CrystEngComm

PAPER

Cite this: CrystEngComm, 2019, 21,

2105

Received 24th August 2018,Accepted 16th October 2018

DOI: 10.1039/c8ce01428k

rsc.li/crystengcomm

Polymorph control in batch seeded crystallizers. Acase study with paracetamol†

Lucrèce Nicoud, Filippo Licordari and Allan S. Myerson *

Controlling crystal polymorphism is crucial in the manufacturing of pharmaceuticals. In this work, we com-

bine experimental characterization (including online imaging, infrared and Raman spectroscopy) with pop-

ulation balance modeling to investigate polymorph formation in batch seeded crystallizers considering

paracetamol as a model system. We show that seeding the crystallizer with the target polymorph (here

form II) does not necessarily lead to the intended polymorphic outcome. It is found that a decrease in tem-

perature and in the stirring speed both allow improving the yield–purity trade-off thanks to a decrease in

the nucleation rate of form I. The temperature leading to the most productive process is shown to be

strongly dependent on the target polymorphic purity, namely the optimal temperature decreases with in-

creasing purity specifications.

A large number of active pharmaceutical ingredients areknown to crystallize in different polymorphic forms,1 i.e., incrystalline structures characterized by different packing and/or molecular arrangement. Different polymorphs may exhibitdifferent properties, for instance in terms of solubility,bioavailability, color, shape, hygroscopy, filterability orcompactability.2,3 It is thus key to produce the targetpolymorph at a high purity in order to obtain the desiredcrystal properties and to comply with regulatoryrequirements. Several strategies have been investigated with aview to controlling polymorphism, including the level ofsupersaturation, the choice of the solvent, the use of solubleadditives, seeds, and engineered surfaces.4–7 In any case, thepolymorphic outcome is dictated by the relative rates ofnucleation and growth of the various forms.6,8 In addition,when the solute concentration drops below the solubility of ametastable form, the polymorphic content is also affected bythe kinetics of solvent-mediated transformation. The latter oc-curs due to the dissolution of a metastable form followed bythe recrystallization of a more stable (i.e., less soluble) formas the system strives to reach equilibrium. The solvent-mediated transformation of a number of systems has beenstudied both experimentally and theoretically.6,9–17 It wasfound that stable forms often nucleate on crystals of a meta-

stable form and that the rate-limiting step (dissolution or re-crystallization) depends on the system under investigation.

Seeding the crystallizer with crystals of the target poly-morph is often regarded as a relatively straightforward man-ner to obtain the intended form. Seeding has for examplebeen used to control the polymorphism of a steroid,18

abercarnil,18 and carbamazepine.19 However, it is importantto realize that seeding can help obtaining the desired poly-morph only if the secondary nucleation and growth rates ofthe latter surpass the primary nucleation and growth rates ofthe unwanted polymorphIJs). In addition, the polymorphic pu-rity of the seeds plays a key role in the polymorphic outcomesince small traces of an unwanted polymorph may preventthe crystallization of the desired form, as it is for examplethe case with ritonavir.20 Despite the large number of studieson polymorphic systems, a deep understanding of polymorphformation is still lacking and polymorph control is thuslargely a matter of trial and error. Further investigations aretherefore required to unravel the kinetics of polymorph for-mation with a view to achieving a better control of the poly-morphic outcome.

In this work, we select paracetamol (acetaminophen) as amodel system. In solution, paracetamol forms two poly-morphs: form I, which is monoclinic and the most stable un-der usual temperatures, and form II, which is orthorhombicand metastable. Form II has a better compression behaviorthan form I,21,22 but is relatively difficult to obtain and isthus not produced commercially. Three other polymorphshave been reported in the literature: form III, which was crys-tallized from the melt and was shown to be highly unstable,23

and forms IV and V, which were obtained at high pressure.24

Here, we target the production of form II. We start our study

CrystEngComm, 2019, 21, 2105–2118 | 2105This journal is © The Royal Society of Chemistry 2019

Massachusetts Institute of Technology, 77 Massachusetts Avenue, Cambridge, MA-

02139, USA. E-mail: myerson@mit.edu

† Electronic supplementary information (ESI) available: Characterization of theseeds, example of solubility measurement of form II, density measurements, cal-ibration of the analytical tools, shape factor of form II, additional crystallizationexperiments, comparison of crystallization rates of form I with previous studies,impact of operating conditions on the normalized yield. See DOI: 10.1039/c8ce01428k

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by performing batch crystallization experiments in ethanolunder various concentrations, temperatures, and stirringspeeds. In each case, the crystallizer is seeded with crystals ofform II. We monitor the solute concentration and the poly-morphic content with online infrared and Raman spectro-scopy, respectively. Then, we develop a kinetic model to ex-tract the kinetic parameters of both forms of paracetamol.Finally, we use the kinetic model to select the most suitableoperating conditions to obtain form II within target specifica-tions in terms of polymorphic purity, yield, and productivity.

1 Materials and methods1.1 Materials

Paracetamol form I was purchased from Sigma-Aldrich (Acet-aminophen BioXtra, ≥99%), metacetamol from TCI America(3′-hydroxyacetanilide, ≥98%) and anhydrous ethanol fromDeacon Labs (Koptec 200 proof pure ethanol).

1.2 Preparation of seeds of form II

Crystals of paracetamol form II were prepared in the pres-ence of metacetamol, as suggested by Agnew et al.25 To doso, a solution containing 300 mg paracetamol and 30 mgmetacetamol per g of ethanol was cooled from 50 °C to 0 °Cat 75 rpm using the set-up described in section 1.4. Whenthe temperature reached 1 °C, the agitation was increased to400 rpm and 100 mg of seeds of form II were introduced inthe crystallizer. After 4 h, the crystallization was stopped andthe crystals were collected by filtration under vacuum. Thecrystals were dried overnight under the hood and were thensieved (Scienceware, Mini-Sieve, Micro Sieve Set, Bel-Art).Crystals comprised between the third mesh screen (number45 according to the U.S. standard mesh scale) and the fourthmesh screen (number 60) were collected.

