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Polymer 45 (2004) 4403–4412

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Irreversible structural changes during PET recycling by extrusion


R. Assadi, X. Colin*, J. Verdu
LTVP, Ecole Nationale Supérieure d’Arts et Métiers (ENSAM), 151 Bd de l’Hôpital, 75013 Paris, France
Received 30 July 2003; received in revised form 30 March 2004; accepted 1 April 2004

Abstract
Steric exclusion chromatography (SEC) and rheometry were used to study irreversible structural changes occurring during poly(ethylene
terephthalate) (PET) extrusion. It appeared that polymer gelation could occur after three successive extrusions, showing the existence of a
crosslinking process. This latter occurs only in the presence of oxygen at low oxygen pressures (typically PO2 , 9 £ 103 Pa) as a result of
coupling of alkyl radicals generated by the oxidation chain process. A kinetic model based on this assumption but taking also into account
chemical reactions occurring in nitrogen, generates kinetic curves of melt (Newtonian) viscosity changes in good agreement with
experimental ones.
q 2004 Elsevier Ltd. All rights reserved.
Keywords: Poly(ethylene terephthalate); Recycling; Crosslinking

1. Introduction theoretically given by:

1 1
Poly(ethylene terephthalate) (PET) recycling represents Mne ¼ ø   ð1Þ
b þ b0 kH ew 1=2
one of the most successful and widespread examples of b0 þ
polymer recycling [1]. Practitioners know that, above the kR
melting point ðTm ¼ 255 8CÞ; chemical processes are
where e ¼ 10:4 mol kg21 is the ester concentration.
susceptible to modify the polymer structure in the timescale
Mne decreases rapidly with the water concentration,
of a processing operation. Hydrolysis and acid-alcohol
which explains the need for a careful polymer drying prior
condensation are, no doubt, the most important processes to processing. There is presumably a limit below which the
[2]: solid polymer will loose most of its toughness [3] and the

Let us consider, to simplify, that the acidic and molten polymer would loose its viscoelastic character,
alcoholic chain ends are in equal concentration: b; the making impossible the blowing operation [4]. The corre-
chain ends other than acids and alcohols are in sponding molar mass value Mnc is expected to be closely
concentration: 2b0 ; the water concentration in the related to the entanglement threshold (Mc ¼ 6 kg mol21)
polymer is w: Then the equilibrium molar mass Mne is [5]. But indeed, a hydrolytically degraded polymer can be
regenerated by heating in dry state. The maximum possible
molar mass would be then: Mn0 ¼ 1=b0 : Finally, all the
molar mass changes linked to the hydrolysis– polyconden-
* Corresponding author. sation equilibrium can be considered reversible provided that
E-mail address: xavier.colin@paris.ensam.fr (X. Colin). the water concentration w is controlled. Transesterification
0032-3861/$ - see front matter q 2004 Elsevier Ltd. All rights reserved.
doi:10.1016/j.polymer.2004.04.029
4404 R. Assadi et al. / Polymer 45 (2004) 4403–4412

is also expected to occur in molten state [6] but, as for


hydrolysis – polycondensation, it does not modify the
polymer structure at the molecular (monomer unit) scale
and it is characterized by an equilibrium molar weight
distribution (MWD).
Thus, neither transesterification nor hydrolysis –poly-
condensation equilibrium can be considered as unavoidable
sources of problems, at long term, in PET recycling. In other
words, in the case where there would be no other chemical
process than the above ones, it would be impossible to
differentiate, after recycling operations (each one consisting
to mix recycled and virgin polymer), between ‘new’ and
‘old’ macromolecules.
Other chemical process can be however envisaged, for
instance thermal degradation resulting from an ester
rearrangement [7]: Fig. 1. Temperature profiles for each processing operation. TC and Tm are
the respective crystallisation and melting point temperatures of PET.

This process, eventually accompanied by the acid The screw speed was set at 40 rpm and the residence time
decarboxylation, would lead to an increase of b0 in Eq. was approximately 1.30 min. Successive extrusions were
(1). Indeed, if b0 becomes higher than a critical value bc of realized under the conditions shown in Fig. 1.
the order of the reciprocal of Mc (entanglement threshold),
regenerating polycondensation treatments become unable to
restore sufficiently high molar mass values, so that recycling 2.3. Molecular weight measurements
is no longer possible. In such cases, ‘old’ macromolecules
differ from ‘new’ macromolecules by their chain ends.
Molecular weight was determined by the following
The aim of this paper is to investigate on the irreversible
methods:
processes occurring in PET during extrusion.

