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Thin ﬁlms as an emerging platform for drug delivery
Article in Asian Journal of Pharmaceutical Sciences · June 2016

DOI: 10.1016/j.ajps.2016.05.004
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asian journal of pharmaceutical sciences 11 (2016) 559–574
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Review
Thin films as an emerging platform for

drug delivery
Sandeep Karki a,1, Hyeongmin Kim a,b,c,1, Seon-Jeong Na a,

Dohyun Shin a,c, Kanghee Jo a,c, Jaehwi Lee a,b,c,*
a
Pharmaceutical Formulation Design Laboratory, College of Pharmacy, Chung-Ang University, Seoul 06974,
Republic of Korea
b
Bio-Integration Research Center for Nutra-Pharmaceutical Epigenetics, Chung-Ang University, Seoul 06974,
Republic of Korea
c
Center for Metareceptome Research, Chung-Ang University, Seoul 06974, Republic of Korea
A R T I C L E I N F O A B S T R A C T
Article history: Pharmaceutical scientists throughout the world are trying to explore thin films as a novel
Received 21 April 2016 drug delivery tool. Thin films have been identified as an alternative approach to conven-
Accepted 12 May 2016 tional dosage forms. The thin films are considered to be convenient to swallow, self-
Available online 6 June 2016 administrable, and fast dissolving dosage form, all of which make it as a versatile platform
for drug delivery. This delivery system has been used for both systemic and local action via
Keywords: several routes such as oral, buccal, sublingual, ocular, and transdermal routes. The design
Thin film of efficient thin films requires a comprehensive knowledge of the pharmacological and phar-
Film-forming polymer maceutical properties of drugs and polymers along with an appropriate selection of
Mechanical properties manufacturing processes. Therefore, the aim of this review is to provide an overview of the
Manufacturing critical factors affecting the formulation of thin films, including the physico-chemical prop-
Characterization erties of polymers and drugs, anatomical and physiological constraints, as well as the
characterization methods and quality specifications to circumvent the difficulties associ-
ated with formulation design. It also highlights the recent trends and perspectives to develop
thin film products by various companies.
© 2016 Shenyang Pharmaceutical University. Production and hosting by Elsevier B.V. This
is an open access article under the CC BY-NC-ND license (http://creativecommons.org/
licenses/by-nc-nd/4.0/).
* Corresponding author. College of Pharmacy, Chung-Ang University, 84 Heukseok-ro, Dongjak-gu, Seoul 06974, Republic of Korea.
Tel.: +82 2 820 5606; fax: +82 2 816 7338.
E-mail address: jaehwi@cau.ac.kr (J. Lee).
1
These authors contributed equally to this work.
http://dx.doi.org/10.1016/j.ajps.2016.05.004
1818-0876/© 2016 Shenyang Pharmaceutical University. Production and hosting by Elsevier B.V. This is an open access article under
the CC BY-NC-ND license (http://creativecommons.org/licenses/by-nc-nd/4.0/).
560 asian journal of pharmaceutical sciences 11 (2016) 559–574
1. Introduction 2. Types of thin films
Generally, thin films can be referred as a thin and flexible layer Thin film is not a recent formulation, and it was first intro-
of polymer with or without a plasticizer [1]. Since they are thin duced in late 1970 to overcome swallowing difficulties exhibited
and flexible by their nature, it can be perceived to be less ob- by tablets and capsules [15]. Various names of thin films ap-
trusive and more acceptable by the patient [2]. The thin film peared, such as oral film (oral thin film), oral soluble film, wafer,
is polymeric matrices that meet many requirements for being oral strip, orodispersible film (ODF), buccal film, mucoadhesive
used efficiently as a drug release platform [3]. Fundamen- film, ophthalmic film, and transmucosal film.While several films
tally, thin films are excellent candidates for targeting sensitive are designed to be dissolved quickly in the oral cavity for the
site that may not be possible with tablets or liquid formula- absorption of a drug in the gastrointestinal cavity (oral and oral
tions [4]. Thin films have shown the capabilities to improve the soluble, or orodispersible films), some are prepared to deliver
onset of drug action, reduce the dose frequency and enhance a drug at the site of administration (e.g., buccal, sublingual and
the drug efficacy [3]. Similarly, thin films may be useful for elimi- ophthalmic thin films). Drugs with high mucosal permeability
nating side effects of a drug and reducing extensive metabolism have been known to be suitable for buccal and sublingual de-
caused by proteolytic enzymes [5,6]. Ideal thin films need to livery with films [18]. Likewise, ophthalmic thin films are
exhibit desirable features such as sufficient drug loading ca- generally applied to treat diseases of the anterior segment such
pacity, fast dissolution rate or long residence time at the site as conjunctivitis, glaucoma and chronic dry eye syndromes [5,19].
of administration, and acceptable formulation stability. They A film that readily dissolves in the oral cavity is generally
should also be non-toxic, biocompatible and biodegradable [7,8]. termed as orodispersible film according to European Medi-
Compared with the existing traditional dosage forms, it cines Agency (EMA) or simply soluble film according to FDA
stands out to be superior in terms of enhanced bioavailability, [3]. Usually, fast dissolving oral films are ultra-thin film (50–
high patient compliance, and patent extension of active phar- 150 μm) having size of postage stamp, which dissolves within
maceutical ingredients (API) [9]. Furthermore, thin film a minute in the oral cavity after being in contact with the saliva,
formulations offer several advantages, including (a) conve- resulting in quick absorption and instant bioavailability of the
nient administration through non-invasive routes, (b) ease of drugs [20,21]. Drugs loaded in buccal adhesive films are ab-
handling during manufacture and transportation, and (c) cost- sorbed directly via buccal mucosa, which delivers the drug to
effectiveness in the development of formulations [8,10,11]. The the systemic circulation after their absorption [22]. Likewise,
availability of a wide array of suitable polymers and the para- wafer is frequently mentioned as paper-thin polymeric films
digm shift in manufacturing technology have made possible employed as carriers for pharmaceutical agents. This innova-
to develop a wide range of thin films [12]. Therefore, a thin film tive dosage form is taken orally but does not require water to
is gaining popularity and acceptance in the pharmaceutical swallow for the absorption of a drug [23]. Orodispersible films
arena as a novel drug delivery dosage form. should not be misunderstood with buccal films designed for
Substantial efforts have been made to formulate polymeric staying longer on the cheek mucosa [24]. Therefore, different
thin films that are administered generally via buccal, sublin- types of films should be distinguished accurately to prevent
gual, ocular and skin routes [13,14]. Among different routes, the possible misinterpretations.
use of thin films for delivering medicine into sublingual or buccal
mucosa has drawn immense interest in recent years [15]. Mean-
while, ophthalmic films are currently developed for overcoming 3. Advantages of thin films as an emerging
the ocular barriers and preventing loss of drugs through the dosage form
lacrimal drainage system [16]. Controlling compositions of
polymers of different grades has facilitated the modification of 3.1. Advantages over conventional dosage forms
key characteristics of thin films such as drug release rate,
mucoadhesive properties, mechanical strength and other related A thin film dissolves rapidly than other conventional dosage
properties. Additionally, various inactive components can be in- forms [25]. Thin films are less friable and easy to carry dosage
cluded such as fillers, plasticizer, saliva stimulating agent, form compared to commercialized orally fast disintegrating
colorants, and sweeteners for improving aesthetic characteris- tablets, which need special packing. Likewise, a single dose of