The aforementioned procedure requires seeding the crys-tallizer with pre-formed crystals of form II. The very firstseeds of form II were obtained by melting commercial para-cetamol on a glass slide and letting it cool down at roomtemperature.23 Crystallization from the melt was poorly re-producible and difficult to scale-up. In addition, the crystalsof form II obtained from the melt were only stable for a fewdays. Therefore, solution crystallization in the presence ofmetacetamol was preferred for the subsequent preparationsof seeds. With this procedure, no trace of paracetamol form Icould be detected in the seeds by powder X-ray diffraction(PXRD), Raman spectroscopy and Fourier transform infrared(FTIR) spectroscopy, even after several months of storage.The detection limit of form I with PXRD was estimated to ap-proximately 5%. More details about the experimental charac-terization of the seeds are given in the ESI.†

1.3 Solubility measurements

1.3.1 Form I. Saturated solutions of paracetamol form Iwere prepared by magnetically stirring an excess of commer-cial paracetamol in contact with 1 mL ethanol. The vials were

placed in a Crystal16 apparatus (Technobis CrystallizationSystems) to precisely control the temperature. After 24 h, thesolution was filtered with a 0.2 μm syringe filter (VWR, 13mm diameter, PTFE membrane) and the filtrate was placedin tared vials. The vials were weighted immediately after in-troducing the filtrate and after evaporating the solvent. Etha-nol was first evaporated under the hood and the last traceswere removed by drying the crystals in a vacuum oven ataround 60 °C. Once the mass of the samples was constantover time, the solubility was computed as the mass of crystalsdivided by the mass of solvent that had evaporated.

1.3.2 Form II. Solubility measurements of form II werecomplicated by solvent-mediated transformation. To circum-vent this issue, for each investigated temperature, paraceta-mol solutions of increasing concentrations above the solubil-ity of form I were prepared by increments of 5 mg g−1. Fewseeds of form II were added to these solutions and tracked bymicroscopy. To do so, an inverted microscope platform (AxioObserver Z.1m, Zeiss) equipped with a temperature controllerwas used, which allowed monitoring the behavior of severalsamples in parallel. For each temperature, the solubility ofform II was estimated as the lowest concentration where dis-solution of the seeds did not occur within the time frame ofthe experiment (approximately 16 h). For illustrative pur-poses, pictures recorded during a representative experimentare shown in the ESI.†

1.4 Crystallization experiments

All crystallization experiments were performed in batch modein an EasyMax 102 Advanced Synthesis Workstation (MettlerToledo) using a 100 mL two-piece glass reactor equipped witha PTFE cover and an overhead pitch-blade impeller (Alloy-C22, 38 mm diameter, downwards). Paracetamol solutionswere prepared by dissolving commercial paracetamol in etha-nol at 50 °C under stirring. Then, 100 mL of the so-preparedsolution were transfered in the EasyMax reactor. The solutionwas stirred at 75 rpm and the temperature was maintained at50 °C during 5 min. After that, the temperature was de-creased to the set temperature (T = −10 °C, 0 °C or +10 °C)using the steepest achievable ramp (around 4 °C min−1). Thesolution was cooled under slow agitation (75 rpm) to avoidthe formation of crystals during cooling. It was verified withonline imaging that no crystals were formed during thecooling phase. Once the temperature reached 1 °C above theset point, the agitation was increased to the set value (N =200, 300, or 400 rpm) and 100 mg of seeds of form II were in-troduced in the crystallizer.

1.5 Process analytics

1.5.1 Online attenuated total reflection Fourier transforminfrared spectroscopy. The concentration of paracetamol inthe liquid phase was monitored by online attenuated total re-flection Fourier transform infrared (ATR-FTIR) spectroscopyusing a ReactIR 15 system from Mettler Toledo equippedwith a 6.3 mm AgX DiComp immersion probe and a diamond

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as ATR crystal. At each time point, 256 spectra were recorded.Details on the calibration procedure are given in the ESI,†while calibration results are given in section 2.2.

1.5.2 Online microscopy. Crystals were visualized onlinewith high resolution microscopy using a Blaze900 probe fromBlazeMetrics. The probe uses a 532 nm laser, has a field ofview of 900 μm and allows detecting crystals above approxi-mately 2 μm. The image plane was set to 120 μm.

1.5.3 Offline Raman spectroscopy. The percentage of crystalsof form II was estimated by offline Raman spectroscopy with aview to calibrating online Raman measurements. To do so, 0.5mL aliquots were withdrawn from the crystallizer at differenttime points and dried on a filter paper. The crystals were thenanalyzed with a Raman WorkStation from Kaiser Optical Sys-tems using a 20× optical lens. The exposure time was set to 1 sand two accumulations were collected. For each sample, mea-surements were taken at five different locations. The symbolsand error bars in the graphs represent the average and stan-dard deviations of those five measurements, respectively. De-tails on the calibration procedure are given in the ESI,† whilecalibration results are given in section 2.2.

1.5.4 Online Raman spectroscopy. Online Raman spectro-scopy was used to monitor the concentration of crystals of formII as a function of time. It was implemented using a Blaze900probe (same probe as that used for online microscopy)connected to a RamanRxn2 Hybrid Analyzer from Kaiser OpticalSystems equipped with a 785 nm laser. The collection time wasset to 45 s and two spectra were acquired per measurement.

The calibration was performed by regressing online Ra-man data of one crystallization experiment on the concentra-tion of crystals of form II estimated independently (usingATR-FTIR to measure the total solid concentration andoffline Raman to measure the fraction of form II). The regres-sion was performed using principal component regression(PCR), which consists of applying principal component analy-sis (PCA) followed by multilinear regression.

