UNIVERSITY OF AGRICULTURAL SCIENCES, DHARWAD

COLLEGE OF COMMUNITY SCIENCE

B.Tech (Food Technology) Degree Programme
III B.Tech (Food Tech) I Semester
FEG 301 Food Process Equipment Design 3 (2+1)
Semester duration: 12.10.2020 to 06.03.2021 Academic year 2020-21
THEORY

Sl No. Topic
1. Materials and properties: Materials for fabrication, mechanical properties, ductility,
hardness, corrosion
Protective coatings, corrosion prevention linings equipment, choice of materials,
material codes
2. Design considerations: Stresses created due to static and dynamic loads, combined
stresses, design stresses and theories of failure,
Safety factor, temperature effects, radiation effects, effects of fabrication method,
economic considerations
3. Design of pressure and storage vessels: Operating conditions, design conditions and
stress
4. Design of shell and its component, stresses from local load and thermal gradient,
mountings and accessories
5. Design of heat exchangers: Shell and tube heat exchanger, Plate heat exchanger
Scraped surface heat exchanger, Sterilizer and Retort
6. Design of evaporators and crystallizers
Design of single effect and multiple effect evaporators and its components
Design of rising film and falling film evaporators and feeding arrangements for
evaporators
7. Design of equipment components
Shafts, Pulleys, Bearings, Belts, Springs, Drives, Speed reduction systems
8. Design of agitators and separators: Design of agitators and baffles
9. Design of agitation system components and drive for agitation
10. Design of centrifuge separator
11. Design of freezing equipment: Design of ice‐ ream freezers and refrigerated display
system
12. Design of dryers: Tray dryer, Tunnel dryer, Fluidized dryer, Spray dryer, Vacuum dryer,
Freeze dryer, Microwave dryer
13. Design of conveyors and elevators
Design of belt, chain and screw conveyor, Design of bucket elevator, Pneumatic
 conveyor
14. Design of crystalliser and entrainment separator
15. Design of extruders: Cold and hot extruder design
16. Design of screw and barrel, design of twin screw extruder
17. Design of fermenters: Design of fermenter vessel design problems
18. Hazards and safety considerations: Hazards in process industries, analysis of hazards,
safety measures, safety measures in equipment design, pressure relief devices.

Suggested Reading
1. R. Paul Singh and Dennis R. Heldman. 2014. Introduction to Food Engineering, 5th
Ed. Elsevier, Amsterdam, The Netherlands.
2. Albert Ibarz and Gustavo V. Barbosa-Cánovas. 2003. Unit Operations in Food
Engineering. CRC Press, Boca Raton, FL, USA.
3. George D. Saravacos and Athanasios E. Kostaropoulos. 2002. Handbook of Food
Processing Equipment. Springer Science+Business Media, New York, USA.
4. R. K. Sinnott. 1999. Chemical Engineering, Vol. 6, Chemical Engineering Design, 3rd
Ed. Butterworth-Heinemann, Oxford, UK.
5. Kenneth J. Valentas, Enrique Rotstein and R. Paul Singh. 1997. Handbook of Food
Engineering Practice. CRC Press, Boca Raton, FL, USA.
6. Peter F. Stanbury, Allan Whitakar and Stephen J. Hall. 1995. Principles of
Fermentation Technology, 2nd Ed. Elsevier Science Ltd., Burlington, MA, USA.
7. J.F. Richarson and D.G. Peacock. 1994. Coulson & Richardsons’s Chemical
Engineering, Vol. 3, Chemical & Biochemical Reactors & Process Control, 3rd Ed.
Elsevier Butterworth-Heinemann, Amsterdam, The Netherlands.
Introduction:
Scope of the course: Food processing plants are essential for sustainable development – reducing the
losses by preservation and processing of food, employment and income generation, ability to meet the
needs of people by convenience produce, etc. New plants are continuously being set up – government
schemes and existing demand for industries is leading to budding start-ups thereby of in new plants.
Existing ones are modifying and modernizing to meet the market demands for improvement in
performance or to accommodate the latest technology. The plant & machinery cost will be higher and
the equipment costs contribute highest in the project. Hence, a cost-effective optimum design that
involves both technical and economic advantage is vital.
Classifications of Machine Design
The machine design may be classified as follows :
1. Adaptive design. In most cases, the designer’s work is concerned with adaptation of existing
designs. This type of design needs no special knowledge or skill and can be attempted by designers of
ordinary technical training. The designer only makes minor alternation or modification in the existing
designs of the product.
2. Development design. This type of design needs considerable scientific training and design ability in
order to modify the existing designs into a new idea by adopting a new material or different method of
manufacture. In this case, though the designer starts from the existing design, but the final product
may differ quite markedly from the original product.
3. New design. This type of design needs lot of research, technical ability and creative thinking. Only
those designers who have personal qualities of a sufficiently high order can take up the work of a new
design.
The designs, depending upon the methods used, may be classified as follows :
(a) Rational design. This type of design depends upon mathematical formulae of principle of
mechanics.
(b) Empirical design. This type of design depends upon empirical formulae based on the practice and
past experience.
(c) Industrial design. This type of design depends upon the production aspects to manufacture any
machine component in the industry.
(d) Optimum design. It is the best design for the given objective function under the specified
constraints. It may be achieved by minimising the undesirable effects.
(e) System design. It is the design of any complex mechanical system like a motor car.
(f) Element design. It is the design of any element of the mechanical system like piston, crankshaft,
connecting rod, etc.
(g) Computer aided design. This type of design depends upon the use of computer systems to assist in
the creation, modification, analysis and optimisation of a design.
The selection of food processing equipment is based on the suitability for the intended application, the
constructional and operational characteristics of the equipment, and the purchase and maintenance
costs.
Design Activity requires, familiarity of thermodynamics, unit operations, safety, health, environment
aspects, changes involved processing and preservation techniques, quality management tools, and
legal aspects is pre-requisite for design process. Process design requires acquittance with unit
processes and unit operations. Mechanical design requires knowledge of fabrication, erection,
installation, commissioning, specifies function and operation of the equipment and selection of
material of construction and strength considerations
General Considerations in Machine Design

Specifying the process or operational requirements

Analysing the probable methods and procedures to achieve them

Application of process principles and theories of mechanics for designing a

device or a system for optimum performance
Selecting the proper materials for the construction to suit the process
conditions

Evaluation and optimization of the design

Preparing the specifications and or drawings for vendors for preparing their
quotations and subsequent fabrication

Construction Characteristics
In selecting food processing equipment, the following construction characteristics should be
considered: dimensions/weight, cleanability, maintenance, standardization of spare parts, quality of
materials, strength/durability, and automation.
i. Dimensions/Weight In plant design, the space occupied by the processing equipment and its
weight must be taken into consideration. These factors are especially important in multi-story
food plants, i.e., where equipment is installed on several floors. The dimensions of the
equipment are also important in extension or replacement of existing food processing lines.
ii. Cleaning Facility Food equipment is usually cleaned daily after processing, but if the
equipment is used in processing different products (e.g., a mixer) it must be cleaned before
switching to a new processing program. In this case, easy and quick dismantling and
assembling is essential, and joints and connections requiring minimum labour are necessary.
If CIP is used, the valves and automation of the system should be reliable and resistant to the
cleaning chemicals.
 iii. Maintenance Special attention should be paid to the quality of equipment parts that are worn
out quickly, e.g., brushes, screens, nozzles, bearings, seals, conveyor belts, knives, equipment
surfaces contacting flowing solids, e.g., grains. Equipment parts, requiring frequent
maintenance, should have easy and quick access.
iv. Standardization of Spare Parts Equipment constructed of a relatively large number of
standardized common parts, requiring periodic replacement of a small number of spare parts,
is preferable. The use of the same standardized parts, even in different equipment, reduces the
logistic cost of spare parts. Standardization facilitates maintenance and repairs, and less
expertise is needed.
v. Quality of Materials The appropriate quality of materials, used in equipment construction, is
important for avoiding interaction with the food and for equipment stability. Quality factors
for the materials are the total weight of equipment (heavier equipment is usually more robust),
the quality of material workmanship (surface smoothness, type of welding), the quantity of
relatively expensive materials used (e.g., stainless steel, Teflon, insulation), the antirust
protection (e.g., double or electrolytic galvanization, special paints), and the quality of basic
constructional elements, such as bearings and seals.
vi. Firmness/Durability Food machines and equipment must be stable and firm (robust),
especially when they are strained due to frequent assembling and dismantling for cleaning and
maintenance, or due to moving, e.g., in flexible manufacturing. Robustness is especially
required in seasonal processing, during which large amounts of raw materials are processed in
a relatively short time, and a significant part of the personnel is unskilled.
vii. Automation Automation is applied successfully when food processing is continuous, the
output is high, the labour cost is significant, and the factory is located in regions where
industrial infrastructure exists. However, automation increases the cost, the automated
equipment is usually more sophisticated and, therefore, more delicate, requiring skilled
personnel for adjustment and maintenance or repairs.
Operational Characteristics
The operational characteristics are features facilitating the operation of food processing equipment. In
selecting processing equipment, the following requirements should be considered: reliability,
convenience, safety, instrumentation, ergonomics, efficiency, effectiveness, accuracy, and
environmental impact.
i. Reliability Since food is perishable, storage time is relatively short. Fresh products, such as
fish, milk, fruits, and vegetables, must be processed as soon as possible. This presumes high
capacity and reliability of processing equipment, and downtime and breaking-down during
processing should be prevented. Equipment of plant utilities, participating indirectly in
manufacturing of food, such as steam generation, process water, electricity, and refrigeration
units, must also be reliable. Reliability is also important in food factories delivering on the
 basis of "just in time" agreements. However, since even for the best machines, there are limits
in reliability, it is advisable to always have machines ready to replace the broken-down.
Certainly, in the production of large volumes of products, such as tomato paste or frozen
food, it is not possible to have spare evaporators or freezers for replacement. However, spare
units to replace more delicate machines and instrumentation, which are part of such large
units, should be available (e.g., pumps, fans, compressors, sensors for quality control).
ii. Convenience Convenience in operating equipment and machines is especially important in
cases where the personnel are less skilled. As indicated by Kehoe (1989), the future growth of
"middle management" in the factory may shrink due to restructuring, since much of the work
formerly performed by supervisors and middle managers is now superfluous and the
operation of machines is entrusted to less skilled individual workers.
iii. Safety Special care must be devoted to protect personnel working with machines that have
bare moving parts, such as cutting machines, fans, milling and forming machines. In all cases,
machine guarding to protect the operator and other employees in the machine area must be
foreseen. The guarding measures may include barrier guards, two-hand tipping devices, and
electronic safety devices (e.g., automated stopping of a machine if any human limb passes a
certain limit of a safeguarded area). Measures must also be undertaken to minimize hazards
that may take place due to fire, electric shock, or explosion of dust material. Some of these
measures are the installation of nonexplosive or waterproof electric motors in processing
machines and the regular maintenance of the equipment (e.g., conveyors of dry products).
Explosions may take place in mills, silos, and conveying of granular and powder food. Food
industries and facilities in which most fire hazards are found are mills, edible oil
manufacturing units, and storage of dry products. To eliminate hazards, there are several
regulations and standards, worked out by organizations, such as the OSHA (Occupational
Safety and Health Administration) of the U.S. Department of Labor.
iv. Instrumentation Food machines and equipment operate more efficiently when processing
conditions are controlled continuously (Appendix C). This may require sophisticated
instrumentation. The recent trend is, in addition to the usual indicating instruments, installed
directly on the machines/equipment, to get all the process information on screens through
computers. This also helps in developing CAD and CIM programs in food manufacturing.
Equipment that can be fully automated through connection to computers may also be
"telecontrolled" (operated from a distance), which is important in sophisticated continuous
processing (e.g., edible oil manufacturing and milling), and in manufacturing of a number of
special foods with the minimal possible contact of personnel with the products (e.g., baby
foods).
v. Ergonomics Ergonomics (human engineering) is important in operation and maintenance of
food processing equipment and machinery. In ergonomics, the relation between the
 dimensions/capabilities of the machines and the human dimensions/capabilities is important.
Generally speaking, operation and repair of machines should require the minimal possible
human effort (force). Furthermore, it should be noted that women usually have only two-
thirds of the force of men. Human force depends on age and training. Correct ergonomics is
also important in jobs in which constant human concentration is required, such as in several
quality control tasks (e.g., working in a sorting machine, control of final packaging).
vi. Efficiency A usual requirement of food processing equipment is that food processing be
accomplished in the shortest possible time. Long-time contact of the food with air, high
temperature, humidity, and, in some cases, sun may reduce its quality (time-dependent
microbial, enzymatic, and chemical changes of food). Processing may also reduce food
quality. Thus, food quality increases the efficiency requirements of food processing
equipment. Slight over dimensioning of processing units is useful.
vii. Effectiveness In food manufacturing, the process requirements must be achieved, as in
sterilization, where the preset time-temperature values must be reached. The same is also true
for the case of drying, in which certain temperature drying time conditions must be applied, as
well as the final product water activity. Chemical peeling of foods is another example of
defined process conditions. Therefore, processing equipment must be operated effectively,
especially in preservation processes.
viii. Accuracy Many food processing operations do not require high accuracy in industrial
practice. However, in most packaging operations (e.g., bottling), in weighing, and in
confectionery processing, high accuracy is required. High accuracy is also required when
robots are involved in food processing.
ix. Environmental Impact "Environmentally friendly" machines and processing equipment are
required mainly for legal reasons, but also for reducing the adverse effects on the health of
people working in the food processing plant Environmental burden includes equipment noise,
odor, and effluents (water and air). Therefore, in selecting various machines and equipment
for food plants, the requirements of equipment operation under environmental constrains must
be met.
Reliability of the equipment is dependent on
• Optimum processing conditions
• Appropriate materials of construction
• Strength and rigidity of components
• Satisfactory performance of mechanisms and an adequate operating range
• Reliable methods of fabrication
• Ease of maintenance and repairs
• Ease of operation and control
• Safety requirements
Testing of Equipment
Standard equipment is normally guaranteed by the manufacturers/suppliers, and usually needs no
testing of its performance before installation in the food processing plant. However, novel or complex
equipment may need some form of testing, either in the pilot plant (small units) or in the processing
plant. Testing procedures for various process equipment have been published by the American
Institute of Chemical Engineers (AIChE, 1960-1990). The following process equipment is covered:
centrifugal pumps; rotary positive displacement pumps; centrifuges; evaporators; dryers; continuous
direct-heat dryers; heat exchangers; particle size classifiers; batch pressure filters; mixing equipment
(impeller type); solids mixing equipment; paste and dough mixing equipment; plate distillation
columns. As an example, the testing of a rotary positive displacement pump (Newtonian fluids)
involves the following: definitions and description of terms (density, viscosity, Reynolds number,
pressure drop, capacity, power, efficiency); instruments and methods of measurement; test procedure,
test conditions, test data, and performance criteria; acceptance test; computation and interpretation of
results; performance characteristics (power, capacity, efficiency versus total pressure drop).
3. Equipment Specifications
"Off-the shelf" standard equipment, such as pumps, tanks, heat exchangers, and centrifuges, can be
supplied from the stocks of equipment manufactures. Specialized equipment may have to be
fabricated by experienced manufacturers at a higher cost.
Equipment forms, related to food processing equipment, include the following: pumps, fans,
vacuum pumps, electric motors, heat exchangers, boilers, evaporators, packaged refrigeration
systems, filter presses, centrifuges, screens, distillation columns, and process vessels. The
specification forms contain information on the type and properties of the product, the flow rate
(capacity) and operating conditions (temperature, pressure) and other characteristic data.
Several independent quotations of new equipment should be obtained from different
manufacturers. Too strict specifications may significantly increase the cost of equipment. Typical
questionnaires of suppliers of processing equipment, given by Walas (1988), include information on
dryers, mixers, distillation and extraction equipment, evaporators, and so on. For example, a dryer
questionnaire should contain information on the type of product, capacity (kglh), moisture content,
particle size, bulk density, thermophysical properties, ambient air conditions, and materials of
construction
General Procedure in Machine Design
In designing a machine component, there is no rigid rule. The problem may be attempted in several
ways. However, the general procedure to solve a design problem is as follows :
1. Recognition of need. First of all, make a complete statement of the problem, indicating the need,
aim or purpose for which the machine is to be designed.
2. Synthesis (Mechanisms). Select the possible mechanism or group of mechanisms which will give
the desired motion.
3. Analysis of forces. Find the forces acting on each member of the machine and the energy
transmitted by each member.
4. Material selection. Select the material best suited for each member of the machine.
5. Design of elements (Size and Stresses). Find the size of each member of the machine by
considering the force acting on the member and the permissible stresses for the material used. It
should be kept in mind that each member should not deflect or deform than the permissible limit.
6. Modification. Modify the size of the member to agree with the past experience and judgment to
facilitate manufacture. The modification may also be necessary by consideration of manufacturing to
reduce overall cost.
7. Detailed drawing. Draw the detailed drawing of each component and the assembly of the machine
with complete specification for the manufacturing processes suggested.
8. Production. The component, as per the drawing, is manufactured in the workshop.
Fabrication of equipment
The requirements for construction of food processing equipment are to a great extent similar to those
applied in building general processing equipment. However, due to the biological character of the
processed food materials, certain limitations, influencing their quality and safety (e.g., temperature,
moisture, pressure, contact with air), must be taken into consideration. The designer of food
equipment must keep in mind the selection requirements of the final user in the food industry who
will play a role in purchasing the constructed equipment, and a feedback of experience is
indispensable. The following basic points must be taken into consideration for the proper design and
construction of food equipment: strength, technological suitability, weak construction points, and
fabrication and installation of equipment.
1. Strength of Construction
a. General Aspects
The basic types of forces applied in a material are tension, pressure, and shear. Furthermore,
combinations of these forces, such as bending or perforation, are often applied. The stress applied to
machine materials is due to forces caused by mechanical, thermal, chemical, or physical processes
(e.g., phase change of a processed material). Food equipment stresses may be distinguished as
"internal" and "external" stresses. Mechanical stresses may be due to static forces, as in silos or tanks
(weight of the equipment and weight of its contents). Other examples of mechanical stresses are the
pressure experienced by materials of construction during mechanical processing, such as
homogenization, pressing, filtration, extruding, and pumping.
Thermal stresses develop at high or low temperatures during processing
(expansion/contraction). They are especially pronounced in positions in which two different
construction materials are joined. Furthermore, elevated temperatures may cause mechanical
weakening of the material. Chemical reactions influence directly or indirectly the strength of the
construction material. Chemical reactions may cause corrosion or produce substances that cause
mechanical stress (e.g., gases).
Physical stress may cause indirectly mechanical stress. Phase changes of the product may
cause mechanical stress, such as when water is vaporized (development of pressure). Internal stresses
are related directly to the equipment, including static forces of the equipment and its contents, and
forces caused by changes during food processing. External stresses are usually caused by external
forces such as wind and snow. These stresses occur when the equipment is located outside buildings,
e.g., in silos, large tanks, and tall equipment, like barometric sterilizers, large evaporators, and
distillation columns. However, external stresses may also be important in equipment located indoors,
e.g., stresses due to seismic action or due to vibration of neighboring equipment.
Mechanical stresses can be controlled and minimized by proper selection of the construction
materials, correct design of the equipment, and proper construction. Recommended design stresses
must be taken into consideration, e.g., the tensile strength of stainless steel 304 at 20-50°C is greater
than 500 N/mm2, but typical design stress for such a material is only 155 N/mm2 (Sinnott, 1996; Perry
and Green, 1997).
Thermal stresses in pipelines should be controlled by flexible connections or n expansions. Proper
construction should apply sufficient tolerances against the risk of thermal expansions and
contractions. Proper welding may reduce the risks of equipment corrosion or stresses, since welding is
the weak point of several structures, due to the weakening effect of the local heat, produced during
welding. In storage silos (bins), material failure of the lower cone may be caused by uneven
distribution and improper emptying of the particulate material. Silo failure is a potential explosion
hazard for certain food powders. To prevent this problem, emptying of the particulate material should
be facilitated by special
devices and techniques. Metal support rings should be installed near the wider base of the metal cone,
reinforcing the walls against excessive stresses.
b. Sensitive Construction Points
Sensitive and weak points in food processing equipment include, (1) material joints and (2) parts for
which a relative motion between equipment elements exists. Joints may be permanent (welded,
riveted plates, parts connected with an adhesive) or flexible (screwed parts). Adhesives are frequently
used in constructions, e.g., in pipelines (Ullmann, 1973), but they do not withstand high temperatures,
and the additives (plasticizers) they contain are not acceptable for direct food contact.
Welding, which is used extensively in joining various metal parts, should be polished in all
surfaces coming into contact with food materials. Screws should be avoided in equipment parts
contacting food. Screwed joints, used in external construction (supporting structures), should conform
to sanitary requirements, e.g., wide-pitched screws and very short (hidden) nuts (Jowitt, 1980).
Bearings should be placed outside the food area, when a part of the equipment is stationary,
while the other is rotating, e.g., shafts connecting an electric motor with agitators, extruder screws,
scraped heat exchangers, or pumps. Food grade gaskets should be used instead of full face ones, to
avoid contamination.
c. Proper Engineering
In relating a given food processing technology to the construction of proper equipment, in addition to
the sizing and economic factors, the interrelation of equipment with its environment (surroundings)
must be taken into account. The interrelation of equipment and its surroundings mayor may not be
desirable. For example, in heat exchangers the transfer of heat between the product and the
surrounding medium is desirable. On the other hand, undesirable interrelations include the leakage of
equipment [loss of material (processed food), loss of heating medium (hot water or steam), inflow of
air in vacuum] and contamination (inflow of microorganisms or undesirable fluids in food processing
pipes).
2. Fabrication and Installation of Equipment
The principles and techniques used in the fabrication of process equipment for the chemical and other
process industries are applicable to the food processing equipment. In addition, the food equipment
must comply with strict hygienic (sanitary) standards and regulations, which will ensure the safety
and quality of the food products.
a. General Process Equipment
Fabrication expenses account for a large part of the purchased cost of the process equipment.
Mechanical details for the fabrication of general process equipment are given in various engineering
codes, such as the American Society of Mechanical Engineers (ASME), the British Standards (BS),
and the German Standards (DIN).
The main steps in fabricating process equipment are cutting, forming, welding, annealing, and
finishing (Peters and Timmerhaus, 1990). Cutting of the metal can be affected by shearing, burning,
or sawing. Forming into the desired shape is accomplished by rolling, bending, and pressing,
pounding, or spinning on a die. Welding has replaced bolting in most metal constructions. Electric
welding can be done by manual shielded arc or submerged arc. Stainless steel and nonferrous metals
are welded by the Heliarc process (in inert He or Ar gas). The welded joints and main seams are
tested by X-rays. Hydrostatic tests are required to detect any leaks.
Heat treatment (annealing) of the fabricated equipment is necessary to remove mechanical stresses,
created during forming and welding, to restore corrosion resistance, and to prevent stress corrosion.
The equipment is finished by sandblasting (abrasive) or mechanical polishing, and it may be painted.
Final pressure tests at 1.5-2 times the operating pressure and other tests may be required by the codes
or the inspector.
Metal cladding is sometimes used to reduce cost in corrosive environments: A thin sheet of an
expensive corrosion-resistant material is used to clad (cover) a cheaper thick plate. In the design of
process vessels (tanks), empirical correlations are used to ensure the mechanical strength of the
construction. Thus, the ratio of wall thickness to tank diameter (tID) is taken as tiD < 1110 for thin-
walled, and tID> 1110 for thick-walled vessels (Sinnott, 1996). Empirical correlations are also used
for
liquid storage tanks.
h. Food Processing Equipment
The fabrication of food processing equipment must follow some special requirements, related to the
materials of construction, the design, and the characteristics of the various units. The requirements for
hygienic design and operation are discussed in the next section of this chapter. The materials used in
food equipment and machines should not interact with food and should be noncorrosive and
mechanically stable. For the majority of equipment used in direct contact with food, stainless steel
(AISI 304) is employed. If the acidity of food products is high, AISI 316 is commonly employed.
If rubber and plastics are used in contact with foods, e.g., PVC, plasticizers that may migrate into the
food should be contained. Tin, although nontoxic for normal dietary ingestion, should not be used in
food equipment and machines if mechanical stresses occur, since its strength against stress is very
low.
The cost of equipment/machines increases with: (1) quality and quantity of stainless steel used; (2)
total weight of the unit; (3) quantity of relatively expensive material used (e.g., insulation, special
seals); (4) fabrication (e.g., smoothness of surfaces, type of welding); (5) antirust protection (e.g.,
double or electrolytic galvanization, special paints); and (6) quality of spare parts (e.g., bearings,
electrical material).
In addition to the hygienic design (e.g., cleaning, sanitation), the following requirements are important
in the construction of food processing equipment: (1) easy mechanical maintenance; (2)
standardization of spare parts, important in seasonal processing, when the equipment is run
continuously for a relativelyshort time; (3) durability and flexibility, important in seasonal processing,
and in switching from one product to another; and (4) high accuracy in some operations, like peeling,
cutting, filling, packaging, and weighing. The food contact surface of the equipment should be kept
free of non food materials, like lubricants and greases, using gaskets, seals, and other insertions.
Bearings and other mechanical parts should be isolated from the food.
c. Installation of Process Equipment
The process equipment is installed on various supporting structures, depending on the type and weight
of the equipment, and the nature of the processing operation. Large and heavy equipment, e.g.,
barometric sterilizers and homogenizers, are installed directly on heavy ground foundations. Large
and tall equipment, requiring free space beneath it, like silos and storage tanks, are normally seated on
bucket supports, welded on the surface of the equipment, near its center of gravity. Supporting legs
are used for short vessels and long structures, e.g., sorting tables and band dryers.
Equipment that has to be transported frequently within the plant from one area to another,
e.g., silos containing semifinished products, can be installed on moving supports, hanging from the
plant roof. Equipment supports, made of carbon steel, like legs and bucket supports, should be welded
to stainless-steel patches, which are in tum welded on the processing equipment. This construction of
equipment prevents electrochemical corrosion, caused by joining two dissimilar metals.
Equipment Classification
• Pressure Vessel Group
Cylindrical or spherical vessels
Withstands variation of temperature and pressure
• Structural Group
Stationary and have to sustain dead loads
Must satisfy conditions of elastic and structural stability
• Group involving rotational motion
Drive system and power supply are essential
Considerations of torque, dynamic stresses, and other loads