tics. Many pharmaceutical companies are fascinated by the strip can be carried individually without requiring the sec-
appealing features of thin films, and as a result they have already ondary container [26,27]. It is very important to address the
patented various technologies for producing thin films [17]. poor stability of liquid dosage forms, especially the aqueous
Currently, a significant amount of original works and patents formulations. Unlike the thin films, there is a need for great
can be found in literature, but still there is a need for exten- care during accurate measurement of the amount and shaking
sive studies to optimize the performance of thin films the bottle every time before administration may contribute to
accurately. The lack of appropriate guidance for the manufac- less acceptance by the patients [3]. Conventional ophthalmic
ture, characterization and quality control of the thin films has drug delivery systems such as eye drops or solutions are
sought the need of adequate studies in this area from the phar- commonly used but they are limited in their ability to provide
maceutical viewpoint. Therefore, this paper will contribute to high ocular drug bioavailability and sustained duration of action
give insights on understanding the critical quality attributes [28]. Ophthalmic thin films can be used to improve the drug
and characterization methods with the aim to enhance the per- delivery to the eye. In contrast to transdermal patch, the trans-
formance of thin films. dermal film is less associated with skin irritation due to less
asian journal of pharmaceutical sciences 11 (2016) 559–574 561
occlusive properties that improve the water vapor perme- different molecular weights, and thus the appealing and glossy
ation through the skin and do not leave sticky sensation on films could be obtained with the gelatin having a high molecu-
the site of application [29,30]. lar weight. Pullulan is frequently used for producing a thin film
with great solubility, high mechanical strength and they are stable
3.2. Clinical advantages over a wide range of temperatures.The blending of chitosan and
high methoxy pectin (HMP) or low methoxy pectin (LMP) re-
Patients show preference toward thin film due to its appella- sulted in a thin film exhibiting an excellent mechanical strength.
tive form and ease of administration [17]. Furthermore, oral The film forming polymers such as hydroxypropyl cellulose (HPC),
dissolving film is extensively useful for pediatric, geriatric, and methyl cellulose, and carboxymethyl cellulose (CMC) produce
psychiatric patients since it is easy to administer and avoid a thin film with less water vapor barrier due to hydrophilic nature
the risk of choking or suffocation, thus ensuring patient safety which aids in water retention [15].
[22]. Ophthalmic films have been known to enhance the re- In one study, a fast-dissolving film of triclosan was pre-
tention time of a drug, and thereby the absorption of the pared using different grades of hydroxypropyl methylcellulose
drug was greatly improved from the anterior segment of the (HPMC) named as Methocel E3, Methocel E5, and Methocel
eye [31]. Moreover, the polymeric thin films can also be ben- E15 Premium LV as a primary film former. The result demon-
eficial for bedridden and non-cooperative patients as they can strated that Methocel E5 Premium LV at the concentration of
be administered easily and hardly spit out. A thin film is useful 2.2% w/v produced films with excellent film properties [37].The
in cases where a rapid onset of action is required, such as in in vitro residence time of the film made from Carbopol® 934P
motion sickness, sudden episodes of allergic attack or cough- and HPMC E15 was almost double than the films containing
ing, bronchitis or asthma [22]. only HPMC E15. Additionally, it was observed that the com-
bined polymers were more resistant to breakage [11]. Cilurzo
et al. reported the use of maltodextrins (MDX) with low dex-
4. Major limitations of thin films trose content as a film forming polymer for the preparation of
oral fast-dissolving films of an insoluble drug, piroxicam. Despite
the decrease in film ductility due to the loading of the drug as
Use of thin films is sometimes limited largely due to low drug
a powder, the produced film exhibited satisfactory flexibility
loading capacity for a less potent drug given at high dose [10].
and resistance to elongation along with rapid dissolution [38].
Thin films are usually hygroscopic in nature. Thus, special
Similarly, oral dissolving films of granisetron HCl manufac-
precaution should be taken for their longer preservation [4].
tured using HPMC and pullulan illustrated the effect of increasing
Combining more than one drug concomitantly is a very chal-
polymer concentration on mechanical properties and physi-
lenging task in oral film formulation because both the dissolution
cal properties of films. Pullulan with 40–45% concentration was
rate as well as the disintegration time are hindered by the co-
not able to produce films with good strength whereas the HPMC
administration of a drug in oral films [32].The difficulty to obtain
used in 40% concentration yielded the film which was diffi-
a high degree of accuracy with respect to the amount of drug
cult to peel. Likewise, the film stickiness increased when the
in individual unit dose of the film can lead to therapeutic failure,
concentration of HPMC was beyond 50% [39].
non-reproducible effects and sometimes toxic effects to the
Mucoadhesive films are thin and flexible retentive dosage
patient [33]. Preparing oral film formulation is concerned with
forms, and release drug directly into a biological substrate.They
the issues of requiring excessive time for drying. It takes around
facilitate in extending residence time at the application site
one day for the complete drying at room temperature, which
leading to prolonged therapeutic effects [40]. Majority of the thin
notably decreases the rate of production of films. Since it is
film having mucoadhesive properties are hydrophilic in nature
not recommended to use hot air oven for thermolabile drugs,
and undergoes swelling and form a chain interaction with the
an alternative process of drying should be explored [22].
mucin [11]. Among the several studied polymers, the most com-
pelling mucoadhesion properties are exhibited by chitosan,
hyaluronan, cellulose derivatives, polyacrylates, alginate, gelatin
5. Polymers for the preparation of thin films and pectin [41]. Compared with non-ionic polymers, the cat-
ionic and anionic polymers facilitate strong interaction with
Polymers are the backbone of film formulations and various mucus [42]. Anionic polymers are well characterized due to the
polymers are available for the preparation of thin films [34]. existence of carboxyl and sulfate functional groups, which
The polymers can be used alone or in combination with other create the negative charge at pH values surpassing the pKa
polymers to achieve the desired film properties. The poly- of the polymer. As an example, sodium carboxymethyl cellu-
mers employed should be non-toxic, non-irritant, and absence lose (NaCMC) and polyacrylic acid (PAA) exhibit excellent
of leachable impurities is required. Water-soluble polymers are mucoadhesive properties because of bond formation with the
used as film formers to produce a thin film with rapid disin- mucin [43].Thiomers, i.e. polymer containing thiol group, stand
tegration, good mechanical strength, and good mouthfeel out to enhance mucoadhesion because they are able to interact
effects. Both natural and synthetic polymers are used for film with the mucin through the formation of disulfide linkages.
preparation [20,35]. The list of polymers commonly used in the The process of ‘thiloation’ is possible with many polymers,
manufacture of polymeric films, with additional descriptions using amide-coupling chemistry, where the aqueous solvent
and properties, is depicted in Table 1. systems are used [44]. Eudragit displayed promising mucoadhesive
Availability of diverse polymers allows imparting specific prop- properties when used alone or in combination with other hy-
erties in the thin films. For instance, gelatins are available in drophilic polymers. Films, prepared from the propranolol HCl,
