Robust calibrations on reduced sample sets for API content prediction in tablets: Definition of a cost-effective NIR model development strategy

Owing to spectral variations from other sources than the component of interest, large investments in the NIR model development may be required to obtain satisfactory and robust prediction performance. To make the NIR model development for routine active pharmaceutical ingredient (API) prediction in tablets more cost-effective, alternative modelling strategies were proposed. They used a massive amount of prior spectral information on intra- and inter-batch variation and the pure component spectra to define a clutter, i.e., the detrimental spectral information. This was subsequently used for artificial data augmentation and/or orthogonal projections. The model performance improved statistically significantly, with a 34–40% reduction in RMSEP while needing fewer model latent variables, by applying the following procedure before PLS regression: (1) augmentation of the calibration spectra with the spectral shapes from the clutter, and (2) net analyte pre-processing (NAP). The improved prediction performance was not compromised when reducing the variability in the calibration set, making exhaustive calibration unnecessary. Strong water content variations in the tablets caused frequency shifts of the API absorption signals that could not be included in the clutter. Updating the model for this kind of variation demonstrated that the completeness of the clutter is critical for the performance of these models and that the model will only be more robust for spectral variation that is not co-linear with the one from the property of interest.     

Simple and fast near-infrared spectroscopic analysis of hydroxyl number of polyol using a disposable glass vial

Hydroxyl (OH) number of polyol was measured using near-infrared (NIR) spectroscopy with the use of a disposable glass vial as a sample container. Polyols are viscous, so disposable vials are advantageous when spectroscopic methods are employed. Due to the curvature of the vial walls, a narrow aperture was used to minimize the spectroscopic deviations. The narrow aperture attenuated the NIR radiation and increased the spectral noise in the collected polyol spectra. Wavelet transformation (WT) was employed to reduce this noise and partial least squares (PLS) calibration model was developed. The overall prediction results compare well with those from conventional wet analysis that requires time (1–3 h) and large amounts of chemical reagents. NIR spectroscopy with the use of disposable vials can be utilized for a simple and fast quality assurance of polyol in actual industrial settings.     

Determination of chlorogenic acid in plant samples by using near-infrared spectrum with wavelet transform preprocessing.

By theoretical analysis, it is found that wavelet transform (WT) with a wavelet function can be regarded as a smoothing and a differentiation process, and that the order of differentiation is determined by the vanishing moment, which is an important property of a wavelet function. Therefore, a method based on the continuous wavelet transform (CWT) for removing the background in the near-infrared (NIR) spectrum is proposed, and it is used in the determination of the chlorogenic acid in plant samples as a preprocessing tool for partial least square (PLS) modeling. It is shown that the benefit of the proposed method lies not only in its performance to improve the quality of PLS model and the prediction precision, but also in its simplicity and practicability. It may become a convenient and efficient tool for preprocessing NIR spectral data sets in multivariate calibration.     

Partial least square analysis of lysozyme near-infrared spectra

Proteins possess strong absorption features in the combination range (5000-4000 cm⁻¹) of the near infrared (NIR) spectrum. These features can be used for quantitative analysis. Partial least squares (PLS) regression was used to analyze NIR spectra of lysozyme with the leave-one-out, full cross-validation method. A strategy for spectral range optimization with cross-validation PLS calibration was presented. A five-factor PLS model based on the spectral range between 4720 and 4540 cm⁻¹ provided the best calibration model for lysozyme in aqueous solutions. For 47 samples ranging from 0.01 to 10 mg/mL, the root mean square error of prediction was 0.076 mg/mL. This result was compared with values reported in the literature for protein measurements by NIR absorption spectroscopy in human serum and animal cell culture supernatants.     

