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Polymer Testing 21 (2002) 665–674

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Material Properties
Correlation between degree of crystallinity, morphology,
glass temperature, mechanical properties and biodegradation
of poly (3-hydroxyalkanoate) PHAs and their blends
A. El-Hadi a, b,*, R. Schnabel a, E. Straube b, G. Müller c, S. Henning d
a
Department of Engineering Science, Institute of Process Engineering, Martin-Luther University of Halle-Wittenberg, Rheologie
Geusaer Strasse, 06217 Merseburg, Germany
b
Department of Physics, Martin-Luther University of Halle-Wittenberg, Halle-Wittenberg, Germany
c
Institute of Macromolecular Chemistry, Martin-Luther University of Halle-Wittenberg, Halle-Wittenberg, Germany
d
Institute of Polymeric Materials, Martin-Luther University of Halle-Wittenberg, Halle-Wittenberg, Germany

Received 18 January 2001; accepted 27 November 2001

Abstract

Bacterial thermoplastic polyesters poly (3-hydroxyalkanoate) PHAs are produced by the fermentation of renewable
materials, such as sugars or molasses. The pure homopolymer, PHB, and pure copolymer (3-HBP-CO-HV) (88:12) are
brittle materials. PHB or PHB/V are mixed with other biodegradable materials to improve their mechanical properties.
The aim is to develop biodegradable polymers of PHB-base with improved mechanical properties, such as fracture
stress (27–18 MPa), strain (400–660%), impact strength and long-term stability, and to compare them with PE, PP and
PET. When nucleating agents are added, smaller spherulites are formed, thus improving the mechanical properties. The
mechanical properties of PHB and its blends are related to processing conditions, morphology, crystallinity and glass
transition. The blends are ductile polymers with plastic deformation (necking). They are biodegraded in aerobic tests,
under compost conditions in soil and water, and many pores are to be found on the surface. The blends are degraded
more easily in the aerobic test, i.e. in the river water and compost, than in the soil.  2002 Elsevier Science Ltd. All
rights reserved.

Keywords: PHB; PHB/PHV; Their blends; Morphology; Stress–strain curves; Biodegradation

1. Introduction poor mechanical properties [4–10]. It exhibits good bar-


rier properties like PVC and PET [11], and can be used
Poly-3-hydroxyalkanoate is linear polyester, produced in the packaging industry [12] as a biodegradable plastic
by many strains of bacteria in fermentation [1–3]. Its for solving environmental pollution problems.
chemical structure is: ⫺[O⫺CH(R)⫺CH2⫺(C ⫽ O)]n⫺, There are many references to attempts to mix PHB
with R=CH3 for PHB and R=C2H5 for PHV. PHB was with other polymers with the aim of improving its mech-
discovered in 1925 in the Lemoigne laboratory [3]. The anical properties — unfortunately with only limited suc-
polymer is stored in cells of bacteria of up to 80% of its cess so far [13]. With most polymers chemical incom-
dry mass and is a partially crystalline material [2]. PHB patibility does not permit a good mixture. PHB is
is the only polymer from the group of PHAs to be pro- miscible with poly (ethylene oxide) [14], poly
duced in large quantities. Unfortunately, this polymer has (vinylidene fluoride) [15], poly (vinyl acetate) [16,17],
poly (epichlorohydrin) [18], poly (methyl methacrylate)
[19,20] and poly (cyclohexyl methacrylate) [19]. PHB is
* Corresponding author. Fax: +49-3461-463-881. partially miscible with ethylene–propylene rubber [16],
E-mail address: el-hadi@physik.uni-halle.de (A. El-Hadi). ethylene–vinyl acetate copolymer [21], poly (vinyl

