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Article history:
Received 10 June 2013
Received in revised form 13 August 2013
Accepted 15 August 2013
Available online 28 August 2013
Keywords:
Thermodynamics
Physical stability
Phase diagram
Pressure
X-ray powder diffraction
Polymorphism
a b s t r a c t
Understanding the phase behavior of an active pharmaceutical ingredient in a drug formulation is
required to avoid the occurrence of sudden phase changes resulting in decrease of bioavailability in a
marketed product. Benzocaine is known to possess three crystalline polymorphs, but their stability hierarchy has so far not been determined. A topological method and direct calorimetric measurements under
pressure have been used to construct the topological pressuretemperature diagram of the phase relationships between the solid phases II and III, the liquid, and the vapor phase. In the process, the transition
temperature between solid phases III and II and its enthalpy change have been determined. Solid phase
II, which has the highest melting point, is the more stable phase under ambient conditions in this phase
diagram. Surprisingly, solid phase I has not been observed during the study, even though the scarce literature data on its thermal behavior appear to indicate that it might be the most stable one of the three
solid phases.
2013 Elsevier B.V. All rights reserved.
1. Introduction
1.1. Stability hierarchy between polymorphs
Benzocaine, p-aminobenzoic acid ethyl ester or ethyl 4aminobenzoate (Fig. 1) is a local anesthetic in use for more than
a century (Ritsert, 1925) and it is known to possess at least three
crystalline forms;(Chan et al., 2009b) however, the phase relationships between the different polymorphs have not been resolved
yet.
Knowledge about the physical stability of polymorphs is
important for the preformulation stage in drug development. To
determine the stability hierarchy between two different phases, a
so-called topological method has been developed, based on calorimetric and volumetric data obtained under ordinary conditions
and on the Clapeyron equation (Barrio et al., 2002; Ceolin et al.,
1992, 1993, 1996; Ceolin and Rietveld, 2010; Espeau et al., 2005;
481
that another solid form, thus named form , transforms endothermically into form (Gruno et al., 1993). The latter melts around
362 K (Gruno et al., 1993).
Lynch and McClenaghan published the crystal structure of a
monoclinic, P21 /c, form of benzocaine in 2002, which appears to be
the same form found by Gruno et al. judging from the position of
the diffraction peaks (Lynch and McClenaghan, 2002). In 2009, Chan
et al. revisited the crystal structures of the benzocaine polymorphs
and solved the structure of a third form (Chan et al., 2009a,b). They
also proposed a new nomenclature taking into account the results
of Gruno et al. (1993) and Schmidt (2005): form I, previously form
, is the monoclinic P21 /c polymorph, form II, previously form ,
is the orthorhombic P21 21 21 polymorph, and form III is the monoclinic form P21 found by Chan et al. at low temperature (Chan et al.,
2009a). With the data found in references (Chan et al., 2009a,b;
Gruno et al., 1993; Lynch and McClenaghan, 2002; Schmidt, 2005;
Sinha and Pattabhi, 1987), the specic volumes of forms I, II and III
have been calculated. They have been compiled in Table 1.
Specic volume inequalities between different solid forms are
most reliably determined from crystallographic data collected as
a function of temperature and on the same equipment. The literature data are not adapted for comparison between the specic
volumes of the different solid forms, but with a few approximations an estimate of the inequalities can be obtained. Only for form I,
the specic volume had been determined at different temperatures
(Fig. 2). Under the assumption that the inequalities are independent of temperature, it may tentatively be inferred that vII > vIII > vI
(Fig. 2).
1.3. Benzocaine literature data: calorimetry
Literature data concerning calorimetric properties for these
polymorphs is limited and the data compiled in Table 2 are mainly
based on the work of Schmidt (2005). The melting temperature
of benzocaine has been reported by Schwartz and Paruta (1976),
Manzo and Ahumada (1990), and Yalkowsky et al. (1972); however,
polymorphism was not mentioned in the latter three publications.
According to Gruno et al., form I (or ) transforms endothermically into Form II (or ) at about 352 K as observed by DSC (Gruno
Table 1
Specic volumes of benzocaine polymorphs from literature data.
T/K
vspec /cm3 g1
Reference
Lynch and McClenaghan (2002)
Chan et al. (2009b)
Sinha and Pattabhi (1987)
Chan et al. (2009a)
Gruno et al. (1993)
Chan et al. (2009a)
Fig. 2. Specic volumes of forms I (solid spheres), II (solid squares) and III (solid diamond), as a function of temperature from literature data. Broken lines are estimates
based on the assumption that the specic volumes increase parallel to that of form
I: vI /cm3 g1 = 0.7739 + 0.0001728 T/K.
et al., 1993). In addition, they remark that form I does not transform for at least several months of storage (presumably at room
temperature) (Gruno et al., 1993). Using X-ray powder diffraction
as a function of temperature, they observe the appearance of formII-specic peaks in a form I sample at 308 K (Gruno et al., 1993).
