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! 2015 Informa Healthcare USA, Inc. DOI: 10.3109/03639045.2015.1054833

REVIEW ARTICLE

In vitro–in vivo correlations: general concepts, methodologies and


regulatory applications
Ignacio González-Garcı́a1,2, Victor Mangas-Sanjuán1,2, Matilde Merino-Sanjuán2,3, and Marival Bermejo1
1
Department of Engineering, Area of Pharmaceutics and Pharmaceutical Technology, Miguel Hernández University, Elche, Spain, 2Department of
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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.

Introduction numerous applications to optimize and to accelerate drug


development and to ensure formulation bioequivalence.
The consistent performance of drug products for the oral route, as
Rate and extent of dissolution and absorption depend on the
the most used and preferred for patients, is essential for
physicochemical characteristics of the drug (as pKa, crystalline
therapeutic effect and clinical success. Thus, validating in vitro
habit, solubility, partition coefficient), as well as on the charac-
and in silico methods to predict oral product performance in the
teristics of the dosage form. On the other hand, the physiological
development phase is a key step to ensure the maximal absorption
parameters such as gastrointestinal buffers, pH, ionic strength,
in clinical phases.
bile salt concentration, gastric emptying rate, fluid volume and
Any dosage form for the oral route must dissolve on the
hydrodynamic conditions are also relevant. In spite of the use of
intestinal fluids as an essential step before its absorption through
the dissolution tests for quality control, there is no single
the intestinal membrane. Decades of research have been devoted
dissolution test or apparatus able to capture the complexity of
to the development of in vitro dissolution methods capable of
in vivo relevant parameters that determine in vivo drug product
reproducing the process of in vivo dissolution to guarantee the
dissolution on the gastrointestinal lumen. Due to the difficulty of
proper performance of the drug1–18.
developing a single dissolution system, it would be desirable to
The science of dissolution methods has evolved in the last
know which are the relevant characteristics of the drug substance
decades in parallel to the development of gastroenterology and it
and the dosage form and then design a dissolution method that
has led to the development of new in vivo biorelevant
incorporates them.
methods19,20 and in vivo predictive methods21–23. This new field
Since the beginning of 1950s, the effect of drug dissolution on
appears due to the advances on intestinal physiology and it has
bioavailability has been demonstrated24 and, nowadays many
efforts are employed from a biopharmaceutical perspective to
establish a relationship between the in vitro drug release data
(dissolution) and in vivo plasma profiles of new and marketed
Address for correspondence: Marival Bermejo, Miguel Hernandez
formulations. Setting this kind of relationship becomes a funda-
University, Carretera Alicante Valencia km 87, 03550 San Juan de mental tool in drug development due to the increased knowledge
Alicante, Spain. Tel: +34 965 919217. Fax: +34 963544911. E-mail: on the behavior of the drug product in vivo, which determines a
mbermejo@goumh.umh.es more rational decision-making process. Moreover, ethical reasons
2 I. González-Garcı́a et al. Drug Dev Ind Pharm, Early Online: 1–13

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
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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.