0142-9418/02/$ - see front matter  2002 Elsevier Science Ltd. All rights reserved.
PII: S 0 1 4 2 - 9 4 1 8 ( 0 1 ) 0 0 1 4 2 - 8
666 A. El-Hadi et al. / Polymer Testing 21 (2002) 665–674

phenol) [22,23], poly (vinyl alcohol) [24,25], poly (L- CAR from Brazil, and was produced by the fermentation
lactid) [26,27], synthetic poly (3-hydroxybutyrate) PHB of molasses using Alcaligens euthrophus.
[28,29], poly (3-hydroxybutyrate) co poly (3- PHB in the form of a white powder has a molecular
hydroxyvalerate) [30] and poly (caprolactone) [31,32]. weight of 230 kg/mol. It has a melting point of about
PHB or PHB/V are brittle materials and are not suitable 175°C, and is 60% crystalline. It was supplied by
for technical applications, e.g. as films for deep drawing BIOMER (Dr Haenggi), Krailling, Germany, and was
articles or injection molding in food industries. produced by the fermentation of sugar also using Alcali-
There are many reasons for the brittleness of PHB and gens euthrophus.
PHB/V. (i) The secondary crystallization of the amorph- A copolymer of PHB (88%)/PHV (12%) was supplied
ous phase at ambient temperature takes place during stor- by COPERSUCAR from Brazil. It was produced by the
age at room temperature [33]; (ii) the glass temperature fermentation of molasses using Alcaligens euthrophus. It
of PHB being close to room temperature; (iii) PHB has is a brown powder with a molar mass of Mw 240 kg/mol,
a low nucleation density, therefore large spherulites exhi- a melting point of about 165°C and is 45% crystalline.
bit inter-spherulitic cracks.
Many authors [5,12,34] have examined secondary 2.2. Blend preparation
crystallization, which appears during storage time at
room temperature. By addition of a nucleating agent, the PHB in powder form was blended with additives by
number of small spherulites increases. On addition of mixing it in a Brabender (kneader) at 170°C–180°C and
plasticizers, the molecular motion is enhanced, and the 50 rpm for 5 min or in a single screw extruder at a tem-
glass transition is lowered [34]. During processing, the perature of between 145°C (zone 1), 160°C (zone 2) and
degradation of the chains may be reduced by the addition 170°C (zone 3) with a 4 mm die and screw speed of 20
of a lubricant, because PHB is sensitive to high pro- rpm. The strand (thread) was cooled in water and cut
cessing temperatures. This leads to a decrease in the mol- with a pelletizer. The mixed material (granulates) was
ecular weight, as well as a reduction in the melt vis- compression molded in a hydraulically heated press at
cosity. The crystallization temperature shifts to lower 170°C–180°C between two Teflon sheets and plates or
values, and crystallization takes longer. To achieve high plaques of varying radii for 3 min without any pressure
elongation at break and a high degree of flexibility, the and for 2 min with pressure (50 bar). After melting, the
glass temperature must be lower than the testing tem- sample was cooled with water between cold metal plates.
perature. The elongation and impact strength depend on All additives are biodegradable substances. Plasticizers,
the glass temperature as well as the morphology. An glycerol, tributyrin, triacetin, acetyltriethylcitrate, acetyl-
additive is mixed with the PHB matrix. Therefore, the tributylcitrate and nucleation agent, saccharin, were
blends have a lower glass temperature (from ⫺38°C to used. Lubricants were glycerolmonostearate, glyceroltri-
⫺12°C) than pure PHB (5°C), which could be observed stearate, 12-hydroxystearate and 12-hydroxystearic acid.
from measurements using DSC, DMA (⫺35°C The weight ratios of PHB to additives are listed in
to⫺12°C), and DES. The new blends are easy to process Table 1.
[35], and have a high impact resistance.
The aim of this work is to develop a biodegradable 2.3. Methods
polymer with a PHB base. The mechanical properties
correlate with the crystallization conditions, i.e., after 2.3.1. Tensile testing
quenching from the melt, small-grain spherulites are for- Tensile strength measurements, Young’s modulus and
med, but when cooled slowly spherulites with large elongation at break were determined with a mechanical
cracks are formed. The influence of the morphology and tensile tester (Zwick model 020) under a crossed-head
glass temperature on mechanical properties (elongation, speed 50 mm min⫺1 at room temperature and at 60°C.
stress, impact strength) was investigated and the influ- Five samples for each blend composition were tested
ence of aging on the mechanical properties was studied with different storage times at ambient temperature. The
in pure PHB, PHBV and their blends, after 1, 7, 30, 60, correlation between strain (s in Pa) and elongation (e in
90 and 120 days aging time, respectively. %) was determined.
s=E⑀, E=E-modules in MPa, e=(L0⫺L)/L, L0=origin
length, L=length after the elongation.
2. Experimental
2.3.2. Impact resistance
2.1. Materials The impact strength was determined for PHB and its
blends by using a Charpy test with a 4 J pendulum (ISO
PHB in the form of a brown powder has a molar mass 179) at room temperature. The test pieces were in the
Mw of 220 kg/mol. It has a melting point of about 173°C form of small injection molded bars with dimensions
and is 55% crystalline. It was supplied by COPERSU- length=80 mm, width=10 mm and thickness=4 mm (V-
A. El-Hadi et al. / Polymer Testing 21 (2002) 665–674 667

