimental vapor sorption isotherms, the basic "monolayer" concept is not consistent with reality - covering too limited protein surface. Experimentally, several physicochemical properties did show a break point near the BET "monolayer" level. This study demonstrates that the water content threshold or BET "monolayer" is consistent with the onset of water cluster (n≥3) formation. Based on water distributions at different amino acid sidechains as well as the backbones, a simple formula was derived based on primary sequence and fractions of ordered secondary structures (i.e. alpha helix and beta sheet) to predict the BET "monolayer". We find that proteins with helical structural elements are more stable upon changes in water content compared to other protein architectures.

Polyhydroxycompounds (PHC) are used as lyoprotectors to minimize aggregation of pharmaceutical proteins during freeze-drying and storage.Lysozyme/PHC mixtures with 1:1 and 1:3 (w/w) ratios are freeze-dried from either HProtein interaction peak in the freeze-dried mixtures has been detected by both SANS (DProtein-protein separation distance is determined predominantly by the lyoprotector/protein weight ratio.Use of SANS and SAXS improves understanding of mechanisms of protein stabilization by sugars in freeze-dried formulations, and provide a tool to verify hypothesis on relationship between protein/protein separation and aggregation propensity in the dried state.

While water is the solvent of choice for the lyophilization of pharmaceuticals, tert-butyl alcohol (TBA) along with water can confer several advantages including increased solubility of hydrophobic drugs, decreased drying time, improved product stability and reconstitution characteristics. The goal of this work was to generate the phase diagram and determine the eutectic temperature and composition in the "water rich" region (0.0 to 25.0% w/w TBA) of TBA-water mixtures. Solutions of different compositions were frozen and characterized by low temperature differential scanning calorimetry and powder X-ray diffractometry (XRD). The thermal events observed during warming, and their characterization by XRD, enabled the generation of phase boundaries as well as the eutectic temperature and composition. While TBA crystallized as a dihydrate in frozen solutions, on heating, the dihydrate transformed to a heptahydrate. TBA heptahydrate and ice (22.5% w/w TBA) formed a eutectic at ∼-8 °C.

While proteins can often be stabilized by maintaining them in the frozen state, water-to-ice transformation can also lead to degradation of protein molecules. A new method to study protein/ice interaction is presented herein, which is based on measuring the characteristic features of X-ray diffraction (XRD) patterns of hexagonal ice (Ih). Aqueous solutions of four different proteins and several small molecular weight solutes are studied using high-resolution synchrotron X-ray diffraction at the ID22 beamline at the European Synchrotron Radiation Facility. The beamline is optimized to eliminate the instrumental broadening of diffraction lines and reduce the preferred orientation effects, thereby enabling quantitative analysis of the XRD data. The analysis demonstrates that two pharmaceutical proteins, recombinant human albumin (rHA) and monoclonal antibody (mAb), have a pronounced effect on the properties of ice crystals. In particular, the size of the crystalline domains is significantly smaller, and the microstrain is larger, in the solutions of the pharmaceutical proteins, when compared with a model protein (lysozyme), an antifreeze protein, and sucrose and histidine. Neither of the proteins studied exhibit preferred interaction with specific crystalline faces of Ih. The results are consistent with indirect interaction of the pharmaceutical proteins with ice, in which protein molecules are accumulated in the quasi-liquid layer next to growing ice crystallization front. Direct interaction would indicate a sorption of protein molecules on ice crystals, whereas “indirect interaction” terminology is used to describe any interference of proteins with ice crystals without sorption involved. Lysozyme molecules, on the other hand, do not exhibit any evidence of interaction (either direct or indirect) with ice crystals. This is the first report, to the best of our knowledge, of major difference in protein/ice interaction between different types of non-antifreeze proteins. In addition, we report an unexpected finding of a second population of ice crystals, with a much smaller (a few nm) size of crystalline domains. The second (minor) population is tentatively identified as a high-pressure form of ice, possibly IceIII or IceIX. This observation highlights a potential role of mechanical stresses and local pressure in freeze-induced destabilization of proteins.

Mannitol, a common pharmaceutical ingredient, exhibits complex polymorphism even in simple binary mannitol/water mixtures, with four crystalline forms observed. In this investigation, time/temperature-resolved synchrotron X-ray diffraction measurements are performed during freezing and thawing of mannitol/water mixtures. Mannitol crystallization depends strongly on the cooling rate and is initiated during cooling, if the cooling rate is lower than the critical cooling rate; otherwise, mannitol remains amorphous during freezing and crystallizes during subsequent heating above -30 °C. A temperature-composition phase diagram is constructed, reflecting eutectic and peritectic points and lower-temperature equilibria involving mannitol hemihydrate, hexagonal ice, and β-mannitol. Comparison of the experimental data with the phase diagram reveals that the mannitol crystallization behavior does not follow the equilibrium but appears to obey the Ostwald crystallization rule. Novel insights on equilibrium and kinetics phase relationships in mannitol/water systems could lead to improved formulations and manufacturing processes for pharmaceuticals and biopharmaceuticals.

