Additives, incorporated in film coating formulations, and their process parameters are generally selected using a trial-and-error approach. However, coating problems and defects, especially those associated with aqueous coating systems, indicate the necessity of embracing a quality-by-design approach to identify the optimum coating parameters. In this study, the feasibility of using thermal and rheological measurements to help evaluate and design novel coating formulations has been investigated. Hydroxypropyl methylcellulose acetate succinate (HPMCAS), an enteric coating polymer, was used as the film forming polymer. Differential Scanning Calorimetry (DSC), Dynamic Mechanical Analysis (DMA), and Parallel Plate Shear Rheometery (PPSR) were used to evaluate the effect of different plasticisers on the performance of HPMCAS. The results illustrate that, for identical formulations, the DSC and DMA methods yielded up to 40% differences in glass transition temperature (Tg) values. Moreover, Tg measured using loss modulus signals were always 20-30 oC less than those measured using tan delta results in DMA testing. Absolute and relative Tg values can significantly vary depending on the geometry of the samples, clamp size, temperature ramping rate and the frequency of the oscillations. Complex viscosity data for different formulations demonstrated a variable shear thinning behaviour and a Tg independent ranking. It is, therefore, insufficient to rely purely on Tg values to determine the relative performance of additives. In addition, complex viscosity results, obtained using both the DMA and PPSR techniques at similar temperatures, are shown to be comparable. The results from both techniques were therefore used to produce continuous master curves for the HPMCAS formulations. Additionally, step strain tests showed that HPMCAS chains do not fully III disentangle after 105 seconds as predicted by the Maxwell model. Finally, in situ aqueous-based coating experiments proved that mixtures of triethyl acetyl citrate and acetylated monoglyceride (TEAC/AMG), even without cooling of the suspension, do not cause blocking of the spray nozzle whereas triethyl citrate (TEC) based formulae did. TEAC (alone or in a combination with AMG) exhibits superior wettability to HPMCAS than TEC/AMG formulations and can be used to enhance the efficiency and film quality of the dry coating process.

Conselho Nacional de Desenvolvimento Científico e Tecnológico / This work involved the preparation and characterization of an inclusion complex of Trimethoprim (TMP) a drug used in the treatment of infections and hydroxypropylgamma- cyclodextrin (HP-γ-CD). Owing to the low aqueous solubility of this drug, high dosages are required to provide a satisfactory therapeutic effect, although this also brings severe side effects to some patients. Thus here we aimed to increase the TMP aqueous solubility in order to potentially reduce the side effects by complexation in a CD derivative. Prior to the inclusion study, some relevant physiochemical parameters of the drug such as pKa, solubility in several pH values as well as absorption coefficient were determined. The inclusion complex has been prepared by the suspension method and collected by lyophilization. Primary evidence of the inclusion of TMP in HP-γ-CD was provided by the increase of the solubility in presence of HP -γ - CD, from the phase-solubility diagram obtained at different temperatures and pH values. The apparent stability constants K 1:1 for the complex formed at different temperatures and pH values were found strongly depend on the conditions, being higher at low pH. A 1:1 stoichiometry was suggested for the complex both from the phase-solubility diagram and from the continuous variation method Additional evidences of the inclusion were provided by thermal analysis (DSC), which suggested that TMP is not present in the sample as an isolated crystalline solid. The XRD analysis evidenced the loss of the TMP crystalline character in the complex, which is commonly observed for CD complexes but may be also a consequence of the lyophilization process. The presence of bands characteristic of both species was observed in the infrared spectrum of the complex. Although differences observed in the relative intensities cannot directly evidence complex formation, they don t exclude this possibility. Direct evidence of TMP inclusion in the CD cavities were given from 1H-1H bidimensional ROESY spectrum, which also showed that the inclusion mode involves penetration of the trimethoxyphenyl