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Herbal Processing and Extraction Technologies

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Separation & Purification Reviews

ISSN: 1542-2119 (Print) 1542-2127 (Online) Journal homepage: http://www.tandfonline.com/loi/lspr20

Herbal Processing and Extraction Technologies

Siti Nuurul Huda Mohammad Azmin, Zainuddin Abdul Manan, Sharifah


Rafidah Wan Alwi, Lee Suan Chua, Azizul Azri Mustaffa & Nor Alafiza Yunus

To cite this article: Siti Nuurul Huda Mohammad Azmin, Zainuddin Abdul Manan, Sharifah
Rafidah Wan Alwi, Lee Suan Chua, Azizul Azri Mustaffa & Nor Alafiza Yunus (2016) Herbal
Processing and Extraction Technologies, Separation & Purification Reviews, 45:4, 305-320, DOI:
10.1080/15422119.2016.1145395

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Separation & Purification Reviews, 45: 305–320, 2016
Copyright © Taylor & Francis Group, LLC
ISSN: 1542-2119 print / 1542-2127 online
DOI: 10.1080/15422119.2016.1145395

Herbal Processing and Extraction Technologies


Siti Nuurul Huda Mohammad Azmin,1,2 Zainuddin Abdul Manan,1,2 Sharifah
Rafidah Wan Alwi,1,2 Lee Suan Chua,3 Azizul Azri Mustaffa,1,2
and Nor Alafiza Yunus1,2
1
Process Systems Engineering Centre (PROSPECT) Research Institute of Sustainable Environment
(RISE), Universiti Teknologi Malaysia, UTM Johor Bahru, Johor, Malaysia
2
Faculty of Chemical and Energy Engineering, Universiti Teknologi Malaysia, UTM Johor Bahru,
Johor, Malaysia
3
Institute of Bioproduct Development (IBD), Universiti Teknologi Malaysia, Johor Bahru, Johor,
Malaysia

Herbs are widely utilized in food and health industries. Their beneficial effects to the human
body have been attributed to the presence of active phytochemical ingredients with some effi-
ciency for disease treatment as well as for beauty and health enhancement. Public awareness on
the adverse effects of synthetic chemical products also increased the demand for herbal prod-
ucts. Highly efficient herbal processing and extraction technologies have been developed to
obtain the optimal amounts of active ingredients from herbs and cope with the rising demands
for herbal products. This article reviews the state-of-the-art development in herbal processing
and extraction methods from the year 1991 until 2015. We start with a brief history of herbal
usage, followed by descriptions of 10 types of extraction processes and critical analysis of
their relative advantages and disadvantages. Scale-up considerations of the extraction methods
are shared, and a highlight of the current and future challenges facing the herbal industry is
presented.

Keywords: Extraction technologies, herbs, herbal processing, natural products,


phytochemicals

INTRODUCTION or in combination, to treat, diagnose and prevent illnesses


or maintain well-being” (3). Herbal products have recently
Throughout human history, herbs have been used in food, increased in importance in the treatment of health-related
cosmetics and fragrances (1). In addition, they are a source problems. A recent WHO report (3) stated that 5.6 billion
of traditional medicines for the treatment of various ill- people, or approximately 80% of the world’s population, use
nesses and diseases (2). Traditional medicine has been herbal products for their primary health care (3–5). Herbal
defined by the World Health Organization (WHO) as “health products are currently being used as dietary supplements,
practices, approaches, knowledge and beliefs incorporating nutraceuticals, health products, and traditional medicines.
plant, animal and mineral-based medicines, spiritual ther- These products also are being prescribed by Chinese and
apies, manual techniques and exercises, applied singularly Indian national pharmacopeias (5).
The botanical dietary supplement market in the United
States has expanded rapidly from US$ 2.9 billion in 1995 (6)
Received 30 December 2013, Accepted 14 January 2016. to US$ 4.8 billion in 2008 (7). Over 42% of the U.S popula-
Address correspondence to Sharifah Rafidah Wan Alwi, Process
tion has claimed to have used botanical dietary supplements
Systems Engineering Centre (PROSPECT), Research Institute of
Sustainable Environment (RISE), Universiti Teknologi Malaysia, UTM, either to widen their current diet or to treat or to prevent
Johor Bahru, Johor, Malaysia. E-mail: syarifah@utm.my health-related issues (5). European dietary supplements
Color versions of one or more of the figures in the article can be found have contributed to a steady 4% growth rate of the market
online at www.tandfonline.com/lspr. between 2004 and 2011. The total market in 2004 was
306 S. N. H. M. AZMIN ET AL.