Table 1
The blend preparations

Basic polymer Plasticizer Lubricant Nucleation Other polymer

1 PHB (82% wt) 11.5% wt Acetyltriethylcitrate 2% wt glycerolmonostearate 0.5% wt saccharin 4% wt PVAc


2 PHB (80% wt) 9.5%wt glycerol 2% wt glyceroltristearate 0.5% wt saccharin 8% wt PVAc
3 PHB (78% wt) 7.5% wt triacetin 2% wt 12-hydroxystearic acid 0.5% wt saccharin 12% wt PVAc
4 PHB (76% wt) 5.5% wt tributyrin 2% wt 12-hydroxystearate 0.5% wt saccharin 16% wt PVAc
5 PHB (74% wt) 3.5% wt tributyrin 2% wt 12-hydroxystearate 0.5% wt saccharin 20% wt PVAc
6 PHB/V (74% wt) 3.5% tributyrin 2% wt 12-hydroxystearate 0.5% wt saccharin 20% wt PVAc

notch with a notch radius of 0.25 mm and an angle of blends. The influence of the morphology and glass tem-
45°). Five samples unnotched and five samples with perature on the mechanical properties of blends is dis-
notches were tested after 120 days preparation (storage cussed.
at room temperature). It is known that PHB is brittle and forms cracks [6,36],
therefore it cannot create necking, and cannot flow. By
2.3.3. Differential scanning calorimetry (DSC) adding nucleation agents, the number of large spherulites
The glass transition and melting temperatures were is reduced, and the crystallization rate is increased [8].
recorded by using a Mettler Toledo DSC 820a Calor- Nucleation agents are small crystalline particles. They
imeter. In the DSC, the samples were heated at a heating are dispersed in the crystallizing melt and remain solid
rate of 10°C min⫺1 and cooled at 20°C min⫺1 in N2 at crystallization temperature, so a large number of small
atmosphere. The melting temperature and the enthalpy crystals are formed around them. Big spherulitic
of fusion were calculated from the maximum and the material, with the same percentage of crystallinity, is
area of the endothermic peak. The crystallinity was cal- more brittle than a fine spherulite. The size and number
culated by of the crystalline structures influence the impact strength.
Nucleation agents and crystallization conditions can
⌬H∗blends
Xc(PHB) ⫽ ⌬H∗PHB / ⌬H0PHB, Xc(blends) ⫽ , influence the size of the spherulites. The maximum strain
⌬H0PHB decreases with an increase in the average size of the
⌬H0 (PHB) is the enthalpy of melting per gram of 100% spherulites. We measured the spherulite size by using
crystalline 164 J/g [6] and ⌬H∗PHB, ⌬H∗blend the measured POM before deformation occurred.
enthalpy of melting for PHB and blends. The mechanical properties depend on the crystalliz-
ation procedure (quenching or slow cooling down). Dur-
2.3.4. Scanning electron microscopy (SEM) ing fast cooling, the degree of crystallinity is lower, and
A JEOL 6300 Scanning electron microscopy was used smaller crystallites are formed. During slow cooling
to investigate the morphology, fractured surfaces and from the melt large spherulites are formed. Two types
biodegradation of the blends. The specimens were of break were found in pure PHB spherulites; circular
sputter coated with gold. breaks around the center and splitting [6,8,37]. PHB
forms individual large spherulites [38], which depend on
2.3.5. Polarization optic microscopy (POM) lower nucleation density but the blends have numerous
The morphology of PHB and its blends were observed small, fine spherulites [8,34]. Figure 1(a) and (b) shows
on thin films using an optical microscope (Jenapol) with PHB with large spherulites with cracks, and splitting
automatic hot stage (Mettler model FP 84), controlled by around the center. These large spherulites of PHB are
a Mettler FP 90 control process. The samples between responsible for the poor mechanical properties [6]. Fig-
two glass covers were heated at 195°C (2 min) with a ure 1 shows isothermal crystallization of blend 4 in the
heating rate of 2°C min⫺1 from room temperature to temperature range: 50°C–120°C. Figure 1(c)–(e) show
195°C and cooled at 10°C min⫺1 to crystallization tem- non-banded spherulites below 90°C as a fibrous texture
perature. like PP and PEO. Figure 1 (i) shows that blend 4 spheru-
lites grow banded-spherulites above 100°C as a spiral
with twisting lamellae like PE, PPO, and PVDF. Owen
3. Results and discussion et al. [39] reported that the twist banding in PHB spheru-
lites is due to elastic banding radially oriented lamellae
3.1. Morphology ribbons, where the folding directions on opposite faces
of the lamellae are orthogonal and inclined in the radial
DSC, POM and SEM were used to investigate the direction. This leads to the helical formation. Figure 1(h)
glass temperature and morphology of PHB and its shows transcrystalline growth around a cellulose fiber.
668 A. El-Hadi et al. / Polymer Testing 21 (2002) 665–674

