kiszélesítése és hosszú távú szakmai fenntarthatóságának megalapozása a kiváló tudományos utánpótlás biztosításával”
Gyógyszertudományok Doktori Iskola Ph.D. kurzus (GYTKDIE16)
„Introduction to melt extrusion and application of quality by design principles”
2012. 03. 27. – 03. 30.
„Solid dispersions: Types, production, characterization”
Prof. Dr. Peter Kleinebudde
TÁMOP‐4.2.2/
B‐10/1‐2010‐0012 projekt
InsJtute of PharmaceuJcs and BiopharmaceuJcs Heinrich‐Heine‐University
Düsseldorf, Germany Peter Kleinebudde
Introduc.on to melt extrusion and applica.on of quality by design principles
Szeged, March 26‐30, 2012
PharmaceuJcal Solid State
PSSRC Research Cluster
Content
• Solid dispersions: Types, producJon, characterizaJon
• IntroducJon to melt extrusion: Equipment, process, materials, properJes of extrudates, downstream processing, applicaJons
• PAT applicaJons for melt extrusion and mulJvariate analysis of spectral data
• Tools for risk analysis in the context of melt extrusion
• Approaches to develop a design and a control space
3
PharmaceuJcal Solid State
PSSRC Research Cluster
Risk analysis
• ICH Q8, Q9, Q10
• DefiniJons
• Risk analysis
• Design of experiments remarks
• Examples for Design space
4
© ICH, November 2010
Nov 2005 & Nov 2008
November 2005
June 2008
ICH Q8, Q9 and Q10
• High level guidances (not prescripJve)
• Science and risk‐based
• Encourages systemaJc approaches
• Applicable over enJre product lifecycle
• Intended to work together to enhance pharmaceuJcal product quality
PharmaceuJcal Development ‐ Q8(R2)
• Describes science and risk‐based approaches for pharmaceuJcal product and manufacturing process development
• Introduced concepts of design space and flexible regulatory approaches
• Introduced concepts of Quality by Design (QbD) and provided examples of QbD development approaches and design space
© ICH, November 2010
Quality Risk Management Process ‐ Q9
Process Development
Control Strategy Development
Continual Improvement of the product
© ICH, November 2010
PharmaceuJcal Quality System ‐ Q10
• Describes key systems that facilitate establishment and
maintenance of a state of control for process performance and product quality
• Facilitates conJnual improvement
• Applies to drug substance and drug product throughout product lifecycle
• Sound pharmaceuJcal development (Q8R(2)) in combinaJon with a robust PQS (Q10) provide opportuniJes for flexible regulatory approaches. Relevant PQS elements include systems for:
– Track and trend product quality – Maintain and update models as needed
– Internally verify that process changes are successful
© ICH, November 2010
PharmaceuJcal Quality System ‐ Q10
ICH Q8, Q9 and Q10 Working Together
Formula.on Ac.vi.es:
• QTPP DefiniJon
• Pre‐FormulaJon Studies
• FormulaJon Screening
• OpJmizaJon & SelecJon Process Development Ac.vi.es:
• Process Screening
• Lab Scale Development
• Scale‐Up Studies Manufacturing Ac.vi.es:
• Commercial Scale Manufacturing
• Batch Release
Q8 PharmaceuJcal Development Q9 Quality Risk Management Q10 PharmaceuJcal Quality Systems
International Conference on Harmonisation of Technical
Requirements for Registration of Pharmaceuticals for Human Use
Implementation of ICH Q8, Q9, Q10
Breakout A Design Space
© ICH, November 2010
QbD Story per Unit OperaJon
Process Variables
Design of Experiments
Quality Risk Management
IllustraJve Examples of Unit OperaJons:
QTPP
& CQAs
Design Space
Control
Strategy Batch
Release
Compression Real Time Release tes.ng
(Assay, CU, DissoluJon)
Blending API
Crystalliza.on
© ICH, November 2010
DS development ‐ Prior knowledge
• Key messages
– Prior knowledge may include :
• internal knowledge from development and manufacturing
• External knowledge: scienJfic and technical publicaJons (including literature and peer‐reviewed publicaJons)
– CitaJon in filing: regulatory filings, internal company report or notebook, literature reference
– No citaJon necessary if well known and accepted by scienJfic community
DS development ‐ Prior knowledge
• What might be applicable sources of Prior Knowledge ?