Schmidt deduced from the DSC curves published by Gruno et al. that
the enthalpy of this transition (I II) is approximately +1 kJ mol1
(Gruno et al., 1993; Schmidt, 2005).
Gruno et al. obtained form II by slow crystallization from butyl
acetate solutions and form I by fast crystallization from butyl
acetate or chloroform solutions (Gruno et al., 1993). Chan et al.
obtained the two forms by evaporation from ethanol solutions at
room temperature (Chan et al., 2009b). Schmidt has listed a number of solvents, from which form I can be obtained (Schmidt, 2005).
She also mentioned that form II can be obtained from the supercooled melt below 337 K (Schmidt, 2005). Furthermore, Chan at al.
observed a reversible transition of form II into form III by decreasing
the temperature down to 150 K (Chan et al., 2009a). Schmidt however, did not observe any solidsolid transition for a commercially
available form II in the range of 40 to 100 C (Schmidt, 2005).
Heat capacities of solid, Cp,S , and liquid, Cp,L , benzocaine have
been determined by Neau et al. (Neau and Flynn, 1990). The data
Table 2
Calorimetric data from literature of the melting behavior of some benzocaine
polymorphs.
Tfus /K
361.8
20.5
363.4
21
362.85
22.3
363
23.6
363.05
20.51
363
22.26
361363
21.05
362.7
23.56
363
19.75
362.8
21.6
a
b
Reference
Calculated in Ref. (Schmidt, 2005) from data in Ref. (Gruno et al., 1993).
Form I in Ref. (Schmidt, 2005).
482
(1)
(2)
(3)
AL h BL h
(AL h/TAL ) (BL h/TBL )
(4)
BL h + AB h
(BL h/TBL ) + (AB h/TAB )
(5)
BL
h
TBL
AB
h
TAB
(6)
483
Table 3
Lattice parameters and specic volume of form III (low temperature, monoclinic
P21 ) of benzocaine as a function of temperature.
T/K
a/
b/
c/
/
Vcell /3
vspec /cm3 g1
200
220
245
260
8.2112
8.2176
8.2333
8.2393
10.695
10.714
10.752
10.764
20.559
20.591
20.658
20.694
99.403
99.411
99.527
99.576
1781.2
1788.6
1803.6
1809.7
0.81165
0.81502
0.82186
0.82466
3. Results
3.1. Crystals
Benzocaine crystals were grown at room temperature from the
following solvents: ethanol, p-xylene, butyl acetate, chloroform,
and diethyl ether. Only form II crystals were obtained in this way.
No crystals of form I were observed even after repeated crystallization attempts.
3.2. Calorimetric data
On heating from room temperature, form II melts at
362.4 0.5 K (onset) with an enthalpy change of 141 2.4 J g1 (see
Table S2 in the supporting information for the measurement values
obtained by DSC). In addition, an exothermic solidsolid transition
was observed on cooling from room temperature to 200 K. This
transition reverts endothermically on reheating at 265.3 0.5 K
(onset) with an enthalpy change of 3.0 1.0 J g1 (Table S2) and
its transition temperature is virtually independent of the heating
rate (Table S3 in the supplementary materials).
(7)
Form II :
(8)
Table 4
Lattice parameters and specic volume of form II (high temperature, orthorhombic
P21 21 21 ) of benzocaine as a function of temperature.
T/K
a/
b/
c/
Vcell /3
vspec /cm3 g1
270
280
300
310
320
330
345
355
360
8.2430
8.2458
8.2592
8.2598
8.2652
8.2736
8.2813
8.2867
8.2873
5.3057
5.3039
5.3187
5.3246
5.3304
5.3375
5.3462
5.3522
5.3548
20.853
20.885
20.928
20.940
20.966
20.997
21.049
21.082
21.099
911.99
913.41
919.31
920.93
923.69
927.20
931.91
935.02
936.31
0.83116
0.83246
0.83784
0.83932
0.84183
0.84503
0.84932
0.85216
0.85333
484
4. Discussion
4.1. Consistency of the obtained data
Fig. 3. X-ray powder diffraction patterns demonstrating the phase change occurring
between 260 and 270 K. Diffraction peaks of both phases can be observed in the
pattern obtained at 265 K.
II L :
(9)
(10)
The temperature of the III II transition under ordinary conditions equals 265.3 K as found by DSC, which coincides with the
observations by X-ray diffraction. Simultaneously X-ray diffraction
indicates that the transition is accompanied by a positive volume
change; v = vII vIII equals 0.82893 0.82596 = 0.00297 cm3 g1
(Table 5).