(wettability) determine this surface. For hydrophobic compounds,


with low wettability, the presence of surfactants in the intestinal
Body manuscript tract increases its wettability capacity, decreasing the solid–liquid
contact angle and, therefore, the dissolution rate increases. The
Applications
addition of surfactants in the dissolution media can reproduce
According to what is stated in the guidelines of the FDA and the in vitro this physiological factor. The thickness of the boundary
EMA31,33, the main applications of IVIVC are: layer depends on the hydrodynamic conditions in the gastrointes-
– To quantify in vivo release and formulation-related effect on tinal tract (flux rate, motility and mixing factors).
absorption. Temperature, molecular radius and medium viscosity deter-
– To establish dissolution specifications and clinical relevance mine the drug diffusivity. Drug solubility depends on physico-
of in vitro dissolution. chemical characteristics, but may change by the presence of
– To support biowaiver claims: once an IVIVC has been surfactants and/or pH in the intestinal liquid. For poorly soluble
settled, in vivo performance may be estimated by in vitro drugs, the addition of surfactant (e.g. 1% sodium lauryl sulphate)
dissolution tests. However, there are some exceptions may be appropriate31,38,39. Drug solubility may increase solubi-
detailed in the FDA guideline where an IVIVC may not lizing the drug into bile salts micelles and increasing drug
support a biowaiver claim:31 ionization, which can be simulated in vitro. However, the addition
– Approval of a new formulation of an approved extended- of enzymes, salts and surfactants also need to be justified30,31. In
released drug product when the new formulation has a general, it becomes relevant to simulate all parameters involving
different release mechanism. the in vivo drug dissolution, although formulations containing
– Approval of dosage strength higher or lower than the doses highly soluble drugs are not strictly dependent on physicochem-
that have been shown to be safe and effective in clinical ical factors.
trials.
– Approval of another sponsor’s extended-released product BCS
even with the same release mechanism.
– Approval of a formulation change involving a non-release Biopharmaceutics classification system is a framework for
controlling excipient in the drug product that may signifi- classifying drugs according to their solubility and intestinal
cantly affect drug absorption. permeability and establishes the basis and justification for IVIVC
biowaiver40 based on drug solubility and permeability40.
Although there is great concordance between FDA and EMA
guidelines concerning the relevance of in vitro dissolution testing
IVIVC levels
for BCS Class I drugs, the BCS criterion does not capture the
Four levels of correlation are described in FDA guidance31, based most significant physicochemical differences that are critical to
on the predictive capability to reflect the concentration–time dosage form design and performance for BCS Class II and IV23,41.
in vivo profile after administration of an oral dosage form35. The For these drugs, in vivo dissolution is the rate-limiting step of
most relevant level in terms of predictability and regulatory in vivo absorption and bioavailability due to its high dependency
application is the Level A. Nevertheless, levels B, C and multiple on the drug solubility, the acidic or basic nature of the drug,
C could be useful in formulation development. formulation factors and in vivo luminal environment.
DOI: 10.3109/03639045.2015.1054833 IVIVC: concepts, methodologies and regulatory applications 3
Table 1. Likellihood of IVIVC depending on the BCS category.

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.
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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.

