Materials Science & Engineering; and Polymer Science
The Polymeric Biomaterials 2-Volume Set, Third Edition
Dumitriu
Popa
The Polymeric-Biomaterials 2-Volume Set, Third Edition
Structure and Function
This volume, Polymeric Biomaterials: Structure and Function, contains
25 authoritative chapters written by experts from around the world.
Contributors cover the following topics:
• The structure and properties of synthetic polymers including
polyesters, polyphosphazenes, and elastomers
• The structure and properties of natural polymers such as
mucoadhesives, chitin, lignin, and carbohydrate derivatives
• Blends and composites—for example, metal–polymer composites
and biodegradable polymeric/ceramic composites
• Bioresorbable hybrid membranes, drug delivery systems,
cell bioassay systems, electrospinning for regenerative medicine,
and more
Completely revised and expanded, this state-of-the-art reference
presents recent developments in polymeric biomaterials: from their
chemical, physical, and structural properties to polymer synthesis and
processing techniques and current applications in the medical and
pharmaceutical fields.
Structure and Function
Biomaterials have had a major impact on the practice of contemporary
medicine and patient care. Growing into a major interdisciplinary effort
involving chemists, biologists, engineers, and physicians, biomaterials
development has enabled the creation of high-quality devices, implants,
and drug carriers with greater biocompatibility and biofunctionality. The
fast-paced research and increasing interest in finding new and improved
biocompatible or biodegradable polymers have provided a wealth of new
information, transforming this edition of Polymeric Biomaterials into a
2-volume set.
The Polymeric Biomaterials 2-Volume Set, Third Edition
VOLUME 1
Structure and Function
VOLUME 1
Founding Editor
Severian Dumitriu
9470X
VOLUME 1
Editor
Valentin Popa
Structure and Function
VOLUME 1
Polymeric Biomaterials
Polymeric Biomaterials: Structure and Function, Volume 1
Polymeric Biomaterials: Medicinal and Pharmaceutical Applications, Volume 2
Structure and Function
VOLUME 1
Founding Editor
Severian Dumitriu
Editor
Valentin Popa
Boca Raton London New York
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Contents
Preface...............................................................................................................................................ix
Acknowledgments..............................................................................................................................xi
Editors............................................................................................................................................. xiii
Contributors...................................................................................................................................... xv
Chapter 1
Synthesis and Fabrication of Polyesters as Biomaterials..............................................1
Philippe Lecomte and Christine Jérôme
Chapter 2
Hydrogels Formed by Cross-Linked Poly(Vinyl Alcohol).......................................... 37
Gaio Paradossi
Chapter 3
Development and Evaluation of Poly(Vinyl Alcohol) Hydrogels as a
Component of Hybrid Artificial Tissues for Orthopedics Surgery Application......... 57
Masanori Kobayashi
Chapter 4
Polyphosphazenes as Biomaterials.............................................................................. 83
Meng Deng, Cato T. Laurencin, Harry R. Allcock, and Sangamesh G. Kumbar
Chapter 5
Biodegradable Polymers as Drug Carrier Systems................................................... 135
Abraham J. Domb and Wahid Khan
Chapter 6
Bioresorbable Hybrid Membranes for Bone Regeneration....................................... 177
Akiko Obata and Toshihiro Kasuga
Chapter 7
Mucoadhesive Polymers: Basics, Strategies, and Future Trends.............................. 193
Andreas Bernkop-Schnürch
Chapter 8
Biodegradable Polymeric/Ceramic Composite Scaffolds to Regenerate
Bone Tissue............................................................................................................... 221
Catherine Gkioni, Sander Leeuwenburgh, and John Jansen
Chapter 9
Amphiphilic Systems as Biomaterials Based on Chitin, Chitosan,
and Their Derivatives................................................................................................ 243
Jacques Desbrieres
Chapter 10 Biomaterials of Natural Origin in Regenerative Medicine....................................... 271
Vijay Kumar Nandagiri, Valeria Chiono, Piergiorgio Gentile,
Franco Maria Montevecchi, and Gianluca Ciardelli
v
vi
Contents
Chapter 11 Natural Polymers as Components of Blends for Biomedical Applications...............309
Alina Sionkowska
Chapter 12 Metal–Polymer Composite Biomaterials.................................................................. 343
Takao Hanawa
Chapter 13 Evolution of Current and Future Concepts of Biocompatibility Testing.................. 377
Menno L.W. Knetsch
Chapter 14 Biocompatibility of Elastomers................................................................................. 415
Dominique Chauvel-Lebret, Pascal Auroy, and Martine Bonnaure-Mallet
Chapter 15 Preparation and Applications of Modulated Surface Energy Biomaterials.............. 495
Blanca Vázquez, Luis M. Rodríguez-Lorenzo, Gema Rodríguez-Crespo,
Juan Parra, Mar Fernández, and Julio San Román
Chapter 16 Electrospinning for Regenerative Medicine.............................................................. 539
Toby D. Brown, Cedryck Vaquette, Dietmar W. Hutmacher, and Paul D. Dalton
Chapter 17 Polymeric Nanoparticles for Targeted Delivery of Bioactive Agents and Drugs..... 593
Cesare Errico, Alberto Dessy, Anna Maria Piras, and Federica Chiellini
Chapter 18 Polymeric Materials Obtained through Biocatalysis................................................ 617
Florin Dan Irimie, Csaba Paizs, and Monica Ioana Tosa
Chapter 19 Polymer-Based Colloidal Aggregates as a New Class of Drug Delivery Systems.......659
Cesare Cametti
Chapter 20 Photoresponsive Polymers for Control of Cell Bioassay Systems............................. 683
Kimio Sumaru, Shinji Sugiura, Toshiyuki Takagi, and Toshiyuki Kanamori
Chapter 21 Lignin in Biological Systems.................................................................................... 709
Valentin I. Popa
Chapter 22 Carbohydrate-Derived Self-Crosslinkable In Situ Gelable Hydrogels
for Modulation of Wound Healing............................................................................ 739
Lihui Weng, Christine Falabella, and Weiliam Chen
vii
Contents
Chapter 23 Dental and Maxillofacial Surgery Applications of Polymers................................... 783
E.C. Combe
Chapter 24 Biomaterials as Platforms for Topical Administration of Therapeutic Agents
in Cutaneous Wound Healing................................................................................... 837
Rhiannon Braund and Natalie J. Medlicott
Chapter 25 Polymers for Artificial Joints.................................................................................... 851
Masayuki Kyomoto, Toru Moro, and Kazuhiko Ishihara
Index............................................................................................................................................... 885
Preface
The field of biomaterials has developed rapidly because of the continuous and ever-expanding
practical needs of medicine and health-care practice. There are currently thousands of medical
devices, diagnostic products, and disposables on the market, and the range of applications continues to grow. In addition to traditional medical devices, diagnostic products, pharmaceutical preparations, and health-care disposables, the list of biomaterials applications includes smart delivery
systems for drugs, tissue cultures, engineered tissues, and hybrid organs.
Undoubtedly, biomaterials have had a major impact on the practice of contemporary medicine
and patient care, resulting in both saving and improving the quality of lives of humans and animals.
Modern biomaterials practice is continuing to develop into a major interdisciplinary effort involving chemists, biologists, engineers, and physicians. It also takes advantage of developments in the
traditional, nonmedical materials field, and much progress has been made since the beginning of the
research in biomaterials that made possible the creation of a high-quality and much improved variety of devices, implants (permanent or temporary), and drug carrier devices. All of these now display a greater than ever biocompatibility and biofunctionality. The variety of chemical substances
used in these materials is currently very broad, and most biomedical applications are associated
with various polymers and materials based on them.
The pace of research in the field of polymeric biomaterials is so fast that two editions of Polymeric
Biomaterials have already been edited by Severian Dumitriu. Due to the interest generated and the
success of these books, Severian was working on a third edition. Unfortunately, he passed away
before this could be finalized. Many of the scientists who accepted his invitation to cooperate for
this new edition agreed to contribute to the book in memory of the contribution that Severian made
to the field of polymeric biomaterials. Together with Daniela, his beloved daughter, and Barbara
Glunn and Jessika Vakili from Taylor & Francis Group, we decided to continue the work and finalize this book.
This book is organized in two volumes consisting of 53 chapters that systematically provide the
latest developments in different aspects of polymeric biomaterials. Thus, we can mention contributions to the field of synthesis and applications of polymers such as polyesters, poly(vinyl alcohol),
polyphosphazenes, elastomers, bioceramics, blends or composites, enzymatic synthesis, along with
natural ones such as mucoadhesives, chitin, chitosan, lignin, carbohydrates derivatives, heparin, etc.
Drugs carriers and delivery systems, gene and nucleic acids delivery represent other subjects
of some chapters, dealing with both supports (biodegradable and biocompatible) and techniques
(nanoparticles, electrospinning, photo- and pH responsive polymers, hydrogels, lipid-core micelles,
biomimetic systems, medical devices) aspects. In some cases, biomaterials can be synthesized,
modified, and processed by different methods to ensure biocompatibility and biodegradability to
be used as membranes, composites, scaffolds, and implants. Some examples of specific utilizations
of polymeric biomaterials are presented, such as orthopedic surgery, bone regeneration, wound
healing, dental and maxillofacial surgery applications, artificial joints, diabetes, anticancer agents
and cancer therapy, modification of living cells, myocardial tissue engineering—repair and reconstruction, and bioartificial organs.
Publishing this book was accomplished with the contributions of renowned scientists from all
over the world. They are all experts in their particular field of biomaterials research and have made
high-level contributions to various fields of research. We are very grateful to these scientists for
their willingness to contribute to this reference work as well as for their engagement. Without their
commitment and enthusiasm, it would not have been possible to compile such a book.
ix
x
Preface
I am also grateful to the publisher for recognizing the demand for such a book, for taking the risk
to bring out such a book, and for realizing the excellent quality of the publication.
I would like to thank Daniela for her inestimable help and assistance. I dedicate this book to
memory of Severian, one of my best friends.
Last but not least, I would like to thank my family for their patience. I sincerely apologize for the
many hours I spent in the preparation of this book, which kept me away from them.
This book is a very useful tool for many scientists, physicians, pharmacists, engineers, and other
experts in a variety of disciplines, both in academe and industry. It may not only be useful for
research and development but may also be suitable for teaching.
This book has a companion CD that contains color figures as noted at the applicable text figures.
Valentin I. Popa
Acknowledgments
My father was passionate about polymeric biomaterials. He was very happy when this project was
planned with Taylor & Francis Group. He had worked tirelessly toward this. He would have loved
to have seen this book published, but destiny willed otherwise.
I am extremely grateful to Professor Popa for accepting to serve as the editor, to all the authors
for their precious contributions, and to the staff at Taylor & Francis Group.
The positive response from the authors to pursue their contribution to this book was amazing
and is testimony of their appreciation for the scientific contribution that my father made to the field
of polymeric biomaterials.
I trust the book is of great quality and reflects the efforts and dedication that have been put into
it by my father and all the contributors.
My small contribution to this book is dedicated to the memory of my parents, Severian and
Maria, for their unconditional love and for being the best teachers ever. And to finish on a positive
note, I want to cite one quote of Dr. Seuss that I particularly like:
“Don’t cry because it’s over. Smile because it happened”.
