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ISSN: 0363-9045 (print), 1520-5762 (electronic)
REVIEW ARTICLE
Pharmaceutics and Pharmaceutical Technology, University of Valencia, Valencia, Spain, and 3Centre for Molecular Recognition and Technological
Development, Centre of Polytechnic University of Valencia-University of Valencia, Valencia, Spain
Abstract Keywords
The major objective of in vitro–in vivo correlations is to be able to use in vitro data to predict BCS, biorelevant media, biowaiver, dissolution
in vivo performance serving as a surrogate for an in vivo bioavailability test and to support methods, EMA, FDA, IVIVC, one-stage
biowaivers. Therefore, the aims of this review are: (i) to clarify the factors involved during methods, two-stage methods
bio-predictive dissolution method development; and (ii) the elements that may affect the
mathematical analysis in order to exploit all information available. This article covers the basic History
aspects of dissolution media and apparatus used in the development of in vivo predictive
dissolution methods, including the latest proposals in this field as well as the summary of the Received 12 March 2015
mathematical methods for establishing the in vitro–in vivo relationship and their scope and Revised 19 May 2015
For personal use only.
limitations. The incorporation of physiological relevant factors in the in vitro dissolution method Accepted 20 May 2015
is essential to get accurate in vivo predictions. Standard quality control dissolution methods do Published online 2 July 2015
not necessarily reflect the in vivo behavior, so they rarely are useful for predicting in vivo
performance. The combination of physiological based dissolution methods with physiological-
based pharmacokinetics models incorporating gastrointestinal variables will lead to robust
tools for drug and formulation development, nevertheless their regulatory use for biowaiver
application still require harmonization of the mathematical methods proposed and more
detailed recommendations about the procedures for setting up dissolution specifications.
promote the establishment of validated in vitro–in vivo correl- Level A is the highest level of correlation and it represents a
ations (IVIVC) in order to use in vitro dissolution data as a point-to-point relationship between in vitro dissolution rate and
surrogate of the in vivo behavior to avoid as much as possible the in vivo input rate of the drug from the dosage form35. The purpose
use of human volunteers, which reduces the cost and time of a of this level of correlation is to predict the entire in vivo profile
drug to be marketed. For these reasons, the use of IVIVC has from the in vitro dissolution curve. Usually, linear correlations are
grown rapidly in the field of novel drug delivery systems. observed and in vitro dissolution and in vivo input curves may be
Many references in the last decade can be found about the directly superimposable (1:1 relationship) or may be made
concept and application of IVIVC for pharmaceutical dosage superimposable by the use of a scaling factor (point-to-point
forms25–29. Academia, pharmaceutical industry and regulatory relationship). Non-linear correlations are uncommon, but may
sectors have focused on the use of IVIVC for different purposes. also be appropriate26. A change in manufacturing site, method of
In fact, FDA published in 1997 three regulatory guidances to set manufacture, raw material suppliers, minor formulation modifi-
the conditions for developing IVIVC for immediate-release cation, and even product strength using the same formulation can
(IR)30, extended-release (ER)31 and scale-up and post-approval be justified without the need for additional human studies35.
changes: chemistry, manufacturing and controls, in vitro dissol-
ution testing and in vivo bioequivalence documentation for IR and Considerations for dissolution method development
ER32. Several years later, in 2012, European Medicines Agency
(EMA) published a draft guideline entitled: Guideline on the Drug absorption from a solid dosage form following oral
pharmacokinetic and clinical evaluation of modified release administration involves mainly three processes: release of the
Drug Dev Ind Pharm Downloaded from informahealthcare.com by Nyu Medical Center on 07/06/15
dosage forms, which describes the applications, study design drug substance from the drug product, dissolution or solubiliza-
considerations and IVIVC development and validation33 and it tion of the drug under physiological conditions and drug
has been finished in 201434. Both agencies developed a regulatory permeability across the biological layers of the gastrointestinal
framework motivating the application of IVIVC and minimizing tract. In vivo performance is deeply dependent on the first two
the need for in vivo bioavailability studies. steps. Noyes–Whitney equation and subsequent modifications36,37
The major objective of IVIVC is to be able to use in vitro data provide an initial framework to compare the different factors
to predict in vivo performance serving as a surrogate for an in vivo affecting the in vitro–in vivo dissolution.
bioavailability test and to support biowaivers. Therefore, the aims
of this review are: (i) to clarify the factors involved during bio- Physicochemical factors
predictive dissolution method development; and (ii) the elements Dissolution rate is directly proportional to the available surface.
that may affect the mathematical analysis in order to exploit all Particle size and the ability of the liquid to wet particles
information available.