Let us denote mt and ms the number of times and Ramanshifts at which the Raman intensity is measured during thekinetic experiment. These data are stored in the matrix M (ofsize mt × ms). Note that the number of selected Raman shiftsshould necessarily be smaller than the number of times atwhich the spectra are recorded. PCA consists in projectingthe matrix M onto a score matrix Tr of size mt × mr with mr ≤ms. Typically, the dimension of the problem is reduced fromms ≈ 102–104 strongly correlated or even linearly dependentvariables to mr ≈ 2–10 linearly independent variables, whichare linear combinations of the original variables. The matrixof weights (or loadings), which regresses M on Tr is denotedWr (of size ms × mr) and is defined such that:

Tr = MWr (1)

Note that eqn (1) can be applied to mr = ms, so that thematrices Ts and Ws are of size mt × ms and ms × ms, respec-tively. The size of the problem can then be reduced to mr <

ms simply by defining Tr and Wr as the first mr columns of Ts

and Ws, respectively. Once the matrices Wr and Tr have beendetermined, the matrix M is regressed on the vector cII (ofsize mt × 1) containing the known concentrations of crystalsof form II. This can be mathematically written as:

cII = Mp (2)

where p is the regression vector (of size ms × 1) and can be es-timated as:

p W T T T cr r r rII ( ) 1 (3)

In the case where the data are not passing through the ori-gin, a constant coefficient must be added to eqn (2). This canbe implemented by rewriting the equation as follows:

cII = Nq (4)

where N is obtained by adding a column of ones to the left ofthe matrix M, so that N is of size mt × (ms + 1). The vector qof size (ms + 1) × 1 is instead obtained by adding the scalarterm meanIJcII) − Mp on top of the vector p. Once the vector qhas been determined from the regression experiment, theconcentration of form II can be computed for any ensembleof Raman spectra stored in a new matrix M by using eqn (4).

1.6 Kinetic model

The kinetic model used in this paper accounts for the nucle-ation and growth of form I as well as for the nucleation,growth and dissolution of form II. The selected expressionsof the nucleation (B), growth (G) and dissolution (D) rates aregiven in Table 1. The supersaturation derives from a differ-ence in chemical potential and is thus best described as thelogarithm of the ratio between the actual concentration inthe liquid phase (denoted cliq) and the concentration at satu-

ration, i.e., the solubility (denoted cI* and cII* for forms I and

II, respectively). A linearization of the dissolution rate wasemployed because the solute concentration is close to the sol-ubility of form II during the dissolution process.

The nucleation rates are assumed to be proportional to thesecond order moment (denoted μ2) of form I or form IIdepending on the type of nucleation. The second order mo-ment is proportional to the total crystal surface and is definedrigorously later on (see eqn (7) and (8)), while some additionalcomments on the expression of the nucleation rates are givenhere. Considering form II first, secondary nucleation isexpected to be dominant with respect to primary nucleationsince the crystallizer is seeded with crystals of form II. Accord-ingly, the nucleation rate of form II is considered to be propor-tional to μII2 (see BIIs in Table 1). Note that such lumped expres-sion is sometimes assumed to average contributions from bothprimary and secondary nucleation in a coarse-grained manner.On the other hand, it is necessary to explicitly account for theprimary nucleation of form I in order to explain its appearancein the crystallizer (setting μI2 = 0 at time 0 would indeed

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otherwise result in the absence of form I all along the crystalli-zation process). True homogeneous primary nucleation is oftenconsidered unrealistic in finite size vessels, so that heteroge-neous nucleation on surfaces is regarded as the predominantmechanism of primary nucleation. A surface that is highlylikely to promote the nucleation of form I is the surface ex-posed by crystals of form II. Therefore, the primary nucleationof form I is considered here to be proportional to the surface ofcrystals of form II (see BIc in Table 1). This phenomenon is re-ferred to as cross-nucleation and has been reported for severalsystems in the literature, including ROY,26 L-glutamicacid,11,14,27 D-mannitol,28,29 and polypivalolactone.30 Besidescross-nucleation, form I also appears by secondary nucleation,with an expression similar to that employed for form II (see BIsin Table 1).

In Table 1, the parameters k are temperature dependentrate constants, while the exponents n are assumed to be tem-perature independent. The indexes c, s, g and d refer tocross-nucleation, secondary nucleation, growth and dissolu-tion, respectively. For the sake of simplicity, it is assumedthat ns and ng are identical for the two forms.

In a batch crystallizer, the population balance equations(PBE) describing the time evolution of the concentration ofcrystals of form I and II are written as follows:

nt

G nL

B B L LI I I

cI

sI 0

(5)

nt

G nL

D nL

B D n L LII II II II II

sII II II 0

(6)

where t denotes the time and L the characteristic crystal size.The concentration of crystals comprised between L and L +dL, namely n = n(t, L), is expressed in # m−4. The growth anddissolution rates are assumed to be size independent. The

symbol δ represents the Dirac delta function and indicatesthat nucleation produces crystals of size L0 only. On the otherhand, dissolution reduces the size of crystals of form II.When a crystal of form II reaches L0, it disappears and goesback to the liquid phase. The concentration of crystals ofform II of size L0, i.e., n

II(t, L = L0), is denoted nII• .In this work, the PBE were solved by using the methods of

moments. The moments of order j of the crystal size distribu-tions of both forms are defined as follows:

μIj =R∞0 L

jnI(t, L)dL (7)

μIIj =R∞0 L

jnII(t, L)dL (8)

By applying the above definitions, the PBE given in eqn(5) and (6) are written as:

dd

II I

cI

sI

jj

j

tjG B B L 1 0

(9)

dd

IIII II II II IIjj s

j

tjG B D n L 1 0

(10)

These equations are coupled to a mass balance on the solute:

dcdt

liq

vI I I I

vII II II II 3 32 2k G k G (11)

where kiv and ρi denote the shape factor and crystal density ofform i, respectively. The initial conditions are given by cliq(t = 0)= cliq0 , nI(t = 0, L) = 0, and nII(t = 0, L) = nIIseeds(L). The concentra-tions of crystals of form I and II are computed from:

cI = kIvρIμI3 (12)

cII = kIIv ρIIμII3 (13)

Eqn (9)–(11) are straightforward to solve in the absence ofdissolution. However, when solvent-mediated transformationoccurs, it is necessary to estimate nII• , which is not directlyobtained from the moment equations. Here, we estimate nII•according to the method employed by Cornel et al.9 Thismethod relies on the reconstruction of the crystal size distri-bution at the time where dissolution starts by using a Laplacebased technique previously derived by Qamar et al.31 Briefly,the idea is to first solve the moment equations until td, thetime when dissolution starts, so as to obtain the time depen-dence of the nucleation and growth rates. Then, the size dis-tribution of crystals of form II at time td can be computed as:

nII(td, L) = nII0 (L − uII(td)) + rII(L) (14)

with:

u t GtII

dIId d 0 (15)

Table 1 Expressions of the nucleation, growth and dissolution rates

Form I

Cross-nucleationB k

nccc

IcI IIcliq

Iln

* 2

Secondary nucleationB k

nccs

IsI Isliq

Iln

* 2

GrowthG k

ncc

IgI gliq

Iln

*

Form II

Secondary nucleation c cliqII * B k

nccs

IIsII IIsliq

IIln

* 2

Growth c cliqII * G k

ncc

IIgII gliq

IIln

*

Dissolution c cliqII * D k c c

cII

dII liq

II

II *

*

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r LBG

L L u tIIsII

IIII

dif

otherwise

0 0

0(16)

where ξ is the root of the following equation:

tG L Ld II d 0 0 (17)

which can, for instance, be solved by using Newton'sformula.