Fig. 1. Polarising optical micrographs after isothermal crystallization for PHB at (a) 100°C, (b) 90°C and blend 4 at (c) 50°C, (d)
80°C, (e) 85°C. Scanning electron micrographs of (f) blend 4 in the form of small injection molded bars at tool temperature 80°C,
(g) blend 6 at 40°C, (h) blend 4 with cellulose fibres crystallized at 25°C, (i) blend 4 crystallises at 120°C.
A. El-Hadi et al. / Polymer Testing 21 (2002) 665–674 669

Figure 1(f) shows scanning electron micrographs of


blend 4 non-banded spherulites. Samples were prepared
in the form of small injection molded bars at tool tem-
perature 80°C.

3.2. Stress–strain behavior and impact strength

To improve the mechanical properties of products


from PHAs, their glass transition temperature must be
lower than the testing temperature. If the glass tempera-
ture is lower than the testing temperature, the mobility
of the chain segments increases and stress crazing
decreases. PHB has large E modulus (1700 MPa), yield
stress (35 MPa) and elongation (10%) (see Table 2). By
adding plasticizers, the rigidity of PHB is reduced, E-
modulus (743–250 MPa), yield stress (26–18 MPa) is
decreased, but elongation (150–660%) and the impact
strength is increased.
The stress–strain curves in Fig. 2 indicate that the pure
PHB and the pure copolymer are hard, brittle plastics,
but the blends are flexible, tough and ductile. The poly-
mer is designated as brittle, if the elongation, at break,
is ⬍20%. Figure 2(A) shows that the pure PHB/V after
1 h preparation has a high elongation (400%) [7,40], but
after 1-day preparation it has a much smaller elongation
[5,7]. The reason for this is secondary crystallization. Fig. 2. Tensile stress–strain curves for the various samples
During secondary crystallization, new, thin crystallites with strain rate 50 mm/min for (A) PHB/V after storage at room
were being formed in the amorphous region. Density, temperature as indicated. (B) Blend 4 after storage at 20°C for
times indicated.
crystallinity [5,9], stress and E-modulus increase, and
elongation at break decreases and the material becomes
hard and brittle. The maximum stress is always higher PHB/V as a function of storage time at room temperature
and the maximum elongation smaller. Figure 2(B) shows but their blends remain stable.
that the elongation increased from 10% (PHB) to We have examined the two types of PHB from mol-
⬎450% in blend 4. The initial section of the curve is asses and sugar by NMR and FT-IR; both polymers show
linear and the modulus E is determined from the slope. no chemical shifts. They are identical and have the same
As the stress is increased it reaches a maximum (yield peaks of NMR and FT-IR. The only difference is the
point), after which the sample begins to flow so that the colour [34], molasses based PHB is brown and contains
stress remains nearly constant up to high elongations. remains of molasses organic materials, and sugar based
Figure 3(A) shows the changes in elongation of PHB and PHB is white and filtered, but both polymers are brittle.