(i) Steric exclusion chromatography (SEC): the molecular


2. Experimental weight distribution was determined by SEC using a
Waters Alliance apparatus equipped with four columns
2.1. Materials (PL Gel) (5 £ 104, 105 Å) with a multiple detection
(refractometer, UV absorption (l ¼ 270 nm) and
A post-consumer adhesive-free and PVC-free PET was viscosity). The coupling of refractometry with visco-
obtained by milling the different French bottle trademarks. symmetry allows the detection of chain branching in
It is supplied from the regeneration center of SOREPLA. polymers. The universal calibration curve was used to
Scraps of post-consumer PET are characterized by an determine molar masses. The eluant system was a
average crystallinity of 33%, a density of 1.41, and a weight dichloromethane/hexafluoroisopropanol (95:5) mix-
average molar mass of 55 kg mol21. ture at 30 8C.
(ii) Rheological tests: the dynamic flow properties of the
2.2. Extrusion molten materials were measured with a rheometer
Rheometrics ARES, using a parallel plate geometry
Extrusion was performed with a single screw extruder. (plate diameter: 50 mm, gap: 1 mm). Frequency sweep
Post-consumer PET was dried in an oven to reduce the tests (v ¼ 1 – 500 rad s21) were made at 280 8C with a
moisture content to less than 20 ppm [8]. For obtaining 3% strain amplitude.
dried samples, PET was kept at 120 8C during 2 h and at (iii) Infrared measurements: IR measurements were made
140 8C during 4 h. using an IFS 28 Brucker Infrared spectrometer. The
During the first cycle, the temperature profile of extruder whole results were reported elsewhere [9]. No
ranged from 240 8C (at the feeder) to 280 8C (at the die). significant changes were observed after extrusion.
R. Assadi et al. / Polymer 45 (2004) 4403–4412 4405

3. Results

The post-consumer PET was reprocessed successively


three times. SEC and rheometric measurements were
performed after each processing operation. It was imposs-
ible to perform a fourth extrusion owing to the very high
increase of polymer viscosity, presumably due to branching
and eventually crosslinking. Rheometric experiments
showed that PET behaviour is Newtonian in the low
frequency range, typically for v # 20 rad s21.
Using the classical power law:

h < KMw3:4 ð2Þ

with Kð280 8CÞ ¼ 3:4 £ 1024 Pa s ðmol kg21 Þ3:4 ; the weight Fig. 3. Intrinsic viscosity (IV)-weight average molar mass relationship for
average molar masses were calculated and compared to SEC virgin (S) and recycled (K) PET.
ones (see Fig. 2).
SEC and viscosymmetric values of Mw are identical for PET undergoes simultaneously chain scission and cross-
non-processed samples and tend globally to decrease with linking during its extrusion (in the chosen conditions). The
the number of extrusion cycles but there are significant effects of crosslinking become more and more predominant
differences between both curves of Fig. 2: the viscosym- as the number of processing cycles increases. During the
metric curve displays a sigmoı̈dal shape whereas the SEC fourth cycle, the number of branching sites nb approaches
curve displays a minimum at the second extrusion cycle. presumably the gel point (schematically
Such a difference can result from drastic polydispersity nb < ð1=Mw Þ < 18 £ 1023 mol kg21 ), which explains the
changes or from the occurrence of branching, this latter dramatic viscosity increase.
hypothesis being confirmed by the gelation observed at the Since an extrusion machine is far from an isothermal and
fourth cycle. The build-up of branches on PET macromol- homogeneous reactor, it seemed interesting to study the
ecules seems to be confirmed by viscosymmetry in solution. polymer behaviour in sharply controlled conditions. The
The intrinsic viscosity IV was plotted against Mw ; as well rheometer cavity appears to be convenient for such studies:
for recycled samples as for virgin linear PET samples (Fig. the temperature field is homogeneous and precisely
3). For these latter the Mark –Houwink law was obeyed regulated, the atmosphere can be controlled and shear
[10]: amplitudes can be sufficiently low to insure the absence of
mechanochemical degradation. At the same time, the
IV ¼ KMH Mwb with b ¼ 0:76 ð3Þ apparatus gives direct information on molecular weight
changes with a relatively high sensitivity.
The points representing recycled samples are clearly In a first approach, experiments were made in nitrogen
below the straight line characteristic of virgin samples and atmosphere since, globally, extrusion can be considered as
their distance to this straight line increases with the number an almost anaerobic process. The viscosity variations during
of extrusion cycles. This effect of processing on the exposure at 280 8C in nitrogen are shown in Fig. 4. The
viscosymmetric behaviour can be reasonably explained by polymer viscosity increases during the first hour of exposure
branching. Thus, the results of Figs. 2 and 3 indicate that and then decreases very slowly. It appears that:

(i) There is no catastrophic crosslinking in nitrogen,


viscosity changes in the timescale of extrusion are
negligible.
(ii) Since there is no reason to suppose that a branching
process would stop after a finite time, it is reasonable to
conclude that there is no branching reaction, the initial
viscosity increase being due to the sample polycon-
densation. Polycondensation in processing conditions
or, even in solid state [11] is a well known way to
increase the molecular weight of recycled PET.
(iii) The slow viscosity decrease at long term can be
explained by a thermal degradation process involving a
random chain scission.
Fig. 2. Variation of the weight average molar mass, Mw ; determined by SEC
and rheometry, as a function of the number N of regeneration cycles. It can be concluded that experiments in neutral
4406 R. Assadi et al. / Polymer 45 (2004) 4403–4412

Fig. 4. Evolution of the melt Newtonian viscosity at 280 8C in nitrogen for a three times reprocessed post-consumer PET.

atmosphere cannot simulate the observed behaviour during almost linearly to reach a value about 3.5 times lower than
recycling. Since, in this latter case, PET is locally and the initial value after about 3 h. No doubt, in air, chain
temporary in contact with air, at both extremities of the scission predominates largely over crosslinking. Here also,
extrusion machine, it seemed interesting to perform there is no way to envisage a simulation of the catastrophic
rheometric experiments in air (all the other rheological crosslinking process occurring during recycling.
parameters being the same as in the preceding experiment). As it will be seen below, there are theoretical arguments
The results are shown in Fig. 5. The viscosity decreases favouring the hypothesis of a crosslinking process induced
pseudo exponentially in the first hour of exposure and then by oxidation, but at low oxygen pressures. It was tried to

Fig. 5. Evolution of the melt Newtonian viscosity at 280 8C in various oxygen partial pressures for a three times reprocessed post-consumer PET.
R. Assadi et al. / Polymer 45 (2004) 4403–4412 4407

Fig. 6. Evolution of the melt Newtonian viscosity at 280 8C in nitrogen but with oxygen admissions during a short interruption for a three times reprocessed
post-consumer PET.