For personal use only.
Consider Consider
Gastric gastric Intestinal absorption
Class Solubility Permeability medium compartment luminal medium compartment Likelihood of IVIVC
I High High 250 mL PGB No (b) 900 mL PIB No IVIVC expected
(if dissolution is rate-limiting step)
IIa Low High Yes 100 mL PIB Yes IVIVC expected
IIb Low High Yes 100 mL PIB Yes IVIVC expected
IIc Low High Yes 100 mL PIB + bile acids/lipid Yes IVIVC expected
III High Low No 100 mL PIB No Little or no IVIVC
IVa Low Low Yes 100 mL PIB Yes Little or no IVIVC
IVb Low Low Yes 100 mL PIB Yes Little or no IVIVC
IVc Low Low Yes 100 mL PIB + bile acids/lipid Yes Little or no IVIVC
Adapted from Tsume et al.23 PIB: physiological intestinal buffer; PGB: physiological gastric buffer.
Drug Dev Ind Pharm Downloaded from informahealthcare.com by Nyu Medical Center on 07/06/15
Therefore, bio-reflective in vitro dissolution methodologies are Table 2. Physiological parameters in fasted or fed conditions in gastric,
encouraged in order to assure the bioequivalence standards, and a duodenum and jejunum.
new proposed BCS subclassification has been published in order
to better characterize drug and dissolution properties, which may Gastric Duodenum Jejunum Ileum
affect drug absorption23. A summary table, relating BCS class, Human gastrointestinal fluid in the fasted state
advisable dissolution method and likelihood of developing an pH 2.5 6.3 6.5 6.5
IVIVC is reported in Table 1. Buffer capacity [mM DpH1] 14.3 5.6 8.5 6.4
Osmolarity [mOsm] 202 197 280
Surface tension [mN m1] 36.8 37.5
Standard USP apparatus Bile salt [mM] 0.28 3.25 2.52 2–10
US Pharmacopeia (USP) and FDA describe seven types of Phospholipid composition [mM] 0.029 0.26 0.19
dissolution apparatus: rotating basket (Apparatus I), paddle Human gastrointestinal fluid in the fed state
For personal use only.
In some cases, successful IVIVC have been achieved with stresses, media flow shear stress and media contact have been
simple dissolution media. In general, an aqueous test medium is improved in the past years, allowing the development of dynamic
preferred30,31,35. Looking at USP and FDA guidelines, pH systems to better predict the in vivo drug behavior such as
recommendations differ slightly30,31,35. In general, water is artificial stomach-duodenal model (ASDM), TNO gastrointestinal
accepted by regulatory agencies30,31,35 or buffered solution model (TIM-1) and the dynamic gastric model (DGM)42
preferably not exceeding pH 6.8 are recommended by FDA as (Table 4). However, the movement of the drug along the
the initial medium for the development of an IVIVC30,31. As gastrointestinal tract is something difficult to simulate
recommended by USP, deaerated water, a buffered solution in vitro36,62,81 and, although all these new systems might reflect
(typically pH 4–8) or a dilute acid (0.001–0.1 N) may preferably better the in vivo conditions, additional validation work is still
be used as dissolution medium for MR dosage forms35. On the needed. Once a discriminating system is developed, dissolution
other hand, non-aqueous and hydro-alcoholic systems must be conditions should be the same for all formulations tested in the
justified by a documented IVIVC31,35,38,39 and other extreme biostudy for the development of the correlation and should be
testing conditions (e.g. pH48) should be justified31,30. In order to fixed before further steps towards correlation evaluation are
simulate intestinal fluid or gastric fluid, dissolution medium of undertaken31. Very extensive and detailed information concerning
pH 6.8 or pH 1.2 are encouraged, respectively51. the factors that influence the dissolution process can be found in
The use of the so-called ‘‘biorelevant’’ media have raised up in the review published by Kostewicz et al.42 and Gray82.
