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Introduction
n edible film can be defined as a thin layer of edible material, which can be formed on a food as a coating or preformed as a film that can be placed between food components, used as a food wrap, or formed into a pouch to contain foods. Its purpose is to inhibit migration of moisture, oxygen, carbon dioxide, aromas, and lipids; carry food ingredients (for example, antioxidants, antimicrobials, and flavors); and/or improve mechanical integrity or handling characteristics of the food (Krochta and De Mulder-Johnston 1997). Materials used to produce edible films can be divided into 4 categories: biopolymer hydrocolloids, lipids, resins, and composites. Biopolymer hydrocolloids include proteins such as gelatin, keratin, collagen, casein, soy protein, whey protein, myofibrillar proteins, wheat gluten, and corn zein; and polysaccharides such as starch, starch derivatives, cellulose derivatives, and plant gums. Suitable lipids include waxes, acylglycerols, and fatty acids. Resins include shellac and wood rosin. Composites generally contain both lipid and hydrocolloid components in the form of a bilayer or an emulsion (Krochta and others 1994; Perez-Gago and Krochta 2005). Formation of edible films can be achieved by 2 main processes. The wet process involves biopolymer dispersion or solubilization in a film-forming solution (solution-casting) followed by evaporation of the solvent. The dry process relies on the thermoplastic behavior that some proteins and polysaccharides display at low mois-
ture levels in compression molding and extrusion (Cuq and others 1997b; Pommet and others 2005; Liu and others 2006). The objective of this article is to review the literature available on compression molding and extrusion of vegetable proteins (corn zein, wheat gluten, soy protein) and animal proteins (milk proteins, myofibrillar proteins, collagen, gelatin), and to identify the critical material- and process-related factors and physicochemical mechanisms that affect the film-making process. Properties and applications of the resulting film structures are also reviewed.
Material-Related Factors
Proteins
Proteins exist in all living cells. They are a major constituent in skin, nerve tissue, tendons, muscle, hair, blood, enzymes, and hormones (Stevens 1999). They are also present in plants to provide structure and biological activity (Krochta 2002). Therefore, proteins are a renewable, biodegradable/edible resource with great potential to improve the quality and stability of a large range of food products by using a number of processing techniques. For a long time, proteins have been used to produce edible materials, but understanding of the precise physical and chemical mechanisms of protein interactions continues to evolve (Ar as 1992; Li and Lee 1996; e Redl and others 1999a; Pommet and others 2005). Proteins are heteropolymers, with -amino acids being their monomer units. With the 20 amino acids most commonly found in proteins (see Table 1), an almost limitless number of sequential arrangements with a wide range of interactions and chemical reactions is possible (McMurry 1994; Stevens 1999; Pommet and others 2003). In this regard, proteins differ from polysaccharides, where only a few monomers are involved in the range of polysaccharides
C 2008 Institute of Food Technologists doi: 10.1111/j.1750-3841.2007.00636.x
MS 20070640 Submitted 8/20/2007, Accepted 11/3/2007. Authors are with Dept. of Biological and Agricultural Engineering, Univ. of California, Davis, Davis, CA 95616, U.S.A. Author Krochta is also with Dept. of Food Science and Technology, Univ. of California, Davis, Davis, CA 95616, U.S.A. Direct inquiries to author Krochta (E-mail: jmkrochta@ucdavis.edu).
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cross-linking and an open random-coil structure. The high proline content results in better emulsifying properties compared to whey protein (Khwaldia and others 2004). Whey protein comprises 20% of the milk protein and is the protein that remains soluble after casein has been precipitated at pH 4.6. Whey protein includes -lactoglobulin (M w = 18 kDa), -lactalbumin (M w = 14 kDa), bovine serum albumin (M w = 66 kDa), immunoglobulins, and proteose-peptones. Whey proteins are globular and heat labile in nature (Krochta 1997). Myofibrillar proteins. Fish has been the main source of myofibrillar proteins for edible film formation. Regardless of the source (mammalian or fish), the main proteins found in the muscle are myosin (500 kDa) and actin. These proteins are obtained after removing other components such as blood, lipids, myoglobin, and collagen through a series of washing treatments. Fibrous proteins (myosin, F-actin) can form films with good mechanical properties, while globular proteins such as G-actin need to be unfolded first (Lacroix and Cooksey 2005). Collagen and gelatin. Collagen is a fibrous protein found in hides, tendon, cartilage, bone, and connective tissue. Two major components consisting of 2 types of covalent cross-linked chain pairs have been identified: (M w = 100 kDa) and (M w = 200 kDa) (Lacroix and Cooksey 2005). A unique characteristic in collagen is the occurrence of glycine in every 3rd amino acid residue throughout most of its structure (Krochta 1997). Hydrolysis of collagen produces gelatin with molecular weights from 3 to 200 kDa depending on the raw material used and the handling conditions (Lacroix and Cooksey 2005).