Table 1 – Properties and key findings of representative polymers used for preparation of thin film formulations.
Polymer Properties Key findings References
Hydroxypropyl • White, creamy, odorless, and tasteless powder • Film forming ability at 2–20% concentrations [3,11,17,36]
methylcellulose • Mw 10,000–1,500,000 • Generally used for controlled and/or delayed
(HPMC) • Soluble in cold water, but insoluble in chloroform release of the drug substance
and ethanol • Initial burst drug release followed by slow or
• Viscosity (η) 3–100,000 mPa·s sustained drug release diffusion observed in buccal
• Non-ionic polymer with moderate bioadhesive system of nicotine hydrogen tartrate
mucoadhesive properties
• Solutions are stable at pH 3.0 to 11.0
Carboxymethyl • White, odorless powder • Improved the residence time of HPC and sodium [3,11,17,36]
cellulose (CMC) • Mw 90,000–700,000 alginate films
• Easily dispersed in water to form a clear or • Good compatibility with starch forming
colloidal solution single-phase polymeric matrix films with improved
• η 5–13,000 mPa·s (1% aqueous solution) mechanical and barrier properties
• High swelling properties • The enzymatically modified CMC has good film
• Good bioadhesive strength forming property
Hydroxypropyl • White to slightly yellow colored, odorless, inert • Used to replace synthetic polymers or HPMC in a [3,11,17,36]
cellulose (HPC) and tasteless powder polymer matrix with modified starch to improve
• Mw 50,000–1,250,000 solubility
• Soluble in cold and hot polar organic solvents • It has a good film forming property and 5% (w/w)
such as absolute ethanol, methanol, isopropyl solution is generally used for film coating
alcohol and propylene glycol • Zero-order release kinetics of lidocaine and
• η 75–6500 mPa·s depending upon the clotrimazole associated with erosion square-root of
polymer grade time release kinetics of lidocaine
• Moderate mucoadhesive properties
Poly (vinyl • Wide range of solubility • Blending of PVP with PVA and HPMC improves film [3,11]
pyrrolidone) • Non-ionic forming ability
(PVP) • High swelling properties • Blended with ethyl cellulose and HPC produces
• Used as co-adjuvant to increase mucoadhesion films with increased flexibility, softer and tougher
properties
• Different ratios of PVP-alginate blends can be used
to design drug controlled release
• As film-forming polymer exhibited non-Fickian
release of ketorolac and progesterone
Poly (vinyl • White to cream-colored granular powder • Very flexible films [3]
alcohol) (PVA) • Mw 20,000–200,000 • Mainly used in ophthalmic polymeric preparations
• Water soluble synthetic polymer at concentration of 3–5%
• Non-ionic polymer • Higher elongation at break values
Poly (ethylene • Non-ionic polymer • Optimization of tear resistance, dissolution rate, [3,11]
oxide) (PEO) • High mucoadhesion with high molecular weight and adhesion tendencies of film by combining low
Mw PEO, with a higher Mw PEO and/or with
cellulose
• Films with good resistance to tearing, minimal or
no curling
• Pleasant mouth feeling with no sticky or highly
viscous gel formation
Pullulan • White, odorless, and tasteless powder • Blending with sodium alginate and/or CMC may [3,17]
• Mw 8000–2,000,000 synergistically enhance the properties of the film
• Soluble in hot as well as cold water • Pullulan–HPMC films have improved thermal and
• η 100–180 mm2/s (10% aqueous solution at 30 °C) mechanical properties
• Contain > 6% w/w of moisture • 5–25% (w/w) solution forms flexible films
• Stable film with less permeability to oxygen
Pectin • A yellowish white, odorless powder with • Not very useful for fast dissolving films, but [3,17]
mucilaginous taste modified pectins yielded films with fast
• Mw 30,000–100,000 dissolution rates
• Soluble in water but insoluble in most of the • Good film forming capacity at low temperature
organic solvents • Brittle and do not have a clear plastic deformation
• Strong mucoadhesive properties
Chitosan • White or creamy powder or flakes, and odorless • Excellent film forming ability [11,36]
• Obtained after partial deacetylation of chitin • Chitosan enhances the transport of polar drugs
• Biocompatible and biodegradable across epithelial surfaces
• Sparingly soluble in water; practically insoluble in • Possesses cell-binding activity due to polymer
ethanol (95%), other organic solvents, and neutral or cationic polyelectrolyte structure that binds to the
alkali solutions at pH above approximately 6.5 negative charge of the cell surface
(continued on next page)
Table 1 – (continued)
Polymer Properties Key findings References
Sodium alginate • Occurs as a white or buff powder, which is • Used as immobilization matrices for cells and [11,36]
odorless and tasteless enzymes, controlled release of bioactive substances
• Purified carbohydrate product extracted from • Excellent gel and film forming properties
brown seaweed by the use of dilute alkali • Compatible with most water-soluble thickeners
• Insoluble in other organic solvents and acids and resins
where the pH of the resulting solution falls
below 3.0
• η 20–400 Cps (1% aqueous solution)
• Anionic with high mucoadhesive properties
• Safe, biodegradable and non-allergenic
• Rapid swelling and dissolution in water
Carrageenan • An anionic polysaccharide, extracted from the red • Potential to act as protein/peptide stabilizer by [6,11,36]
seaweed Chondrus crispus steric stabilization
• Three structural types exist: Iota, Kappa, and • It is compatible with most nonionic and anionic
Lambda, differing in solubility and rheology water soluble thickeners
• The sodium form of all three types is soluble in • Solutions are susceptible to shear and heat
both cold and hot water degradation
• The best solution stability occurs at pH 6 to 10
Gelatin • A light amber to faintly yellow colored powder • It has a very good film forming ability [17]
• Mw 15,000–250,000 • Useable for preparation of sterile film, ophthalmic
• Soluble in glycerin, acid, alkali and hot water film, and sterile sponge
• η 4.3–4.7 mPa·s (6.67% (w/v) aqueous solution
at 60 °C)
• Moisture content 9–11% (w/w)
Eudragit RS100, and triethyl citrate (plasticizer), demonstrated have been employed for polymeric thin film manufacturing are
mucoadhesive force three times greater than the film prepared described below in detail:
with chitosan as the mucoadhesive polymer [11]. Juliano et al.
prepared a buccoadhesive films consisting of alginate and/or 6.1. Solvent casting
HPMC and/or chitosan either as a single polymer or in a com-
bination of two. Basically, they aimed the films to release the Among several techniques of film manufacturing, solvent
chlorhexidine diacetate in a controlled manner. HPMC was not casting is feasible, preferable and undoubtedly widely used
able to prolong the chlorhexidine release as more than 80% of method mainly due to the straightforward manufacturing
the drug was released within only 30 min. However, chlorhexidine process and low cost of processing. The manufacturing pro-
incorporated in alginate and alginate/chitosan-based films showed cedure of thin films with the solvent casting method along with
that only 30–35% of the drug was released in 30 min; hence, this the quality control parameters in each step is illustrated in Fig. 1.
polymeric system is beneficial for prolonged drug release [45]. The rheological properties of the polymeric mixture should be
In common terms, polymers are understood as excipi- taken into account since they affect the drying rate, the film
ents, but it has become an essential component while designing
and formulating thin films. Therefore, understanding the prop-
erties of polymers such as chemistry, rheology, and physico-
chemical properties of polymer seems to be imminent for
maximizing their uses to develop a thin film. The selection of
appropriate polymer during the development of polymeric thin
films may be critical; thereby, several points should be con-
sidered according to the requirements. Therefore, it is imperative
to consider the appropriate polymer for producing a thin film
with a better performance that assures high therapeutic success.
6. Technologies for manufacturing thin films
The most commonly used techniques for the preparation of