The first term in eqn (14) describes the growth of seeds,while the second one accounts for nucleation and growth ofnewly formed crystals. Once the size distribution of crystalsof form II is computed at the moment where dissolutionstarts, the concentration of crystals of form II of size L0 atany time t ≥ td can be computed as nII• = nII(t, L = L0) = nIIIJtd,L•), where the length L•IJt) is computed by integrating dL•/dt= |DIIIJt)| with the initial condition L•(t = 0) = L0. Indeed, sincedissolution simply shifts the crystal size distribution to lowersizes, it is equivalent to keep L = L0 and increase the time t,or keep t = td and increase the length L• at a rate equal to thedissolution rate.

The moment equations were solved using concentrationsin kg of paracetamol per cubic meter of suspension. Densitymeasurements were performed at various concentrations andtemperatures to allow the conversion to kg of paracetamolper kg of ethanol. The results of density measurements arepresented in the ESI.†

2 Results and discussion2.1 Solubility

Since solubility dictates the thermodynamics of crystalliza-tion, we started our study by estimating the solubility of bothforms of paracetamol. The measured solubility values of formI and form II in ethanol are shown as a function of tempera-ture with blue and red circles, respectively, in Fig. 1. Thesedata were described by a thermodynamic model in our previ-ous article.32 Here, we simply fit the experimental data withthe following exponential expressions:

c Tc TI

II

expexp

0 702 0 0190 593 0 020

**

(18)

where cI* and cII* are the solubilities of form I and II, respec-

tively, expressed in mg gEtOH−1, while T is the temperature in

Kelvin. The results of the fitting are represented by solid linesin Fig. 1.

It is seen in Fig. 1 that form I is the most stable over theentire range of temperatures investigated. In addition, thedifference in solubility between the two forms decreases atlower temperatures. This suggests that the crystallization of

form II is thermodynamically more favored at low tempera-tures than at high temperatures.

2.2 Calibration of process analytical tools

Process analytical technologies (PAT) are increasingly usedfor process monitoring and control, both at the laboratoryand industrial scales.33 In this work, ATR-FTIR and Ramanspectroscopy were used to quantify the solute concentrationand the concentration of form II, respectively, as a functionof time. The use of such analytical tools requires first propercalibration, whose results are reported in this section.

2.2.1 Online ATR-FTIR. ATR-FTIR probes allow monitoringsolute concentrations in the liquid phase independently ofthe presence of solids due to the low penetration depth ofthe IR beam (in the order of few microns). Therefore, in thecase of binary systems, i.e., a single solute dissolved in a sin-gle solvent, calibration procedures of ATR-FTIR spectroscopyare rather straightforward.11,34,35 Here, the concentration ofdissolved paracetamol was correlated to the height of thepeak at 1514 cm−1 after subtracting the intensity at 1801cm−1, which corresponds to the intensity of the baseline.More details about the calibration procedure are given in theESI,† while the results of the linear regressions at the threeconsidered temperatures are given below:

T cT c

100

2 00 10 0 2051 98 10 0

15143

15143

CC

liq

liq

A

A .

1971 96 10 0 19010 1514

3T cC liqA .(19)

where 1514 denotes the absorbance at 1514 cm−1 and cliq isthe solute concentration in mg gEtOH

−1.2.2.2 Offline Raman. Offline Raman analysis on dried

solid samples was performed with a view to calibrating theonline Raman probe. This in turn required prior calibrationof the offline Raman instrument. Details about the calibra-tion procedure are given in the ESI,† while the calibration re-sult is given here:

Fig. 1 Solubility of paracetamol form I and form II in ethanol as afunction of temperature. Symbols represent experimental data andlines correspond to the fits given in eqn (18).

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AA A

f454

454 465

38 0 10 0 12

II (20)

where A454 and A465 denote the areas under the peaks at 454cm−1 and 465 cm−1, respectively, obtained after baseline sub-traction, while fII denotes the mass percentage of form II.

As a comparison, the following calibration has beenreported previously in the literature: A454/A465 = 482/(100 − fII)− 0.324.36 This expression has the disadvantage to divergewhen the percentage of form II tends towards 100%, and eqn(20) was thus preferred.

2.2.3 Online Raman. The analysis of online Raman data isoften substantially more complex than that of online IR databecause the Raman signal depends on many factors includ-ing the composition of the solid and liquid phases as well asthe size and shape of the suspended crystals. Although insome simple cases a monovariate analysis was shown suffi-cient to correlate Raman spectra to the polymorphic composi-tion, multivariate analysis is quite often required.10,37–39

Unraveling the impact of each factor (e.g., solid composition,liquid composition, crystal size, crystal shape, temperature)and their combination on Raman spectra is extremely te-dious. In this work, we investigate the possibility to regresscalibration parameters on one single kinetic experiment. Thisexperiment has to be selected so as to allow the observationof a change in polymorphic composition over time. Here, thefollowing operating parameters were chosen: T = 0 °C, cliq0 =300 mg gEtOH

−1, N = 400 rpm. Under these conditions, a suffi-cient amount of form II could be obtained by seeding thecrystallizer with crystals of form II. Then, a change in poly-morphism occurred due to solvent-mediated transformation.This is illustrated in Fig. 2, where it is seen that plate-likecrystals are formed at the beginning of the experiment, whichare characteristic of form II. On the other hand, after 6 h,more rounded crystals are observed, characteristic of form I.

The Raman spectra at the beginning and at the end of theexperiment are shown in the ESI.† Several peaks and peak ra-tios were tracked as a function of time in an attempt to ratio-nalize the data, i.e., identify some features representing theincrease in solid content and change in solid composition.However, such simple analysis was largely unsuccessful.