Plasticizers
Plasticizers are generally added to the protein matrix to improve processability and to modify the properties of the final structure. As opposed to internal plasticizers, which are copolymerized or reacted with the polymer, external plasticizers consist of low molecular weight, low volatility substances that interact with the polymer chains producing swelling (Sothornvit and Krochta 2005). Water is the most effective plasticizer in biopolymer materials, enabling them to undergo the glass transition, facilitating deformation, and processability of the biopolymer matrix. Without water addition, the temperature region of thermal degradation would be easily reached before films could be formed (Tolstoguzov 1993). However, an excessive amount of water during protein extrusion would decrease melt viscosity, which, in turn, would lead to low motor torque and specific mechanical energy input, resulting in low product temperature that could reduce the degree of protein transformation and interactions. Besides water, common plasticizers for edible films include monosaccharides, oligosaccharides, polyols, lipids, and derivatives (Sothornvit and Krochta 2005). Plasticizer composition, size, shape, and ability to attract water have been shown to affect solution-cast whey protein film barrier properties (Sothornvit and Krochta 2000). Glycerol (C 3 H 8 O 3 ) is a low molecular weight, hydrophilic plasticizer that has been widely used in the thermoplastic processing of proteins (Redl and others 1999a; Cunningham and others 2000; Zhang and others 2001; Pommet and others 2003, 2005; Sothornvit and others 2003, 2007; Hernandez-Izquierdo 2007). Its high plasticizing effect has been attributed to the ease with which glycerol can insert and position itself within the 3-dimensional biopolymer network (di Gioia and Guilbert 1999). Sucrose (C 12 H 22 O 11 ) and sorbitol (C 6 H 14 O 6 ) have also been studied for their plasticizing effects, including plasticizing fish myofibrillar proteins to produce biopackaging materials by thermal compression-molding (Cuq and others 1997b). Pommet and others (2005) tested several compounds with
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Process-Related Factors
Compression molding
Processing conditions dictate the type and extent of physical and chemical modifications that take place during thermoplastic processing of proteins (Moraru and Kokini 2003). The combination of high temperatures, high pressures, short times, and low moisture contents in compression molding causes the transformation of proteinplasticizer mixtures into viscoelastic melts. The protein films are then formed upon cooling through hydrogen, ionic, hydrophobic, and covalent interactions (Pol and others 2002). Compression-molded soy protein isolateglycerol films were produced at an optimum temperature of 150 C, a pressure of 10 MPa, and a dwell time of 2 min (Cunningham and others 2000). Thermogravimetric analysis (TGA) indicated that soy protein degraded at temperatures above 180 C (Ogale and others 2000). Similar conditions were used to form compression-molded whey protein isolateglycerol films, but dwell times above 2 min resulted in film degradation at high temperatures. Above 140 C, film degradation occurred at both the minimum (0.81 MPa) and the maximum (2.25 MPa) pressures studied (Sothornvit and others 2003). However, no films could be formed at 104 C with dwell times below 2 min. The use of higher compression molding temperatures promotes a more extensive protein denaturation resulting in higher cross-linking and reduced solubility. Sothornvit and others (2003) found that whey protein isolateglycerol films obtained at 104 C