thin films are solvent casting [46,47] and hot melt extrusion
[38,48]. However, an innovative technique like inkjet printing Fig. 1 – Solvent casting method for film preparation with
[49] has evolved in the past few years. Various methods that quality control parameters in each step.
Fig. 2 – Commercial manufacturing of film based on solvent-casting (reproduced from Ref. [22]).
thickness, the morphology as well as the content uniformity method to solvent casting for the preparation of the film, es-
of the films [26]. The mixing process could introduce the air pecially useful when no organic solvent system is required [10].
bubbles into the liquid inadvertently; therefore, de-aeration is However, only few literature has reported the use of hot-melt
a pre-requisite to obtain a homogeneous product [17]. After extrusion for the preparation of polymeric thin films [11]. HME
casting the solution into a suitable substrate, they are left for is a process of shaping a mixture of polymers, drug sub-
drying to allow the solvent to evaporate, which just leaves a stance, and other excipients into a film by melting all the
polymeric film with a drug on it [2]. components [3]. Eventually, the films are cut into a particular
After the complete drying of the film, it is cut into suitable shape and dimensions [6]. In this method, a mixture of phar-
shape and size depending upon the required dosage of the formed maceutical ingredients is molten and then charged through
strip. In the majority of the cases, the strips are rolled and stored an orifice (the die) to obtain homogeneous matrices [11]. Since
for a certain time before cutting, which is known as ‘rollstock’ APIs are subjected to operation at high temperature with
in an industry. However, a film should not be exposed for too complete absence of solvents, this method is not suitable for
long time since it is prone for being damaged. If possible, it should thermos-labile APIs [17]. The practical steps of HME are out-
be cut and packed immediately after the preparation to keep lined as follows [53]:
its stability [17]. Several advantages such as better physical prop-
erties, easy and low cost processing, and excellent uniformity (1) Feeding of the components to the extruder through
of thickness are observed with the film obtained by solvent- a hopper,
casting [50]. However, this process suffers from some limitation. (2) Mixing, grinding, and kneading,
For instance, a polymeric thin film prepared by solvent casting (3) Flowing the molten and blended mass to the die, and
method was brittle upon storage, as marked by decrease in the (4) Extruding the mass through the die and further down-
percent elongation due to evaporation or loss of the residual stream processing.
solvent in the film over time [51]. Another issue under scrutiny
associated with this method is the requirement of using organic The equipment for the process of HME is illustrated in Fig. 3,
solvents. The presence of organic solvent system is a serious which consists of the hopper, extruder, film die, and roller. The
problem because it causes a hazard to health and environ- extruder contains one or two rotating screws (co-rotating or
ment. As a result, strict regulations have been adopted by many counter rotating) inside a static cylindrical barrel. The barrel is
countries regarding the use of an organic solvent [11]. often manufactured in sections to shorten the residence time
Translating the production of films from a bench scale to of the molten material.The sectioned part of the barrel is either
production scale is one of the biggest challenges because many
factors such as heating, mixing speed, and temperature could
bring variability in quality, and consistent formation of films
in commercial scale may not be possible. Therefore, suffi-
cient endeavor should be invested to optimize the various
parameters such as the speed of casting, drying time, and final
thickness of the dried strip, which may affect the production
of films from commercial scale output [17]. Fig. 2 depicts the
machine that is used for a large-scale production of film based
on solvent casting technique.
6.2. Hot-melt extrusion (HME)
HME is a versatile method adopted for the manufacture of gran- Fig. 3 – Hot-melt extrusion system for the preparation of
ules, tablets, pellets [52], and also thin films [38]. It is a substitute films (reproduced from Ref. [22]).
bolted or clamped together. Similarly, the end portion of the barrel several reasons, such as coating mass properties, like viscos-
is connected to the end-plate die, which is interchangeable de- ity or density, which are inherently influenced by the amount
pending upon the required shape of the extruded materials [1]. and characteristics of the processed drug substances. With
With regard to the advantages of HME, it produces a drug regard to the conventional method of film preparation, it may
in the form of solid dispersion or solution, which could improve be very challenging to ensure the same dosage accuracy in the
solubility of poorly soluble drugs [51]. However, at elevated tem- individual units [3]. To summarize, printing a drug on dosage
perature, there is a high chance of recrystallization of API in form is the latest intervention for film preparation and it has
the polymer blend as the temperature drop. Using highly viscous become a powerful tool to manufacture dosage form with ex-
polymeric substance or increasing the amount of plasticizer cellent uniformity, speed-ability, and stability. Representing
can prevent this problem. Another issue of HME is the “Die swell printing technologies that have been used for preparation of
phenomenon,” i.e. an increase in the cross-section of the film polymeric thin films are discussed below.
after ejection from the die depending on the viscoelastic char-
acteristics of polymers. This is due to the polymer withstanding 6.3.1. Inkjet printing
high energy kneading and high shear force during extrusion. Inkjet printing is the recently developed technology, which is
This problem can be prevented by slowing the speed of screw characterized by its versatility, accuracy, repeatability and rela-
operation or by gently mixing molten mass for a long time tively inexpensive method that deposits small volumes of
instead of high shear kneading for a short duration [54]. Unlike solution in films. Inkjet printing is extensively applicable for
solvent casting, this method avoids the need of organic solvent; the preparation of low dose medicines and also offers an op-
hence, they are proven to be environment friendly [2]. portunity to manufacture personalized medicines [58].
Inkjet technology is usually divided into mainly two types:
6.3. Printing technologies (a) continuous inkjet printing (CIP) and (b) drop on demand
(DoD) printing. Both are different in their printing process by
Novel methods such as 3D printing could be used for manu- which the drops are generated. In the case of CIP, there is a
facturing polymeric thin films. It could potentially be a platform consistent ejection of a liquid through an orifice (nozzle), and
for producing the dosage form beneficial to the individual it breaks up into a stream of drops under the force of surface
patient. This possibly will resolve the issue of the pharmaceu- tension. For the continuous production of a stream of ink-
tical industry and pharmacies to meet the future demand of drops, the individual drop should be ‘steered’ to a particular
customized medicine [55]. The printing technologies are in- landing site to produce a printed pattern. This is possible by
creasingly gaining popularity because of its flexibility and cost- applying an electric charge on some of the drops that deflect
effectiveness. From the viewpoint of pharmaceutical industry, the stream from the main axis under an electrostatic field. On
printing technologies are commonly in practice for identify- the other hand, ejection of the liquid from the printhead occurs
ing or labeling of the pharmaceutical dosage forms, particularly in drop-on-demand printing only when a drop is needed. The
to optimize the product to be readily identified and to prevent production of individual drop takes place rapidly under the re-
counterfeit production. However, this approach has recently sponse of trigger signal. A DoD printhead consists of multiple
been adopted for the drug loading of pharmaceutical dosage nozzles (ranges from 100 to 1000, even though specialist
forms [3]. The examples include the use of off-the-shelf con- printhead may have a single nozzle). The drop ejection occurs
sumer inkjet printers in which drug-loaded inks are deposited due to the kinetic energy of drops generated from the source
to yield accurately dosed units of pharmaceutical ingredi- located in the printhead nearby to each nozzle [59].
ents. In addition, a combination of inkjet and flexographic The uniform distribution and dose accuracy of the drug sub-
technologies has been practiced as well [55]. The inkjet print- stance in the film rely upon the density or viscosity of the ink
ing was used for printing of API on different substrate, whereas (drug substance solution or suspension), which determine the
the flexographic printing was employed to coat the drug loaded- printability characteristics [3]. Janßen et al. demonstrated
substrate with a polymeric thin film [56]. the deposition of low doses of salbutamol sulfate onto com-
Loading of drug substances into transdermal patches is pos- mercially available starch-based film using conventional desktop
sible via screen printing and pad printing; however, pad printing printers [10]. However, inkjet printing is not applicable for high-
is limited by the low speed of production. In recent years, inkjet throughput industrial production, instead using of flexographic
printing has made inroads for preparation of film formulation printing is regarded more suitable for industrial preparation.
as a safe and accurate method to produce dosage form of potent
drug administered at low dose [57]. Preparation of multiple layers 6.3.2. Flexographic printing technology (FPT)
can be done by adding a second printing layer on the top of FPT is a process that transfers active pharmaceutical ingredi-
the first with or without an intermediate base film layer. Further, ent into thin films gently via contact printing [10]. The
the printed layer would be shielded by a second base film layer. flexographic printing is a rotary printing process as depicted
This will result in modified drug release profiles and protect in Fig. 4, where ink consisting of drug substance solution and
the ink layer from detachment or mechanical stress during pro- suspension is measured by an anilox roller, then are trans-
cessing like cutting or packaging area [55]. ferred to a printing cylinder that prints the film after unwinding
Regardless of the various types of printing technique the daughter roll [3]. It is useful for heat sensitive products
used, all of them contribute to producing a film with more ho- like proteins and peptides. As the mixing and drying of film
mogeneous distribution and accurate dosage of the drug formulation are processed before introducing the drug, the prob-
throughout the films. The dose accuracy and uniform distri- lems such as loss of activity of API can be prevented. The
bution of the drug substances in the films are accounted for production efficiency is also high considering the production
Fig. 4 – Schematic overview of flexography technology for the preparation of films (reproduced from Ref. [57]).
rate of 530 oral films per minute; hence, this process could be m (Batch ) × m ( API film) × 10, 000
H ( μm ) = +f (1)
expanded to scale-up production [6]. No effect on the me- ρ (Batch ) × m ( API) × A (Film )
chanical properties of polymeric thin films upon printing drug
solutions was witnessed using flexographic printing [57]. In a where API is active pharmaceutical ingredient, m is mass, ρ
study, Janßen et al. found that it was possible to dispense is density, and A is area expressed in g, g/cm 3 , and cm 2
tadalafil and rasagiline mesylate solution onto hydroxypropyl respectively.
methylcellulose films using flexographic printing. The intro- The weight variation is generally determined to ensure that
duction of hydroxypropyl cellulose appeared to reduce drug each film contains the consistent amount of a drug without
crystallization after printing. However, the main drawbacks of significant deviation. It is calculated by weighing the indi-
flexography are relatively low resolution, high chances of con- vidual film and the average weights of specified films
tamination, and the need to prepare a print roller, which is not respectively. The average weight of film is subtracted from the
suitable for large scale production [10]. individual weight of patches. The mean ± SD values are cal-
culated for all the formulations. A large variation in weight
signifies the inefficiency of the method applied and high
chances are there for non-uniformity in drug content [12].
7. Quality issues of thin films
7.2. Mechanical and physical properties
For being regarded as an ideal thin film, a film should have ad-
equate flexibility, softness, elasticity, and good physico- Polymeric films should possess enough tension so that it can
chemical stability. Therefore, all these parameters should be be ejected easily from the pouch, rolled up after casting, and
considered carefully while developing film to ensure its effi- peeled from the release liner, but should not be too flexible
cient performance. Characterization of a film is a pre-requisite because greater elongation during cutting and packaging might
that may include assessing properties such as mechanical cause variation in film amount resulting in non-uniformity of
strength, hydration, in vitro release and surface morphology. API amount per film [49,64]. Mechanical properties of films can
The following section outlines the various critical quality at- be defined in terms of Young’s modulus, percent elongations,
tributes affecting film properties and commonly used in vitro tensile strength and tear resistance [64,65]. It has been known
methods for film characterization. that soft and weak polymers exhibit low tensile strength, low
elongation at break and low Young’s modulus, whereas the hard
7.1. Thickness and weight variation and tough polymer have a high tensile strength, high elonga-
tion at break and high Young’s modulus [11]. Additionally, the
The measurement of thickness is necessary as it directly mechanical properties of films are affected by the method of
correlates with the amount of drug in the film. In addition, an manufacturing and the formulation. Some general behaviors
appropriate thickness is required for the comfortable admin- of films observed from stress—strain curves are shown in Fig. 5
istration of films. For instance, the ideal thickness of buccal [6]. The concentration and types of the polymers are largely
films should be in the range of 50 to 1000 μm [12]. Generally, responsible for producing a film having good mechanical
the thickness of the formed thin films is measured using Vernier strength and integrity [66]. Likewise, the morphological state
caliper, electronic digital micrometer, screw gauge, or scan- of the film may alter the mechanical strength, e.g. by crystal
ning electron microscopy (SEM) images [60,61]. The amount of growth [64]. Therefore, different factors such as film-forming
plasticizer in the formulation is known to increase the film agent, type of manufacturing process, thickness of film and the
thickness slightly [62]. By inserting m (Batch) – the mass of the type and amount of API in the film have to be considered care-
whole batch, m (API/film) – the drug amount per film, ρ (Batch) fully for controlling the mechanical strength of the film.
– the density of the formulation, m (API) – the total drug amount Blending and cross-linking of two or more polymers are
in the batch and A (Film) – the area of one film in Eq. (1), it is useful methods to improve the mechanical properties of the
possible to calculate the casting thickness (h). A correction factor combined polymeric mix [67]. The film maintains their ap-
f is added due to the shift of actual value of film thickness pearance and integrity after cross-linking, but hardening of the
compared to the set values. A shift behavior is defined before- film surface can occur [68]. Consistent with this observation,
hand over different coating thicknesses [63]. the mechanical properties of PVA–NaCMC films were greater
In most of the works of literature, the most commonly used