Daniela Dumitriu
xi
Editors
Severian Dumitriu (deceased) was a research professor, Department of Chemical Engineering,
University of Sherbrooke, Quebec, Canada. He edited several books, including Polymeric
Biomaterials, second edition, Polysaccharides in Medicinal Applications, and Polysaccharides:
Structural Diversity and Functional Versatility (all three titles were published by Taylor & Francis
Group [previously Marcel Dekker]), and authored or coauthored over 190 professional papers
and book chapters in the fields of polymer and cellulose chemistry, polyfunctional initiators, and
bioactive polymers. He also held 15 international patents. Professor Dumitriu received his BSc
(1959) and MS (1961) in chemical engineering and his PhD (1971) in macromolecular chemistry
from the Polytechnic Institute of Jassy, Romania. Upon completing his doctorate, he worked with
Professor G. Smets at the Catholic University of Louvain, Belgium, and was a research associate
at the University of Pisa, Italy; the Hebrew University Medical School, Jerusalem, Israel; and the
University of Paris, South France.
Valentin I. Popa earned his BSc and MSc in chemical engineering (1969) and PhD in the field of
polysaccharide chemistry (1976) from Polytechnic Institute of Iasi, Romania. He was awarded the
Romanian Academy Prize for his contributions in the field of seaweed chemistry (1976). He has
published more than 500 papers in the following fields: wood chemistry and biotechnology, biomass complex processing, biosynthesis and biodegradation of natural compounds, allelochemicals,
bioadhesives, and bioremediation. He is also the author or coauthor of 37 books or book chapters.
Dr. Popa holds six patents and has been involved in many Romanian and European research projects as scientific manager. He was visiting scientist or visiting professor at Academy of Sciences
(Seoul, Korea, 1972), Technical University of Helsinki (Finland, 1978), Institute of Biotechnology
(Vienna, Austria, 1995), Research Institute for Pulp and Paper (Braila, Romania, 1976), “Petru Poni”
Institute of Macromolecular Chemistry (Iasi, Romania, 1985, 1986), Université de Sherbrooke
and University McGill (Canada, 2003), STFI–Packforsk (now known as Innventia, Stockholm,
Sweden, 2008), and Institute of Wood Chemistry (Riga, Latvia, 2009). Dr. Popa is a member of the
International Lignin Institute, International Association of Scientific Papermakers, International
Academy of Wood Science, Romanian Academy for Technical Sciences, and American Chemical
Society. He is also a professor of wood chemistry and biotechnology in “Gheorghe Asachi”
Technical University of Iasi, PhD supervisor (30 students defended their theses), and editor-inchief of Cellulose Chemistry and Technology.
xiii
Contributors
Harry R. Allcock
Department of Chemistry
The Pennsylvania State University
University Park, Pennsylvania
Pascal Auroy
Université d’Auvergne
Clermont-Ferrand, France
Andreas Bernkop-Schnürch
Institute of Pharmacy
University of Innsbruck
Innsbruck, Austria
Martine Bonnaure-Mallet
UFR Odontologie Equipe de Microbiologie
EA 1254
Université Européenne de Bretagne
Rennes, France
Rhiannon Braund
School of Pharmacy
University of Otago
Dunedin, New Zealand
Toby D. Brown
Institute for Health and Biomedical
Innovation
Queensland University of Technology
Brisbane, Queensland, Australia
Cesare Cametti
Department of Physics
University of Rome “La Sapienza”
and
CNR-INFM-SOFT
Rome, Italy
Dominique Chauvel-Lebret
Université Européenne de Bretagne
UFR d’Odontologie-UMR CNRS 6226
Sciences Chimiques de Rennes-UR1,
CHU-pole d’Odontologie et de chirurgie
Buccale
Rennes, France
Weiliam Chen
Department of Surgery
Division of Wound Healing and Regenerative
Medicine
School of Medicine
New York University
New York, New York
Federica Chiellini
Laboratory of Bioactive Polymeric Materials
for Biomedical and Environmental
Application (BIOLab)
Department of Chemistry and Industrial
Chemistry
University of Pisa
Pisa, Italy
Valeria Chiono
Department of Mechanical and Aerospace
Engineering
Politecnico di Torino
Torino, Italy
Gianluca Ciardelli
Department of Mechanical and Aerospace
Engineering
Politecnico di Torino
Torino, Italy
E.C. Combe
School of Dentistry
University of Minnesota
Minneapolis, Minnesota
Paul D. Dalton
Institute for Health and Biomedical Innovation
Queensland University of Technology
Brisbane, Queensland, Australia
Meng Deng
Institute for Regenerative Engineering
Raymond and Beverly Sackler Center for
Biological, Physical and Engineering
Sciences
The University of Connecticut
Storrs, Connecticut
xv
xvi
Jacques Desbrieres
Department of Physics and Chemistry
of Polymers
Pau and Adour Countries University
Pau, France
Alberto Dessy
Laboratory of Bioactive Polymeric Materials
for Biomedical and Environmental
Application (BIOLab)
Department of Chemistry and Industrial
Chemistry
University of Pisa
Pisa, Italy
Abraham J. Domb
Faculty of Medicine
School of Pharmacy
Institute of Drug Research
The Hebrew University of Jerusalem
Jerusalem, Israel
Cesare Errico
Laboratory of Bioactive Polymeric Materials
for Biomedical and Environmental
Application (BIOLab)
Department of Chemistry and Industrial
Chemistry
University of Pisa
Pisa, Italy
Christine Falabella
Department of Biomedical
Engineering
Stony Brook University
State University of New York
New York, New York
Mar Fernández
Institute for Health and Biomedical
Innovation
Queensland University of Technology
Kelvin Grove, Queensland, Australia
Piergiorgio Gentile
Department of Mechanical and Aerospace
Engineering
Politecnico di Torino
Torino, Italy
Contributors
Catherine Gkioni
Department of Periodontology and Biomaterials
Radboud University Nijmegen Medical Center
Nijmegen, the Netherlands
Takao Hanawa
Institute of Biomaterials and Bioengineering
Tokyo Medical and Dental University
Tokyo, Japan
Dietmar W. Hutmacher
Institute for Health and Biomedical Innovation
Queensland University of Technology
Brisbane, Queensland, Australia
Florin Dan Irimie
Department of Biochemistry and Biochemical
Engineering
“Babeş-Bolyai” University
Cluj-Napoca, Romania
Kazuhiko Ishihara
Department of Materials Engineering
and
Department of Bioengineering
School of Engineering
The University of Tokyo
Tokyo, Japan
John Jansen
Department of Periodontology and Biomaterials
Radboud University Nijmegen Medical Center
Nijmegen, the Netherlands
Christine Jérôme
Center for Education and
Research on Macromolecules
University of Liège
Liège, Belgium
Toshiyuki Kanamori
National Institute of Advanced
Industrial Science and
Technology
Tsukuba, Japan
Toshihiro Kasuga
Graduate School of Engineering
Nagoya Institute of Technology
Nagoya, Japan
xvii
Contributors
Wahid Khan
Institute of Drug Research (IDR)
School of Pharmacy-Faculty of Medicine
The Hebrew University
of Jerusalem
Jerusalem, Israel
Menno L.W. Knetsch
Department of Biomedical
Engineering/Biomaterials Science
Maastricht University
Maastricht, the Netherlands
Masanori Kobayashi
Department of Biomedical Engineering
Daido University
Nagoya, Japan
Sangamesh G. Kumbar
Department of Orthopaedic Surgery, Chemical,
Materials and Biomolecular Engineering
Institute for Regenerative Engineering
Raymond and Beverly Sackler Center for
Biological, Physical and Engineering
Sciences
The University of Connecticut
Storrs, Connecticut
Masayuki Kyomoto
Department of Materials Engineering
School of Engineering
and
Science for Joint Reconstruction
Graduate School of Medicine
The University of Tokyo
and
Research Department
Kyocera Medical Corporation
Tokyo, Japan
Cato T. Laurencin
Connecticut Institute for Clinical and
Translational Science
and
Institute for Regenerative Engineering
Raymond and Beverly Sackler Center for
Biological, Physical and Engineering
Sciences
The University of Connecticut
Storrs, Connecticut
Philippe Lecomte
Center for Education and Research on
Macromolecules
University of Liège
Liège, Belgium
Sander Leeuwenburgh
Department of Periodontology
and Biomaterials
Radboud University Nijmegen Medical Center
Nijmegen, the Netherlands
Natalie J. Medlicott
School of Pharmacy
University of Otago
Dunedin, New Zealand
Franco Maria Montevecchi
Department of Mechanical and Aerospace
Engineering
Politecnico di Torino
Torino, Italy
Toru Moro
Science for Joint Reconstruction
Graduate School of Medicine
The University of Tokyo
Tokyo, Japan
Vijay Kumar Nandagiri
Department of Mechanical and Aerospace
Engineering
Politecnico di Torino
Torino, Italy
Akiko Obata
Graduate School of Engineering
Nagoya Institute of Technology
Nagoya, Japan
Csaba Paizs
Department of Biochemistry and Biochemical
Engineering
“Babeş-Bolyai” University
Cluj-Napoca, Romania
Gaio Paradossi
Department of Chemical Sciences
and Technologies
University of Rome Tor Vergata
Rome, Italy
xviii
Juan Parra
Institute for Health and Biomedical
Innovation
Queensland University of Technology
Kelvin Grove, Queensland, Australia
Anna Maria Piras
Laboratory of Bioactive Polymeric Materials
for Biomedical and Environmental
Application (BIOLab)
Department of Chemistry and Industrial
Chemistry
University of Pisa
Pisa, Italy
Valentin I. Popa
Department of Natural and Synthetic
Polymers
Faculty of Chemical Engineering and
Environmental Protection
“Gheorghe Asachi” Technical University
of Iasi
Iasi, Romania
Gema Rodríguez-Crespo
Institute for Health and Biomedical
Innovation
Queensland University of Technology
Kelvin Grove, Queensland, Australia
Luis M. Rodríguez-Lorenzo
Institute for Health and Biomedical
Innovation
Queensland University of Technology
Kelvin Grove, Queensland, Australia
Julio San Román
Institute for Health and Biomedical
Innovation
Queensland University of Technology
Kelvin Grove, Queensland, Australia
Contributors
Alina Sionkowska
Faculty of Chemistry
Nicolaus Copernicus University
Torun, Poland
Shinji Sugiura
National Institute of Advanced Industrial
Science and Technology
Tsukuba, Japan
Kimio Sumaru
National Institute of Advanced Industrial
Science and Technology
Tsukuba, Japan
Toshiyuki Takagi
National Institute of Advanced
Industrial Science and
Technology
Tsukuba, Japan
Monica Ioana Tosa
Department of Biochemistry
and Biochemical Engineering
“Babeş-Bolyai” University
Cluj-Napoca, Romania
Cedryck Vaquette
Institute for Health and Biomedical
Innovation
Queensland University of Technology
Brisbane, Queensland, Australia
Blanca Vázquez
Institute for Health and Biomedical
Innovation
Queensland University of Technology
Kelvin Grove, Queensland, Australia
Lihui Weng
Department of Radiology
University of Minnesota
Minneapolis, Minnesota
1
Synthesis and Fabrication
of Polyesters as Biomaterials
Philippe Lecomte and Christine Jérôme
CONTENTS
1.1
1.2
1.3
Introduction...............................................................................................................................1
Step-Growth Polymerization.....................................................................................................2
Ring-Opening Polymerization of Cyclic Esters........................................................................3
1.3.1 Anionic Polymerization.................................................................................................4
1.3.2 Coordination Polymerization.........................................................................................6
1.3.3 Metal-Free Ring-Opening Polymerization....................................................................8
1.3.4 Enzymatic Ring-Opening Polymerization.................................................................. 13
1.3.5 Polymerization of Substituted and Functionalized Cyclic Esters................................ 14
1.4 Radical Ring-Opening Polymerization of Cyclic Ketene Acetals..........................................25
1.5 Macromolecular Engineering of Aliphatic Polyesters.............................................................26
1.5.1 Copolymerization........................................................................................................26
1.5.2 Modification of the Architecture................................................................................. 27
1.6 Conclusions..............................................................................................................................28
Acknowledgments.............................................................................................................................28
References.........................................................................................................................................28
1.1
INTRODUCTiON
Nowadays, biomaterials are produced from a wide range of polymers. Among them, biodegradable
and biocompatible aliphatic polyesters occupy a key position. Their chemical structure can be easily modified, which allows the tailoring of important properties such as bioadherence, mechanical
properties, and kinetics of biodegradation. Aliphatic polyesters are thus widely used in biomedical
applications as implants, as scaffolds in tissue engineering, and as carriers for drug delivery.