Table 2 --- Plasticizers used in the thermoplastic processing of proteins. Plasticizer 1,4-Butanediol DATEMa Dibutyl tartrate Dibutyl phthalate Glycerol Protein studied Wheat gluten Corn gluten meal (rich in zein) Corn gluten meal (rich in zein) Corn gluten meal (rich in zein) Corn gluten meal (rich in zein) Wheat gluten Soy protein Soy protein Wheat gluten Wheat gluten Wheat gluten Whey protein Whey protein Wheat gluten Corn gluten meal (rich in zein) Wheat gluten Corn gluten meal (rich in zein) Myobrillar proteins Myobrillar proteins Corn gluten meal (rich in zein) Wheat gluten Processing method Compression molding Compression molding Compression molding Compression molding Compression molding Extrusion Compression molding Extrusion Extrusion Compression molding Compression molding Compression molding Extrusion Compression molding Compression molding Compression molding Compression molding Compression molding Compression molding Compression molding Compression molding Reference Pommet and others (2005) di Gioia and Guilbert (1999) di Gioia and Guilbert (1999) di Gioia and Guilbert (1999) di Gioia and Guilbert (1999) Redl and others (1999a) Cunningham and others (2000) Zhang and others (2001) Pommet and others (2003) Pommet and others (2003) Pommet and others (2005) Sothornvit and others (2003) Hernandez-Izquierdo (2007) Pommet and others (2005) di Gioia and Guilbert (1999) Pommet and others (2005) di Gioia and Guilbert (1999) Cuq and others (1997b) Cuq and others (1997b) di Gioia and Guilbert (1999) Pommet and others (2005)
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Extrusion
Extrusion is one of the most important polymer processing techniques in use today. Most synthetic plastics, such as LDPE (low density polyethylene) films, are processed in extruders and generally pass through two or more extruders before the finished product is obtained (Robertson 1993). Therefore, extrusion of edible/biodegradable films would increase their commercial potential, offering several advantages over solution-casting. An extruder constitutes a specialized form of continuous HTST (hightemperature short-time) reactor (Fichtali and van de Voort 1989) where the raw materials are continuously introduced into a hopper, conveyed by a screw, and pushed through a die of a desired shape. The process can involve any or all of the following operations: heating, cooling, feeding, conveying, compressing, shearing, reacting, mixing, melting, homogenizing, amorphousizing (converting polymer crystalline domains to amorphous domains), cooking, and shaping. The extruder barrel can be subdivided into 3 processing zones: (1) the feeding zone, where the granular, lowdensity raw material is introduced into the barrel and slightly compressed with expelling of air; (2) the kneading zone, with further compression, a higher degree of fill, and increasing pressure, temperature, and material-density; and finally, (3) the heating zone, where the highest shear rates, temperatures, and pressures are achieved along with the final product texture, color, density, and functional properties (Hauck and Huber 1989). Controllable or process variables include screw speed, screw configuration (location and dimensions of individual screw elements such as conveying elements and kneading blocks along the shaft), screw length-todiameter ratio (L/D), barrel temperature profile, moisture addition, feed rates, and die size/shape. Dependent, response, or system parameters include product temperature, residence time distribution, torque, specific mechanical energy input (SME), pressure at the die, and degree of screw fill. Finally, target variables can be subdivided into product characteristics (for example, moisture content, color, texture, flavor, nutritional value) and economic response variables (Fichtali and van de Voort 1989). For film formation, target variables include moisture content, mechanical, barrier, and color properties, among others. Dry, granular zein resins containing a mixture of fatty acids (39.9% linoleic acid, 15.6% oleic acid, 13.6% palmitic acid, 5.4% linolenic acid, and 5.2% stearic acid) were extruded into sheets using a corotating twin-screw extruder with 5 heating zones. Barrel temperatures in zones 1, 2, and 3 were kept constant at 40, 80, and 120 C, respectively. Processing variables under study included barrel temperatures in zones 4 and 5 (110, 120, and 130 C), amount of solvent (70% aqueous ethanol) added (20%, 30%, and 40% [v/w]), and screw speed (150, 200, and 250 rpm). Increasing extrusion temperature increased the tensile strength but decreased the elongation of the extruded sheets. Although added solvent decreased melt viscosity and improved processability during extrusion, there were no significant effects on tensile properties. Screw speed was also not significant in this study (Ha and Padua 2001).