method for characterizing the mechanical strength of a poly-
meric film is carried out by using texture analyzer. The system
starts measuring force and displacement of the probe when
they are in contact with the sample. There is an individual
sample holder to aid measurement of small-sized film samples
(Fig. 6). Films are attached by screws between two plates with
a cylindrical hole of required diameter. The plate is stabilized
to avoid movements using pins, which are placed centrally
beneath the punch. The adjustment can be made to move the
probe forward according to required working velocity. The mea-
surement starts after the probe is in contact with the sample
surface (triggering force). The movement of probe occurs at con-
stant fixed speed until the film detaches. At last, the applied
force and displacement (penetration depth) should be re-
corded along with the room temperature and relative humidity
Fig. 5 – Examples of stress–strain curves obtained from [64]. During the measurement of mechanical strength using
polymeric thin films (reproduced from Ref. [11]). texture analyzer, it was found that the contact time, contact
force, and the speed of probe withdrawal markedly influence
the experimental outcome [74]. The tensile strength is calcu-
than film composed of PVA or NaCMC alone. The tensile lated by using several parameters such as folding endurance,
strength of PVA–NaCMC film was found to be 13 to 17 times percent elongation, elongation at break and Young’s modulus.
greater than those of films made of the synthetic polymer
N-vinylpyrrolidone [69,70]. Use of plasticizer may overcome the 7.2.1. Folding endurance
brittleness and soften the rigidity of the film structure by re- The flexibility of thin film is important when considering that
ducing the intermolecular forces. The most commonly used the films can be administered without breakage. The flexibil-
plasticizer are glycerol, sorbitol, propylene glycol and polyeth- ity of the polymeric thin films can be measured with respect
ylene glycol [66,71]. However, using too much amount of to its folding endurance. The folding endurance is deter-
plasticizer can decrease the adhesive strength of films by over- mined by folding the film repeatedly at 180° angle of the plane
hydrating the film formulations [72]. For example, glycerin at the same place until it breaks. The film exhibiting folding
intercalates themselves between every individual strand of endurance value of 300 or more is considered to have excel-
polymer, thereby causing disruption of polymer–polymer in- lent flexibility [75].
teraction. The tertiary structure of the polymers is changed into
more flexible and porous type. For this reason, the plasti- 7.2.2. Percent elongation and elongation at break
cized polymer deforms at lower tensile strength compared with Elongation, a kind of deformation, is a simple change in shape
a polymer without plasticizer [73]. that any objects encounter under any applied stress. In other
Fig. 6 – Experimental setup (left) and sample holder for the film preparation (right), where rs indicates radius of samples,
and rp indicates radius of probe. Geometry of cylindrical probes A and B and spherical probe C is shown on the right bottom
(reproduced from Ref. [64]).
be used for the measurement of Young’s modulus, where slope