Determination of detergent and dispensant additives in gasoline by ring-oven and near infrared hypespectral imaging

A method using the ring-oven technique for pre-concentration in filter paper discs and near infrared hyperspectral imaging is proposed to identify four detergent and dispersant additives, and to determine their concentration in gasoline. Different approaches were used to select the best image data processing in order to gather the relevant spectral information. This was attained by selecting the pixels of the region of interest (ROI), using a pre-calculated threshold value of the PCA scores arranged as histograms, to select the spectra set; summing up the selected spectra to achieve representativeness; and compensating for the superimposed filter paper spectral information, also supported by scores histograms for each individual sample. The best classification model was achieved using linear discriminant analysis and genetic algorithm (LDA/GA), whose correct classification rate in the external validation set was 92%. Previous classification of the type of additive present in the gasoline is necessary to define the PLS model required for its quantitative determination. Considering that two of the additives studied present high spectral similarity, a PLS regression model was constructed to predict their content in gasoline, while two additional models were used for the remaining additives. The results for the external validation of these regression models showed a mean percentage error of prediction varying from 5 to 15%.     

Improving prediction selectivity for on-line near-infrared monitoring of components in etchant solution by spectral range optimization

The components (H₃PO₄, HNO₃, CH₃COOH and water) in an etchant solution have been accurately measured in an on-line manner using near-infrared (NIR) spectroscopy by directly illuminating NIR radiation through a Teflon line. In particular, the spectral features according to the change of H₃PO₄ or HNO₃ concentrations were not mainly from NIR absorption themselves, but from the perturbation (or displacement) of water bands; therefore, the resulting spectral variations were quite similar to each other. Consequently partial least squares (PLS) prediction selectivity among the components should be the most critical issue for continuous on-line compositional monitoring by NIR spectroscopy. To improve selectivity of the calibration model, we have optimized the calibration models by finding selective spectral ranges with the use of moving window PLS. Using the optimized PLS models for each component, the resulting prediction accuracies were substantially improved. Furthermore, on-line prediction selectivity was evaluated by spiking individual pure components step by step and examining the resulting prediction trends. When optimized PLS models were used, each concentration was selectively and sensitively varied at each spike; meanwhile, when whole or non-optimized ranges were used for PLS, the prediction selectivity was greatly degraded. This study verifies that the selection of an optimal spectral range for PLS is the most important factor to make Teflon-based NIR measurements successful for on-line and real-time monitoring of etching solutions.     

独立分量分析预处理法提高苹果糖度模型预测精度研究

为了提高苹果近红外光谱糖度预测模型精度,利用独立分量分析方法(ICA)对苹果近红外光谱进行了预处理,并且建立了糖度的偏最小二乘(PLS)预测模型。结果表明,独立分量分析不但能分离出噪声信号,而且所分离出来的光谱信号也比原始光谱信号光滑。在预处理后的最佳PLS糖度模型校正时的相关系数rc和标准偏差SEC分别为0.9549和0.3361,用于预测时的相关系数rp和标准偏差SEP分别为0.9071和0.4355。与普通的平均处理法的PLS模型相比,其精度有所提高,且模型更加简洁。     

Simultaneous kinetic-spectrophotometric determination of sulfide and sulfite by partial least squares and genetic algorithm variable selection

Simultaneous multicomponent analysis is usually carried out by multivariate calibration models such as partial least squares (PLS) that utilize the full spectrum. It has been demonstrated by both experimental and theoretical considerations that better results can be obtained by a proper selection of the spectral range to be included in calculations. A genetic algorithm is one of the most popular methods for selecting variables for PLS calibration of mixtures with almost identical spectra without loss of prediction capacity. In this work, a simple and precise method for rapid and accurate simultaneous determination of sulfide and sulfite ions based on the addition reaction of these ions with new fuchsin at pH 8 and 25°C by PLS regression and using a genetic algorithm (GA) for variable selection is proposed. The concentrations of sulfide and sulfite ions varied between 0.05–2.50 and 0.15–2.00 μg/mL, respectively. A series of synthetic solutions containing different concentrations of sulfide and sulfite were used to check the prediction ability of GA-PLS models. The root mean square error of prediction with PLS on the whole data set was 0.19 μg/mL for sulfide and 0.09 μg/mL for sulfite. After the application of GA, these values were reduced to 0.04 and 0.03 μg/mL, respectively. The text was submitted by the authors in English.     

