1

Current overview of encapsulation

Shirish H. Sonawane1, Bharat A. Bhanvase2, Manickam Sivakumar3,
Shital B. Potdar4
1
CHEMICAL ENGINEERING DEPARTMENT, NATIONAL INSTITUT E OF T ECHNOLOGY,
WARANGAL, INDIA 2 CHEMICAL ENGINEERING DEPARTMENT, LAXMINARAYAN INSTITUTE OF
TECHNOLOGY, R TM NAGPUR UNIVERSITY, NAGPUR, INDIA 3 CHE MIC AL AND
ENVIRONMENTAL ENGINEERING DEPARTMENT, UNIVERSITY OF NOTTINGHAM, J ALAN
BROGA, M ALAY SIA 4 DEPARTME NT OF CHEMICAL ENGINEERING, NATIONAL INSTITUTE OF
TECHNOLOGY, WARANGAL, IND IA

Chapter Outline

1.1 Introduction to encapsulation .................................................................................................... 1

1.2 Current trends in the encapsulation processes ........................................................................ 4
1.3 Encapsulation of active substrate and their target applications ............................................ 6
References ........................................................................................................................................... 7
Further reading ................................................................................................................................... 8

1.1 Introduction to encapsulation

Encapsulation dates back to the 19th century. In the year 1963, Harvard Business School
prepared a report on encapsulation and underlying phenomena of encapsulation. Fanger
published an article in 1974 in the history of encapsulation. Encapsulation is the process of
stabilization of active compounds through the structuring of systems capable of preserving
their chemical, physical, and biological properties, as well as their release or delivery under
established or desired conditions [1]. It is very well known that natural plants, herbs, and food
materials have valuable compounds and possess the potential to utilized for various applica-
tions, such as in the treatment of diseases like cancer. As an alternative to synthetic preservative
and flavouring agents it has been used since the dawn of medicine to treat various illnesses in
Ayurveda or food-processing industries as an alternative to synthetic preservatives and flavoring
agents. However, these bioactive compounds are subjected to degradation with environmental
conditions such as temperature and moisture. So, it is essential to extract and store these valu-
able compounds. Encapsulation is a promising way to preserve these active compounds.
In the process of encapsulation, either one or the mixture of bioactive material is coated
with another single or combination of materials. In encapsulation, two main terminologies

Encapsulation of Active Molecules and their Delivery System. DOI: https://doi.org/10.1016/B978-0-12-819363-1.00001-6

© 2020 Elsevier Inc. All rights reserved.
1
2 Encapsulation of Active Molecules and their Delivery System

are frequently used the material that is being coated is termed as the active material or
core material, and another one is the shell material that is also termed carrier material
(shell). The shell material can be in the form of solid, liquid droplets, and gas bubbles to
encapsulate liquid or gas inside as a core. The core and shell structure can be in various
shapes such as the sphere, microcapsules, microbeads, monocore, multicore, matrix, and
multishell. The core and shell material of the encapsulation vary depending on the applica-
tions and possess specific characteristics, for example, core materials used in food are
essential oils (acting as a preservative and flavoring agent) and shell materials are whey
protein, gum arabic, maltodextrin, etc. In the medical field the used, core materials are
drugs such as the influenza virus, stem cells, DNA, and insulin and shell materials are poly-
methylmethacrylate, and the encapsulation methods are copolymerization, solvent dis-
placement, gelation, etc.
Encapsulation is used in various areas for different purposes. In biology, it is useful in the
encapsulation of living tissue, individual cells, hormones, enzymes or antibodies, and other
biological materials. In the food industry, encapsulation is carried out to add flavor to pro-
ducts that are reduced in various food-processing steps. The extraction of a drug molecule
and its encapsulation in the pharmaceutical field give natural drug delivery and also help to
reduce the side effects of synthetic drugs. Encapsulation technique is also used in the agri-
cultural field to encapsulate pesticides, fertilizers, and other agrochemicals that allow
growers to precisely control the conditions under which the active ingredient is released.
Encapsulation can also help to minimize the use of pesticides and reduce their environmen-
tal impact. Nanocontainer preparation for corrosion inhibition is also an attractive area gain-
ing the attention of many researchers to use nanoparticles such as titania, zinc molybdate as
core material and encapsulate them with different polymers either through layer-by-layer
approach or by in situ polymerization [2].
With time the domain of encapsulation received enormous attention, while various meth-
ods of extraction and encapsulation have been developed depending upon the application
and the characteristics of materials. Various methods of extraction can be listed as hot water
bath extraction, Soxhlet extraction [3], microwave-assisted extraction [4], extraction using the
maceration [5], supercritical carbon dioxide extraction [6], and ultrasound-assisted extrac-
tion. Once the bioactive core material is extracted from a natural source, it is desired to
encapsulate using various techniques. The encapsulation techniques can be broadly divided
into two main categories, that is, chemical and physical encapsulations. There are three dif-
ferent methods of chemical encapsulation, namely, coacervation, molecular inclusion [7],
and cocrystallization [8]. Physical encapsulation is also known as mechanical encapsulation.
Spray-drying [9,10], extrusion [11], freeze-drying and vacuum drying, spray-cooling or chill-
ing, and fluidized bed coating are the methods of physical encapsulation. New age techni-
ques of encapsulation include high- and low-energy emulsification techniques [12]. Two
types of emulsion are formed, namely, microemulsion and nanoemulsion. The fundamental
difference between these two types is the droplet size of emulsion. The size for microemul-
sion is one to several microns, and it is in the range of few nanometers for nanoemulsion.
 Chapter 1 • Current overview of encapsulation 3