pH 5.6 6.0 6.3 7.5


method (Apparatus II), reciprocating cylinder (Apparatus III) Buffer capacity [mM DpH1] 19.5 27.5 13.9
and flow through cell (Apparatus IV) for oral solid dosage Osmolarity [mOsm] 388 346 –
forms30,35,39. Initial recommendations involve the use of first two Surface tension [mN m1] 30.5 31.3 30.0
methods, more simple and easy to handle, prior to using the others Bile salt [mM] 0.17 11.8 2.52 0.5, 1
unless shown unsatisfactory30,39. Mainly, paddle and basket Phospholipid composition [mM] 0.022 2.15 2.5
apparatus have demonstrated their application for BCS I and III Monoglycerides [mM] 2.2
Free fatty acids [mM] 13.2
drug products with modified-release (MR) mechanism, where the
release rate is very robust to variations in gastrointestinal Adapted from Bergstrom et al.45 and Mudie et al46.
physiology42. Apparatus 4 may offer advantages for MR dosage
forms that contain active ingredients with very limited solubility.
Paddle over disk (Apparatus V) uses paddle and vessel from
Apparatus II with a stainless steel assembly to hold the Stirring speed
transdermal on the bottom of the vessel. Cylinder (Apparatus
VI) is based on Apparatus I, but it replaces the basket shaft with a Stirring speed may be a critical factor in in vitro dissolution test
stainless steel cylinder element. Reciprocating Holder (Apparatus because it tends to become less discriminative when operated at
VII), apparatus V and apparatus VI have been shown to be useful faster speeds. Then, if apparatus I is selected, the common
for evaluating and testing transdermal dosage forms at 32  C35. agitation is 50–100 rpm; with the apparatus II, it is 50–75 rpm and
25 rpm for suspensions31,35,44. Inadequate stirring speed may
Volume produce coning effect, when particles with high density form a
mound, inhibiting dissolution of those particles below the paddle.
Another important issue that may be taken into account is the Peak vessels instead of paddle or increasing the stirring speed are
volume used during in vitro dissolution tests. Usually, apparatus I the solutions proposed by USP.
and II require volumes in the range of 500–1000 mL in order to
reflect sink conditions. Only under fed conditions, the physio-
Biorelevant media
logical volume in the gastrointestinal tract reaches those
quantities. Under fasted conditions, a recent research indicates Reproducing in vitro the in vivo dissolution process is not a
that a gastrointestinal volume of 80–100 mL may be more straightforward task due to the complexity of the in vivo
physiologically appropriate43. The commonly estimated volume environment. Drug solubility is the driving force in the dissolution
of 250 mL can lead to an overestimation of the dissolution in the process, which has to occur for the drug to permeate. Thus, high-
stomach in vivo for poorly soluble drugs42. Another relevant permeability drugs may be in high-gradient conditions. Moreover,
aspect is the influence between the volumes used with USP the volume of fluids in the gastrointestinal tract changes along the
apparatus I and II, sink conditions, drug solubility and drug gastrointestinal tract and is different in fed or fasted conditions
permeability in the small intestine. For BCS class II drugs, sink (Table 2). Hydrogen carbonate ions, which are secreted by the
conditions may reflect better in vivo drug dissolution due to their pancreas and intestinal epithelial cells, buffer the intraluminal
high permeability characteristics. Therefore, depending on BCS content physiologically. Other elements in the GI lumen show a
class, smaller volumes might be required in order to reflect the variable and often limited effect on the pH and buffer
in vitro–in vivo behavior (Table 1). capacity47–50.
4 I. González-Garcı́a et al. Drug Dev Ind Pharm, Early Online: 1–13