Chapter 1: Materials and properties

Introduction
The knowledge of materials and their properties is of great significance for a design engineer. The
machine elements should be made of such a material which has properties suitable for the conditions
of operation. In addition to this, a design engineer must be familiar with the effects which the
manufacturing processes and heat treatment have on the properties of the materials.
Classification of Engineering Materials:
The engineering materials are mainly classified as :
(a) Metals and their alloys, such as iron, steel, copper, aluminium, etc.
(b) Non-metals, such as glass, rubber, plastic, etc.
The metals may be further classified as : (a) Ferrous metals, and (b) Non-ferrous metals
The *ferrous metals are those which have the iron as their main constituent, such as cast iron,
wrought iron and steel.
The non-ferrous metals are those which have a metal other than iron as their main constituent, such
as copper, aluminium, brass, tin, zinc, etc.
 Materials
Metals and their
Non metals
alloys
Non-ferrous
Ferrous metals Rubber Glass Plastics Wood
metals
Metals other than
Iron as their main
iron as their main
constituent – cast
constituent –
iron, wrough iron,
copper, aluminium,
steel, etc
brass, tin, zinc, etc

Metals are the most important materials used in the construction of food processing equipment. They
can be classified into two main categories: ferrous metals and their alloys, and nonferrous metals. The
nonferrous metals are either used in the construction of equipment and in equipment parts coming
directly in contact with food, or are included in alloys or in chemicals that are used for influencing the
properties of other materials (e.g., paints, plastics).
Recently, there have been efforts to develop metals containing antimicrobial compounds in
their structure. Such metals are a special stainless steel coated with the antimicrobial compound
AgION, and a special titanium dioxide that can be used in cutting devices
Ferrous Metals: Metals are those which have iron as their main constituent. The ferrous metals
commonly used in engineering practice are cast iron, wrought iron, steels and alloy steels. The
principal raw material for all ferrous metals is pig iron which is obtained by smelting iron ore with
coke and limestone, in the blast furnace.
Steel
The ferrous metals used for food processing equipment are: carbon steel, low alloy steel, cast iron,
stainless steel, and cast stainless steel. Stainless steel is the main material used in direct contact with
food. Carbon steel and low-alloy steel are used only in special cases in direct contact with food, e.g.,
in the edible oil industry (mills, presses, and oil tanks at temperatures below 150a C; Loncin, 1969), in
preliminary processes of the canning industry (e.g., cleaning of raw potatoes), and in sorting of fruits
and vegetables in packing houses.
Carbon is the main component (0.03-1.7%) that influences the strength of steel. Increasing the
carbon content causes an increase of the alloy tensile strength (e.g., the steel strength is tripled when
0.9% carbon is added), a reduction of strain (down 14-fold when more than 1.6% carbon is added), an
increase of hardness (up to 3.5-fold), and a reduction of welding ability (Schimpke, 1959). The
addition of elements such as Cr, Ni, Mn, Mo, Ni, or Ti leads to alloyed metals, which have enhanced
properties. The composition of the various carbon and low-alloy steels is given by the standards of the
American Steel Institute (AISI). For example, AISI 1020 contains 0.2% carbon, 0.3-1.65% Mn, 0.1-
0.3% Si, P < 0.04%, and S < 0.05% (Peters and Timmerhaus, 1990). Carbon steel contains less than
4% Cr, whereas the Cr content of low-alloy steel lies between 4 and 7% (Sandler and Luckiewicz,
1987). Low-alloy steel also contains small amounts of Mo «0.5%) to increase the high-temperature
strength. Both metals must have a low content «0.05%) of Sand P (Loncin, 1969). Both are sensitive
to oxidation, and are often protected through coatings (paints, plastics). Carbon steel is resistant to
water-free mineral acids (e.g., H2S04) and relatively resistant to lye solutions, but it is attacked by
organic acids and dilute mineral acids and it is very sensitive to moisture (Loncin, 1969). Its corrosion
rates are about 0.13-0.5 mm/year. Low-alloy steel is a little more resistant than carbon steel against
humidity (Perry and Green, 1997). Cast iron is used mainly for supporting purposes, casings and cast
parts of food equipment that do not come directly in contact with food. The tensile strength of carbon
steel and low-alloy steel is 345-485 and 220 MPa, respectively. The thermal conductivity of both
metals is 36-46 W/m K (Perry and Green, 1997).
Stainless Steels
High-grade stainless steel is the most important type of steel used in direct contact with food in
constructing food-processing equipment. Stainless steels are characterized, in general, by chromium
content higher than 12% and by their passivity, i.e., the ability to form an impervious surface coating,
which inhibits corrosion. Austenitic stainless steel, containing nickel (Ni > 3.5%), is mainly used,
because this type is more corrosion-resistant and more ductile. In most food equipment, two types of
stainless steel are used: AISI 304 and AISI 316. The corresponding specification numbers in the
British Standards for stainless steel (BS 1501) are 801B and 845B, respectively (Sinnott, 1996). In the
German Standardization (DIN), stainless steels have the specification DIN 17440 (X5CrNi18-8),
Grassuck et al. (1994). The carbon content of AISI 304 and AISI 316 is 0.08%. Low carbon content
improves welding, which may also be achieved by adding titanium (Ti) or niobium (Nb) (Ullmann,
1973). The Cr and Ni content for both types is 18 and 8%, respectively. Cr improves the hardness and
abrasion resistance of the alloy. Ni increases the toughness and improves the properties at low
temperatures. AISI 316 also contains 2-3% Mo, which enhances the alloy properties at higher
temperatures, important in welding (Perry and Green, 1997), and increases the resistance to pitting
due to chlorides. Besides these two types, variations 304 Land 316L are also used. Both of them have
further reduced carbon content (0.03%), which enables welding of thicker stainless steel sheets
(Sinnott, 1996). Both types of stainless steel are resistant to oxidation and acids. Their resistance
against lye is similar to that of carbon steel. Therefore, RN03 and NaOH solutions may be used to
advantage in cleaning processes (CIP). Both materials are not very resistant against halogens (Cl),
which cause pitting especially at high temperatures and low pH values. AISI 316 is about 25% more
corrosion resistant than AISI 304.The tensile strength of both types of stainless steel is 565 MPa.
Their thermal conductivity (A) is relatively low (18.8 W/m K). However, in heating or cooling fluids,
the low A of stainless steel does not influence heat transfer very much, since the thickness of the
metal sheets in heat exchangers is small, and the effect of other factors (viscosity and fluid velocity) is
much more pronounced (Chapter 6).
Aluminum
Aluminum is the most widely used nonferrous metal for food processing equipment. It has the
advantages of high strength-to-weight ratio, nonmagnetic properties, good thermal and electrical
conductivity, and resistance to corrosive environments. Commercially pure (>99.5% AI) wrought
metal (DIN 1712, Sheet 3, American Aluminum Association, AA 1060) is used in tanks for storage
and transportation of milk and beer, acetic acid, and alcohol (Ullmann, 1973; Sandler and Luckiewicz,
1987). Its alloys are used in supporting constructions. Since its strength remains stable at temperatures
downto about - 250°C (Perry and Green, 1997), and its thermal conductivity is high (208.8 Wlm K,
Loncin, 1969), it is often used for food freezing equipment (e.g., plate food freezers). However, its
strength is remarkably reduced at temperatures above 150°C. The tensile strength of commercially
pure aluminum is 69 MPa. Its strength increases through cold working (Perry and Green, 1997). The
strength of aluminum alloys (e.g. Duralumin) is greater than that of the pure metal, but their resistance
to corrosion is lower (Sinnott, 1996). Therefore, in some cases aluminum alloys are plated by pure
aluminum metal to avoid direct contact with the food. The tensile strength of its alloy may approach
that of low-alloy steel. It is very resistant against oxidation in humid air, but it is attacked by strong
caustic solutions and acids. Cleaning substances containing lye can be handled only if inhibitors (e.g.,
sodium metal silicate) are used.
Copper
It is characterized by its very good electrical and heat conduction properties (X. = 375 Wlm K), and its
low temperature (-250°C) strength (Schimpke, 1959). It is used in some equipment that comes
directly in contact with food, e.g., beer brewing ingredients that have a pH below 6 in the
prefermentation and fermentation steps of beer brewing (FDA Food Code 1999, Chapter 4).
Furthermore, it may also be used in processing of chocolate and confectionery, if the manufactured
products do not contain acid substances. It has been used in the past in the processing of jams and
tomatoes, but, due to the oxidation of ascorbic acid, it has been replaced by stainless steel. Because of
its relatively good corrosion resistance against nonoxidizing acids, copper is used in equipment
employed in starch hydrolysis with dilute hydrochloric acid. The tensile strength of copper is about
360 MPa (Perry and Green, 1997). Copper alloys, such as brasses and bronzes (>60% Cu), are
stronger than pure copper. Brasses are virtually not used for food equipment, but bronzes (especially
aluminum and silicon bronzes) are often used in valves, taps, and other cast parts of equipment (
Loncin, 1969; Perry and Green, 1997). Bronze is used in some food equipment after plating with
nonoxidized metals (e.g., Ni, Cr).
Other Metals
Tin is used as a constituent of copper alloys, and in coating steel or copper so as to avoid their direct
contact with food. Nickel and chromium are constituent metals in steel and copper alloys. The
addition of Ni increases toughness and corrosion resistance of steel alloys. Chromium increases
strength and hardness. Monel 400 is a nickel-copper alloy (67% Ni) that has good strength and quite
good corrosion resistance properties against alkalis, organic acids, and salt (brine solutions). It is more
expensive than stainless steel, but it may be used in reducing conditions, in which stainless steel
would be unsuitable (Schimpke, 1959; Sinnott, 1996; Perry and Green, 1997).
Plastics-Rubber
Plastics are usually resistant to corrosion, but their mechanical strength is limited. Furthermore, their
strength depends strongly on the temperature of the material. The upper temperature application limit
of most temperature-resistant plastics lies at 250°C. Therefore, in food processing equipment, plastics
are mainly used for coating and parts that are not under high and continuous stress (e.g., parts of
ventilators and pumps, pipes, fittings, small tanks, covers of vessels, filters, gaskets). In all cases,
plastics must fulfill the requirements concerning the interaction of materials with food. This is
especially important for plasticizers, which are added to influence the properties of the plastics, and
which are generally undesirable in the food system.
Plastics, as construction materials, can be divided into two main categories: thermoplastic and
thermosetting materials (Sinnott, 1996). Examples of commonly used thermoplastics are poly(vinyl
chloride) (PVC), polyethylene, and poly(tetrafluoroethylene) (PTFE; Teflon). Depending on the
plasticizers added, plastics could become softer or harder. Polyethylene, for example, can be
distinguished into low- and high-density material. The tensile strength of low-density polyethylene is
15 MPa, while that of the high-density material is about double. Low-density polyethylene can be
used at temperatures up to 100°C, while the high density material can be applied at temperatures up to
130°C. The thermal conductivity of both materials is 0.334 W/mK.. PTFE has relatively low
mechanical strength (7-25 MPa, Perry and Green, 1997), but it is used when high temperatures
prevail, as it withstands temperatures up to 250°C (Loncin, 1969). Examples of thermosetting
materials are polyester and the epoxy resins. The tensile strength for polyester is 40-100 MPa and for
epoxy resins, it may reach 200 MPa (Perry and Green, 1997). The thermal conductivity of polyester is
0.13-0.26 W/m K (Loncin, 1969). Epoxy resins are also used as adhesive of plastic or even metal
equipment parts. However, in this case the application temperature should not exceed 100-180°C
(Ullmann, 1973).
Rubber is used as part of equipment or machines coming directly in contact with food (e.g.,
gaskets, filters), as parts that must withstand friction (e.g., pumps), and in coating of metals. Rubber
must be as pure as possible. Hard rubber has a tensile strength of 70-100 MPa and its thermal
conductivity is about 0.4 W 1m K (Loncin, 1969). In conveyor belts, canvas may be more preferable
than rubber.
Glass-Ceramics
Glass and ceramics are very resistant to acids and sufficiently resistant against lye. They are very hard
and can withstand pressures of 100-400 MPa. However, they are very sensitive to bending (fragile).
Their thermal conductivity is 0.62-1.45 W/m K. They are used in coating of other stable materials
(e.g., in bins, vats) and in the construction of pipes and processing equipment for very sensitive
products.
Ceramics are also used in filtration (e.g., sand, porous silicate bodies), in ultrafiltration, and
for insulation (glass wool). They can be used in enameling of metals to protect against corrosion (e.g.,
storage tanks), and for glass-fiber reinforced plastics. Polyester resins, reinforced with glass fiber,
have a relatively good strength up to 130°C, are resistant to several chemicals, and can be easily
formed. Therefore, they are often used for fittings and valves in connection with plastic pipes and
vats.
Wood
It was used in the past for the fabrication of various food processing equipment, but its use has been
discontinued, due to hygienic (sanitary) and mechanical strength problems. At the present time, wood
is used as an inexpensive material in some traditional food processes, such as fermentation tanks and
storage containers for wine, pickles, and olives. The high acidity and the high salt (NaCI) content of
brines in some of these products can cause severe corrosion problems even for expensive metallic
construction materials, such as stainless steel.
Chemical and physical resistance of metals and alloys
Chemical and physical resistance of thermoplastics
Chemical and physical resistance of thermo harders