Exploratory data analysis can provide useful qualitative in-formation on the main characteristics of online measure-ments. Here, principal component analysis (PCA) wasperformed on the online Raman data and the results areshown in Fig. 3. It is usually recommended to pre-process thespectra before applying statistical analysis in order to reducethe effects unrelated to the property of interest (e.g., slightfluorescence and laser fluctuations), so that pertinentchanges can be better observed. Various pre-processing ap-proaches have been used in the literature, such as the nor-malization, smoothing or computation of derivatives of exper-imental spectra.40,41 The results of Fig. 3 were obtainedconsidering first derivatives (D1) followed by standard nor-

mal variate (SNV) treatment. The latter correction consists insubtracting the mean of the spectrum and subsequently di-viding it by the standard deviation. Fig. 3(a) shows the scoresof the first four principal components as a function of timetogether with the explained percentage of variance. It is gen-erally difficult to relate principal components to physicalquantities. Nevertheless, it is seen that the trend of the firstprincipal component (PC1) somehow resembles the expectedtrend of the concentration of crystals of form II: it increasesdue to crystallization, reaches a maximum, and then de-creases due to transformation into form I. On the otherhand, the trend of the second principal component (PC2) isnot too far from the expected trend of the concentration inthe liquid phase, with a sharp decrease at the beginningfollowed by a quite long plateau due to the transformation.In addition, it is seen that the first three principal compo-nents describe most of the variance (94.04%), so that PCA al-lows reducing the size of the system from 1800 recordedwavelengths to 3 principal components. The scores are plot-ted as a function of the three first principal components inFig. 3(b). In this graph, each symbol represents a differenttime point and the arrows indicate the time direction. Thisrepresentation allows the identification of three phases, de-noted ①, ②, and ③, further discussed later on.

After principal component analysis, the online Raman datawere regressed with a multilinear model on the concentrationof form II determined independently from online ATR-FTIRand offline Raman data. While online ATR-FTIR provides an es-timate of the solute concentration (and thus of the total solidconcentration by difference), offline Raman measurements pro-vide an estimate of the fraction of form II in dried solid sam-ples. The combination of the two techniques therefore allowsassessing the absolute concentration of crystals of form II. Theregression vector was determined by PCR, as described in sec-tion 1.5.4. The quality of the regression can be appreciated inFig. 4(a), where the online data are represented by dots andoffline data by circles. Two pre-processing methods have beenemployed, namely SNV (purple dots) and first derivatives

Fig. 2 Online images recorded during the seeded crystallization ofform II with the following operating conditions: T = 0 °C, cliq0 = 300mg gEtOH

−1, N = 400 rpm.

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followed by SNV (red dots). It can be seen that a good regres-sion can be obtained in both cases.

Then, the validity of the calibration was assessed by itsability to determine the concentration of form II in otherconditions. To do so, three validation experiments wereperformed, where in each of them one operating parameterwas varied as compared to the regression experiment. Theresults are presented in Fig. 4(b–d). In panel (b), the con-centration was decreased from 300 mg gEtOH

−1 to 250 mggEtOH

−1. In panel (c), the temperature was decreased from0 °C to −10 °C. In panel (d), the stirring speed was de-creased from 400 rpm to 300 rpm. In each case, the sametwo pre-processing methods as those used for the regres-sion, namely SNV and first derivative followed by SNV, weretested. It is seen that the calculations of the online concen-tration of form II are in very good agreement with theoffline measurements in the case where the signals werepre-processed using the first derivatives followed by SNV. Asa comparison, the calculations are less accurate when usingSNV alone. Therefore, the method of first derivatives com-bined with SNV was selected to analyze subsequent data.

The results of Fig. 4 validate the statistical model used toprocess online Raman data.

2.3 Crystallization kinetics

Batch crystallization experiments were performed in ethanolat various concentrations (from 250 mg gEtOH

−1 to 300 mggEtOH

−1), various temperatures (from −10 °C to +10 °C), andvarious stirring speeds (from 200 rpm to 400 rpm). In eachcase, the crystallizer was seeded with crystals of form II. Ex-perimental results are presented with dots in Fig. 5. The con-centration of paracetamol in the liquid phase was deter-mined by online ATR-FTIR and is shown in black. Theconcentration of crystals of form II was determined by onlineRaman spectroscopy using the multilinear model described

Fig. 3 Principal component analysis on a seeded crystallizationexperiment. The following operating conditions were employed: T =0 °C, cliq0 = 300 mg gEtOH

−1, N = 400 rpm. (a) Scores of the first fourprincipal components as a function of time together with theirpercentage of explained variance. (b) Scores over time in a threedimensional representation. Arrows indicate the time direction.

Fig. 4 Online Raman calibration. (a) Regression experiment performedwith the following operating parameters: cliq0 = 300 mg gEtOH

−1, T =0 °C, N = 400 rpm (b–d) validation experiments. In each case, only oneparameter was varied, namely: (b) cliq0 = 250 mg gEtOH

−1, (c) T = −10 °C,(d) N = 300 rpm.

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in the previous section and is shown in red. Finally, the concen-tration of crystals of form I was determined by a mass balanceknowing the initial concentration, the solute concentration andthe concentration of crystals of form II, and is shown in blue.

Although the time frame of crystallization varies greatlybetween the different conditions, all the experiments sharecommon features, with three distinct phases. During the firstphase, the concentration in the liquid phase drops due to thecrystallization of form II (in parallel to the crystallization ofform I in some cases). Then, the crystals of form II dissolveand recrystallize as form I. During this transformation, theconcentration in the liquid phase stays constant at the solu-bility of form II. Finally, the concentration in the liquidphase drops toward the solubility of form I due to the furthercrystallization of form I. These three phases correspond tothe phases ①, ②, and ③ identified in Fig. 3(b).

The data presented in Fig. 5(a) correspond to a repetitionof the experiment presented in Fig. 4, and thus show thegood reproducibility of the experiments. It is seen in Fig. 5(a–c) that a decrease in the initial solute concentration from 300mg gEtOH

−1 to 250 mg gEtOH−1 slows down phase ①, i.e., it

takes more time to reach the solubility of form II. This is dueto a decrease in the supersaturation. In addition, it is ob-served that for each concentration, after 1 h of cooling (i.e.,

approximately when cliq approaches cII* ), the fraction of formII exceeds 60%. This suggests that the initial concentrationhas only a weak impact on the polymorphic content.