This chapter aims at reviewing the most important techniques used for the synthesis of aliphatic
polyesters in biomedical applications. The simplest approach relies on step-growth polymerization
(Figure 1.1, routes a and b). Nevertheless, the control imparted to the polymerization is limited by
this technique, and the synthesis of high molar mass polyesters is difficult. These drawbacks can
be tackled by implementing another technique, the ring-opening polymerization of cyclic esters
(Figure 1.1, route c). Under appropriate conditions, this polymerization is living and enables the
synthesis of controlled high molar mass aliphatic polyesters. The chemical structure of the chainends can be controlled and it is thus possible to functionalize them on demand. Besides, aliphatic
polyesters are produced by the ring-opening polymerization of cyclic esters at the industrial scale.
Moreover, the livingness of the ring-opening polymerization of cyclic esters opens up the possibility
to prepare various architectures such as star-shaped, comb-shaped, hyperbranched polymers and networks. The versatility of the ring-opening polymerization of cyclic esters thus allows fine tailoring
of the properties of aliphatic polyesters in view of biomedical applications. A very important section
of this chapter will thus be dedicated to this technique. It must be noted that other polymerization
1
2
Polymeric Biomaterials: Structure and Function, Volume 1
O
HO R
OH + HO
O
R
OH
O
HO
R
O
OH
O
a
b
c
R
O
O
O
R
O
n
d
R
FigURE 1.1
Main techniques for the synthesis of aliphatic polyesters.
techniques were investigated even though they were not so popular. In this regard, special attention
will be paid to the ring-opening polymerization of cyclic ketene acetals (Figure 1.1, route d).
For biomedical applications, it is mandatory that aliphatic polyesters exhibit a very high purity
and are not contaminated by potentially toxic impurities. Unfortunately, usual polymerization techniques are based on catalysts and initiators made up of toxic metals such as tin and aluminum,
especially as far as the ring-opening polymerization of cyclic esters is concerned. Special attention
will thus be paid to the recent advances in the implementation of polymerization processes based
on less toxic metals or, even better, on metal-free processes.
1.2 STEP-GROWTH POLYMERiZATiON
A straightforward approach for the synthesis of aliphatic polyesters is based on the step-growth
polymerization of a mixture of diacids and diols or, more directly, of hydroxy acids, by implementing an esterification reaction. This technique allows the synthesis of a very wide range of
aliphatic polyesters because of the easy synthesis of various diols, diacids, and hydroxy acids. Some
of these can even be obtained from renewable resources, and bio-based aliphatic polyesters can then
be produced. Step-growth polymerization has been in use for a long time, and hence we will not
develop further the theory of polycondensation. It is just worth noting that, recently, Kricheldorf
revised the concept of kinetically controlled (Kricheldorf and Schwarz 2003) and thermodynamically controlled (Kricheldorf 2003) step-growth polymerization.
The main limitation of all step-growth polymerizations remains the difficult synthesis of high
molar masses. Indeed, the synthesis of high molar mass polyesters by step-growth polymerization
requires to reach high conversions very close to 100% and to stay close to the ideal 1/1 stoichiometry
between alcohol and acid functions.
The synthesis of polyhydroxyalkanoates (PHAs) by step-growth polymerization is a naturally
occurring process (Lu et al. 2009). These aliphatic polyesters are produced by microorganisms
as an intracellular reserve of carbon storage compounds and energy (Lu et al. 2009). Poly(3-(R)hydroxybutyrate) (PHB) is a typical example, but PHAs with a huge variety of chemical structures
can be synthesized from a very wide range of hydroxyalkanoates. The potential of PHAs has been
assessed for several biomedical applications such as controlled release, tissue engineering, surgical
sutures, and wound dressings (Williams et al. 1999).
The limitations of step-growth polymerization urged chemists to search for more efficient techniques for the synthesis of high molar mass aliphatic polyesters with a fine control of the chemical
structure and the molar mass. This goal was achieved by implementing the ring-opening polymerization of cyclic esters, as will be shown in the next section.
3
Synthesis and Fabrication of Polyesters as Biomaterials
1.3 RiNg-OPENiNg POLYMERiZATiON Of CYCLiC ESTERS
Ring-opening polymerization is a very popular technique to synthesize aliphatic polyesters in view
of biomedical applications. The main reason for its success lies in the very easy synthesis of aliphatic
polyesters with high and controlled molar masses (Stridsberg et al. 2002, Penczek et al. 2007). The
main limitation remains, for the time being, the scarcity of cyclic esters, despite the recent progresses being made in the last few years, especially compared to diacids, diols, and hydroxyacids
used in step-growth polymerization.
The ring-opening polymerization of cyclic esters has been in use for a long time. van Natta
et al. (1934) already reported in 1934 the ring-opening polymerization of ɛ-caprolactone (ɛCL).
Nowadays, polylactide (PLA) and poly(ɛ-caprolactone) (PCL) are produced at the industrial scale
(Figure 1.2).
PCL is a semicrystalline biodegradable and biocompatible polyester (Tm = 60°C; Tg = −60°C)
(Woodruff and Hutmacher 2010). Nevertheless, the degradation of PCL is slow, making it suitable
in the field of drug delivery applications for long-term applications (Sinha et al. 2004). PLA and
copolymers of lactide and glycolide (PLGA) have the advantage to be more hydrophilic than PCL
and thus to degrade faster. Polylactide contains a chiral center (R or S), and its properties depend
on tacticity. It is indeed well known that isotactic PLA is semicrystalline, whereas atactic PLA is
amorphous. Semicrystalline PLA exhibits interesting mechanical properties but at the expense of
biodegradability. Isotactic PLLA is synthesized by the polymerization of enantiomerically pure
l-lactide, whereas atactic PLLA is obtained from a racemic mixture of l- and d-lactides.
The ring-opening polymerization of ɛCL and LA is carried out at the industrial level. Interestingly
enough, PLA is a bio-based polyester produced from agricultural renewable resources such as
starch, whereas biodegradable PCL is produced from oil.
Although ɛCL, GA, and LA are very important monomers, other cyclic esters can be polymerized by ring-opening depending on their size. First, there is an important question to determine
whether a cyclic ester can be polymerized or not. The answer to this question can be found by
considering thermodynamic data. According to the microreversibility rule, there is a competition
between polymerization and depolymerization. Table 1.1 shows the values of the enthalpy (ΔHp) and
entropy (ΔSp) of polymerization, the monomer concentration at equilibrium ([M]eq), and the ceiling
temperature (Tc) (Duda et al. 2005).
Table 1.1 shows that the polymerization of low-membered cyclic esters is an enthalpy-driven
process (Penczek et al. 2000, Duda et al. 2005). The release of the ring strain is obviously a key
parameter in favor of polymerization. Nevertheless, the behavior of five-membered lactones is
completely different, as shown by the high-ceiling temperature, because depolymerization is faster
than polymerization. Although the ring-opening polymerization of γBL is difficult, it is possible to
O
O
O
O
n
Poly(ε-caprolactone) (PCL)
ε-Caprolactone
O
R
O
O
O
O
R
R
n
O
R = H: glycolide
R = Me: lactide
R = H: polyglycolide (PGA)
R = Me: polylactide (PLA)
FigURE 1.2 Polymerization of ɛ-caprolactone (ɛCL) and lactide (LA) and glycolide (GA).
4
Polymeric Biomaterials: Structure and Function, Volume 1
TABLE 1.1
Thermodynamics for the Polymerization of Cyclic Esters
Monomer
βPL
γBL
LA
GA
VL
εCL
Ring
Size
Monomer
Polymer States
ΔHp (kJ/mol)
ΔSp (J/mol K)p
[M]eq (mol/L)
Tc (K)
4
5
6
6
6
7
1c
1c
88
11
Lc
1c
−82.3
5.1
−22.9
−13.8
−27.4
−28.8
−74
−29.9
−41
−45
−65
−53.9
3.9 × 10−10
3.3 × 10−3
5.5 × 10−2
2.5
3.9 × 10−1
5.3 × 10−2
1112
−171
914
520
—
534
TABLE 1.2
Nomenclature of Cyclic Esters
Ring Size
βPL
γBL
δVL
LA
GA
εCL
4
5
6
6
6
7
IUPAC Name
Usual Name
oxetan-2-one
dihydrofuran-2(3H)-one
tetrahydro-2H-pyran-2-one
lactide
glycolide
oxepan-2-one
β-propionolactone
γ-butyrolactone
δ-valerolactone
3,6-dimethyl-1,4-dioxane-2,5-dione
1,4-dioxane-2,5-dione
ε-caprolactone
obtain low molar mass oligomers under suitable conditions and also to copolymerize γBL with other
cyclic esters (Penczek et al. 2000).
It is worth noting that lactide, caprolactone, and glycolide are not the names recommended by
IUPAC. Table 1.2 shows the usual and official names for several cyclic esters. For the sake of simplicity, the usual names will be mentioned in this review to avoid confusion.
So many initiators and catalysts have been used for the ring-opening polymerization of cyclic
esters for the last few years that it is impossible to list all. This review will thus focus on the most
popular processes with special attention being paid to the livingness and kinetics of polymerization, and the contamination of aliphatic polyesters by toxic residues not tolerated in the frame of
biomedical applications.
1.3.1
ANIONIC POLYMERIZaTION
Metal alkoxides are nucleophilic species prone to initiate the ring-opening polymerization of cyclic
esters. Polymerization takes place usually by the cleavage of the acyl-oxygen bond. Figure 1.3 shows
the initiation and propagation steps in the case of polymerization of ɛCL.
O
O
R
O
–
+
RO
O
O
O
O
Initiation
O
–
Propagation
FigURE 1.3 Anionic ring-opening polymerization of ɛCL.