Selection of Materials for Engineering Purposes

The selection of a proper material, for engineering purposes, is one of the most difficult problem for
the designer. The best material is one which serve the desired objective at the minimum cost. The
following factors should be considered while selecting the material :
1. Availability of the materials
 2. Suitability of the materials for the working conditions in service
3. The cost of the materials
Suitability of the material:
 Material properties suitable for conditions of operation- Knowledge of physical, chemical and
thermal behaviour
 Materials for fabrication-Effects which the manufacturing processes and heat treatment have
on the properties of the materials
 Hygienic properties of materials
• Sensitivity to fouling, cleanability, inertness in contact with the food
produced
• Insights on laws, regulations, standards and guidelines applicable
Physical Properties of Metals
The physical properties of the metals include luster, colour, size and shape, density, electric and
thermal conductivity, and melting point.
Mechanical Properties of Metals
The mechanical properties of the metals are those which are associated with the ability of the material
to resist mechanical forces and load. These mechanical properties of the metal include strength,
stiffness, elasticity, plasticity, ductility, brittleness, malleability, toughness, resilience, creep and
hardness.
1. Strength. It is the ability of a material to resist the externally applied forces without breaking
or yielding. The internal resistance offered by a part to an externally applied force is called stress.
2. Stiffness. It is the ability of a material to resist deformation under stress. The modulus of elasticity
is the measure of stiffness.
3. Elasticity. It is the property of a material to regain its original shape after deformation when
the external forces are removed. This property is desirable for materials used in tools and machines. It
may be noted that steel is more elastic than rubber.
4. Plasticity. It is property of a material which retains the deformation produced under load
permanently. This property of the material is necessary for forgings, in stamping images on coins and
in ornamental work.
5. Ductility. It is the property of a material enabling it to be drawn into wire with the application of a
tensile force. A ductile material must be both strong and plastic. The ductility is usually measured by
the terms, percentage elongation and percentage reduction in area. The ductile material commonly
used in engineering practice (in order of diminishing ductility) are mild steel, copper, aluminium,
nickel, zinc, tin and lead.
6. Brittleness. It is the property of a material opposite to ductility. It is the property of breaking of a
material with little permanent distortion. Brittle materials when subjected to tensile loads, snap off
without giving any sensible elongation. Cast iron is a brittle material.
7. Malleability. It is a special case of ductility which permits materials to be rolled or hammered
into thin sheets. A malleable material should be plastic but it is not essential to be so strong. The
malleable materials commonly used in engineering practice (in order of diminishing malleability) are
lead, soft steel, wrought iron, copper and aluminium.
8. Toughness. It is the property of a material to resist fracture due to high impact loads like hammer
blows. The toughness of the material decreases when it is heated. It is measured by the amount of
energy that a unit volume of the material has absorbed after being stressed upto the point of fracture.
This property is desirable in parts subjected to shock and impact loads.
9. Machinability. It is the property of a material which refers to a relative case with which a material
can be cut. The machinability of a material can be measured in a number of ways such as comparing
the tool life for cutting different materials or thrust required to remove the material at some given rate
or the energy required to remove a unit volume of the material. It may be noted that brass can be
easily machined than steel.
10. Resilience. It is the property of a material to absorb energy and to resist shock and impact loads. It
is measured by the amount of energy absorbed per unit volume within elastic limit. This property is
essential for spring materials.
11. Creep. When a part is subjected to a constant stress at high temperature for a long period of time,
it will undergo a slow and permanent deformation called creep. This property is considered in
designing internal combustion engines, boilers and turbines.
12. Fatigue. When a material is subjected to repeated stresses, it fails at stresses below the yield point
stresses. Such type of failure of a material is known as fatigue. The failure is caused by means of a
progressive crack formation which are usually fine and of microscopic size. This property is
considered in designing shafts, connecting rods, springs, gears, etc.
13. Hardness. It is a very important property of the metals and has a wide variety of meanings. It
embraces many different properties such as resistance to wear, scratching, deformation and
machinability etc. It also means the ability of a metal to cut another metal.
The hardness is usually expressed in numbers which are dependent on the method of making
the test. The hardness of a metal may be determined by the Brinell hardness test, Rockwell hardness
test, Vickers hardness (also called Diamond Pyramid) test, or Shore scleroscope.
Chapter 2: Corrosion prevention

Metals are thermodynamically unstable and tend to react with their environment to produce
compounds such as oxides or carbonates (reaction involves movement of electrons, electrochemical
reaction). If corrosion products are insoluble and may from a protective skin on the metal a high
degree of corrosion resistance eg: Aluminium, stainless steel, etc. If corrosion product is loose and
non-adherent, the corrosion resistance is poor eg: Steel, iron, etc

Corrosion is influenced by metallurgical composition and micro-structure. Extent of corrosion

between two dissimilar metals depends on their electrode potential difference, the distance apart and
of the metalsrelative areas. Metals can be arranged in the order of their electrode potentials – galvanic
or electrochemical series. Non metals have good corrosion resistance under atmospheric conditions

Galvanic series of Metals

Common forms of corrosion

Types Feature Control/Prevention

Uniform Most common, characterized by chemical or Choice of proper materials,

corrosion electrochemical reaction – wasting of surface coatings, inhibitors, cathodic
protection
Galvanic Occurs when two dissimilar metals are in Selection of metals as close
corrosion contact. Less resistant metal becomes anodic together as possible in galavanic
and more resistant metal cathodic series, Insulation, Coatings,
inhibitors, cathodic protection,
avoid unfavourable area

Crevice Intense, localized corrosion within crevices Using welded joints instead of
corrosion and shielded areas. Associated with small threaded or bolted joints,
volumes of stagnant solution caused by avoiding sharp corners and
holes, gasket surfaces, lap joints, surface stagnant areas
deposits, crevices, bolt and rivet heads.
Stainless steel is susceptible

Pitting Occurs between surfaces in close contact due Adding inhibitors

corrosion to presence to impurities, rough spots and
scratches.

Inter-granular Localized attack or an inter-crystalline cracking along the grain boundary caused
corrosion by impurities at boundary, enrichment of one of the alloying elements or a
depletion of one of these elements at the grain-boundary area

Types Feature Control/Prevention

Selective One element or metal or alloy is singled out Avoiding wet conditions
leaching for attack – leads to breakage

Stress corrosion Result of internal or external stresses and Controlling temperature, solution
corrosive enivornment – leading to form of composition, metal composition,
cracks structure and stress
Plastics and some metals suffer from stress-
corrosion cracking
Fatigue Cyclic loads combine with corrosion –
corrosion occurs at stress levels below yield point and
after many cyclic loads
Erosion Due to combination of corrosive fluid and Selection of materials
corrosion mechanical wear resulting from the
impingement of liquid or abrasion of solid
particles.
Cavitation Occurs due to repeated collapse of vapour bubbles on a metal surface – causes
corrosion mild physical damage to the protective films, severe deformation and fracture of
surface
Fretting At the contact areas between materials under Lubricating contact areas,
corrosion load subjected to vibration and slip – friction increasing the hardness of one or
oxidation or wear oxidation both of contacting materials
Hydrogen Mechanical damage by interaction with hydrogen – hydrogen blistering,
damage decarburization or hydrogen attach
Thermogalvanic Metals will be differentially polarized and anodic and cathodic areas are formed at
corrosion thermal gradient, by uneven dissipation of heat. This effect lead to galvanic
errosion

The rate of corrosion is measured in terms of mils per year

Mil = 0.0254 mm ......= 0.001 inch
Corrosion Prevention
• Material selection
• Anodic or cathodic protection
• Engineering design components
• Control of process environment
• Protection methods
• Protective coatings
• Linings

Design Improvements
Protective Coatings
Chapter 3: Design Considerations
For satisfactory design, the following factors must be considered
• Material Selection
• Corrosion prevention
• Stresses due to static and dynamic loads
• Elasticity, Instability
• Combined stresses and Theories of failure
• Fatigue
• Brittle fracture
• Creep
• Temperature effects
• Radiation effects
• Effects of fabrication methods
• Economic considerations
Load: It is defined as any external force acting upon a machine part. The following four types of
the load are important from the subject point of view:
1. Dead or steady load. A load is said to be a dead or steady load, when it does not change in
magnitude or direction.
2. Live or variable load. A load is said to be a live or variable load, when it changes continually.
3. Suddenly applied or shock loads. A load is said to be a suddenly applied or shock load, when it
is suddenly applied or removed.
4. Impact load. A load is said to be an impact load, when it is applied with some initial velocity.
Note: A machine part resists a dead load more easily than a live load and a live load more easily
than a shock load.
Stresses due to static and dynamic loads
Stress: When some external system of forces or loads act on a body, the internal forces (equal and
opposite) are set up at various sections of the body, which resist the external forces. This internal
force per unit area at any section of the body is known as unit stress or simply a stress. It is denoted
by a Greek letter sigma (σ).
Mathematically, Stress, σ = P/A
where P = Force or load acting on a body, and
A = Cross-sectional area of the body.
In S.I. units, the stress is usually expressed in Pascal (Pa) such that 1 Pa = 1 N/m 2. In actual practice,
we use bigger units of stress i.e. megapascal (MPa) and gigapascal (GPa), such that 1 MPa = 1 × 106
N/m2 = 1 N/mm2 and 1 GPa = 1 × 109 N/m2 = 1 kN/mm2
• Tension or Compression,
 • Shear in single plane,

• Shear in two planes,

• Bearing or crushing stress,

where, W = applied load

A = Area of cross section
A’ = Area of contact

Strain
When a system of forces or loads act on a body, it undergoes some deformation. This deformation per
unit length is known as unit strain or simply a strain. It is denoted by a Greek letter epsilon (ε).
Mathematically, Strain, ε = δl / l or δl = ε.l
where δl = Change in length of the body, and
l = Original length of the body.
Tensile Stress and Strain
When a body is subjected to two equal and opposite axial pulls P (also called tensile load), then the
stress induced at any section of the body is known as tensile stress. A little consideration will show
that due to the tensile load, there will be a decrease in cross-sectional area and an increase in length of
the body. The ratio of the increase in length to the original length is known as tensile strain.
Let P = Axial tensile force acting on the body, A = Cross-sectional area of the body, l =
Original length, and δl = Increase in length.
∴ Tensile stress, σt = P/A and tensile strain, ε t = δl / l
 • Tensile strain,

• Shear strain,

Where, , = strain
E = modulus of direct elasticity
G = modulus of elasticity
Compressive Stress and Strain
When a body is subjected to two equal and opposite axial pushes P (also called compressive load),
then the stress induced at any section of the body is known as compressive stress. A little
consideration will show that due to the compressive load, there will be an increase in cross-sectional
area and a decrease in length of the body. The ratio of the decrease in length to the original length is
known as compressive strain.
Let P = Axial compressive force acting on the body, A = Cross-sectional area of the body, l =
Original length, and δl = Decrease in length.
∴ Compressive stress, σc = P/A and compressive strain, εc = δ l/ l
Note : In case of tension or compression, the area involved is at right angles to the external force
applied.

Young's Modulus or Modulus of Elasticity

Hooke's law states that when a material is loaded within elastic limit, the stress is directly
proportional to strain, i.e. where E is a constant of proportionality known as Young's modulus or
modulus of elasticity. In S.I. units, it is usually expressed in GPa i.e. GN/m2 or kN/mm2. It may be
noted that Hooke's law holds good for tension as well as compression.
Shear Stress and Strain
When a body is subjected to two equal and opposite forces acting tangentially across the resisting
section, as a result of which the body tends to shear off the section, then the stress induced is called
shear stress. The corresponding strain is known as shear strain and it is measured by the angular
deformation accompanying the shear stress. The shear stress and shear strain are denoted by the Greek
letters tau (τ) and phi (φ) respectively.
Mathematically,
Shear stress, τ =Tangential force/Resisting area
Consider a body consisting of two plates connected by a rivet. In this case, the tangential force P
tends to shear off the rivet at one cross-section. It may be noted that when the tangential force is
resisted by one cross-section of the rivet (or when shearing takes place at one cross-section of the
rivet), then the rivets are said to be in single shear.
In such a case, the area resisting the shear off the rivet, and shear stress on the rivet cross-section,
Now let us consider two plates connected by the two cover plates as shown in Fig. 4.7 (a). In this
case, the tangential force P tends to shear off the rivet at two cross-sections as shown in Fig. 4.7 (b). It
may be noted that when the tangential force is resisted by two cross-sections of the rivet (or when the
shearing takes place at two cross-sections of the rivet), then the rivets are said to be in double shear.
In such a case, the area resisting the shear off the rivet, Notes : 1. All lap joints and single cover butt
joints are in single shear, while the butt joints with double cover plates are in double shear. 2. In case
of shear, the area involved is parallel to the external force applied. 3. When the holes are to be
punched or drilled in the metal plates, then the tools used to perform the operations must overcome
the ultimate shearing resistance of the material to be cut.
If a hole of diameter ‘d’ is to be punched in a metal plate of thickness ‘t’, then the area to be
sheared,
A=πd×t
and the maximum shear resistance of the tool or the force required to punch a hole,
P = A × τu = π d × t × τu
where τu = Ultimate shear strength of the material of the plate.

Shear Modulus or Modulus of Rigidity

It has been found experimentally that within the elastic limit, the shear stress is directly proportional
to shear strain.
Mathematically
τ ∝ φ or τ = C . φ or τ / φ = C
where τ = Shear stress,
φ = Shear strain, and
C = Constant of proportionality, known as shear modulus or modulus of rigidity. It is
also denoted by N or G.
Bearing Stress
A localised compressive stress at the surface of contact between two members of a machine part, that
are relatively at rest is known as bearing stress or crushing stress. The bearing stress is taken into
account in the design of riveted joints, cotter joints, knuckle joints, etc.
Let us consider a riveted joint subjected to a load P as shown in Fig. In such a case, the
bearing stress or crushing stress (stress at the surface of contact between the rivet and a plate),
σb (or σc) = Pd t n
where d = Diameter of the rivet,
t = Thickness of the plate,
d.t = Projected area of the rivet, and
n = Number of rivets per pitch length in bearing or crushing.
It may be noted that the local compression which exists at the surface of contact between two
members of a machine part that are in relative motion, is called bearing pressure (not the bearing
stress). This term is commonly used in the design of a journal supported in a bearing, pins for levers,
crank pins, clutch lining, etc. Let us consider a journal rotating in a fixed bearing as shown in Fig. The
journal exerts a bearing pressure on the curved surfaces of the brasses immediately below it. The
distribution of this bearing pressure will not be uniform, but it will be in accordance with the shape of
the surfaces in contact and deformation characteristics of the two materials. The distribution of
bearing pressure will be similar to that as shown in Fig. 4.10 (b). Since the actual bearing pressure is
difficult to determine, therefore the average bearing pressure is usually calculated by dividing the load
to the projected area of the curved surfaces in contact. Thus, the average bearing pressure for a journal
supported in a bearing is given by
pb =Pl d
where pb = Average bearing pressure,
P = Radial load on the journal,
l = Length of the journal in contact, and
d = Diameter of the journal.
Stress-strain Diagram
In designing various parts of a machine, it is necessary to know how the material will function in
service. For this, certain characteristics or properties of the material should be known. The mechanical
properties mostly used in mechanical engineering practice are commonly determined from a standard
tensile test. This test consists of gradually loading a standard specimen of a material and noting the
corresponding values of load and elongation until the specimen fractures. The load is applied and
measured by a testing machine. The stress is determined by dividing the load values by the original
cross-sectional area of the specimen.
The elongation is measured by determining the amounts that two reference points on the
specimen are moved apart by the action of the machine. The original distance between the two
reference points is known as gauge length. The strain is determined by dividing the elongation values
by the gauge length. The values of the stress and corresponding strain are used to draw the stress-
strain diagram of the material tested. A stress-strain diagram for a mild steel under tensile test is
shown in Fig. The various properties of the material are discussed below :
1. Proportional limit. We see from the diagram that from point O to A is a straight line, which
represents that the stress is proportional to strain. Beyond point A, the curve slightly deviates
from the straight line. It is thus obvious, that Hooke's law holds good up to point A and it is
known as proportional limit. It is defined as that stress at which the stress-strain curve begins
to deviate from the straight line.
2. Elastic limit. It may be noted that even if the load is increased beyond point A upto the point B, the
material will regain its shape and size when the load is removed. This means that the material has
elastic properties up to the point B. This point is known as elastic limit. It is defined as the stress
developed in the material without any permanent set.
Note: Since the above two limits are very close to each other, therefore, for all practical purposes
these are taken to be equal.
3. Yield point. If the material is stressed beyond point B, the plastic stage will reach i.e. on the
removal of the load, the material will not be able to recover its original size and shape. A little
consideration will show that beyond point B, the strain increases at a faster rate with any increase in
the stress until the point C is reached. At this point, the material yields before the load and there is an
appreciable strain without any increase in stress. In case of mild steel, it will be seen that a small load
drops to D, immediately after yielding commences. Hence there are two yield points C and D. The
points C and D are called the upper and lower yield points respectively. The stress corresponding to
yield point is known as yield point stress.
4. Ultimate stress. At D, the specimen regains some strength and higher values of stresses are required
for higher strains, than those between A and D. The stress (or load) goes on increasing till the point E
is reached. The gradual increase in the strain (or length) of the specimen is followed with the uniform
reduction of its cross-sectional area. The work done, during stretching the specimen, is transformed
largely into heat and the specimen becomes hot. At E, the stress, which attains its maximum value is
known as ultimate stress. It is defined as the largest stress obtained by dividing the largest value of
the load reached in a test to the original cross-sectional area of the test piece.
5. Breaking stress. After the specimen has reached the ultimate stress, a neck is formed, which
decreases the cross-sectional area of the specimen, as shown in Fig. A little consideration will show
that the stress (or load) necessary to break away the specimen, is less than the maximum stress. The
stress is, therefore, reduced until the specimen breaks away at point F. The stress corresponding to
point F is known as breaking stress.
Note : The breaking stress (i.e. stress at F which is less than at E) appears to be somewhat misleading.
As the formation of a neck takes place at E which reduces the cross-sectional area, it causes the
specimen suddenly to fail at F. If for each value of the strain between E and F, the tensile load is
divided by the reduced cross-sectional area at the narrowest part of the neck, then the true stress-strain
curve will follow the dotted line EG. However, it is an established practice, to calculate strains on the
basis of original cross-sectional area of the specimen.
6. Percentage reduction in area. It is the difference between the original cross-sectional area and
cross-sectional area at the neck (i.e. where the fracture takes place). This difference is expressed as
percentage of the original cross-sectional area.
Let A = Original cross-sectional area, and a = Cross-sectional area at the neck.
Then reduction in area = A – a and percentage reduction in area = 100 x A a/A
7. Percentage elongation. It is the percentage increase in the standard gauge length (i.e. original
length) obtained by measuring the fractured specimen after bringing the broken parts together.
Let l = Gauge length or original length, and L = Length of specimen after fracture or final
length. ∴ Elongation = L – l and percentage elongation = 100 x L- l/l
Note : The percentage elongation gives a measure of ductility of the metal under test.
Working Stress
When designing machine parts, it is desirable to keep the stress lower than the maximum or ultimate
stress at which failure of the material takes place. This stress is known as the working stress or design
stress. It is also known as safe or allowable stress.
Note : By failure it is not meant actual breaking of the material. Some machine parts are said to fail
when they have plastic deformation set in them, and they no more perform their function satisfactory.
Stresses due to Change in Temperature—Thermal Stresses
Whenever there is some increase or decrease in the temperature of a body, it causes the body to
expand or contract. A little consideration will show that if the body is allowed to expand or contract
freely, with the rise or fall of the temperature, no stresses are induced in the body. But, if the
deformation of the body is prevented, some stresses are induced in the body. Such stresses are known
as thermal stresses.
Thermal stresses are the result of material being subjected to a higher or lower temperature than the
ambient prevailing temperature, at which, components have been assembled
E (modulus of elasticity) = Stress/Strain

Where, Strain =

= L ά ∆T, therefore f = E ά ∆T = Thermal gradient

= change in length due to change in temperature
L = original length
∆T = change in temperature
f = stress created if the expansion due to temperature rise is prevented
If the ends of the body are fixed to rigid supports, so that its expansion is prevented, then compressive
strain induced in the body,
∴ Thermal stress, σth = εc.E = α.t.E
Notes : 1. When a body is composed of two or different materials having different coefficient of
thermal expansions, then due to the rise in temperature, the material with higher coefficient of thermal
expansion will be subjected to compressive stress whereas the material with low coefficient of
expansion will be subjected to tensile stress.
2. When a thin tyre is shrunk on to a wheel of diameter D, its internal diameter d is a little less than
the wheel diameter. When the tyre is heated, its circumferance π d will increase to π D. In this
condition, it is slipped on to the wheel. When it cools, it wants to return to its original circumference π
d, but the wheel if it is assumed to be rigid, prevents it from doing so.
∴ Strain, ε = D d D d
This strain is known as circumferential or hoop strain.
∴ Circumferential or hoop stress,
Linear and Lateral Strain
Consider a circular bar of diameter d and length l, subjected to a tensile force P.
A little consideration will show that due to tensile force, the length of the bar increases by an amount
δl and the diameter decreases by an amount δd. Similarly, if the bar is subjected to a compressive
force, the length of bar will decrease which will be followed by increase in diameter. It is thus
obvious, that every direct stress is accompanied by a strain in its own direction which is known as
linear strain and an opposite kind of strain in every direction, at right angles to it, is known as lateral
strain.
Poisson's Ratio
It has been found experimentally that when a body is stressed within elastic limit, the lateral strain
bears a constant ratio to the linear strain, Mathematically, Lateral strain/ Linear strain = Constant
This constant is known as Poisson's ratio and is denoted by 1/m or μ.
Volumetric Strain
When a body is subjected to a system of forces, it undergoes some changes in its dimensions. In other
words, the volume of the body is changed. The ratio of the change in volume to the original volume is
known as volumetric strain. Mathematically, volumetric strain,
εv = δV / V
where δV = Change in volume, and V = Original volume.
Notes : 1. Volumetric strain of a rectangular body subjected to an axial force is given as εv =
2. Volumetric strain of a rectangular body subjected to three mutually perpendicular forces is given by
εv = εx + εy + εz where εx, εy and εz are the strains in the directions x-axis, y-axis and z-axis
respectively.
Bulk Modulus
When a body is subjected to three mutually perpendicular stresses, of equal intensity, then the ratio of
the direct stress to the corresponding volumetric strain is known as bulk modulus. It is usually
denoted by K.
Mathematically, bulk modulus, K = Direct stress Volumetric strain
Relation Between Bulk Modulus and Young’s Modulus
The bulk modulus (K) and Young's modulus (E) are related by the following relation, K μ
Relation Between Young’s Modulus and Modulus of Rigidity
The Young's modulus (E) and modulus of rigidity (G) are related by the following relation,
G=
Impact Stress
Sometimes, machine members are subjected to the load with impact. The stress produced in the
member due to the falling load is known as impact stress.
 Consider a bar carrying a load W at a height h and falling on the collar provided at the lower
end. Let A = Cross-sectional area of the bar, E = Young's modulus of the material of the bar, l =
Length of the bar, δl = Deformation of the bar, P = Force at which the deflection δl is produced, σi =
Stress induced in the bar due to the application of impact load, and h = Height through which the load
falls. We know that energy gained by the system in the form of strain energy
= × P × δl
and potential energy lost by the weight = W (h + δl)
Since the energy gained by the system is equal to the potential energy lost by the weight, therefore
2 × P × δl = W h + δl

From this quadratic equation, we find that

... [Taking +ve sign for maximum value]
Note : When h = 0, then σi = 2W/A. This means that the stress in the bar when the load in applied
suddenly is double of the stress induced due to gradually applied load.