the last years (Table 3) because of the increased research and
development of poorly soluble drugs. They may reflect better the IVIVC mathematical methodologies
Drug Dev Ind Pharm Downloaded from informahealthcare.com by Nyu Medical Center on 07/06/15
Adapted from Luner and Vander Kamp65 and Jantratid et al.66. FaSSGF: Fasted state simulated gastric fluid; FeSSGF: Fed state simulated gastric fluid; FaSSIF: Fasted state simulated intestinal fluid; FeSSIF: Fed
state simulated intestinal fluid; FaSIMS: Fasted state intestinal micellar solution; FeSIMS: Fed state intestinal micellar system; FeSIES: Fed state intestinal emulsion system.
IVIVC: concepts, methodologies and regulatory applications
5
6 I. González-Garcı́a et al. Drug Dev Ind Pharm, Early Online: 1–13
Adapted from Kostewicz et al42. DGM: dynamic gastric model; TIM-1: TNO gastroIntestinal model; ASD: artificial stomach duodenal model.
Equation (2) is the LR equation which was published by Wagner85 l½f ðtÞ l½C ðtÞ ¼ ð7Þ
Vd ðka kel Þ
and Equation (3) is an approximate solution that can be applied
when sampling intervals are small and linear.
F D ka F D ka
l1 ¼ ekel t eka t ð8Þ
Model-independent deconvolution methods. The deconvolution Vd ðSka Þ ðS þ kel Þ Vd ðka kel Þ
methods do not assume a pharmacokinetic model for drug
disposition and can be applied to linear systems. A system is
Deconvolution by curve-fitting. Assuming that the input func-
characterized by an input point or pulse (which corresponds to the
tion is a function of p parameters, the deconvolution problem is
absorption zone) and the response, as the variable measured due
transformed into a regression problem in which the parameters
to an impulse. The most important input function is the unit
are estimated by non-linear regression. If the input function is
impulse (d). An OR is a good approach or description of the unit
considered as an exponential function, its convolution with the
For personal use only.
for one compartment drugs92. The third method93 consists of Equation (17) assumes that time profiles of the in vitro and in vivo
demonstrating that the mean in vitro dissolution rate constant (kd) release are similar; 0 and 1 are the time scaling and the scaling
is correlated with the mean in vivo absorption rate coefficient (ka). factor.
The purpose of this kd–ka correlation is to calculate a predicted ka However, these equations do not included random errors. As it
in order to use the Bateman equation [Equation (11)] to estimate is described in the literature86,96–98, the error associated with the
the predicted plasma concentrations. in vitro dissolution and the error associated with the in vivo
ð2DFabs DÞ
profiles are different. Therefore, it may be modeled independently,
Vd þ Ct ð2kel DtÞ
Ct1 ¼ ð10Þ gðFi2k ðtÞÞ ¼ 0 þ 1 t þ gðF1 ðtÞÞ þ ui þ Sik ð18Þ
ð2kel DtÞ
where ui and sik are time invariant-independent random effects
FD ka
C¼ ekel t eka t ð11Þ that describe the variation in vitro between dosage units and
Vd ka kel in vivo between dosage unit-subject combinations, respectively.
that forms the centre of these approaches relies on a convolution- tion-based and compartmental models are mathematically equiva-
type integral transform86,94. The basis and equations for this lent when the system being modeled is linear99. Nonetheless,
method have been described in detail in several papers83,86,94–96. differential equation allows a compartmental approach, while a
For these methods, a reference administration could be useful, but convolution-based method does not.
it is not mandatory. The advantage of this method against two- One of the assumptions of convolution- and deconvolution-
stage methods is that the relationship between the in vitro release based methods is that the system that is being modeled is linear,
and plasma concentrations of the drug are set in one step, so that but not always it occurs in that way. For example, several drugs
the modeling is focused on the ability to predict the in vivo are eliminated by mechanisms that imply saturable pro-
behavior2,86. cesses100,101. It has been demonstrated96 that the convolution-
Within this context, defining an IVIVC the main aim is to based method is truthful but, the assumption of linearity is
establish the functional dependence that relates the in vivo input violated when data for a drug with non-linear kinetics is analyzed
For personal use only.
