Marten Niklas Gey and
Uwe Schröder
*
Institute of Biochemistry, University of Greifswald, Felix-Hausdorff-Str. 4, 17489 Greifswald, Germany. E-mail: uwe.schroeder@uni-greifswald.de
First published on 16th July 2025
One of the major challenges in the oxidation of the carbohydrate-based 5-(hydroxymethyl)-furfural (HMF) to 2,5-furandicarboxylic acid (FDCA) – a reaction of great relevance for the production of biopolymers – is the need for alkaline conditions. Many of the published oxidation systems operate at pH 13–14, at which a self-polymerization of HMF to strongly colored humic substances occurs. To date, this side reaction has only been investigated to a limited extent. This study presents a first investigation of the humic substance formation of alkaline HMF solutions upon storage over a period of more than 200 hours. A comparison of the HMF degradation with that of its benzyl analog 4-(hydroxymethyl)-benzaldehyde (HMB) showed that humic substance formation is caused by the opening of the furan ring, which subsequently induces linking of the individual HMF molecules. Parallel to this, the Cannizzaro reaction proceeds, which, in the observed concentration range of 20–100 mM, converted approx. 20% of the initial HMF. Further analysis of the humic substance formation by UV/Vis spectroscopy revealed that this process can be separated into a “build-up” phase (within the first 24 h) and an “aging” phase (after 24 h), in which the colored humic material is decolorized again due to the presence of dissolved atmospheric O2. Based on the solubility at different pH values, the formed humic material was classified as a mixture of humic acids and fulvic acids, while (fully insoluble) humins were not formed. Finally, FTIR spectroscopy was utilized to carry out a structural investigation of the acid-insoluble humic acid fraction.
The base-catalyzed humic substance (BCH) formation is an immense problem for process upscaling, e.g. when it comes to the storage of alkaline HMF solutions. However, in many publications on HMF oxidation under the respective conditions it is only described as an unpleasant side effect, if at all.15–18 While several studies have investigated the humic substance formation of HMF under acidic conditions19–24 – which is relevant for the production of HMF – only a few studies have so far focused on the characterization and formation mechanism of BCH. However, some fundamental information can be derived from the current literature:
(1) The BCH formation is enabled by the presence of both the aldehyde- and the alcohol functionality in the HMF molecule, which allows random linkage of the monomers. Thus, it was shown by Kim et al. that the formation of BCH can be prevented by acetal protection of the aldehyde group.25
(2) Higher concentrations of HMF and OH− lead to an acceleration of the degradation reactions and thus to a higher proportion of side products.13,26
(3) Tashiro et al. carried out a computational analysis of possible oligomers formed from HMF and thus delivered an energetic assessment of the first BCH formation steps. They also investigated the effect of acetal protection on the energy levels.27
(4) Vuyyuru and Strasser performed time-resolved 1H NMR measurements of stored alkaline HMF solutions. They found that the two protons of the aromatic furan ring undergo a high-field shift (from 7.0 and 7.9 ppm to a broad signal range of 6.2–7.2 ppm) and concluded that an opening of the aromatic ring occurs during the BCH formation.12
(5) Multiple studies report that BCH cannot be oxidized to FDCA anymore.16,28 However, e.g. Liu et al. reported for their electrochemical system that BCH oxidation to FDCA was possible, without describing any details.29
(6) Alongside the BCH formation, some monomeric substances were found to be formed in alkaline environment. For instance, 5-(hydroxymethyl)-furancarboxilic acid (HMFCA) and 2,5-bishydroxymethylfuran (BHMF) are obtained by the Cannizzaro reaction, in which the aldehyde group of two HMF molecules are disproportionated to a carboxyl and a hydroxyl group.26,30 Furthermore, the formation of levulinic acid (LA) and formic acid (FA) were reported to be formed under harsh conditions (i.e. high temperatures and/or high oxygen or air pressure) as a result of ring opening.30–32
Despite this essential information, an experimentally proven formation mechanism of BCH has not been proposed so far. A general problem is that, due to the irregular structure of humic substances, it is difficult to interpret results of the conventional spectroscopic methods (e.g. IR or NMR). Thus, a precise analysis of the mechanism is not trivial, which can also be deduced from the ongoing discussion concerning the acid-catalyzed humic substance (ACH) formation.19–24
This paper aims to provide a general overview of the topic of alkaline HMF degradation under typical storage conditions (ambient temperature, standard pressure) and to deliver a first experimental assessment of the BCH formation mechanism and structure. Based on the available information stated above and by comparison with the established mechanisms of ACH formation, a general reaction scheme can be proposed (Scheme 1).
