Polymerization Mechanisms Explained
Polymerization Mechanisms Explained
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1. Definitions.
The importance of polymerisations is indicated by the title of the
present program, and it is a curious fact that little agreement exists
concerning the accepted meaning of this term. Text-books, dictionaries,
and even recent publications by original investigators,l generally state
that a monomer and its polymer have identical compositions, and a
corollary is that polymerisation consists in pure self-addition, and is
peculiar to unsaturated compounds. But it appears that not one of these
conditions is necessarily satisfied by reactions that are universally re-
cognised to be polymerisations. Moreover there is little relation between
actual usage and text-book definitions.
An accepted polymerisation is the transformation of formaldehyde
into polyoxymethylene. The process under some conditions perhaps is
x CH20 --+ (CH,O),,
and under others
x CH,=O + H2O + HO-(CH2--O),-H.
In the latter case for moderately small values of x the composition of the
polymer will be very different from that of formaldehyde : a t large values
of x the difference may be questionably detectable, but the question, of
course, is one of fact not definition.
Turning to the mechanism of the process, there are various con-
ceivable possibilities, such as :
I . The polymerisation of perfectly pure and dry formaldehyde might
involve opening of the carbonyl bond giving free radicals -CH2-0-
whose mutual combination would result in a long chain.
2. In the presence of traces of water, we might have first
-+
HOCH,O]~~CH,OI~]CH,O H HOCHzOCHzOCH20-
ie., an intermolecular condensation or dehydration.
Further peculiarities are illustrated by polyesters where all of the
following transformations can be realised in one case or a n ~ t h e r . ~
,*+I o-R-co I
L t c
A
HORCOOH\
Heat 1
. . . -O-R-CO-O-R-CO-O-R-CO-O-R-CO-. ..
B
In many cases the acid can be converted into a polyester under condi-
tions where the monomeric lactone C is known to be stable. Moreover,
it is then often possible by titration to show that a terminal carboxyl
group is present in the ester product in the expected amount. The
reaction involved is clearly one of condensation (not self-addition of an
unsaturated or cyclic intermediate). Nevertheless, it seems scarcely
reasonable or practical to argue that the product is not a polymer. For
one thing, such polyesters can generally be transformed under appropriate
conditions to the corresponding cyclic monomers (lactones), and the latter
can be reconverted to products practically indistinguishable from B.
In this case the reaction must consist essentially in self-addition. We can
hardly say that a compound of the type B is a polymer if formed by one
method, but not if formed by another. Moreover, there are some cases
(e.g., 6-lactones and lactide) where transformation between B and C
occurs so readily that it is difficult or impossible to know which one is
the product first formed from the acid. Similar confusion occurs with
many reactions involving formaldehyde : it is often impossible to know
whether products arise by direct intermolecular dehydration of a methylol
compound or by self-addition of an intermediate methylene compound.
Further illustrations might be offered, but these perhaps are sufficient
to show that : the composition of high polymers is not necessarily iden-
tical with that of the supposed parent monomers ; polymerisations that
appear superficially to involve only self-addition may involve prelim-
inary hetero additions, and then actually proceed as condensations (or
the reverse may be true) ; polymerisations are in any event not peculiar
to unsaturated compounds (keeping in mind, for example, cyclic anhy-
drides, esters, acetals, and certain ethers and imines).
It is obvious that definitions need to be revised. It will not suffice
to insist merely that usage is frequently wrong. The unfortunate effsct
of existing discrepancies becomes especially apparent when one reads
that a resinification reaction (between an aldehyde and a phenol) doubt-
less proceeds through an unsaturated monomeric intermediate, because
polymerisations are peculiar to unsaturated compounds.
Polymerisations are a special class of reactions, but just how are they
distinguished from other intermolecular reactions ? Conventionally,
they involve the mutual combination of a number of similar molecules,
Carothers, Dorough, and Van Natta, J. A m , Chem. SOC.,1932, 54, 761 ;
Carothers and Hill, ibid., 1559 ; Hill and Carothers, ibid., 1933, 55, 5031. 5043 ;
Spanagel and Carothers, ibid., 1935, 57, 929.
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W. H. CAROTHERS 41
but this is not sufficient : the formation of diethyl ether is not polymerisa-
tion, and besides we already find references to mixed or hetero-poly-
merisations where the participating molecules are not all alike.
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pertinent fact is that the physical properties of high polymers are pro-
foundly affected by their physical history : the melting-points of certain
polyesters can be reduced several degrees by the mere application of
stress and their strength in the direction of stress is a t the same time
increased many fold. Finally, reactions of polymerisation also appear
to be uniquely adapted to the chemistry of vital growth because they
are the only reactions that are capable of indefinite structural propaga-
tion in space.