• IdenJfy other type of prior knowledge that can be used in DS development
Example from Case Study : Crystalliza.on of the drug substance
- ParJcle size control needed during crystallizaJon
- Prior knowledge/1st principles shows that other unit operaJons (Coupling reacJon, aqueous workup, filtraJon and drying) have low risk of affecJng purity or PSD.
> Knowledge from prior filings
> Knowledge from lab / piloJng data, including data from other
compounds using similar “plasorm” technologies
>
© ICH, November 2010
DS development ‐ QRM
• Risk assessment is based on prior knowledge and
relevant experience for the product and manufacturing process
– Gaps in knowledge could be addressed by further experimentaJon
– Assignments of risk level must be appropriately jusJfied
• Risk assessments/control will iterate as relevant new informaJon becomes available
– Final itera.on shows control of risks to an acceptable level
PharmaceuJcal Solid State
PSSRC Research Cluster
Ishikawa diagram
16 Melt extrusion and QbD principles I
© ICH, November 2010
IllustraJon from the Case Study ‐ Risk Assessment for PSD Control
To be invesJgated in DOE
Detailed working documents like this would likely not be included in the submission
DS development – DOE & Modeling
• Target the desired quality avribute range from QTPP
• DeterminaJon of edge of failure is not required
• Modeling is not required to develop a Design Space
• Models need to be verified, updated and maintained
© ICH, November 2010
DS development – DOE & Modeling
– Does the DOE results, as presented in the case study, provide sufficient informaJon to define a design space?
– Describe which parameters are addressed by univariate vs.
mulJvariate DOEs and how these are factored into the design space
– Model implementaJon: Describe how variability due to the process operaJons and/or analyJcal method is considered in use of the model
– Describe the process for maintenance & updaJng of the model
© ICH, November 2010
DS development – Process parameter & quality avributes
– Design space presenta.on in the submission could include cri.cal and non‐cri.cal parameters
• CriJcal parameter ranges/model are considered a regulatory
commitment and non‐criJcal parameter ranges support the review of the filing
• CriJcal parameter changes within design space are handled by the Quality System and changes outside the design space need appropriate regulatory noJficaJon
– Non‐cri.cal parameters would be managed by Quality System
© ICH, November 2010
IllustraJon from case study : QTPP and CQAs
Dosage form and strength
Immediate release tablet containing 30 mg of active ingredient.
Specifications to assure safety and efficacy during shelf-life
Assay,
Uniformity of Dosage Unit (content uniformity) and dissolution.
Description and hardness Robust tablet able to withstand transport and handling.
Appearance Film-coated tablet with a suitable size to aid patient acceptability and compliance.
Total tablet weight containing 30 mg of active ingredient is 100 mg with a diameter of 6 mm.
Drug Product CQAs
• Assay
• Content Uniformity
• DissoluJon
• Tablet Mechanical Strength
CQAs derived using Prior Knowledge (e.g.
previous experience of developing tablets) CQAs may be ranked using quality risk assessment.
QTPP
API CrystallizaJon:
Design Space & Control Strategy
© ICH, November 2010
Large square shows the ranges tested in the DOE Red area shows points of failure
Green area shows points of success.
• In the idealized example at lex, the oval represents the full design space. It would need to be represented by an equaJon.
