Tech Transfer
Tech Transfer
Tech Transfer
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INDUSTRY
To elucidate necessary information to transfer technology of existing products
between various manufacturing places and to exemplify specific procedures and
appropriate quality and to do it right first time, every time. (Amrita K et al, 2013)
In a pharmaceutical industry drugs or drug products are manufactured with large
batch sizes on pilot scale equipment. This pilot scaling up involves the transfer of
technology and the transfer of knowledge from labs that are acquired during the small
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product registrations, but it may not have the marketing and distribution channels.
Exploitation in a different field of application: Each partner may have only half of
the solution i.e. the developer of the technology might be capable of exploiting the
technology itself in the field of diagnostic applications and may grant exploitation
right to commercial partner for the exploitation of therapeutics application.
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Qualit
y
Assur
ance
Formula
tion
Develop
ment
Analytic
al
Develop
ment
Techn
ology
Transf
er
Packagi
ng
Develop
ment
Manufact
uring and
Packagin
g
Quali
ty
Contr
ol
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Analytical Development
and Validation
Research &
Development
Quality Assurance
and Quality
Control
Production and
Commercialization
Product Development
Laboratory
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application of approval.
Information of raw materials and components
Rational for dosage form and formula designs and design of
manufacturing methods
Change in histories of important processes and control parameters
Stability profile, specifications and test methods of drug
substances, intermediates, drug products, raw materials, and
components, which also include validity of specification range of
b) Technology transfer plan: The technology transfer plan describes the items and
contents of technology to be transferred and detailed procedures of individual
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Exhibit:
After taking scale up batches of the product, manufacturing of exhibit batches takes
place. In case of exhibit, batch sizes are increased along with equipment and their
processes. (Manish Singh et al, 2012)
This is done for filling purpose in regulatory agencies.
Research
Phase
Design of
Developme
nt Phase
Research for
properties
and
function of
drugs
including
improveme
nt of
efficacy
and
assurance
of stability
Factory
Production.
Consistency
between
Quality and
Secification.
Development
manufacturing
and
Technology
Transfer from
R&D to
Production.
Production
Phase
Validation
and
Production.
Feedeback
from
Production
and
Technology
transfer of
Marketed
Products.
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c)
Marketing activities:
Prepare marketing materials for technology transfer
Conduct activities such as the participation in Techno mart
Analyse methods to expect maximum effect with minimum cost
Discovery and contact of potential demanding parties
Research and analysis of demanding party
Prior-proposal of technology transfer conditions to the parties seeking to receive the
technology transfer.
d) Packaging:
Draw-up technology information document for the smooth execution of technology
marketing
e)
f) Discovery of technology:
Transfer request or arranging and securing technology that is possible to transfer but
is not possessed in-house.
FACETS AND METHODS OF TECHNOLOGY TRANSFER
Technology transfer can take place in any of the following manner:
that develops the technology is paid by other sector that absorbs the technology.
Between private sector firms of different countries:
From academia to private sector firms:
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Case Study: 1
Transfer of Nanotechnologies from R&D to Small and Medium Enterprises in India
Research has shown that small and medium sized enterprises play an important role in the
economic development of countries worldwide.
Because of limited resources and relative inability to bear the costs and risks associated with
in-house technology development, small and medium sized enterprises often utilize the
process of technology transfer from public funded R&D laboratories to take advantage of the
benefits gained by technology and innovation.
Nanotechnology is emerged as an important enabling technology, capable of impacting
almost all sectors of the industry. Nanotechnology has promised significant social benefits,
including enhancements in medical diagnosis and treatment, more efficient energy sources,
novel sensors for agriculture, security and other areas, lighter, stronger and cheaper materials,
smarter electronic products and cleaner cheaper potable water.
500 companies are working on nanotechnology in India, while more than 50 companies have
commercialized nanotechnology-based products. Indian companies like Biocon, Bharat
Biotech, Dabur, Cadila, Lupin, Cipla, Sun Pharma, Ranbaxy, Crompton Greaves, Resil
Chemicals, KMML, I-CAN Nano, Tata Group, Mahindra & Mahindra, Reliance Industries,
Ashok Leyland, Asian Paints etc., have started commercializing nanotechnology-based
products either developed through in-house R&D or acquired under licensing agreements
from public funded Indian research institutions or foreign collaborations.
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intelligence is emphasised.