Table 2
Thermal and mechanical properties of PHB, PHB/V and their blends

Crystallinity % Glass Yield stress Elongation at Impact strength Impact strength E-modulus
temperature °C MPa break % notched without notch MPa
KJ/mm2

PHB 60 5 35 10 3 Break 1700


PHB/V 53 ⫺5 25 20 6 Break 1200
Blend 1 49 ⫺28 26 150 18 No break 743
Blend 2 46 ⫺24 24 230 20 No break 499
Blend 3 44 ⫺18 24 340 22 No break 459
Blend 4 42 ⫺16 25 450 26 No break 432
Blend 5 40 ⫺12 22 660 43 No break 250
Blend 6 36 ⫺25 18 500 25 No break 353
670 A. El-Hadi et al. / Polymer Testing 21 (2002) 665–674

Figure 4(a) and (b) show that blend 4 and blend 6 after
elongation form fibril structures parallel to the stretching
direction. Shear yielding occurs in the form of homo-
geneous and continuous plastic deformation. Figure 4(c)
shows the fracture of blend 4 after breaking in liquid
nitrogen with strongly plastically deformed material
(fibrilled), i.e., the sample is ductile at lower tempera-
tures.
Figure 5(a) and (b) show the force (F) against deflec-
tion (f) curves from the impact tests at room temperature
with velocity of 1.5 ms⫺1 for blend 5 and PHB. PHB
has a small deflection (1.5 mm) but the blend reaches
4.5 mm. PHB is very brittle and the notched impact
strength is 3 kJ/mm2. The blends are ductile, elastic and
characterized by necking with notched impact strength
between 18–43 kJ/mm2. Table 2 also shows that the crys-
tallinity and glass temperature of blends is lower than in
pure PHB.
Ohlberg et al. [41] reported on crystallization studies
in HDPE and found that the impact strength decreased
with an increase in the size of the spherulites. Hummer
et al. [42] found that completely spherulitic films of iPP
cracked, but the smaller spherulites of incomplete
spherulitic films did not. Starkweather et al. [43]
observed that the impact strength decreased with an
Fig. 3. (A) Strain (%) versus storage time from aging PHB, increase in the crystallinity. Besselt et al. [44] investi-
PHB/V and their blends. (B) Tensile tested for blend 4 (a) gated the effect of structure and morphology on the
before and after elongation of PHB-molasses, (b) before and mechanical properties of dry nylon 6 (PA6). They found
after elongation of PHB sugar basis.
that the behaviour depends on the degree of crystallinity,
and observed that the samples with higher crystallinity
(40%) were brittle, and the samples with 30% crystal-
Figure 3(B) shows tensile test pieces of blend 4 before linity were ductile. Way and co-workers [45] found that
and after elongation, (a) molasses based PHB and (b) spherulite size affects the deformation characteristics of
sugar based PHB. Blend 4 gives the same values in the iPP; PP having the largest spherulites (250 µm diameter)
tensile test with either molasses or sugar based PHB. was more brittle than materials with fine spherulites (20
However, it can be noted that the biodegradation rate in µm diameter). Ragosta and co-workers [46] investigated
an aerobic test (see Table 3) is faster for molasses based the correlation of crystallization conditions, structure,
PHB because the bacteria feed on the remains of mol- and impact strength, which decreased linearly with
asses organic materials. increasing crystalline lamellae thickness in the case of

Table 3
The aerobic test for PHB and its blends

Type of sample Average BOD end COD end value g O2/g Biodegradation % Degradation time, days
value/mg polymer

PHB based molasses 310 1.1 70 60


PHB based sugar 321 1.2 66.9 60
Blend 1 based molasses 74.4 1.15 16.9 40
Blend 1 based sugar 63.5 2 9.1 40
Blend 2 based molasses 100.2 1.3 19.3 40
Blend 3 based molasses 340.2 1.8 44.8 50
Blend 4 based molasses 460.8 1.5 76.8 60
Blend 4 based sugar 495.1 1.8 68.76 60
A. El-Hadi et al. / Polymer Testing 21 (2002) 665–674 671