Phase transitions of poloxamer 188 (P188) aqueous solutions at freezing temperatures are investigated using small-angle neutron scattering (SANS) and small- and wide-angle X-ray scatterings (SAXS and WAXS). It is shown that P188 solution (10%) undergoes the following sequence of phase transitions during cooling from 25 to -150 °C: micelle solution, solution of monomers, two-phase mixture of liquid crystalline mesophase + ice, and finally crystalline P188 + ice. Formation of the liquid crystalline phase during freezing is likely to be triggered by water freezing to ice and corresponding freeze concentration of the remaining solution. During heating of the frozen solutions, the sequence of the phase transitions is reversed: crystalline P188 + ice, liquid crystalline mesophase + ice, monomer solution + ice, monomer solution, and finally micelle solution. Similar phase transitions are detected for dilute solutions of P188 (1%) except that micelle formation is not observed at 25 °C, consistent with the literature reported critical micelle concentration (CMC) at this temperature. The present study provides new insight into P188 aqueous solutions at freezing temperatures and has practical implications on the design and development of pharmaceutical formulations.

Frozen and freeze-dried biotherapeutical products are exposed to various interfaces during manufacture and use. Three types of interfaces are considered in this chapter, that is, air/solution, ice/solution, and interface between dried protein formulations and the gas phase. Air/solution interfaces, in the form of air bubbles, can be formed both during freezing as the result of expulsion of dissolved air by growing ice crystals and during reconstitution of lyophiles. Protein molecules have a tendency to accumulate at the air/solution interfaces, which could promote unfolding. Ice/solution interface, which protein molecules encounter during both freezing storage and freeze-drying, can destabilize protein either directly, if protein molecules are sorbed on ice crystals or indirectly, when proteins molecules are partitioned in a liquid layer next to growing ice crystals. In spray-dried and freeze-dried formulations, higher protein concentration near the solid surface was reported in many cases; these molecules are expected to be less stable against various degradation mechanisms than those located in the bulk. It is concluded that, while good long-term stability can be expected for many frozen and freeze-dried protein formulations, freezing and drying unit operations also exposes proteins to interfacial stress conditions that can lead to degradation.

Water has a critical role in the stability of the higher-order structure of proteins. In addition, it is considered to be a major destabilization factor for the physical and chemical stability of freeze-dried proteins and peptides. Physical and chemical aspects of protein/water relationships are commonly studied with the use of water vapor sorption isotherms for amorphous lyophilized proteins, which, in turn, are commonly analyzed using the Brunauer-Emmett-Teller (BET) equation to obtain the parameters, Wm and CB. The parameter Wm is generally referred to as the "monolayer limit of adsorption" and has a narrow range of 6-8% for most proteins. In this study, the water distribution on an IgG1 surface is investigated by molecular dynamics (MD) simulations at different water contents. The monolayer of water molecules was found to have limited coverage of the protein surface, and the true monolayer coverage of the protein globule actually occurs at a hydration level above 30%. The distribution of water molecules on the IgG1 surface is also highly heterogeneous, and the heterogeneity is not considered in the BET theory. In this study, a mechanistic model has been developed to describe the water vapor sorption isotherm. This model is based on the analysis of the hydrogen bonding network extracted from the MD simulations. The model is consistent with the experimental Type-II isotherm, which is usually observed for proteins. The physical meaning of the BET monolayer was redefined as the onset of water cluster formation. A simple model to calculate the onset water level, Wm, is proposed based on the hydration of different amino acids, as determined from the MD simulations.

Although many biotech products are successfully stored in the frozen state, there are cases of degradation of biologicals during freeze storage. These examples are discussed in the Perspective to emphasize the fact that stability of frozen biologicals should not be taken for granted. Frozen-state degradation (predominantly, aggregation) has been linked to crystallization of a cryoprotector in many cases. Other factors, for example, protein unfolding (either due to cold denaturation or interaction of protein molecules with ice crystals), could also contribute to the instability. As a hypothesis, additional freezing-related destabilization pathways are introduced in the paper, that is, air bubbles formed on the ice crystallization front, and local pressure and mechanical stresses due to volume expansion during water-to-ice transformation. Furthermore, stability of frozen biologicals can depend on the sample size, via its impact on the freezing kinetics (i.e., cooling rates and freezing time) and cryoconcentration effects, as well as on the mechanical stresses associated with freezing. We conclude that, although fundamentals of freezing processes are fairly well described in the current literature, there are important gaps to be addressed in both scientific foundations of the freezing-related manufacturing processes and implementation of the available knowledge in practice.

Biologic products encounter various types of interfacial stress during development, manufacturing, and clinical administration. When proteins come in contact with vapor-liquid, solid-liquid, and liquid-liquid surfaces, these interfaces can significantly impact the protein drug product quality attributes, including formation of visible particles, subvisible particles, or soluble aggregates, or changes in target protein concentration due to adsorption of the molecule to various interfaces. Protein aggregation at interfaces is often accompanied by changes in conformation, as proteins modify their higher order structure in response to interfacial stresses such as hydrophobicity, charge, and mechanical stress. Formation of aggregates may elicit immunogenicity concerns; therefore, it is important to minimize opportunities for aggregation by performing a systematic evaluation of interfacial stress throughout the product development cycle and to develop appropriate mitigation strategies. The purpose of this white paper is to provide an understanding of protein interfacial stability, explore methods to understand interfacial behavior of proteins, then describe current industry approaches to address interfacial stability concerns. Specifically, we will discuss interfacial stresses to which proteins are exposed from drug substance manufacture through clinical administration, as well as the analytical techniques used to evaluate the resulting impact on the stability of the protein. A high-level mechanistic understanding of the relationship between interfacial stress and aggregation will be introduced, as well as some novel techniques for measuring and better understanding the interfacial behavior of proteins. Finally, some best practices in the evaluation and minimization of interfacial stress will be recommended.