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
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in vivo drug dissolution conditions, and therefore it creates a basis


As described in the previous section, an established IVIVC must
for a better IVIVC17,53,55,57,67,68. In the fasted state, FaSSIF has
predict in vivo performance from in vitro release data. There are
demonstrated a successful approximation for Montelukast,
different mathematical methods to establish an IVIVC and they
Glibenclamide, Diclofenac sodium and Celecoxib obtaining
can be classified into two classes as described in the FDA31 and
IVIVC levels A and B using USP apparatus II, III and
EMA33 guidelines.
IV6,17,55,57,66. FeSSIF medium has also been selected for the
in vivo prediction of Danazol dissolution with the addition of
Two-stage methods
lipolysis products19,69. However, with other compounds reported,
FeSSIF required the combination with simulation packages to Model-dependent deconvolution methods. The two-stage meth-
achieve level A IVIVC for Diclofenac sodium and Celecoxib70. ods are the most widely used and are the mathematical
methodology required by the FDA to establish an IVIVC. In the
New approaches for biopredictive method development first stage, a deconvolution method is used to estimate the in vivo
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absorption or dissolution time course, i.e. fraction absorbed versus


Due to the presence of bicarbonate ions in the GI lumen, the
time. In the second stage, a link model is established between
application of hydrogen bicarbonate buffer systems has become
in vivo absorption–time profile and in vitro dissolution or release
fundamental for IR solid oral dosage forms containing ionizable
profile. Then, plasma concentrations are predicted from in vitro
drugs and/or excipients71. The dissolution process may be altered
release data using the link model. Only linear systems allow this
by the ionic composition, total ion concentration and buffer
mathematical procedure. A system is linear if it has two features:
capacity of the dissolution media72,73. Some authors have also
superposition and time invariance83.
remarked the more discriminative ability of bicarbonate buffer
Wagner–Nelson deconvolution. Wagner–Nelson (WN) analysis
than compendial phosphate buffers74,75, although Sheng and co-
can be applied only to one-compartment drugs24. This method is
workers concluded that phosphate buffer had a higher intrinsic
based on the mass balance theory, where no kinetic model for the
dissolution rate compared to bicarbonate buffer for drugs with
absorption process is assumed. WN method does not require IV
pKa values below 5.576. The difficulties associated with main-
drug administration, because it assumes identical elimination rate
taining constant pH of the media and avoiding loss of carbon
coefficient (kel) between intra- and extra-vasal administrations
dioxide (CO2) over time have reduced their use in dissolution
and, therefore kel can be estimated from the final stage of the oral
media77. However, Auto pH SystemÔ and pHysio-gradÕ have
curve. However, when flip-flop occurs, IV drug administration is
been proposed with intrinsic differences to solve this limitation,
therefore needed to estimate kel.
allowing a dynamic and constant pH control and CO2 supply71,77.
Recently, the use of milk as fed state media and as a lipid At Ct þ kel  AUC0t
source has been used as dissolution medium to simulate the fed Fabs ¼ ¼ ð1Þ
A1 kel  AUC01
gastric and intestinal environment78,79. Also, the use of EnsureÕ
Plus has also been proposed80. Both are composed of standardized Equation (1) is the WN equation that represents the fraction
homogenized cow’s milk with a fat content of 3.5% and pH range absorbed of the bioavailable dose at time t, where Fabs is the
of 6.5–6.6. Although EnsureÕ Plus resembles more to the fraction absorbed, At is the drug amount absorbed at time t, A1 is
properties of the FDA breakfast, no IVIVC examples can be the drug amount absorbed at infinite time, Ct is the drug
found in the literature. Therefore, the use of biorelevant media concentration at time t, kel is the elimination rate coefficient,
might be a good alternative to classical media for the establish- AUCt0 is the area under the curve from time 0 to time t and AUC10
ment of IVIVC, but more rational and conclusive work is still is the area under the curve from time 0 to infinity.
needed to ensure a good prediction of in vivo drug behavior.
Loo–Riegelman. Loo–Riegelman (LR) analysis can be applied
New physiologically dissolution methodologies proposed only to two-compartment drugs84 and it is also based on the mass
balance theory [Equation (1)].
In general, a dissolution methodology, which is able to discrim-
Peripheral compartment concentration could be calculated by
inate between the study formulations with different release
the following equations:
patterns and best reflects the in vivo behavior should be used to
Z t
establish an IVIVC27. Therefore, ideally it might replicate not k21 t
only the gastrointestinal medium composition, but also the system Pt ¼ k12  e  C  ek21 t  @t ð2Þ
0
hydrodynamics. Knowledge on gut motility, in vivo mechanical
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Table 3. Biorelevant media composition published and IVIVC/IVIVR developed.

Early Middle Late


FaSSGF FeSSGF FaSSIF FaSSIF-V2 FeSSIF FeSSIF FeSSIF FeSSIF-V2 FaSIMS FeSIMS FeSIES
Acetic acid [mM] 17.12 144
DOI: 10.3109/03639045.2015.1054833

Dodecanoic acid 0.25 10 20


Glyceryl monooleate [mM] 6.5 5 1 5
KCl 103 204
KH2PO4 29
Lecithin [mM] 20 0.75 0.2 3 2 0.5 2 0.25 0.6 3
Linoleic acid
Linolenic acid
Lysolecithin 0.75 2.4 3
Maleic acid [mM] 19.12 28.6 44 58.09 55.02
Monocaprin 3 10
Sodium chloride [mM] 34.2 237.02 68.62 145.2 122.8 51 125.5 142 85 85
Sodium hydroxide [mM] 34.8 52.5 65.3 72 81.65
Pepsin 0.1
Sesame oil 70
Sodium acetate [mM] 29.75
Sodium oleate [mM] 40 30 0.8 0.8
Sodium Taurocholate [mM] 80 3 3 10 7.5 4.5 10
Sodium Taurodeoxycholate [mM] 5 10 10
Milk/buffer 1:1
pH 1.6 5 6.5 6.5 6.5 5.8 5.4 5.8 5–7.5 5–7.5 5
Osmolarity [mOsm kg1] 120.7 ± 2.5 400 180 ± 10 400 ± 10 390 ± 10 240 ± 10 390 ± 10
Buffer capacity [mmol L1 DpH1] 25 10 25 25 15 25
Visual description Slightly cloudy Clear Clear Peralescent pH 5; Pearlescent
Clear pH 7.5 w/TG; Cloudy
without TG
52,53 54,52,53 3,54–57 53 52,53
IVIVC
58,59 58 19,20,60–62 58,59 19,20,59,61–63
IVIVR
64,58,63

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

Table 4. New proposed methods and physiological GI properties simulated.