Fig. 5. Dependence load (F)–deflection (f) curves recorded in


the instrument at room temperature in linear elastic unstable
velocity 1.5 ms⫺1 for (a) blend 5, (b) PHB.

water [47]. The rate of enzymatic degradation decreases


with an increase in crystallinity [51], crystal size [52,53]
and glass temperature [54]. Enzymatic degradation of
ductile materials is faster than for higher crystallinity
material [51]. Mixtures of PHB with poly (ε-
Fig. 4. Surface structure of a cold drawn film of (a) Blend 4 caprolactone) PCL are biodegradable [55] as are mix-
registered with REM; (b) Blend 6 registered with REM; (c) tures of PHB with polyethylene oxide PEO [54] and
Ductile fracture-surface of Blend 4 registered with REM. polyvinylalcohol PVA. PVAc is not water-soluble and
biodegrades slower than polyvinylalcohol [47,56–61] but
it is converted to PVA through hydrolysis.
both annealed and non-annealed samples. They observed Doi and his co-workers [55] have found that
that the crystallization temperature and lamellae thick- PHB/25% PVAc is biodegradable. Biodegradation
ness increased by increasing the crystallization tempera- depends on the microbes, pH, temperature and moisture
ture. An increase in the lamellae thickness causes a in the environment and on glass temperature [54] and
decrease in the number of inter-spherulites crystallinity [51] of the plastic. PHB blends will be
degraded in the composting process through micro-
3.3. Degradation test organisms to carbon dioxide and water. The degradation
rates in compost conditions are generally higher than in
3.3.1. Soil burial and compost condition natural conditions because of higher temperatures in
Biodegradation is promoted by enzymes and can occur compost.
under aerobic or anaerobic conditions, leading to com- The biodegradation of blend 5 was observed in com-
plete or partial disintegration. Linear polymers are gener- post. The samples were in the form of thin films about
ally more biodegradable than branched polymers. Biode- 200 µm thick, prepared by hot pressing at 170°C and
gradability of PHB [47–50] has been examined in 50-bar pressure. After composting, the sample was
various environments such as in soil, river water and sea- washed with distillated water and observed with a scan-
672 A. El-Hadi et al. / Polymer Testing 21 (2002) 665–674

ning electron microscope. Figure 6(e) and (f) shows the 3.3.2. Test in river water
surface of blend 5 film before and after degradation. The The surfaces of the water-stored specimens were
surface of the blend is strongly eroded; only a few areas almost completely covered with organic and inorganic
of original, non-degraded material was found. Pores of debris (Fig. 6(d)). The degraded surfaces, where visible,
1–5 µm are formed and the degradation results in a very seem to have undergone degradation very similar to that
rough topography creating larger surface area, which in the soil burial test. Pores were found having typical
helps microorganisms to colonize. The specimen was sizes of several microns. The overall impression is that
covered with dirt (EDX spectrum: Si, Al, Na, Mg, Cl, the degradation rate is higher than in soil burial tests.
K, Ca from soil mineral) and soil microorganisms. It Drying (SEM preparation process) causes shrinkage and
could be the aim of further investigations to identify the cracks are created. There are densely populated areas
biological items found on the surface. However, in the where bacteria formed a layer of organic material cover-
densely populated areas we found hypha of fungi, bac- ing the surface completely (Fig. 6(b)). Several non-ident-
teria and others. There is evidence that microorganisms ified microorganisms, including algae, were found.
are able to enter larger pores (10 µm, Fig. 6(a) and (c)).

Fig. 6. Scanning electron micrographs of blend 6 film, photos (a), (b) and (c) in the soil after degradation after 5 weeks, (d) water
degradation after 5 weeks, (e) Environment Scanning Electron Microscopy (ESEM) of blend 4 in the compost condition after 3
months, (f) blend 4 before degradation.
A. El-Hadi et al. / Polymer Testing 21 (2002) 665–674 673

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