Crystalline mesophases, which are commonly classified according to their translational, orientational, and conformational order as liquid crystals, plastic crystals, and conformationally disordered crystals, represent a common state of condensed matter. As an intermediate state between crystalline and amorphous materials, crystalline mesophases resemble amorphous materials in relation to their molecular mobility, with the glass transition being their common property, and at the same time possessing a certain degree of translational periodicity (with the exception of nematic phase), with corresponding narrow peaks in X-ray diffraction patterns. For example, plastic crystals, which can be formed both by near-spherical molecules and molecules of lower symmetry, such as planar or chain molecules, can have both extremely sharp X-ray diffraction lines and exhibit glass transition. Fundamentals of structural arrangements in mesophases are compared with several types of disorder in crystalline materials, as well as with short-range ordering in amorphous solids. Main features of the molecular mobility in crystalline mesophases are found to be generally similar to amorphous materials, although some important differences do exist, depending on a particular type of mobility modes involved in relaxation processes. In several case studies reviewed, chemical stability appears to follow the extent of disorder, with the stability of crystalline mesophase found to be intermediate between amorphous (least stable) and crystalline (most stable) materials. Finally, detection of crystalline mesophases during manufacturing of two different types of dosage forms is discussed.

The paper discusses the real-time monitoring of the changing sample morphology during the entire lyophilization (freeze-drying) and vacuum-drying processes of model biopharmaceutical solutions by using an environmental scanning electron microscope (ESEM); the device’s micromanipulators were used to study the interior of the samples in-situ without exposing the samples to atmospheric water vapor. The individual collapse temperatures (Tc) of the formulations, pure bovine serum albumin (BSA) and BSA/sucrose mixtures, ranged from −5 to −29 °C. We evaluated the impact of the freezing method (spontaneous freezing, controlled ice nucleation, and spray freezing) on the morphologies of the lyophiles at the constant drying temperature of −20 °C. The formulations with Tc above −20 °C resulted in the lyophiles’ morphologies significantly dependent on the freezing method. We interpret the observations as an interplay of the freezing rates and directionalities, both of which markedly influence the morphologies of the frozen formulations, and, subsequently, the drying process and the mechanical stability of the freeze-dried cake. The formulation with Tc below −20 °C yielded a collapsed cake with features independent of the freezing method. The vacuum-drying produced a material with a smooth and pore-free surface, where deep cracks developed at the end of the process.

A resurgence of interest and investment in the field of gene therapy, driven in large part by advances in viral vector technology, has recently culminated in United States Food and Drug Administration approval of the first gene therapy product targeting a disease caused by mutations in a single gene. This product, LUXTURNA™ (voretigene neparvovec-rzyl; Spark Therapeutics, Inc., Philadelphia, PA), delivers a normal copy of the RPE65 gene to retinal cells for the treatment of biallelic RPE65 mutation–associated retinal dystrophy, a blinding disease. Many additional gene therapy programs targeting both inherited retinal diseases and other ocular diseases are in development, owing to an improved understanding of the genetic basis of ocular disease and the unique properties of the ocular compartment that make it amenable to local gene therapy. Here we review the growing body of literature that describes both the design and development of ocular gene therapy products, with a particular emphasis on target and vector selection, and chemistry, manufacturing, and controls.

Molecular mobility has been traditionally invoked to explain physical and chemical stability of diverse pharmaceutical systems. Although the molecular mobility concept has been credited with creating a scientific basis for stabilization of amorphous pharmaceuticals and biopharmaceuticals, it has become increasingly clear that this approach represents only a partial description of the underlying fundamental principles. An additional mechanism is proposed herein to address 2 key questions: (1) the existence of unfrozen water (i.e., partial or complete freezing inhibition) in aqueous solutions at subzero temperatures and (2) the role of water in the chemical stability of amorphous pharmaceuticals. These apparently distant phenomena are linked via the concept of water clusters. In particular, freezing inhibition is associated with the confinement of water clusters in a solidified matrix of an amorphous solute, with nanoscaled water clusters being observed in aqueous glasses using wide-angle neutron scattering. The chemical instability is suggested to be directly related to the catalysis of proton transfer by water clusters, considering that proton transfer is the key elementary reaction in many chemical processes, including such common reactions as hydrolysis and deamidation.

In situ and non-invasive detection of solute crystallization during freeze-drying would facilitate cycle optimization and scale-up from the laboratory to commercial manufacturing scale. The objective of the study is to evaluate heat flux sensor (HFS) as a tool for monitoring solute crystallization and other first-order phase transitions (e.g., onset of freezing). HFS is a thin-film differential thermopile, which acts as a transducer to generate an electrical signal proportional to the total heat applied to its surface. In this study, HFS is used to detect both primary (ice formation) and secondary (also known as eutectic) solute + water crystallization during cooling and heating of solutions in a freeze-dryer. Binary water-solute mixtures with typical excipients concentrations (e.g., 0.9% of NaCl and 5% mannitol) and fill volumes (1 to 3 ml/vial) are studied. Secondary crystallization is detected by the HFS during cooling in all experiments with NaCl solutions, whereas timing of mannitol crystallization depends on the cooling conditions. In particular, mannitol crystallization takes place during cooling, if the cooling rate is lower than the critical value. On the other hand, if the cooling rate exceeds the critical cooling rate, mannitol crystallization during cooling is prevented, and crystallization occurs during subsequent warming or annealing. It is also observed that, while controlled ice nucleation allows initiation of the primary freezing event in different vials simultaneously, there is a noticeable vial-to-vial difference in the timing of secondary crystallization. The HFS could be a valuable process monitoring tool for non-invasive detection of various crystallization events during freeze-drying manufacturing.