valued at US$ 6.2 billion (8). With Malaysians consuming biological properties, including aphrodisiac and adaptogenic
over US$ 1.44 billion worth of herbal-related products activities (29).
(with over 80% imported) (9), the opportunity to increase With the high demand for herbal products that promote
herbal product processing in Malaysia has expanded. From health advantages, the identification of the most effective
2000 to 2005, annual sales of traditional medicines increased methods (30) for extracting the active ingredients from plants
from US$ 385 million (RM1 billion) to US$ 1.29 billion has become increasingly important. Traditionally, herbal
(RM45 billion), as reported by Malaysian National News extracts are prepared by boiling the roots, leaves, or the entire
Agency, BERNAMA (10). The expected growth of the plant in water using a method known as tisane or decoction.
herbal medicine industry is between 15% and 20% per year These types of extracts can be consumed orally, but these
(11). methods are time-consuming and may not be the most effec-
With the increased demand for herbal products, Malaysia tive method for extracting the active ingredients from the
is well-positioned to be a key global player in this field herbs. This article provides a review of the state-of-the-art on
because of its rich biological resources, cultural background, herbal processing techniques and discusses the effectiveness
and trade links (1). In addition, Malaysia is ranked fourth in of common extraction processes.
Asia and twelfth in the world as the most biodiverse nation,
with 3,000 species of medicinal plants and 15,000 species
A History of the Uses of Herbs
of flowering plants (12). Among the 3,000 known medic-
inal plants (13), the top Malaysian traditional medici- Herbs have been used for many purposes, including as ingre-
nal plants are Tongkat Ali (Eurycoma longifolia), Kacip dients for medicinal products, beauty enhancers, fragrances
Fatimah (Labisia pumila), Hempedu Bumi (Andrographis and food. In the case of beauty enhancers, the natural com-
paniculata), Dukung Anak (Phyllantus amarus), Misai ponents in herb products are easily absorbed by the human
Kucing (Orthosiphon stamineus), and Pegaga (Centella asi- skin (19) and are both safe and compatible with human body,
atica). Among these known plants, less than 50 traditional as natural ingredients that have demonstrated no known tox-
medicine species have been scientifically investigated, with icity. Natural products in skincare formulations have been
the remainder not yet characterized (1). Worldwide, more shown to exhibit significant antioxidant (100), emollient
than 35,000 plant species have been reported to be employed (101), and UV–B protection (102) properties.
for medical purposes (14). Even with this extensive number In the early nineteenth century, the first chemical analy-
of available plant species, Rates (15) has reported that only ses performed by scientists were utilized to determine the
121 active compounds from herbs have been utilized, with active ingredients from plant extracts, which subsequently
approximately 25% of prescribed drugs originating from led to the development of natural (traditional) medicines that
these plants. had been passed historically through generations by word
Medicinal plants have often been applied for a broad of mouth (2). Many of the herbs and spices used for food
range of acute and chronic conditions (16). This provides seasoning also yield useful medicinal compounds (31, 32).
ample opportunity to gain a vast wealth of knowledge Simple preparation methods for processing the plant herbs
through exploration of these plants. Phytochemical con- by boiling either the entire plant or selected parts of the plant
stituents in medicinal plants, such as flavonoids, phenolics, have been employed by herbal medical practitioners for over
and saponins (17), are believed to have numerous thera- 5,000 years (33).
peutic abilities and are able to reduce the risk of multiple
diseases, including inflammatory conditions and cancer (18).
They contribute to the protection of herbs from microbial STEPS IN HERBAL PROCESSING
and insect invasions (19). Flavonoids have been utilized to
improve human health via their multiple biological functions Starting from the planting and harvesting stages, the steps
including anti-inflammatory (20), antimicrobial (21), antiox- practiced for processing the natural products are very impor-
idant (22), and anticancer activities (23) and the prevention tant. Every part of the plant matures at different times,
of osteoporosis (24). which suggests that the harvesting process should be opti-
Tsao and Deng (25) have reported that phenolic acids mized on the basis of the desired plant parts. As shown in
from herbs have antioxidant activities that exceed the val- Table 1, the general guidelines for harvesting the three pri-
ues exhibited by vitamins C and E. Polyphenols have also mary parts of the herbal plants (i.e., leaves, stems, and roots)
been applied in the prevention of both cancer and heart dis- are presented to enable selection of the harvesting time on
ease (19). Aqueous extracts of the Malaysian herb L. pumila, the basis of the part of the plant that provides the opti-
commonly known as Kacip Fatimah, have been demon- mal results in the extraction process. Karimi and Jaafar (34)
strated to protect significantly human dermal fibroblasts from showed that the leaves of L. pumila exhibited higher antiox-
cell damage caused by ultraviolet irradiation (26), most idant activities and total saponin amounts (35) than the plant
likely as a result of the presence of flavonoids (27). Ginseng, roots and stems. Ramlan et al. (36) classified four differ-
one of the most commonly used herbs, contains saponins as ent stages of herbal processing to produce the final herbal
active ingredients (28). Ginseng exhibits a broad range of products.
HERBAL PROCESSING AND EXTRACTION 307
TABLE 1
extraction processes are needed to extract the desired active
General guidelines for harvesting various plant parts
ingredients from herbs. Figure 1 shows 10 possible extrac-
Plant part to be tion methods that are detailed here. In Table 2, the advan-
collected Harvesting stage tages and disadvantages of the available extraction methods
Whole plant or Initial flowering
are presented. The biggest advantage is when the extraction
aerial part method can be used to extract plant compound in a short time
Roots or rhizomes Full maturity. The maturity stage of the species must with the minimum solvent consumption. Short extraction
be first determined time is desirable due to the associated reduced electric-
Leaves Fully developed leaves ity consumption and the ability to minimize any potential
Stems or bark At the beginning of the rainy season. The maturity
stage of the species must first be determined.
degradation of active components.
Wood Toward the end of the rainy season
Flowers At the beginning of the blooming period
Fruit Fully matured Supercritical Fluid Extraction (SFE)
Seeds Fully matured fruit
Supercritical fluid extraction (SFE) is one of the extrac-
tion methods in herbal processing due its ability to extract
the valuable ingredients from herbs with high yield and
Before processing starts, the harvested herbal plants must good quality (38). Its favorable features include the ability
be pre-processed. At this stage, the plants must be dried to perform extractions at near-ambient temperatures, which
to remove moisture for preservation, preventing bacteria prevents thermal degradation of the substance of interest
activity and restricting fungal growth (37). To increase the (39). SFE is also being studied extensively as an alternative
surface area of the dried herb plant materials for improved to conventional extraction methods (38). Among the possible
contact with the solvent during the subsequent extraction SFE solvents, carbon dioxide (CO2 ) is the most established
process, the dried plant must first be ground. An increased and widely used solvent (40). CO2 has unique properties,
surface area of the dried plant materials will improve the which include non-toxicity, non-flammability, lack of sol-
performance of the extraction process. The particle size of vent residue in the final product, and lack of reactivity with
the milled plants is one of the factors that can affect the extraction materials and equipment. These behaviors make it
extraction yield. commonly used in numerous extraction processes. In addi-
In the extraction processes, the operating conditions can tion, this gas is less expensive than most common solvents,
greatly affect the efficiency of a particular technique. For which reduces the cost of the extraction process. One of the
solid–liquid extractions, important parameters include an most important benefits of CO2 in the SFE processes is the
appropriate solvent system, the solvent-to-herbs ratio, the reduction in the environmental and health concerns that arise
particle sizes of ground and dried herbs materials, the tem- from the use of organic solvents (41, 42). In the SFE envi-
perature, the duration, and the agitation rate, as discussed ronment, only one fluid phase exists; the properties of this
by Sim et al. (37). Preliminary studies are necessary to fluid resemble an intermediate phase between gas and liquid.
determine these operating conditions prior to starting the Carbon dioxide at the supercritical state has a critical tem-
extraction experiments. Literature studies can provide very perature and pressure of 31.1◦ C and 73.8 bar, respectively.
useful information for determining the optimal operating Under these conditions, CO2 exhibits both gas-like charac-
conditions. teristics, with high diffusion coefficients and low viscosities,
In some processes, solvents are mixed with herbal raw and liquid-like characteristics, with high solvating power
materials (normally in the dry powder form) and then sub- properties. These features make supercritical CO2 a good
jected to forces such as heat, pressure or microwave power to fluid solvent (43). Both viscosity and diffusivity are factors
enable the phytochemicals to diffuse out of the herb cells into that affect the penetration of solvent into the herbal mate-
the solvent medium. The mixture of solvent and extracted rials. The decreased viscosity and increased diffusivity of
phytochemicals can exist in a miscible form, or can produce solvent facilitate the penetration of solvent into porous solid
two liquid layers (if essential oil is produced). The solvents materials, resulting in increased mass transfer and reduced
are then removed from the mixture, typically via evapora- extraction times in SFE (63). The solvation power, which
tion in a rotary evaporator. Then, the crude extract is further changes with temperature and pressure, is another factor
processed into natural products. that can determine the effectiveness of the SFE method.
Modification of the solvent solvation power can be employed
to achieve high selectivity of the extraction product from
STATE-OF-THE-ART IN HERBAL EXTRACTION herbs. In addition, modification of the solvent solvation may
METHODS be useful in the extraction of complex samples, such as plant
materials (44, 45).
With herbal processing, the type of extraction process can One of the advantages of SFE is that the system operates
greatly affect the final natural products obtained. Suitable at low temperatures, which is an ideal technique for studying
308 S. N. H. M. AZMIN ET AL.

