3.1. Effect of KOH Concentration on Pretreatment of Chestnut Shells
CNS is composed of 63.7% carbohydrate and 9.4% protein, which can be utilized as carbon and nitrogen sources in fermentation. The carbohydrate content includes 45.1–57.8% glucan and 2.4–5.9% XMGA. XMGA means hemicellulose composed of xylan, mannan, galactan and arabinan. Additionally, 1.2% lipid and 2.4% ash were present in CNS (
Table 2). Worldwide, about 2.4 million tons of chestnuts are produced annually [
5], and the production of CNS is estimated to be about 365–566 thousand tons per year. Therefore, the potential of CNS that can be utilized as a carbon source in biorefinery was estimated to be about 173–361 thousand tons.
Figure 1a shows the chemical compositions and solid recovery after KOH pretreatment of CNS. Untreated CNS consist of 45.1% glucan, 5.9% XMGA and 49.1% others. After the pretreatment using DW (0% KOH concentration) at 70 °C for 2 h, the chemical compositions of CNS were as follows: 46.1% glucan, 9.5% XMGA and 44.4% others. Pretreatment using DW did not significantly affect the complex structure of CNS and SR decreased to 54.5%. Obeng et al. reported that low SR disrupts the sugar recovery from biomass during enzymatic hydrolysis [
25]. These results indicate that pretreatment using DW was not suitable for CNS pretreatment. GC following KOH pretreatment was found to be 70.4%, 74.4%, 80.1%, 80.2% and 83.3% at KOH concentrations of 1%, 2%, 3%, 4% and 5%, respectively. SR was found to be 47.7%, 47.5%, 29.0%, 24.0% and 20.2% at KOH concentration of 1%, 2%, 3%, 4% and 5%, respectively, and decreased steadily as the KOH concentration increased. KOH pretreatment significantly increased GC, and in particular, GC reached above 80.0% with a KOH concentration of 3% or more. These results are consistent with previous studies reported by Jiang et al. and Yan et al. that GC increases and SR decreases with increasing alkali concentration in biomass pretreatment [
26,
27].
Figure 1b shows the released glucose concentrations after enzymatic hydrolysis of pretreated CNS. The glucose concentrations released by enzymatic hydrolysis of untreated CNS and CNS pretreated using DW were 1.9 g/L and 3.6 g/L, respectively. The pretreatment of CNS using DW at 70 °C for 2 h did not remarkably affect the chemical composition but increased the released glucose concentration by 1.9–fold. It is estimated that thermal water softens up the rigid structure of CNS. Various studies have reported that hot water pretreatment at high pressure and high temperature can enhance enzymatic hydrolysis of biomass without the addition of other chemicals [
14,
28]. The released glucose concentrations were found to be 8.7 g/L, 12.0 g/L and 15.3 g/L at KOH concentration of 1%, 2% and 3%, respectively, and were not significantly affected by KOH concentrations above 3%. In conclusion, KOH concentration suitable for CNS pretreatment was determined to be 3% KOH with high GC and released glucose concentration and low SR.
3.2. Optimization of KOH Pretreatment Conditions Using Response Surface Methodology
In order to optimize the pretreatment conditions of CNS, CCD of RSM was carried out. RSM, a statistical and mathematical method, is widely used to minimize the number of experiments and to acquire reliable data [
29]. To establish CCD, three factors were divided into five levels as follows: temperature (
X1): 0, 25, 50, 75 and 100 °C; time (
X2): 0, 1, 2, 3 and 4 h and S/L ratio (
X3): 50, 75, 100, 125 and 150 g/L. Zero hours (
X2: –2, Std no.11) means that CNS have not been pretreated.
Table 3 shows 20 experiments designed by CCD and their responses. To confirm the repeatability of the experiments, the same experiments were performed 6 times at the center point (Std no. 15–20) [
30]. The responses were determined as GC and ED because KOH pretreatment was performed to increase GC by removing other portions (e.g., lignin) of CNS and improve ED of CNS. The ranges of each response were 45.1–84.8% for GC and 12.7–53.8% for ED, respectively.
The model equation for the responses was estimated based on multiple regression analysis of the experimental data.
where
YGC is glucan content (%) and
YED is enzymatic digestibility (%), respectively.
X1,
X2 and
X3 are the independent factors and signify temperature, time and S/L ratio, respectively.