Role of water in chemical (in)stability is revisited, with focus on deamidation in freeze-dried amorphous proteins and peptides. Two distinct patterns for deamidation versus water have been reported, that is, a consistent increase in rate constant with water, and a "hockey stick"–type behavior. For the latter, deamidation is essentially independent of water at lower water contents and accelerates when water content increases above a threshold value. Two simple kinetic models are developed to analyze literature-reported relationships between water content and deamidation rate constants. One model is based on catalytic role of water clusters in enabling proton transfer, which is a critical reaction step. Water clusters are formed when water content increases above a threshold value, while unclustered (and less catalytically-active) water molecules are predominant at lower water levels. The second model considers the dual role of water, as both a destabilizer via catalysis and a stabilizer of protein native structure. Considering that both models emphasize the importance of local structure and that local structure is intrinsically related to fast (and non-cooperative) relaxation modes, it is plausible to expect correlations between local mobility, such as beta-relaxation, and amorphous chemical instability.

The objectives of this study were to measure the apparent surface acidity of common excipients and to correlate the acidity with the chemical stability of an acid-sensitive active pharmaceutical ingredient (API) in binary API-excipient powder mixtures. The acidity of 26 solid excipients was determined by two methods, (i) by measuring the pH of their suspensions or solutions and (ii) the pH equivalent (pHeq) measured via ionization of probe molecules deposited on the surface of the excipients. The chemical stability of an API, atorvastatin calcium (AC), in mixtures with the excipients was evaluated by monitoring the appearance of an acid-induced degradant, atorvastatin lactone, under accelerated storage conditions. The extent of lactone formation in AC-excipient mixtures was presented as a function of either solution/suspension pH or pHeq. No lactone formation was observed in mixtures with excipients having pHeq > 6, while the lactone levels were pronounced (> 0.6% after 6 weeks at 50°C/20% RH) with excipients exhibiting pHeq < 3. The three pHeq regions (> 6, 3–6, and < 3) were consistent with the reported solution pH-stability profile of AC. In contrast to the pHeq scale, lactone formation did not show any clear trend when plotted as a function of the suspension/solution pH. Two mechanisms to explain the discrepancy between the suspension/solution pH and the chemical stability data were discussed. Acidic excipients, which are expected to be incompatible with an acid-sensitive API, were identified based on pHeq measurements. The incompatibility prediction was confirmed in the chemical stability tests using AC as an example of an acid-sensitive API.

Amorphous materials, although lacking the long-range translational and rotational order of crystalline and liquid crystalline materials, possess certain local (short-range) structure. This paper reviews the distribution of one particular component present in all amorphous pharmaceuticals, that is, water. Based on the current understanding of the structure of water, water molecules can exist in either unclustered form or as aggregates (clusters) of different sizes and geometries. Water clusters are reported in a range of amorphous systems including carbohydrates and their aqueous solutions, synthetic polymers, and proteins. Evidence of water clustering is obtained by various methods that include neutron and X-ray scattering, molecular dynamics simulation, water sorption isotherm, concentration dependence of the calorimetric Tg , dielectric relaxation, and nuclear magnetic resonance. A review of the published data suggests that clustering depends on water concentration, with unclustered water molecules existing at low water contents, whereas clusters form at intermediate water contents. The transition from water clusters to unclustered water molecules can be expected to change water dependence of pharmaceutical properties, such as rates of degradation. We conclude that a mechanistic understanding of the impact of water on the stability of amorphous pharmaceuticals would require systematic studies of water distribution and clustering, while such investigations are lacking.

A confocal Raman microscopic technique was optimized to more efficiently detect amorphous-amorphous phase separation in freeze-dried protein formulations. A Renishaw Raman inVia confocal microscope was used to collect 100-200 μm line maps (2 μm step size) of freeze-dried protein-excipient formulations. At each point across the line map, the composition was evaluated from the intensity of the nonoverlapping peaks representative of each component. Collection aperture, scan time, and line map length significantly contributed to the phase-separation analysis, whereas different sample preparation methods did not affect the analysis. Using the optimized parameters (i.e., large aperture 5 s scan time, 200 μm line map), phase separation was successfully detected in binary polymer formulations and was comparable to the previously developed Raman method. However, the previous method required 2.5 h/sample, whereas the optimized method only requires 0.5 h/sample. Phase separation was detected in the following protein-excipient formulations: lysozyme-trehalose (1:1), lysozyme-isomaltose (1:1), β-lactoglobulin-dextran (1:1), β-lactoglobulin-dextran (1:3), and β-lactoglobulin-trehalose (1:1). Phase separation was not detected in lysozyme-sucrose (1:1) and β-lactoglobulin-sucrose (1:1) formulations. The optimized method successfully detected phase separation in several protein formulations, where phase separation was previously suspected, and promised to be a useful tool for detection of phase separation in amorphous therapeutic formulations.

Processing protein solutions into the solid state is a common approach for generating stable amorphous protein mixtures that are suitable for long‐term storage. Great care is typically given to protecting the protein native structure during the various drying steps that render it into the amorphous solid state. However, many studies illustrate that chemical and physical degradations still occur in spite of this amorphous material having good glassy properties and it being stored at temperatures below its glass transition temperature ( T g ). Because of these persistent issues and recent biophysical studies that have refined the debate ascribing meaning to the molecular dynamical transition temperature and T g of protein molecules, we provide an updated discussion on the impact of assessing and managing localized, individual protein molecule nondiffusive motions in the context of proteins being prepared into bulk amorphous mixtures. Our aim is to bridge the pharmaceutical studies addressing bulk amorphous preparations and their glassy behavior, with the biophysical studies historically focused on the nondiffusive internal protein dynamics and a protein's activity, along with their combined efforts in assessing the impact of solvent hydrogen‐bonding networks on local stability. We also provide recommendations for future research efforts in solid‐state formulation approaches. © 2014 Wiley Periodicals, Inc. and the American Pharmacists Association J Pharm Sci 103:2605–2614, 2014

The acceptable stability of the drug formulations is one of the basic requirements for pharmaceutical development and commercialization. The increasing application of enabling delivery techniques poses even more challenge to the drug physical stability of pharmaceutical formulations. After a brief review of regulatory requirements and recent drug recalls due to physical instability, we discuss the physical stability of the solid-state drug in amorphous dispersions with focus on analytical techniques, amorphous molecular mobility, drug-excipient interaction, and the effect of water.