• AlternaJvely, the design space can be represented as the green rectangle by using ranges
- a porJon of the design space is not uJlized, but the benefit is in the simplicity of the representaJon
Seed wt%
IllustraJon from the case study : OpJons for DepicJng a Design Space
© ICH, November 2010
Key Messages
• Quality Risk
Management is the full process
• Quality Risk Assessment,
Control, Review etc.
represent only individual steps
ICH Q9
© ICH, November 2010
Key Messages
• QRM is an iteraJve process and not a one off acJvity
• UJlisaJon of QRM acJviJes should lead to a greater assurance of quality through risk control
– Facilitate the awareness of risks – Risk does not go away
– Risk can be predicted, prevented and controlled
• QRM processes should
– Focus on what is important to establish the manufacturing process and controls and maintain them over the life cycle
– Be integrated in PharmaceuJcal Quality System elements
Key Messages
• QRM used by company can provide regulators with greater assurance of a company’s product and process understanding and the ability to assure quality of manufactured products
• QRM should be used by regulators (both assessors and inspectors) to guide regulatory acJviJes
independent of the industry uJlisaJon of QRM
© ICH, November 2010
Key Messages
• Regulators should use QRM methods appropriately to reach raJonal and jusJfied regulatory decisions e.g.
– Risk based regulatory decisions (suspected quality defects etc.) – Assessment of regulatory filing
– Planning and conducJng of inspecJons – PrioriJsaJon of inspecJon findings
© ICH, November 2010
Opportuni.es to apply Quality Risk Managements
QRM in the Product Life Cycle
Pa.ent needs Business
needs
Quality Target Product Profile (QTPP)
Critical Quality Attribute
(CQA)
Critical Process Parameters
(CPP) Product
design
Manu‐
facturing Process
design
Control Strategy
Technical regulatory Filing & Review
Performance Review &
Change Control
Commercial Manufacturing
Research and clinical studies
Process understanding PAI
Inspec.ons GMP
Inspec.ons Knowledge management
Technical Transfer
approx.
life cycle .me
1/4 3/4
© ICH, November 2010
Key Messages
Two primary principles of QRM are
• The evaluaJon of the risk to quality should be based on scienJfic knowledge and ulJmately link to the protecJon of the paJent
• The level of effort, formality and documentaJon of the quality risk management process should be
commensurate with the level of risk ICH Q9
Key Messages
• Reduce subjec.vity of implemen.ng QRM by making sure the right people are at the table
(e.g. mulJ‐discipline, include respecJve stakeholders, as applicable)
• Use QRM methods appropriately and present the conclusions and jus.fica.ons clearly
– Be clear and consistent in wording / terms used based on internaJonally agreed definiJons
– Transparency on the logic of the methodology and the decision making – QRM can not be used to jusJfy failure
• Use QRM proac.vely for increasing the knowledge of your product and processes
Quality by Design
Karlsruhe, Oktober, 2011
Dr. Iris M. ZieglerNasr Moheb, ImplementaJon of Q8 : FDA PerspecJve; ISPE and PDA Washington, D.C., December 2006
DESIGN SPACE
ICH Q8(R2): Design space
• The mulJdimensional combinaJon and interacJon of input variables (e.g., material avributes) and process parameters that have been demonstrated to provide assurance of quality.
• The relaJonship between the process inputs (material avributes and process parameters) and the criJcal quality avributes can be described in the design space.
• Working within the design space is not considered as a change.
• Movement out of the design space is considered to be a change and would normally iniJate a regulatory postapproval change process.
Presenta.on of Design space
Presenta.on of Design space
Desired: DissoluJon > 80%
Parameter 1: 44‐53 Parameter 2: 0‐1.1
Presenta.on of Design space
Presenta.on of Design space
Presenta.on of Design space
International Conference on Harmonisation of Technical
Requirements for Registration of Pharmaceuticals for Human Use
Implementation of ICH Q8, Q9, Q10
Breakout A Design Space
presentaJons.html
Tools
• StaJsJcal thinking
• Design of Experiments (DoE)
• MulJvariate data analysis (MVDA: PCA, PLS etc.)
