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Practical Approach for 
Developing Dissolution 
Methods to Support 
Clinically Relevant 
Specifications
Jian‐Hwa Han, Patrick Marroum, and Gregory 
Webster, (AbbVie Inc.)
Xujin Lu, Nikoletta Fotaki, and Limin Zhang, 
(AAPS, IVRDT Focus Group)
2015 Eastern Analytical Symposium & Exposition
18 November, 2015
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 2
• Dissolution Testing – a Review 
– General Expectations
– Role of Dissolution
– General Considerations – In Vitro
• Applications of Dissolution Testing 
• Expectations
– Biorelevant Dissolution Testing
– Clinical‐Relevant Dissolution Specification
• Collaborative Efforts during Development
• Phase Dependent Strategy for Method Development
• Dissolution Testing ‐ Limitation 
• Concept of Curve Matching
• Robust Product 
• Think Outside the Box & Summary
Outlines 
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 3
A Dissolution Test is Expected to be:
• Appropriately Discriminatory 
– Formulation – Materials & Compositions (CMA*)
– Manufacturing Parameters (CPP*)
– Lubrication
– Blending Time
– Compression Force, …, etc.
– Stability – Temperature, Humidity, Photosensitivity, and 
other Stresses
• Rugged/Robust
• Reproducible (Reliable)
 CMA: Critical Material Attribute
 CPP: Critical Process Parameters
Review –
General Expectations
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 4
Review –
Role of Dissolution in the Life Cycle of a Product
(Source: Dr. Patrick Marroum with slight modification.)
Full 
in vitro 
drug 
release
All the learning for 
Dissolution method 
performance should 
be explored during 
Phase II under QbD
concept.
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 5
• Any in vitro dissolution method can be utilized
• The method once defined should be the same for all formulations 
tested (within a project/product)
• The preferred dissolution apparatus is USP apparatus I or II used at 
compendially recognized speeds
• An aqueous medium either water or buffered solutions not 
exceeding pH 6.8 is recommended
• The coefficient of variation (% CV) for mean dissolution of a single 
batch should be less than 10 % (Tighter %CV is expected for a good 
spec setting.)
• At least 80 % dissolution  should be achieved  with the proposed 
test
Review –
General Considerations ‐ In Vitro Dissolution Testing 
(Source: Dr. Patrick Marroum with slight modification.)
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 6
• Quality control test to assure batch to batch consistency
(Be able to discriminate formulation/process differences.)
• Surrogate for bioavailability
– When different in vivo drug release characteristics are observed, 
the dissolution method is expected to be sensitive to pick up the 
differences even in the absence of a predictive IVIVC test
• Use for Justification of Biowaiver – Demonstration of 
Bioequivalency (for BCS 1 and BCS 3 products)
Applications of Dissolution Testing 
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 7
Expectations –
Biorelevant Dissolution Methods?
Biorelevant
Dissolution Testing*
Predictive?
In Vitro In Vivo
It is desirable to have a method (any method) which is able to 
predict the in vivo drug performance! 
Biorelevant Media:
• FaSSIF
• FeSSIF
• Carbonate media
Equipment:
• TIM/TNO
• Artificial Stomach‐
Duodenum Model
Methods:
• Artificial Stomach− 
Duodenum Model
• Biphasic Dissolution
• pH Dilution Method
Knowledge obtained with in 
vitro tools aids understanding 
of DP in vivo performance
However, for dissolution 
testing, there is NO 
biorelevant method until 
we can prove the clinical 
relevancy.
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 8
Expectations –
Clinical‐Relevant Dissolution Specification
(Biorelevant) 
Dissolution Method
Clinical Relevant 
Dissolution Spec
Reflect 
Performance
In Vitro In Vivo
(Matching the profiles!
‐ Deconvolution & 
Convolution)
Analytical Deliverable: Dissolution method to support 
Clinical‐relevant Dissolution Specifications! 
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 9
Collaborations 
Formulation:
Product 
Design –
(Formulation 
& Process)
DMPK‐BA / 
Clinical PK:
In Vivo Drug 
Performance 
Analytical: 
In Vitro Drug 
Release 
Evaluation 
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 10
Phase Dependent Strategy – FIH (Pilot)
Activities Goal Needs
• Physical/Chemical 
properties of API
• Compatibility of Excipient
• Identify BCS Classification
of the drug if possible
Formulation: Suitable 
Formulation 
Disso: Full Drug Release
PK: Basic Info (e.g. Tmax, 
Cmax, and AUC)
Formulation Design 
/Operation principle
For BCS 1 and 3 drugs, 
follow the FDA new 
guidance using the 
standard apparatus and 
conditions. 
For BCS 2 and 4 drugs,
Standard Apparatus and 
Conditions with minimal 
modifications
Responsibilities:
• Formulation – Pilot Samples
• Analytical – Assay
• PK – Clinical Results
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 11
Phase Dependent Strategy –
Phase 1b – 2b (Development)
Activities Goal Needs
1. Explore  in vitro drug 
release behaviors under 
different disso method 
conditions.
2. Formulation screening by
disso method and 
compare disso data to 
clinical results.
3. Select the most relevant 
disso method according 
to formulation/process 
understanding and 
clinical results.