Protein interaction
The various possible ways in which proteins may interact during thermoplastic processing are unclear. The reactivity of proteins depends on their physicochemical environment as well as the thermomechanical treatment. Plasticizer effect. The type and amount of plasticizer used can have an effect on protein reactivity as well as extrudate properties. A study on the influence of plasticizer type on the reactivity (aggregation/deaggregation) of gluten proteins showed that octanoic (at levels of 25%, 30%, and 35% weight/total weight) and lactic (at levels of 20%, 30%, and 35% weight/total weight) acids inhibited protein aggregation in spite of the high mixing temperatures used, which otherwise promote protein aggregation. Further thermal treatment (compression molding) resulted in higher aggregation of gluten proteins plasticized with octanoic acid than gluten proteins plasticized with lactic acid. The pH of gluten plasticized with octanoic acid was 4.4 compared to 2.4 with lactic acid. The aggregation of gluten proteins is thought to involve sulfhydryl/disulfide interchange reactions. Since S works as a catalyst, such reactions are not favored by acidic conditions (Pommet and others 2005). Sothornvit and others (2003) reported that compression-molded whey protein films plasticized with water (at levels of 30%, 40%, and 50% of total mixture weight) resulted in brittle and insoluble films, while films plasticized with glycerol (at levels of 30%, 40%, and 50% of total mixture weight) were flexible and their solubility depended on the temperatures used to form the films. Extrusion of whey protein-based sheets with 46%, 49%, and 52% glycerol in dry basis was successfully achieved by injecting a liquid mixture consisting of 70% glycerol and 30% water into the 2nd section of a twin-screw extruder barrel. The 1st section of the extruder was used to feed whey protein isolate powder that was mixed later on with the liquid mixture at different feed rates depending on the formulation under study. Temperatures were gradually increased along the barrel. Water contents in the liquid mixture higher than 30% resulted in product expansion, while feeding 100% glycerol affected processability, producing high torque and discoloration of the films (Hernandez-Izquierdo 2007). Ha and Padua (2001) extruded corn zein and fatty acids (1:0.75, w/w) into sheets. Stable extrusion runs could be achieved due to fatty acid binding onto the zein surface, as suggested by differential scanning calorimetry (DSC). The binding phenomenon prevented lipid phase separation and sticking of the zein onto the extruder barrel. Temperature and moisture effects. Proteins are also sensitive to changes in temperature, which can degrade proteins, and moisture, which acts as a plasticizer. High temperatures and low moisture contents can result in protein degradation during
nlike polysaccharides, where the only reactive group is the hydroxyl group, proteins offer a large range of possible interactions and chemical reactions. Proteins can participate in chemical reactions through covalent (peptide and disulfide) linkages and non-covalent interactions through ionic, hydrogen, and van der Waals bonding. In addition, hydrophobic interactions occur between nonpolar groups of amino acid chains (Kokini and others 1994).
Physicochemical Mechanisms
Plasticization
To reduce the brittleness and improve processability of proteinbased materials, addition of plasticizers is generally required (Pommet and others 2005). The plasticizing effect of small polar molecules such as glycerol and water has been described in terms of insertion and positioning within the 3-dimensional protein network. The following plasticizing mechanisms have been proposed to describe the effect of plasticizers on the protein network (di Gioia and Guilbert 1999; Sothornvit and Krochta 2005): 1. The lubricity theory, where the plasticizer is seen as acting as a lubricant to facilitate mobility of the chain molecules past one another. 2. The gel theory, which considers the disruption of polymer polymer interactions (hydrogen bonds and van der Waals or ionic forces). 3. The free volume theory, which considers that the plasticizer increases the free volume and mobility of polymer chains. This theory has been used to understand the effect of plasticizers in lowering the glass transition temperature.
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Film Properties
he properties (mechanical, thermal, permeability, and microstructural) of the structures that result from the thermoplastic processing of protein-based materials will depend on the raw materials as well as the processing and testing conditions used.
Mechanical properties
Stress/strain curves that result from film tensile testing provide valuable information on film flexibility, toughness, and elongation, useful in the prediction of the package performance during handling and storage. Mechanical properties of compression-molded soy protein (Cunningham and others 2000; Ogale and others 2000; Pol and others 2002), whey protein (Sothornvit and others 2007), and wheat gluten (Pommet and others 2005) films and extruded soy protein (Zhang and others 2001), corn zein (Wang and Padua 2002), and gelatin/sodium alginate films (Liu and others 2006) have been reported. As glycerol content increased from 20% to 40%, the percent elongation of compression-molded soy protein films increased from 1.5% to 106%, and the tensile strength of the films decreased
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Table 3 --- Tensile properties of compression-molded and extruded protein lms.a Tensile properties Film formulation 40% Gly-WPIb 50% Gly-WPIb 46% Gly-WPIc 49% Gly-WPIc Oleic acid-zeind 40% Gly-SPIe 50Gly:100 SPIf LDPEg HDPEg Polyesterg PVCg Formation method Compression molding Compression molding Extrusion Extrusion Extrusion Compression molding Extrusion Extrusion ------Tensile strength (MPa) 8 4 4 3.5 4.2 2.6 7.1 13 26 178 93 Elastic modulus (MPa) 144 60 46.5 37 96.4 --144 --------Elongation (%) 85 94 127 121 96.3 74.5 --500 300 85 30
a Abbreviations: Gly = glycerol; WPI = whey protein isolate; SPI = soy protein isolate; LDPE = low density polyethylene; HDPE = high density polyethylene; PVC = polyvinyl chloride. b Sothornvit and others (2007). c Hernandez-Izquierdo (2007). d Wang and Padua (2002). e Cunningham and others (2000). f Zhang and others (2001). g Lacroix and Cooksey (2005).