1-Supercritical Fluid 2-Microwave-Assisted


Extraction (SFE) Extraction (MAE)

3- Sonication
10- Hot Water
Extraction
Extraction

4- Soxhlet
9- Accelerated Solvent Extraction
Extraction (ASE)

8- Ultra-high
Pressure Extraction 5- Marinated
Extraction

7- Steam-distillation
Herbal Processing and
6- Hydro-distillation
Extraction Extraction Methods Extraction

FIGURE 1 The 10 extraction methods described in the text.

temperature-sensitive compounds (46–48) and may possi- caused by electromagnetic waves in MAE (52). On the other
bly lead to the discovery of new natural compounds (49). hand, in conventional extractions, the mass transfer of the
To minimize waste generation, the spent CO2 can be recycled phytochemicals occurs from inside (herbal particle) to the
and reused, even for large-scale system. SFE is very useful outside (solvent), although the heat transfer occurs from the
for removing pesticides from herbal medicines (50). outside (heat source) to the inside (herbal particle) (53).
Unmodified CO2 may lead to a limited selectivity of this Generally, microwaves are electromagnetic radiations with a
apolar solvent. Thus, a polar solvent modifier can be used frequency from 0.3 to 300 GHz (54). The microwave energy
to overcome this drawback. Significant losses of the desired is delivered directly to the herbal particle through molecular
compounds can occur if an inappropriate solvent modifier is interactions with the electromagnetic field via conversions
applied. These losses can occur for desired compounds that of electromagnetic energy into thermal energy (55). Thus,
are removed with the solvent or via undesired reactions facil- MAE typically results in a short extraction time and high
itated by the solvent itself (51); such losses represent two extraction yield. Besides, the combination of two transport
of the major disadvantages of the SFE process. The most phenomena; heat and mass gradients working in the same
commonly-used solvent modifiers are methanol, ethanol, direction (53) also contribute to the high yield and short
acetonitrile, acetone, water, ethyl ether and dichloromethane. extraction time of MAE.
Methanol is a popular choice due to its effectiveness as a MAE has been applied to extract the ingredients from the
polar modifier (up to 20% miscible with CO2 ). However, leaves and roots of L. pumila (18). Laghari et al. (56) used
the use of methanol as a modifier could be disadvantageous MAE to extract ingredients from the leaves and flowers of C.
when thermolabile compounds are involved because of the angustifolia. The parameters that affect the extraction effi-
slightly higher temperature required for methanol to reach ciency of this extraction method are the power and frequency
its supercritical state. In addition, a major obstacle is the cost of the microwaves, the duration of the microwave irradiation,
of purchasing the equipment compared with other methods. the moisture content and particle sizes of the plant samples,
the type and concentration of the solvent, the ratio of solid
to liquid, the extraction temperature, the extraction pressure,
Microwave-Assisted Extraction (MAE) and the number of extraction cycles (57).
Microwave-assisted extraction (MAE) is a process that uses Among these factors, solvent selection is the most impor-
a liquid solvent, such as water or alcohol, to extract the active tant parameter because the solvent affects the absorbance
ingredients from herbs. In MAE, the enhanced extraction of the microwave energy, as determined by the dissipation
occurs as the result of changes in the vegetable cell structure factor (58, 59). The solvent must have an affinity for the
HERBAL PROCESSING AND EXTRACTION 309
TABLE 2
Advantages and disadvantages of various extraction methods