check this hypothesis by two distinct ways: 4. Discussion

(i) Making sequential, non-stationary experiments in Our strategy of investigation can be summarised as
which the material is exposed in nitrogen but with follows:
oxygen admission during a short interruption. If
crosslinking is not reversible, one should be able to
(1) PET undergoes significant changes of its rheological
observe its consequences on the rheological behaviour.
behaviour after several extrusions.
The results are shown in Fig. 6. Each oxygen admission
(2) The global trends of these changes (chain scission or
is effectively followed by a viscosity increase. This
crosslink) depend sharply of the presence or not of
increase is stopped presumably when oxygen is totally
oxygen, which is a well known characteristic of radical
consumed so that viscosity reaches an asymptotic value
chain oxidation processes.
higher for a given step than for the preceding one. This
(3) In the conversion range of interest ( p 1%), the
behaviour can be explained by the occurrence of an
available methods for the characterization of the
‘oxidative crosslinking’ process predominating over
structure at the molecular scale (formed or destroyed
the oxidative chain scission at low oxygen pressures.
groups) were not enough sensitive.
(ii) Making experiments at various oxygen partial press-
ures. The viscosity changes at 280 8C in oxygen – (4) Tools for the characterization of the structure at the
nitrogen mixtures, the whole pressure being the macromolecular scale (SEC, rheometry) are in contrast
atmospheric pressure (105 Pa), are presented in Fig. pertinent.
5. For the partial oxygen pressure of 9 £ 103 Pa, the (5) The link between macromolecular and molecular scale
viscosity remains approximately constant, which structural changes will be hypothesized, starting from
indicates that crosslinking effects equilibrate chain two basic assumptions of the ‘standard’ theory of
scission ones. According to the theory [12], this would radical chain oxidation mechanisms and kinetics:
correspond to: (i) The main reactive sites are methylenes which are
considerably more reactive than aromatics CH
dx ds groups [13,14].
¼4 ð4Þ (ii) Oxidation is initiated by POOH decomposition
dt dt
and propagated by P8 and PO28 radicals resulting
where x and s are the respective numbers of crosslinks of methylene attack.
and chain scissions. (6) A kinetic model will be built on the basis of these
For a lower partial oxygen pressure (6 £ 102 Pa), assumptions. It will be considered reasonably
crosslinking predominates clearly, the viscosity increases validated if it is able to predict the observed trends
continuously after a short initial period of decrease. with physically reasonable values for the rate
4408 R. Assadi et al. / Polymer 45 (2004) 4403–4412

constants. Rigorously speaking, it will be defini- [12]:


tively validated only when structural analyses at the !
molecular scale (high sensitivity NMR?) will allow 1 1 s
ra 2 ¼ 2 2x ð6Þ
to identify the oxidation products. Mw Mw0 2

Radical chain oxidation propagates essentially by where ra is the density of the amorphous phase in kg l21 if
hydrogen abstraction. As previously quoted, this latter is the molar mass Mw is in kg mol21.
considerably easier on CH methylenic bonds than on Using the system of differential equations derived from
aromatic CH ones, owing to the higher dissociation energy the kinetic study of the set of reactions (I)– (VI), and the
of these latter. In saturated polymers, there are, in principle, Eqs. (2), (5) and (6), it is in principle possible to model the
only two types of oxidation induced crosslinks: peroxides viscosity changes due to oxidation. This model must lead to
(POOP) or carbon– carbon links (P – P). The former type of monotonic variations of the viscosity, for instance a
bridges is highly unstable at 280 8C so that crosslinks are continuous increase at low oxygen pressures. Experimental
expected to be essentially of the second type resulting from results reveal, however, a non-monotonic variation of h: h
the coupling of alkyl radicals: first decreases slightly and then increases (see Fig. 5). There
is no way to explain the initial decrease with the above
model.
Furthermore, experiments in neutral atmosphere confirm
the existence of this slight viscosity decrease in the early
period of exposure, but also the existence of a limited
viscosity increase attributed to polycondensation and a final
decrease presumably due to a slow thermolytic random
The absence of crosslinking in neutral atmosphere chain scission. All these non-radical processes have to be
suggests that there is no significant radical production in taken into account in the model. The first one, responsible
these conditions. Thus, radicals come essentially from for the initial viscosity decrease would merit a detailed
oxidation, which means that the main initiation process is investigation, but in the absence of analytical data, it has
the hydroperoxide decomposition. In other words, the been decided to attribute it to a random chain scission linked
oxidation process generates its own initiator: POOH. The to the presence of structural irregularities (Irr), for instance
global trends of this system could be then explained by a diethylene glycol moieties, of which the thermal instability
mechanistic scheme of the ‘closed-loop’ type: has been demonstrated [15]. Three reactions are thus to be
Initiation lPOOH ! aP8 þ bPO2 8 þ g1 s ðk1 Þ ðIÞ added to the previous mechanistic scheme:
A thermal degradation from structural irregularities:
Propagation P8 þ O2 ! PO2 8 ðk2 Þ ðIIÞ
Thermal degradation Irr ! s ðk7 Þ ðVIIÞ
Propagation PO2 8 þ PH ! POOH þ P8 ðk3 Þ ðIIIÞ
A polycondensation –hydrolysis process:
Termination P8 þ P8 ! inactive products þ g4 x ðk4 Þ Polycondensation acid þ alcohol ! Ester 2 s ðk8 Þ
ðIVÞ ðVIIIÞ
Termination P8 þ PO2 8 ! inactive products ðk5 Þ ðVÞ And a thermal degradation (presumably according to the
mechanism seen in Section 1):
Termination PO2 8 þ PO2 8 ! inactive products þ O2 ðk6 Þ
ðVIÞ Thermal degradation PH ! inactive products þ s ðk9 Þ
ðIXÞ
where PH is the methylenic group; s is a chain scission
resulting from POOH decomposition (I) with a yield g1 ; and Thus, the rates of structural changes are given by:
x is a crosslink resulting from termination (IV) with a yield
ds
g4 : ¼ g1 k1 ½POOH þ k7 ½Irr 2 k8 ½Acid½Alcohol þ k9 ½PH0
dt
At high temperature (typically above 200 8C), the
 