is obtained from the stress strain curve. Young’s modulus is
represented as the ratio of applied stress over strain in the
region of elastic deformation, which can be determined using
the following formula:
Slope
Young’s modulus = × 100
Film thickness × Crosshead speed
(4)
A range of crosshead speed can be obtained by changing

the speed of the motor of the texture analyzer [15].
Fig. 7 – Determination of percent elongation of thin films
using a texture analyzer, where a = initial length of the film
7.2.4. Tear resistance
in the sample holder opening, a’ = initial length − radius of
The property of the film to withstand the rupture is known as
probe, b = displacement of the probe, c’ + r = length after
tear resistance. The measurement of tear resistance is done
strain, c’ = length of a’ after strain, r = radius of the probe
by allowing the film to undergo a constant rate of deforma-
[64].
tion. The maximum force or stress needed to tear the film is
measured in Newton or pound-force [17]. In a stress strain curve,
words, when the sample is subjected to tensile stress, defor- the area of the plot measures the tear resistance. The rela-
mation of the sample takes place resulting in stretching or tion of an area under the stress strain curve is directly
elongation of sample [17]. Measurement of elongation is gen- proportional to the toughness of the film, i.e. higher area of
erally done to predict the ductility of polymers [65]. Elastic the plot means higher toughness of the film and also greater
elongation or elongation at break of a sample can be mea- amount of energy that a material can absorb. Therefore, it mea-
sured by using a texture analyzer. Elastic elongation is a sures the strength of the material rather than toughness. In
phenomenon shown by all kinds of elastomers. The percent fact, a less strong material can be tougher compared with a
elongation indicates the stretch ability of material without being strong material and no confusion should be created [12].
broken, whereas elongation at break means the point until
which the film can be stretched when it is torn (or broken) by 7.3. Moisture content
the applied probe (Fig. 7). With the exertion of stress to a sample,
strain generates, and the sample elongations will become more The amount of moisture in the film could be crucial as it affects
predominant as the amount of stress applied increases. After the mechanical strength, adhesive properties, and friability of
reaching a certain point, the sample breaks; this point of break- film [78]. Several factors are responsible for elevating water level
age is referred to as percent elongation break [76]. The formula such as hygroscopic properties of API, polymers, and solvent
for percent elongation is given in Eq. (2) as under: system used to dissolve the polymeric mixture, and manu-
facturing techniques. In general, the moisture content of the
Increased length of film film is determined by using several methods like Karl Fischer
% Elongation = × 100 (2)
Initial length of film titration or by weighing method. In weighing method, pre-
weighed films (initial weight) are heated at a temperature of
Elongation at break can also be calculated by using follow- 100–120 °C until they attain constant weight. Finally, the weight
ing formula as well: of the final dried sample is taken. Eq. (5) is used for calculat-
ing the amount of moisture content in the film that is expressed
⎛ a ′ 2 + b2 + r 2 ⎞ as % moisture and is given below [12]:
Elongation at break (% ) = ⎜ − 1⎟ × 100 (3)
⎝ a ⎠
Moisture content (% )
where a is the initial length of the film in the sample holding ⎡ (Initial weight − Final dried weight ) ⎤
=⎢ ⎥ × 100 (5)
opening, a’ is the length of the film not punctured by the probe, ⎣ Initial weight ⎦
b is the penetration depth/vertical displacement by the probe,
and r is the radius of the probe (Fig. 7) [64]. 7.4. Swelling
7.2.3. Young’s modulus Swelling properties of films are generally observed as the poly-
Young’s modulus or elastic modulus reflects the stiffness or mers employed for making films are hydrophilic [79]. Swelling
elasticity of the films. This indicates resistance to deforma- of the polymers is known to be the fundamental step re-
tion of the films, which can be calculated by plotting the stress quired for bioadhesion [80,81]. In many cases the degree and
strain curve, where slope indicates the modulus, i.e. the greater rate of swelling play a key role in controlling the release of the
the slope, the greater would be the tensile modulus. On the drug. Hence, these parameters can be considered as the indi-
other side, the small slope means lesser tensile modulus and cator for bioadhesive or mucoadhesive potential and drug
deformation [77]. Simply, a film, exhibiting higher tensile release profiles. The testing of swelling is done to measure
strength and greater Young’s modulus values, is the one that polymer hydration [82]. Hydrophilic polymers with different
is hard and brittle with small elongation. Texture analyzer can structures possess a varying degree of swelling based on the
relative resistance of matrix network structure to water mol-