• Neural networks including self organizing maps (SOM)
• Process simulaJon (numerical simulaJon of physical processes)
– ConJnuum approach, e.g. CFD – Discrete approach, e.g. DEM – MulJscale modeling
• Semi‐empirical models
• First principle models
Design of Experiments (DoE)
• Full factorial design
• FracJonal factorial design
• Response surface design
• two factor levels: linear and interacJon models
• three and more factor levels: quadraJc models
Informa.on about DoEs
• For DoEs involving single‐ or mulJple‐unit operaJons that are used to establish CPPs and/or to define a Design Space (DS), the inclusion of the following informaJon in the submission will greatly facilitate assessment by the regulators:
– raJonale for selecJon of DoE variables (including ranges) that would be chosen by risk assessment (e.g., consideraJon of the potenJal interacJons with other variables).
– Any evidence of variability in raw materials (e.g., drug substance and/or excipients) that would have an impact on predicJons made from DoE studies.
– LisJng of the parameters that would be kept constant during the
Informa.on about DoEs
– Type of experimental design used and a jusJficaJon of its appropriateness, including the power of the design.
– Factors under study and their ranges can be presented in a tabular format. Submivers should indicate if the factors are expected to be scale‐dependent.
– Reference to the type of analyJcal methods (e.g., HPLC, NIR) used for the evaluaJon of the data and their suitability for their intended use (e.g., specificity, detecJon limit).
– Results and staJsJcal analysis of DoE data showing the staJsJcal significance of the factors and their interacJons, including predicJons made from DoE studies relevant to scale and equipment differences.
ICH Quality IWG: Points to Consider for ICH Q8/Q9/Q10 ImplementaJon
DESIGN OF EXPERIMENTS
REMARKS
collinearity
Factors x1 and x2 are perfectly correlated: R=1
?
collinearity
Model equa.on
constant main effects, linear terms error
linear model
Model equa.on
constant main effects, linear terms two factor interacJons
error
interac.on model
Model equa.on
constant main effects, linear terms two factor interacJons
quadraJc terms error
quadra.c model
Coding of variables
Coding of variables
Factor space
High level pressure:
1 bar or 5 bar
StaJsJca
Evalua.on with coded factors
ALL MODELS ARE WRONG, BUT SOME ARE USEFUL.
G.E.P. BOX
Factor levels
Y
threshold: quadra.c model
‐10 0 10 20 30 40 50 60
0 20 40 60 80 100 120
linear model
quadraJc model
EXAMPLES
Example
Dynamic co‐precipita.on process
Thermodynamics and crystal growth model:
‐ semi‐empirical nucleaJon rate equaJon
Naproxen and Eudragit L100 in alcohol: precipitaJon with water
Dynamic co‐precipita.on process
• 33 full factorial design
– Slurry temperature – Slurry sJrring rate
– Non‐solvent addiJon rate
• InteracJon model
‐ CL ranges calculated
‐ ANOVA
‐ General Linear Modeling
Dynamic co‐precipita.on process
GLM
Neural network modeling
Dynamic co‐precipita.on process
As a proof of concept, this simplified case study was mainly focused on the effects of process variables while keeping other variables fixed based on risk analysis and iniJal formulaJon development results.