hydroperoxide decomposition is expected to be unimole- r 2
cular so that l ¼ 1; a ¼ 2 and b ¼ 0: ¼ g1 k1 ½POOH þ k7 ½Irr 2 k8 a þk9 ½PH0
Mn
The rates of structural changes are given by:
ds dx and
¼ g1 k1 ½POOH and ¼ g4 k4 ½P82 ð5Þ
dt dt dx
¼ g4 k4 ½P82 ð5bisÞ
The melt (Newtonian) viscosity is expected to vary with dt
the weight average molar mass Mw according to Eq. (2) for An example of application is given in the case of a post-
PET. The Mw changes are given by the Saito’s equation consumer PET reprocessed three times ðN ¼ 3Þ using the
R. Assadi et al. / Polymer 45 (2004) 4403–4412 4409

Table 1
Parameter values for kinetic modelling at 280 8C

Initial conditions for N ¼ 3 [POOH]0 (mol l21) 1024 a

[PH]0 (mol l21) 14 b

[Irr]0 (mol l21) (1.5– 2.1) £ 1023 a

Mn0 (kg mol21) 21.2 c

Mw0 (kg mol21) 45 c


c
Volume fraction of crystalline phase xC (%) 33%
Density of amorphous phase ra (kg l21) 1.33 b

Transport properties of O2 Smelt (mol l21 Pa21) 4.6 £ 1025 b

Rate constants k1 (s21) 1.6 b

k2 (l mol21 s21) 5 £ 108 b

k3 (l mol21 s21) 1.8 £ 103 b

k4 (l mol21 s21) 8.1 £ 1012 a

k5 (l mol21 s21) 2.8 £ 109 a

k6 (l mol21 s21) 2.2 £ 109 b

k7 (s21) (0.9– 1.7) £ 1023 a

k8 (l mol21 s21) 9.3 £ 1023 a

k9 (s21) 2.7 £ 1028 a


a
Yields of macromolecular changes g1 80%
a
g4 20%
Bueche’s constant K (Pa s (mol kg21)3.4) 3.4 £ 1024 b

a
Parameters determined using the model as an inverse method.
b
Parameters determined from a literature survey.
c
Parameters determined experimentally.

parameter values of Table 1 (at 280 8C). The initial


s¼x¼0
conditions were:
Mn ¼ Mn0
½P8 ¼ ½PO2 8 ¼ 0
and
½POOH ¼ ½POOH0
Mw ¼ Mw0
½PH ¼ ½PH0
Examples of simulation runs corresponding to neutral
½Irr ¼ ½Irr0 atmosphere and oxygen partial pressures of 9 £ 103 and

Fig. 7. Simulation of the melt Newtonian viscosity changes at 280 8C in nitrogen for a three times reprocessed post-consumer PET. Comparison to
experimental data.
4410 R. Assadi et al. / Polymer 45 (2004) 4403–4412

Fig. 8. Simulation of the melt Newtonian viscosity changes at 280 8C for two oxygen partial pressures for a three times reprocessed post-consumer PET.
Comparison to experimental data.