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Scheme 1 Possible mechanisms for the HMF degradation in alkaline solutions with exemplary oligomeric products. |
It contains:
(I) The Cannizzaro reaction, yielding HMFCA and BHMF in a 1:
1 ratio.
(II) The formation of LA and FA after ring-opening. This is possibly a result of a nucleophilic attack of the hydroxide ion in the 2-position of the aromatic ring, as shown in the established mechanisms for levulinic acid formation in acidic environments.33,34
(III) A ring-conserving polymerization mechanism. A possible reaction would be the linkage of single HMF molecules through hemiacetal formation. The reaction pathway shown corresponds to the one that leads to the most stable trimer according to the computational study of Tashiro et al.27
(IV) A ring-opening polymerization mechanism. This could proceed, for example, by the formation of 2,5-dioxo-6-hydroxyhexanal (DHH), which was first proposed for the ACH formation by Horvat et al.34 The formation of this molecule is also conceivable in alkaline solutions, as it is induced by the addition of water to a double bond of the aromatic ring. The ring-opened DHH would accordingly offer four binding positions for an aldol reaction (addition or condensation).20,21 However, DHH was not spectroscopically identified so far, thus suggesting a high reactivity.
It should be noted that these reaction pathways could also take place in parallel. Thus, formed products of different pathways could also react with each other to form the irregular humic structure. It is therefore crucial to identify which of the initial reaction pathways can occur.
To investigate this, we monitored the alkaline HMF degradation over a storage duration of 216 hours (9 days). HPLC analysis was used to identify the products of reactions (I) and (II) To obtain an experimental assessment of the polymerization mechanisms (reactions (III) and (IV)), we compared the degradation behavior of HMF with the analogous benzyl derivative, 4-(hydroxymethyl)-benzaldehyde (HMB). This was done because we suspected that ring-opening reactions (reactions (II) and (IV)) should not occur with HMB due to the higher stability and the lower reactivity of the benzene ring to nucleophilic attacks.35 Accordingly, we expected to identify if a ring-conserving polymerization mechanism (III) can occur by monitoring the HMB conversion and the production of the respective Cannizzaro products. This would allow us to make a statement whether or not a ring-opening mechanism is necessary for the BCH formation of HMF. Furthermore, we used UV/Vis spectroscopy as a simple technique to investigate the formation of the colored BCH in solution and performed a first structural analysis via FTIR spectroscopy.
A visible coloration of the light-yellow HMF solutions was already observed within the first hour after preparation, in which, depending on the initial concentration, 8–14% of the substrate was converted. After 24 h, over 90% of the HMF was depleted at all tested concentrations and almost full depletion was reached after 3 days (Fig. 1a). The product analysis showed that about 18–23% of the HMF was converted to Cannizzaro products, while LA and FA were not found in any sample. It can therefore be assumed that the base-catalyzed formation of LA and FA is only possible at elevated temperatures or oxygen pressures, as expected on the basis of the literature.30–32 Thus, 77–82% of the HMF was converted to humic material.
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Fig. 1 Performance parameters during the degradation of (a) HMF and (b) HMB solutions of different concentrations in 1.0 M KOH. Equations of the respective Cannizzaro reaction are given to simplify color assignment. Numerical values are stated in Table S1 in the ESI.† |
In contrast, the HMB solutions did not show any visible coloration, even after the storage time was extended to 13 days. HPLC analysis showed that the conversion was slower compared to HMF, so that no full conversion was observed in the experimental time frame (Fig. 1b). The reacting substrate was fully converted into the Cannizzaro products 4-(hydroxymethyl)-benzoic acid (HMBA) and 1,4-bis-(hydroxymethyl)-benzene (BHMB), so that MB values close to 100% were reached for the entire storage time. These results show, that a polymerization to humic substances is not possible in the absence of a furan ring, while the Cannizzaro reaction (which does not involve the aromatic ring) is still observed. Thus, it can be deduced that a ring-conserving HMF polymerization mechanism (Scheme 1, reaction (III)) can be excluded for the chosen alkaline conditions as it should also have been observed for HMB. Accordingly, it is concluded that the formation of BCH proceeds via a ring-opening mechanism. An aldol reaction, as shown in reaction (IV) (Scheme 1) would be conceivable for this, as it forms a larger conjugated π-system, which would lead to an absorbance shift towards the visual spectrum and thus to the observed coloration.
This finding raises the question of why an acetal protection of the aldehyde apparently prevents the ring opening (and thus the BCH), as observed by Kim et al. (key point (1) in the introduction),25 even though this functionality is not directly involved in the ring-opening mechanism. An answer to this question has already been provided by the computational study of Tashiro et al., which showed that the activation energy of the nucleophilic attack of the hydroxide ion as well as the energy of the resulting intermediate is considerably increased by the acetal protection.27 The authors explained this with the loss of π-conjugation of the protected carbonyl functionality, which leads to a more unstable intermediate.