小波变换结合多维偏最小二乘方法用于近红外光谱定量分析

将小波变换和多维偏最小二乘法相结合用于近红外光谱定量校正模型的建立。首先将原始光谱进行小波变换分解，得到系列小波细节系数，通过选取一组受外界因素少、信息强的小波系数组成三维光谱阵，然后再采用多维偏最小二乘法建立校正模型。实验结果表明，该方法所建近红外校正模捌的预测能力更强，并更具稳健性。     

Comparison of near-infrared and mid-infrared spectroscopy for the determination of distillation property of kerosene

Near-infrared (NIR) and mid-infrared (MIR) spectroscopy have been compared and evaluated for the determination of the distillation property of kerosene with the use of partial least squares (PLS) regression. Since kerosene is a complex mixture of similar hydrocarbons, both spectroscopic methods will be best evaluated with this complex sample matrix. PLS calibration models for each percent recovery temperature have been developed by using both NIR and MIR spectra without spectral pretreatment. Both methods have shown good correlation with the corresponding reference method, however NIR provided better calibration performance over MIR. To rationalize the improved calibration performance of NIR, spectra of the same kerosene sample were continuously collected and the corresponding spectral reproducibility was evaluated. The greater spectral reproducibility including signal-to-noise ratio of NIR led to the improved calibration performance, even though MIR spectroscopy provided more qualitative spectral information. The reproducibility of measurement, signal-to-noise ratio, and richness of qualitative information should be simultaneously considered for proper selection of a spectroscopic method for quantitative analysis.     

Novel Spectral Interval Selection Method Based on Synchronous Two-Dimensional Correlation Spectroscopy

Synchronous 2D correlation spectroscopy was first proposed to select informational spectral intervals in PLS calibration. The proposed method could extract the spectral intervals related to analyte. The results of its application to NIR/PLS determination of quercetin in extract of Ginkgo biloba leaves showed that the proposed method could find out an optimized region with which one could improve the performance of the corresponding PLS model, in terms of low prediction error, root mean square error of prediction (RMSEP), and comparing with the result obtained using whole spectra and interval PLS.     

基于最小角回归结合一元线性直接校正法的近红外光谱模型传递方法

针对近红外光谱分析技术中模型通用性较差的问题,提出了一种新的模型传递方法——最小角回归结合一元线性直接校正法(Least angle regression combined simple linear regression direct standardization,LARSLRDS)。该方法首先采用小波变换对样品光谱数据进行预处理,然后利用LAR实现样品全谱区光谱特征波长点的筛选,最后利用SLRDS对筛选出来的变量进行校正。采用汽油和药品样本的近红外光谱数据验证LAR-SLRDS性能,汽油数据集C7、C8、C9和C10成分的光谱差异为0. 002 8、0. 002 7、0. 002 6和0. 002 7,预测标准差为0. 410 6、0. 849 2、1. 034 9和1. 215 8;药品数据集活性、硬度和重量成分的光谱差异为0. 030 0、0. 031 8和0. 033 6,预测标准差为1. 933 8、0. 440 2和2. 130 9。结果表明,LAR-SLRDS算法不仅能够消除主、从仪器光谱之间存在的差异,实现模型传递,而且能够提高PLS定量模型的准确性和稳定性,具有广泛的应用潜力。     

近红外光谱结合膜富集技术测定饮料中微量邻苯二甲酸二异辛酯的含量

提出了一种基于在线膜富集的近红外漫反射光谱技术,对饮料中的微量塑化剂邻苯二甲酸二异辛酯(DEHP)进行快速检测。采用聚醚砜膜对饮料中的DEHP进行富集,将富集DEHP的膜直接进行近红外漫反射检测。参考DEHP的透射近红外光谱,对波数进行选择,以4 420～4 060、4 700～4 540、6 040～5 600cm-1作为建模的波数区间。通过比较原始光谱、多元散射校正、一阶求导、二阶求导及其组合,考察了光谱预处理方法对模型的影响,用去一交互验证法建立了偏最小二乘(PLS)模型,并用所建立的校正模型对校正集样品进行了预测。结果表明,在选定的波数区间,当用一阶求导对校正集光谱进行预处理时,所建立的模型对校正集的预测效果最佳,在隐变量数为7时,对校正集所有样品的校正均方根误差(RMSEC)为0.188 7mg/L。用此模型对预测集样品进行预测时,DEHP的质量浓度在0.5～5.0 mg/L范围内,预测均方根误差(RMSEP)为0.232 4 mg/L,平均相对预测误差为6.29%。     