Resilience
When a body is loaded within elastic limit, it changes its dimensions and on the removal of the load, it
regains its original dimensions. So long as it remains loaded, it has stored energy in itself. On
removing the load, the energy stored is given off as in the case of a spring. This energy, which is
absorbed in a body when strained within elastic limit, is known as strain energy. The strain energy is
always capable of doing some work. The strain energy stored in a body due to external loading, within
elastic limit, is known as resilience and the maximum energy which can be stored in a body up to the
elastic limit is called proof resilience. The proof resilience per unit volume of a material is known as
modulus of resilience.
It is an important property of a material and gives capacity of the material to bear impact or
shocks. Mathematically, strain energy stored in a body due to tensile or compressive load or
resilience,
U=Modulus of resilience =
where σ = Tensile or compressive stress,
V = Volume of the body, and
E = Young's modulus of the material of the body.
Notes : 1. When a body is subjected to a shear load, then modulus of resilience (shear)
where τ = Shear stress, and
C = Modulus of rigidity.
2. When the body is subjected to torsion, then modulus of resilience
Stresses caused by bending
• Bending is caused by forces acting normal to the axis of the beam
• Distribution of the stress on the cross-section of the beam is not uniform
• Relation between the moment of resistance and the stress can be written as,

Where, M = movement of resistance of the cross-section of the beam being considered (bending
moment)
I = second moment of area of cross-section about the neutral axis
f = tensile or compressive bending (flextural) stress at a distance y from the
neutral axis
y = distance from the neutral axis to the point where the stress f is to be
determined
Z = I/y is known as section modulus
Deflection
• Forces acting normal by to the axis of beam cause deflection of beam in addition to bending

Stresses caused by Torsion

Components subjected to torque, are exerted by torsional shear stresses, which act tangentially over
the cross-section
The maximum shear stress is at the outer radius of the circular section

Relation between torque and shear stress foe circular section is as follows,

Where, T = torque applied

Ip = polar second moment of area
r = radius of circular section at which shear stress is to be determined
G = modulus of rigidity
ϴ = angle of twist over the length l
 l = length of section under torsion

Zp = polar modulus of section,

fs = shear stress
d = diameter of shaft
Stresses in Struts
• Struts are the components which are under axial (longitudinal) compression
• Classification based on slenderness ratio, the ratio between maximum unsupported length to

radius of gyration,

Where, le = effective length of strut,

k = least radius of gyration of cross section
(gyration is a rapid movement in a circle or spiral)
• Short struts or columns (Slenderness ratio, < 30 for steel)
• Intermediate struts (Slenderness ratio, between 30 – 120 for steel)
• Long struts (slenderness ratio, >120)
Short struts or columns

Where, P = external load

fc = compressive stress
A = area of cross-section normal to the load
Intermediate struts

Rankine- Gorden formula,

Johnson’s parabolic formula,

Where, P = external load

fc = compressive stress
A = area of cross-section normal to the load
I = second moment of area of cross section
a & b = a constant depending on the conditions of restrain of strut
le = effective length of strut
k = least radius of gyration of cross section
Long struts

Where, P = external load

a = a constant depending on the conditions of restrain of strut
E = modulus of elasticity
 I = second moment of area of cross section
le = effective length of strut

Stresses in Flat Plates

Uniformly loaded, edge freely supported (Solid Circular Plate)
• Two stresses are created in the plane of the plate, which are perpendicular to each other.
• At the surface of the centre of the plate, the stress is equal to,

Where, f = maximum stress at the centre surface

p = uniformly distributed load = force/area
R = radius of plate
t = thickness of plate
µ = Poisson’s ratio
Uniformly loaded plate and fixed at the edges (Solid Circular Plate)

The stress at the centre surface of the plate

The stress at the circumference is,

Where, f = maximum stress at the centre surface

p = uniformly distributed load = force/area
R = radius of plate
t = thickness of plate
µ = Poisson’s ratio
Perforated plate (Solid Circular Plate)
• The maximum stress in a perforated plate is given by

• The ligament efficiency depends on the arrangement of holes. For the pitch (p) and the hole
(d) ligament
Rectangular plate
Uniformly loaded and supported at its perimeter, maximum stress

Where, p = uniformly distributed load

t = thickness of plate
a, b = two sides of the plate

Thin cylinder Under Internal Pressure

• Stresses are produced in three directions due to internal pressure
• Circumferential or hoop stress,

• Longitudinal or axial stress,

• Radial stress, is small and can be neglected

Where, p = internal pressure
D = internal diameter
t = thickness
Thin spheroid Under Internal Pressure
• Stresses are produced in circumferential and axial directions due to internal pressure is equal

Where, p = internal pressure

D = internal diameter
t = thickness
Thick cylinder Under Internal Pressure
• Stresses are produced in three directions due to internal pressure
• Circumferential or hoop stress,

• Longitudinal or axial stress,

• Radial stress,

Where, p = internal pressure

A, B = constants
R1 = internal radius
R2 = external radius
R = any radius
Thick Spherical Shell
• Radial stress,

The radial stress at internal surface of tick cylinder or sphere is equal to the internal operating pressure
• Circumferential or hoop stress,

Where, A, B = Constants
D = Diameter of shell
R = radius
Dynamic Stresses
• Stresses produced by variable loads changing in magnitude and direction
• Dynamic stresses can be divided into two groups
• Those produced by externa forces
• Those resulting from the inertia of the mass of the component

Stresses in Rotating Rims and Disks

• Rotating Rim
• Rotating Disk
Where, W is load
A is Cross-sectional area of the bar,
E is Young's modulus of the material of the bar
l is Length of the bar
δl is Deformation of the bar,
P is Force at which the deflection
δl is produced, σi is Stress induced in the bar due to the application of impact load, and h is Height
through which the load falls.
• Fatigue failure

• Failure of the is due to slow but progressive enlargement of the initial crack subjected to
cyclic load

• Ascertaining the greatest stress which can be applied to material an unlimited number of time
without causing the failure, this is know as fatigue limit or endurance limit

• The ratio of the endurance limit for reversed stresses to ultimate static stress is known as
endurance ratio

• The usual vales of the endurance ratio are

• Steel (at 106 cycle ) - 0.5

• Iron and cast steel (at 106 cycle ) – 0.4

• Aluminum and magnesium ( at 5 *108 cycles ) – 0.3

 Fatigue failure can be avoided by providing smooth and gradual changes in shape and
eliminating sharp corners in the groove
Influencing factors for the fatigue are
a) Material and material factors

b) Type of loading

c) Size of member

d) Surface finish

e) Stress raisers

f) Surface stressing

g) Corrosion

h) Temperature

• Stress Concentration

• Whenever a machine component changes the shape of its cross-section, the simple stress
distribution no longer holds good and the neighbourhood of the discontinuity is different.

• This irregularity in the stress distribution caused by abrupt changes of form is called stress
concentration.

• It occurs for all kinds of stresses in the presence of fillets, notches, holes, keyways, surface
roughness or scratches etc.

Factor of Safety
It is defined, in general, as the ratio of the maximum stress to the working stress. Mathematically,
Factor of safety = Maximum stress/Working or design stress
In case of ductile materials e.g. mild steel, where the yield point is clearly defined, the factor of safety
is based upon the yield point stress. In such cases,
Factor of safety = Yield point stress/Working or design stress
In case of brittle materials e.g. cast iron, the yield point is not well defined as for ductile materials.
Therefore, the factor of safety for brittle materials is based on ultimate stress.
Factor of safety = Ultimate stress/Working or design stress
This relation may also be used for ductile materials.
Note: The above relations for factor of safety are for static loading.
Selection of Factor of Safety
The selection of a proper factor of safety to be used in designing any machine component depends
upon a number of considerations, such as the material, mode of manufacture, type of stress, general
service conditions and shape of the parts. Before selecting a proper factor of safety, a design engineer
should consider the following points :
1. The reliability of the properties of the material and change of these properties during service
2. The reliability of test results and accuracy of application of these results to actual machine parts
3. The reliability of applied load
4. The certainty as to exact mode of failure
5. The extent of simplifying assumptions
6. The extent of localised stresses
7. The extent of initial stresses set up during manufacture
8. The extent of loss of life if failure occurs
9. The extent of loss of property if failure occurs
Each of the above factors must be carefully considered and evaluated. The high factor of safety results
in unnecessary risk of failure.
Factor of safety

Kind of load Ductile material F.S Ductile material F.S Brittle material F.S
based on ultimate based on yield based on ultimate
strength strength strength

Dead or steady load 3-4 1.5 to 2 5 to 6

Repeated load applied 6 3 7 to 8
gradually but not
reversed
Repeated load applied 8 4 10 to 12
gradually and revesed
Load applied with 10 to 15 5 to 7 15 to 20
medium or heavy shock

Principal planes and Principal stresses

• At any point in a strained material, there are three planes, mutually perpendicular to each
other which carry direct stresses only and no shear stress. It may be noted that out of these
three direct stresses, one will be maximum and the other will be minimum.

• These perpendicular planes which have no shear stress are known as principal planes and the
direct stresses along these planes are known as principal stresses. The planes on which the
maximum shear stress act are known as planes of maximum shear.
 • Ductile materials usually fail by yielding i.e. when permanent deformations occur in the
material and brittle materials fail by fracture,

• For ductile materials, the limiting strength is the stress at yield point as determined from
simple tension test and it is, assumed to be equal in tension or compression.

• For brittle materials, the limiting strength is the ultimate stress in tension or compression.

• Theories of Failure Under Static Load

The principal theories of failure for a member subjected to bi-axial stress are as follows:
1. Maximum principal (or normal) stress theory (also known as Rankine’s theory)
2. Maximum shear stress theory (also known as Guest’s or Tresca’s theory)
3. Maximum principal (or normal) strain theory (also known as Saint Venant theory)
4. Maximum strain energy theory (also known as Haigh’s theory)
5. Maximum distortion energy theory (also known as Hencky and Von Mises theory)
• 1)Maximum Principal or Normal Stress Theory (Rankine’s Theory)

• According to this theory, the failure or yielding occurs at a point in a member when the
maximum principal or normal stress in a bi-axial stress system reaches the limiting strength of
the material in a simple tension test

• Since the limiting strength for ductile materials is yield point stress and for brittle materials
the limiting strength is ultimate stress, therefore according to the above theory, taking factor
of safety (F.S.) into consideration, the maximum principal or normal stress (σt1) in a bi-axial
stress system is given by

• Where σyt = Yield point stress in tension as determined from simple tension test, and σu =
Ultimate stress

• Since the maximum principal or normal stress theory is based on failure in tension or
compression and ignores the possibility of failure due to shearing stress, therefore it is not
used for ductile materials.

• However, for brittle materials which are relatively strong in shear but weak in tension or
compression, this theory is generally used.
 • 2) Maximum Shear Stress Theory (Guest’s or Tresca’s Theory)

• According to this theory, the failure or yielding occurs at a point in a member when the
maximum shear stress in a bi-axial stress system reaches a value equal to the shear stress at
yield point in a simple tension test. Mathematically,

τmax = τyt / F.S

• Where τmax = Maximum shear stress in a bi-axial stress system, τyt = Shear stress at yield point
as determined from simple tension test, and F.S. = Factor of safety.

• Since the shear stress at yield point in a simple tension test is equal to one-half the yield stress
in tension, therefore the equation (i) may be written as

• This theory is mostly used for designing members of ductile materials.

3 ) Maximum Principal Strain Theory (Saint Venant’s Theory)

• According to this theory, the failure or yielding occurs at a point in a member when the
maximum principal (or normal) strain in a bi-axial stress system reaches the limiting value of
strain (i.e. strain at yield point) as determined from a simple tensile test. The maximum
principal (or normal) strain in a bi-axial stress system is given by

• Where σt1 and σt2 = Maximum and minimum principal stresses in a bi-axial stress system, ε =
Strain at yield point as determined from simple tension test,

• 1/m = Poisson’s ratio, E = Young’s modulus, and F.S. = Factor of safety.

• This theory is not used, in general, because it only gives reliable results in particular cases.

• `

4) Maximum Strain Energy Theory (Haigh’s Theory)

 • According to this theory, the failure or yielding occurs at a point in a member when the strain
energy per unit volume in a bi-axial stress system reaches the limiting strain energy (i.e. strain
energy at the yield point ) per unit volume as determined from simple tension test.

• This theory may be used for ductile materials.

5 ) Maximum Distortion Energy Theory (Hencky and Von Mises Theory)

• According to this theory, the failure or yielding occurs at a point in a member when the
distortion strain energy (also called shear strain energy) per unit volume in a bi-axial stress
system reaches the limiting distortion energy (i.e. distortion energy at yield point) per unit
volume as determined from a simple tension test.
• Mathematically, the maximum distortion energy theory for yielding is expressed as

• This theory is mostly used for ductile materials in place of maximum strain energy theory.
Combined stress
 Several cases, where forces acting in different directions, and this giving rise to tensile,
compressive strength and shear stress
 The stress that results from combined action of several stress acting simultaneously is called
the resultant stress.
Elastic Instability
 Caused due to insufficient stiffness or rigidity in a component or structure which subjected
due compression, bending, torsion or a combination of such loading conditions.
 In case of bending and torsion, stiffness is determined by the extent of deflection and the
angle of twist.
  In design in such cases is based on limiting the stress as well as limiting thee deflections and
twists.
 In case of columns vessels under axial load and vessels under external pressure and design is
based both on the critical buckling load and the permissible or design stress.
Buckling may be
1) In the form of bending and the deflection of the component as in the case of medium and long
columns
2) local buckling or wrinkling as in the case of vessel with axial load
3)Deformation of shape or collapse as in the case of vessel with external pressure
Critical load obtained by multiplying the actual or working load by factor of safety.
Brittle fracture
Ductile materials are likely to fail due to brittle fracture under the following conditions
1) Presence of a defect of sufficient size or notch
2) high localized stress in the vicinity of the notch
3) Operation at sufficiently low temperature
4) Wrong selection or treatment material
 Notch in a ductile material the material surrounding the notch becomes brittle. This
phenomenon is known as notch brittleness.
 At the low temperature material also becomes brittle
 To avoid these material should be treated as brittle material and design of stress should be
based on higher factor of safety
 Brittle failure can occur at levels of nominal stress below yield point or even at ordinary
permissible levels of stress
 It can occur suddenly without prior indication of any deformation
Creep
• It is a function of stress, temperature and time.
• Certain material like thermoplastic and lead at room temperature and metals at high
temperature high eventually results in failure.
• A maximum plastic deformation at the end of a certain period is selected to satisfy the
working conditions and corresponding stress may be considered as safe.
Temperature effect
• In generally with increase in temperature, there is reduction in ultimate strength, modulus of
elasticity and hardness.
• These changes must be taken account in designing, components at higher temperature.
• Stress also created, if the expansion due to temperature is presented or in the case the
temperatures at different points in a component are not the same
Radiation effects
• Nuclear vessels are subject to material irradiation, due to neutron bombardment from the core.
• Neurons are classified as fast neutrons and thermal neutrons.
• Fast neutrons cause damage by dislocation or displacement of the atomic structure of the
metal, where as the effect of thermal neutrons is the one of the transmutation of trace
impurities that can substantially change the properties of the material.
• Typical changes in such cases, a marked increase in yield point a smaller increase in tensile
strength and decrease in ductility.

• These factors are taken into account by a suitable factor of safety.

Economic consideration
• Good choice of the materials to be selected and method of fabrication

• Estimate the cost of fabrication should be made on the material cost multiply by factor
(ranging from 1.5 to 10 )

• Cost of fabrication composed of several operations, such as material preparation, machining

or processing operations, jointing operations heat treatment, finishing the operations etc.

• A more accurate and reliable cost appraisal may be possible with systematic filling cost.

• Other cost factors, which contribute to the total cost or inspection, packaging and transport
Chapter 3: Pressure Vessels
Introduction
The pressure vessels (i.e. cylinders or tanks) are used to store fluids under pressure. The fluid being
stored may undergo a change of state inside the pressure vessel as in case of steam boilers or it may
combine with other reagents as in a chemical plant. The pressure vessels are designed with great care
because rupture of a pressure vessel means an explosion which may cause loss of life and property.
The material of pressure vessels may be brittle such as cast iron, or ductile such as mild steel.
Classification of Pressure Vessels
The pressure vessels may be classified as follows:
1. According to the dimensions. The pressure vessels, according to their dimensions, may be
classified
as thin shell or thick shell. If the wall thickness of the shell (t) is less than 1/10 of the diameter of the
shell (d), then it is called a thin shell. On the other hand, if the wall thickness of the shell is greater
than 1/10 of the diameter of the shell, then it is said to be a thick shell. Thin shells are used in boilers,
tanks and pipes, whereas thick shells are used in high pressure cylinders, tanks, gun barrels etc.
Note: Another criterion to classify the pressure vessels as thin shell or thick shell is the internal fluid
pressure (p) and the allowable stress (σt). If the internal fluid pressure (p) is less than 1/6 of the
allowable
stress, then it is called a thin shell. On the other hand, if the internal fluid pressure is greater than 1/6
of the allowable stress, then it is said to be a thick shell.
2. According to the end construction. The pressure vessels, according to the end construction, may be
classified as open end or closed end. A simple cylinder with a piston, such as cylinder of a press is an
example of an open end vessel, whereas a tank is an example of a closed end vessel. In case of vessels
having open ends, the circumferential or hoop stresses are induced by the fluid pressure, whereas in
case of closed ends, longitudinal stresses in addition to circumferential stresses are induced.
Stresses in a Thin Cylindrical Shell due to an Internal Pressure
The analysis of stresses induced in a thin cylindrical shell are made on the following assumptions:
1. The effect of curvature of the cylinder wall is neglected.
2. The tensile stresses are uniformly distributed over the section of the walls.
3. The effect of the restraining action of the heads at the end of the pressure vessel is neglected.
When a thin cylindrical shell is subjected to an internal pressure, it is likely to fail in the
following two ways:
1. It may fail along the longitudinal section (i.e. circumferentially) splitting the cylinder into
two troughs, as shown in Fig. 7.1 (a).
2. It may fail across the transverse section (i.e. longitudinally) splitting the cylinder into two
cylindrical shells, as shown in Fig. 7.1 (b).
Thus the wall of a cylindrical shell subjected to an internal pressure has to withstand tensile stresses of
the following two types:
(a) Circumferential or hoop stress, and (b) Longitudinal stress.
Circumferential or Hoop Stress
Consider a thin cylindrical shell subjected to an internal pressure as shown in Fig. 7.2 (a) and (b). A
tensile stress acting in a direction tangential to the circumference is called circumferential or hoop
stress. In other words, it is a tensile stress on *longitudinal section (or on the cylindrical walls).
Fig. 7.2. Circumferential or hoop stress.
Let p = Intensity of internal pressure,
d = Internal diameter of the cylindrical shell,
l = Length of the cylindrical shell,
t = Thickness of the cylindrical shell, and
σt1 = Circumferential or hoop stress for the material of the cylindrical shell.
We know that the total force acting on a longitudinal section (i.e. along the diameter X-X) of the
Shell = Intensity of pressure × Projected area = p × d × l ...(i)
and the total resisting force acting on the cylinder walls = σt1 × 2t × l ...(∵ of two sections) ...(ii)
From equations (i) and (ii), we have σt1 × 2t × l = p × d × l or 1 2 t
pdt
σ = × or 2 t1 p d
t= ×σ ...(iii)
The following points may be noted:
1. In the design of engine cylinders, a value of 6 mm to 12 mm is added in equation (iii) to permit
reboring after wear has taken place. Therefore
t =1 6 to 12 mm
2 t p × d +σ
2. In constructing large pressure vessels like steam boilers, riveted joints or welded joints are used in
joining together the ends of steel plates. In case of riveted joints, the wall thickness of the cylinder,
t = 2 t1 l
p×d
σ ×η
where ηl = Efficiency of the longitudinal riveted joint In case of cylinders of ductile material, the
value of circumferential stress (σt1) may be taken 0.8 times the yield point stress (σy) and for brittle
materials, σt1 may be taken as 0.125 times the ultimate tensile stress (σu).
4. In designing steam boilers, the wall thickness calculated by the above equation may be compared
with the minimum plate thickness
Longitudinal Stress
Consider a closed thin cylindrical shell subjected to an internal pressure as shown in Fig. 7.3 (a) and
(b). A tensile stress acting in the direction of the axis is called longitudinal stress. In other words, it is
a tensile stress acting on the *transverse or circumferential section Y-Y (or on the ends of the vessel).
Fig. 7.3. Longitudinal stress.
Let σt2 = Longitudinal stress.
In this case, the total force acting on the transverse section (i.e. along Y-Y) = Intensity of pressure ×
Cross-sectional area = ( )
p d × π ...(i) and total resisting force = σt2 × π d.t
Heat Exchangers
Heat Exchanger (CHE) is a heat transfer device that exchanges heat
between two or more processes utilizing an appropriate working fluid or gas.
Classification of heat exchangers
Drying Equipments