group in HP-γ-CD. / Este trabalho envolveu a preparação e caracterização de complexo de inclusão entre Trimetoprim (TMP), substância utilizada no tratamento de infecções, em hidroxipropil- γ-ciclodextrina (HP-γ-CD), objetivando o aumento da solubilidade aquosa do convidado. A baixa solubilidade do TMP torna necessário o uso de altas dosagens, causando diversos efeitos colaterais, que em testes futuros poderão ser reduzidos pelo aumento da solubilidade do mesmo. Determinaram-se, inicialmente, alguns parâmetros físico-químicos do fármaco e, posteriormente, preparou-se o complexo do mesmo em HP-γ-CD pelo método da suspensão. A ocorrência de inclusão foi evidenciada através do aumento da solubilidade do convidado em presença de HP-γ-CD, nos estudos do diagrama de solubilidade de fases em diferentes temperaturas e pH. Obteve-se, ainda a partir destes estudos, valores de 220,7 M-1 a 20oC e 144,7M-1 a 25oC e 55410 M-1 para pH 4,0; 2188 M-1 para pH 7,0 e 123 M-1 para pH 9,0 para a constante de associação do complexo, demonstrando interações relativamente fortes. A estequiometria 1:1 para o complexo foi sugerida tanto a partir do diagrama de solubilidades quanto pelo método das variações contínuas. Evidências adicionais da inclusão foram propiciadas por calorimetria diferencial de varredura (DSC), que sugeriu que o TMP não se encontra como um sólido isolado. As análises dos difratogramas obtidos mostraram perda do padrão de ordenamento cristalino do TMP quando comparado ao difratograma do complexo, o que pode também ter resultado do processo de liofilização. A partir da análise por espectroscopia infravermelho, observou-se a presença de bandas de ambas as espécies (hospedeiro e convidado) no espectro da amostra HP-γ-CD/TMP coletada por liofilização. Contudo, diferenças observadas quanto a intensidades relativas e mascaramento de bandas não evidenciam diretamente a formação do complexo, porém não excluem tal possibilidade. De acordo com os resultados de espectroscopia de RMN 1H-1H bidimensional (ROESY), ficou evidenciada a inclusão do TMP na cavidade da HP-γ-CD, mostrando adicionalmente que a entrada na cavidade se dá através do grupo trimetoxifenila.

Conselho Nacional de Desenvolvimento Científico e Tecnológico / This work involved the preparation and characterization of an inclusion complex of Trimethoprim (TMP) a drug used in the treatment of infections and hydroxypropylgamma- cyclodextrin (HP-γ-CD). Owing to the low aqueous solubility of this drug, high dosages are required to provide a satisfactory therapeutic effect, although this also brings severe side effects to some patients. Thus here we aimed to increase the TMP aqueous solubility in order to potentially reduce the side effects by complexation in a CD derivative. Prior to the inclusion study, some relevant physiochemical parameters of the drug such as pKa, solubility in several pH values as well as absorption coefficient were determined. The inclusion complex has been prepared by the suspension method and collected by lyophilization. Primary evidence of the inclusion of TMP in HP-γ-CD was provided by the increase of the solubility in presence of HP -γ - CD, from the phase-solubility diagram obtained at different temperatures and pH values. The apparent stability constants K 1:1 for the complex formed at different temperatures and pH values were found strongly depend on the conditions, being higher at low pH. A 1:1 stoichiometry was suggested for the complex both from the phase-solubility diagram and from the continuous variation method Additional evidences of the inclusion were provided by thermal analysis (DSC), which suggested that TMP is not present in the sample as an isolated crystalline solid. The XRD analysis evidenced the loss of the TMP crystalline character in the complex, which is commonly observed for CD complexes but may be also a consequence of the lyophilization process. The presence of bands characteristic of both species was observed in the infrared spectrum of the complex. Although differences observed in the relative intensities cannot directly evidence complex formation, they don t exclude this possibility. Direct evidence of TMP inclusion in the CD cavities were given from 1H-1H bidimensional ROESY spectrum, which also showed that the inclusion mode involves penetration of the trimethoxyphenyl group in HP-γ-CD. / Este trabalho envolveu a preparação e caracterização de complexo de inclusão entre Trimetoprim (TMP), substância utilizada no tratamento de infecções, em hidroxipropil- γ-ciclodextrina (HP-γ-CD), objetivando o aumento da solubilidade aquosa do convidado. A baixa solubilidade do TMP torna necessário o uso de altas dosagens, causando diversos efeitos colaterais, que em testes futuros poderão ser reduzidos pelo aumento da solubilidade do mesmo. Determinaram-se, inicialmente, alguns parâmetros físico-químicos do fármaco e, posteriormente, preparou-se o complexo do mesmo em HP-γ-CD pelo método da suspensão. A ocorrência de inclusão foi evidenciada através do aumento da solubilidade do convidado em presença de HP-γ-CD, nos estudos do diagrama de solubilidade de fases em diferentes temperaturas e pH. Obteve-se, ainda a partir destes estudos, valores de 220,7 M-1 a 20oC e 144,7M-1 a 25oC e 55410 M-1 para pH 4,0; 2188 M-1 para pH 7,0 e 123 M-1 para pH 9,0 para a constante de associação do complexo, demonstrando interações relativamente fortes. A estequiometria 1:1 para o complexo foi sugerida tanto a partir do diagrama de solubilidades quanto pelo método das variações contínuas. Evidências adicionais da inclusão foram propiciadas por calorimetria diferencial de varredura (DSC), que sugeriu que o TMP não se encontra como um sólido isolado. As análises dos difratogramas obtidos mostraram perda do padrão de ordenamento cristalino do TMP quando comparado ao difratograma do complexo, o que pode também ter resultado do processo de liofilização. A partir da análise por espectroscopia infravermelho, observou-se a presença de bandas de ambas as espécies (hospedeiro e convidado) no espectro da amostra HP-γ-CD/TMP coletada por liofilização. Contudo, diferenças observadas quanto a intensidades relativas e mascaramento de bandas não evidenciam diretamente a formação do complexo, porém não excluem tal possibilidade. De acordo com os resultados de espectroscopia de RMN 1H-1H bidimensional (ROESY), ficou evidenciada a inclusão do TMP na cavidade da HP-γ-CD, mostrando adicionalmente que a entrada na cavidade se dá através do grupo trimetoxifenila.

L'huile essentielle de clou de girofle (HECG) et son constituant majeur l'eugénol (Eug) sont reconnus pour leurs propriétés biologiques. Ces principes actifs naturels peuvent constituer des alternatifs aux agents antimicrobiens, antioxydants et anti-inflammatoires de synthèse dans les formulations alimentaires et pharmaceutiques. Cependant, leur utilisation est limitée en raison de leur faible solubilité aqueuse, volatilité et sensibilité à la lumière. Notre travail de thèse porte sur la préparation et la caractérisation des vésicules lipidiques encapsulant l'HECG et l'Eug ainsi que les complexes d'inclusion cyclodextrine/Eug. Dans une première étape, la méthode d'injection éthanolique est utilisée à l'échelle du laboratoire où les paramètres de préparation ont été optimisés. Des phospholipides naturels de soja saturés (Phospholipon 80H et Phospholipon 90H) et insaturés (Lipoid S100) ont été utilisés pour étudier l'effet de l'hydrogénation et de la composition des phospholipides sur les caractéristiques des liposomes. Les conditions optimales ont été par la suite appliquées pour préparer les liposomes à grande échelle par contacteur à membrane et à l'échelle pilote. Des résultats similaires en termes de taille, indice de polydispersité, potentiel zêta, morphologie et taux d'incorporation de phospholipides sont obtenus à petite et grande échelle. Ceci indique la reproductibilité de ces procédés de préparation. Par ailleurs, des complexes d'inclusion d'HP-β-CD/Eug et d'HP-β-CD/HECG sont préparés dans une solution aqueuse et ensuite incorporés dans les liposomes formant un système combiné « drug in cyclodextrin in liposomes, DCL ». Un système en double encapsulation (DCL2) a été également préparé où l'Eug ou l'HECG sont ajoutés dans la phase organique et leurs complexes d'inclusion dans la phase aqueuse. En comparant à une simple incorporation dans les liposomes, DCL et DCL2 améliorent le rendement d'encapsulation de l'Eug et possèdent des tailles plus petites. Les résultats ont montré que les liposomes et les DCLs sont stables et maintiennent l'activité anti-oxydante de l'Eug. De plus, les liposomes protègent l'Eug contre la dégradation induite par les rayons UVC. Les DCLs, dont la particularité est de maintenir une huile essentielle volatile dans un lyophilisat en dépit des pressions très basses appliquées, peuvent être considérés comme un système de vectorisation prometteur de l'HECG et de l'Eug permettant leur utilisation en tant qu'ingrédients dans les préparations cosmétiques, pharmaceutiques, et agroalimentaires / Clove essential oil (CEO) and