Crystalline structures of sugars, particularly that of sucrose, depend on crystallization conditions and the presence of impurities. Sugar crystals show melting that often occurs at low temperatures with time- and temperature-dependent characteristics. Melting at low temperatures can be accounted for by the presence of impurties and defects. Sugar crystals also contain noncrystalline regions that may undergo decomposition and subsequent dissolution at the decomposition interface and acceleration of decomposition reactions. Such processes with melting establish a supersaturated condition for the remaining crystals, leading to a time-dependent melting point depression and subsequent melting of the remaining crystals. Decomposition of sugars, as well as dissolution and melting of sugar crystals, are separate phenomena, although they are commonly found to coincide. Decomposition of sugars requires the presence and mobility of molecules for reactions outside the crystal lattice; that is, the molecular mobility of amorphous or melted regions is a prerequisite for decomposition, whereas melting of sugar crystals occurs as a separate thermodynamic process with no chemical change of the molecules.

Background The acoustic levitation technique is a useful sample handling method for small solid and liquids samples, suspended in air by means of an ultrasonic field. This method was previously used at synchrotron sources for studying pharmaceutical liquids and protein solutions using x-ray diffraction and small angle x-ray scattering (SAXS). Methods In this work we combined for the first time this containerless method with small angle neutron scattering (SANS) and synchrotron radiation circular dichroism (SRCD) to study the structural behavior of proteins in solutions during the water evaporation. SANS results are also compared with SAXS experiments. Results The aggregation behavior of 45 μl droplets of lysozyme protein diluted in water was followed during the continuous increase of the sample concentration by evaporating the solvent. The evaporation kinetics was followed at different drying stage by SANS and SAXS with a good data quality. In a prospective work using SRCD, we also studied the evolution of the secondary structure of the myoglobin protein in water solution in the same evaporation conditions. Conclusions Acoustic levitation was applied for the first time with SANS and the high performances of the used neutron instruments made it possible to monitor fast container-less reactions in situ. A preliminary work using SRCD shows the potentiality of its combination with acoustic levitation for studying the evolution of the protein structure with time. General significance This multi-techniques approach could give novel insights into crystallization and self-assembly phenomena of biological compound with promising potential applications in pharmaceutical, food and cosmetics industry. This article is part of a Special Issue entitled “Science for Life” Guest Editor: Dr. Austen Angell, Dr. Salvatore Magazu and Dr. Federica Migliardo.

The structure of water in 70 wt % sorbitol-30 wt % water mixture is investigated by wide-angle neutron scattering (WANS) as a function of temperature. WANS data are analyzed using empirical potential structure refinement to obtain the site-site radial distribution functions (RDFs). Orientational structure of water is represented using OW-OW-OW triangles distributions and a tetrahedrality parameter, q, while water-water correlation function is used to estimate size of water clusters. Water structure in the sorbitol matrix is compared with that of water confined in nanopores of MCM41. The results indicate the existence of voids in the sorbitol matrix with the length scale of approximately 5 Å, which are filled by water. At 298 K, positional water structure in these voids is similar to that of water in MCM41, whereas there is a difference in the tetrahedral (orientational) arrangement. Cooling to 213 K strengthens tetrahedrality, with the orientational order of water in sorbitol becoming similar to that of confined water in MCM41 at 210 K, whereas further cooling to 100 K does not introduce any additional changes in the tetrahedrality. The results obtained allow us to propose, for the first time, that such confinement of water in a sorbitol matrix is the main reason for the lack of ice formation in this system.

In this study, the structure of concentrated d-sorbitol-water mixtures is studied by wide- and small-angle neutron scattering (WANS and SANS) as a function of temperature. The mixtures are prepared using both deuterated and regular sorbitol and water at a molar fraction of sorbitol of 0.19 (equivalent to 70% by weight of regular sorbitol in water). Retention of an amorphous structure (i.e., absence of crystallinity) is confirmed for this system over the entire temperature range, 100-298 K. The glass transition temperature, Tg, is found from differential scanning calorimetry to be approximately 200 K. WANS data are analyzed using empirical potential structure refinement, to obtain the site-site radial distribution functions (RDFs) and coordination numbers. This analysis reveals the presence of nanoscaled water clusters surrounded by (and interacting with) sorbitol molecules. The water clusters appear more structured compared to bulk water and, especially at the lowest temperatures, resemble the structure of low-density amorphous ice (LDA). Upon cooling to 100 K the peaks in the water RDFs become markedly sharper, with increased coordination number, indicating enhanced local (nanometer-scale) ordering, with changes taking place both above and well below the Tg. On the mesoscopic (submicrometer) scale, although there are no changes between 298 and 213 K, cooling the sample to 100 K results in a significant increase in the SANS signal, which is indicative of pronounced inhomogeneities. This increase in the scattering is partly reversed during heating, although some hysteresis is observed. Furthermore, a power law analysis of the SANS data indicates the existence of domains with well-defined interfaces on the submicrometer length scale, probably as a result of the appearance and growth of microscopic voids in the glassy matrix. Because of the unusual combination of small and wide scattering data used here, the present results provide new physical insight into the structure of aqueous glasses over a broad temperature and length scale, leading to an improved understanding of the mechanisms of temperature- and water-induced (de)stabilization of various systems, including proteins, pharmaceuticals, and biological objects.