Drying is one of the oldest methods of preserving food. Primitive societies practised the drying of
meat and fish in the sun long before recorded history. Today the drying of foods is still important as a
method of preservation. Dried foods can be stored for long periods without deterioration occurring.
The principal reasons for this are that the microorganisms which cause food spoilage and decay are
unable to grow and multiply in the absence of sufficient water and many of the enzymes which
promote undesired changes in the chemical composition of the food cannot function without water.
Preservation is the principal reason for drying, but drying can also occur in conjunction with
other processing. For example in the baking of bread, application of heat expands gases, changes the
structure of the protein and starch and dries the loaf.
Losses of moisture may also occur when they are not desired, for example during curing of cheese
and in the fresh or frozen storage of meat, and in innumerable other moist food products during
holding in air.
Drying of foods implies the removal of water from the foodstuff. In most cases, drying is
accomplished by vaporizing the water that is contained in the food, and to do this the latent heat of
vaporization must be supplied. There are, thus, two important process-controlling factors that enter
into the unit operation of drying:
(a) transfer of heat to provide the necessary latent heat of vaporization,
(b) movement of water or water vapour through the food material and then away from it to effect
separation of water from foodstuff.
Drying processes fall into three categories:

Air and contact drying under atmospheric pressure. In air and contact drying, heat is
transferred through the foodstuff either from heated air or from heated surfaces. The water
vapour is removed with the air.
Vacuum drying. In vacuum drying, advantage is taken of the fact that evaporation of water
occurs more readily at lower pressures than at higher ones. Heat transfer in vacuum drying is
generally by conduction, sometimes by radiation.
Freeze drying. In freeze drying, the water vapour is sublimed off frozen food. The food
structure is better maintained under these conditions. Suitable temperatures and pressures
must be established in the dryer to ensure that sublimation occurs.
Losses of moisture may also occur when they are not desired, for example during curing of cheese and in the
fresh or frozen storage of meat, and in innumerable other moist food products during holding in air.
Drying of foods implies the removal of water from the foodstuff. In most cases, drying is accomplished by
vaporizing the water that is contained in the food, and to do this the latent heat of vaporization must be
supplied. There are, thus, two important process-controlling factors that enter into the unit operation of drying:
(a) transfer of heat to provide the necessary latent heat of vaporization,
(b) movement of water or water vapour through the food material and then away from it to effect separation of
water from foodstuff.
Drying processes fall into three categories:
Air and contact drying under atmospheric pressure. In air and contact drying, heat is transferred
through the foodstuff either from heated air or from heated surfaces. The water vapour is removed
with the air.
Vacuum drying. In vacuum drying, advantage is taken of the fact that evaporation of water occurs
more readily at lower pressures than at higher ones. Heat transfer in vacuum drying is generally by
conduction, sometimes by radiation.
Freeze drying. In freeze drying, the water vapour is sublimed off frozen food. The food structure is
better maintained under these conditions. Suitable temperatures and pressures must be established in
the dryer to ensure that sublimation occurs.

BASIC DRYING THEORY

Three States of Water

Pure water can exist in three states, solid, liquid and vapour. The state in which it is at any time depends on
the temperature and pressure conditions and it is possible to illustrate this on a phase diagram, as in Fig. 7.1.

Figure 7.1 Phase diagram for water

If we choose any condition of temperature and pressure and find the corresponding point on the diagram, this
point will lie, in general, in one of the three labelled regions, solid, liquid, or gas. This will give the state of
the water under the chosen conditions.

Under certain conditions, two states may exist side by side, and such conditions are found only along the lines
of the diagram. Under one condition, all three states may exist together; this condition arises at what is called
the triple point, indicated by point O on the diagram. For water it occurs at 0.0098°C and 0.64 kPa (4.8 mm of
mercury) pressure.

If heat is applied to water in any state at constant pressure, the temperature rises and the condition moves
horizontally across the diagram, and as it crosses the boundaries a change of state will occur. For example,
starting from condition A on the diagram adding heat warms the ice, then melts it, then warms the water and
finally evaporates the water to condition A'. Starting from condition B, situated below the triple point, when
heat is added, the ice warms and then sublimes without passing through any liquid state.

Liquid and vapour coexist in equilibrium only under the conditions along the line OP. This line is called the
vapour pressure/temperature line. The vapour pressure is the measure of the tendency of molecules to escape
as a gas from the liquid. The vapour pressure/temperature curve for water is shown in Fig. 7.2, which is
just an enlargement for water of the curve OP of Fig. 7.1.

Figure 7.2. Vapour pressure/temperature curve for water

Boiling occurs when the vapour pressure of the water is equal to the total pressure on the water surface. The
boiling point at atmospheric pressure is of course 100°C. At pressures above or below atmospheric, water
boils at the corresponding temperatures above or below 100°C, as shown in Fig. 7.2 for temperatures below
100°C.

Heat Requirements for Vaporization

The energy, which must be supplied to vaporize the water at any temperature, depends upon this temperature.
The quantity of energy required per kg of water is called the latent heat of vaporization, if it is from a liquid,
or latent heat of sublimation if it is from a solid. The heat energy required to vaporize water under any given
set of conditions can be calculated from the latent heats given in the steam table in Appendix 8, as steam and
water vapour are the same thing.

EXAMPLE 7.1. Heat energy in air drying

A food containing 80% water is to be dried at 100°C down to moisture content of 10%. If the initial
temperature of the food is 21°C, calculate the quantity of heat energy required per unit weight of the original
material, for drying under atmospheric pressure. The latent heat of vaporization of water at 100°C and at
standard atmospheric pressure is 2257 kJ kg-1. The specific heat capacity of the food is 3.8 kJ kg-1 °C-1 and of
water is 4.186 kJ kg-1 °C-1. Find also the energy requirement/kg water removed.

Calculating for 1 kg food

Initial moisture = 80%
800 g moisture are associated with 200 g dry matter.
Final moisture = 10 %,
100 g moisture are associated with 900 g dry matter,
Therefore (100 x 200)/900 g = 22.2 g moisture are associated with 200 g dry matter.
1kg of original matter must lose (800 - 22) g moisture = 778 g = 0.778 kg moisture.

Heat energy required for 1kg original material

= heat energy to raise temperature to 100°C + latent heat to remove water
= (100 - 21) x 3.8 + 0.778 x 2257
= 300.2 + 1755.9
= 2056 kJ.

Energy/kg water removed, as 2056 kJ are required to remove 0.778 kg of water,

= 2056/0.778
 = 2643 kJ.

Steam is often used to supply heat to air or to surfaces used for drying. In condensing, steam gives up its latent
heat of vaporization; in drying, the substance being dried must take up latent heat of vaporization to convert
its liquid into vapour, so it might be reasoned that 1 kg of steam condensing will produce 1 kg vapour. This is
not exactly true, as the steam and the food will in general be under different pressures with the food at the
lower pressure. Latent heats of vaporization are slightly higher at lower pressures, as shown in Table 7.1. In
practice, there are also heat losses and sensible heat changes which may require to be considered.

TABLE 7.1
LATENT HEAT AND SATURATION TEMPERATURE OF WATER

Absolute pressure Latent heat of vaporization Saturation temperature

(kPa) (kJ kg-1) (°C)

1 2485 7

2 2460 18

5 2424 33

10 2393 46

20 2358 60

50 2305 81

100 2258 99.6

101.35 (1 atm) 2257 100

110 2251 102

120 2244 105

200 2202 120

500 2109 152

EXAMPLE 7.2. Heat energy in vacuum drying

Using the same material as in Example 7.1, if vacuum drying is to be carried out at 60°C under the
corresponding saturation pressure of 20 kPa abs. (or a vacuum of 81.4 kPa), calculate the heat energy required
to remove the moisture per unit weight of raw material.

Heat energy required per kg raw material

= heat energy to raise temperature to 60°C + latent heat of vaporization at 20 kPa abs.
= (60 - 21) x 3.8 + 0.778 x 2358
= 148.2 + 1834.5
= 1983 kJ.

In freeze drying the latent heat of sublimation must be supplied. Pressure has little effect on the latent heat of
sublimation, which can be taken as 2838 kJ kg-1.

EXAMPLE 7.3. Heat energy in freeze drying

If the foodstuff in the two previous examples were to be freeze dried at 0°C, how much energy would be
required per kg of raw material, starting from frozen food at 0°C?

Heat energy required per kilogram of raw material= latent heat of sublimation
= 0.778 x 2838
= 2208 kJ.

Heat Transfer in Drying

We have been discussing the heat energy requirements for the drying process. The rates of drying are
generally determined by the rates at which heat energy can be transferred to the water or to the ice in order to
provide the latent heats, though under some circumstances the rate of mass transfer (removal of the water) can
be limiting. All three of the mechanisms by which heat is transferred - conduction, radiation and convection -
may enter into drying. The relative importance of the mechanisms varies from one drying process to another
and very often one mode of heat transfer predominates to such an extent that it governs the overall process.

As an example, in air drying the rate of heat transfer is given by:

q = hsA(Ta - Ts) (7.1)

where q is the heat transfer rate in J s-1, hs is the surface heat-transfer coefficient J m-2 s-1 °C-1, A is the area
through which heat flow is taking place, m2, Ta is the air temperature and Ts is the temperature of the surface
which is drying, °C.

To take another example, in a roller dryer where moist material is spread over the surface of a heated drum,
heat transfer occurs by conduction from the drum to the foodstuff, so that the equation is

q = UA(Ti– Ts )
where U is the overall heat-transfer coefficient, Ti is the drum temperature (usually very close to that of the
steam), Ts is the surface temperature of the food (boiling point of water or slightly above) and A is the area of
drying surface on the drum.

The value of U can be estimated from the conductivity of the drum material and of the layer of foodstuff.
Values of U have been quoted as high as 1800 J m-2 s-1 °C-1 under very good conditions and down to about 60
J m-2 s-1 °C-1 under poor conditions.

In cases where substantial quantities of heat are transferred by radiation, it should be remembered that the
surface temperature of the food may be higher than the air temperature. Estimates of surface temperature can
be made using the relationships developed for radiant heat transfer although the actual effect of combined
radiation and evaporative cooling is complex. Convection coefficients also can be estimated using the
standard equations.

For freeze drying, energy must be transferred to the surface at which sublimation occurs. However, it must be
supplied at such a rate as not to increase the temperature at the drying surface above the freezing point. In
many applications of freeze drying, the heat transfer occurs mainly by conduction.

As drying proceeds, the character of the heat transfer situation changes. Dry material begins to occupy the
surface layers and conduction must take place through these dry surface layers which are poor heat conductors
so that heat is transferred to the drying region progressively more slowly.

Dryer Efficiencies

Energy efficiency in drying is of obvious importance as energy consumption is such a large component of
drying costs. Basically it is a simple ratio of the minimum energy needed to the energy actually consumed.
But because of the complex relationships of the food, the water, and the drying medium which is often air, a
number of efficiency measures can be worked out, each appropriate to circumstances and therefore selectable
to bring out special features important in the particular process. Efficiency calculations are useful when
assessing the performance of a dryer, looking for improvements, and in making comparisons between the
various classes of dryers which may be alternatives for a particular drying operation.

Heat has to be supplied to separate the water from the food. The minimum quantity of heat that will remove
the required water is that needed to supply the latent heat of evaporation, so one measure of efficiency is the
ratio of that minimum to the energy actually provided for the process. Sensible heat can also be added to the
minimum, as this added heat in the food often cannot be economically recovered.

Yet another useful measure for air drying such as in spray dryers, is to look at a heat balance over the air,
treating the dryer as adiabatic with no exchange of heat with the surroundings. Then the useful heat transferred
to the food for its drying corresponds to the drop in temperature in the drying air, and the heat which has to be
supplied corresponds to the rise of temperature of the air in the air heater. So this adiabatic air-drying

T1 - T2)/(T1 - Ta) (7.2)

where T1 is the inlet (high) air temperature into the dryer, T2 is the outlet air temperature from the dryer, and
Ta is the ambient air temperature. The numerator, the gap between T1 and T2, is a major factor in the
efficiency.

EXAMPLE 7.4. Efficiency of a potato dryer

A dryer reduces the moisture content of 100 kg of a potato product from 80% to 10% moisture. 250 kg of
steam at 70 kPa gauge is used to heat 49,800 m3 of air to 80°C, and the air is cooled to 71°C in passing
through the dryer. Calculate the efficiency of the dryer. The specific heat of potato is 3.43 kJ kg -1 °C-1.
Assume potato enters at 24°C, which is also the ambient air temperature, and leaves at the same temperature
as the exit air.

In 100 kg of raw material there is 80% moisture, that is 80 kg water and 20 kg dry material,
total weight of dry product = 20 x (10/9)
= 22.2 kg
weight of water = (22.2 - 20)
= 2.2 kg.
water removed = (80 - 2.2)
= 77.8 kg.

Heat supplied to potato product

= sensible heat to raise potato product temperature from 24°C to 71°C + latent heat of vaporization.

Now, the latent heat of vaporization corresponding to a saturation temperature of 71°C is 2331 kJ kg-1
Heat (minimum) supplied/100 kg potato
= 100 x (71 - 24) x 3.43 + 77.8 x 2331
= 16 x 103 + 181 x 103
= 1.97 x 105 kJ.
Heat to evaporate water only = 77.8 x 2331
= 1.81 x 105 kJ
The specific heat of air is 1.0 J kg-1 °C-1 and the density of air is 1.06 kg m-3 (Appendix 3)
Heat given up by air/100 kg potato
= 1.0 x (80 - 71) x 49,800 x 1.06
= 4.75 x 105 kJ.

The latent heat of steam at 70 kPa gauge is 2283 kJ kg-1

Heat in steam = 250 x 2283
= 5.71 x 105 kJ.

Therefore (a) efficiency based on latent heat of vaporisation only:

= (1.81 x 105)/ (5.71 x 105)
= 32%
(b) efficiency assuming sensible heat remaining in food after drying is unavailable
= (1.97 x 105)/ (5.71 x 105)
= 36%
(c) efficiency based heat input and output, in drying air
= (80 – 71)/ (80 – 24)
= 16%

Whichever of these is chosen depends on the objective for considering efficiency. For example in a spray
dryer, the efficiency calculated on the air temperatures shows clearly and emphatically the advantages gained
by operating at the highest feasible air inlet temperature and the lowest air outlet temperatures that can be
employed in the dryer.

Examples of overall thermal efficiencies are:

drum dryers 35-80%
spray dryers 20-50%
radiant dryers 30-40%

After sufficient energy has been provided to vaporize or to sublime moisture from the food, some way must be
found to remove this moisture. In freeze-drying and vacuum systems it is normally convenient to condense the
water to a liquid or a solid and then the vacuum pumps have to handle only the non-condensible gases. In
atmospheric drying a current of air is normally used.

MASS TRANSFER IN DRYING

In heat transfer, heat energy is transferred under the driving force provided by a temperature difference, and
the rate of heat transfer is proportional to the potential (temperature) difference and to the properties of the
transfer system characterized by the heat-transfer coefficient. In the same way, mass is transferred under the
driving force provided by a partial pressure or concentration difference. The rate of mass transfer is
proportional to the potential (pressure or concentration) difference and to the properties of the transfer system
characterized by a mass-transfer coefficient.

Writing these symbolically, analogous to q = UA T, we have

dw/dt = k'g A Y (7.3)

where w is the mass being transferred kg s-1, A is the area through which the transfer is taking place, k'g is the
mass-transfer coefficient in this case in units kg m-2 s-1 , and Y is the humidity difference in kg kg-1.
Unfortunately the application of mass-transfer equation is not as straightforward as heat transfer, one reason
being because the movement pattern of moisture changes as drying proceeds. Initially, the mass (moisture) is
transferred from the surface of the material and later, to an increasing extent, from deeper within the food to
the surface and thence to the air. So the first stage is to determine the relationships between the moist surface
and the ambient air and then to consider the diffusion through the food. In studying the surface/air
relationships, it is necessary to consider mass and heat transfer simultaneously. Air for drying is usually
heated and it is also a major heat-transfer medium. Therefore it is necessary to look carefully into the
relationships between air and the moisture it contains.

PSYCHROMETRY

Wet-bulb Temperatures
Psychrometric Charts
Measurement of Humidity

The capacity of air for moisture removal depends on its humidity and its temperature. The study of
relationships between air and its associated water is called psychrometry.

Humidity (Y) is the measure of the water content of the air. The absolute humidity, sometimes called the
humidity ratio, is the mass of water vapour per unit mass of dry air and the units are therefore kg kg -1, and this
will be subsequently termed just the humidity.

Air is said to be saturated with water vapour at a given temperature and pressure if its humidity is a maximum
under these conditions. If further water is added to saturated air, it must appear as liquid water in the form of a
mist or droplets. Under conditions of saturation, the partial pressure of the water vapour in the air is equal to
the saturation vapour pressure of water at that temperature.

The total pressure of a gaseous mixture, such as air and water vapour, is made up from the sum of the
pressures of its constituents, which are called the partial pressures. Each partial pressure arises from the
molecular concentration of the constituent and the pressure exerted is that which corresponds to the number of
moles present and the total volume of the system. The partial pressures are added to obtain the total pressure.
EXAMPLE 7.5. Partial pressure of water vapour
If the total pressure of moist air is 100 kPa (approximately atmospheric) and the humidity is measured as 0.03
kg kg-1, calculate the partial pressure of the water vapour.

The molecular weight of air is 29, and of water 18

So the mole fraction of water = (0.03/18)/(1.00/29 + 0.03/18)
= 0.0017/(0.034 + 0.0017)
= 0.048

Therefore the water vapour pressure

= 0.048 x 100 kPa
= 4.8 kPa.

The relative humidity (RH) is defined as the ratio of the partial pressure of the water vapour in the air (p) to
the partial pressure of saturated water vapour at the same temperature (ps). Therefore:

RH = p/ps

and is often expressed as a percentage = 100 p/ps

EXAMPLE 7.6. Relative humidity

If the air in Example 7.5 is at 60°C, calculate the relative humidity.

From steam tables, the saturation pressure of water vapour at 60°C is 19.9 kPa.
Therefore the relative humidity = p/ps
= 4.8/19.9
= 0.24
or 24%.
If such air were cooled, then when the percentage relative humidity reached 100% the air would be saturated
and this would occur at that temperature at which p = ps = 4.8 kPa.

Interpolating from the steam tables, or reading from the water vapour pressure/temperature graph, this occurs
at a temperature of 32°C and this temperature is called the dew point of the air at this particular moisture
content. If cooled below the dew point, the air can no longer retain this quantity of water as vapour and so
water must condense out as droplets or a fog, and the water remaining as vapour in the air will be that
corresponding to saturation at the temperature reached.