The ANOVA results for each response surface quadratic model are shown in
Table 4 and
Table 5. The mean squares were computed by dividing the sum of squares by the degrees of freedom [
31]. The accuracy of models was described by the F-value [
32]. F-values of each model were found to be 10.99 for GC and 9.42 for ED. A
p-value lower than 0.05 means that the model or model term is significant [
33]. The
p-values of each model were found to be 0.004 and 0.008, respectively. Based on these results, both models were proved to be significant. In addition, it was verified that the three model terms such as
X1,
X2 and
X22 (
p-value < 0.05) had a significant effect on both GC and ED. The
p-values of the lack of fit were found to be 0.0593 for GC and 0.0547 for ED, which was not significant for pure error (
p-value > 0.05). It was confirmed that the predicted models statistically fit the experimental data for the responses [
34]. The coefficient of determination (R
2) should be more than 0.8, and the coefficient of determination approaching 1 means that the experimental value for the response agrees with the predicted value within the designed experimental range [
35]. The difference between R
2 and adjusted R
2 should be less than 0.2 and the high adjusted R
2 (>0.75) means that model is statistically acceptable [
36]. R
2 of each model were 0.9082 and 0.8945, respectively, and it was confirmed that the difference between R
2 and adjusted R
2 in each model did not exceed 0.2. The coefficient of variation (CV) explains the variance of the data, and the low CV (<10%) demonstrates the accuracy and reliability of the results [
37]. The CV of each model was 5.16% and 9.86%, respectively, and both models were proved to have accuracy and reliability. The adequate precision represents the signal to noise ratio and is desirable greater than 4 [
38]. Each model was suitable to explore the designed space, showing that the adequate precisions of each model were 13,939 and 12,306, respectively.
Three-dimensional response surfaces were plotted based on the model Equations (5) and (6). The three-dimensional plots are useful for explaining the effect of interactions between independent factors on the response [
39].
Figure 2 shows the effect of the interactions between independent factors on GC. In
Figure 2a, the minimum GC was estimated as 42.2% at 0 °C for 0 h. GC tended to increase steadily from the minimum point as temperature and time increased.
Figure 2b depicts the interactive effect of temperature and S/L ratio on GC. The maximum GC was obtained with 90.3% at 100 °C and 50 g/L. GC was not significantly affected by the S/L ratio and decreased drastically with a lower temperature.
Figure 2c portrays that GC was not significantly affected by the S/L ratio and rapidly altered as time changed based on 2.5 h. The effect of the interactions between independent factors on ED is represented in
Figure 3. All three-dimensional plots showed similar tendency to those of GC. The effect of temperature and time on ED was observed in
Figure 3a. The maximum ED was predicted to be 53.3% at 100 °C for 3 h and the minimum ED was estimated as 3.7% at 0 °C for 0 h. ED increased with increasing temperature and time. In
Figure 3b, ED was not significantly affected by the S/L ratio and increased drastically with increasing temperature over the entire S/L ratio range. In addition, in
Figure 3c, the S/L ratio did not significantly affect the ED and ED decreased rapidly as time decreased from 3 h.
The purpose of the KOH pretreatment is to improve the enzymatic hydrolysis efficiency [
40]. Therefore, numerical optimization was performed by selecting the enzyme digestibility as the most important response (GC: importance level 3 and ED: importance level 5). The results of numerical optimization are shown in
Table 6. Optimum reaction conditions for KOH pretreatment of CNS were determined as follows: temperature of 75.0 °C, time of 2.8 h and S/L ratio of 77.1 g/L. Under the optimum conditions, GC and ED were predicted to be 83.3% and 50.0%, respectively. In order to verify the reliability of our predicted model, an actual experiment was carried out under the same conditions as the predicted model. The experimental results show that GC and ED were found to be 83.2% and 48.4%, respectively, proving that our model was suitable to predict the KOH pretreatment of CNS. In conclusion, through the optimization of KOH pretreatment, ED of CNS was determined to be 48.4%, which was improved by 3.8-fold compared to the control group (untreated CNS, ED: 12.7%).
The recent studies that focus on the optimization of alkali pretreatment are summarized in
Table 7. The pretreatment of various biomass such as canola straw,
Sida acuta (Thailand Weed),
Sicyos angulatus,
Miscanthus, bamboo, corncob, walnut shell, corn stover, orange peel and spent coffee ground (SCG) were carried out under the determined conditions using alkali reagents (NaOH, NH
3 and KOH) [
17,
18,
22,
41,
42,
43,
44,
45,
46]. The reported data such as the solid components and enzymatic digestibility before and after the pretreatments were investigated. It was focused on the effect of pretreatment on improved sugar content by enzymatic hydrolysis. Among these, NH
3 pretreatment have been shown to be effective for high glucose yield after enzymatic hydrolysis. It can easily break the sugar complex in biomass. However, it was not appropriate for a scale-up process due to high capital cost and time [
17]. Another pretreatment, such as the NaOH pretreatment, is time-consuming, which could be a bottleneck [
17,
18,
42]. Boonchuay et al. investigated KOH pretreatment and observed that it led to high glucose content from pretreated biomass [
43]. It has also been an effective method for high glucose yield after enzymatic hydrolysis. Other reports also confirmed this phenomenon, and it was almost founded in the reaction conditions within 3 h of 3% KOH, 75–121 °C [
44,
45,
46]. The CNS used in this study is rich in carbohydrates that can serve as substrates in the fermentation process. The pretreated CNS recovered about 3.8–fold improved glucose after enzymatic hydrolysis. Unlike other pretreatments, this is advantageous because of its high yield and adequate time. These results show that food wastes such as CNS have the potential to replace sugar cane and corn starch, which are currently utilized in biorefining industries but have food ethics issues. Thus, this study provides evidence for the potential for alkaline pretreatment of CNS for biorefinery systems. This can provide useful information regarding the development of economic and efficient processes using pretreatment systems.