拉曼光谱结合背景扣除化学计量学方法用于汽油中MTBE含量的快速测定研究

应用便携式拉曼光谱仪测量了汽油样本的拉曼光谱,以自适应迭代惩罚最小二乘方法(airPLS)对光谱进行了背景扣除和平滑处理,并选取特征峰区间利用偏最小二乘方法(PLS)建立了预测甲基叔丁基醚(MT-BE)的校正模型。以训练集相关系数和拟合误差及测试集相关系数和预测误差作为判定依据,确定了最佳建模条件。最终训练集相关系数为0.996 0,拟合误差为0.316 1,测试集相关系数为0.996 6,预测误差为0.490 1。结果表明采用便携式拉曼光谱结合化学计量学方法处理,可以满足对汽油中MTBE含量快速检测的要求。     

Comparison of performance of partial least squares regression,secured principal component regression,and modified secured principal component regression for determination of human serum albumin, γ-globulin and glucose in buffer solutions and in vivo blood glucose quantification by near-infrared spectroscopy

The performances of three multivariate analysis methods—partial least squares (PLS) regression, secured principal component regression (sPCR) and modified secured principal component regression (msPCR)—are compared and tested for the determination of human serum albumin (HSA), γ-globulin, and glucose in phosphate buffer solutions and blood glucose quantification by near-infrared (NIR) spectroscopy. Results from the application of PLS, sPCR and msPCR are presented, showing that the three methods can determine the concentrations of HSA, γ-globulin and glucose in phosphate buffer solutions almost equally well provided that the prediction samples contain the same spectral information as the calibration samples. On the other hand, when some potential spectral features appear in new measurements, sPCR and msPCR outperform PLS significantly. The reason for this is that such spectral features are not included during calibration, which leads to a degradation in PLS prediction performance, while sPCR and msPCR can improve their predictions for the concentrations of the analytes by removing the uncalibrated features from the original spectra. This point is demonstrated by successfully applying sPCR and msPCR to in vivo blood glucose measurements. This work therefore shows that sPCR and msPCR may provide possible alternatives to PLS in cases where some uncalibrated spectral features are present in measurements used for concentration prediction.     

偏最小二乘回归用于近红外光谱分析的稳健策略

偏最小二乘法（PLS）在近红外光谱（NIR）定量分析中占有重要地位,但预测结果往往容易受到样本分组和奇异样本等因素的影响,稳健性不强。多模型PLS (EPLS）方法在模型稳健性上得到提高,然而它无法识别样本中存在的奇异样本。为了同时提高模型的预测准确性和稳健性,本文提出了一种根据取样概率重新取样的多模型PLS方法,称为稳健共识PLS（RE-PLS）方法。该方法通过迭代赋权偏最小二乘法(IRPLS)计算样本回归残差得到每个校正集样本的取样概率,然后根据样本的取样概率来选择训练子集建立多个PLS模型,最后将所有PLS模型的预测结果平均作为最终预测结果。该方法用于两种不同植物样品的近红外光谱建模,并与传统的PLS及EPLS方法进行比较。结果表明该方法可以有效的避免校正集中奇异样本对模型的影响,同时可以提高预测精确度和稳健性。对于含有较多奇异样本的,复杂近红外光谱烟草实际样本,利用简单PLS或者EPLS方法建模预测效果不是很理想,而RE-PLS凭借其独特优势则有望在这种复杂光谱定量分析中得到广泛的应用。     

Improvement of the partial least squares model performance for oral glucose intake experiments by inside mean centering and inside multiplicative signal correction.