Considering now the data shown in Fig. 5(d–f), it is seenthat temperature has a very strong impact, not only on thetime scale of the experiment (from 1.5 h at +10 °C to 30 hat −10 °C), but also on the polymorphic content. In particu-lar, form II can be obtained at a decent concentration onlyat −10 °C and 0 °C. At +10 °C, the crystallization of form Iis so fast that seeding is not sufficient to induce the crystal-lization of form II. It is already anticipated from these datathat the differences in solubility reported in Fig. 1 cannotexplain such drastic changes in the polymorphic outcome. Amore detailed kinetic analysis is performed in the nextsection.

Finally, the results shown in Fig. 5(g–i) indicate that thestirring speed has a negligible influence on the kinetics ofcrystallization of form II, but has a strong influence on thekinetics of transformation. Indeed, no substantial differencesare noticed in the solute depletion kinetics at the beginningof the experiment, but a significantly longer plateau is ob-served when decreasing the stirring speed from 400 rpm to200 rpm. In addition, a higher concentration of form II isreached at lower stirring speeds.

Fig. 5 Crystallization kinetic experiments under various conditions of (a–c) concentration, (d and e) temperature and, (g–i) agitation speed.Experimental data are represented by dots and model simulations by lines. The concentrations of dissolved paracetamol, crystals of form I, andcrystals of form II are show in black, blue, and red, respectively. The model parameters are summarized in Fig. 6 and 7.

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2.4 Model parameters estimation

In this section, we describe the experimental data of Fig. 5with the kinetic model presented in section 1.6, which ac-counts for the primary (cross) nucleation, secondary nucle-ation, and growth of form I, as well as the secondary nucle-ation, growth and dissolution of form II. The implementationof the model requires first to estimate model parameters.

For the sake of simplicity, it was assumed that both poly-morphs have the same density, which was set here to ρI = ρII

= 1332 kg m−3 in agreement with previous publications.34,42,43

The shape factor of form I has been estimated to kIv = 0.866in the literature.44 On the other hand, the shape factor ofform II has been estimated in this work to kIIv ≈ 2. To do so,a simplified morphology based on the one reported in the lit-erature45 has been considered and pictures were analyzed todetermine the length, width and thickness of a number ofcrystals of form II. The width was chosen as the characteristiclength L, and the shape factor was estimated from the mea-surement of the crystal volume as V = kvL

3. More detailsabout the calculation of the crystal volume as a function ofthe crystal width for the selected morphology are given in theESI.†

The seed size distribution was described by a gamma dis-tribution of average size and standard deviation equal to120 μm and 70 μm, respectively. The comparison betweenthe experimental seed distribution estimated from online im-ages and the fitted distribution is given in the ESI.†

The parameters ns and ng were set to 3 and 2, respectively,so as to obtain a concentration dependence of the secondarynucleation rate and growth rate of form I in reasonable agree-ment with previous works.34,43,44,46 In the absence of data onthe cross-nucleation of form I over form II, several values ofnc ranging from 2 to 4 were tested. It was found that nc = 2describes best the experimental data.

The kinetic parameters kIc, kIs, k

Ig, k

IIs , k

IIg , and kIId were deter-

mined by fitting model simulations to the experimental re-sults obtained at the stirring speed of 400 rpm. For each tem-perature, at least two initial concentrations were considered.This corresponds to the data shown in Fig. 5(a–f) and in Fig.S11 of the ESI† (results at 250 mg gEtOH

−1 at −10 °C and +10°C). The optimization procedure relied on the minimizationof the sum of squared residuals with a genetic algorithm.The squared residuals of the solute concentration were multi-plied by a factor 100 with respect to the squared residuals ofthe concentration of form II in order to obtain similar errorsfor both quantities. The model simulations are representedwith solid lines in Fig. 5(a–f) and in Fig. S11 of the ESI,†showing a good agreement with the experimental data.

The parameters obtained for the reference case of T = 0 °Cand N = 400 rpm are presented in Table 2. For each kineticparameter, the reported confidence interval corresponds tothe range over which the considered parameter can be variedwhile leading to a change in the error function by less than10% (keeping all the other parameters constant). It is ob-served that the growth rate constants are the parameters hav-

ing the smallest confidence intervals, then come the nucleationrate constants and finally the dissolution rate constant. The lat-ter is difficult to estimate with accuracy because the polymor-phic transformation of the investigated system is not limitedby dissolution. In other words, any value of kIId larger than a cer-tain threshold ensures a satisfactory description of the experi-mental data. The crystallization of form II paracetamol fromethanolic solutions has already been reported,47,48 but to thebest of our knowledge, no kinetic parameters related to the nu-cleation, growth and dissolution of form II are available to datein the literature. Nevertheless, the crystallization kinetics ofform I has been studied by several authors.34,43,44,46 A compari-son between the secondary nucleation and growth ratesobtained in this work and those obtained in the aforemen-tioned citations is provided in the ESI.† The secondary nucle-ation rates obtained in the various studies span considerablydifferent orders of magnitude, and the results obtained in thiswork fall in between the lowest and highest reported estimates.On the other hand, the data on the growth rates are quite con-sistent between the different works, this one included.