The Bar-Zakay model also suffers from another disadvantage. Jagoda (2007) points
out that, The model has limited relevance today since many of the activities, terms,
and ideas expressed reflected the setting of the late 1960s to early 1970s, when buyers
of technology were mainly passive recipients who depended greatly on aid programs
for the purchase of technology. It was also an era when government controls were
instrumental in determining the rate, direction, and scope of technology flows.
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The lessons that can be learnt from the Bar-Zakay model are the following:
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Adapting the process and product if needed and strengthening production systems to
parties.
The education plan and training are executed in consultation with the suppliers of
technology for the workers who would be employed in the technology transfer
project.
The plant is constructed.
The operations are commenced.
Develop trouble-shooting skills and put in place arrangements to solve design and
operations problems as they arise, especially during the early years of operation.
Its major weakness is that it assumes that the transferee will have access to high-level
engineering skills.
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The transferor, which is the entity selling the technology to the recipient.
The transferee, which is the entity buying the technology.
The technology that is being transferred.
The transfer mechanism that has been chosen to transfer the chosen technology.
The transferor environment which is the immediate set of conditions, in which the
transferor is operating.
Attributes of the transferor environment that can influence the effectiveness of the
transfer process include, among others, economic status, business orientation (inward
versus outward), stability, attitude and commitment to the transfer project, and
operating policies.
The greater environment which is that surrounding both the transferor and the
transferee. There may be layers of this environment that are sub-regional, regional,
and global. Even if the immediate operating environments of the transferor and the
transferee are favourable to the technology transfer, if the layers of the greater
environment are not supportive, then cross-border and international technology
The valuable lessons that emerge from this model are as follows:
The many changes that have taken place and are taking place in the global business
setting today have made it imperative for managers of technology to gain good
insights into the transferee environment, transferor environment, and the greater
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Fig 7.1: Bar-Zakay Model of Technology transfer (Samuel N. Bar Zakay, 1970)
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Process Technologist
Responsibilities
Central focus for transfer activities
Collates documentation from donor site
Performs initial assessment of transferred project for
feasibility, compatibility with site capabilities and
Marketing Authorization.
Reviews Analytical methods with Quality Control to
sanitizing materials.
Considers impact on
Production Representative
local
standard
process
operating
supervisors or operators
Reviews (with production representative) equipment
requirement.
Engineering Representative
Initiates
required
engineering
instruments.
Responsible for Analytical method transfer for drug
substance and drug product.
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Labour issues: The pharmaceutical sector demands relatively skilled labour. High
labour turnover and absenteeism owing to unattractive conditions of service is
negative contributor.
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Research tool patents and freedom to operate for the public sector:
Patents sometimes make it difficult for public researchers to carry out their research or
to make the products of that research available. It is intensified by the tendency of
some publicly funded research laboratories to avoid use of a patented technology
without permission even in nations where no relevant patent is in force.
Proper development of managerial and organizing skills in organizations with a longrun strategic planning in technology development, Investment in R&D.
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Technological factors such as degree of achieving the technology, its price, simplicity
and complicacy of technology and development of technology.
Highly skilled, dedicated technology transfer teams with excellent managerial skills.
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To success the given technology transfer the data should be match with the flow of
procedure in formulation and production department.
All the process and control parameter should be stated at given set of procedure.
To develop the drug the material supplier should be with their Certificate of Analysis,
Health, safety and environmental concerns, compliance with all registered
commitments.
Technology Transfer must also be completed safely. The process being transferred
runs as expected (yield, purity, cycle time, etc.) On time (product launch) -On budget
-No CRISIS situations.
Effectively and timely communication with the technical and non-technical members.
Case Study: 2
Technology Transfer of API Manufacturing to India (Vivek K et al, 2012)
The PolyPeptide Group is an international manufacturer of peptide-based active
pharmaceutical ingredients with manufacturing facilities in five countries (Denmark,
France, India, Sweden and USA). The site close to Mumbai in India is newly operational
and has finalized the first two all functional product technology transfers from the USA
and two are ongoing from Scandinavia.
SVKMS Dr. Bhanuben Nanavati College of Pharmacy
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9.
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Pilot scale
Production
plant scale
R&D
before discharge.
To provide data that can be used in making a decision on whether or not to
proceed to a full-scale production process; and in the case of a positive
decision, designing and constructing a full-size plant or modifying an existing
plant.
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Sound scientifically based scaling principles can reduce the need for costly late
stage full scale studies, decreasing the risk associated with product.