After full conversion of HMF, the yields of the Cannizzaro products remained constant, which confirms their stability in the alkaline solution under standard conditions as reported previously.26 Interestingly, in our experiments the product mixture differed from the expected 1:
1 yield ratio (Fig. 1a). While similar BHMF yields of 12–13% were obtained for all initial HMF concentrations, the final HMFCA yield only lay between 5% (from 20 mM HMF solutions) and 10% (from 100 mM HMF solutions). This finding was confirmed by the UV/Vis spectra, which is explained in more detail in the ESI.†
Since the yield ratio of the Cannizzaro products from HMB was close to 1:
1, a possible explanation could be that HMFCA is partially incorporated into the forming humic substances, e.g. by a reaction with the ring-opened intermediate. This process only seems to occur while HMF is still present in the solution, as the HMFCA yields remained constant after HMF was fully converted. However, it would be expected that this effect is more pronounced at higher HMF concentrations, which contradicts the observation (Fig. 1a). To the best of our knowledge, this effect has not been described yet, as in many published results on alkaline HMF degradation the yields of the Cannizzaro products were not quantified13,30 or the obtained HMFCA yield was simply doubled to obtain the total yield of Cannizzaro products.28 Krebs et al. provided proof of a 1
:
1 yield ratio for 1.0 M HMF solutions in 5 M KOH by quantitative NMR.26 Furthermore, they described that the yield of the Cannizzaro products is increased at higher HMF concentrations (up to a limit of 300 mM), without giving yields for the single products. This could be in agreement with our findings, as the effect seems to appear less at higher HMF concentrations. However, the question of why this effect was observed here could not be conclusively answered within this study.
The freshly prepared HMF solutions showed absorption peaks at 230 nm and 284 nm (Fig. 2, black curves). The conversion to the Cannizzaro products was observed by a decrease of the HMF peaks and the formation of two peaks at 223 nm and 251 nm (Fig. 2a and b), which corresponded to BHMF and HMFCA respectively (spectra of the corresponding standards are shown in Fig. S1 in the ESI†). Since the absorbance maxima of the two Cannizzaro products overlapped with the decreasing HMF peaks, they formed a broad absorbance band. Both the decrease of the HMF peaks and the increase of the Cannizzaro peaks were more pronounced at a higher initial HMF concentration. This is in consistence with the higher HMF conversion and HMFCA yield obtained by HPLC (Fig. 1a).
The formation of humic material became apparent by the growth of a broad band at longer wavelengths, which extended into the visual range (340–440 nm) and thus caused the observed coloration. The behavior of this band revealed that the BCH formation can generally be divided into two phases. The first phase proceeded within the first 24 h of the storage time, in which most of the HMF was consumed. In this “built-up” phase, the absorbance of the 340–440 nm band increased (Fig. 2a and b), which indicated a growing concentration of oligomeric and polymeric substances with larger conjugated π-systems. The increasing BCH band showed an isosbestic point with the decreasing HMF peak at 314 nm, demonstrating that HMF was stoichiometrically converted to the BCH. Furthermore, the formation of distinct peaks at 391 nm and 412 nm was observed, which became particularly clear in the 100 mM solutions at a low dilution factor (Fig. 2d, yellow curve). This could indicate that certain oligomers are preferentially formed, e.g. due to a favored binding position at the ring-opened molecule. However, all solutions had a dark brown color after a storage time of 24 h (Fig. 3).
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Fig. 3 Photographs of HMF solutions in 1.0 M KOH after different storing times in the presence and absence of dissolved O2. |
The second phase started after 24 h, in which a decrease of the 340–440 nm absorbance band was observed (Fig. 2c and d). Especially in the 100 mM solutions, the absorption peaks that had formed during the first phase showed a flattening until the end of the experiment. This caused a visible decolorization of the dark brown solutions (Fig. 3). To the best of our knowledge, this behavior has not been described for HMF yet. It suggests that the formed humic material undergoes an “aging” process, in which the size of the conjugated π-system is reduced again. This is probably caused by reactions of double bonds with dissolved O2. Thus, in comparative experiments with N2-purged HMF solutions no decolorization effect was observed (Fig. 3) and the BCH peaks at 391 and 412 nm were maintained during 9 days of storage (not shown). As a structural analysis based on the UV/Vis spectra was not possible, further experiments for the determination and classification of the humic structure were carried out, which are described in the next section.