The humidity Y can therefore be related to the partial pressure pw of the water vapour in air by the equation:

Y = 18 pw /[29(P – pw)] (7.4)

where P is the total pressure. In circumstances where pw is small compared with P, and this is approximately
the case in air/water systems at room temperatures, Y pw/29P.

Corresponding to the specific heat, cp, of gases, is the humid heat, cs of moist air. It is used in the same way
as a specific heat, the enthalpy change being the mass of dry air multiplied by the temperature difference and
by the humid heat. The units are J kg-1 °C-1 and the numerical values can be read off a psychrometric chart. It
differs from specific heat at constant pressure in that it is based only on the mass of the dry air. The specific
heat of the water it contains is effectively incorporated into the humid heat which therefore is numerically a
little larger than the specific heat to allow for this.

Wet-bulb Temperatures

A useful concept in psychrometry is the wet-bulb temperature, as compared with the ordinary temperature,
which is called the dry-bulb temperature. The wet-bulb temperature is the temperature reached by a water
surface, such as that registered by a thermometer bulb surrounded by a wet wick, when exposed to air passing
over it. The wick and therefore the thermometer bulb decreases in temperature below the dry-bulb temperature
until the rate of heat transfer from the warmer air to the wick is just equal to the rate of heat transfer needed to
provide for the evaporation of water from the wick into the air stream.

Equating these two rates of heat transfer gives

hcA(Ta - Ts) = k'gA(Ys– Ya)

hc(Ta - Ts) = k'g(Ys– Ya)

where a and s denote actual and saturation temperatures and humidities; hc is the heat-transfer coefficient and
k'g

As the relative humidity of the air decreases, so the difference between the wet-bulb and dry-bulb
temperatures, called the wet-bulb depression, increases and a line connecting wet-bulb temperature and
relative humidity can be plotted on a suitable chart. When the air is saturated, the wet-bulb temperature and
the dry-bulb temperature are identical.

Therefore if (Ta– Ts) is plotted against (Ys– Ya) remembering that the point (Ts, Ys) must correspond to a dew-
point condition, we then have a wet-bulb straight line on a temperature/humidity chart sloping down from the
point (Ts, Ys) with a slope of:

- k'g/hc)

A further important concept is that of the adiabatic saturation condition. This is the situation reached by a
stream of water, in contact with the humid air, and where the temperature of the air and the humidity follow
down a line called the adiabatic saturation line. Both ultimately reach a temperature at which the heat lost by
the humid air on cooling is equal to the heat of evaporation of the water leaving the stream of water by
evaporation.

Under this condition with no heat exchange to the surroundings, the total enthalpy change (kJ kg-1 dry air)

H = cs(Ta– Ts Ys– Ya) = 0

cs = - hc/k"g

where cs is the humid heat of the air.

Now it just so happens, for the water/air system at normal working temperatures and pressures that for
practical purposes the numerical magnitude of the ratio:

cs = - hc/k"g (known as the Lewis number) 1 (7.5)

This has a useful practical consequence. The wet bulb line and the adiabatic saturation line coincide when the
Lewis number = 1.

It is now time to examine the chart we have spoken about. It is called a psychrometric chart.

Psychrometric Charts

In the preceding discussion, we have been considering a chart of humidity against temperature, and such a
chart is given in skeleton form on Fig. 7.3
 Figure 7.3 Psychrometric chart

The two main axes are temperature (dry bulb) and humidity (humidity ratio) . The saturation curve (Ts , Ys). is
plotted on this dividing the whole area into an unsaturated and a two-phase region. Taking a point on the
saturation curve (Ts, Ys) a line can be drawn from this with a slope:

- k'g/hc cs)

running down into the unsaturated region of the chart (that “below” the saturation line). This is the wet bulb or
adiabatic cooling line and a net of such lines is shown. Any constant temperature line running between the
saturation curve and the zero humidity axis can be divided evenly into fractional humidities which will
correspond to fractional relative humidities [for example, a 0.50 ratio of humidities will correspond to a 50%
RH because of eqn. (7.4) if P » pw].

This discussion is somewhat over-simplified and close inspection of the chart shows that the axes are not
exactly rectangular and that the lines of constant dry-bulb temperature are not exactly parallel. The reasons are
beyond the scope of the present discussion but can be found in appropriate texts such as Keey (1978). The
chart also contains other information whose use will emerge as familiarity grows.

This chart can be used as the basis of many calculations. It can be used to calculate relative humidities and
other properties.
 EXAMPLE 7.7. Relative humidity, enthalpy and specific volume of air
If the wet-bulb temperature in a particular room is measured and found to be 20°C in air whose dry-bulb
temperature is 25°C (that is the wet-bulb depression is 5°C) estimate the relative humidity, the enthalpy and
the specific volume of the air in the room.

On the humidity chart (Appendix 9a) follow down the wet-bulb line for a temperature of 20°C until it meets
the dry-bulb temperature line for 25°C. Examining the location of this point of intersection with reference to
the lines of constant relative humidity, it lies between 60% and 70% RH and about 4/10 of the way between
them but nearer to the 60% line. Therefore the RH is estimated to be 64%. Similar examination of the
enthalpy lines gives an estimated enthalpy of 57 kJ kg-1, and from the volume lines a specific volume of 0.862
m3 kg-1.

Once the properties of the air have been determined other calculations can easily be made.

EXAMPLE 7.8. Relative humidity of heated air

If the air in Example 7.7 is then to be heated to a dry-bulb temperature of 40°C, calculate the rate of heat
supply needed for a flow of 1000 m3 h-1 of this hot air for a dryer, and the relative humidity of the heated air.

On heating, the air condition moves, at constant absolute humidity as no water vapour is added or subtracted,
to the condition at the higher (dry bulb) temperature of 40°C. At this condition, reading from the chart at 40°C
and humidity 0.0125 kg kg-1, the enthalpy is 73 kJ kg-1, specific volume is 0.906 m3 kg-1 and RH 27%.

Mass of 1000 m3 is 1000/0.906 = 1104kg,

H = (73 - 57) = 16 kJ kg-1.
So rate of heating required
= 1104 x 16 kJ h -1
= (1104 x 16)/3600 kJ s -1
= 5 kW

If the air is used for drying, with the heat for evaporation being supplied by the hot air passing over a wet solid
surface, the system behaves like the adiabatic saturation system. It is adiabatic because no heat is obtained
from any source external to the air and the wet solid, and the latent heat of evaporation must be obtained by
cooling the hot air. Looked at from the viewpoint of the solid, this is a drying process; from the viewpoint of
the air it is humidification.
 EXAMPLE 7.9. Water removed in air drying
Air at 60°C and 8% RH is blown through a continuous dryer from which it emerges at a temperature of 35°C.
Estimate the quantity of water removed per kg of air passing, and the volume of drying air required to remove
20 kg water per hour.

Using the psychrometric chart (high-temperature version, Appendix 9(b) to take in the conditions), the inlet
air condition shows the humidity of the drying air to be 0.01 kg kg-1 and its specific volume to be 0.96 m3 kg-1.
Through the dryer, the condition of the air follows a constant wet-bulb line of about 27°C , so at 35°C its
condition is a humidity of 0.0207kg kg-1.

Water removed = (0.0207 - 0.010)

= 0.0107 kg kg-1 of air.

So each kg, i.e. 0.96 m3, of air passing will remove 0.0107kg water,

Volume of air to remove 20 kg h-1

= (20/0.0107) x 0.96
= 1794 m3 h-1

If air is cooled, then initially its condition moves along a line of constant humidity, horizontally on a
psychrometric chart, until it reaches the saturation curve at its dew point. Further cooling then proceeds down
the saturation line to the final temperature, with water condensing to adjust the humidity as the saturation
humidity cannot be exceeded.

EXAMPLE 7.10. Relative humidity of air leaving a dryer

The air emerging from a dryer, with an exit temperature of 45°C, passes over a surface which is gradually
cooled. It is found that the first traces of moisture appear on this surface when it is at 40°C. Estimate the
relative humidity of the air leaving the dryer.

On the psychrometric chart, the saturation temperature is 40°C and proceeding at constant humidity from this,
the 45°C line is intersected at a point indicating:
relative humidity = 76%

In dryers, it is sometimes useful to reheat the air so as to reduce its relative humidity and thus to give it an
additional capacity to evaporate more water from the material being dried. This process can easily be followed
on a psychrometric chart.
 EXAMPLE 7.11. Reheating of air in a dryer
3 -1
A flow of 1800 m h of air initially at a temperature of 18°C and 50% RH is to be used in an air dryer. It is
heated to 140°C and passed over a set of trays in a shelf dryer, which it leaves at 60 % RH. It is then reheated
to 140°C and passed over another set of trays which it leaves at 60 % RH again. Estimate the energy necessary
to heat the air and the quantity of water removed per hour.

From the psychrometric chart [normal temperatures, Appendix 9(a)] the humidity of the initial air is 0.0062 kg
kg-1, specific volume is 0.834 m3 kg-1, and enthalpy 35 kJ kg-1. Proceeding at constant humidity to a
temperature of 140°C, the enthalpy is found (high temperature chart) to be 160 kJ kg -1. Proceeding along a
wet-bulb line to an RH of 60% gives the corresponding temperature as 48°C and humidity as 0.045 kg kg-1.

Reheating to 140°C keeps humidity constant and enthalpy goes to 268 kJ kg-1.

Thence along a wet-bulb line to 60 % RH gives humidity of 0.082 kg kg-1.

Total energy supplied H in heating and reheating

= 268 - 35
= 233 kJ kg-1

Total water removed

= 0.082 - 0.0062
= 0.0758 kg kg-1

1800 m3 of air per hour = 1800/0.834

= 2158 kg h-1
= 0.6 kg s-1

Energy taken in by air = 233 x 0.6 kJ s-1

= 140 kW

Water removed in dryer = 0.6 x 0.0758

= 0.045 kg s-1
= 163kgh -1

Exit temperature of air (from chart) = 60°C.

Consideration of psychrometric charts, and what has been said about them, will show that they can be used for
calculations focused on the air, for the purposes of air conditioning as well as for drying.
 EXAMPLE 7.12. Air conditioning
In a tropical country, it is desired to provide processing air conditions of 15°C and 80% RH. The ambient air
is at 31.5°C and 90% RH. If the chosen method is to cool the air to condense out enough water to reduce the
water content of the air sufficiently, then to reheat if necessary, determine the temperature to which the air
should be cooled, the quantity of water removed and the amount of reheating necessary. The processing room
has a volume of 1650 m3 and it is estimated to require six air changes per hour.

Using the psychrometric chart (normal temperatures):

Initial humidity is 0.0266 kg kg-1.
Final humidity is 0.0085 kg kg-1.
Saturation temperature for this humidity is 13°C.
Therefore the air should be cooled to 13°C
At the saturation temperature of 13°C, the enthalpy is 33.5 kJ kg-1
At the final conditions, 15°C and 80 % RH, the enthalpy is 37 kJ kg-1
and the specific volume of air is 0.827 m3 kg-1.

Assuming that the air changes are calculated at the conditions in the working space.
Mass of air to be conditioned = (1650 x 6)/0.827
= 11,970 kg h-1

= 0.0266 - 0.0085
= 0.018 kg kg-1
Mass of water removed per hour
= 11,970 x 0.018
= 215 kg h-1

H = (37 - 33.5)
= 3.5 kJ kg-1
Total reheat power required = 11,970 x 3.5
= 41,895 kJ h-1
= 11.6 kJ s-1
= 11.6 kW.

Measurement of Humidity

Methods depend largely upon the concepts that have been presented in the preceding sections, but because
they are often needed it seems useful to set them out specifically. Instruments for the measurement of
humidity are called hygrometers.

Wet- and dry-bulb thermometers. The dry-bulb temperature is the normal air temperature and the only
caution that is needed is that if the thermometer bulb, or element, is exposed to a surface at a
substantially higher or lower temperature the possibility of radiation errors should be considered. A
simple method to greatly reduce any such error is to interpose a radiation shield, e.g. a metal tube,
which stands off from the thermometer bulb 1 cm or so and prevents direct exposure to the radiation
source or sink. For the wet bulb thermometer, covering the bulb with a piece of wicking, such as a
hollow cotton shoelace of the correct size, and dipping the other end of the wick into water so as to
moisten the wet bulb by capillary water flow, is adequate. The necessary aspiration of air past this
bulb can be effected by a small fan or by swinging bulb, wick, water bottle and all through the air, as
in a sling psychrometer. The maximum difference between the two bulbs gives the wet-bulb
depression and a psychrometric chart or appropriate tables will then give the relative humidity.

Dew-point meters. These measure the saturation or dew-point temperature by cooling a sample of
air until condensation occurs. The psychrometric chart or a scale on the instrument is then used to give
the humidity. For example, a sample of air at 20°C is found to produce the first signs of condensation
on a mirror when the mirror is cooled to 14°C. The chart shows by moving horizontally across, from
the saturation temperature of 14°C to the constant temperature line at 20°C, that the air must have a
relative humidity of 69%

The hair hygrometer. Hairs expand and contract in length according to the relative humidity.
Instruments are made which give accurately the length of the hair and so they can be calibrated in
humidities.

Electrical resistance hygrometers. Some materials vary in their surface electrical resistance
according to the relative humidity of the surrounding air. Examples are aluminium oxide, phenol
formaldehyde polymers, and styrene polymers. Calibration allows resistance measurements to be
interpreted as humidity.

Lithium chloride hygrometers. In these a solution of lithium chloride is brought to a temperature

such that its partial pressure equals the partial pressure of water vapour in the air. The known vapour
pressure-temperature relationships for lithium chloride can then be used to determine the humidity of
the air.
EQUILIBRIUM MOISTURE CONTENT
The equilibrium vapour pressure above a food is determined not only by the temperature but also by the water
content of the food, by the way in which the water is bound in the food, and by the presence of any
constituents soluble in water. Under a given vapour pressure of water in the surrounding air, a food attains a
moisture content in equilibrium with its surroundings when there is no exchange of water between the food
and its surroundings.
This is called its equilibrium moisture content.

It is possible, therefore, to plot the equilibrium vapour pressure against moisture content or to plot the relative
humidity of the air in equilibrium with the food against moisture content of the food. Often, instead of the
relative humidity, the water activity of the food surface is used. This is the ratio of the partial pressure of
water in the food to the vapour pressure of water at the same temperature.
The equilibrium curves obtained vary with different types of foodstuffs and examples are shown in Fig. 7.4.

Figure 7.4 Equilibrium moisture contents

Thus, for the potato starch as shown in Fig. 7.4, at a temperature of 25°C in an atmosphere of relative
humidity 30% (giving a water activity of 0.3), the equilibrium moisture content is seen to be 0.1 kg water/kg
dry potato. It would not be possible to dry potato starch below 10% using an air dryer with air at 25°C and
relative humidity 30 %. It will be noted from the shape of the curve that above a certain relative humidity,
about 80% in the case of potato starch, the equilibrium content increases very rapidly with increase in relative
humidity. There are marked differences between foods, both in shape of the curves and in the amount of water
present at any relative humidity and temperature, in the range of relative humidity between 0 and 65 %. The
sigmoid (S--shaped) character of the curve is most pronounced, and the moisture content at low humidities is
greatest, for food whose dry solids are high in protein, starch, or other high molecular weight polymers. They
are low for foods high in soluble solids. Fats and crystalline salts and sugars, in general absorb negligible
amounts of water when the RH is low or moderate. Sugars in the amorphous form absorb more than in the
crystalline form.

AIR DRYING

Calculation of Constant Drying Rates

Falling Rate Drying
Calculation of Drying Times

In air drying, the rate of removal of water depends on the conditions of the air, the properties of the food and
the design of the dryer.

Moisture can be held in varying degrees of bonding. Formerly, it was considered that water in a food came
into one or other of two categories, free water or bound water. This now appears to be an oversimplification
and such clear demarcations are no longer considered useful. Water is held by forces whose intensity ranges
from the very weak forces retaining surface moisture to very strong chemical bonds.
In drying, it is expected that the water that is loosely held will be removed most easily. Thus it would be
expected that drying rates would decrease as moisture content decreases, with the remaining water being
bound more and more strongly as its quantity decreases.
In many cases, a substantial part of the water is found to be loosely bound. This water can, for drying
purposes, be considered as free water at the surface. A comparison of the drying rates of sand, a material with
mostly free water, with meat containing more bound water shows the effect of the binding of water on drying
rates. Drying rate curves for these are shown in Fig. 7.5.
 FIG. 7.5 Drying rate curves

The behaviour in which the drying behaves as though the water were at a free surface, is called constant-rate
drying. If w is the mass of the material being dried then fo constant rate drying:

dw/dt = constant.

However in food, unlike impervious materials such as sand, after a period of drying at a constant rate it is
found that the water then comes off more slowly. A complete drying curve for fish, adapted from Jason
(1958), is shown in Fig. 7.6. The drying temperature was low and this accounts for the long drying time.

Figure 7.6 Drying curve for fish

A more generalized drying curve plotting the rate of drying as a percentage of the constant (critical) rate,
against moisture content, is shown in Fig. 7.7.

Figure 7.7 Generalized drying curve

The change from constant drying rate to a slower rate occurs at different moisture contents for different foods.
However, for many foods the change from constant drying rate occurs at a moisture content in equilibrium
with air of 58-65% relative humidity, that is at aw = 0.58-0.65. The moisture content at which this change of
rate occurs is known as the critical moisture content, Xc .

Another point of importance is that many foods such as potato do not show a true constant rate drying period.
They do, however, often show quite a sharp break after a slowly and steadily declining drying rate period and
the concept of constant rate is still a useful approximation.

The end of the constant rate period, when X = Xc at the break point of drying-rate curves, signifies that the
water has ceased to behave as if it were at a free surface and that factors other than vapour-pressure
differences are influencing the rate of drying. Thereafter the drying rate decreases and this is called the
falling-rate period of drying. The rate-controlling factors in the falling-rate period are complex, depending
upon diffusion through the food, and upon the changing energy-binding pattern of the water molecules. Very
little theoretical information is available for drying of foods in this region and experimental drying curves are
the only adequate guide to design.

Calculation of Constant Drying Rates

In the constant-rate period, the water is being evaporated from what is effectively a free water surface. The
rate of removal of water can then be related to the rate of heat transfer, if there is no change in the temperature
of the material and therefore all heat energy transferred to it must result in evaporation of water. The rate of
removal of the water is also the rate of mass transfer, from the solid to the ambient air. These two - mass and
heat transfer - must predict the same rate of drying for a given set of circumstances.

Considering mass transfer, which is fundamental to drying, the driving force is the difference of the partial
water vapour pressure between the food and the air. The extent of this difference can be obtained, knowing the
temperatures and the conditions, by reference to tables or the psychrometric chart. Alternatively, the driving
force may be expressed in terms of humidity driving forces and the numerical values of the mass-transfer
coefficients in this case are linked to the others through the partial pressure/humidity relationships such as
eqns. (7.4) and (7.5).

EXAMPLE 7.13. Rate of evaporation on drying

The mass-transfer coefficient from a free water surface to an adjacent moving air stream has been found to be
0.015 kg m-2 s-1. Estimate the rate of evaporation from a surface of 1 m2 at a temperature of 28°C into an air
stream with a dry-bulb temperature of 40°C and RH of 40% and the consequent necessary rate of supply of
heat energy to effect this evaporation.
From charts, the humidity of saturated air at 40°C is 0.0495 kg kg-1.

Humidity of air at 40°C and 40%RH = 0.0495 x 0.4

= 0.0198 kg kg-1
= Ya

From charts, the humidity of saturated air at 28°C is 0.0244 kg kg-1 = Ys

Driving force = (Ys - Ya )

= (0.0244 - 0.0198) kg kg-1
= 0.0046 kg kg-1
Rate of evaporation = k'gA(Ys - Ya)
= 0.015 x 1 x 0.0046
= 6.9 x 10-5 kg s-1

Latent heat of evaporation of water at 28°C = 2.44 x 103 kJ kg-1

Heat energy supply rate per square metre = 6.9 x 10-5 x 2.44 x 103 kJ s-1

= 0.168 kJ s-1
= 0.168 kW.

The problem in applying such apparently simple relationships to provide the essential rate information for
drying, is in the prediction of the mass transfer coefficients. In the section on heat transfer, methods and
correlations were given for the prediction of heat transfer coefficients. Such can be applied to the drying
situation and the heat transfer rates used to estimate rates of moisture removal. The reverse can also be
applied.

EXAMPLE 7.14. Heat transfer in air drying

Using the data from Example 7.13, estimate the heat transfer coefficient needed from the air stream to the
water surface.