Type of extraction Advantages Disadvantages

Supercritical fluid extraction, SFE Solvent (CO2 ) is inexpensive Loss of desired compounds with improper solvent
selection
Solvent recycling can be achieved for all methods Specialized equipment is required
Pure extraction yield can be attained
Microwave-assisted extraction, MAE Applicable for both industrial and laboratory scales Efficiency of microwaves is very poor for nonpolar target
Less time consuming than conventional methods compounds or solvents or for extremely viscous
Can provide high returns on capital investment solvents
Not appropriate for heat sensitive compounds
Expensive equipment and difficult to operate
Sonication extraction Efficient tool for large-scale commercial The active part of ultrasound is only the vicinity of the
applications ultrasonic emitter
Reduced working time and easy to handle Presence of a dispersed phase contributes to the
Increased yield, reduced solvent consumption, and ultrasound wave attenuation
high extract quality Weak effect on the extraction of oil
Soxhlet extraction Very simple and inexpensive method Requires excessive extraction times
Temperature in the extraction system can be Uses large amounts of extractants (solvent)
maintained No agitation that can accelerates the process
Thermal decomposition of heat sensitive compound
Marinated extraction No specific place is needed Prolonged time period is required to obtain the products
Heat supply is not needed
Hydro-distillation extraction Inexpensive method because of no organic solvent Prolonged time period is necessary to separate water
is required from product
No agitation to accelerate the process
Risk of thermal degradation
Energy consuming
Steam-distillation extraction Can extract water insoluble compound No agitation needed to accelerate the process
Ultra-high pressure extraction Short extraction time Compound impurity issue
Accelerated solvent extraction Potential alternative technique to SFE for the Only suitable for the extraction of high temperature
extraction of polar compounds stable compound
Reduce solvent consumption and extraction time
Hot water extraction Inexpensive method because no organic solvent is Not suitable for heat sensitive compounds
required
Extract essential oil with high oxygenated
components
Substantial saving of both energy and investment
cost

target compound and an ability to absorb microwave energy the plant materials and solubilize the target molecules (66).
(60). Another critical factor in MAE is the ratio of the solid Agitation or shaking of the sample–solvent mixture may also
herbs to the amount of solvent. The bioactive ingredients in have become inadequate when the microwaves were applied
the herbs can effectively dissolve when large amounts of sol- to the large-volume sample (67).
vent are used, thereby leading to improved extraction yields One of the advantages of MAE is the applicability of
(60, 61). this process for both large-scale (industrial) and small-scale
Gao et al. (61) and Li et al. (62), who applied a high sol- (laboratory) systems. This method is believed to be more
vent ratio with MAE, reported consistent results. However, efficient in extracting active ingredients with less time com-
their results differed from those of other studies by Guo et al. pared to conventional methods. Oil that is extracted using
(63), Li et al. (64), and Spigno and De Faveri (65), who MAE contains increased concentration of oxygenated com-
found that when large quantities of solvent were utilized, the pounds, and have been demonstrated to exhibit antibacterial
extraction yield initially increased and then decreased as the and antifungal activities (68–70).
solid-to-liquid ratio decreased. When the amount of solvent The primary disadvantage of MAE is the reduction of
was reduced (high-solid herbal materials), microwave energy efficiency in the microwave techniques for nonpolar target
may have been absorbed and dispersed by the large amount compounds or solvents and with highly viscous solvents (57,
of plant materials (61), thereby increasing the solid mass, and 71). In addition, MAE is not appropriate for the extraction of
decreasing the surface area available for solvent to penetrate temperature-sensitive compounds (72).
310 S. N. H. M. AZMIN ET AL.

Sonication Extraction be considered carefully in the design of ultrasound-assisted


extractors.
In this extraction method, conditions such as the time and
the ratio of herbs to solvent share similarities with the MAE
processes, except the intensity of the ultrasonic equipment is Soxhlet Extraction
replaced instead with the microwave power to facilitate the Soxhlet extraction serves not only as a technique for extrac-
extraction processes. Chua et al. (19) applied a sonication tion of phytochemicals, but also as a reference to compare the
extraction technique to extract the dried leaves of L. pumila. newer extraction techniques (80). Soxhlet extraction involves
The correct choice of solvent coupled with appropriate agi- the use of a Soxhlet apparatus (as shown in Figure 2) for the
tation and/or heat characteristics are also the major factors extraction of herbs. The sample is placed in a thimble holder
in optimizing this type of extraction process. The solvent that is gradually filled with fresh solvent from a distillation
extraction of herbal materials can be improved through the flask (see Figure 2). As the liquid reaches the overflow level,
use of ultrasonic power because of the mechanical effects a siphon aspirates the solute from the thimble holder, mov-
resulted from the ultrasound process. This effect results in ing the aliquot back into the distillation flask and carrying
improved solvent penetration into the cellular materials via the extracted analytes into the bulk liquid. This process con-
improved mass transfer within the herbal cells. In addi- tinues until the extraction process has been completed. The
tion, the mechanical effects disrupt the biological cell walls, system operates in a continuous mode as the solvent is recir-
thereby resulting in the release of the cell contents such as culated through the sample. With this method, the extracts
herbal oils (83). are isolated by being filtered and the solvent is removed
In sonication processes, longitudinal waves are created at defined temperatures under reduced pressure in a rotary
as a sonic wave encounters a liquid medium, which creates evaporator (81). This extraction technique can maintain a
regions of alternating compression and rarefaction (expan- high system temperature (at solvent boiling point) via a heat
sion) among the molecules of the medium. In these regions source applied directly to the distillation flask. This method
of changing pressure, cavitation of formed gas bubbles is also very simple and inexpensive (82).
occurs. During the rarefaction cycle, the surface area of these Soxhlet extractions are limited by the time required for
bubbles increases, which results in increased gas diffusion the extraction process and by the large volumes of extractant
and an expansion of the bubble. In the compression cycle (solvent) required. The solvents can be expensive to remove,
(i.e., when insufficient ultrasonic energy is provided), these and can cause environmental problems (83). Note that in
vapor phases cannot remain in an expanded state, which general, the compound boiling point is lower than that of the
results in rapid condensation and the release of large amounts solvent. Because the extraction process is usually performed
of energy (73–75). The shock waves created with high tem- at the boiling point of the solvent for extended periods of
peratures (550◦ C) and pressures (50 MPa) (73, 75) are a time, thermal decomposition of the target compounds may
consequence of the condensation process. Both high temper- also occur. In Soxhlet extraction, it is also necessary to
atures and pressures generate microjets directed toward solid choose the most suitable solvent for extracting the targeted
surfaces (i.e., the herbs or the container wall) as the bubbles compounds because different solvent polarity will dissolve
collapse onto those surfaces. These microjets are responsible different compounds (84).
for the degreasing effect of ultrasound on metallic surfaces, Hexane, which has a narrow boiling point (65◦ C) is the
and this technique is commonly used to clean materials most widely applied solvent. However, this solvent is listed
(76). as an hazardous air pollutant by the U.S. Environmental
Sonication extraction is inexpensive, an efficient tool Protection Agency (85). Thus, solvent substitution is com-
for large-scale commercial applications, including emul- monly performed. As examples, instead of using hexane,
sification, homogenization, extraction, crystallization, low- d-limonene was used by Mamidipally and Liu (85), while
temperature pasteurization, degassing, defoaming, both acti- water was applied by Hanmoungjai et al. (86) to extract
vation and inactivation of enzymes, particle-size reduction, oil from the rice bran. The alternative solvents, however,
and modification of viscosity (77, 78). This extraction tech- result in less recovery due to the lower molecular affinity
nique, which is easy to use, features numerous advantages, between the alternative solvents and the solute. Sometimes,
including reduced working time, increased yield, improved co-solvent is added to match the polarity of the targeted
solvent consumption, and possibly improved quality of the compounds. This may increase the solvent cost.
extract. Ultrasound has weak effects on both yield and kinet-
ics for the extraction of oil such as wood seed (79). The
Marinated Extraction
effects of ultrasound on the extraction yield and kinetics
may be linked to the nature of the plant matrix (57). The Marinated extraction is an ancient extraction method con-
presence of a dispersed phase contributes to the ultrasound ducted at room temperature. For this technique, the parame-
wave attenuation whereby the active part of ultrasound inside ters to be considered include the type of solvent, the ratio of
the extractor is restricted to a zone located in the vicinity dried herbs to solvent, and the extraction time. This method
of the ultrasonic emitter. The two factors mentioned must requires a prolonged extraction time because it does not use
HERBAL PROCESSING AND EXTRACTION 311