(release or absorption) rate Fi2 to the in vitro dissolution rate Fi1. and therefore this approach could not be adequate.
The simplest choice is a linear one: In the study of non-linear kinetic drugs, it is essential to use a
method that allows modeling this non-linearity. It is clear that
Fi2 ðtÞ ¼ Fi1 ðtÞ ð12Þ both convolution- and deconvolution-based models do not satisfy
these requirements, but a compartmental approach, using differ-
As Dunne et al.97 published, the relationship between the in vivo
ential equations, can be the solution for this type of drugs. In
and in vitro dissolution may be expressed in terms of a
addition, the IVIVC relationship can be specified by the user to
relationship between the related functions such as the odds
incorporate random effects, time dependence, scale factors etc. as
functions [Equation (13)], the hazard functions [Equation (14)] or
required by each particular set of data89.
the reversed hazard functions [Equation (15)].
Gaynor et al.89 described a compartmental approach for a drug
Fi2 kðtÞ Fi2 ðtÞ with non-linear kinetics (Figure 1). Five compartments are used to
¼ ik ð13Þ establish the IVIVC where the first two compartments correspond
1Fi2k ðtÞ 1Fi1 ðtÞ
to in vitro dissolution data and the last three to the in vivo data
allowing a Michaelis–Menten elimination.
1Fi2k ðtÞ ¼ ð1Fi1 ðtÞÞik ð14Þ
Evaluation of IVIVC predictability
Fi2k ðtÞ ¼ ðFi1 ð7ÞÞik ð15Þ
Once the IVIVC has been established, the last step before its use
where i is the constant of proportionality for the ith unit. as a surrogate of the in vivo performance is to evaluate the
Following the mathematical development proposed by O’Hara predictability of the IVIVC. Usually, the IVIVC is evaluated by
et al.86, Equations (13)–(15) can be written as: the prediction error that is calculated using the observed in vivo
property (i.e. AUC and Cmax) and the estimated in vivo property.
gðFi2k ðtÞÞ ¼ logðÞ þ gðF1 ðtÞÞ ð16Þ
Internal validation
where g(-) is the so-called link function which maps [0, 1] to
[1, +1], and is the logit, complementary log–log or log–log Internal validation results from the evaluation of the prediction
depending on which of the three models described above is being errors (PE) obtained after comparing the observed in vivo
considered. The link function guarantees that both rates (in vivo parameter used to develop the IVIVC versus in vivo predicted
absorption and in vitro dissolution) lie in the interval [0, 1]. parameter from the developed IVIVC. The %PE is calculated by
Time scaling is frequently used to justify differences in time the following equation:
profiles for in vitro and in vivo release. The presence of a slight
ðObserved Parameter Preducted ParameterÞ
time-delay (time-shift or lag time), for the in vivo data is also a %PE ¼ 100
realistic assumption in most cases, because compared with in vitro Observed Parameter
in which dissolution may start instantaneously, in vivo absorption ð19Þ
may be somewhat delayed. According to FDA and EMA guidelines, the mean absolute %PE
gðFi2k ðtÞÞ ¼ 0 þ 1 t þ gðF1 ðtÞÞ ð17Þ for all formulations should be less than 10% and the %PE for an
individual formulation should be less than 15%.
8 I. González-Garcı́a et al. Drug Dev Ind Pharm, Early Online: 1–13
FDA EMA
General
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Table 7. Examples of IVIVC published based on different drug properties, drug formulation, software and IVIVC method selected.
References BCS Class Drug Route Formulation IVIVC Method Software Averaged IV/EV
Naeem Aamir I Tramadol Oral CR NO IVIVC Wagner Nelson Yes NO
et al.111
Balan et al.1 II Glibenclamide Oral IR, MR A and C Convolution IV
Balan et al.2 III Metformin Oral MR A Convolution Sigma-PlotÕ
Bose and Wui132 II Domperidone Oral MR A Wagner Nelson Yes IV/EV
Bredael et al.133 IV Oral IR C No
Corrigan et al.3 II Ketoprofen Oral ER A Deconvolution PCDCONÕ Yes
Dutta et al.102 III Divalproex sodium Oral ER A Wagner Nelson Yes IV/EV
For personal use only.