Heat-flow rate = q = 168 J s -1 from Example 7.13.

Temperature difference = dry-bulb temperature of air - wet-bulb temperature (at food surface)
= (40 - 28)
= 12°C = (Ta - Ts )
Since q = hcA (Ta - Ts) from Eqn (7.1)
168 = hc x 1 x 12
hc = 14 J m-2 s-1 °C-1
Mass balances are also applicable, and can be used, in drying and related calculations.

EXAMPLE 7.15. Temperature and RH in air drying of carrots

In a low-temperature drying situation, air at 60°C and 10 % RH is being passed over a bed of diced carrots at
the rate of 20 kg dry air per second. If the rate of evaporation of water from the carrots, measured by the rate
of change of weight of the carrots, is 0.16 kg s-1 estimate the temperature and RH of the air leaving the dryer.

From the psychrometric chart

Humidity of air at 60°C and 10%RH
= 0.013 kg kg-1.
Humidity added to air in drying
= 0.16 kg/20 kg dry air
= 0.008 kg kg-1
Humidity of air leaving dryer
= 0.013 + 0.008
= 0.021 kg kg-1

Following on the psychrometric chart the wet-bulb line from the entry point at 60°C and 10%RH up to the
intersection of that line with a constant humidity line of 0.021 kg kg-1, the resulting temperature is 41°C and
the RH 42%.

Because the equations for predicting heat-transfer coefficients, for situations commonly encountered, are
extensive and much more widely available than mass-transfer coefficients, the heat-transfer rates can be used
to estimate drying rates, through the Lewis ratio.
Remembering that (Le) = (hc/csk'g) = 1 for the air/water system,from Eqn (7.5)
(strictly speaking the Lewis number, which arises in gaseous diffusion theory, is (hc/k'gcp) but for air of the
-1
humidity encountered in ordinary practice cs p °C-1), therefore numerically, if hc is in J m-2 s-1
°C -1, and k'g in kg m-2 s-1, k'g = hc/1000, the values of hc can be predicted using the standard relationships for
heat-transfer coefficients which have been discussed in Chapter 4.

EXAMPLE 7.16. Lewis relationship in air drying

In Example 7.13 a value for k'g of 0.0150 kg m-2 s-1 was used. It was also found that the corresponding heat-
transfer coefficient for this situation was 15 J m-2 s-1 °C-1 as calculated in Example 7.14. Does this agree with
the expected value from the Lewis relationship (eqn. 7.5) for the air/water system?

hc = 15 J m-2 s-1 °C-1

= 1000 x 0.0150
 = 1000 x k'g as the Lewis relationship predicts.

A convenient way to remember the inter-relationship is that the mass transfer coefficient from a free water
surface into air expressed in g m-2 s-1 is numerically approximately equal to the heat-transfer coefficient from
the air to the surface expressed in J m-2 s-1 °C-1.

Falling rate Drying

The highest rate of drying is normally the constant rate situation, then as drying proceeds the moisture content
falls and the access of water from the interior of the food to the surface affects the rate and decreases it. The
situation then is complex with moisture gradients controlling the observed drying rates. Actual rates can be
measured, showing in the idealized case a constant rate continuing up to the critical moisture content and
thereafter a declining rate as the food, on continued drying, approaches the equilibrium moisture content for
the food. This is clearly shown by the drying curve of Fig. 7.7 and at low moisture contents the rates of drying
become very low. The actual detail of such curves depends, of course, on the specific material and conditions
of the drying process.

Calculation of Drying Times

Drying rates, once determined experimentally or predicted from theory, can then be used to calculate drying
times so that drying equipment and operations can be designed. In the most general cases, the drying rates
vary throughout the dryer with time as drying proceeds, and with the changing moisture content of the
material. So the situation is complicated. However, in many cases a simplified approach can provide useful
results. One simplification is to assume that the temperature and RH of the drying air are constant.

In this case, for the constant-rate period, the time needed to remove the quantity of water which will reduce
the food material to the critical moisture content Xc (that corresponding to the end of the constant-rate period
and below which the drying rate falls) can be calculated by dividing this quantity of moisture by the rate.

So t = w (Xo- Xc) / (dw /dt)const. (7.6)

where (dw /dt )const. = k'gA(Ys -Ya)

and Xo is the initial moisture content and Xc the final moisture content (the critical moisture content in this
case) both on a dry basis, w is the amount of dry material in the food and (dw/dt )const is the constant-drying
rate.

Where the drying rate is reduced by a factor f then this can be incorporated to give:
 t=w X)/ f(dw /dt)const. (7.7)

and this has to be integrated piecemeal down to X = Xf where subscript f denotes the final water content, and f
expresses the ratio of the actual drying rate to the maximum drying rate corresponding to the free surface-
moisture situation.

EXAMPLE 7.17. Time for air drying at constant rate

100 kg of food material are dried from an initial water content of 80% on a wet basis and with a surface
area of 12 m2. Estimate the time needed to dry to 50% moisture content on a wet basis, assuming constant-
rate drying in air at a temperature of 120°C dry bulb and 50°C wet bulb.
Under the conditions in the dryer, measurements indicate the heat-transfer coefficient to the food surface
from the air to be 18 J m-2 s-1 °C-1.

From the data

Xo = 0.8/(1 - 0.8) = 4 kg kg-1,

Xf = 0.5/(1 - 0.5) = 1 kg kg-1,

and from the psychrometric chart, Ys = 0.087 and Ya = 0.054 kg kg-1

From the Lewis relationship (Eqn. 7.5) k'g = 18 g m-2 s-1 = 0.018 kg m-2
w = 100(1 - 0.8) = 20 kg

Now we have (dw /dt )const. = k'gA(Ys -Ya)

and so t = w ( Xo - Xf) / [k'gA(Ys -Ya)]

(Using eqn. (7.3)

t = 20(4 - 1)/[0.018 x 12 x (0.087 - 0.054)]
= 60/7.128 x 10
= 8417 s
= 2.3 h (to remove 60 kg of water).

During the falling-rate period, the procedure outlined above can be extended, using the drying curve for the
particular material and the conditions of the dryer. Sufficiently small differential quantities of moisture
content to be removed have to be chosen, over which the drying rate is effectively constant, so as to give an
accurate value of the total time. As the moisture content above the equilibrium level decreases so the drying
rates decrease, and drying times become long.
 EXAMPLE 7.18. Time for drying during falling rate
Continuing Example 7.17, for the particular food material, the critical moisture content, Xc, is 100% and the
equilibrium moisture content under the conditions in the dryer is 15% and the drying curve is that illustrated
in Fig. 7.7. Estimate the total time to dry down to 17%, all moisture contents being on a dry basis.

t = w X) / [f(dw /dt)const]

can be applied, over small intervals of moisture content and multiplying the constant rate by the appropriate
reduction factor (f) read of from Fig. 7.7. This can be set out in a table. Note the temperature and humidity of
the air were assumed to be constant throughout the drying.

Moisture content X 0.5 0.4 0.3 0.2 0.18 0.17

w(X1 - X2) 2 2 2 0.4 0.2
f 0.86 0.57 0.29 0.11 0.005
1/f(dw/dt)const.
-3
1.63 x 102 2.46 x102 4.84 x 102 1.28 x 103 2.81 x 104
= 1/ f(7.128 x 10 )
t 326 492 968 512 5620
falling rate
Therefore total drying time = (2.3 + 2.2) h = 4.5 h.

The example shows how as the moisture level descends toward the equilibrium value so the drying rate
becomes slower and slower. In terms of the mass transfer equations, the humidity or partial pressure driving
force is tending to zero as the equilibrium moisture content is approached. In terms of the heat transfer
equations, the surface temperature rises above the wet-bulb temperature once the surface ceases to behave as a
wet surface. The surface temperature then climbs towards the dry-bulb temperature of the air as the moisture
level continues to fall, thus leading to a continuously diminishing temperature driving force for surface heat
transfer.

This calculation procedure can be applied to more complicated dryers, considering them divided into sections,
and applying the drying rate equations and the input and output conditions to these sections sequentially to
build up the whole situation in the dryer.
CONDUCTION DRYING
So far the drying considered has been by hot air. Other methods of drying which are quite commonly
encountered are drying by contact with a hot surface; a continuous version of this is the drum or roller dryer
where the food is coated as a thin paste over the surface of a slowly revolving heated horizontal cylinder. In
such a case, the food dries for as much of one revolution of the cylinder as is mechanically feasible, after
which it is scraped off and replaced by fresh wet material.
The amount of drying is substantially controlled by the rate of heat transfer and estimates of the heat transfer
rate can be used for calculations of the extent of drying.

EXAMPLE 7.19. Moisture content of breakfast food after drum drying

A drum dryer is being used to dry a starch-based breakfast food. The initial moisture content of the food is
75% on a wet basis, the drum surface temperature is 138°C and the food layer outer surface 100°C. The
estimated heat transfer coefficient from the drum surface to the drying food is 800 J m-2 s-1 °C-1.

Assume that the thickness of the food on the drum is 0.3 mm and the thermal conductivity of the food is 0.55 J
m-1 s-1 °C-1. If the drum, 1 m diameter and 1 m in length, is rotating at 2 rev/min and the food occupies three-
quarters of the circumference, estimate the moisture content of the film being scraped off. Assume the critical
moisture content for the food material is 14% on a dry basis, and that conduction heat transfer is through the
whole film thickness to give a conservative estimate.
Initial moisture content = 75 % wet basis
= 0.75/(1 -0.75)
= 3 kg kg-1 dry basis.

Total quantity of material on drum

=( x D x 3/4) x 1 x 0.0003 m3
= x 1 x 3/4 x 1 x 0.0003
= 7.1 x 10-4 m3.

Assuming a density of the food paste of 1000 kg m3,

Weight on drum = 7.1 x 10-4 x 103
= 0.71 kg.

Overall resistance to heat transfer, 1/U = 1/800 + 0.0003/0.55

= 1.25 x 10-3 + 0.55 x 10-3
= 1.8 x 10-3
Therefore U = 556 Jm-2 s-1 °C-1
q = UA T
D x 1 x 0.75 x (138 - 100)
= 49.8 kJ s-1.
Latent heat of evaporation of water
= 2257 kJ kg-1
Rate of evaporation =q
 = 0.022 kg s-1.

Residence time of food on drum: at 2 rev min

1 revolution takes 30s, but the material is on for ¾ rev.

Residence time = (3/4) x 30

= 22.5 sec.

Water removed = 22.5 x 0.022

= 0.495 kg.
Initial quantity of water = 0.71 x 0.75
= 0.53 kg
and dry solids = 0.71 x 0.25
= 0.18kg.

Residual water = (0.53 - 0.495)

= 0.035 kg.

Water content (wet basis) remaining

= 0.035/(0.18 + 0.035)
= 16%

DRYING EQUIPMENT

In an industry so diversified and extensive as the food industry, it would be expected that a great number of
different types of dryer would be in use. This is the case and the total range of equipment is much too wide to
be described in any introductory book such as this. The principles of drying may be applied to any type of
dryer, but it should help the understanding of these principles if a few common types of dryers are described.
The major problem in calculations on real dryers is that conditions change as the drying air and the drying
solids move along the dryer in a continuous dryer, or change with time in the batch dryer. Such implications
take them beyond the scope of the present book, but the principles of mass and heat balances are the basis and
the analysis is not difficult once the fundamental principles of drying are understood. Obtaining adequate data
may be the difficult part.
Tray Dryers
In tray dryers, the food is spread out, generally quite thinly, on trays in which the drying takes place. Heating
may be by an air current sweeping across the trays, by conduction from heated trays or heated shelves on
which the trays lie, or by radiation from heated surfaces. Most tray dryers are heated by air, which also
removes the moist vapours

Tunnel Dryers
These may be regarded as developments of the tray dryer, in which the trays on trolleys move through a
tunnel where the heat is applied and the vapours removed. In most cases, air is used in tunnel drying and the
material can move through the dryer either parallel or counter current to the air flow. Sometimes the dryers are
compartmented, and cross-flow may also be used.
Roller or Drum Dryers
In these the food is spread over the surface of a heated drum. The drum rotates, with the food being applied to
the drum at one part of the cycle. The food remains on the drum surface for the greater part of the rotation,
during which time the drying takes place, and is then scraped off. Drum drying may be regarded as conduction
drying.
Fluidized Bed Dryers
In a fluidized bed dryer, the food material is maintained suspended against gravity in an upward-flowing air
stream. There may also be a horizontal air flow helping to convey the food through the dryer. Heat is
transferred from the air to the food material, mostly by convection.
Spray Dryers
In a spray dryer, liquid or fine solid material in a slurry is sprayed in the form of a fine droplet dispersion into
a current of heated air. Air and solids may move in parallel or counterflow. Drying occurs very rapidly, so that
this process is very useful for materials that are damaged by exposure to heat for any appreciable length of
time. The dryer body is large so that the particles can settle, as they dry, without touching the walls on which
they might otherwise stick. Commercial dryers can be very large of the order of 10 m diameter and 20 m high.
Pneumatic Dryers
In a pneumatic dryer, the solid food particles are conveyed rapidly in an air stream, the velocity and
turbulence of the stream maintaining the particles in suspension. Heated air accomplishes the drying and often
some form of classifying device is included in the equipment. In the classifier, the dried material is separated,
the dry material passes out as product and the moist remainder is recirculated for further drying.
Rotary Dryers
The foodstuff is contained in a horizontal inclined cylinder through which it travels, being heated either by air
flow through the cylinder, or by conduction of heat from the cylinder walls. In some cases, the cylinder rotates
and in others the cylinder is stationary and a paddle or screw rotates within the cylinder conveying the
material through.
Trough Dryers
The materials to be dried are contained in a trough-shaped conveyor belt, made from mesh, and air is blown
through the bed of material. The movement of the conveyor continually turns over the material, exposing
fresh surfaces to the hot air.

Figure .8 Dryers
 Bin Dryers
In bin dryers, the foodstuff is contained in a bin with a perforated bottom through which warm air is blown
vertically upwards, passing through the material and so drying it.
Belt Dryers
The food is spread as a thin layer on a horizontal mesh or solid belt and air passes through or over the
material. In most cases the belt is moving, though in some designs the belt is stationary and the material is
transported by scrapers.
Vacuum Dryers
Batch vacuum dryers are substantially the same as tray dryers, except that they operate under a vacuum, and
heat transfer is largely by conduction or by radiation. The trays are enclosed in a large cabinet, which is
evacuated. The water vapour produced is generally condensed, so that the vacuum pumps have only to deal
with non-condensible gases. Another type consists of an evacuated chamber containing a roller dryer.
Freeze Dryers
The material is held on shelves or belts in a chamber that is under high vacuum. In most cases, the food is
frozen before being loaded into the dryer. Heat is transferred to the food by conduction or radiation and the
vapour is removed by vacuum pump and then condensed. In one process, given the name accelerated freeze
drying, heat transfer is by conduction; sheets of expanded metal are inserted between the foodstuffs and
heated plates to improve heat transfer to the uneven surfaces, and moisture removal. The pieces of food are
shaped so as to present the largest possible flat surface to the expanded metal and the plates to obtain good
heat transfer. A refrigerated condenser may be used to condense the water vapour.
Various types of dryers are illustrated in Fig. .8:

SUMMARY

1. In drying:
(a) the latent heat of vaporization must be supplied and heat transferred to do this.
(b) the moisture must be transported out from the food.

2. Rates of drying depend on:

(a) vapour pressure of water at the drying temperature,
(b) vapour pressure of water in the external environment,
(c) equilibrium vapour pressure of water in the food
(d) moisture content of the food.

3. For most foods, drying proceeds initially at a constant rate given by: dw/dt = k'gA(Ys - Ya) = hcA(Ta - Ts
=q for air drying. After a time the rate of drying decreases as the moisture content of the food decreases.
4. Air is saturated with water vapour when the partial pressure of water vapour in the air equals the saturation
pressure of water vapour at the same temperature.
5. Humidity of air is the ratio of the weight of water vapour to the weight of the dry air in the same volume.
6. Relative humidity is the ratio of the actual partial pressure to the saturation partial pressure of the water
vapour at the air temperature.
7. Water vapour/air humidity relationships are shown on the psychrometric chart.
PROBLEMS

1. Cabbage containing 89% of moisture is to be dried in air at 65°C down to a moisture content on a dry basis
of 5%. Calculate the heat energy required per tonne of raw cabbage and per tonne of dried cabbage, for the
drying. Ignore the sensible heat.
[ 2x106 kJ ; 1.73x107 kJ ]

2. The efficiency of a spray dryer is given by the ratio of the heat energy in the hot air supplied to the dryer
and actually used for drying, divided by the heat energy supplied to heat the air from its original ambient
temperature. Calculate the efficiency of a spray dryer with an inlet air temperature of 150°C, an outlet
temperature of 95°C, operating under an ambient air temperature of 15°C. Suggest how the efficiency of this
dryer might be raised.
[ 41% ]

3. Calculate the humidity of air at a temperature of 65°C and in which the RH is 42% and check from a
psychrometric chart.
[ 0.075 kgkg-1 ]

4. Water at 36°C is to be cooled in an evaporative cooler by air which is at a temperature of 18°C and in
which the RH is measured to be 43%. Calculate the minimum temperature to which the air could be cooled,
and if the air is cooled to 5°C above this temperature, what is the actual cooling effected. Check your results
on a psychrometric chart.
[ 11°C ; 36°C to 16°C ]

5. In a chiller store for fruit, which is to be maintained at 5°C, it is important to maintain a daily record of the
relative humidity. A wet- and dry-bulb thermometer is available so prepare a chart giving the relative
humidity for the store in terms of the wet-bulb depression.

6. A steady stream of 1300 m3 h-1 of room air at 16°C and 65% RH is to be heated to 150°C to be used for
drying. (a) Calculate the heat input required to accomplish this. If the air leaves the dryer at 92°C and at 98%
RH (b) calculate the quantity of water removed per hour by the dryer, and (c) the quantity of water removed
per hopur from the material being dried.
[ (a) 58.8 kW ; (b) 37.6 kg h-1 ; (c) 27.6 kg h-1 ]

7. In a particular situation, the heat transfer coefficient from a food material to air has been measured and
found to be 25 J m-2 s-1 °C-1. If this material is to be dried in air at 90°C and 15% RH, estimate the maximum
rate of water removal.
[1.35 kg m-2 h-1 ]

8. Food on exposure to unsaturated air at a higher temperature will dry if the air is unsaturated. Steak slices
are stored in a chiller at 10 °C.
(a) Estimate the maximum weight loss of steak pieces, 15 cm x 5 cm x 2 cm in air at 10°C and 50% RH
moving at 0.5 m s-1. The pieces are laid flat on shelves to age. Assuming that the meat behaves as a free water
surface, estimate the percentage loss of weight in 1 day of exposure. Specific weight of meat is 1050 kgm-3.
(b) if the H of the air were invcreased to 80% what would be the percentage loss?
(c) it the meat pieces were also exposed to nearby surfaces at the temperature of the air (dry bulb), what would
then be the percentage loss? Assume net emissivity is 0.8.
[ (a) 12% ; (b) 4.5% ; 18.4% ]

9. Assume that the food material from worked Example 7.17 is to be dried in air at 130°C with a relative
humidity of 1.6%. Under these conditions the equilibrium moisture content in the food is 12% on a dry basis.
Estimate the time required to dry it from 350% down to 12 % on a dry basis. Constant-rate drying exists down
to 100% moisture content on a dry basis. All moisture contents on a dry basis.
[ 5.8h ; 2.03h constant rate, 3.8h falling rate ]
Extruder
Extrusion processing is an incredibly fascinating technology that has been utilized to a tremendous
extent by the food industry. A significant number of the food products that are marketed and
consumed by consumer today are processed using extrusion processing technology. These include
breakfast cereals, snacks, pasta products, flatbreads, gum and candy, plant-based meats, and others
including pet foods.

Numerous researchers around the world have conducted decades of research in understanding
this technology. In developing products with extrusion processing, researchers and product developers
need to consider: (i) hardware or mechanical aspects of the extruder, (ii) ingredient functionalities and
their interactions,(iii) physicochemical transformations that the ingredients go through as impacted by
the conditions inside the extruder, and (iv) the transformations that the extrudates go through as they
exit the extruder die. These numerous, interdependent factors make extrusion processing more
complex. Despite the fact that the research community and the industry have advanced the knowledge
about extrusion processing, there are still many aspects of it that are not well known or predictable.
Thus, it is still considered a combination of science and art. Considering majority of the food products
that are made using extrusion, the major ingredients used in these products are often cereal grain
flours and/or components of the flours mainly starches. Following the starch comes the proteins, and
then fibers and other components of the grains. Numerous cereal grains are used in extruded products,
such as corn, wheat, rice, pulses, quinoa, millets, and others. Along with cereal grains, other common
ingredients used include starchy tubers such as potato and tapioca. Further, in recent years, there has
been a significant increase in the usage of the different pulses such as peas, lentils, chickpeas, and
others. Food extruder design and specifications should be tailored for the intended application. There
is a great deal of interaction between feed ingredients, extruder design, and operating conditions.
Understanding the material characteristics, rheology, transformation reactions, and interactions within
the system design and operating parameters is important for successful extruder design and operation.
Understanding extruder design principles in a simplified and practical approach should lead to faster
product development, quality improvement and consistency, processing efficiency, and optimum
operation.

