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Nasal Formulations For Drug Administration and Characterization of Nasal Preparations in Drug Delivery
Nasal Formulations For Drug Administration and Characterization of Nasal Preparations in Drug Delivery
Nasal Formulations For Drug Administration and Characterization of Nasal Preparations in Drug Delivery
This special report gives an insight in the rationale of utilizing the nasal cavity for drug administration
and the formulation as well as characterization of nasal preparations. As the nose is an easy-to-access,
noninvasive and versatile location for absorption, this route of delivery will play an increasingly important
role in future drug product development both for new and repurposed drugs. The nose can be utilized
for local and systemic delivery including drug delivery to the central nervous system and the immune
system. Typical formulation strategies and future developments are reviewed, which nowadays mostly
comprise liquid formulations. Although they are straight forward to develop, a number of aspects from
choice of solvent, osmolarity, pH, viscosity and more need to be considered, which determine formulation
characteristics, not at least nasal deposition. Nasal powders offer higher stability and, along with more
sophisticated nasal devices, may play a major role in the future.
First draft submitted: 18 November 2019; Accepted for publication: 20 January 2020; Published online:
12 February 2020
Keywords: device • formulation parameters • nasal deposition • nasal vaccines • nose-to-brain delivery • pharma-
copoeial requirements • Repurposing of drugs
“A good drug can be rendered useless, ineffective or mediocre by the choice of an inappropriate formulation. On the other
hand, by selecting an optimal formulation, a mediocre drug can be converted into a more effective and successful product” [1].
This quotation shows the tremendous impact of formulation on drug effect and product success. However, the
research of nasal formulations rather suffers a niche existence so far. Increasing interest in the development of nasal
products only slowly evolves as it becomes obvious that the nose is not only a target for local action of decongestants
and antiallergics, but also an easy-to-access mucosal absorption area with close vicinity to the CNS being equipped
richly with immune competent cells. In this sense, nasal formulations offer a superb possibility for the repurposing
of drugs [2] that have shown their benefit in other routes of administration, but can be converted to a more effective
product in the right nasal formulation.
10.4155/tde-2019-0086
C 2020 Newlands Press Ther. Deliv. (Epub ahead of print) ISSN 2041-5990
Special Report Scherließ
indicated by the saccharin clearance test), but may be prolonged significantly if ciliary function is impaired [10] or
if the formulation creates a highly viscous environment slowing down mucocilliary clearance. With a pH of about
6.4 [11] and lower enzymatic activity compared with the gastrointestinal tract, the nasal mucosa offers pleasant
conditions also for sensitive drugs. The mucosa of the nose as potential first entry for airborne pathogens is richly
equipped with cells of the immune system. As such, the nose can also be used as a target for mucosal vaccination [12]
or the delivery of other immune active preparations. It should be noted that the nose is a highly patient-individual
organ that may differ in size, air passages and obstruction. Physiologically, the nose filters, heats and humidifies the
inspired air, which is why humans should inspire through the nose, not the mouth [6]. It is believed that about 80%
of particles of a size up to 12.5 μm and 100% of particles being larger than 50 μm are deposited and retained in
the nose in vivo [3], whereas about 50% of small particles of 2–4 μm will pass the nose and may enter the lower
airways. However, the nose does not have clear size cutoffs and deposition appears to be highly affected by the
formulation and administration device (e.g., angle and speed of formulation cloud).
Drugs of interest for nasal delivery (utilizing the nasal route for systemic delivery) derive from a broad range
of therapeutic areas including antimicrobial, cardiovascular, pain, Parkinson, Alzheimer, cancer, osteoporosis,
anticoagulation and many more. An ideal drug for rapid systemic uptake via the nose would be lipophilic and
nonpolar (uncharged), of low molecular weight (below 1 kDa) and show rapid dissolution. However, the nose is
currently discussed for a range of rather large biotechnology-derived molecules which may be well water-soluble,
but hydrophilic and of large size which will impair bioavailability [9]. To get absorbed, a drug molecule must pass the
aqueous mucus barrier, avoiding mucocilliar clearance, to reach the epithelium, where the drug can then be taken
up – typically by transcellular diffusion and best avoiding p-glycoprotein-mediated efflux. Specialized uptake routes
are discussed in the course of nose-to-brain transport utilizing the olfactory nerves in the upper turbinates/olfactory
bulb or also the trigeminal nerve pathway [13,14].
Formulation strategy
Formulation strategy should always consider the needs of the drug and derive a reasonable quality target product
profile. This should typically take into account local or systemic delivery, single dose or repetitive/chronic adminis-
tration, individual dose to be administered (drug potency), solubility of the drug, toxicity and stability of the drug
(chemical, physical and in terms of compatibility) and if available permeability of the drug and intended deposition
site within the nose [17]. The requirements of the formulation should then be met by the easiest achievable option.