its major constituent eugenol (Eug) are recognized for their biological properties. These molecules may constitute natural alternatives to synthetic antimicrobial, antioxidant, and anti-inflammatory agents in food and pharmaceutical formulations. However, CEO constituents are volatile, sensitive to light and possess low aqueous solubility, which may limit their wide applications. Our thesis focuses on the preparation and characterization of lipid vesicles encapsulating CEO, Eug and the inclusion complexes cyclodextrin/Eug. In a first step, the ethanol injection method is applied at laboratory scale where the preparation parameters have been optimized. Natural hydrogenated (Phospholipon 80H, Phospholipon 90H) and non-hydrogenated (Lipoid S100) soybean phospholipids were used to study the effect of hydrogenation and phospholipid composition on the characteristics of liposomes. Optimal conditions were then applied to prepare liposomes at large scale by membrane contactor and at pilot scale. Similar results in terms of size, polydispersity index, zeta potential, morphology and phospholipid loading rate were obtained at laboratory and large scale. This indicates the reproducibility of the preparation methods. In addition, HP-β-CD/Eug and HP- β-CD/CEO inclusion complexes were prepared in aqueous solution and were then incorporated into liposomes forming a combined system « drug in cyclodextrin in liposomes, DCL ». Double loaded liposomes (DCL2) were also prepared where CEO or Eug were added in the organic phase and their inclusion complexes in the aqueous phase. Compared to CEO and Eug loaded liposomes, DCL and DCL2 improved the loading rate of Eug and possessed smaller vesicles size. Results showed that both liposomes and DCLs are stable and maintain the antioxidant activity of Eug. In addition, liposomes protect Eug from degradation induced by UVC irradiation. DCLs, whose characteristic is to keep a volatile essential oil in a lyophilized form despite the very low applied pressures, could be considered as a promising carrier system of CEO and Eug permitting their use as ingredients in cosmetic, pharmaceutical and food industries

Additives, incorporated in film coating formulations, and their process parameters are generally selected using a trial-and-error approach. However, coating problems and defects, especially those associated with aqueous coating systems, indicate the necessity of embracing a quality-by-design approach to identify the optimum coating parameters. In this study, the feasibility of using thermal and rheological measurements to help evaluate and design novel coating formulations has been investigated. Hydroxypropyl methylcellulose acetate succinate (HPMCAS), an enteric coating polymer, was used as the film forming polymer. Differential Scanning Calorimetry (DSC), Dynamic Mechanical Analysis (DMA), and Parallel Plate Shear Rheometery (PPSR) were used to evaluate the effect of different plasticisers on the performance of HPMCAS. The results illustrate that, for identical formulations, the DSC and DMA methods yielded up to 40% differences in glass transition temperature (Tg) values. Moreover, Tg measured using loss modulus signals were always 20-30 oC less than those measured using tan delta results in DMA testing. Absolute and relative Tg values can significantly vary depending on the geometry of the samples, clamp size, temperature ramping rate and the frequency of the oscillations. Complex viscosity data for different formulations demonstrated a variable shear thinning behaviour and a Tg independent ranking. It is, therefore, insufficient to rely purely on Tg values to determine the relative performance of additives. In addition, complex viscosity results, obtained using both the DMA and PPSR techniques at similar temperatures, are shown to be comparable. The results from both techniques were therefore used to produce continuous master curves for the HPMCAS formulations. Additionally, step strain tests showed that HPMCAS chains do not fully III disentangle after 105 seconds as predicted by the Maxwell model. Finally, in situ aqueous-based coating experiments proved that mixtures of triethyl acetyl citrate and acetylated monoglyceride (TEAC/AMG), even without cooling of the suspension, do not cause blocking of the spray nozzle whereas triethyl citrate (TEC) based formulae did. TEAC (alone or in a combination with AMG) exhibits superior wettability to HPMCAS than TEC/AMG formulations and can be used to enhance the efficiency and film quality of the dry coating process.