FIGURE 1–1 Encapsulation techniques and the release mechanisms.

FIGURE 1–2 Ultrasound-assisted miniemulsion encapsulation process. Reprinted with permission from Sonawane,
et al., J. Phys. Chem. C 114 (2010) 5148 5153.

The nanoemulsion technology is becoming attractive because of its advantages over microe-
mulsion such as higher encapsulation efficiency and increased product yield (Fig. 1 1).
Ultrasound-assisted miniemulsion is one of the advanced methods of encapsulation. In
this method, miniemulsion polymerization is carried out using the ultrasound-assisted tech-
nique. The prepared emulsion using ultrasound is shown in Fig. 1 2. Using ultrasound the
cavitation technique, it is possible to prepare the inorganic core surrounded by polymeric
4 Encapsulation of Active Molecules and their Delivery System

FIGURE 1–3 Encapsulation of active molecules and the release mechanism.

shell dispersed in the continuous matrix such as water. Using the ultrasound-assisted
method, it is possible to encapsulate active material in a tiny size may be in the range of
20 50 nm. The encapsulated material could be used as a photoanode, drug delivery
system, etc.
The release of encapsulated core material can occur by two mechanisms: controlled
release and uncontrolled (a triggered mechanism) release. The controlled release of the
encapsulated core material is the critical step in the process. As shown in Fig. 1 3, the liquid
core is encapsulated using a polymeric shell. Based on the crack propagation, the release of
active agents occurs from the core. The liberated molecules react with the polymer matrix,
and healing occurs. This type of release mechanism is based on mechanical stimulation.
The release of the encapsulated drug in a controlled manner gives the maximum thera-
peutic efficiency by delivering the drug at the targeted tissue at an optimal amount and in an
optimal period. The controlled release of food flavor is desirable as sometimes if an uncon-
trolled release occurs, the flavor is lost within a short period before reaching the consumer
for consumption. The benefits of encapsulation are shown in Fig. 1 4.
The efficiency and benefits of encapsulation attract the researchers and scientists to study
encapsulation to overcome limitations such as uncontrolled release in its practical use in
many industries. The basics of encapsulation in different fields such as food, pharmaceutical,
agriculture, and corrosion have been explained with detailed experimentation and specific
examples in the following chapters.

1.2 Current trends in the encapsulation processes

The advantages and benefits of encapsulation technology have been applied in various areas
of application, from food and beverage industry, waste and environmental technology, plant
and animal, medical and pharmaceutical, energy, engineering, etc. Fig. 1 5 shows the
functional application areas of encapsulation.
 Chapter 1 • Current overview of encapsulation 5

FIGURE 1–4 Applications of encapsulation.

FIGURE 1–5 Application areas of encapsulation.