heat and vaporize the mixture. Water vapor causes small sacs
in the raw plant material containing essential oil to burst.
Extracted oil is then transported by steam in the vapor
phase into the condenser where the condensate liquid mix-
ture formed. The liquid mixture then flows into a separator
where water and the essential oil are separated by density
difference. The water-rich phase, which contains some plant
essence is called “hydrosol.” As an example, when roses
are extracted using this method, the hydrosol is retained
for use as a mild antiseptic and as fragrance for floral aro-
matherapy. The experimental hydro-distillation extraction
equipment commonly used for herbal extraction is shown
in Figure 3. As a precaution, the temperature limit inside
the retort of a hydro-distillation extractor must be strictly
observed in order to prevent thermal compound degradation.
As an example, lavender essential oil must be extracted at
temperatures between 373 to 391 K (100–118◦ C). Operation
at temperatures higher than 391 K will result in the extract
containing more chemicals than the targeted aroma, causing
the therapeutic effect to be reduced. In addition, hydro-
distillation extraction must be performed within a specified
duration in order to ensure that the oil components are
completely released.
One advantage of the hydro-distillation extraction method
is that it does not require expensive organic solvent.
Nonetheless, the method involves a separation step to sep-
arate the liquid extract from water. This processing step may
require a long period of time or the use of an additional
solvent to facilitate separation (90).

Steam-distillation Extraction
FIGURE 2 Soxhlet extraction apparatus. Figure 4 shows the steam-distillation extraction setup.
Steam-distillation includes a steam generation apparatus to
supply steam to the mixture of solvent and plant raw mate-
heat or other forces. The extraction products are commonly rial. Steam maybe supplied at a pressure and the correspond-
obtained by filtering the extracts first. The advantage of this ing saturation temperature that is sufficiently higher than the
method is that it requires neither special equipment nor a spe- boiling point of the mixture in order to allow evaporation to
cial location such as a laboratory. The commonly cited disad- take place at lower temperatures. Next, the evaporated mix-
vantage of this method is the long extraction time (87). As an ture of water and compound flows into a condenser where
example, Laghari et al. (56) extracted flowers of Cassia it is condensed into a liquid mixture and later collected in
angustifolia, and Zhu et al. (88) extracted Portulaca oleracea a separator. The solvent is finally evaporated and separated
L. within 48 hours at room temperature using this method. from the compound using a rotary evaporator. Note that a
preliminary study is typically performed to select a suit-
able solvent to extract the phytochemicals of interest (91).
A solvent with a polarity value that is close to that of the
Hydro-distillation Extraction
specific compound of interest in a herb, has a better chance
Hydro-distillation extraction techniques use water as solvent. of attracting the compound.
The mechanism for hydro-distillation extraction is similar The steam distillation-extraction method is commonly
to that of the Soxhlet extraction process. Both methods are applied for the extraction of essential oils. As steam passes
commonly used to isolate volatile and non-volatile polar through the plant material, tiny pockets in the plant cell hold-
components from aromatic plants (89), with small variations ing the essential oil will open and release the essential oil
in the type of solvent applied and the equipment arrange- without damaging the oil structure. Thus, steam-distillation
ment. In hydro-distillation extraction, the sample and water is a special extraction technique that can prevent the decom-
solvent are placed in a retort (Figure 3). Heat is applied to position of organic compound due to high temperature as its
312 S. N. H. M. AZMIN ET AL.

FIGURE 3 Hydro-distillation extraction equipment.

FIGURE 4 Steam distillation extraction setup.

temperature could be controlled. So that it could be operated pressure extraction technique involves three steps: i)
below the decomposition temperature of the compounds. mixing herb with solvent, ii) extraction of the desired
phytochemicals at high pressure, and iii) filtering of super-
natant to remove solid particles (herbal residual).
Ultra-high Pressure Extraction
Jun et al. (92) showed the experimental set up of this
High pressure in this type of extraction method refers to method. Raw herbs and solvent were placed together in a
cold, isostatic ultra-high hydraulic pressure. The ultra-high polyethylene bag and sealed after removing bubbles. Then,
HERBAL PROCESSING AND EXTRACTION 313