Sodium deoxycholate (NaDC) is an important example of bile salts, representing systems with complex phase behavior involving both crystalline and mesophase structures. In this study, properties of NaDC-water mixtures were evaluated as a function of composition and temperature via X-ray diffraction with synchrotron (sXRD) and laboratory radiation sources, water sorption, polarized light, hot-stage microscopy, and freezing-point osmometry. Several phases were detected depending on the composition and temperature, including isotropic solution phase, liquid crystalline (LC) phase, crystalline hydrate, and ice. The LC phase was identified as hexagonal structure by sXRD, with up to 14 high-order reflections detected. The crystalline phase was found to be nonstoichiometric hydrate, based on XRD and water sorption data. The phase diagram of NaDC-water system has been refined based on both results of this study and other reports in literature.

Effective long-term storage remains a significant challenge to the use and development of protein pharmaceuticals. We have investigated the interactions between clathrate hydrates and model protein solutions to determine the effects on hydrate formation. Here, the dissociation curve and equilibrium conditions for xenon clathrate hydrate with model lysozyme and lactate dehydrogenase (LDH) protein solutions have been studied using calorimetry measurements at pressures ranging from 3 to 20 bar. Sucrose in solution was shown to exhibit small inhibition effects on xenon hydrate formation, shifting the dissociation curve and decreasing the conversion of water to hydrate by 15-26%. The addition of l-histidine buffer and lysozyme at low concentrations did not substantially inhibit hydrate formation. However, small shifts in the dissociation curve were demonstrated for solutions containing LDH. The presence of lysozyme and LDH in solution did not significantly alter the conversion of water to hydrate, indicating that these and similar proteins do not substantially affect the extent of xenon gas hydrate formation. Preliminary experiments were performed for LDH solutions to assess the impact of xenon hydrate formation and dissociation on enzymatic activity, with samples stored in hydrate systems showing small decreases in activity.

The objectives of the current study were to investigate (i) the phase behavior of a PEGylated recombinant human growth hormone (PEG-rhGH, ∼60 kDa) during freeze-drying and (ii) its storage stability. The phase transitions during freeze-thawing of an aqueous solution containing PEG-rhGH and sucrose were characterized by differential scanning calorimetry. Finally, PEG-rhGH and sucrose formulations containing low, medium, and high polyethylene glycol (PEG) to sucrose ratios were freeze-dried in dual-chamber syringes and stored at 4°C and 25°C. Chemical decomposition (methionine oxidation and deamidation) and irreversible aggregation were characterized by size-exclusion and ion-exchange chromatography, and tryptic mapping. PEG crystallization was facilitated when it was covalently linked with rhGH. When the solutions were frozen, phase separation into PEG-rich and sucrose-rich phases facilitated PEG crystallization and the freeze-dried cake contained crystalline PEG. Annealing caused PEG crystallization and when coupled with higher drying temperatures, the primary drying time decreased by up to 51%. When the freeze-dried cakes were stored at 4°C, while there was no change in the purity of the PEG-rhGH monomer, deamidation was highest in the formulations with the lowest PEG to sucrose ratio. When stored at 25°C, this composition also showed the most pronounced decrease in monomer purity, the highest level of aggregation, and deamidation. Furthermore, an increase in PEG crystallinity during storage was accompanied by a decrease in PEG-rhGH stability. Interestingly, during storage, there was no change in PEG crystallinity in formulations with medium and high PEG to sucrose ratios. Although PEG crystallization during freeze-drying did not cause protein degradation, crystallization during storage might have influenced protein stability.

In this work, we explore the idea of using mathematical models to build design space for the primary drying portion of freeze-drying process. We start by defining design space for freeze-drying, followed by defining critical quality attributes and critical process parameters. Then using mathematical model, we build an insilico design space. Input parameters to the model (heat transfer coefficient and mass transfer resistance) were obtained from separate experimental runs. Two lyophilization runs are conducted to verify the model predictions. This confirmation of the model predictions with experimental results added to the confidence in the insilico design space. This simple step-by-step approach allowed us to minimize the number of experimental runs (preliminary runs to calculate heat transfer coefficient and mass transfer resistance plus two additional experimental runs to verify model predictions) required to define the design space. The established design space can then be used to understand the influence of critical process parameters on the critical quality attributes for all future cycles.

Succinate buffer solutions of different initial pH values and concentrations were cooled. The solution pH and the phases crystallizing from solution were monitored as a function of temperature. In a solution buffered to pH 4.0 (200 mM), the freeze-concentrate pH initially increased to 8.0 and then decreased to 2.2. On the basis of X-ray diffractometry (synchrotron source), the “pH swing” was attributed to the sequential crystallization of succinic acid, monosodium succinate, and disodium succinate. A similar swing, but in the opposite direction, was seen when a solution with an initial pH of 6.0 was cooled. In this case, crystallization of the basic buffer component occurred first. The direction and magnitude of the pH shift depended on both the initial pH and the buffer concentration. In light of the pH-sensitive nature of a significant fraction of pharmaceuticals (especially proteins), extreme care is needed, both in the buffer selection and in its concentration.