As described in the above sections, encapsulation is in use for more than 60 years. In ear-
lier days the focus was on the encapsulation of active material for food and most pharma-
ceutical drug preparation only. However, the area has become vast, and the encapsulation
techniques are used in many sectors starting from dairy products such as personal care
product, agricultural product, and surgery tools in medicine.
With the advancement in nanotechnology, scientists are aware of the advantages of nano-
scale products over microscale products in terms of using the surface area effectively. So,
there is a growing trend in synthesizing nanoscale core shell emulsion encapsulation.
Sometimes, it is found that the single process will not give higher encapsulation efficiency,
and thus the combination of encapsulation techniques such as synthesizing core shell
emulsion using ultrasound and making it more stable by storing it in powder form by spray
6 Encapsulation of Active Molecules and their Delivery System

drying facility is more useful. Similarly, the combination of the core material and/or the
combination of shell material is now being well practiced because of their unique
characteristics.
Minimization of the use of synthetic products in each field is attracting researchers and
industries to work in the area of encapsulation. As an example, the chemically prepared
drugs have side effects after consumption, and thus, natural drugs are required. The orally
administered drugs are dissolved completely and instantly by interacting with the solvent.
Thus drug encapsulation provides a layer of protection for the gradual release of its drug
content when it is naturally dissolved. Consumers suspect that synthetic preservatives and
flavoring agents in food are harmful to the body, so they prefer natural preservatives. The
extract of natural products such as essential oils from various food items such as gingerol,
soya seed, and safflower have food preservative properties, whereas extracts from fruits act
as a flavoring agent and are proved beneficial for health from ancient years. Nearly the same
is the scenario for agricultural products, synthetic pesticides, fertilizers, and other agrochem-
icals, which help in increasing the production at the expense of fertility loss of soil, which is
a serious issue to consider. Products prepared using natural encapsulation will not only stop
fertility loss of soil but also help to improve the soil fertility. Because of the uncertainty of
environmental conditions such as rain, sometimes the active agents in fertilizer and pesti-
cides get degraded before raining starts and find no usefulness in germination and growth.
Agrochemicals prepared using encapsulation leads to the controlled release of active materi-
als that are useful in the growth when raining occurs.

1.3 Encapsulation of active substrate and their target

applications
The research employs microencapsulation technology in home care products such as small
microcapsules laundry powder, personal care products such as makeup creams, face wash,
lotions, and fragrances, which will neither degrade with environmental temperature nor
leave side effects on the skin. Some of the products available in the market now get degraded
under specific environmental changes, thereby losing their effects. The encapsulated product
will be subjected to target delivery of fragrance such as active materials to release under
desired conditions.
Owing to the use of encapsulation in the paint industry self-healing paints which have
been designed in a way that paint will have nanoparticles such as zinc, and titania with anti-
corrosive properties. The encapsulated coatings and cement could make maintenance easier
and less expensive. The encapsulated microparticles when mixed into paints and coatings
for infrastructure, pipelines, and industrial equipment at risk for corrosion damage.
Microencapsulation is already in use by the pharmaceutical industry, but new encapsula-
tion techniques could expand the possible uses for drug delivery and lead to exciting new
therapies. Kreuter in the year 2007, reported that the sustained release of vaccine provides
more prolonged immune system stimulation. Besides the vaccine, the sustained release was
 Chapter 1 • Current overview of encapsulation 7