the bag was placed in a pressure vessel that was equipped The container is connected to a thermocouple to detect
with a temperature controller (at the top and the bottom of the temperature change in the sample container. If temperature
vessel) and pressure valve (to release the excess pressure). change occurs, the heating and cooling jacket (surround-
Fluid was used to apply pressure to the vessel using an ultra- ing the sample container) will operate in order to keep
high pressure booster pump. Extraction was carried out at constant the temperature inside the sample container. The
high pressure (100 MPa to 1,000 MPa) and at room tempera- pressure, on the other hand, is controlled by the pressure
ture for a specified duration (5 to 15 minutes). As in the case relief valve. When the pressure increases, the pressure relief
of other methods, after the extraction process, the mixture valve will be opened to prevent pressure from building up.
was filtered and concentrated by using a rotary evaporator. When the pressure decreases, the pressurization system will
Under high pressure, the solubility of natural compounds apply pressure to the vessel. Note that, pressure is only cre-
in any solvent is enhanced (93). This leads to the faster dif- ated when the pressure inside the vessel drops below the set
fusion time of compounds into the solvent medium. The pressure, thereby saving the pressurization energy during the
pressure range used for the UHPE method, between 100 MPa extraction process.
to 1000 MPa, is the highest among the extraction methods. Note that the ASE method is normally applied for
For example, the pressure used in supercritical fluid extrac- thermally-stable organic pollutants from environmental
tion is about 100 MPa, while in other extraction methods matrices. The ASE is not suitable for thermally labile com-
used atmospheric pressure. The ultra-high pressure applied pounds because the high temperature needed in the ASE
in UHPE leads to the increase in the compound solubility method may lead to degradation of heat-sensitive com-
and shorter extraction time. Xi et al. (94) compared the times pounds. This is perhaps the reason why very few applications
needed for the extraction of green tea leaves using differ- of ASE have been published in the field of nutraceuticals.
ent extraction methods. In their investigation, high pressure The performance of ASE was proven effective by
extraction method gave the shortest time (1 min) to extract Kaufmann and Christen (97) who compared the ASE method
30% of polyphenols from green tea leaves in water. with the Soxhlet extraction for isolating steroids from the
Other methods that involved extraction at room tempera- leaves of Lochroma gesnerioides. In addition, the findings
ture, ultrasonic extraction and heat reflux extraction needed showed that both methods could produce the same results in
20 hours, 90 minutes and 45 minutes, respectively. The terms of recovery, repeatability and selectivity. The extrac-
results prove that the high pressure extraction method can tion time and solvent consumption may be reduced by using
extract the needed compound within the shortest extraction the ASE (57, 97).
time. Note that, even though the UHPE method is operated
at high pressure, it requires no electrical power supply dur-
ing pressure holding. Power supply is only required when Hot Water Extraction
pressure has to be increased. Hot water extraction (HWE) belongs to the same category
Organic compounds in herbs are typically heat-sensitive as the ASE process. The HWE however uses hot water for
(95). Application of heat may cause the organic compounds extraction instead of an organic solvent. The use of water
to denature, lose biological activity or decompose to other as a solvent results in lower operating cost for the in HWE
compounds. Compound decomposition can be avoided using method because water is a cheaper solvent. As a solvent,
UHPE that operates at room temperature (95). The extract water is also relatively easier to treat and recover, and poses
impurity is, however, a main issue and drawback of the relatively less environmental issue. Ayala and De Castro (98)
UHPE method. As high pressure is applied to the extraction proved that, the isolation of oregano essential oil using HWE
system, extract purity is slightly changed. is quicker, cheaper and more effective than using hydro-
distillation extraction method. Besides, Ozel et al. (99) found
that the HWE method can extract the most valuable antioxi-
dants (carvacrol and thymol) from essential oils of Thymbra
Accelerated Solvent Extraction (ASE)
spicata at high concentration (∼90%).
Accelerated solvent extraction (ASE) is performed at ele- Carvacrol and thymol are valuable nutrients in the food
vated temperatures (50 to 200◦ C) and at pressures between industry. Eikani et al. (100) also compared the efficiency of
10 and 15 MPa maintaining the solvent in liquid form. These HWE, hydro-distillation and Soxhlet extraction in extract-
conditions tend to enhance the solvent diffusivity and accel- ing essential oils from coriander seeds (Coriandrum sativum
erate the extraction process. Giergielewicz-Możajska et al. L.). Their findings showed that hydro-distillation and Soxhlet
(96) shows the ASE equipment used in experimental work. extraction showed higher extraction efficiencies than the
There is a pressurization system that creates and applies pres- HWE. However, the HWE showed better results in the
sure to the pressure vessel. The temperature and pressure extraction of more concentrated and valuable oxygenated
in this system are set to be constant. The sample, together components in essential oils (used in food industry).
with the solvent are placed in the closed container inside the The extraction of essential oil from marjoram leaves
pressure vessel. was done by Jimenez-Carmona et al. (101). The authors
314 S. N. H. M. AZMIN ET AL.