Control on dosage Constant flow


form movement (C) Exposure of conditions (C) or Simulation of
or physiologically dosage form to physiologically relevant Dynamic changes of interrupted
relevant transfer (P) biorelevant stresses flow conditions (P) GI environment media contact
Paddle-bead method     
Rotating beaker   + (C)  
Stress test device + (C) + + (P)  +
DGM    + 
TIM-1  + + (P) + 
ASD + (P) + + (P) + 

Adapted from Kostewicz et al42. DGM: dynamic gastric model; TIM-1: TNO gastroIntestinal model; ASD: artificial stomach duodenal model.

k12   k12 Product of transformed and anti-transformed functions to obtain


Pt ¼ Pt1  ek22 Dt þ  Ct1  1ek22 Dt þ  DC  Dt ð3Þ expression of the response function:
k21 2
F  D  ka
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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
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impulse. The response is called the unit impulse response function


unit impulse response is the Bateman function.
or Cd. The unit impulse response is the result of an impulse
divided by its magnitude86,87.
Point-area deconvolution. In the point-area deconvolution
Z t
approach, the main assumption is that in a short interval, the
CðtÞ ¼ f ðtÞ  C  ðt Þ  d ð4Þ input function is constant88.
0
P
Equation (4) shows the convolution integral where C is the actual Cn  ni¼2 Ri1  AUCniþ1
n1þ2
Rn ¼ ð9Þ
drug concentration at time t, Cd is the unit impulse response AUC01
function and f is the dissolution rate.
The deconvolution can be used to estimate an input function,
given the corresponding system response and unit impulse Mathematical procedures for concentration estimation. It is
response of the system. The unit impulse response must be important to stand out that using LR and WN methods bioavail-
obtained through the reference administration. Although OR is ability fraction is obtained. Using model independent deconvo-
preferred, an intravenous (IV) administration is generally used lution based methods, the in vivo function obtained depends on
and an immediate release (IR) dosage form can also be selected. the reference dosage form used during the deconvolution process.
Three mathematical procedures for deconvolution are pre- If IV administration is used as a reference, the unit impulse
sented as follows. response of the system corresponds to the disposition of the drug
and thus the input function incorporates all the processes, namely,
Analytical Laplace transform deconvolution. Laplace trans- drug dissolution, absorption and first-pass effect. In the case of an
forms simplify the resolution of the convolution integral. To oral solution, the unit impulse response includes the absorption
convolve two functions: process and first-pass effect, so that by the deconvolution, the
(1) The Laplace transform of each function is determined. input function corresponds to dissolution and release rate. If the
(2) The transform functions are multiplied. reference is an IR dosage form, unit impulse response incorpor-
(3) The inverse transform is calculated. ates the dissolution from the dosage form immediately, so that the
Thus, the convolution of two functions is the inverse Laplace input function represents the release rate of the dosage form.
transform of the product of both functions in the Laplace domain. With either of the methods described above, an in vivo
An example is shown below. absorption profile is obtained. The next step is to establish the
Laplace transform of the input function f(t) and the unit in vivo–in vitro correlation. In the second stage, the aim is to
impulse response Cd: predict the in vivo plasma concentrations from the in vitro data.
The predicted in vivo fractions dissolved must be ‘‘reconvolved’’
F  D  ka with estimates of the pharmacokinetic parameters obtained from
f ðtÞ ¼ F  D  ka  eka t ! l½f ðtÞ ¼ ð5Þ
ð S þ ka Þ the reference data to produce plasma concentration profiles89.
Different approaches have been published in the past years.
1 D  ekel t 1 Langenbucher et al.90 and Qureshi91 proposed to use the
C ðtÞ ¼  ! l½C ðtÞ ¼ ð6Þ superposition principle to obtain the predicted plasma concentra-
D Vd Vd  ðS þ kel Þ
tions. Gohel equation [Equation (10)] is an approach only valid
DOI: 10.3109/03639045.2015.1054833 IVIVC: concepts, methodologies and regulatory applications 7

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.

One-Stage methods Differential equation-based models. The need for a convolution


or deconvolution step can be avoided employing direct numeric
Convolution-based methods. Conversely, convolution-based solution to differential equation-based models. Moreover, meas-
methods are one-stage modeling approaches, which directly urable plasma concentrations are directly related to in vitro
relate the in vivo release to the in vitro release. The equation fraction-dissolved data. It has been illustrated that the convolu-
Drug Dev Ind Pharm Downloaded from informahealthcare.com by Nyu Medical Center on 07/06/15

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

Figure 1. Schematic representation of


in vitro–in vivo model development. Based
on figures from Gaynor et al.89.