also applied to other drugs such as five bioactive compounds, protein, DNA [13], and stem
cell. Another use could be in the stabilization of vaccines.
Making safer and more effective agrochemicals is another target application of encapsula-
tion technology. It possesses numerous different uses for agrobusiness. Microencapsulation
could be used to combine incompatible ingredients into one shelf-stable product to reduce
packaging and make storage and application more convenient. It could also be used to
reduce the amount of chemical that farmers need to apply. Agricultural products could use
microcapsules that open to deliver the product only when it rains.
Encapsulation finds an application in civil engineering for the preparation of self-healing
concretes. It is a general observation that the life span of concrete deteriorates, and the
underlying reason for this deterioration is due to the cracking mechanism. This phenomenon
will not just lead to capital and labor cost, but it is difficult to understand the degree of dam-
age once the construction is complete. Self-healing concretes are synthesized using encapsu-
lation technology. If concrete is formed by a capsule-based self-healing [14], the loss, as
mentioned above, of capital and labor can be reduced. In this technique, healing capsules
are prepared using materials such as sodium silicate solution; when these encapsulated cap-
sules get ruptured due to cracking, it releases sodium silicate solution into the matrix and
thereby reacts with calcium hydroxide (concrete material) to form calcium silicate hydrate
(C S H) that helps in healing the concrete crack. The crack propagation and healing mech-
anism are shown in Fig. 1 3. Concrete crack can also be healed using the encapsulation of
bacteria such as spores of Bacillus sphaericus, with materials such as diatomaceous earth as
a carrier (shell) material. The research investigations employ different healing agents such as
epoxy, resin, sodium silicate solution, cyanoacrylate with materials such as glass, gelatin, and
silica gel as a carrier material [15].
Microencapsulation could also transform remediation methods. The oil and gas industry
is already using oil-eating bacteria for oil spill cleanup. Microencapsulation could make this
technique more practical and convenient by creating shells that keep bacteria shelf-stable
until they are released in the presence of hydrocarbons.

References
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release kinetics of corrosion inhibitor, Composite Interfaces 25 (9) (2018) 785 808.
[3] Y. Naude, W.H.J. De Beer, S. Jooste, L. Van der Merwe, S.J. Van Ransburg, Comparison of supercritical
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[5] M.Z. Borhan, R. Ahmad, M.M. Rusop, S. Abdullah, Impact of nanopowders on extraction yield of Centella
asiatica, Adv. Mater. Res. 667 (2013) 246 250.
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[6] S.S.H. Rizvi, J.A. Daniels, A.L. Benado, J.A. Zollweg, Supercritical Fluid Extraction: Operating Principles
and Food Applications, Food Technology, USA, 1986.
[7] Y.H. Cho, J. Park, Encapsulation of flavour by molecular inclusion using β-cyclodextrin: comparison
with spray-drying process using carbohydrate-based wall materials, Food Sci. Biotechnol. 18 (1) (2009)
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[8] C.I. Beristain, A. Vazquez, H.S. Garcia, E.J. Vernon-Carter, Encapsulation of orange peel oil by co-
crystallization, LWT Food Sci. Technol. 29 (7) (1996) 645 647.
[9] Y. Wang, W. Liu, X.D. Chen, C. Selomulya, Micro-encapsulation and stabilization of DHA containing
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74 84.
[10] B.R. Bhandari, E.D. Dumoulin, H.M.J. Richard, I. Noleau, A.M. Lebert, Flavor encapsulation by spray
drying: application to citral and linalyl acetate, J. Food Sci. 57 (1) (1992) 217 222.
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[12] E.K. Silva, G.L. Zabot, M.A.A. Meireles, Ultrasound-assisted encapsulation of annatto seed oil: retention
and release of a bioactive compound with functional activities, Food Res. Int. 78 (2015) 159 168.
[13] T. Borodina, E. Markvicheva, S. Kunizhev, H. Möhwald, G.B. Sukhorukov, O. Kreft, Controlled release of
DNA from self-degrading microcapsules, Macromol. Rapid Commun. 28 (18 19) (2007) 1894 1899.
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Further reading
T. Jung, Biodegradable nanoparticles for oral delivery of peptides: is there a role for polymers to affect muco-
sal uptake? Eur. J. Pharm. Biopharma. 50 (1) (2000) 147 160.
T.M. Kauer, J.-L. Figueiredo, S. Hingtgen, K. Shah, Encapsulated therapeutic stem cells implanted in the
tumor resection cavity induce cell death in gliomas, Nat. Neurosci. 15 (2) (2011) 197 204.
J. Kreuter, Nanoparticles a historical perspective, Int. J. Pharm. 331 (1) (2007) 1 10.
M. Zeisser-Labouèbe, N. Lange, R. Gurny, F. Delie, Hypericin-loaded nanoparticles for the photodynamic
treatment of ovarian cancer, Int. J. Pharm. 326 (1 2) (2006) 174 181.