compared the performances of HWE and hydro-distillation Laghari et al. (56) studied the extraction of the leaves and
extraction processes and found that the volume of essential flowers of Cassia angustifolia using four different extrac-
oil extracted using HWE was 5.1 times the volume extracted tion methods including microwave, sonication, marinated,
using hydro-distillation. The authors also reported that the and Soxhlet extraction processes. Among these four extrac-
extracted essential oil contained high amount of oxygenated tion methods, the microwave extraction method was found
components. Besides, the HWE is capable of extracting the to be the best technique on the basis of its ease of use,
same amount of essential oil within 15 minutes compared to robust processing, and minimal time required to process
hydro-distillation extraction, which took 3 hours as reported the materials and to efficiently extract large amounts of
by Jimenez-Carmona et al. (101) and Saim et al. (102). the desired phytochemicals. The extracts obtained by this
Findings by the authors suggest that the HWE method is method also exhibited an increase in antioxidant activities.
better for extracting essential oils. The other methods investigated were effective for extracting
phytochemicals, but exhibited low efficiencies. In addition,
these other methods were found to be very difficult to handle
COMPARISON OF THE EXTRACTION and needed longer periods of processing steps as compared
PROCESSES to the time required by the microwave extraction method.
A comparison between the sonication extraction and the
Comparison of the extraction processes in the previous sec- MAE indicated that the sonication extraction method was
tion reveals that SFE is a well-established technique for the simpler even though both methods require the same amount
extraction and separation (39) of both essential oils and its of solvent. MAE, on the other hand, needed less extrac-
derivatives for the food, cosmetic, pharmaceutical, and other tion time as compared to the sonication extraction methods.
related industries. SFE processes also result in high-quality In addition, the MAE apparatus and equipment are expensive
essential oils with commercially viable compositions, as and difficult to operate, as stated in a number of studies (57,
compared to the products obtained using conventional steam- 60, 109).
distillation processes (103, 104). In the SFE method, the Ayala and De Castro (98), Ozel et al. (99), Eikani et al.
physicochemical properties of the extraction fluid, such as (100) and Jimenez-Carmona et al. (101) compared the per-
its density, diffusivity, dielectric constant, and viscosity, can formances of hydro-distillation and HWE techniques for the
be easily controlled by varying the pressure or temperature extraction of essential oils from different plants. Compared
without crossing the phase boundaries (105). to the hydro-distillation extraction process, they found that
Over the past four decades, supercritical CO2 has been the HWE offers many more advantages, including the ability
applied for the extraction and isolation of multiple valuable to perform separation that is:
compounds from natural products (106). The use of CO2 as a
solvent in SFE has provided an excellent alternative to chem- • Quicker, (the HWE is capable of producing the same
ical solvents to extract the bioactive components from herbs amount of extract within 15 minutes as compared to
and other medicinal plants. The use of supercritical CO2 3 hours for the hydro-distillation extraction),
is also more environmentally friendly than most extraction • Cheaper (the HWE uses less electricity and power
techniques that use organic and liquid solvents. For example, supply during the extraction process) and,
the MAE processes use organic solvents, such as methanol • More effective (the HWE is able to produce more
and ethanol that are relatively less environmentally friendly concentrated and valuable oxygenated components).
than CO2 . Hawthorne et al. (107) extracted essential oils
from savory, peppermint, and dragonhead using both SFE When comparing the conventional steam-distillation,
and steam-distillation processes. Soxhlet, and MAE methods, Chen et al. (67) suggested
They determined that SFE and steam-distillation extracts that MAE had distinct advantages of decreased extraction
had similar distributions of volatile components. The results time, increased extraction yields, improved selectivities and
of their study suggested that steam-distillation did not result of producing superior quality targeted extract materials.
in significant losses of the more volatile essential oil com- In addition, MAE was relatively cost-effective as compared
ponents. In addition, SFE was determined to be a rapid to the accelerated Soxhlet extraction process (97, 110).
and quantitative method for extracting essential oils from Xi et al. (94) compared three extraction methods which
aromatic plants. Rezazadeh et al. (108) extracted lavender are sonication, marinated and ultra-high pressure to extract
oil and compared the efficiencies of both SFE and steam- polyphenols from green tea leaves. Their investigation found
distillation. They determined that the extraction yield of that ultra-high pressure extraction method is suitable for fast
SFE was approximately six times higher than those obtained extraction of polyphenols from green tea leaves as compared
using the steam-distillation process. The extraction time with to other methods. Shouqin et al. (95) also compared the
SFE was considered suitable for the processing of high qual- three methods for extracting compounds from Epimedium,
ity lavender oil, compared to the products obtained using green tea, propolis and Scutellaria herbs. They found that,
steam-distillation processes. ultra-high pressure extraction is a very useful tool for the
HERBAL PROCESSING AND EXTRACTION 315

extraction of natural products. The shorter extraction time SCALE-UP METHODS


(5 to 10 minutes) is needed as the high pressure will quickly
break the plant cell and the solvent will permeate very fast Scale-up of extraction equipment enables the commer-
through the broken solvent. This will increase the mass trans- cial production of herbs at larger scale to meet customer
fer rate of compound to the solvent area. Besides, ultra-high demands. Before scaling up, the laboratory-scale method
pressure extraction helps save a lot of energy because the should be tested in order to make sure that the selected
energy is generated only when the pressure is lower than the method can extract the optimum amount of phytochemicals.
set pressure. According to Santos et al. (112) and Prado et al. (113), the
Kaufmann and Christen (97) extracted natural compound scale-up procedure assumed that the industrial-scale unit has
from nine different herbs using ASE and MAE. They found the same performance as the laboratory-scale unit when the
that the MAE can reduce the extraction time and solvent vol- ratio between the mass of solid and solvent, size of raw
ume needed while ASE can increase the diffusivity of solvent material plant and the operating conditions are kept con-
which leads to increase in the extraction speed and efficiency. stant. In validating scale-up criteria, it is necessary to assess
From the comparison of methods in extracting various their applicability to different types of raw materials, as the
phytochemicals, it can be seen that researchers have been mass transfer mechanisms may differ among species and
searching for the potential methods that could result in higher parts of the plant used for extraction (114). In a scale-up
extraction yield, better selectivity, less solvent and energy plant, there is typically a huge amount of waste either from
requirement, faster extraction time, as well as environmen- solvent or solid waste. Thus, in scaling up the extraction
tally friendly process. However, there have been works that method, reusing of the waste can be very profitable (113).
have compared the ten extraction methods together. The As an example, grape seeds are considered a disposable
comparison provides useful guides for future researcher and waste material by the majority of wineries. The seeds are
process design engineers who may be interested to know the usually discarded, burned or used as an animal feed (115).
relative advantages and disadvantages of the methods. Santos et al. (112) compared the performances of Soxhlet
and ultra-high pressure extractions to extract phenolic com-
pounds from jabuticaba skins at laboratory scale. They found
CHALLENGES FOR THE HERBAL INDUSTRY that the ultra-high pressure extraction was more efficient than
the Soxhlet extraction method. Then, the scale up was done
Phytochemicals are very important constituents of herbal for ultra-high pressure extraction. This scale-up method used
products because these active components can often deter- aqueous ethanol (a mixture of 70:30 v/v ethanol and water)
mine the safety and effectiveness of herbal products. Data on as solvent. Other conditions were 0.045 g/cm3 of feed to sol-
phytochemical processing can be difficult to obtain, partic- vent ratio, temperature of 353K, pressure of 5MPa and an
ularly the physical and chemical properties (36), including extraction time of only 9 minutes. Using these conditions, the
solubility values, partition coefficients, and heat transfer extraction resulted in 13.3% of extraction yield. The unit was
coefficients, are not available. These critical data are required designed to operate for 8,000 hours in a year, which corre-
to develop an effective process model that can be integrated sponds to 330 days per year of continuous 24-hours-per-day
into process design methods similar to those that have been shift. Note that the actual operating hours of 330 instead of
established for the petrochemical and palm-oil-based oleo- 365 days a year allowed for at least two days per month for
chemical industries. The physicochemical property data can the process and plant maintenance (116).
be obtained through either experimental studies or mathe- Fiori (117) scaled up the SFE equipment for extracting
matical modeling efforts. grape seed. In this plant, CO2 was used as solvent. The set
Determining the physical and chemical properties can operating conditions include pressure at 50 MPa, tempera-
be challenging because herbal materials contain multiple ture at 373.15K, ratio of solvent to feed at 4 kg CO2 /kg grape
phytochemical components, and each component contributes seed and an extraction time at 2 hours. The SFE unit includes
to these properties. Even with a full characterization of the three extraction vessels. The first vessel is for the extraction
phytochemical components, the components may have iso- finishing, the second is to conclude the extraction semi-cycle,
mers with different properties. For example, the components and the third is a backup vessel.
of L. pumila (Kacip Fatimah) are still uncharacterized. In the Prado et al. (113) also performed a 17-fold scale-up for
herb extraction studies available in the literature, analysis the Supercritical Fluid Extraction of grape seed. The scaled-
using gas chromatography (GC) or high-performance liquid up conditions include a temperature of 313K, pressure of
chromatography (HPLC) have indicated that the components 35 MPa, ratio of CO2 solvent to feed of 8.21 kg CO2 /kg
varied with the method and solvent applied during the extrac- grape seed and an extraction time of 300 minutes. The plant
tion process. This lack of standardization has limited the was designed to operate for 24 hours with three daily shifts
number of scientific studies reported for L. pumila, with for 330 days, or a total of 7920 hours of operation per year
a dearth of published data on the chemical properties and (the rest hours was used for process and plant maintenance).
pharmacological activities of the plant extracts (81, 111). In their study, they found that higher solvent velocity tends
316 S. N. H. M. AZMIN ET AL.