Simple aqueous systems, i.e., phosphate-glycine buffers and pure water, were studied at subambient temperatures by X-ray difractometry using a high-intensity synchrotron radiation source at the Advanced Photon Source of Argonne National Laboratory. Complex X-ray diffraction (XRD) patterns, with two or more poorly resolved peaks in place of each of the four diagnostic peaks of hexagonal ice, 100, 002, 101, and 102, referred as "splitting", were observed in the majority of cases. The splitting of up to 0.05 A (d-spacing) was detected for 100, 002, and 101 peaks, whereas 102 peak was less affected. Deformation of the lattice of hexagonal ice, probably due to local stress created on the ice/ice or ice/container interface during water-to-ice transformation, is proposed as a possible mechanism for the observed splitting of XRD peaks. Using molecular modeling, it was estimated that the observed shifts in the peak positions are equivalent to applying a hydrostatic pressure of 2-3 kbars. The splitting can be used to quantify stresses during freezing, which could improve our understanding of the role of water-to-ice transformation on the destabilization of proteins and other biological systems.

(1) To develop a synchrotron X-ray diffraction (SXRD) method to monitor phase transitions during the entire freeze-drying cycle. Aqueous sodium phosphate buffered glycine solutions with initial glycine to buffer molar ratios of 1:3 (17:50 mM), 1:1 (50 mM) and 3:1 were utilized as model systems. (2) To investigate the effect of initial solute concentration on the crystallization of glycine and phosphate buffer salt during lyophilization.Phosphate buffered glycine solutions were placed in a custom-designed sample cell for freeze-drying. The sample cell, covered with a stainless steel dome with a beryllium window, was placed on a stage capable of controlled cooling and vacuum drying. The samples were cooled to -50 degrees C and annealed at -20 degrees C. They underwent primary drying at -25 degrees C under vacuum until ice sublimation was complete and secondary drying from 0 to 25 degrees C. At different stages of the freeze-drying cycle, the samples were periodically exposed to synchrotron X-ray radiation. An image plate detector was used to obtain time-resolved two-dimensional SXRD patterns. The ice, beta-glycine and DHPD phases were identified based on their unique X-ray peaks.When the solutions were cooled and annealed, ice formation was followed by crystallization of disodium hydrogen phosphate dodecahydrate (DHPD). In the primary drying stage, a significant increase in DHPD crystallization followed by incomplete dehydration to amorphous disodium hydrogen phosphate was evident. Complete dehydration of DHPD occurred during secondary drying. Glycine crystallization was inhibited throughout freeze-drying when the initial buffer concentration (1:3 glycine to buffer) was higher than that of glycine.A high-intensity X-ray diffraction method was developed to monitor the phase transitions during the entire freeze-drying cycle. The high sensitivity of SXRD allowed us to monitor all the crystalline phases simultaneously. While DHPD crystallizes in frozen solution, it dehydrates incompletely during primary drying and completely during secondary drying. The impact of initial solute concentration on the phase composition during the entire freeze-drying cycle was quantified.

This work concerns the experimental study in syringe configuration of the sublimation period for a model formulation under operating conditions commonly used for pharmaceutical proteins freeze-drying. Different methods for the detection of the sublimation end-point were compared. This exhaustive comparison has shown that the Lyotrack sensor (Annecy, France) had the best sensitivity and presented the best signal-to-noise ratio followed by the Pirani gauge; a significant advantage of Lyotrack sensor relies on the possibility of sterilization. The scale method, which is based on continuous weighing of a single syringe or a single vial, underestimated largely the sublimation times and, consequently, was not representative at all of the whole syringe (or vial) set behavior. Consequently, caution should be taken for its use for setting up laboratory data and for scaling up these data for the optimization of commercial freeze-drying cycles. Moreover, four standard freeze-drying cycles with different values of ma...

This article concerns the experimental study and the modeling of the freezing step during freeze-drying of a model lyoprotectant formulation in syringe configuration. First, ice crystal morphology observations were carried out in a cold chamber equipped with stereomicroscopy to determine the ice crystal size distribution. We observed that the ice crystal morphology was homogeneous as a function of the radial position and that, contrary to our previous observations in glass vial configuration, no significant ice morphology differences existed between the bottom and the top of syringes. Thus, it seems that the gas cooling by free convection at the walls of the syringe during the freezing step led to higher homogeneity in the ice crystal morphology. These data allowed calculation of the mean ice crystal diameter (which was supposed to represent the mean porous diameter) and then the permeability of the freeze-dried cake. Moreover, a two-dimensional axisymmetric (2D) mathematical model in cylindrical geometry...

The goal was to evaluate the effects of acidity, expressed as the Hammett acidity function, on chemical reactivity in freeze-dried materials (lyophiles). Dextran-sucrose-citrate and polyvinyl pyrrolidone (PVP)-sucrose-citrate aqueous solutions, adjusted to pH values of 2.6, 2.8, and 3.0 were freeze dried, and characterized by X-ray powder diffractometry, DSC, isothermal microcalorimetry, and Karl Fischer titrimetry. Lyophiles were also prepared from identical solutions but containing bromophenol blue (BB). Diffuse reflectance-visible spectroscopy was used to measure the extent of BB protonation from which the Hammett acidity functions were determined. The stability studies were performed at 60 degrees C. All the freeze-dried samples were observed to be X-ray amorphous with0.15% w/w water content. The T(g) of dextran lyophiles were approximately 20 degrees C higher than that of PVP lyophiles whereas enthalpy relaxation rates at 60 degrees C were similar. The Hammett acidity functions were significantly lower (i.e., higher acidity) for dextran systems (2.2-2.6) when compared with PVP systems (3.3-3.9). The rate of sucrose inversion was significantly (an order of magnitude) higher in dextran lyophiles. This study showed that in amorphous matrices with comparable water content and structural relaxation times, chemical reactivity could be significantly different depending on the matrix "acidity".