CR: controlled release; IR: immediate release; ER: extended release; EC: enteric coated, IRFA: immediate release fast absorption; Caps: capsule, PR:
prolonged release; MR: modified release; DT: dispersible tablet IV: internal validation; EV: external validation.
determined whether averaged curve reflects the individual great potential to assist in the design, selection and development
behavior or not. of drugs116. Current dissolution methodologies may not reflect, in
In the recent years, the use of physiologically based some cases, the complexity of all processes affecting the in vivo
pharmacokinetic (PBPK) approach has increased because of its performance. Thus, PBPK integrates parameters determined a
10 I. González-Garcı́a et al. Drug Dev Ind Pharm, Early Online: 1–13
priori from in silico predictions, in vitro experiments, or in vivo cost by avoiding future in vivo testing. Nevertheless, the
data when required117. These advantages have enabled the development and validation of in vivo predictive dissolution
implementation of PBPK by pharmaceutical companies in methods still require extensive research as there is not a single
dossiers submitted to the regulatory agencies in the last apparatus or media able to resemble the gastrointestinal system
years118. In fact, in the last version of the Guideline on the complexity and the different impact of the physiological envir-
pharmacokinetic and clinical evaluation of modified release onment on the different drugs and drug products. BCS has been a
dosage forms published by EMA, recognizes the use and good starting point to define the design of in vivo predictive
application of PBPK analysis for drug performance prediction. dissolution methods and it has open new fields of research as the
However, more confirmative work is still needed to assess the physiological buffers or the multi-compartment dissolution
extrapolation of in vitro properties to in vivo performance. Table 6 apparatuses. The integration of the in vivo information including
lists a summary of free and designed packages for IVIVC in vitro dissolution variability with the in vivo system character-
establishment. istics and variability through PBPK models and the adequate
As a model-independent approach, deconvolution have gained statistical procedures for setting up dissolution specifications will
popularity in the last years because it refuses the assumption of ensure the fail safe use of dissolution data as surrogate of in vivo
model-dependency, allowing more flexibility2,3,9,10,11,14–17,38, assays but the mathematical methods also need further investi-
55,56,96,97,103,104,119–128
(see Table 7). However, the use of averaged gation through simulation approaches and validation against
data in some articles is still controversial and it has become itself in vivo data. The classification of drugs needing more
an important research field. Gaynor et al.129 analyzed and sophisticated mathematical approaches to ensure in vivo bioequi-
Drug Dev Ind Pharm Downloaded from informahealthcare.com by Nyu Medical Center on 07/06/15
compared the same dataset using deconvolution-based method valence from in vitro data versus others for which the standard and
with individual data and averaged data. Gaynor concludes that simple two step method over average profiles are enough would
‘‘averaging the observed data before deconvolution leads to be a step forward facilitating the use of the IVIVC approach as
predictions which are even less accurate than those obtained well as its regulatory acceptance.
when deconvolution takes place on the individual subject level’’.
Although FDA31 prefers two-stage methods (deconvolution- Declaration of interest
and model-dependent methods) to establish an IVIVC, several
The authors report no declarations of interest. The authors acknowledge
authors emphasized the limitations of deconvolution86,95– financial support to projects: DCI ALA/19.09.01/10/21526/245-297/
97,105,130
, and even EMA131 recommends deconvolution methods ALFA 111(2010)29: Red-Biofarma. Red para el desarrollo de metodo-
only for exploratory analysis which can be used as basis to logias biofarmaceuticas racionales que incrementen la competencia y el
develop a one-stage method model (Table 5). impacto social de las Industrias Farmaceuticas Locales. A grant from
Many of these limitations are described below: Ministry of Education and Science of Spain and Miguel Hernandez
For personal use only.
Like model dependent methods, very often, the observed data University was awarded to Victor Mangas Sanjuán (Grant FPU AP2010-
2372).
are averaged at each point before analysis resulting into an
important loss of information.
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