Table 5. Comparison between FDA and EMA guidelines.

FDA EMA
General
Drug Dev Ind Pharm Downloaded from informahealthcare.com by Nyu Medical Center on 07/06/15

Correlation level: A or multiple C Correlation level: A


Two-stages method approach is required Two-stages method approach as e
Deconvolution, convolution and differential equation-based methods can be used
Two or more formulations are required
In vivo
Healthy volunteers
6–36 subjects for BE in vivo studies 12 subjects for BE in vivo studies
Fasted state
In vitro
Preferred apparatus I or II Nd
pH less than 6.8 Nd
12 dosage units for in vitro dissolution test Nd
For personal use only.

Nd: not declared.

External validation Advantages and limitations of IVIVC modeling


approaches
External validation must be established with a dataset not selected
during the development of the IVIVC. In agreement with FDA Based on WN assumptions, an IV drug administration is not
and EMA guidelines31,33, %PE less than 10% means good imperative for establishing IVIVC and this is one of the main
predictability of the IVIVC, %PE between 10 and 20% is referred advantages of the WN method in ethical and economical terms.
to inconclusive predictability and they need for further study Moreover, deconvolution model approaches are easier to develop
using an aditional dataset and %PE higher than 20% implies experimentally and during data analysis. The use of averaged data
inadequate predictability. Although EMA insists on external and integrated equations may be implemented in many common
validation as a final evaluation of the IVIVC, FDA does not and worldwide used packages. Those reasons may explain the
require external validation if the IVIVC has succesfully passed the great number of IVIVC examples in literature using WN
internal validation31,33. method7,9,12,13,18,106–113 (see Table 7). One of the major and
more discussed limitations of WN and LR methods is the
employment of averaged data in almost all cases. A significant
Recommendations on IVIVC from regulatory agencies
handicap of these methods is that if raw data is averaged, they are
Athough, FDA and EMA recommend at least two formulations not able to calculate dosage units and/or subjects’ variability and
with different release rates to develop an IVIVC, most investi- intra-individual variation. For this reason, relevant information is
gations included three formulations (slow, medium and fast not considered. However, if IVIVC fails, is it a consequence of the
release rates)2,8,102–105. It is recognized that if three or more lost information? Cardot and Davit114 describe the differences in
different formulations are employed for the in vivo and in vitro lost information when averaging in vitro or in vivo data. Averaging
study, more robustness is obtained and better results might be in vitro data for analysis is a common practice in tests such as the
obtained in the external validation. f1 and f2 tests115. Maybe, the major reason for average in vitro data
For modified-release products, the release controlling excipi- is that the dissolution test is a reproducible technique with a
ent(s) in the formulation should either be identical or very controllable environment (pH, temperature, medium composition,
similar, in order to develop an IVIVC. Dissolution datasets are etc.) that produce narrow results and low variability.
recommended to be obtained in different test conditions to On the other hand, in vivo inter and intra-subject variability
evaluate how dissolution factors influence drug release. The must be analyzed. When a large intra-subject variability exists,
most relevant recommendations are summarized in Table 5. two different profiles for a given subject after receiving two
EMA current guidance requires an individual one step formulations could be due to either the large intra-subject
convolution approach to account for interindividual and residual variability or to the true differences between formulations.
variability that many authors consider that is a more robust Then, the IVIVC could not determine the reason of these different
approach as it is dicussed in the next section. profiles. However, when intra-subject variability is low, it must be
DOI: 10.3109/03639045.2015.1054833 IVIVC: concepts, methodologies and regulatory applications 9
Table 6. Open and designed pharmacokinetic packages used for IVIVC establishment.