The temperature dependence of kIc, kIs, k

Ig, k

IIs , k

IIg , and kIId

can be assessed in Fig. 6. Those data were regressed with anArrhenius model of the type k = k0 expIJ−Ea/RT), where k0 is aprefactor, Ea the activation energy, and R the ideal gas con-stant. The values of k0 and Ea for the nucleation, growth anddissolution rate constants are summarized in Table 3. Asmentioned previously, the data on the nucleation of form Iare quite scattered in the literature. However, three separatestudies report similar values of the activation energy of thegrowth of form I, namely around 41 kJ mol−1.34,44,46 To com-pare the present results with those of these previous studies,it is first necessary to unify the definition of the reactionrates. Here, the reaction rates are written as:

R

k E

RTcc

n

0 exp lnaliq

*(21)

A different expression of the supersaturation was selectedin previous works, so that the growth rates were writtenas:34,44,46

R

k E

RTc c

n

0 exp a liq * (22)

Table 2 Estimation of model parameters at 0 °C and 400 rpm

Form I Form II

nc [—] 2 n.a.kc [# m−3 min] (1.37 ± 0.13) × 107 n.a.ns [—] 3 3ks [# m−2 min] (7.17 ± 0.23) × 109 (1.50 ± 0.17) × 107

ng [—] 2 2kg [m min−1] (1.04 ± 0.01) × 10−5 (5.22 ± 0.07) × 10−5

kd [m min−1] n.a. (5.42 ± 3.04) × 10−4

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By approximating lnIJcliq/c*) to (cliq − c*)/c*, one obtains:

E E Rn Ta a 2 (23)

where β is a coefficient describing the temperature depen-dence of the solubility such that c* = α expIJβT). By adaptingeqn (18) (in mg gEtOH

−1) to the proper units (kg m−3), we ob-tain β = 0.016. With n = 2, Ea = 22.2 kJ mol−1 and T = 0 °C, itresults that the activation energy of the growth of form I is in

the order of Ea 42 kJ mol−1, which is in very good agree-

ment with the value reported in previous works.The data shown in Fig. 6 allow shedding light on the ex-

perimental observation that the crystallization of form II isfavored at low temperatures (see Fig. 5). It is in fact seen inFig. 6 that the primary (cross) nucleation of form I is stronglyreduced at low temperatures. On the other hand, it seemsthat temperature affects the secondary nucleation and growthrates of forms I and II in a relatively similar way. Therefore,the inhibition of the crystallization of form I with respect toform II under cold conditions cannot be explained by achange in the ratios kIs/k

IIs or kIg/k

IIg . Overall, the improvement

in the content of form II at low temperatures is attributed toa decrease in the primary nucleation rate of form I. Note thatfor the sake of simplicity, the primary nucleation rate wasconsidered here to be proportional to the surface of crystals

of form II only, and was thus referred to as cross-nucleation.Nevertheless, the estimated kinetic constants rather corre-spond to lumped values considering all primary nucleationphenomena taken together, including cross-nucleation, butalso homogeneous nucleation and heterogeneous nucleationon the surfaces present in the crystallizer (e.g., walls of thevessel, impeller, probes).

Let us now focus on the impact of the stirring speed. Itwas observed in Fig. 5(g–i) that a decrease in the stirringspeed has a negligible impact on the decrease in the soluteconcentration before it reaches the solubility of form II, butsignificantly increases the length of the plateau at the solubil-ity of form II. This suggests that the stirring speed has a weakimpact on the crystallization of form II, but significantly de-lays the formation of form I. Accordingly, the parameters kIIsand kIIg were kept unchanged at all stirring speeds. Undersuch vigorous stirring, it is unlikely that growth and dissolu-tion are diffusion limited, so that kIg and kIId can also reason-ably be considered independent of the stirring speed. Overall,a change in the stirring speed is expected to impact kIc and/orkIs. For the sake of simplicity, it was assumed that only kIs isimpacted by the stirring speed. The fitted values of kIs areplotted as a function of N in Fig. 7 (symbols), while the qual-ity of the fitting can be appreciated in Fig. 5(g–i). It is seenthat the experimental data acquired between 200 rpm and400 rpm can be well explained by a change in kIs only. Thetrend of kIs with N can be described by the following empiri-cal expression: kIs = 106N3, which is represented by a solidline in Fig. 7. Therefore, the effect of temperature and agita-tion speed on kIs can be accounted for simultaneously usingthe following lumped expression:

k k NN

ERTs

I

ref

aexp

0

3

(24)

Table 3 Arrhenius dependence of kinetic parameters at 400 rpm

Form I Form II

kc k0 [# m−3 min] 1.16 × 1044 n.a.Ea [kJ mol−1] 191 n.a.

ks k0 [# m−2 min] 5.62 × 1033 2.53 × 1030

Ea [kJ mol−1] 127 121kg k0 [m min−1] 0.21 62.7

Ea [kJ mol−1] 22.2 31.9kd k0 [m min−1] n.a. 2.34 × 1012

Ea [kJ mol−1] n.a. 81.4

Fig. 6 Arrhenius dependence of the kinetic rate constants of (a)cross-nucleation, (b) secondary nucleation, (c) growth, and (d)dissolution at 400 rpm.

Fig. 7 Impact of the agitation speed on the secondary nucleation rateconstant of form I at 0 °C. Symbols correspond to fitted values of kIs,while the line represents the following empirical expression kIs =106N3.

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with k0 = 8.6 × 1025 # m−2 min and Ea = 127 kJ mol−1. The

reference stirring speed Nref is set to 1 rpm so as to have kIs

and k0 in the same units.

2.5 Process performance parameters

The kinetic model developed in the previous section can nowbe used to select the operating conditions allowing the pro-duction of form II within some target specifications in termsof polymorphic purity, yield, and productivity. These threeprocess performance parameters are defined as follows:

Polymorphic purity: mass of form II over total mass ofcrystals

c

c c

II

I II(25)

Yield: produced mass of form II over total mass of paracet-amol

c cc

0liq liq

liq0

(26)

Productivity: mass of crystals per unit volume and unit time

c ct

0liq liq

(27)

where Δt is the time elapsed after seeding the crystallizer.

The impact of concentration, temperature, and agitationon the polymorphic purity, yield, and productivity is analyzedin Fig. 8. Let us start with Fig. 8(a), which shows the yield asa function of the polymorphic purity for various initial con-centrations. For each of these curves, at time 0, the polymor-phic purity is equal to 100% and the yield to 0% because itcorresponds to the presence of the seeds only. When timepasses, crystals are formed, the yield increases, but the poly-morphic purity decreases due to the crystallization of form I.When the yield is maximum, the solubility of form II isreached. Later on, the yield decreases due to solvent-mediated transformation. Therefore, crystals should beharvested before the yield starts decreasing, which meansthat only the right part of the curves shown in Fig. 8 shouldbe considered for process design. It is observed in Fig. 8(a)that an increase in the initial concentration leads to an in-crease in the yield. To understand this observation, let us in-troduce the theoretical yield defined as follows:

* *

c cc

0liq

II

0liq (28)

The theoretical yield corresponds to the “best possibleyield”, i.e., the yield that would be obtained if form II couldbe crystallized at 100% purity when the solute concentrationreaches the solubility of form II. When the initial concentra-tion is increased from 250 mg gEtOH

−1 to 350 mg gEtOH−1, the

Fig. 8 Impact of (a and b) concentration, (c and d) temperature, and (e and f) agitation on the polymorphic purity, yield and productivity. Theprocess performance parameters are defined with respect to form II as shown in eqn (25)–(27). In panels (a and b) T = 0 °C and N = 400 rpm. Inpanels (c and d) cliq0 = 300 mg gEtOH

−1 and N = 400 rpm. In panels (e and f) T = 0 °C and cliq0 = 300 mg gEtOH−1.