To demonstrate the sensitivity of low temperature synchrotron X-ray diffractometry (SXRD) for detecting solute crystallization in frozen sodium phosphate buffer solutions. To determine the effect of annealing on solute crystallization in frozen solutions.Sodium phosphate buffer solutions, at initial buffer concentrations ranging from 1 to 100 mM (pH 7.4) were cooled to -50 degrees C. The crystallization of disodium hydrogen phosphate dodecahydrate (Na(2)HPO(4) *12H(2)O) was monitored using a laboratory as well as a synchrotron source. At selected concentrations, the effect of annealing (at -20 degrees C) was investigated.With the laboratory source, solute crystallization, based on the appearance of one diagnostic peak with a d-spacing of 5.4 A, was evident only when the initial buffer concentration was at least 50 mM. In contrast, using SXRD, crystallization was detected at initial buffer concentrations down to 1 mM. In addition, the use of a high-resolution 2D detector enabled the visualization of numerous diffraction rings of the crystalline solute. At both 10 and 100 mM buffer concentration, there was no increase in solute crystallization due to annealing.By using synchrotron radiation, solute crystallization was detected with substantially increased sensitivity, making the technique useful for freeze-drying cycles of practical and commercial importance. Since numerous peaks of the crystalline solute appeared, the technique has potential utility in complex, multi-component systems.

"pH memory," i.e., correlation between pH of solution before freeze-drying and chemical reactivity in the freeze-dried state, has been reported in many systems. In this study, the "pH memory" is explored by comparing the extent of protonation of sulfonephthalein probe molecules, bromophenol blue, bromocresol green, and chlorophenol red, in aqueous solution in the pH range of 3.4-6.0 and in the resulting freeze-dried amorphous matrix (lyophile) containing trehalose and sodium citrate buffer. The protonation of the probe molecules was measured in the lyophiles by diffuse reflectance visible spectroscopy, and compared with that in the solution before drying. The protonation of the indicators in the amorphous matrix correlated with solution pH, that is, an increase in solution pH resulted in a progressive decrease in the indicator protonation in the corresponding lyophile. However, the protonation was consistently higher in the lyophile than in the corresponding solution. The Hammett acidity function of lyophiles was calculated based on the extent of protonation of the probe molecules. Protonation of the probe molecules and the Hammett acidity function depended not only on prelyophilization solution pH, but also on the residual water content and the presence of amorphous sugar in the lyophile.

In an accompanying article we have described the construction of the water-rich sections of raffinose–glycine–water and trehalose–glycine–water state diagrams. In this study, we use the information obtained from the state diagrams to identify the minimum weight fraction of the crystalline component in glycine–carbohydrate systems necessary to withstand collapse at high primary drying temperatures. We also determine the impact of primary drying, substantially above T g ′ , on the recovery of lactate dehydrogenase (LDH) activity. Ambient and variable temperature X-ray powder diffractometry and differential scanning calorimetry were used to characterize the frozen and freeze-dried systems. Aqueous solutions with glycine to carbohydrate (raffinose pentahydrate or trehalose dihydrate) weight ratios ranging from 0.2 to 2.0 were freeze dried. The protein formulations contained 20 mM citrate buffer (pH 6.0) and LDH (20 μg/mL). A glycine to anhydrous raffinose weight ratio ≥1.18 and a glycine to anhydrous trehalose weight ratio ≥1.56 were necessary to withstand macroscopic collapse in the system, when the primary drying was carried out at a product temperature at least 10°C above the T g ′ . The recovery of LDH activity was almost complete in the reconstituted lyophile whether the primary drying was carried out above T g ′ (−10°C) or below T g ′ (−32°C). Thus, by judiciously combining crystalline and amorphous components, it was possible to primary dry at temperatures substantially above the T g ′ .

To study i) phase transitions in raffinose solution in the frozen state and during freeze-drying and ii) evaluate the impact of raffinose crystallization on the recovery of protein activity in reconstituted lyophiles.X-ray powder diffractometry (XRD) and differential scanning calorimetry (DSC) were used to study the frozen aqueous solutions of raffinose pentahydrate. Phase transitions during primary and secondary drying were monitored by simulating the entire freeze-drying process, in situ, in the sample chamber of the diffractometer. The activity of lactate dehydrogenase (LDH) in reconstituted lyophiles was determined spectrophotometrically.Raffinose formed a kinetically stable amorphous freeze-concentrated phase when aqueous solutions were frozen at different cooling rates. When these solutions were subjected to primary drying without annealing, raffinose remained amorphous. Raffinose crystallized as the pentahydrate when the solutions were annealed at a shelf temperature of -10 degrees C. Primary drying of these annealed systems resulted in the dehydration of raffinose pentahydrate to an amorphous phase. The phase separation of the protein from the amorphous raffinose in these two systems during freeze-drying resulted in a significant reduction in the recovery of LDH activity, even though the lyophile was amorphous.Annealing of frozen aqueous raffinose solutions can result in solute crystallization, possibly as the pentahydrate. The crystalline pentahydrate dehydrates during primary drying to yield an amorphous lyophile. Raffinose crystallization during freeze-drying is accompanied by a significant loss of protein activity.