Software Source IVIVC


Open software
acslXÕ (Aegis Technologies)Õ http://www.acslx.com
MATLAB-simulinkÕ (The Mathworks Inc.) http://www.mathworks.com ?
ADAPT 5Õ (University of Southern California) http://bmsr.usc.edu/ Yes
Berkeley-MadonnaÕ (University of California) http://www.berkeleymadonna.com Yes
MCSIMÕ http://www.gnu.org/software/mcsim/
SAAM IIÕ (University of Washington) http://tegvirginia.com/solutions/saam-ii/
Designed software
Cloe PKÕ (Cyprotex Ltd) http://www.cyprotex.com/cloepredict/ No
GastroPlusÕ (Simulations Plus Inc.) http://www.simulations-plus.com Yes
MEDICI-PKÕ (Computing in Technology) http://www.cit-wulkow.de/ No
NONMEMÕ http://www.iconplc.com/technology/products/nonmem/ Yes
PK-SimÕ (Bayer Technologies Services) http://www.systems-biology.com Yes
Simcyp Simulator (Simcyp Ltd) http://www.simcyp.com Yes
STELLAÕ http://www.iseesystems.com/softwares/Education/StellaSoftware.aspx Yes
WinNonlin PhoenixÕ http://www.certara.com/products/pkpd/phx-wnl Yes
Drug Dev Ind Pharm Downloaded from informahealthcare.com by Nyu Medical Center on 07/06/15

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.

Eddington et al.134 I Metoprolol Oral ER A


Emara et al.107 Vincamine Oral PR A Wagner Nelson WinNonlinÕ
Ghosh et al.5 II Glipizide Oral ER A Wagner Nelson Yes IV/EV
Honório et al.7 II Efavirenz Oral IR A Wagner Nelson GastroPlusÕ Yes IV
Ilic et al.135 II Nifedipine Oral MR A Convolution IV
Jantratid et al.54 RZ-50 Oral Caps A Wagner Nelson SigmaPlotÕ
Jantratid et al.67 II Diclofenac Oral MR A Deconvolution WinNonlinÕ Yes
Kakhi et al.103 Oral IR A Deconvolution WinNolinÕ No
Khaled et al.9 I Metoprolol Oral A, B and C Wagner Nelson IV
Kovacevic et al.10 II Carbamazepine Oral IR and CR A Deconvolution GastroPlusÕ Yes
Liu et al.109 I Theophylline Oral IR, EC, CR A Wagner Nelson No
Lue et al.68 II Oral IR A Deconvolution PDxIVIVCÕ Yes IV
Macha et al.11 II Nevirapine Oral ER A Deconvolution WinNolinÕ Yes IV
Mirza et al.136 I Oral ER A Wagner Nelson GastroPlusÕ Yes IV/EV
Mundin et al.122 I Oxycodone Oral PR IV
Okumu et al.55 II Montelukast Oral EC A Deconvolution GastroPlusÕ Yes
Okumu et al.56 II Etoricoxib Oral IR A Deconvolution GastroPlusÕ Yes IV
Ostrowski et al.12 II Amoxicilin Oral DT A Wagner Nelson ExcelÕ IV
Parojcic et al.123 III Paracetamol Oral Matrix tablet A Deconvolution
Pitsiu et al.137 III Oxybutynin Oral OROS A Convolution NONMEMÕ No IV/EV
Rossi et al.13 II Fosamprenavir Oral IR A Wagner Nelson ScientistÕ Yes IV
Rostami-Hodjegan et al.14 III Paracetamol Oral IR and IRFA A Deconvolution ExcelÕ
Saibi et al.15 II Ripesridone Oral IR A Deconvolution GastroPlusÕ Yes IV
Singhvi et al.138 I Milnacipran Oral Matrix A Convolution Yes
Sirisuth and Eddington139 I Metoprolol Oral ER A IV
Sirisuth et al.16 I Diltiazem Oral ER A Convolution Adapt IIÕ Yes IV
Shono et al.53 II Celecoxib Oral Caps A STELLAÕ Yes IV
Soto et al.105 I Pramipexole Oral ER A Differential Eq NONMEMÕ No IV
Sunesen et al.17 II Danazol Oral A Deconvolution PDx-IVICÕ Yes IV
Tashtoush et al.140 II Glibenclamide Oral Caps C Yes
Veng-Pedersen et al.83 II Carbamazepine Oral IR A Convolution PC_IVICÕ CROSS
Wei and Lobenberg57 II Glyburide Oral IR A GastroPlusÕ Yes

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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 The deconvolution process could be unstable depending on the correlation models for glibenclamide after administration of
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