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theoretical yield increases from 44% to 60%. On the otherhand, the maximum achievable yield increases from 29% to41% (see Fig. 8(a)), so that ϑ/ϑ* increases from approximately66% to 68%. This is better shown in Fig. S13(a) of the ESI,†where the ratio ϑ/ϑ* is plotted as a function of the polymor-phic purity. It is seen that the curves obtained at various ini-tial concentrations all overlap on one single curve. This indi-cates that the improvement in the yield–purity trade-offobserved in Fig. 8(a) at higher concentration is mainly due toan increase in the theoretical yield. Considering nowFig. 8(b), the productivity starts at 0 (when the polymorphicpurity is 100%) and increases due to the formation of crys-tals. When the solubility of form II is reached, solution-mediated transformation starts. No more crystals are pro-duced and the productivity becomes inversely proportional totime. It is observed in Fig. 8(b) that an increase in cliq0 leadsto an increase in productivity. This is because, for a given re-actor volume, productivity is directly proportional to the con-centration of crystals produced.

Let us now focus on the impact of temperature. It is ob-served in Fig. 8(c) that temperature has a strong impact onthe yield–purity trade-off. Indeed, it is possible to obtain si-multaneously a high yield and a high polymorphic purityonly at low temperatures. For instance, if a polymorphic pu-rity of 95% is targeted, the yield at +10 °C is only in the orderof 5%, whereas it is around 60% at −10 °C. When the temper-ature is decreased from +10 °C to −10 °C, the theoretical yieldincreases from 43% to 62%. On the other hand, the maxi-mum achievable yield increases from 15% to 58% (Fig. 8(b)).Consequently, the ratio ϑ/ϑ* increases from 35% to 93%when decreasing the temperature from +10 °C to −10 °C. Thisis further illustrated in Fig. S13(b) of the ESI,† where theratio ϑ/ϑ* is plotted as a function of the polymorphic purityfor various temperatures. The improvement in the yield–pu-rity trade-off observed in Fig. 8(c) at low temperatures is thusmainly due to the inhibition of primary nucleation of form I(and also to an increase in the theoretical yield). However,such improvement of the yield comes at the expense of alower productivity because lower temperatures are associatedwith slower kinetics. This is illustrated in Fig. 8(d), where itis seen that the productivity maximum decreases when thetemperature is decreased. In addition, very cold temperaturesmay be difficult to achieve in large scale crystallizers and areenergy intensive.

Finally, the impact of agitation can be appreciated inFig. 8(e and f). It is observed that, for a given target purity, ahigher yield is obtained at low stirring speed. This is due tothe inhibition of the crystallization of form I with respect toform II at lower stirring speeds. Nevertheless, a sufficient stir-ring speed should be selected in order to keep the crystalssuspended and ensure a good mass/heat transfer.

It is evident from Fig. 8 that all process performance pa-rameters (i.e., polymorphic purity, yield, and productivity)cannot be maximized simultaneously. Therefore, dependingon the process specifications, different operating conditionsshould be selected. This is illustrated in Fig. 9, where the pro-

ductivity is plotted as a function of the temperature for differ-ent values of the target polymorphic purity. For instance, it isseen that if a rather low polymorphic purity is acceptable(e.g., 80%), the productivity goes through a maximum as afunction of temperature, and the most productive process isobtained at around 0 °C. On the other hand, if a very highpolymorphic purity is requested (e.g., 98%) and the process isstill operated at 0 °C, the crystallization should be stoppedprematurely to satisfy the purity constraint, which would leadto a low productivity. Therefore, if a high polymorphic purityis targeted, it is necessary to run the process at very low tem-peratures, in the order of −10 °C. These results illustrate howprocess modeling can help selecting the most appropriate op-erating conditions for a given system.

3 Conclusions

In this work, we investigated polymorph dynamics in seededbatch crystallizers considering the cooling crystallization ofparacetamol form II as a case study. The solute concentrationand the polymorphic content were monitored with onlineATR-FTIR and online Raman spectroscopy, respectively. Aproper calibration of the Raman signal could be obtained byapplying principal component regression on only one kineticexperiment, where form II crystallizes and then transformsinto form I. A suitable pre-processing treatment of the spec-tra was found necessary to obtain a satisfactory calibration.

Experimental characterization was complemented by pop-ulation balance modeling considering the primary (cross) nu-cleation, secondary nucleation, and growth of form I, as wellas the secondary nucleation, growth, and dissolution of formII. It was found that low temperatures and low agitationspeeds promote the crystallization of form II with respect toform I due to a decrease in the nucleation rate of form I. Inparticular, it was observed that at temperatures above approx-imately 0 °C, seeding the crystallizer with crystals of form IIis not sufficient to induce the crystallization of form II.

Fig. 9 productivity as a function of temperature for different targetpurity values.

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The impact of operating conditions (concentration, tem-perature, stirring speed) on process performance parameters(polymorphic purity, yield, productivity) was investigated. Itwas shown that the temperature leading to the most produc-tive process strongly depends on the target polymorphic pu-rity. This work illustrates how the combination of experimen-tal characterization with mechanistic modeling allowsgaining a deep understanding of the crystallization processand selecting the most suited operating conditions to satisfycertain process requirements.

Conflicts of interest

There are no conflicts to declare.

Acknowledgements

Financial support from the Swiss National Science Founda-tion is gratefully acknowledged (grant P2EZP2_168909). Wethank Richard Becker for interesting discussions and valuabletechnical support.

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