In the course of that, a liquid solution is the easiest formulation option. All substances are dissolved in the
dispersion media, so no inhomogeneity can occur, and the dissolved drug may easily diffuse and penetrate, hence,
the highest bioavailability can be expected. On the other hand, a solution also bears the highest risk of chemical
instability and degradation. If the drug (or excipients) are of limited solubility and the therapeutic dose may thus
not be dissolved in the volume typically being administered with a liquid nasal spray (25–200 μl), a suspension
would be the alternative option. Still, the formulation could be sprayed utilizing a liquid sprayer, but the drug
load can be much higher. The formulation of such a product will be more challenging and particle size of the
drug particles is crucial for product stability, deposition and therapeutic effect. If the drug cannot be formulated as
suspension due to stability issues, a dry powder formulation would be an alternative. This formulation type as such
will offer higher stability as molecular mobility and chemical reactivity are slowed down in solid formulations [18].
However, particle size and particle–particle interactions will play an important role for device emission (a dose of
50 mg may be considered the maximum dose), deposition and dissolution. Nasal powders, although available on
the international market, for example the Rhinocort R
Puvlizer from Teijin (Beclomethasone) or more recently the
R R
Onzetra Xsail (sumatriptan in the Optinose device) and Baqsimi™ from Eli Lilly, a nasal glucagon powder in
the UDS powder device from Aptar, are the least established strategy and may require the most engineering effort.
Liquid formulations, may they be a solution or a suspension, need to take the following aspects into account:
If the preparation is intended to deliver the active to the systemic circulation or to the CNS, nasal bioavailability
is crucial. On the other hand, for local delivery, the drug should best not be absorbed to avoid systemic side
effects. Typically, sufficient bioavailability requires more attention and may be supported by the use of permeation
enhancers [27]. Substances acting as those enhancers may comprise solvents and cosolvents, cyclodextrins, EDTA,
surfactants, lipids, bile salts, fatty acids (especially oleic acid) and mucoadhesive polymers (e.g., chitosan). These
materials may have a direct effect on absorption or interfere with normal nasal function by impairing ciliary
function and membrane integrity [9,28–30]. Due to that, safety of the employed substances is of special interest
and must be evaluated along with the formulation.
comparison with the postnasal fraction which possibly gets inhaled to the lung. Further, more detailed knowledge
about the site of deposition and distribution of a formulation within the nasal cavity is favorable in case the
formulation should be targeted to a certain region (e.g., the olfactory bulb for nose-to-brain transport or the
nasopharynx for targeting of the nasal associated lymphoid tissue) or shall be spread uniformly over the inner
surface as for systemic uptake. Within the last decades, nasal cast models gained increasing interest to simulate
deposition within the nasal cavity. These are generally replicas of individual noses. The first nasal casts were made
from cadavers, where the nasal cavity was filled with modeling material or wax to obtain a negative which could
then be transformed to a nasal cast model [52]. The dimensions of cadaver casts are often too large with respect to
the cavity as the mucosa shrinks rapidly after death due to desiccation leaving an open space which is normally filled
with mucosal excrescences. For this reason, it is more appropriate to use a vital nose as model for the respective
nasal cast. The dimensions can be obtained by means of computer tomography (CT) or similar techniques and
casts can be built that exactly mimic the inner dimensions of a nose [53]. After having obtained CT data, these are
modified to obtain computer-aided design data ready for the use for stereolithography or rapid prototyping. The
models may differ in precision depending on the rate/thickness of scans used to calculate computer-aided design
data, the material they are made of, the sectioning and anatomical differences such as presence of sinoids, open
or closed nasopharynx and age of the patient data were obtained from. It is shown in literature that differences
in the manufacturing precision resulting in differences in surface roughness, for example, can lead to differences
in the deposition profile [53] with the effect of a larger nasal fraction being collected in a coarser model. One of
the first nasal cast models were the so-called ANOT1 and ANOT2 models, the first being a cadaver cast of a
human adult’s upper airways and the second a hybrid of a cadaver cast improved by MRI data [52]. Dalby et al. uses
the transparent Koken cast model originally made for medical education to look at regional deposition of liquid
nasal formulations [20,54]. This model cannot be sectioned; hence a color-based method is used for visualization
of formulation distribution. A model from CT data is the bespeak nasal cast [55], which is made from nylon and
is cut to sections representing the nasal valve, front and rear turbinates, olfactory region and nasopharynx after
manufacturing the complete cast. The model can be set up in different angles and simulated inspiration airflow
can be applied. More sophisticated cast models are the step joint-free CT cast model from Boehringer [56] and the
cast model from the University of Tours [57]. Further, an idealized nasal cast is in development [58]. For most nasal
cast studies, an inspiration airflow of about 15 l/min is used, representing the mean airflow through an adult’s nose
at 40% maximum physical work capacity [59]. Consequently, for a child’s cast, 10 l/min can be used for deposition
studies with inspiration airflow. More realistically, an inspiration airflow profile should be used for deposition
testing similar to lung deposition simulation. It has been shown that deposition is lower upon application of a
normal breathing pattern compared with constant airflow [60] and that this effect is more pronounced for small
particles. This would lead to overestimation of nasal deposition of small particles when using constant inhalation
airflow. The effect becomes less prominent with increasing particle size and can be neglected for particles larger
than 6 μm. With regard to the application of a nasal spray by the patient, it might be favorable not to advise for
concomitant nasal inspiration at all, as patient variability in flow rate and flow profile will be unpredictable and
may further influence regional nasal deposition. Interestingly, for the estimation of nasal versus postnasal fraction, a
simple glass bulb (nasal adapter) being attached on top of an impactor instead of the USP throat may be sufficient
as it quite efficiently collects the nasal fraction allowing further assessment of the postnasal fraction in terms of
inhalable particles at the same time [61,62]. In a similar manner, a nasal adapter (nasal inlet port) has been proposed
to assess the fraction of inhalable particles [63]. In general, an in vitro–in vivo correlation is probably difficult due
to patient-to-patient variability and several physiological conditions unaccounted for in a nasal cast model such as
nasal tissue flexibility and mucocilliary clearance which will change nasal deposition with time. Thus, a much more
realistic image of regional nasal deposition of nasal preparations is achieved by in vivo imaging studies [22,64].