With the Clapeyron equation (Eq. (3)), the consistency of the
data of the III II transition obtained by the different methods can
be veried. The experimental error being smallest over the transition temperature and the dP/dT slope (Eq. (9) and Table 5), their
product should be equal to the ratio of h over v, the quantities
with relatively the largest experimental errors (Eq. (3)). The product
equals 715 15 MPa and the ratio equals 1020 476 MPa; hence
the two values are equal within error. It is clear that the experimental uncertainty is much larger over the transition enthalpy
and the specic volume change, which can be explained by their
small absolute values. One would expect that the enthalpy change
is probably somewhat smaller and the volume change somewhat
larger.
In the case of the II L transition (fusion of form II), the consistency check cannot be carried out, because the specic volume of
the liquid is not known; however the Clapeyron equation (Eq. (3))
can be used to calculate the volume change associated with the
melting transition. The volume change is equal to the ratio h/(T
(dP/dT)), which has a value of 0.065 0.002 cm3 g1 . In this case,
the relative error is much smaller, because the relative experimental error over the enthalpy change is much smaller. The specic
volume of solid form II at the melting point can be calculated with
Eq. (3) and equals vII (362.4 K) = 0.8535 0.0007 cm3 g1 . With this
information, the specic volume of the melt can be calculated;
it equals vL = 0.92 0.03 cm3 g1 . The ratio vL /vII now equals
1.076 0.0036, which is in agreement with previous ndings for
other active pharmaceutical ingredients. The average ratio of vL /vII
at Tfus is 1.10 based on data from several APIs (active pharmaceutical compounds) (Ceolin and Rietveld, 2010; Rietveld et al., 2012,
2013). If by lack of data, the ratio 1.10 is used to calculate the slope
of the II L equilibrium using the Clapeyron equation (Eq. (3)), a
Fig. 4. (a) High-pressure differential thermal analysis curves as a function of pressure. The onset of the peaks indicates the temperature of transition under the imposed
pressure. Main gure: fusion of form II, inset: III II transition. (b) Linear ts to the HP-DTA data for the solidsolid III II transition (solid circles) and the fusion II L (open
circles). Error bars over T fall within the symbols.
485
Table 5
Calorimetric, volumetric, and dP/dT data for selected phase transitions.
Transition
T/K
H/J g1
v/cm3 g1
dP/dT/MPa K1
III II
II L (fusion)
265.3 0.5
362.4 0.5
3.0 1.0
141.0 2.4
0.0030 0.0010
2.70 0.06
5.99 0.13
because if one scrutinizes Eq. (6), it can be seen that the effect
of the heat capacity only depends on the distance of the melting
temperature of form III from the melting point of form II, which
appears to be very small. The difference between the two solid heat
(11)
486
(12)
By setting the pressure to 0 MPa, the melting point under ordinary conditions is found to be 357 K. This value is very close to the
one obtained by Eqs. (5) and (6) and it validates the temperature
coordinate of the melting point of form III. It is hard to say, which of
the two results is closer to the correct value. There may be a small
contribution of the solid heat capacity differences that decreases
the melting point calculated by Eqs. (5) and (6), however using the
Clapeyron equation (Eq. (3)) involves a long extrapolation from the
triple point to 0 MPa. Nonetheless, the result of the two methods is
consistent for the melting point of form III.
In the case that the melting point obtained by Eq. (5) is used, the
expression for the pressure dependence of the III-L equilibrium (Eq.
(12)) should be adjusted. It means that the equilibrium curve must
intersect the coordinates [359.6 K, 0 MPa] and [439 K, 463 MPa], the
melting point of form III and the triple point III-II-L, respectively.
This leads to the following expression:
P/MPa = 5.80T/K 2086
(13)
The two Eqs. (12) and (13) can be considered as the error margin
of the position of the III-L equilibrium curve.
General expression :
ln P =
vap H
+ Bvap
RT
(14)
with P the pressure of the vapor taken in Pa, R the gas constant
(8.3145 J K1 mol1 ) and Bvap a tting constant that can be determined with the information just above Eq. (14). It is clear that
this equation only provides an estimate of the benzocaine vapor
pressures, because the enthalpy of vaporization is considered constant with pressure and temperature. Vapor pressures are another
means to compare the Gibbs energies of the different phases with
the phase possessing the lowest vapor pressure, necessarily the
more stable phase under isochoric conditions. Thus the following calculations constitute an additional way to study the phase
relationships while completing the topological phase diagram. It
is worth mentioning that with the word topological is meant that
the phase diagram represents the positions of the different phase
domains, two-phase equilibria, and triple points in relation to each
other; such a diagram does not pretend to represent an absolute
phase diagram, for which all possible phases should be known and
all triple points and phase equilibria should have been conrmed
experimentally. The vapor pressures calculated in this text are
487
Table 6
The coordinates of the triple points for the pressuretemperature phase diagram of the solid forms II and III of benzocaine and the vapor pressures of the different phases at
those coordinates (the more stable phases have been indicated by a vapor pressure given in bold and italic).