Curious analogies with vital growth are found in granular polymerisa-
tions which have as yet received very little published attention, although
a few observations on chloroprene in this connection have already been
described.g
If we place a*fewgrams of liquid chloroprene in the bottom of a long
tube together with a little catechol to inhibit polymerisation, chill the
tube, pump i t out thoroughly and seal the top a t thejamp, the tube may
be allowed to stand upright for weeks without the appearance of any
change. But if we concentrate a strong beam of light on a small spot
a t the top of the tube, a minute speck of white solid will appear within
a short time. The light may then be removed : the speck will grow to a
cauliflower-like mass a t the expense of the vapours and thence of the
liquid monomer until the latter is exhausted. The polymer on super-
ficial inspection seems to be a mass of globules or cellular crystals, but
X-ray examination reveals no crystalline pattern. The growth of the
mass apparently occurs a t different rates in different directions, Some-
times lateral growth is more vigorous than'vertical, and the mass will
then burst the walls of a very heavy tube, although the total volume of
polymer is only a fraction of the available space. Any fragment of the
granular mass when placed in fresh chloroprene liquid or vapour will act
as seed around which further growth occurs. The viability of the mass
as seed will usually persist on standing in laboratory air for several days,
but finally it is lost. Similar observations can be made with butadiene
and other materials. The analogies of this process with d t a l growth
are obvious. The process may be labelled heterogeneous autocatalysis,
but the mechanism of the catalytic effect is obscure. Reactive centres
in the sense of free radicals are scarcely admissible, since the viability
persists in air, and for various reasons neither adsorption nor solution
seems to offer an adequate explanation.
Many different types of synthetic polymers can be made, but no
naturally occurring polymerisation has yet been exactly simulated. Why
should we not be able to synthesize cellulose, or proteins, or rubber?
We can make innumerable members of each of these types : polyacetals,
polyamides, and polyprenes. We can even make polyprenes that equal
natural rubber in strength and elastic extensibility and are superior to it
in many other respects, but the method (ie., the polymerisation of
chloroprene) is as yet subject only to empirical methods of control and
not to rational methods based on completely elucidated theoretical
principles. Besides, this goal has not yet been approached starting from
isoprene, and it is not at all certain that nature builds up rubber directly
from isoprene : she might, for example, start with methyl-n-propyl
6 Carothers, Williams, Collins and Kirby, J. A m . Chem. SOC.,1931, 53, 4214.
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W. H. CAROTHERS 43
ketone and carry out a selective condensation polymerisation completely
evading the diene intermediate.
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- C = l ~ 2 1 C H C H 2 C H 2 C \ ~ l C H C H 2 C H 2 etc.
Cl~
I I- I-
CH3 CH3 CH3
The synthesis of proteins raises a different set of questions. ct-amino
acids (or their esters) can be polymerised directly in vitro, but the
product is usually the cyclic dimer (diketopiperazine). But in the
organism, cyclisation apparently does not occur : reaction is exclusively
intermolecular and a linear polyamide results. Generally speaking,
cyclisation and chain formation represent two paths, the choice between
which is determined almost completely by the nature of the initial
reactant (especially its unit length).'
The conditions in vitro presumably are the normal ones of chance.
If both reactions follow the same mechanism, we can say that in a com-
pound of the type NH,CH,CONHCH,COOH, intramolecular approach
of the terminal groups is more frequent than intermolecular (which
means cyclisation in vitro), but in the organism the probabilities are
reversed and chain formation occurs. How can this b e ? Temperature
and moderate dilution have small control over such matters, and perhaps
then in the wrong direction. But if reaction is preceded by adsorption
a t an interface, as it might be biologically, the molecule is no longer free
to assume its spatially probable configuration. Its head, tail, and middle
are fastened to a surface and the only terminal approaches then possible
may be intermolecular. This picture is not here proposed as a solution
of the mechanism of protein synthesis: it is introduced rather as an
interestingly conceivable possibility, but especially for the purpose of
emphasising the following points : ring formation and chain formation
are the two alternatively possible results of every bifunctional reaction ;
complete control over these alternatives is possible only by bringing the
ends of the molecules together or separating them a t will; the only
apparent prospect of achieving this result lies in the use of surface
forces ; reactions in vivo probably occur largely a t surfaces ; and in any
event the effect of surfaces on bifunctional reactions presents an almost
completely unexplored field (except for the interesting preliminary work
of Freundlich and of Salomon).8
3. Polyfunctionality .
Polymerisations generally may be divided into those that are bi-
functional and those of higher orders. We may take an hydroxy acid
as an example of the bifunctional type :
HORCOOH + HORCOOH __.+ HORCOORCOOH + H20.
The two reacting molecules are monomers; the first product is a dimer,
since it contains two structural units. At this point, half of the initial
functional groups have disappeared ; similarly, it is evident that the
formation of two ester linkages (trimer) will involve 67 per cent. reaction,
a tetramer will correspond with 75 per cent. reaction, etc. In general, if
7 Carothers, J. A m . Chem. SOC.,1929, 51,2548 ; Hill and Carothers, ibid.,
1933,559 5033-
8 Helv. Chim. Acta, 1934, 17,88.
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p = 1 - : .