For reasons of comparison, UV/Vis spectra were also recorded during storage of the HMB solutions (Fig. S2 in the ESI†). Here, only the Cannizzaro reaction was observed by the decrease of the HMB absorption peaks (213 nm and 256 nm) and the growth of the HMBA and BHMB peaks at 234 nm and 218 nm, respectively. This confirmed the obtained results from the HPLC measurements.
As expected, acidification led to the formation of an insoluble fraction, which, for the 100 mM HMF solutions, increased to approx. 15 wt% of the initial HMF during the storage time. We used this fractionation for further structural characterization of the humic material formed under the presence of dissolved atmospheric O2. The separated fulvic acid fraction showed a generally lower absorbance in the UV/Vis spectrum with no remarkable BCH band at 340–440 nm after 24 h (Fig. S3 in the ESI†). This indicated that the decolorization effect is caused by a structural change of the humic acid fraction. Accordingly, we used FTIR spectrometry for a structural analysis of the dried solid after different storing times (Fig. 4).
The spectra of the humic acid fraction showed considerably broader peaks than HMF. Nevertheless, some specific absorption peaks from the HMF spectrum could be found, which allowed a structural characterization. It was also noticeable that the spectra showed great similarity to spectra of acid-catalyzed humic substances (ACH) from HMF, but also from glucose and fructose published by other groups.21,23,24 The peaks at 1019 cm−1, 1190 cm−1 and 1520 cm−1 from the HMF spectrum, were also found in the humic acid spectra, albeit slightly shifted. As these wavenumbers correspond to typical values of a ring breathing mode, a C–H in-plane deformation mode and a CC stretching mode of the furan ring, respectively,21,37 these spectra showed that closed furan rings are still present in the humic acid fraction. This also contradicts the statement made by Vuyyuru and Strasser.12
Furthermore, the CO stretching vibration of HMF, which was found at 1662 cm−1, was substantially reduced in the humic acid spectra, though new peaks were formed in this spectral region. This indicated the formation of new carbonyl groups through the polymerization. In particular, two new peaks at 1698 and 1614 cm−1 were formed. Patil et al. also observed the formation of these peaks during the ACH formation and assigned them to the C
O and C
C stretching vibrations of an unsaturated ketone, respectively.21 This supports the theory that aldol adducts from HMF and DHH were formed in our case (see structures in Fig. 4).
At longer storage times, the peaks of the humic acid spectra became increasingly broader and thus more unstructured, which indicates the formation of new bonds with deviating vibrational properties. This effect was also apparent for the new peaks at 1698 and 1614 cm−1, which additionally showed a shift to higher and lower wavenumbers, respectively. This change illustrates the structural change of the humic acid fraction, which apparently also leads to decolorization. Additional absorbance increases were measured in the wavenumber ranges of 1400–1100 cm−1 and 3600–2600 cm−1 (not shown), which are in the range of C–O and O–H stretching vibrations and thus indicate the formation of hydroxyl and ether groups. This could be a result of the reaction of CC double bonds with the dissolved O2. A conceivable mechanism for this would be a radical-induced formation of hydroperoxides, similar to the processes that occur during the autoxidation of unsaturated fatty acids such as in linseed oil.38 This could lead to new oxygenated functionalities (hydroxide or carbonyl groups) as well as well as cross-linking between different oligomeric molecules.
Finally, this study made clear once again that the direct oxidation of HMF under strongly alkaline conditions, which is still preferred for electrochemical and photochemical systems, is not suitable for industrial application. Even a storage time of 1 h led to a mole balance decrease of about 10% due to BCH formation – despite the comparatively low concentrations tested here. Although a solution for this problem cannot be derived from the results of this study, we believe that the better understanding of the humic compound formation obtained here will contribute to the development of concepts for the prevention of this unwanted side reaction and a generally greater awareness by the scientific community. Thus, research should rather focus on the slightly alkaline or even non-alkaline pH region, where only few systems have been published so far.39–41 In addition, alternative methods could be developed, such as the prior stabilization of the alkaline HMF solution through the targeted production of Cannizzaro products.26
Initial concentration of HMF or HMB | Dilution factors used for UV/Vis analysis | |
---|---|---|
20 mM | 1![]() ![]() |
1![]() ![]() |
50 mM | 1![]() ![]() |
1![]() ![]() |
100 mM | 1![]() ![]() |
1![]() ![]() |
Performance parameters were calculated according to the standard definitions (eqn (S1)–(S3) in the ESI†). The values shown in Fig. 1 represent mean values of the duplicate. Error bars were not depicted for clarity of the figure. Instead, numeric mean values and standard deviations can be found in Table S1 in the ESI.†
Footnote |
† Electronic supplementary information (ESI) available. See DOI: https://doi.org/10.1039/d5ra02859k |
This journal is © The Royal Society of Chemistry 2025 |