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Microstructural properties
The microstructural characteristics of protein-based films are a function of the formulations and processing conditions used to manufacture the films. Ogale and others (2000) used atomic force microscopy (AFM) and scanning electron microscopy (SEM) to study the surface texture of compression-molded soy protein films. Surface characteristics ranged from smooth and glassy for pure protein films, rough with scattered air bubbles for 20% glycerol films, homogeneous for 30% glycerol films, to nonhomogeneous for 40% glycerol films. Cross-sections of the films containing 0% and 20% glycerol were smooth, while 30% and 40% glycerol films presented ridges and valleys, which can be related to a more ductile material. Pol and others (2002) studied the microstructure of soy protein isolate/corn zein laminated films. Optical microscopy and field emission scanning electron microscopy findings were in agreement with those reported earlier for unlaminated soy films containing 30% glycerol (Ogale and others 2000). On the other hand, the microstructure of corn zein coatings was smooth and did not present ridges and valleys, indicating a glassy, brittle type of material. SEM images of extruded oleic acidzein sheets showed that single-screw extruded sheets had a large number of pinholes, while
Permeability properties
Compared to edible waxes and most synthetic polymers, protein films have high water vapor permeability (WVP) values. Among different proteins, the lowest WVP corresponds to corn zein, wheat gluten, and fish myofibrillar protein films (Krochta 2002). Sothornvit and others (2003) studied the effect of plasticizer content and processing conditions on WVP and protein solubility of compression-molded whey protein films plasticized with either glycerol or water. WVP was not affected by plasticizer content, molding temperature, or molding pressure. However, films plasticized with glycerol had higher WVP values than those plasticized with water. This effect was attributed to the loss of moisture that oc-
Table 4 --- Thermal transitions of compression-molded and extruded protein lms.a Film formulation 49% Gly-WPIb 40% Gly-SPIc 30Gly:100 SPId
a
Abbreviations: Gly = glycerol; WPI = whey protein isolate; SPI = soy protein isolate; DSC = differential scanning calorimetry; DMTA = dynamic mechanical thermal analysis. Zhang and others (2001).
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Film Applications
dible protein-based films obtained by thermoplastic processes provide the opportunity to fulfill the consumers demands and expectations of new food packaging systems that are convenient and environmentally friendly (Han 2005). Edible films can be used as wraps or formed into pouches, bags, casings, or sachets, resulting in reduced waste and improved recyclability of the packaging system. Wheat gluten and soy protein films have been explored as a replacement for collagen in sausage casings. Soy protein films have also been considered in the production of water-soluble pouches (Krochta 1997). Corn protein-based thermoplastic materials could be used for compostable items (di Gioia and Guilbert 1999). Proposed uses for whey protein-based films include formation of edible or biodegradable wraps for food products (Sothornvit and others 2007) and small pouches for preweighed ingredients (Hernandez-Izquierdo 2007). Addition of antimicrobials, antioxidants, and flavors might result in a wider range of applications.
Conclusions
hermoplastic processing of proteins for film formation has promising potential for large-scale production of edible films. Such films could be used for food wraps, layers between food components, or heat-sealed to form sacks, sachets, pouches, or bags to contain dry foods or preweighed ingredients. The films could also work together with conventional packaging to improve food quality, while reducing the amount and complexity of the packaging waste and making the package system more easily recyclable. The processability of the proteins depends on their transition from the glassy to the rubbery and free-flow states. These transitions are achieved through adequate use of plasticizers and appropriate processing conditions such as temperature and dwell time for compression molding, and feed rates, barrel temperature profile, screw configuration, and screw speed in the case of extrusion. Improvement of mechanical and barrier properties of protein films that would more closely resemble those of synthetic packJOURNAL OF FOOD SCIENCEVol. 73, Nr. 2, 2008
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