6 £ 102 Pa were superposed to experimental curves in Figs. Assuming that oxidation is homogeneous within the
7 and 8. The agreement between model and experimental whole sample during the rheometer experiment, the oxygen
data is satisfactory. concentration at any time, in any place, is given by:
The parameter values of Table 1 call for several
comments:
(i) The substrate concentration was determined from the ½O2  ¼ Smelt PO2
theoretical PET structure:
½PH0 ¼ m2 where m, mass molar of the monomer ¼ 192 where PO2 is the oxygen partial pressure.
g mol21 (iii) In a first approach, the values of k1 ; k2 ; k3 and k6 ;
e.g. [PH]0 ¼ 10.4 mol kg21 were considered equal to those of polyethylene [17] or
e.g. [PH]0 < 14 mol l21 if the density of amorphous phase model compounds having non-conjugated methylenic units
is ra ¼ 1:33 [5]. [18]. At the opposite, the values of k4 and k5 were adjusted
from experimental viscosity curves, using the model
Since the PET samples were dried prior to testing, the
through an inverse method. The following trends can be
water concentration was neglected during all the exposure
observed:
[H2O] ¼ 0.
The initial content of irregular structures (about 1 per
4000 monomer units, e.g. about 1 per 17 chains) seems to be k4 q k5 < k6 ð7Þ
reasonable.
(ii) The oxygen solubility, Smelt ; in the melt PET (at
280 8C) was predicted from the oxygen solubility, Srubber ; in as logically expected at high temperature (at 280 8C) where
semi-crystalline PET above its glass transition temperature the ‘primary’ products of coupling reactions such as
[16] knowing its crystallinity ratio, xC ; but neglecting the peroxides (PO-OP) cannot survive:
temperature effect on the solubility:

Smelt ¼ Srubber ð1 2 xC Þ

with Srubber ¼ 3:1 £ 1028 mol l21 Pa21 [16] and xC ¼ 33%:
R. Assadi et al. / Polymer 45 (2004) 4403–4412 4411

(iv) The stoichiometric ratio values giving the better fit of What lacks now, to confirm the validity of this model, is
experimental results are: an evidence of the formation of oxidation products of
methylene groups, obtained from analytical investigations
g4 ¼ 0:2 for crosslinking (the competitive reaction is on the molecular scale structure (IR, NMR). This is, no
presumably disproportionation): doubt, a challenge, owing to the very low conversion range

g1 ¼ 0:8 for chain scission (the competitive reaction is under consideration. For instance, gelation occurs at a
presumably hydrogen abstraction): crosslink density of the order of 18 £ 1023 mol kg21, i.e.
involving only 0.35% of the initially present methylene

The effect of oxygen pressure on average molecular weight groups. Carbon – carbon bonds are practically undetectable
changes is well illustrated by Fig. 9 in which the changes of by IR and probably accessible only by sophisticated NMR
average molecular weight with exposure time have been methods.
plotted for many values of the oxygen partial pressure. For a
best visualisation of this effect, one can plot the molecular
weight, at a given time of exposure, versus oxygen partial 5. Conclusions
pressure. Then, it appears clearly that there is a catastrophic
crosslinking up to polymer gelation ðMw ! 1Þ for a relatively During its recycling by extrusion, PET can undergo
low oxygen partial pressure of typically 6 £ 103 Pa. reversible structural changes resulting of hydrolysis –

Fig. 9. Weight average molar mass changes for various oxygen partial pressures.
4412 R. Assadi et al. / Polymer 45 (2004) 4403–4412

polycondensation or from transesterification process. But by antioxidants working at high temperature, such as
irreversible degradation processes can also take place. phosphites, must improve significantly the long term
According to our experimental results two distinct processes stability of PET in the processing conditions.
can be observed in absence of oxygen: the random
degradation presumably linked to a rearrangement of the
ester group into acid and vinyl groups and a chain scission
Acknowledgements
occurring at randomly distributed unstable structural
irregularities (for instance of the diethylene glycol type).
Both processes have very limited consequences in practice: The Agence de l’Environnement et de la Maitrise de
the first one, because it is the result of a very slow reaction in l’Energie (ADEME) and the company ECO-EMBAL-
processing conditions, the second one, because the pre- LAGES are gratefully acknowledged for their financial
cursor concentration is very low (typically 1 per 4000 support.
monomer units).
In the presence of oxygen, however, radicals are formed
and, at low oxygen concentrations, these latter can lead to References
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