Near infrared (NIR) spectroscopy has become a promising technique for the in vivo monitoring of glucose. Several capillary-rich locations in the body, such as the tongue, forearm, and finger, have been used to collect the in vivo spectra of blood glucose. For such an in vivo determination of blood glucose, collected NIR spectra often show some dependence on the measurement conditions and human body features at the location on which a probe touches. If NIR spectra collected for different oral glucose intake experiments, in which the skin of different patients and the measurement conditions may be quite different, are directly used, partial least squares (PLS) models built by using them would often show a large prediction error because of the differences in the skin of patients and the measurement conditions. In the present study, the NIR spectra in the range of 1300-1900 nm were measured by conveniently touching an optical fiber probe on the forearm skin with a system that was developed for in vivo measurements in our previous work. The spectra were calibrated to resolve the problem derived from the difference of patient skin and the measurement conditions by two proposed methods, inside mean centering and inside multiplicative signal correction (MSC). These two methods are different from the normal mean centering and normal multiplicative signal correction (MSC) that are usually performed to spectra in the calibration set, while inside mean centering and inside MSC are performed to the spectra in every oral glucose intake experiment. With this procedure, spectral variations resulted from the measurement conditions, and human body features will be reduced significantly. More than 3000 NIR spectra were collected during 68 oral glucose intake experiments, and calibrated. The development of PLS calibration models using the spectra show that the prediction errors can be greatly reduced. This is a potential chemometric technique with simplicity, rapidity and efficiency in the pretreatment of NIR spectra collected during oral glucose intake experiments.     

Estimation of the composition of heparin mixtures from various origins using proton nuclear magnetic resonance and multivariate calibration methods

A multivariate calibration method for the characterization of heparin samples based on the analysis of (1)H nuclear magnetic resonance (NMR) spectral data is proposed. Heparin samples under study consisted of two-component or four-component mixtures of heparins from porcine, ovine and bovine mucosae and bovine lung. Although the (1)H NMR spectra of all heparin types were highly overlapping, each origin showed some particular features that could be advantageously used for the quantification of the components. These features mainly concerned the anomeric H, which appeared in the range 5.0-5.7 ppm and the peaks of acetamidomethyl protons at 2.0-2.1 ppm. The determination of the percentage of each heparin class depended on these differences and was carried out using partial least squares regression (PLS) as a calibration method. Prior to the PLS analysis, the spectral data were standardized using the internal standard peak (sodium 4,4-dimethyl-4-silapentanoate- 2,2,3,3- d (4), TSP) as the reference. The quantification of each heparin type in the samples using PLS models built with 4 or 5 components was satisfactory, with an overall prediction error ranging from 3% to 10%.     

基于局部最小二乘支持向量机的光谱定量分析

提出了一种基于局部最小二乘支持向量机(LSSVM)的回归方法,以克服待测参数和光谱数据间的非线性。本方法首先通过欧式距离选取局部训练样本子集,然后利用该子集建立LSSVM校正模型。由于每个测试样本建模时要选取不同的训练样本,因此提出相对距离的概念用来改进高斯核函数,使LSSVM的参数对于不同的训练样本具有自调整功能。针对一批汽油样本的实验结果表明,本方法的预测精度优于常见的局部线性建模方法和全局建模方法。     

The use of FT-NIR for API content assay in organic solvent media: a single calibration for multiple downstream processing streams

The use of near infrared spectroscopy (NIRS) in downstream solvent based processing steps of an active pharmaceutical ingredient (API) is reported. A single quantitative method was developed for API content assessment in the organic phase of a liquid–liquid extraction process and in multiple process streams of subsequent concentration and depuration steps. A new methodology based in spectra combinations and variable selection by genetic algorithm was used with an effective improvement in calibration model prediction ability. Root mean standard error of prediction (RMSEP) of 0.05 in the range of 0.20–3.00% (w/w) was achieved. With this method, it is possible to balance the calibration data set with spectra of desired concentrations, whenever acquisition of new spectra is no longer possible or improvements in model's accuracy for a specific selected range are necessary. The inclusion of artificial spectra prior to genetic algorithms use improved RMSEP by 10%. This method gave a relative RMSEP improvement of 46% compared with a standard PLS of full spectral length.