RO
O
5 n
5
O
–
O
5
Synthesis and Fabrication of Polyesters as Biomaterials
The mechanism shown in Figure 1.3 assumes that polymerization is living and takes place
only by initiation and propagation reactions according to Szwarc (1956), which means that
no termination and transfer reactions are present. This view is unfortunately oversimplified because
termination and transfer reactions are often observed. Indeed, anionic species are deactivated by
traces of water or by other protic substances, which is nothing but a termination reaction. It is
thus necessary to perform these anionic polymerizations with carefully purified monomers under
strictly anhydrous conditions. Besides, although metal alkoxides react as nucleophiles, they react
also as bases. For instance, potassium tert-butoxide reacts with ɛCL to form the corresponding
potassium enolate.
Transfer reactions by transesterification reactions are commonly observed and are at the origin
of loss of control of polymerization (Figures 1.4 and 1.5). Indeed, alkoxides are often too reactive
to be selective, and they can react not only with the ester functions of monomers but also with the
ester functions present all along the polymer chains. Depending upon whether alkoxide and ester
are located on the same chain or not, transesterification reaction can be intramolecular or intermolecular. Intramolecular transesterification reactions result in a decrease of the molar mass and in
the formation of cyclic oligomers (Figure 1.4). Conversely, intermolecular transesterification does
not result in a decrease of the number-average molar mass but rather results in the reshuffling of the
length of chains and thus in the modification of the polydispersity index (Figure 1.5). For the sake
of simplicity, the mechanism of ɛCL is shown in Figures 1.4 and 1.5, but it can be extended to other
cyclic esters as well.
Special attention has to be paid to the four-membered lactones because of their unusual behavior.
Indeed, polymerization of β-lactones by the mechanism based on the cleavage of the acyl-oxygen
bond is disfavored, which was accounted for by stereo-electronic effects (Coulembier et al. 2006a).
Another mechanism based on the scission of the alkyl-oxygen bond is then observed (Figure 1.6).
O
O
O
O
5 n
O
O–
O
5
Cyclic oligomer
5 m
+
O
O
FigURE 1.4
Intramolecular transesterification reactions during the polymerization of ɛCL.
O
O
O
–
O
O
+
5 n
O
O
O
5
5 m
5 p
O
O
O
O
O
5 n
5
O
O
FigURE 1.5
+
5
p
5 m
O
O
Intermolecular transesterification reactions during the polymerization of ɛCL.
O
O
R
FigURE 1.6
–
O
O
R
O
O–
O–
Ring-opening polymerization of β-lactones by cleavage of the alkyl-oxygen bond.
5 n
O–
6
Polymeric Biomaterials: Structure and Function, Volume 1
R
O
O
O–
O
n
+
R
O
R
R=H, Me
O–
O
OH
O
n
+
O
R
Intramolecular
elimination reaction
O
RHC
O–
FigURE 1.7 Transfer reaction for the polymerization of β-lactones.
Interestingly enough, ring-opening affords a carboxylate anion rather than an alkoxide. This polymerization can thus also be initiated by carboxylic salts even though they are less nucleophilic than
alkoxides (Penczek 2007).
It is worth noting that another transfer reaction mechanism shown in Figure 1.7 is reported as far
as β-lactones are concerned (Penczek 2007).
1.3.2
COORDINaTION POLYMERIZaTION
Anionic metal alkoxides are too reactive to be selective and transfer transesterification reactions are
very difficult to get rid of, at the expense of control of polymerization. In order to improve the control of polymerization, it is mandatory to use less reactive initiators. This can be achieved by playing
with steric and electronic effects (Lecomte and Jérôme 2004). The use of cumbersome ligands is the
first possible route to obtain more selective species. The most common approach relies on the use of
less electrophilic metals. The works of Teyssié and coworkers who used bimetallic μ-oxo-alkoxides
as initiators have to be mentioned (Hamitou et al. 1973, Ouhadi et al. 1976). Since then, a wide range
of transition metals have been investigated.
Aluminum alkoxides occupy a key position because of the very good control imparted to the
polymerization of cyclic esters. Commercially available aluminum triisopropoxide is a widely used
aluminum alkoxide. Firstly, the three alkoxide bonds initiate polymerization. Nevertheless, the
behavior of aluminum triisopropoxide is complicated due to its aggregation in solution. Indeed,
aluminum isopropoxide exists as a mixture of trimers (A3) and tetramers (A4; Ropson et al. 1995).
As long as polymerization of ɛCL is carried out by aluminum isopropoxide in toluene at 0°C,
only A3 is prone to initiate polymerization. The interconversion of A4 into A3 is slow compared
to the kinetics of polymerization, and A4 does not initiate polymerization under these conditions.
Conversely, polymerization of lactide is carried out at a higher temperature, typically at 70°C. The
interconversion of A4 into A3 is faster, and all species initiate polymerization. It is thus very important to take into account the equilibrium between A3 and A4 species to determine the theoretical
molar mass on the basis of the monomer-to-initiator molar ratio. Last but not least, it is worth noting
that aluminum alkoxides can be prepared in the laboratory by the reaction of any alcohol with
triethylaluminum or aluminum isopropoxide (Dubois et al. 1989).
The mechanism of polymerization is quite similar to that of anionic polymerization. Nevertheless,
one has to take into account the coordination of the metal with oxygen atoms. The mechanism
shown in Figure 1.8 is referred in the state of the art as the coordination–insertion mechanism.
Firstly, the alkoxide (RO-M) coordinates with the carbonyl of the cyclic ester, followed by the
nucleophilic addition of the alkoxide onto the electrophilic C=O bond. Thereafter, ring-opening
takes place by an elimination reaction, resulting in the cleavage of the acyl-oxygen bond and in the
formation of a new alkoxide. The initiator can contain one functional group, provided it is tolerated
by aluminum alkoxide species (Dubois et al. 1989).
7
Synthesis and Fabrication of Polyesters as Biomaterials
M
O
O
RO M
O
O
R
O
R
O
O
OM
+
O
O
O
M
O
O
5
5
O
n
OR
M
O
O
OR
M
O
O
OR
n
FigURE 1.8 Coordination–insertion mechanism for the ring-opening polymerization of cyclic esters.
During the propagation of the ring-opening polymerization of cyclic esters initiated by aluminum alkoxides, aggregation can again take place depending upon stereoelectronic factors, as
shown by NMR spectroscopy and kinetic studies (Duda and Penczek 1991). For instance, during
the polymerization of ɛCL, the three-arm growing species is a unimer when initiated by A3 and is a
trimer when initiated by Et2AlOR (Ropson et al. 1995).
Although aluminum alkoxides exerted an excellent control to the polymerization of cyclic esters,
they are suspected to be involved in Alzheimer’s disease. Moreover, catalytical remnants are very
difficult to withdraw and these toxicity issues are thus a huge limitation for biomedical applications.
Many researchers used tin(II) bis-(2-ethylhexanoate), also commonly referred to as tin octoate,
instead of aluminum alkoxides because of its recognition by the American Food and Drug
Administration (FDA). Another reason for the popularity of tin(II) bis-(2-ethylhexanoate) is its
lower sensitivity to water and other impurities. It is thus easier to achieve polymerization in laboratories or in industry. Nevertheless, it was found that tin(II) bis-(2-ethylhexanoate) is also cytotoxic
and should ideally be avoided for the synthesis of biomaterials.
Tin(II) bis-(2-ethylhexanoate) does not contain any alkoxide bond, and the mechanism remained
unclear for a long time and several proposals were reported. In 1998, Penczek and coworkers
reported that tin alkoxides are formed in the polymerization medium by the reaction of tin(II) bis(2-ethylhexanoate) with traces of water or with any other protic impurities. Polymerization thus
takes place by the usual coordination–insertion mechanism at least as long as it is carried out in
THF at 80°C (Kowalski et al. 1998). This proposal was substantiated by kinetic measurements
(Kowalski et al. 1998, 2000a), analysis of the chain-ends by MALDI-TOF (Kowalski et al. 2000b),
and proton-trapping agent experiments (Majerska et al. 2000).
It is worth noting that other tin-based initiators are also used. Hedrick and coworkers proposed
to use tin trifluoromethanesulfonate to improve the kinetics of polymerization (Möller et al. 2000).
Another possibility relies on the use of Sn(II) alkoxides (Duda et al. 2000, Kowalski et al. 2000c)
and Sn(IV) alkoxides (Kricheldorf and Eggerstedt 1998, Kricheldorf et al. 2001, Kricheldorf 2004).
Penczek and coworkers reported that the polymerization of lactide, initiated by Sn(OBu)2, is under control in a range of molar masses up to 106 g/mol (Duda et al. 2000, Kowalski et al. 2000c). Nevertheless,
whatever the tin derivative used to initiate polymerization, toxicity remains an issue. Albertsson and
coworkers proposed a smart approach to extract tin derivatives (Stjerndahl et al. 2007). They initiated
the polymerization of cyclic esters by tin(IV) alkoxides before adding 1,2-ethanedithiol to the polymerization medium to afford a sulfur-containing dibutyltin derivative, which can be extracted because
of its high solubility in organic solvents. For example, this process allowed synthesizing a sample of
PCL contaminated by only 23 ppm of tin residues (Stjerndahl et al. 2007).
If ring-opening polymerization can be carried out in bulk and in organic solvents, supercritical
carbon dioxide is also a valuable medium. The technology based on supercritical carbon dioxide is
8
Polymeric Biomaterials: Structure and Function, Volume 1
particularly interesting in the field of biomaterials because of the remarkable extraction properties
of this medium with the prospect to purify aliphatic polyesters. Ring-opening polymerization of
ɛCL in supercritical carbon dioxide was first reported by Mingotaud and coworkers (Mingotaud
et al. 1999, 2000). Then, Jérôme and coworkers observed that tin(IV) alkoxides initiate the controlled ring-opening polymerization of ɛCL in supercritical CO2 (Stassin et al. 2001). Slow kinetics
was accounted for by the reversible reaction of tin alkoxides and carbon dioxide (Stassin and Jérôme
2002). PCL is not soluble in supercritical carbon dioxide, and the polymerization of ɛCL is thus
heterogeneous. Nevertheless, in the presence of a suitable surfactant, nanoparticles can be obtained
(Stassin and Jérôme 2004). Last but not least, supercritical CO2 was used to withdraw quantitatively
unconverted monomer and metallic remnants.
The issues related to the toxicity of tin and aluminum derivatives urged researchers to initiate
the polymerization of cyclic esters by alkoxides based on less toxic metals. In this regard, bismuth
(Kim et al. 2004), magnesium (Shueh et al. 2004, Yu et al. 2005b), and calcium (Zhong et al. 2001,
Westerhausen et al. 2003) alkoxides are reported. The mechanism remains the usual coordination–
insertion mechanism. The kinetics and control of polymerization depend on the nature of the metal
and on its ligands.