Liquid formulations
European Pharmacopoeia - Solution
- Nasal drugs - Suspension
- Liquid nasal sprays
- Nasal powders - Solvent
- Semi-solid products - Osmolarity
- pH
- Nasal washes - Viscosity
- Nasal sticks - Microbial stability
- Bioavailability
Solid formulations
- Pure drug Characterization options
- Powder blends - Particle deposition - Manufacture
- Agglomerated powder - Dissolution rate - Blending
- Engineered particles - Permeability - Particle size
- Particle size - Residency time - Flow properties
- Dispersibility - Immune response - Surface area
- Thermal analysis
- Emitted dose - Stability
- Plume geometry - Toxicity
- Particle size
Deposition
- Nasal adapter
→ nasal vs post-nasal fraction
- Nasal cast model
Devices → deposition within nasal cavity
- In vivo imaging studies
→ realistic image of regional
nasal deposition
Effect of medication
- Local
- Systemic, incl.
→ central nervous system
→ immune system
inhalation, the nasal device and its formulation need to be fitted to each other and patient-specific needs and
constraints have to be considered. In that sense, more patient-oriented devices accounting for different application
angles, patient-individual anatomy and special patient populations, especially children, are needed in the future.
Overall, the interplay of formulation, deposition and effect of nasal medications needs to be taken into account
when designing a nasal product (Figure 1).
Future perspective
Nasal formulation of drugs will evolve in the next decade not only by repurposing of drugs, but also by the
development of new entities for nasal delivery resulting in more products for systemic delivery and CNS nose-
to-brain delivery utilizing the nasal route. This will go along with an increase in nasal powder preparations
and more sophisticated nasal devices with less user dependent performance being more adapted to the needs of
specific populations. For these developments, more detailed knowledge of the interplay between preparation, nasal
deposition, dissolution and bioavailability will be needed, which will also allow better prediction of in vivo effect
from in vitro characterization. Nasal administration will become the standard route for vaccinations or at least
booster vaccinations as this route allows easy application independent of medical settings and induces a favorable
mucosal immune response.
Financial & competing interests disclosure
The authors have no relevant affiliations or financial involvement with any organization or entity with a financial interest in or finan-
cial conflict with the subject matter or materials discussed in the manuscript. This includes employment, consultancies, honoraria,
stock ownership or options, expert testimony, grants or patents received or pending, or royalties.
No writing assistance was utilized in the production of this manuscript.
Executive summary
• The nose is a versatile absorption tissue for systemic delivery that is easy to access, offers mild conditions
compared with the gastrointestinal tract and is rapid in onset of action. Via neural pathways the nasal cavity also
allows direct nose-to-brain absorption and due to the rich equipment with immune competent cells the nose is
also a good target for vaccination.
• Nasal preparations in the European Pharmacopoeia currently focus on liquid preparations, whereas nasal
powders play a minor role. The compendial requirements for characterization of the preparations currently are
rather rudimentary and focus on uniformity of delivered dose.
• The formulation strategy for nasal preparations needs to compile all requirements for the desired quality target
product profile. If possible, a liquid preparation is preferred as this is easier to formulate. However, a number of
aspects need to be considered. Dry powder preparations offer the highest drug stability and will play a major role
in the future.
• Nanocarriers may play an important role in targeted delivery of antigens in terms of nasal vaccination or
nose-to-brain delivery of CNS-active drugs.
• Apart from a number of compendial and noncompendial characterization methods the characterization of
regional deposition is of special interest for nasal preparations. However, the current way of assessing regional
deposition by the use of individual nasal casts is debatable.
• Devices for nasal delivery nowadays are mostly adapted to the needs of liquid preparations and comprise a
number of spray pumps or liquid dispersers with various dosing and spray characteristics. However, more special
delivery devices targeting special regions in the nose or avoiding inhalation to the lung are in development.
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