ecule movement. For example, a polymer chain having the low
ability to form hydrogen bond is unable to form a strong
network structure, and water penetration is also difficult to
occur. When the number of hydrogen bonds as well as the
strength between the polymers increase, the diffusion of water
particles into the hydrated matrix occurs at a slow rate [83].
This was demonstrated by Panomsuk et al., where it was re-
ported that the introduction of mannitol to methylcellulose
matrix decreases the swelling index of the membrane. This may
be due to the formation of hydrogen bonding between drugs
and the polymeric matrix [84].
Measuring swelling or degree of hydration of the polymeric
film plays an important role in providing key information on
the mucoadhesive strength. As we know, the hydration of poly- Fig. 8 – Schematic illustration of the apparatus used for
mers is the reason for relaxation and interpenetration of polymeric dissolution studies of films. The film dosage form (1 cm2)
chain; however, the overhydration results in a decrease of was attached to a 3 cm diameter weight using double
mucoadhesion properties due to formation of slippery muci- adhesive tape (reproduced from Ref. [91]).
lage [85]. The swelling properties of films, i.e. water absorption
capacities, are measured by evaluating the percentage of hy-
dration. For example, the piece of films is weighed (W1) and it Assessing the drug release from the film is essential as it is
is subjected to immersion in simulated physiological fluid for a the rate-determining step in the process of absorption.The dis-
predetermined time. After the predetermined time, the sample solution of drugs and/or films is assessed with the apparatus
is taken out, wiped off to remove excessive water on the surface that is approved for other solid dosage forms [90].
and weighed (W2). The calculation is done by using the follow- In the literature, many authors have done some improvi-
ing formula, which is expressed in % [83,86]. sation on the dissolution apparatus, while others have employed
Franz diffusion cells (FDC) for testing the drug release from the
W2 − W1 polymeric films [12]. A major barrier with respect to film in dis-
Hydration (% ) = × 100 (6) solution testing is the placing of the samples. Several methods
W1
have been practiced, where the film is attached on the inner
Furthermore, area swelling ratio (ASR) can be used to de- side of the glass vessels or the stirring element using an ad-
termine the swelling property of the prepared films. As a hesive tape [24]. Okamoto et al. conducted a dissolution study
procedure, the films are placed in a Petri dish and 100 ml quan- of lidocaine film for buccal administration using a JP XIII dis-
tity of phosphate buffer (pH = 7.4) was poured into it as a solution apparatus at 37 ± 0.1 °C. A film was cut into a circle
swelling fluid. The diameter of a film is calculated at certain having an area of 1 cm2 and adhered to a 3 cm diameter weight
time intervals. The calculation of ASR is based on Eq. (7) [87]. using double adhesive tape. Then, the film with weight was
placed in a glass vessel filled with 500 ml of artificial saliva so
At that the film dosage form faces upwards as shown in Fig. 8 [91].
ASR = (7)
Ao
7.6. Surface morphology
where At is area of the film at time t, and A0 is area of the film
at time zero. The morphology of the film should appear homogeneous and
continuous to ensure the uniform distribution of drug through-
7.5. Drug release profiles out the polymeric mixture. Self-aggregation might take place
during drying because of the intermolecular and convective
To a great extent, the release kinetics of drugs from the polymer forces leading to wrinkled surface in films. Additionally,
matrix is primarily dependent on the physicochemical properties interaction between drug and polymers, and the crystalline
of the materials used as well as the morphology of the system nature of the drug, may result in the formation of rough surface
[36]. Variation in pH or temperature may cause increase or de- in the films [92]. Hence, assessing the surface morphology and
crease in the erosion or dissolution rates of polymers [88]. Upon texture is crucial to assure uniform distribution of drugs without
contact with biological fluids, the polymeric film starts to swell any interaction with the polymers in the film formulation.
following polymer chain relaxes, resulting in drug diffusion. Various surface characteristics such as surface texture (smooth
The release of drug holds a direct relationship with polymer or rough), thickness, and drug distribution (aggregated or scat-
structure; for example, linear amorphous polymers dissolve tered) of the film can be observed using light microscopy,
much faster than cross-linked or partially crystalline polymers scanning electron microscopy (SEM), transmission electron mi-
[89]. According to several studies, the release of the drug is mark- croscopy (TEM) and related imaging techniques [83]. Among
edly influenced by erosion of the film. The degradation rate of all, the scientists have more clung to SEM as a reliable method
the film is also dependent on the types of plasticizer [11]. For for examining the surface morphology of the films. The op-
the drug to penetrate the biological membrane, the drug should eration is carried out by mounting the films on stubs, sputter
be released from the delivery systems at an optimum rate. coated with gold in an inert environment, and subsequently
the photographs are taken at a suitable magnification. This ap-

proach can be utilized for close observation of size, shape and
the number of pores on the surface of polymeric films. Most
recently, there are a number of studies on the use of SEM in
evaluating the role of chemical composition of the film on the
crystallinity, morphology and texture [12].
8. Packaging of thin films
Packaging is crucial to provide mechanical protection as well

as to keep the stability of thin film formulations. It acts as a barrier
to the moisture, light, and oxygen. A number of choices are avail-
able for packaging the polymeric thin films, but not all are effective
to preserve the integrity and physical properties of the product.
Aluminum foils are most commonly used and considered ideal
for film packaging as it prevents the film from moisture and light Fig. 9 – Demonstration of common site for application of
degradation. Similarly, lidding foil has been employed if tamper film in buccal and sublingual mucosa (reproduced from
proof packaging is needed. Films are subjected to multi-track Ref. [93]).
sealing to achieve an accurate airtight seal between the upper
and lower pack foils [17]. The most commonly available sizes of
films are 3 × 2 cm2 and 2 × 2 cm2.The packaged films are checked to a hydrophilic drug than the skin [96]. The sublingual route
thoroughly before being packed into a secondary packaging con- is targeted for the delivery of drug exhibiting high permeabil-
tainer [22]. The packing of manufactured film in foil, paper or ity across the mucosa and is utilized for the treatment of acute
plastic pouches is cost-effective, easy to handle, and allows easy disorders. On the other hand, the buccal route is preferred for
formation of the flexible pouch by either vertical or horizontal the treatment of chronic disease, when an extended release
forming method during product filling [4]. of the drug is desired [18]. Direct access to the systemic cir-
Nowadays, the strips are available in both single dose sachets culation through the internal jugular vein is possible with buccal
and multiple-unit blisters. A single dose sachet with a name drug delivery [36].
Pocketpaks™ for cool mint Listerine was introduced by Pfizer However, systemic drug delivery in the oral cavity may be
consumer healthcare. Similarly, a tear notch/slit/cut-off is manu- extremely challenging due to an unfavorable oral environ-
factured to ensure convenience for the consumer to peel-off ment and physiological barriers. For achieving a promising
the pack. This technique is automated and computer-driven therapeutic effect, the drug must be released from the formu-
process [17]. APR-Labtec launched a patented packaging system lation to the delivery site (e.g. sublingual or buccal region) and
with the name Rapid card for the Rapid® films. The rapid card should penetrate the oral mucosa to reach the systemic cir-
has same size as a credit card and contains three films on each culation. The existence of several environmental related factors
side, which can be removed individually [22]. such as fluid volume, pH, enzyme activity and the permeabil-
ity of oral mucosa determines the fate of drug absorption in
the oral mucosa. On the other side, the amount of secretion
9. Routes for the administration of thin films of saliva impedes the residence of drug at the delivery site due
to washing out of the drug. Similarly, the swallowing of drugs
9.1. Oral route might occur before the absorption of the drug through the oral
mucosa [2,93]. Hence, while developing the oral formulation
Developing polymeric films has made it possible to improve like polymeric films, all the point should be taken into account
the drug bioavailability and patient adherence to drug therapy for obtaining higher therapeutic bioavailability as well as the
via the oral route, especially buccal and sublingual route. The patient adherence to the dosage form.
anatomical and physiological characteristics of buccal mucosa, Films containing the polymeric blend would be an ideal plat-
such as the existence of smooth muscles with high vascular form for the delivery of drugs in the oral cavity because of its
perfusion, easy accessibility, and bypassing of first pass me- comfort and flexibility [97]. Over the last decade, there has been
tabolism make it a favorable route for the drug delivery [72]. an enormous rise in the development of buccal films as an
The oral cavity consists of lips, cheek, tongue, hard palate, soft alternative drug delivery for various classes such as anti-
palate and floor of the mouth [2]. Fig. 9 demonstrates the inflammatory, analgesics, anesthetic drugs and proteins and
common site for administration of films to buccal and sub- peptides. Of recent, mucoadhesive films have been used as
lingual mucosa. Compared with the other mucosa, the buccal a delivery platform for transmucosal buccal delivery of
and sublingual routes are preferable because it provides better Biopharmaceutics Classification System (BCS) Class II drugs
permeability of the drug [94]. particularly targeting the opioid analgesics like fentanyl citrate,
Lesch and co-workers reported the water penetration across which is available with a trademark name such as Onsolis®/
the buccal mucosa to be 10 times higher than skin [95]. Similarly, Breakyl® for treating immense pain [26]. Similarly, the
the oral mucosa was found to be 4–4000 times more permeable mucoadhesive film remains attached to the buccal area without
Table 2 – List of commercialized thin films for drug delivery.