So many metallic derivatives have been used to initiate or catalyze the ring-opening polymerization of cyclic esters that it is almost impossible to list all. Among these derivatives, zinc octoate
(Libiszowki et al. 2002, Kowalski et al. 2007), aluminum acetyl acetonate (Kowalski et al. 2007),
scandium trifluoromethanesulfonate (Möller et al. 2000, Nomura et al. 2000), and scandium trifluoromethanesulfonimide [Sc(NTf2)3] (Oshimura and Takasu 2010) can be mentioned. Special attention has to be paid to lanthanides alkoxides (Metal = Er, Sm, Dy, La) as initiators because of the
very fast kinetics of polymerization (McLain and Drysdale 1992). Shen et al. (1996) showed that the
increase of steric hindrance of the ligand disfavors transesterification reactions. Yasuda and coworkers polymerized ɛCL by SmOEt(C5Me5)2(OEt2), [YOMe(C5H5)2]2, and YOMe(C5Me5)2(THF)
(Yamashita et al. 1996). In 1996, yttrium isopropoxide was obtained “in situ” by the reaction of
isopropanol and yttrium tris(2,6-di-tert-butylphenolate (Stevels et al. 1996a,b). Then, a similar
approach was implemented by Jérôme and Spitz who synthesized Y(OiPr)3 (Martin et al. 2000,
2003a) and Nd(OiPr)3 (Tortosa et al. 2001) by the reaction of isopropanol with Y[N(SiMe3)2]3 and
Nd[N(SiMe3)2]3, respectively. In 2003, the polymerization of ɛ-caprolactone was carried out by
La(OiPr)3 (Save et al. 2002) and M(BH4)3(THF)3 (M = Nd, La, Sm) (Guillaume et al. 2003, Palard
et al. 2005). Cyclic esters other than ɛCL can be polymerized by the same family of lanthanide
alkoxides (Yamashita et al. 1996). Last but not least, Jérôme and coworkers grafted yttrium isopropoxide onto a porous silica surface (Martin et al. 2003b,c). Two methods of immobilization were
reported. Firstly, the hydroxyl groups located on the surface of silica were allowed to react with an
excess of Y[N(SiMe3)2]3 into silylamido groups, which were finally allowed to react with 2-propanol
to obtain yttrium alkoxides. Secondly, Y[N(SiMe3)2]3 was made to react with less than three equivalents of 2-propanol into an yttrium alkoxide, which was then grafted onto the surface. Hamaide and
coworkers supported alkoxides based on other metals (Al, Zr, Sm, and Nd) onto silica and alumina
(Miola-Delaite et al. 2000).
1.3.3
METaL-FREE RING-OpENING POLYMERIZaTION
Aluminum and tin alkoxides being too toxic for biomedical applications, chemists investigated
original metal-free processes for the ring-opening polymerization of cyclic esters. Their strategy
relies on the initiation of the polymerization by nucleophilic species such as alcohols and
amines. Nevertheless, these species are in general not nucleophilic enough to react with cyclic
esters. Nevertheless, there are exceptions to this general rule. For instance, highly reactive β-lactones
are polymerized by nucleophilic amines in the absence of any catalyst. Polymerization initiated by
tertiary amines is known as zwitterionic polymerization in the literature (Löfgren et al. 1995).
The mechanism shown in Figure 1.9 is based on the reaction of tertiary amines and cyclic esters
9
Synthesis and Fabrication of Polyesters as Biomaterials
O
O
O
+
R΄
R΄
N R΄
R΄
O–
N+
R΄
O
O
R΄
O–
R΄
N+
O
O
O
n
R΄
R΄
Zwitterion
FigURE 1.9 Zwitterionic polymerization of pivalolactone.
H
O
O
n
H+
O
H
RO
O
O
R
+
O
_H+
n
OH
n
FigURE 1.10
Ring-opening polymerization of cyclic esters catalyzed by acids and initiated by alcohols.
with a zwitterionic species made up of an ammonium cation and a carboxylate anion. Interestingly
enough, Kricheldorf et al. (2005) mentioned the possibility that chain extension takes place by stepgrowth polycondensation at least at some stage of polymerization.
As a rule, alcohols and amines are in general not nucleophilic enough to react with cyclic esters
and the reaction has thus to be catalyzed. In order to do so, two main strategies might be implemented. They rely on the activation of either the monomer or the initiator. Last but not least, some
processes combine both mechanisms of activation.
Cyclic esters can be activated by either acids or nucleophiles to allow their reaction with alcohols
and amines in the frame of a polymerization process. As far as acids are concerned as catalysts, the
mechanism of ring-opening polymerization relies on the activation of cyclic esters by protonation
of the exocyclic oxygen of cyclic diesters, which facilitates the reaction with the nucleophilic species, that can be the initiator during initiation or the hydroxyl-end capped chain during propagation (Figure 1.10). Polymerization takes place by the scission of the oxygen-acyl bond. In 2000, an
example of ring-opening polymerization of ɛCL and δVL was reported by Endo and coworkers
by using alcohol as an initiator and HCl.Et2O as a catalyst (Shibasaki et al. 2000). Polymerization
was under control but the molar mass did not exceed 15,000 g/mol. It is worth noting that, later on,
Jérôme and coworkers reported that molar masses up to 50,000 g/mol were obtained as far as PVL
was polymerized (Lou et al. 2002a). Recently, the process was extended to a wider range of acids.
Trifluoromethanesulfonic is an efficient catalyst for the controlled ring-opening polymerization of
lactide (Bourissou et al. 2005) and ɛ-caprolactone (Basko and Kubisa 2006). Later, Bourrissou
showed that trifluoromethanesulfonic acid can be substituted for less acidic methanesulfonic acid
for the polymerization of ɛCL (Gazeau-Bureau et al. 2008). Polymerization of δVL was catalyzed
by trifluoromethanesulfonimide according to Kakuchi et al. (2010). Interestingly enough, polymerization was under control and various functionalized alcohols were used as initiators. Very recently,
Takasu and coworkers extended this strategy to nonafluorobutanesulfonimide for the polymerization of ɛCL (Oshimura et al. 2011). Interestingly enough, organic catalysts such as lactic acid (Casas
et al. 2004, Persson et al. 2006), citric acid (Casas et al. 2004), fumaric acid (Sanda et al. 2002, Zeng
et al. 2005), and amino acids (Casas et al. 2004) were also used. In addition, the acid catalyst can
be supported on silica (Wilson and Jones 2004). Amino acids exhibit a particular behavior because
they both catalyze and initiate polymerization (Liu and Liu 2004).
In the absence of any nucleophilic species such as an alcohol, the only nucleophilic species
remaining in the system is the cyclic ester. This is the typical case of cationic ring-opening polymerization of cyclic esters, which has been in use for a long time. The cationic polymerization can be
catalyzed not only by Bronsted acids but also by alkylating agents, acylating agents, and Lewis acids.
10
Polymeric Biomaterials: Structure and Function, Volume 1
O
C
O
+
O
O
O
O
+
C
O
+
O R
O
O
R
5
+
R
n
FigURE 1.11 Mechanism for cationic ring-opening polymerization based on the reaction of the endocyclic
oxygen.
For instance, in 1984, Penczek reported the cationic polymerization of ɛCL and βPL by acylating
agents (Hofman et al. 1984). For a long time it was accepted that cationic ring-opening polymerization mediated by alkylating agents takes place by the mechanism shown in Figure 1.11, which is
based on the reaction of the cation with the endocyclic oxygen followed by the cleavage of the acyloxygen bond. In 1984, Penczek (Hofman et al. 1984) and Kricheldorf et al. (1986) proposed that the
cation reacts with the exocyclic oxygen rather than the endocyclic oxygen to afford a dialkoxycarbocationic species, which finally reacts by cleavage of the alkyl-oxygen bond (Figure 1.12). It is worth
noting that both mechanisms shown in Figures 1.12 and 1.13 are observed when acylating agents are
used (Slomkowski et al. 1985).
In recent years, the ring-opening polymerization of cyclic esters by nucleophilic catalysts has
emerged as a very promising process under the impulse given by the group of Hedrick (Kamber
et al. 2007). Table 1.3 shows several nucleophiles known to activate cyclic esters and thus prone
to catalyze the ring-opening polymerization of cyclic esters initiated by alcohols by the mechanism shown in Figure 1.13. Among nucleophilic species, N-heterocyclic carbenes (Table 1.3, entries
1–7), amines (Table 1.3, entries 8–11), and phosphines (Table 1.3, entries 12–17) can be mentioned.
Depending upon the cyclic ester that has to be polymerized, the nucleophilic catalyst must be carefully selected because its nucleophilicity and thus the kinetics of this ring-opening is influenced by
steric and electronic effects. Interestingly enough, polymerization is under control. Although this
approach is very promising, more work is needed to assess the impact of these catalysts on the biocompatibility of aliphatic polyesters.
Another mechanism relies on the activation of the initiator. Bases that are able to activate nucleophilic alcohols and catalyze the ring-opening polymerization of cyclic esters are shown in Table 1.4.
TBD and DBU catalyze the ring-opening polymerization of cyclic esters (Table 1.4, entries 1, 2).
R
O
R+
+
R
O
C+
O
O
O
O
O
O
O C+
O
FigURE 1.12 Mechanism for cationic ring-opening polymerization based on the reaction of the exocyclic
oxygen.
O
Nu +
O
O
+
Nu
FigURE 1.13 Activation of cyclic esters by nucleophiles.
O–
5
R
O
OH
RO
5
OH
11
Synthesis and Fabrication of Polyesters as Biomaterials
TABLE 1.3
Nucleophilic Catalysts for the Ring-Opening Polymerization of Lactones
Entry
Organocatalyst
1
N
2
N
3
N
C
C
N
N
N
C
4
N
5
Initiator
Reference
l-lactide
εCL
βBL
rac-lactide
meso-lactide
εCL
δVL
EtOH, pyrenebutanol
EtOH, pyrenebutanol
EtOH, pyrenebutanol
—
—
PhCH2OH
PhCH2OH
Connor et al. (2002)
βBL
δVL
εCL
εCL
PhCH2OH
PhCH2OH
PhCH2OH
PhCH2OH
Nyce et al. (2003)
l-lactide
MeOH, pyrenebutanol,
PEO-OH
pyrenebutanol
Coulembier et al. (2005)
Dove et al. (2006)
Dove et al. (2006)
Nyce et al. (2003)
Nyce et al. (2003)
N
C
Ph
N
Ph
Monomer
C
N
N
6
βBL
Ph
N
N
Coulembier et al. (2006b)
l-lactide
—
Connor et al. (2002)
rac-lactide
meso-lactide
—
—
Dove et al. (2006)
rac-lactide
meso-lactide
—
—
Dove et al. (2006)
OR
7
Ph
Ph
N
7
C
Ph
Me
H
Ph
N
C
Ph
8
N
N
N
H
Ph
Me
N
Lactide
EtOH, PhCH2OH
Nederberg et al. (2001)
Lactide
EtOH, PhCH2OH
Nederberg et al. (2001)
Lactide
Pyrenebutanol
Pratt et al. (2006) and
Lohmeijer et al. (2006)
Lactide
Pyrenebutanol
Lohmeijer et al. (2006)
DMAP
9
N
N
10
N
N
N
MTBD
11
N
N
DBU
(continued)
12
Polymeric Biomaterials: Structure and Function, Volume 1
TABLE 1.3 (continued)
Nucleophilic Catalysts for the Ring-Opening Polymerization of Lactones
Entry
12
13
14
15
Organocatalyst
Monomer
PBu3
PPhMe2
PPh3
Initiator
Reference
Lactide
Lactide
Lactide
Lactide
PhEtOH
PhEtOH
PhEtOH
PhEtOH
Myers et al. (2002)
Myers et al. (2002)
Myers et al. (2002)
Myers et al. (2002)
Lactide
PhEtOH
Myers et al. (2002)
Lactide
PhEtOH
Myers et al. (2002)
Lactide
PhEtOH
Myers et al. (2002)
P
P
16
Et
P
Et
Fe
Et
P
Et
17
Pipr2
Fe
Pipr2
18
PCy2
PCy2
Fe
The mechanism is pseudoanionic and is based on the activation of the alcohol by attracting the
proton. Phosphazene bases are also prone to catalyzing the ring-opening polymerization of cyclic
esters (Zhang et al. 2007a). In particular, 2-tert-butylimino-2-diethylamino-1,3-dimethylperhydrdro-1,3,2-diazaphosphorine (BEMP) is efficient (Table 1.4, entry 3). It is worth noting that
BEMP exhibits a higher basicity (pKBH+ = 27.6) compared to DBU (pK BH+ = 24.3) and MTBD
(pK BH+ = 25.4). As long as a dimeric phosphazene is used to catalyze the polymerization of racemic
lactide (Table 1.4, entry 4), isotactic polylactide is obtained (Zhang et al. 2007b).