Quality must be designed into the process and this can be accomplished by
knowledge of physicochemical process that transforms the incoming materials
Pilot Plant studies include the close examination of the formula to determine:
the product.
Cost factor and Market requirement.
Physical space required and the layout of the related functions.
In short, all critical features of a process must be identified so that as the process is
scaled up, it can be adequately monitored to provide assurance that the process is
under control and that the product produced at each level of the scale up maintains the
specified attributes originally intended.
A pilot plant design should support formulation and process development, clinical
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Validation
Training
Engineering support and maintenance
Calibration
Material and inventory control
Orders and labelling
Process and Manufacturing Activities
Quality Control and Quality Assurance
General Considerations:
Personnel Requirements:
Personnel should consist of scientists with experience in pilot plant operations as well
as in actual production area are the most preferable as they have to understand the
intent of the formulator as well as understand the perspective of the production
personnel. There should be personnel with engineering knowledge as scale up also
involves engineering principles.
Space Requirements:
Separate area is required for the following:
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Raw Materials:
One purpose or responsibility of the pilot-plant is the approval and validation of the
The most economical and the simplest and efficient equipment which are capable of
Production Rates:
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Process Evaluation:
It includes the chemical weight sheet. It should clearly identify the chemicals required
in a batch and present the quantities and the order in which they will be used.
The sampling directions and in-process and finished product specifications.
Batch Record Directions should include specifications for addition rates, mixing
times, mixing speeds, heating and cooling rates and temperature.
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The primary objective of the pilot plant is to ensure physical as well as chemical
GMP Considerations:
The GMP considerations that form a part of scale-up and pilot plant are as follows:
Equipment qualification
Process validation
Regular schedules of preventative maintenance
Regular process review and revalidation
Relevant written standard operating procedures
Employment of technically competent qualified personnel
Adequate provision for training of personnel
A well-defined technology transfer system
Validated cleaning procedures.
An orderly arrangement of equipment so as to ease material flow and prevent crosscontamination.
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Steps in Scale-up:
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The primary responsibility of the pilot plant staff is to ensure that the newly
formulated tablets developed by product development personnel will prove to be
Dry Blending:
agglomerates.
For these reasons, screening and/or milling of the ingredients usually makes the
process more reliable and reproducible.
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V- blender
Double cone blender
Ribbon blender
Slant cone blender
Bin blender
Orbiting screw blenders, vertical and horizontal high intensity mixers.
Scale-up considerations:
Time of blending.
Blender loading.
Size of blender.
Optimum Load
Air Flow Rate
Inlet Air Temperature
Humidity of the Incoming Air
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Planetary Mixer
V-Blender
Following are the parameters to be considered while choosing speed of the press:
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manufacturing process.
Understanding whether and how these phenomena are affected by a change in scale
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Initiation: The scope and goals were agreed upon by all parties preparation of
technology transfer master plan, definition of responsibilities, as well as preparation
Clear definitions of the responsibilities of the technology transfer team members during the
transfer process minimized the time and effort needed for the critical step in the successful
scale-up of intermediates or APIs.
Cost Advantages and Continuous Management:
The first three steps from a registered process, previously run in Switzerland on 1,600
Litres scale, were successfully transferred to operations in India within a timeframe of
five months.
The intermediate of an API that was going to be generic in a few years required the
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This was another critical step toward the projected demand of approximately eight
metric tons per year.
CASE: 2
Cipla Ltd, India entered into a technology transfer agreement with Farmanginhos,
Brazil for fixed dose combination of Artesunate + Mefloquine.
In order to facilitate access of ASMQ in Southeast Asia, a South-South technology
transfer between Farmanginhos in Brazil and Cipla Ltd in India, the agreement for
which was signed in 2008, came to completion in 2010.
This technology transfer for the artesunate + mefloquine fixed-dose combination was
the first of its kind between a company in Brazil and one in India, and was even more
unique in that it involved a transfer from a public entity, Farmanguinhos, to a private
company, Cipla Ltd.
SVKMS Dr. Bhanuben Nanavati College of Pharmacy
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organize the personnel and the process steps. Once prepared, the plan must be
communicated to the involved parties in research, at the corporate level and at the
production site.
In order to scale up and transfer a process successfully from laboratory scale to pilot
scale and multiple commercial manufacturing scales, a thorough understanding of the
integration of scale factors, facility design, equipment design and process performance
is necessary.
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