Company Brand name Type of formulation References
Labtec Pharma Zolmitriptan Rapidfilm® Zolmitriptan oral disintegrating films (ODF) [21]
BioAlliance Pharma Setofilm® Ondansetron ODF
MonoSol Rx and KemPharm KP106 D-amphetamine ODF
BioDelivery Sciences OnsolisTM Fentanyl buccal soluble films [11]
International
Labtec Pharma RapidFilm® Ondansetron and donepezil ODF [2]
Novartis Triaminic Thin Strips Phenylephrine and diphenhydramine ODF [55]
MonoSol Rx Suboxone® Buprenorphine and naloxone (sublingual film)
C.B. Fleet Pedia-LaxTM Quick Dissolve Strip Sennosides ODF
Novartis Consumer Healthcare Gas-X Thin Strips Simethicone (sublingual film)
Pfizer Sudafed PE quick dissolve strips Phenylephrine ODF
showing any erratic absorption profile, resulting in less inter- adherence. So far, the list of drugs formulated in ophthalmic
and intra-individual variability [72]. Oral thin films (OTFs) are films is presented below in Table 3.
comparable to the disintegrating system, which is soaked in saliva The flow of tear across the outer surface of the cornea is
and stick to the site of application. The rate of disintegration continuous, which impedes the drug diffusion leading to low
is rapid, allowing the drug to release and followed by the bioavailability (1–7%) of drugs [108]. Generally, the drug with
oromucosal absorption. Many drugs that undergo degradation higher lipophilicity encounters many problems as it cannot be
in the GI tract are being administered employing this route [98]. dissolved in the aqueous medium of the eye. Since the drug
In context to the commercially marketed product of the oral causes discomfort in the eye, it induces blinking, and there-
thin film, the nutraceuticals and over-the-counter drugs were fore causing washing out of the significant amount of drug.
among the first to be introduced in the market, and included Therefore, the success of the effective development of films
the incorporated active such as vitamins, herbal and non- to be delivered to the eye relies on the comprehensive knowl-
herbal extracts. In 2001, Pfizer introduced a thin film product edge of the drug, the constraints to ocular drug delivery, and
of Listerine Pocketpaks® developed as mouth freshener. The the excipients used. Hence, all these factors should be con-
company Bio-film has been putting an endeavor to develop oral sidered during the formulation of ocular films.
thin films. Not only the pharmaceuticals but they are also using
nutraceuticals such as vitamins, aphrodisiac, energy boost- 9.3. Transdermal route
ers, and appetite suppressor that targets a specific population
of the certain age group. The energy booster consists of various Drug-loaded transdermal films are the alternative to replace
compounds such as caffeine, guarana, and green tea extract the existing transdermal dosage form. Numerous sustained or
to maintain the energy levels [17]. A number of companies have controlled delivery systems have been devised, where a drug
been attempting to develop a drug delivery platform based on is either dissolved or dispersed in the films [71]. The film-
polymeric films. Most of them have already succeeded in ob- forming system has been practiced for the transdermal delivery
taining a film with rapid release along with better therapeutic of steroidal hormones, analgesics, local anesthesia and anti-
outcomes [2]. The companies with their technology platform emetic for systemic effects [109–111].
based on polymeric film are listed in the Table 2. Only a small number of drugs are being designed for the trans-
dermal delivery of films as several factors affect the bioavailability
9.2. Ocular route of drug such as molecular size, polarity, pH of the drug, state of
the skin hydration, subcutaneous reservoir of drug and drug
More than 90% of the marketed ocular formulations are in the metabolism by skin flora [112]. Similarly, the hydration of skin
form of solutions or suspension; however, this conventional is crucial for increasing drug absorption, which is possible by
dosage form lacks in achieving promising therapeutic success using humectant in the film formulation.The physiological factors
[99]. The frequent instillation of eye drops is needed to elicit such as regional skin site, nature of stratum corneum, the
a therapeutic response. This usually leads to patient non- thickness of skin, and density of appendages also influence the
compliance and pulsed administration. Furthermore, the overall outcome of the therapeutic effects of the drug [113].
topically applied drugs to the eye generally enter the sys-
temic circulation via the nasolacrimal duct system, which
possibly cause side effects and systemic toxicity as well [100]. Table 3 – List of drugs used in ocular films.
With the aim of enhancing the ocular bioavailability and over- Active agent in ocular film References
coming the ocular drug delivery barriers, the development of
Acetazolamide [101]
ophthalmic film becomes popular these days [84]. The oph- Timolol maleate [102]
thalmic films result in the reduction of dose frequency, less Ofloxacin [103]
systemic side effects and better therapeutic outcomes. There- Dorzolamide hydrochloride [104]
fore, ophthalmic films could open exciting opportunities as a Levofloxacin [78,105]
delivery platform of therapeutics to replace the traditional Naphazoline HCl [106]
Natamycin [107]
dosage forms for achieving high therapeutic success and patient
The thin film may possess better therapeutic efficacy and [5] Kang-Mieler JJ, Osswald CR, Mieler WF. Advances in ocular
patient acceptance compared to the common transdermal drug delivery: emphasis on the posterior segment. Expert
dosage forms such as patches or gels [114]. Due to occlusive Opin Drug Deliv 2014;11:1–14.
[6] Castro PM, Fonte P, Sousa F, et al. Oral films as
properties of transdermal patches, it prevents the perme-
breakthrough tools for oral delivery of proteins/peptides.
ation of water vapor from the skin surface and causes severe J Control Release 2015;211:63–73.
pain at the time of peeling. However, polymeric thin films could [7] Barbu E, Verestiuc L, Nevell TG, et al. Polymeric materials
be a highly promising alternative for transdermal drug deliv- for ophthalmic drug delivery: trends and perspectives.
ery because of the ease of application, flexibility and better J Mater Chem 2006;16:3439–3443.
cosmetic appearance [29]. [8] Achouri D, Alhanout K, Piccerelle P, et al. Recent advances
in ocular drug delivery. Drug Dev Ind Pharm 2013;39:1599–
1617.
[9] Hearnden V, Sankar V, Hull K, et al. New developments and
opportunities in oral mucosal drug delivery for local and
10. Future scope of development
systemic disease. Adv Drug Deliv Rev 2012;64:16–28.
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National Research Foundation of Korea (NRF) funded by the challenges and future scope for pharmaceutical industry.
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Thin ﬁlms as an emerging platform for drug delivery

Article in Asian Journal of Pharmaceutical Sciences · June 2016

Sandeep Karki Hyeongmin Kim

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Thin films as an emerging platform for

Sandeep Karki a,1, Hyeongmin Kim a,b,c,1, Seon-Jeong Na a,

1. Introduction 2. Types of thin films

6. Technologies for manufacturing thin films

The most commonly used techniques for the preparation of

6.2. Hot-melt extrusion (HME)

In most of the works of literature, the most commonly used

be used for the measurement of Young’s modulus, where slope

A range of crosshead speed can be obtained by changing

relative resistance of matrix network structure to water mol-

the photographs are taken at a suitable magnification. This ap-

8. Packaging of thin films

Packaging is crucial to provide mechanical protection as well

Table 2 – List of commercialized thin films for drug delivery.

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