Several catalysts have the ability to activate both the monomer and the initiator at the same
time (Table 1.5). 1,5,7-Triazabicyclo[4.4.0]dec-5-ene (TBD) is an efficient organocatalyst for the
ring-opening polymerization of cyclic esters initiated by alcohols (Table 1.5, entry 1), and the
polymerization takes place by dual activation of both the monomer and the initiator. The activation of the monomer can take place either by an acyl transfer mechanism or by a mechanism
based on hydrogen bonding. This last mechanism was preferred as far as the polymerization
of l-lactide is concerned (Chuma et al. 2008). As long as 1,8-diaza[5.4.0]bicycloundec-7-ene
(DBU) and N-methylated TBD (MTBD) were used as catalysts instead of TBD, the polymerization of lactide was slower. Polymerization of CL and VL did not take place. Indeed, these
experimental data can be easily understood if one takes into account that these catalysts can
only activate the alcohol but not cyclic esters (Lohmeijer et al. 2006). However, a possible trick
to overcome this issue relies on the addition of a thiourea activating cyclic esters by hydrogen
13
Synthesis and Fabrication of Polyesters as Biomaterials
TABLE 1.4
Basic Catalysts for the Ring-Opening Polymerization of Lactones
Entry
Organocatalyst
1
Monomer
N
Initiator
Reference
Lactide
1-Pyrenebutanol
Pratt et al. (2006) and
Lohmeijer et al. (2006)
Lactide
1-Pyrenebutanol
Lohmeijer et al. (2006)
l-lactide
δVL
εCL
1-Pyrenebutanol
1-Pyrenebutanol
1-Pyrenebutanol
Zhang et al. (2007a)
Zhang et al. (2007a)
Zhang et al. (2007a)
l-lactide
1-Pyrenebutanol
Zhang et al. (2007a)
N
N
MTBD
2
N
N
DBU
3
N
Et2N
N
P
N
tBu
4
N
N
P
N
N
N
P
N
tBu
N
bonding (Table 1.5, entry 2). Interestingly enough, both catalytical species can be combined in
a single molecule. Indeed, Hedrick and coworkers reported that the polymerization of cyclic
esters is efficiently catalyzed by 1-[3,5-bis(trifluoromethyl)phenyl]-3-[2-(dimethylamino)cyclohexyl]thiourea with a very good control of the molecular parameters (Table 1.5, entry 3; Dove
et al. 2005). Polymerization takes place also in the presence of both 1-[3,5-bis(trifluoromethyl)
phenyl]-3-cyclohexylthiourea and N,N-dimethylcyclohexanamine (Table 1.5, entry 4; Dove et al.
2005). Whenever only one of these is present, no polymer was obtained, in agreement with a
dual activation mechanism.
1.3.4
ENZYMaTIC RING-OpENING POLYMERIZaTION
Enzymes are very promising nontoxic catalysts for the preparation of biomaterials. They are
green catalysts obtained from renewable resources and are easily separated from polyesters.
Among enzymes, lipases are known to catalyze the hydrolysis reaction of esters. Chemists used
these natural enzymes to catalyze the reverse reaction, for example, the esterification reaction.
The ring-opening polymerization of cyclic esters can be catalyzed by lipases as independently
discovered in 1993 by the groups of Kobayashi (Uyama and Kobayashi 1993) and Knani et al.
(1993). Since then, a wide variety of cyclic esters of different size were polymerized. Several
reviews have been published on this topic (Gross et al. 2001, Varma et al. 2005, Albertsson and
Srivastava 2008, Kobayashi and Makino 2009). Among the different lipases, Candida antarctica
(lipase CA, CALB or Novozym 435) is widely used. An alcohol can purposely be added in the
reaction medium to initiate polymerization. The course of polymerization is influenced by water.
14
Polymeric Biomaterials: Structure and Function, Volume 1
TABLE 1.5
Dual Catalysts for the Ring-Opening Polymerization of Lactones
Entry
Organocatalyst
1
N
N
N
TBD
2
CF3
N
N
3
S
+
N
H
F3C
DBU
Reference
Lactide
δVL
εCL
Pyrenebutanol
Pyrenebutanol
Pyrenebutanol
Pratt et al. (2006)
Lohmeijer et al. (2006)
Lohmeijer et al. (2006)
δVL
εCL
Pyrenebutanol
Pyrenebutanol
Lohmeijer et al. (2006)
Lohmeijer et al. (2006)
Lactide
Pyrenebutanol
Dove et al. (2005)
Lactide
Pyrenebutanol
Dove et al. (2005)
rac
N
H
N
H
F3C
Initiator
N
H
CF3
S
Monomer
NMe2
4
CF3
S
F3C
N
H
+
N
H
NMe2
Indeed, a minimum amount of water needs to be bound to the surface of the enzyme to maintain
its conformational flexibility and catalytic activity (Gross et al. 2001). Nevertheless, water also
initiates this polymerization. The synthesis of high molar mass aliphatic polyesters by enzymatic
ring-opening polymerization is thus difficult because it is not possible to carry out polymerization
in strictly anhydrous conditions. In terms of the control of polymerization, enzymatic polymerization cannot compete with coordination or organocatalytic polymerization. Nevertheless,
enzymatic polymerization has some practical interests. Polymerization proceeds under mild conditions in terms of pH, temperature, and pressure and can be carried out in bulk, in organic media,
and even in supercritical carbon dioxide (Takamoto et al. 2001, Loeker et al. 2004). Moreover,
enzymes are able to catalyze the ring-opening polymerization of large-membered cyclic esters,
which are very difficult to polymerize by chemical catalysts and initiators such as metal alkoxides
and organocatalysts (Duda et al. 2002).
The mechanism of enzymatic polymerization is based on the activation of the monomer and is
very similar to the one already shown for nucleophilic organocatalysts. Briefly, a complex is formed
between the enzyme and cyclic esters. The hydroxyl group of a serine residue of the active site of the
enzyme reacts with cyclic esters affording an activated open form of the monomer. This activated
intermediate then reacts with an alcohol, which can be the initiator or a hydroxyl-end capped chain.
This mechanism is summarized in Figure 1.14.
1.3.5
POLYMERIZaTION Of SUBsTITUTED aND FUNCTIONaLIZED CYCLIC EsTERs
Although PCL, PLA, and PGA are widely used for biomedical applications, it is highly desirable
to synthesize a wider range of aliphatic polyesters in view of the development of novel biomedical
applications. Two main routes were investigated for this application: the first one relies on the direct
15
Synthesis and Fabrication of Polyesters as Biomaterials
O
Lipase
Lipase-OH
O
Lipase/OH complex
O
n
R
n
OH
OR
OH
– Lipase-OH
FigURE 1.14
O
O
n
OH
Enzymatic polymerization of cyclic esters.
chemical modification of aliphatic polyesters, and the second one is based on the synthesis and
polymerization of substituted and/or functionalized cyclic esters.
The direct functionalization of aliphatic polyesters is the most straightforward route. Vert and
coworkers functionalized PCL by a two-step process. Firstly, the metallation of PCL was carried out
by lithium diisopropylamide in order to obtain a poly(enolate), which was then reacted with any electrophile such as naphthoyl chloride (Ponsart et al. 2000), benzylchloroformate (Ponsart et al. 2000),
acetophenone (Ponsart et al. 2000), benzaldehyde (Ponsart et al. 2000), carbon dioxide (Gimenez
et al. 2001), tritiated water (Ponsart et al. 2001), α-bromoacetoxy-ω-methoxy-poly(ethylene oxide)
(Ponsart et al. 2002), and iodine (Nottelet et al. 2006; Figure 1.15).
This approach is very simple, and many functionalized PCL can be synthesized just by
changing the nature of the electrophile. Moreover, the absence of any potentially toxic catalyst is a huge advantage. Unfortunately, this strategy is very touchy because degradation of
aliphatic polyesters by nucleophilic enolates always takes place at a significant level. Under
optimized conditions, degradation can only be limited. Although the process was extended to
the functionalization of PLA, degradation is even more difficult to limit, this polymer being
more sensitive than PCL. Moreover, the content of functionalization is quite low (<30%) even
under optimized conditions.
O
4
O
x
LDA
OLi
4
O
x
Cl
H
MeI
Cl
Ph
O
4
O
FigURE 1.15
O
O
4
x
HO
OBn
O
O
O
O
Ph
O
4
x
O
O
OBn
Functionalization of PCL according to Vert and coworkers.
4
x
O
O
x
16
Polymeric Biomaterials: Structure and Function, Volume 1
The important limitations of the process shown in Figure 1.15 prompted chemists to investigate a
less direct approach based on the synthesis and polymerization of functionalized cyclic esters (Lou
et al. 2003). For that sake, two strategies can be applied. The first one relies on the insertion of the
functional group inside the ring, and the second one is based on the substitution of the cyclic ester
by a pendent functionalized group.
Table 1.6 shows the conditions used for the polymerization of cyclic esters bearing, inside the
ring, functional groups such as an ether (Table 1.6, entries 1–3), a protected amine (Table 1.6,
entries 4,5), an unsaturation (Table 1.6, entries 6,7), a ketone (Table 1.6, entry 8), and an amide
(Table 1.6, entries 9–12) are present.
Table 1.7 shows cyclic esters bearing a substituent, functionalized or not. As functional groups,
aromatics (Table 1.7, entry 1), chloride (Table 1.7, entries 2,3), bromide (Table 1.7, entries 4–6),
iodide (Table 1.7, entry 7), alkyne (Table 1.7, entries 8, 9), alkene (Table 1.7, entries 10–15), and
epoxide (Table 1.7, entry 16) can be mentioned.
Cyclic esters reported in Tables 1.6 and 1.7 are usually polymerized by tin and aluminum
alkoxides. It is worth noting that 6,7-dihydro-2(3H)-oxepinone is an unusual case because this
monomer can be polymerized by another mechanism, the ring-opening metathesis polymerization
(ROMP) process by using the Schrock’s catalyst (Figure 1.16; Lou et al. 2002c).
In terms of chemoselectivity, enzymes are appealing catalysts because they tolerate a wide range
of functional groups and even epoxides (Table 1.7, entry 16). Unfortunately, tin and aluminum alkoxides are less tolerant and do not tolerate the presence of alcohols, carboxylic acids, and epoxides.