to cause mechanical dragging (entrainment of oil not sol-


ubilized in CO2 ), ultimately resulting in a low yield for
the scale-up plant. In scaling-up SFE, increasing the sol-
vent mass flow will increase the entrained solvent condensed
phase. In order to prevent this phenomenon, an optimal ratio
of solvent to raw material must be maintained (118).
The 15-fold scale-up of SFE for extracting clove and sug-
arcane was successfully done by Prado et al. (119). In this
design, carbon dioxide is utilized as a solvent. All of the
conditions in the laboratory scale were set to be constant.
For the extraction of clove, the temperature is set at 313K,
pressure at 15 MPa, the ratio of solvent to feed is 3.59 kg
CO2 /kg clove and the extraction time is 130 minutes. For
sugarcane residue, the extraction conditions are at tempera-
ture of 333K, pressure of 35 MPa, ratio of solvent to feed
of 30 kg CO2 /kg sugarcane residue and an extraction time
of 360 minutes. The scale-up yield was found to be slightly FIGURE 5 Solvent-free microwave extraction: from laboratory to pilot
higher than that of the laboratory scale (i.e., 20% higher at scale.
130 min for clove and 15% higher at 180 min for sugarcane
residue).
Microwave-assisted extraction was scaled up by Filly CONCLUSIONS
et al. (120) to extract essential oil from rosemary. At first, the
laboratory scale extraction was performed for microwave- The demand for herbal products has been increasing with the
assisted and hydro-distillation extractions. The result showed increased awareness of possible side effects of using prod-
that, the same extraction yield was obtained within 30 min- ucts made from chemicals. The effectiveness of natural prod-
utes of microwave-assisted extraction and 2 hours for hydro- ucts has been attributed to the presence of phytochemicals
distillation extraction. Both methods actually have their as the active compounds in herbs. Extraction processes are
unique advantages in that, microwave gives a good yield, required to obtain the active ingredients that will be used in
while hydro-distillation gives qualitative aromatic profile. the formulation of natural products. Appropriate solvents and
In order to acquire both advantages, microwave-assisted cost-effective extraction processes must be chosen to obtain
hydro-distillation was designed and scaled up. the active ingredients.
This technique is a combination of microwave heating Herbal/plant extraction techniques have been typi-
and dry distillation performed at atmospheric pressure with- cally designed to achieve one or more of the following
out any added solvent or water. The objective of the study goals – shortened extraction time, decreased solvent con-
is to extract the essential oil from rosemary on a labora- sumption, increased extraction yield, and enhanced extract
tory scale and apply the same conditions to a pilot scale. quality (57). The most suitable method must therefore be
The conditions applied in the study included the use of chosen to perform a particular extraction task. The extraction
3 kg of dried rosemary, 30 W of microwave power and techniques described in this review are suitable for the solid-
30 minutes of extraction time without the use of any sol- liquid extraction of plant constituents. Among the common
vent. The microwave-assisted hydro-distillation is a rapid methods to extract the essential oil are hydro-distillation,
technique that consumes less energy and no solvent. It is steam-distillation, Soxhlet and marinated extraction meth-
therefore advantageous from an environmental point of view ods. These methods are effective, but can be time-consuming
because no waste will be produced. The extraction schematic and require high operating costs. For example, Soxhlet
is shown in Figure 5 (120). extraction, which uses a large amount of solvent not only
As per 2015, there are only SFE, microwave-assisted requires a high operating cost but also causes additional envi-
extraction and ultra-high pressure extraction methods in ronmental problems. Some other methods described in the
extracting plant/ herb that have been scaled up. Another review required longer time to extract the needed compound
method such as HWE was scaled up by Kilpelainen from the herbs.
et al. (121) to extract sawdust. The scale-up techniques For instance, the traditional method of boiling herbs
require many considerations on why the scale-up must to obtain phytochemicals requires longer extraction time.
be done. Only promising techniques, i.e., those that Thus, more advanced extraction methods such as sonication-
could yield a reasonably large amount of extracts within assisted extraction (122), microwave assisted extraction (97),
a short time will be chosen for scale-up in order to SFE (123), ultra-high pressure extraction (94, 95), hot water
make economic sense and to produce a good return on extraction (98, 99) and ASE (97, 124) have been used as
investment. alternatives for to perform faster extraction and obtain higher
HERBAL PROCESSING AND EXTRACTION 317

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