Triple point
Temperature
/K
III-II-V
III-L-V
II-L-V
III-II-L
265
360
362
439
Pressure
/Pa
III
P/Pa
0.007
84
102
463 106
0.007
84
96
463 106
therefore estimates in the absolute sense, but completely acceptable for comparison in the relative sense.
For liquid benzocaine, the expression for the vapor pressure as
a function of temperature becomes:
Vapor pressure :
ln(Pvap /Pa) =
55160
+ 22.88
RT
(15)
At triple point II-L-V, solid form II, the liquid, and the vapor
are in equilibrium, which means that the vapor pressure of form
II equals that of the liquid. With Eq. (15), the vapor pressure
of the liquid at TIIL (362.4 K = TII-L-V ) can be calculated resulting in 96 Pa. This pressure provides a value for the sublimation
pressure of form II, the sublimation enthalpy being equal to
the sum of the vapor pressure enthalpy and that of the melting transition: sub,II H = vap H + fus,II H = 78445 J mol1 . Using the
sublimation enthalpy, the sublimation constant Bsub,II can be calculated (Bsub,II = 30.60). It results in the following expression for the
sublimation pressure of form II:
Sublimation pressure form II :
ln(Psub,II /Pa) =
78445
+ 30.60
RT
(16)
78946
+ 30.83
ln(Psub,III /Pa) =
RT
(17)
Either Eq. (16) or (17) can be used to calculate the sublimation pressure of form III and form II at their solidsolid transition
temperature of 265.3 K; the pressure equals 0.007 Pa.
The latter calculations provide all details for the triple points; the
coordinates can be found in Table 6. Besides the temperature and
the pressure of the triple points, the vapor pressures of the different
phases have been given at those triple points. It can be seen that in
most cases the vapor pressure of the stable phases (lowest vapor
pressure) equals that of the triple point and thus those triple points
are stable. Only in the case of the triple point III-L-V, form II has a
lower vapor pressure, which is indeed the more stable phase. The
topological phase diagram taking all information into account has
been presented in Fig. 5.
The phase diagram in Fig. 5 represents the phase behavior of
form III and form II. During the present experiments, form I did
not crystallize, despite repeated efforts; therefore, no new data has
been obtained next to the already existing literature data including the crystal structure and an uncertain transition temperature
with an even more ill-dened transition enthalpy. Considering the
uncertainties over the transition parameters and avoiding speculation, form I has not been incorporated in the present phase
diagram.
II
P/Pa
0.007
79
96
463 106
L
P/Pa
0.12
84
96
463 106
6. Conclusion
The benzocaine phase transition between the previously
reported monoclinic P21 (form III) and the orthorhombic form
P21 21 21 (form II) has been located for the rst time. The transition temperature is 265.3 0.5 K and the enthalpy change equals
3.0 1.0 J g1 .
The equilibrium curves of the III-II and the II-L equilibria in the
pressuretemperature phase diagram have been obtained by highpressure differential thermal analysis. They intersect at 439 K and
463 MPa, which are the coordinates where form III, form II, and the
liquid are in equilibrium with each other, i.e. the triple point III-II-L.
With the triple point coordinates, the position of the equilibrium
between form III and the liquid has been determined followed by
the complete topological phase diagram with respect to phases III,
II, liquid, and vapor.
Surprisingly, form I has not been obtained during the investigation despite repeated efforts reminiscent of what Dunitz
and Bernstein named disappearing polymorphs (Dunitz and
Bernstein, 1995). Its disappearance is surprising, because the sparse
calorimetric data on this form appear to indicate that it may be the
most stable phase of the three known solid phases under ambient conditions. Nonetheless, even if form I would turn out to be
the most stable phase, the phase relationships between the other
phases presented in Fig. 5 will remain valid.
Acknowledgments
M.B. and J.-Ll. T. were supported by the Spanish Ministry of
Science and Innovation (Grant FIS2011-24439) and the Catalan
Government (Grant 2009SGR-1251).
Appendix A. Supplementary data
Supplementary material related to this article can be found,
in the online version, at http://dx.doi.org/10.1016/j.ijpharm.2013.
08.031.
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