Maximum Rate7 was obtained around the following process window:
‐1 < x1 < 0.1, ‐0.25 < x3 < 0.95
Example
uniformity
• Discrete element modeling (DEM)‐simulaJon
• 2 potenJal criJcal input parameters: weight raJo, blending Jme
• 2 component system: ASA and lactose
• Blending end point
• Target: RSD < 5%
Blend homogeneity and content uniformity
Ishikawa diagram
FMEA
uniformity
SimulaJon parameters:
‐ spherical parJcles of 4mm diameter
‐ loading 40% volume, i,e, 30,000 parJcles
‐ density: 1.53 g/cm3 for ASA 1.40 g/cm3 for lactose
‐ maximal parJcle overlap: 5%
‐ coefficient of resJtuJon: 0.7 ASA; 0.6 lactose
‐ sliding fricJon coefficient: 0.4 ASA; 0.3 lactose
‐ 15 rpm
‐ 10% ‐ 50% ASA
‐ 0 – 60 s blending Jme
‐ mulJple samples with constant sampling size
‐ nine samples axer each revouluJon of 120 parJcles (= 6g sample weight)
Blend homogeneity and content uniformity
RSDs=σs
W with σs= p(1−p)
( ) completely random simulaJon
uniformity
10% ASA axer 15 revoluJons
ASA and lactose parJcles only ASA parJcles
Blend homogeneity and content uniformity
Lacey‘s Index:
raJo of ‚mixing achieved‘ to ‚mixing possible‘
Example
Bootstrapping
• Bootstrapping is the pracJce of esJmaJng properJes of an esJmator (such as its variance) by measuring those properJes when sampling from an approximaJng distribuJon.
• One standard choice for an approximaJng distribuJon is the empirical distribuJon of the observed data.
• In the case where a set of observaJons can be assumed to be from an independent and idenJcally distributed populaJon, this can be implemented by construcJng a number of resamples of the observed dataset (and of equal size to the observed dataset), each of which is obtained by random sampling with replacement from the original dataset.
Bootstrapping
• Bootstrapping allows one to gather many alternaJve versions of the single staJsJc that would ordinarily be calculated from one sample.
• For example, assume we are interested in the height of people worldwide.
As we cannot measure all the populaJon, we sample only a small part of it.
From that sample only one value of a staJsJc can be obtained, i.e. one mean, or one standard deviaJon etc., and hence we don't see how much that staJsJc varies.
• When using bootstrapping, we randomly extract a new sample of n heights out of the N sampled data, where each person can be selected at most t Jmes.
• By doing this several Jmes, we create a large number of datasets that we might have seen and compute the staJsJc for each of these datasets.
• Thus we get an esJmate of the distribuJon of the staJsJc. The key to the strategy is to create alternaJve versions of data that "we might have seen".
Example
Example
Robust design space by bootstrap
techniques
Example
Data‐driven modeling
• High‐Dimensional Model RepresentaJons
• Response Surface Methodology
• Kriging Methodology
– Capability of modeling complex funcJons and providing error esJmates
– FuncJon values for a sampling point located close to the test point is weighted more heavily in contrast to a sampling point located farther away.
• Modeling with Discrete Design Variables
• Case study:
– ConJnuous mixer
• Provide a general framework for mapping the design space of any process operaJon for which first‐
principle models are not yet available.
Example
Example
Example
Example
Mul.scale modeling
• Based on the analysis of the current status of the process modeling tools and systems in the area of solids
processes, the following conclusions can be drawn:
• the ulJmate goal of the modeling is simulaJon of a whole process plant on the macroscale;
• to adequately consider material properJes and apparatus geome‐tries, the mulJscale methodology should be used.
• As a main simulaJon approach in SolidSim, the sequenJal‐
modular method is used (Hillestad & Hertzberg, 1986), for which the calculaJon of units is iteraJvely repeated unJl convergence is reached.
Mul.scale modeling
Mul.scale modeling
Mul.scale modeling
Mul.scale modeling
Solid Sim flowsheet
Mul.scale modeling
Mul.scale modeling
PharmaceuJcal Solid State
PSSRC Research Cluster
Düsseldorf
NASA, 2004
Contact
Prof. Dr. Peter Kleinebudde
InsJtute of PharmaceuJcs and BiopharmaceuJcs Universitaetsstrasse 1
40225 Duesseldorf Germany
tel.: +49‐211‐8114220 fax: +49‐211‐8114251 e‐mail: kleinebudde@hhu.de
Acknowledgements
Dr. Iris Ziegler Dr. Markus Thommes Markus Wirges