•Material/process 
Variability  CMA’s & 
CPP’s
•Minimize  method 
variability
Formulation: 
• Formulation variability
• Process sensitivity
Dissolution: 
• Reliable/Reproducible 
Method
• Clinical relevance may 
not be established at this 
time but should be 
evaluated as early as 
possible
PK:
• Animal studies may be 
used during early 
development
• Deconvolution 
Absorption Profiles
• Establish Target 
Dissolution Profile
• Building the knowledge 
around Formulation and 
Process 
• Design Space – Explore 
extreme conditions
• Clinical study to evaluate  
key formulation/process 
attributes on the drug 
release characteristics?  
($$$ Cost & When to do 
it?)
• QbD: Decision whether 
in‐vitro drug release 
(disso) be used as end 
point to define design 
space and control 
strategy
• BCS Classification 
defined (or earlier!)
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 12
Phase Dependent Strategy –
Phase 1b – 2b (Development) – continued
Responsibilities:
• Formulation – To prepare samples with different key attributes (i.e. 
formulation/process variables) to evaluate the impact on dissolution 
profile
• Analytical – Fully understand method variables, i.e. pH impact, RPM, 
addition of surfactants, and Apparatus differences. Select the 
appropriate method which can discriminate the 
formulation/process variables. Minimize the method variability.
• PK – Deconvolution absorption profiles. Define BCS classification. 
(Animal studies may be used during early development.)
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 13
Phase Dependent Strategy –
Phase 2b ‐ 3 (Final Stage)
Activities Goal Needs
1. Process Validation.
2. Stage II (Final Stage) 
Method Validation.
3. IVIVC, as feasible
Formulation: 
• Process control –
Design Space  Control 
Strategy
Dissolution: 
• Method is sensitive to 
CMA’s and CPP’s
• Method is capable to 
reject non‐bioequivalent 
batches
PK:
• Identify BE or non‐BE 
batches
• Sound product 
knowledge with fully 
understood
formulation/process
• Identify CMA’s/CPP’s and 
set up control strategy to 
assure product quality
• Dissolution method is 
discriminating, robust 
and reproducible  which 
can be used for QC 
purpose
• Clinical data with non‐BE 
samples to support 
dissolution specification
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 14
Dissolution Testing ‐ Limitation 
• Using biorelevant media and specially designed equipment for dissolution 
testing do NOT guarantee clinically relevant results! 
• Drug substance and formulation properties should be considered in the in 
vitro method development, and the process is a case‐by‐case activity.
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 15
Concept of Curve Matching: 
(I) Selecting Method Conditions
Dissolution Method Knowledge
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 16
Concept of Curve Matching: 
(II) Identify Discriminating Power
Need samples to achieve 
different in  vivo profiles!
BE? or non‐BE ?
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 17
Robust Product: 
(I) No In Vitro Drug Release Difference 
Prepare samples with up to 
+/‐20% variations of the key 
attributes 
Test samples by Dissolution 
(in vitro drug release) and 
select samples for Bio‐study 
Are the 
samples Bio‐
equivalent?
BE non‐BE
Develop New 
Dissolution 
Method
Setting 
Meaningful 
Specifications & 
Control Strategy
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 18
Robust Product: 
(II) Define Product Control Space (Control Strategy)
Design Space
Knowledge Space
ProcessFormulation
BEBE
BE BE
Operation 
Space
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 19
Think Outside the Box!
• How much has HPLC been improved over the last 30 
years?  
• How much has Dissolution Testing changed over the 
last 30 years?
Could we bring more freedom in 
operating Dissolution Apparatus?
USP App 1 and App 2 are the most 
QC friendly apparatus! 
How about:
• pH Changes    √
• Temperature ≠ 37⁰ C      (?)
• RPM Ramping (?)
• Other Controls (?)
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 20
• A Dissolution Test to support clinically relevant acceptance 
criterion/criteria can not be developed by Analytical/Disso group 
alone. It has to be a strong collaboration among Analytical, 
Formulation, and PK groups. 
• Formulation has to specially prepare some “unordinary samples” to 
see the impact from CMA’s/CPP’s to the drug release for both in 
vivo and in vitro.
• PK group to design biostudies and collect clinical data. Establish the 
target profile for studied product. Collect in vivo data for those 
“unordinary samples” for information.
• Analytical to select the most appropriate dissolution testing 
conditions to match the “target dissolution file”. Compare the 
dissolution profiles of those “unordinary samples”, and set up the 
relevant specification.
• The teams working together to consolidate all the findings and 
define the “control space” for manufacturing process (control 
strategy) to assure the quality of the product. 
Summary 
Developing Clinically Relevant Dissolution Specifications| Eastern Analytical Symposium & Exposition| Date  18 Nov, 2015 | Copyright © 2015 AbbVie 21
Thanks to the following providers for the pictures used in this 
presentation:
• David Tan, AbbVie Singapore – Slide 14
• www.drug‐dissolution‐testing.com ‐ Slide 14 
• Electrolab India P. Ltd. – Slide 19
• Wikimedia Commons, the free media repository – Slides 14 & 19
Acknowledge
EAS 2015 Disso Presentation_JHH_final

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