Noteworthily, ketones are tolerated by tin (IV) alkoxides but not by aluminum alkoxides for reasons
which still remain unclear (Latere et al. 2002). This issue was overcome by protecting these functional groups prior to polymerization. Table 1.8 shows lactones substituted by protected ketones
(Table 1.8, entry 1), alcohols (Table 1.8, entries 2–6), diols (Table 1.8, entry 7), carboxylic acids
(Table 1.8, entries 8–15), and amines (Table 1.8, entries 16–19). The choice of the protection group
is essential for the success of this strategy. One the one hand, the protected functional groups have
to be stable enough to avoid any degradation prior to polymerization and to allow obtaining the
monomer in a very high purity, which is a prerequisite to achieve polymerization, at least as far
as sensitive initiators are concerned, such as aluminum alkoxides. On the other hand, the protection group has to be removed after polymerization under conditions that prevent degradation from
occurring. For this reason, benzylic alcohols and carboxylic esters are widely used because they can
be deprotected under neutral conditions rather than in acidic conditions. As a rule, these two conditions are contradictory and it is not always that easy to find a satisfactory compromise between the
stability of the monomer and the easy deprotection.
Many of the cyclic esters shown in Tables 1.6 through 1.8 are chiral and possess at least one chiral carbon (R or S). Although the stereoselective polymerization of lactide (Zhong et al. 2004) and
β-butyrolactone (Amgoune et al. 2006, Carpentier 2010) is reported in the literature, the stereoselectivity of their polymerization is in general not discussed and racemic mixtures are polymerized. Obviously,
more attention should be paid to these aspects in the future because stereoselective polymerization
allows the synthesis of aliphatic polyesters with different tacticities, and thus of different properties.
Last but not least, it must be noted that substituted cyclic esters can sometimes be expensive
because their synthesis can require several steps from commercially available compounds at the
expense of the global yield, which can be low. It is beyond the scope of this chapter to describe all
the syntheses of these functionalized cyclic esters, and the reader is invited to read the references
given in Tables 1.6 through 1.8. Another limitation relies on the necessity to synthesize a new cyclic
ester for any new functional aliphatic polyester.
The functionalization of aliphatic polyesters opens up new avenues in the field of biomaterials.
The presence of functional groups allows modifying the biodegradation rate by changing the crystallinity and hydrophilicity or by adding functional groups such as carboxylic acids prone to catalyze
the degradation. Interestingly enough, pH-sensitive aliphatic polyesters can be obtained by grafting
carboxylic acids or amines along aliphatic polyesters. These groups can be under a neutral or an
17
Synthesis and Fabrication of Polyesters as Biomaterials
TABLE 1.6
Ring-Opening of Cyclic Monoesters Functionalized inside the Ring
Entry
Monomer
1
O
Initiator
Bu2SnO, Sn(Oct)2
O
Reference
Al(OiPr)3
Mathisen and Albertsson (1989)
and Mathisen et al. (1989)
Löfgren et al. (1994)
Et3Al, H2O
Shirahama et al. (1993, 1996)
Zn(II) l-lactate
Al (OiPr)3
Kricheldorf and Damrau (1998)
and Raquez et al. (2000)
ROH/Sn(Oct)2
Trollsas et al. (2000)
DBU
Kudoh et al. (2009)
Al(OiPr)3
Lou et al. (2001)
Al(OiPr)3
Schrock’s catalyst
Lou et al. (2002b)
Lou et al. (2002c)
O
2
O
O
Me
3
R
O
O
O
O
4
O
O
N
O
CF3
5
O
O
N
6
O
Ph
O
7
O
O
(continued)
18
Polymeric Biomaterials: Structure and Function, Volume 1
TABLE 1.6 (continued)
Ring-Opening of Cyclic Monoesters Functionalized inside the Ring
Entry
Monomer
8
O
Initiator
Reference
l-Phenyl-2-propanol,
Sn(Oct)2
Latere et al. (2002)
Feng et al. (1999a, 2000)
Feng et al. (1999a,b)
O
Porcine pancreatic lipase
lipase type XIII from
Pseudomonas species
lipase from
Pseudomonas cepacia
lipase type VII from
Candida rugosa
porcine pancreatic lipase
O
porcine pancreatic lipase
Feng et al. (2000)
O
porcine pancreatic lipase
Feng et al. (2000)
O
O
9
O
O
10
N
O
O
11
12
Feng et al. (1999b)
Feng et al. (2000)
N
O
O
Feng et al. (1999a,b)
N
O
O
O
N
ionic form depending upon the pH and their pKa, which affects their solubility in water. Another
application relies on the use of these functional groups for the covalent grafting of biologically active
molecules, drugs, targeting units, and other functional groups. For that sake, very efficient reactions
have to be used under nondegrading conditions. It is not very easy to find a reaction that meets these
criteria (Lecomte et al. 2006). Recently, it turned out that the click copper-catalyzed alkyne-azyde
Huisgen’s cycloaddition reaction (CuAAC) is particularly efficient (Parrish et al. 2005, Riva et al.
2007, Lecomte et al. 2008) in the presence of limited degradation (Lecomte et al. 2008). Moreover,
the reaction can take place in water and in organic solvents. Nevertheless, the use of copper salts
as catalysts is a severe limitation for biomedical applications. Although they are not as efficient as
the CuAAC reaction, several other metal-free reactions have been used such as the esterification
reaction between alcohols and carboxylic acids (Renard et al. 2003, Parrish and Emrick 2004), the
ring-opening of epoxides by thiols (Lou et al. 2002b), the thiol-ene reaction (Rieger et al. 2005), and
the coupling of ketones and oxyamines (Taniguchi et al. 2005, van Horn et al. 2008).
19
Synthesis and Fabrication of Polyesters as Biomaterials
TABLE 1.7
Ring-Opening Polymerization of Functionalized Cyclic Esters
Entry
Monomer
1
O
Initiator
Reference
4-tBu-C6H4-CH2OH, Sn(Oct)2
Simmons and Baker
(2001)
Sn(Oct)2
Al(OiOr)3
Pyridine, Et3N
CF3CO2H
Liu et al. (1999)
Liu et al. (1999)
Liu et al. (1999)
Liu et al. (1999)
2,2-Dibutyl-2-stanna-1,3dioxepane
Lenoir et al. (2004)
Al(OiPr)3
Mecerreyes et al. (1999)
Al(OiPr)3
Detrembleur et al. (2000)
Al(OiPr)3 (copolymerization
with εCL)
Wang et al. (2005)
O
O
O
2
Cl
O
O
3
O
Cl
O
4
O
O
O
O
Br
5
O
O
Br
6
Br
O
O
(continued)
20
Polymeric Biomaterials: Structure and Function, Volume 1
TABLE 1.7 (continued)
Ring-Opening Polymerization of Functionalized Cyclic Esters
Entry
7
Monomer
O
I
Initiator
Reference
MeOH, Sn(Oct)2
El Habnouni et al. (2009)
EtOH, Sn(OTf)2
Parrish et al. (2005)
4-tBu-C6H4-CH2OH, Sn(Oct)2
Jiang et al. (2008)
Al(OiPr)3
Mecerreyes et al. (2000a)
PhCH2OH, Sn(Oct)2
Mecerreyes et al. (2000b)
MeO-[Y] (copolymerization
with βBL)
Ajellal et al. (2009)
O
8
O
O
9
O
O
O
O
10
O
O
O
O
11
O
O
12
O
O
21
Synthesis and Fabrication of Polyesters as Biomaterials
TABLE 1.7 (continued)
Ring-Opening Polymerization of Functionalized Cyclic Esters
Entry
Monomer
13
Initiator
O
Reference
PhCH2OH, Sn(Oct)2
Leemhuis et al. (2008)
2,2-Dibutyl-2-stanna-1,3dioxepane (block
copolymerization with εCL)
Li et al. (2006)
Novozym 435
Veld et al. (2007)
Novozym 435
Veld et al. (2007)
O
O
O
14
O
O
O
O
15
O
O
O
16
O
O
O
O
CH3(CF3)2OC
O
N
Mo
CMe2Ph
OC(CF3)2CH3
O
ROMP
FigURE 1.16
Polymerization of 6,7-dihydro-2(3H)-oxepinone by ROMP.
O
n
22
Polymeric Biomaterials: Structure and Function, Volume 1
TABLE 1.8
Ring-Opening Polymerization of Cyclic Esters Bearing Protected Functional Groups
Entry
Monomer
1
O
Initiator
Reference
Al(OiPr)3
Tian et al. (1997)
Sn(Oct)2 (copolymerization with δVL
and a dilactone)
Pitt et al. (1987)
Al(OiPr)3 (copolymerization with εCL
and TOSUO)
Stassin et al. (2000)
ROH, Sn(Oct)2
Trollsas et al. (2000)
O
O
O
2
O
O
TBDMSO
3
O
O
Et3SiO
4
O
O
PhCH2O
5
O
Leemhuis et al. (2006)
N
O
O
O
Zn
iPrOH,
O
6
OBn
O
O
O
O
iPrOH,
O
Leemhuis et al. (2006)
N
OBn
Zn
23
Synthesis and Fabrication of Polyesters as Biomaterials
TABLE 1.8 (continued)
Ring-Opening Polymerization of Cyclic Esters Bearing Protected Functional Groups
Entry
Monomer
7
O
Initiator
Reference
ROH, Sn(Oct)2
Trollsas et al. (2000)
ROH, Sn(Oct)2
Trollsas et al. (2000)
ROH, Sn(Oct)2
Trollsas et al. (2000)
Al(OiPr)3 (copolymerization
with εCL)
Lecomte et al. (2000)
Tetraethylammonium benzoate
Bizzari et al. (2002)
O
O
O
O
O
Ph
8
O
O
O
OBn
9
O
O
O
OtBn
10
O
O
O
OTBDMS
11
O
O
O
OBn
(continued)
24
Polymeric Biomaterials: Structure and Function, Volume 1
TABLE 1.8 (continued)
Ring-Opening Polymerization of Cyclic Esters Bearing Protected Functional Groups
Entry
12
Monomer
Initiator
O
Reference
Tetraethylammonium benzoate
Barbaud et al. (2004)
PEO-OH, Sn(Oct)2
Mahmud et al. (2006)
PhCH2OH, Sn(Oct)2
Gerhardt et al. (2007)
Al(OiPr)3, Sn(Oct)2, Et2zn
Kimura et al. (1988)
Tetrabutylammonium acetate
Flétier et al. (1990)
iPrOH, Sn(Oct)2
Blanquer et al. (2010)
O
OBn
O
13
O
O
OBn
O
14
O
O
O
O
n
O
15
OBn
n = 1,2
O
O
O
O
O
16
O
O
O
TrN
17
O
O
O
HN
OBn
O
25
Synthesis and Fabrication of Polyesters as Biomaterials
TABLE 1.8 (continued)
Ring-Opening Polymerization of Cyclic Esters Bearing Protected Functional Groups
Entry
18
Monomer
Initiator
O
Reference
Sn(Oct)2 (copolymerization with εCL)
Yan et al. (2010)
PhCH2OH, Sn(Oct)2
Gerhardt et al. (2007)
O
HN
OBn
O
19
O
O
H
N
O
OBn
4
O
O
1.4 RADiCAL RiNg-OPENiNg POLYMERiZATiON Of CYCLiC KETENE ACETALS
Although the ring-opening polymerization of cyclic esters is a very widely used technique to
prepare aliphatic polyesters, special attention has to be paid to a less common process based on
the ring-opening polymerization of cyclic ketene acetals (Bailey 1985, Sanda and Endo 2001,
Agarwal 2010). For instance, the polymerization of ɛCL and 2-methylidene-1,3-dioxepane affords
an aliphatic polyester with the same chemical structure. Nevertheless, the polyester obtained from
ɛCL is semicrystalline and the polyester obtained from 2-methylidene-1,3-dioxepane is completely
amorphous due to a high degree of branching (Jin and Gonsalves 1997, Undin et al. 2010). The
degradation rate of amorphous polymers being faster compared to semicrystalline polymers, the
synthesis of amorphous aliphatic polyesters is promising in terms of biomedical applications.