X
The following values are further illustrative :-
p o 0.5 0.8 0.9 0.99 0'999
X I 2 5 I0 2O
0S g 5 I00 1000
The average molecular weight rises very steeply with increasing degree
of reaction beyond 0.95, and hence it is not impossible (as some authors
maintain) to obtain very large molecules from condensation polymerisa-
tions. If p should reach one the molecular weight would become
infinite.
As a hypothetical example of a more highly polyfunctional reaction,
we may take an acid R(COOH), and consider the result of intermolecular
anhydride formation. We assume that the structure and conditions
are such that no intramolecular reaction occurs a t any stage. Repre-
senting the acid by A4 the anhydride would be
. . . - A2 - A2 - A 2 - A 2 - A 2 - A ' - . . .,
etc., where the superscripts indicate that each unit bears two unreacted
carboxyls. Hence when all of the molecules have been combined into
one (and no further intermolecular reaction therefore can occur) only 50
per cent. of the initially present functional groups have disappeared, i.e.,
p = 0.5. The formation of branching chains of course does not affect
this conclusion.
A general equation relating degree of reaction, polymerisation, and
functionality can be developed.
Let f = degree of functionality (ie., number of functional
groups per monomer molecule).
N o = number of monomer molecules initially present.
Then No .f = number of functions initially present.
N = number of molecules after reaction has occurred.
2(Nn- N ) = number of functions lost.
2(Ni-
N , = fraction of functions lost = p = extent of reaction.
No *fAT
1v
Obviously, ;?;io = average degree of polymerisation = x.
Hence
(2) T-
2
X-=
f
2
p = degree of reaction.
W. H. CAROTHERS 45
remains still unreacted. The product is completely infusible and
insoluble.
Obviously, bifunctional reactions can yield only linear polymers ;
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and there is evidence among such polymers that solubility and fusibility
are not lost even a t very high molecular weights. But reactions of
higher ordeis always present the possibility of spreading out in three
dimensions.
Returning to the anhydride symbolised above as
. . . - A2 - A2 - A2 - A2 - A2 - A2 - . . .
let us suppose that the chain is 100 units long, and bears 200 carboxyl
groups. Such a molecule could easily be soluble and fusible. If further
intermolecular reaction occurs, the chain must become cross-linked.
Obviously, when 2 carboxyls have been lost from each chain, all the
chains will be locked into a single molecule. This involves the loss of
I per cent. of the remaining carboxyls : and it will certainly be accom-
panied by the disappearance of fusibility and solubility: a gram of
matter cannot exhibit the kinetic behaviour of a single molecule.
Referring again to formula (2) if x is very large the second term dis-
appears, and we have p = 2 / f which tells a t what degree of reaction the
molecular weight will become infinite, or where, in polyfunctional re-
actions, gelation will occur and intermolecular reaction cease.
2
For a bifunctional reaction p = - - I, and since this value never can
f-
actually be reached, gelation will not occur. For a trifunctional reaction,
the limit will lie at p = 3, for a tetrafunctional reaction a t 8. We
may note in passing that for this reaction at x = 100,p = 49.5 per cent. ;
thus the average molecular weight will suddenly change from a moderate
to a colossal value with very little change in the extent of reaction : and
so far as the utility of the formula is concerned, it is not important
whether the transition in properties occurs at a molecular weight of 105
or 1020.
In attempting to apply formula ( 2 ) the chemistry of the situation
must, of course, be taken into account. A double bond will count as a
double function only if reaction is exclusively intermolecular a t every
stage. Multiple function compounds often do not exercise all their
functions together. In the formation of polyprenes from dienes, only
the I , 4-positions of the latter are at first called into play. The remaining
double bond of each unit functions under slightly different conditions to
cause cross-linking. Acetylene would be a tetra-functional compound
and probably behaves as such in the formation of cuprene. In the
formation of divinyl a ~ e t y l e n e CH,=CH-C
,~ =C-CH=CH,, only half
of its unsaturation is involved. Th-is material again in the early stages
of its thermal polymerisation behaves like a bifunctional compound
yielding, for example,1°
CH,=CH-C C-CH - CH2
I I
I I
CH2-CH-C =C-CH==:CH,
but gelation usually occurs long before all of the divinyl acetylene has
reacted.
Nieuwland, Calcott, Downing and Carter, J. Am. Chem. Soc., 1931~53,4197.
and Carothers, J. Am. Chem. Soc., 1934,56, 1167.
lo Cupery
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W. H. CAROTHERS 47
A t a minimum then all the rubber molecules could be locked together
when only 0.04 per cent. of the double bonds had disappeared, or
about 0-02 per cent. by weight of sulphur had reacted. A good estimate
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'c
48
L
*9 a m .
3
.
,
'
I
R
.
,
I
I
1
POLYMERS AND POLYFUNCTIONALITY
1
I
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W. H. CAROTHERS 19
that we are dealing with a wide distribution of species. Certain relations
are most briefly shown by means of an example.
If we assume that the weight of the mer or unit is IOO, and reaction
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