The mechanism of the polymerization of 2-methylidene-1,3-dioxepane is shown in Figure 1.17.
Radicals add onto the double bond to afford a new radical. This radical rearrange by ring-opening
of the ketal into a new radical, which then propagate. The new C=O double bond is approximately
more stable than 50 kcal than the starting C=C double bond. This energy gain, combined with the
release of the ring-strain, is the driving force of polymerization (Bailey 1985).
Another possible mechanism is the direct radical polymerization without any ring-opening
(Figure 1.18). The polymerization selectivity (ring-opening versus direct polymerization) depends
on several parameters such as ring size, substituents, and temperature. As far as the seven-membered cyclic acetal 2-methylene-1,3-dioxepane is concerned, polymerization takes place with 100%
of ring-opening at room temperature (Bailey et al. 1982). Conversely, ring-opening is accompanied
by direct vinyl polymerization whenever five- and six-membered cyclic acetals are polymerized
(Bailey 1985). It is also worth noting that the presence of substituents can affect the selectivity of
polymerization. Indeed, substituents able to stabilize the radical formed after the ring-opening step
disfavor the direct vinyl polymerization. For instance, polymerization of 2-methylidene-4-phenyl1,3-dioxolane is fully selective with 100% ring-opening, whereas polymerization of unsubstituted
five-membered cycles is usually not selective (Bailey 1985).
26
Polymeric Biomaterials: Structure and Function, Volume 1
O
R +
O
R
R
R
C
O
O
O
O
O
O
O
O
O
C
C
O
FigURE 1.17 Polymerization of 2-methylidene-1,3-dioxepane.
R
R
R
+
O
O
O
C
Ringopening
O
O
O
O
C
O
R
O
O
O
C
O
Direct
polymerization
O
R
C
O
FigURE 1.18
O
O
Polymerization of six-membered cyclic ketene acetals.
This technique of polymerization is not very popular because of its poor selectivity and the very
difficult synthesis and purification of cyclic ketene acetals with moderate or even low yields.
1.5
MACROMOLECULAR ENgiNEERiNg Of ALiPHATiC POLYESTERS
The properties of aliphatic polyesters have to be tailored on demand to develop novel biomedical
applications. The previous sections of this review dealt with the main processes of polymerization and the examples given were limited to homopolymerizations. It was already shown that the
functionalization of aliphatic polyesters is a first tool allowing the extension of the range of their
properties. A second possible approach is based on copolymerization or in the modification of the
architecture in the frame of macromolecular engineering.
1.5.1
COpOLYMERIZaTION
The simplest technique of copolymerization is the polymerization of a mixture of, at least, two
comonomers. The distribution of the two comonomers in the final polymer depends on their reactivity ratios. As far as copolymerization is random, the so-obtained copolyesters exhibit averaged
properties of the corresponding homopolymers. The sequential polymerization of comonomers provides block copolymers, provided that the polymerization is living. In this review, it was shown that
a plethora of initiators and catalysts allows the ring-opening polymerization of cyclic esters to be
living. Accordingly, the literature reports a large number of examples dealing with the synthesis
of block copolymers by this technique. Interestingly enough, block copolymers exhibit brand new
properties compared to the corresponding homopolymers, and thus not just averaged properties as
is the case for random copolymers. In many examples, the ring-opening polymerization of cyclic
esters is just used to synthesize one block and the other block is obtained by another technique.
Synthesis and Fabrication of Polyesters as Biomaterials
27
For example, PCL-b-PEO diblock copolymers are synthesized by successive polymerization of ethylene oxide and ɛCL (Kim et al. 2004, Bednarek and Kubisa 2005). These polymers are amphiphilic, PEO being soluble in water, which is not in the case of PCL. The self-association of these
amphiphilic copolymers in water affords micelles or hollow spheres, which are used as drug carriers
in drug delivery applications. It is worth recalling that PEO is not biodegradable but is biocompatible and bioresorbable provided its molar mass is low enough. A plethora of other works describes
examples of fully degradable block copolyesters synthesized by ring-opening polymerization.
1.5.2
MODIfICaTION Of THE ARCHITECTURE
The synthesis of aliphatic polyesters with various architectures is achieved by using the ring-opening
polymerization of cyclic esters, this technique being living under appropriate conditions.
A first example is given by star-branched polyesters, which show particular properties such as
lower melt viscosities, lower crystallinity, and smaller hydrodynamic volume. Interestingly enough,
star-shaped copolyesters contain a higher number of chain-ends compared to linear polymers.
Whenever chemists desire to graft a drug, a targeting unit, or a probe, the use of star-shaped polyesters rather than linear polyesters is thus an easy trick to increase their number. Two main techniques
allow synthesizing star-shaped copolyesters. In the frame of the arm-first technique, living chains
are coupled onto multifunctional (>3) electrophiles (Tian et al. 1994). Conversely, the initiation of
the ring-opening polymerization by multifunctional initiators is known as the core-first technique.
The most usual conditions are based on the initiation of the polymerization of cyclic esters by polyols in the presence of tin octoate (Trollsas et al. 1998, Lang et al. 2002, Kricheldorf 2004, Choi
et al. 2005). Another approach less commonly used relies on the initiation of the polymerization by
a spirocyclic initiator (Kricheldorf and Lee 1996, Li et al. 2008). Finally, the arm-first and core-first
techniques can be combined to synthesize star-shaped copolymers in order to increase further the
range of properties of star-shaped copolymers (Van Butsele et al. 2006, Riva et al. 2011).
Graft polymers are other examples of polymers with a branched architecture (Dai et al. 2009).
These polymers can be synthesized by three main methods. The polymerization of chains end-capped
by a polymerizable unit, i.e., a macromonomer, is known as the “grafting through approach.” The
“grafting onto” process is based on the coupling of chains functionalized at one chain-end onto a
backbone bearing several complementary functions. The last process, the “grafting from” technique,
relies on the initiation of the polymerization by a macroinitiator bearing several initiating units.
Hyperbranched aliphatic polyesters are obtained by the polymerization of ABx inimers made up of an
initiator and a polymerizable group. Typical examples are lactones substituted by unprotected alcohols
(Liu et al. 1999a, Trollsas et al. 1999, Tasaka et al. 2001, Yu et al. 2005a, Parzuchowski et al. 2006).
The crystallinity, biodegradation rate, and the mechanical properties of biomaterials made up
of aliphatic polyesters can be modified by implementing cross-linking reactions. For instance,
Hedrick and coworkers reported the cross-linking of PCL bearing pendant acrylates (Mecerreyes
et al. 2001). An intramolecular cross-linking takes place under diluted conditions and nanoparticles
are then prepared. As far as the cross-linking is carried out at higher concentration, intermolecular
cross-linking affords three-dimensional networks. The cross-linking can be carried out in the presence of radicals (Mecerreyes et al. 2001) or photochemically (Riva et al. 2007, Vaida et al. 2008).
The cross-linking of linear or star-shaped aliphatic polyesters bearing an unsaturation at least at two
chain-ends is also possible (Turunen et al. 2001, Kweon et al. 2003). The cross-linking can be carried out by processes based exclusively on ring-opening polymerization. In this respect, Albertsson
and coworkers reported on the ring-opening polymerization of tetrafunctional bis-(ɛ-caprolactones)
(Palmgren et al. 1997, Albertsson et al. 2000). Other cross-linking agents are made up of other
polymerizable heterocycles, such as bis-carbonates (Grijpma et al. 1993) or lactones substituted
by epoxides (Lowe et al. 2009). All these processes are based on the ring-opening polymerization
technique. Nevertheless, networks can also be obtained by the polycondensation of comonomers,
one of them being at least trifunctional (Kricheldorf and Fechner 2002, Theiler et al. 2010).
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Polymeric Biomaterials: Structure and Function, Volume 1
Finally, the cross-linking can be carried out by the coupling of telechelic polymers with polyesters bearing along the chains the complementary functional groups. Several coupling reactions are
reported for that sake such as the Michael addition of amines onto acrylates (Theiler et al. 2010),
the coupling of ketones and oxyamines (van Horn and Wooley 2007), the click copper(II) catalyzed
azide-alkyne cycloaddition (Zednik et al. 2008), and the esterification reaction (Kricheldorf and
Fechner 2001, Kricheldorf 2004, Theiler et al. 2010).
Finally, it is worth noting that other examples of architectures such as macrocycles (Li et al.
2006, Jeong et al. 2007, Lang et al. 2002, Hiskins and Grayson 2009, Misaka et al. 2009, Xie et al.
2009) can be found in the literature. Nevertheless, their impact on the field of biomaterial is quite
limited and they will not be reported in this review. As far as macrocycles are concerned, the lack
of applications as biomaterials can be accounted for by their difficult synthesis even though some
recent progresses have been made in this field (Laurent and Grayson 2009).
1.6 CONCLUSiONS
The importance of biodegradable and biocompatible aliphatic polyesters as biomaterials and as environmentally friendly thermoplastics prompted researchers to develop efficient processes for their synthesis,
mainly by step-growth polymerization and ring-opening polymerization of cyclic esters. Nowadays,
owing to the impressive progresses achieved in this field, it is possible to synthesize aliphatic polyesters
with high and controlled molar masses, to control the functionalities at the chain-ends and to graft
functional groups all along the chains. The architecture of aliphatic polyesters can also be modified on
demand in the frame of macromolecular engineering. Remarkably, ring-opening polymerization can
be carried out by a very wide range of polymerization techniques such as anionic, cationic, coordination, organocatalytic, enzymatic, and radical polymerizations. The synthesis of aliphatic polyesters can
thus be considered as a mature field. Currently, the challenge for a chemist remains to develop efficient
processes for the synthesis of ultrapure aliphatic polyesters, thus noncontaminated by toxic catalytical
residues. In this regard, tin(II) bis-(2-ethylhexanoate) is still widely used despite its known toxicity and
very difficult extraction. Obviously, more work needs to be done despite the very important progresses
being reported in the last few years. In the future, special attention will have to be paid to implement
green processes, for instance, by avoiding organic solvents and to the synthesis of a wider range of biobased aliphatic polyesters from new monomers produced from renewable resources.
ACkNOWLEDgMENTS
CERM is indebted to the “Belgian Science Policy” for general support in the frame of the
“Interuniversity Attraction Poles Programme (IAP 6/27)—Functional Supramolecular Systems.”
P.L. is research associate by the “Fonds National pour la Recherche Scientifique” (FRS-FNRS).
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