The following terms and phrases are the ones most commonly used in food extrusion(Harper,
1981; Riaz, 2000).

 Barrel: This part is in between the preconditioner and knife assembly. It contains shafts (single or
twin) and screws with shear locks for cooking and processing the food.
 Breaker plate: This serves as a mechanical seal in between the die and the end of the extruder.
 Compression ratio: This is also called the C/R ratio. It is the volume of the full flight of the screw
at the feed opening, divided by the volume of the last full flight before discharge.
 Compression section of the barrel: The main function of the compression section is to plasticize
the raw material into a dough-like state. This section is in between the feeding section and the
metering section. This section should have a gradual decrease in the screw flight depth in the
direction of die.
 Cut flight screw: This is also called interrupted flight screw. In this case, a section of the flight is
missing. This is used to increase the shearing action and for more cooking of the raw ingredients.
 Die: These are small openings at the end of the extruder to shape the products.
 Die insert: Individual die openings exist as inserts, which slip into holes in a die plate.
 Pellet: This is a discrete particle which is shaped and cut by the extruder, regard less of shape,
sometimes referred to as a “collet”.
 Die land length: This is a ratio between the length and diameter of the die through which the
product passes. Longer die land length provides more back-pressure, and the product will be
denser.
 Die plate: This plate contains several holes which can receive individual die inserts containing the
actual die opening.
 Feeder: This device provides a uniform delivery of the food ingredients to the preconditioner.
These feeders are either volumetric or variable-speed augers.
 Feeding section of the barrel: This section usually contains deep flight screws to carry the raw
material immediately to the next section. The main function of the feeding section is to ensure that
 raw material is moving quickly to the barrel. Otherwise, the barrel will plug up and we have to
shut down the extruder.
 Flight: This is a helical conveying surface of the screw, which pushes the raw material forward in
the extruder barrel.
 Hopper or bin: This part holds the food ingredients above the feeder. They are usually made up of
stainless steel with a glass window to see the level of the ingredients.
 Jacket: This comprises hollow cavities outside the barrel in which we can run cooling or heating
media such as water, oil, or steam to cool or heat the barrel surface.
 Knife cutter: This is the assembly which cuts the food into desired sizes and lengths
 Length to diameter ratio: This is also called L/D. It is the distance from the internal rear edge to the
discharge end of the barrel, divided by the diameter of the bore.
 Metering section of the barrel: This section is nearest the discharge end of the extruder. The main
function of the metering section is to increase the shear rate and cooking of the raw material.
Therefore, this section should have a very shallow flight screw.
 Pitch: This is the angle of the flight, relative to the axis of the root of the screw.
 Preconditioner: This part is in between the extruder barrel and the feeder. In the preconditioner we
can add moisture and steam to partially cook and mix the rawmaterial before it goes to the extruder
barrel. Not all extruders have a preconditioner.
 Recipe: The ingredients or mixture (protein, carbohydrates, lipids, minor ingredients, etc.) to be
processed in an extruder to make food.
 Root: This is a continuous central shaft of the screw, which is usually a cylindrical or conical
shape screw, around which the flight is wound.
 Screw: This part accepts the food ingredients at the feed port, conveys, works, and then forces
through the die. There are several different types of screws, e.g. single flight screw, double flight
screw, cut flight screw, shallow flight screw, deep flight screw and feeding screw.
 Segmented barrel: This refers to a barrel, which is made of several segments.
 Shear: This is a working, mixing action that homogenizes and heats the raw ingredients.
 Shear ring: Also called shear-lock or steam-lock or ring dam. This is a round device that locks
together individual screws in the barrel.
 Venting concept: This is used when we need to make dense food like pasta, third generation
snacks, or noodles. Towards the end, one of the barrel sections will have an opening to release the
pressure and steam to densify the food products.

Typical components of an extruder

An extruder can be divided into four different sections or components.
1. Feeding (delivery) system.
2. Preconditioner.
3. Extruder barrel.
4. Knife cutter.

Delivery Systems
The first basic component of the extruder is a delivery system. The purpose of this section is to
deliver, uniformly, the food ingredients/recipe or raw material to the next components. Consistent and
uniform feeding of ingredients is necessary for the consistent and uniform operation of an extruder.
Preconditioner
Material from the delivery system is fed into the next section of the extruder, which is called the
preconditioner. It is not necessarily true that every kind of extruder will have a preconditioner. Most
of the dry extruders and direct-expanded snack food extruders do not. However, the majority of the
food and feed extruders will have a preconditioner.
Extruder Barrel
The barrel is the heart of the extrusion system. Most of the work is done by this section of the
extrusion system. This component consists of screws, sleeves, barrel heads, and dies. This section
makes the extruder either a single screw or twin screw extruder. If we have two shafts parallel, then it
will be a twin screw extruder, but if we have only one shaft, then it will be a single screw extruder.
Knife Assembly
This is the fourth and last part of the extrusion system. The main function of this component is to cut
the product to the desired length and shape. The knife assembly can be a different design depending
on the manufacturer of the extrusion system. There is the option to use two, four, or six knives in the
assembly.
Types of extruders
There are several different types of extruders available on the market for food and feed production.
Some are single screw extruders, twin screw extruders, conical type twin screw extruders, dry
extruders, interrupted flight extruders, extruders-expanders, and new generation extruders. Extruders
may be designed to include various grinding, mixing, homogenizing, cooking, cooling, vacuumizing,
shaping, cutting, and filling operations. Not all extruders are of the cooking-texturizing type. Single
screw extruders come in a number of sizes and shapes, and their screw, barrel, and die configurations
can usually be varied to suit the specifications of a particular product.
Single, Segmented Screw Extruders
Note that the root of the screw is constant in diameter, and that compression results by changing the
pitch of the worm flights. In this case, the full-pitch screw segment forces the product onto a worm
with twin-spiral, one-half pitch flights to achieve compression. The degree of shear can be modified in
two ways:
1. By using shear locks of increasing diameters, requiring increasing pressures to force the product
into the adjacent worm section;
2. By selecting between a grooved- and a spiral-walled barrel. More mixing and shearing occurs with
the grooved barrel because of greater slippage between the screw flight and barrel walls.
Solid screw extruders are still built for special low-pressure cooking and forming applications. But,
segmented screw worms and barrel sections offer considerable versatility in customizing screw barrel
design and replacing worn parts, and are used in the majority of both single screw and twin screw
extruders.

Most of the single screw extruder’s processing conditions can be controlled to achieve a
variety of effects. For example, cooking temperature within the extruder barrel can range from 80 to
200 0C, by configuring with high shear screws and shear locks, injecting direct steam, heating the
barrel by circulating steam or heating oil, increasing the speed of the shaft or restricting the die open
area. Similarly, residence time in the barrel can be varied from 15 to 300 s by increasing or decreasing
the speed of the shaft. In general, single screw extruders have poor mixing ability. Therefore, material
should be premixed, or a preconditioner should be used for proper mixing of the ingredients. A typical
single screw extruder consists of three different zones: 1. feeding zone, 2. kneading zone, and 3.
cooking zone.

Dry Extruders
All extruders are basically screw pumps through which material is forced, while in the meantime
subjected to heat, cooking, and shear forces. The term dry extrusion, as opposed to wet extrusion,
refers to the fact that this type of extruder does not require an external source of heat or steam.
 Dry extruders capitalize their source of heat by internal friction for cooking, and therefore no
external steam or heat is injected into an extruder barrel during cooking. This type of extruder was
developed for processing whole soybeans on the farm. The dry extruder can process ingredients which
have a wide range of moisture contents, depending on the formulation. If the material has lower initial
moisture contents, then drying of the material after extrusion cooking is not necessary. Usually, in dry
extrusion we lose moisture in the form of steam at the exit and this moisture loss depends on the
initial start-up moisture in the material. Dry extruders have the option of water injection during
extrusion. Usually, starchy material requires some moisture in order to gelatinize. Recently there has
been a lot of development in dry extruder design and its components. Recent research has shown that
if the starting material can be preconditioned with steam and water, the efficiency of the extruder is
almost doubled. Research has also found that in some applications, a longer barrel will work much
better than the normal barrel used for soybeans.

Dry extruders are single screw extruders with a segmented screw put together around the
shaft. In between the screw a restriction (steam lock, choke plate) of different diameters can be placed
to increase the cook and shear. When material moves in the barrel and comes across these restrictions,
it is unable to pass through and consequently pressure builds up and a backflow is created. Usually
these restrictions are arranged in such a way that they increase in diameter toward the die end of the
screw, creating more pressure and shear as they reach the die. This build-up of pressure and
temperature, together with shear stresses developed, tends to plasticize the raw materials into a
viscous paste or puffed shape, depending on the raw material. In dry extrusion, pressure and
temperature should be at a maximum just before leaving the die. The die design and opening also play
a very important role in pressure build-up. Different dies are used for different material and shapes.
The cooking range in a dry extruder can be 180-320 F with very high pressure. As soon as the
material leaves the extruder dies, pressure is instantaneously released from the products, which causes
internal moisture to vaporize into steam, making the product expand.
Interrupted Flight Extruders
The interrupted flight worm shaft rotates within a smooth-walled barrel. Removable pins protrude
from the barrel’s wall and intermesh with the flights. Worms revolving rapidly between the stationary
pins blend injected water and steam into the feed material. Frictional heat, plus heat of vaporization
released by the steam, raises the temperature.
The worm shaft compacts the mixture, subjecting it to higher pressure and friction, thereby
pressure-cooking the mixture. Seconds later, the material contains liquid water, and even the steam is
liquefied. Twenty seconds later, the cook completed, the material flows through shaping orifices and
is cut to the desired length on exiting the expander. Varying temperature and moisture inside the
barrel influence cook. Moisture can vary from 0% to 15% and temperature from 120 F to 320 F (49 to
160 0C). Direct-injected water and steam influence moisture. The amount of final moisture injected as
steam and the friction generated per pound of material influence temperature. The number and size of
dies through which the material is forced to flow influence horsepower consumption. Moisture level
also influences horsepower consumption.
Cooking gelatinizes starch into an elastic adhesive that glues the solid particles into an
inflatable mass. When this inflatable mass leaves the expander’s high-pressure interior and passes into
an atmospheric pressure environment, some moisture vaporizes. This inflates and stretches the mass
with many small internal holes, giving the mass a porous interior composition. Conditions within the
expander easily control the degree of puffing. Puffing requires that the material contains some
ingredients, usually starch that can become sticky and inflatable.
An interrupted flight, single screw expander offers significant advantages because of its
uncomplicated design, low cost, and its tolerance for wear. The shaft “freefloats” in the material
within the barrel. There are no bearings at the discharge end of the barrel. Shaft and thrust bearings
are mounted inside an oil-bath thrust case located between the motor and the expander’s feed end. The
last six shaft worms are hardened and ride within two replaceable, case-hardened wear sleeves.
The shaft has a uniform, deep channel and no internal pressure plates or steam locks. The
only restriction to flow is the removable die plate, which, when opened, allows the expander to empty.
Clean-out is easily done by sending dry feed at high capacity for about 30 s to push out any cooked
material left clinging to the shaft on expander shutdown.
The cutter assembly is attached to the die plate with a stationary central shaft attached to the
center of the die plate. The cutter’s housing, with cutter blades attached, revolves to cut the product as
it exits the dies. Each blade sweeps across the surface of each die, slicing the product into uniform
lengths. Length is determined by cutter speed and number of blades. Particle cross section is
determined by the die opening. Expansion and bulk density are influenced by how the expander is
operated.
New Generation Extruders
New generation single screw extruders were introduced in 1998. The new generation of single screw
cooking extruders designed for production of pet foods features several key design changes. In
general, the extruders have shorter length to diameter (L/D) ratios, which means there are fewer
stationary and rotating wear parts. The drive assemblies have been modified to allow the extruder
screw to run at 30% to 100% higher speeds. In addition, preconditioning, which has long been a
proven asset to pet food production, is enhanced. Finally, variable frequency drives have been added
as an option to increase flexibility. The fixed and rotating components of the extruder barrel are the
most expensive portion of the extrusion system. By shortening the length to diameter ratio of the new
generation extruders, capital costs can be reduced. In the past, shortening the L/D ratio has led to a
reduction in extruder capacity. However, in the case of new-generation extruders, the volumetric
capacity of the extruder screw is increased by increasing its rotational speed (Strahm, 1999).
New generation extruders offer several advantages compared to regular extruders. Some of
these are (Rokey, 1998; Strahm, 1999):
• 30 -50% increase in capacity.
• 5-20% reduction in bulk density.
• .25% reduction in energy consumed.
• Reduced sensitivity to worn components.
• Improved processing of high-carbohydrate diets.
• Reduced processing and capital cost.

Twin Screw Extruders

Twin screw extruders include a variety of machines with widely different processing and mechanical
characteristics and capabilities. These extruders can be categorized according to the position of the
screws in relation to one another and to the direction of screw rotation. In twin screw extruders, the
screw either rotates in opposing directions (counter-rotating) or in the same direction (co-rotating).
Regarding screw position, extruders can have: 1. intermeshing screw in which the flight of one screw
engage or penetrates the channels of the other screw, or 2. non-intermeshing screw in which
the screws do not engage each other’s threads, allowing one screw to turn without interfering with the
other. Non-intermeshing screw extruders function like single screw extruders but have a higher
capacity (Dziezak, 1989).
Extruder screws can be either co-rotating, i.e. turn in the same direction with their screw
crests matching up with opposing troughs, or counter-rotating, i.e. turn in opposite directions.
Therefore four types of twin-screw extruders are possible (Miller, 1990):
• Non-intermeshed, co-rotating.
• Non-intermeshed, counter-rotating.
• Intermeshed, co-rotating.
• Intermeshed, counter-rotating.
All of these variations have been built. It has been noted that non-intermeshed twin screw extruders
may act as two separate screws laying side by side, with uneven filling and discharge from each
screw. Self-wiping versions of the co-rotating intermeshed twin screw extruder are very popular
domestically. However, interest is growing in processing of materials that require high pumping
pressures in intermeshed counter-rotating twin screw extruders.
 Twin screw extruders typically cost 50-150% more than single screw extruders of the same
throughput, but offer several advantages, including:
• Handle viscous, oily, sticky, or very wet material and some other products which will slip in a single
screw extruder (it is possible to add up to 25% fat in a twin screw extruder).
• Positive pumping action and reduced pulsation at the die.
• Less wear in smaller part of the machine than in single screw extruder.
• Wide range of particle size (from fine powder to grains) may be used, whereas single screw is
limited to a specific range of particle size.
• Because of the self-wiping characteristics, clean-up is very easy.
• Ease of process scale-up from pilot plant to large-scale production.
Please note that the basic elements of feed, kneading, and cooking zones are still there, as are the
shear locks.
• Should it be a “wet” or “dry” extruder?
• Is a single or twin screw extruder required?
• Should it be an expander with pellet mill?
• Should it have continuous or interrupted flights?
• Should it have internal steam locks or a single-face die The right selection of an extruder for the
food and feed industry will depend on several factors, as well as on the food and feed products.
Therefore, one should ask these questions before selecting an extruder for the food and feed industry
(Riaz, 2000):
• What will be the main ingredients to be used in the pet and feed recipe?
• What is the physical nature of the main ingredients?
• What will be the physical and sensory properties of the food and feed?
• What are the moisture contents of the other main ingredients?
• What is the fat content of the ingredient that will be used in food and feed formulation?
• What will be the availability of the constant or seasonal ingredients and substitute ingredients that
may be used occasionally?
• What kind of food and feed will be made? Generic or complicated with high density nutrients?
• Does the food and feed formulation contain high levels of fresh meat?
• Is the shape of the food and feed simple, exotic, or detailed?
• Should the food or feed be multi-colored or center-filled with some other ingredients?
• What is the target bulk density of the food and feed to be made on the extruder?
• What is the desired production rate of the food and feed?
• The size of an extruder depends on market size as extruders function best operating at full
throughput per hour.
• What will be the source of energy for the food and feed extruder? Is steam or electricity (for product
heating) more economical where the extrusion plant will be built? For a small operation in a
developing country, would a tractor power take-off drive be more suitable?
• What about capital availability and the recovery date target?
• Would a used extruder fill the need better for a start-up operation?
Choosing the proper extruder and extruder configuration is critical for a successful food and feed
facility. The extruder manufacturer should be able and willing to assist in tailoring special screw,
barrel, and supporting equipment configurations for processing specific food and feed products. All of
the previously mentioned factors should be considered when deciding what type of extruder best
fulfills the needs of the food and feed industry (Riaz, 2003).
Most commonly used food and feed extruders currently available on the market are single screw
“wet” extruders (with or without the preconditioner), single screw “dry” extruders (with or without
the preconditioner), single screw interrupted flight extruders (also available with preconditioner), and
twin screw extruders with preconditioner. Once the proper extruder is selected for the food, and feed
industry, the next challenge will be to make sure it is assembled correctly for the right type of food
and feed production, and then adequately maintained on a regular basis.
Fermenter
Abstract:
Fermenter is a vessel that maintains optimum environment for the development of significant
microorganism used in large scale fermentation process and the commercial production of
products like Alcoholic beverages, Enzymes, Antibiotics, Organic acids etc. The fermenter
aims to produce biological product like vaccines and hormones, it is necessary to monitor and
control the different parameters like external and internal mass transfer, heat transfer, fluid
velocity, shear stress, agitation speed, aeration rate, cooling rate or heating intensity, and the
feeding rate, nutrients, base or acid valve. Fermentation in the fermenter are accomplished in
several configuration and these simple configurations are batch, fed-batch and continuous
fermentation process. Fermentation process is carried out in small or large size fermenter
depending on product quantity. The selection of the suitable process depends on the
fermentation kinetics; type of microorganism used and process economic aspects. Improved
modelling tools, reactor operation and reactor design in bioreactor is because of mass transfer
behaviour and it is important for reaction rate maximising, throughput rates optimization and
cost minimizing. The fermenter design, fermentation process, types of the fermenter that are
used in industries and heat and mass transfer in fermenter is discussed.
Introduction
Fermentation process is the oldest technology of all biotechnological process continued from
hundreds of years. The study of fermentation process, application and techniques are simply
defined as fermentation technology. The fermenter or bioreactor are defined as the heart of
fermentation process within this fermenter many reactions and activities occur. In
fermentation technology whole study is involve, activities like downstream, upstream and
midstream studying and controlling them.Fermentation technology studies needs essential
efforts from different disciplines such as bioprocess and chemical engineering, microbiology,
biochemistry, genetics and even physics and mathematics. (Jagani et al. 2010)

The fermenter/bioreactor is the vessel that provides biomechanical and biochemical

environment which regulate the transfer of oxygen, nutrient to cells and metabolic products
from cell. Bioreactor vessels are designed to utilize activity of catalyst to attain desired
chemical transformation (Sharma et al. 2012; Bueno et al. 2004). Bioreactors are also defined
as engineered device designed for metabolic activity and optimal growth of organisms with
the help of the microorganism, enzyme, biocatalyst and the cells of plants and animal. With
fermenter metabolic fluxes are altered and cell resources are diverted to the more anticipated
pathways while undesirable one are inhibited. For instance, by commanding a temperature
profile given on the culture, certain enzymes are denatured, thus arranging the metabolic
routes over others within the cells (Gueguimet al. 2002). Fermenter or Bioreactor are
cylindrical shape vessel having hemispherical bottom and top and they are mostly made of
glass and stainless steel. Difference between classic composting system and the bioreactor is
controlling and measurement of the composting process parameters is more in bioreactor
(Jagani et al. 2010). Bioreactors are dissimilar from the conventional chemical reactor to
some extent. They support biological entities and control them. Fermenter system should be
tough enough to provide greater degree of control over contamination and when the organism
are less stable and more sensitive than chemicals (Williams et al. 2002).
The fermenter is involved in processing of beer, wine, vinegar, yoghurt, sauerkraut.
The evolution from native art to commercial practice of these products requires improvement
in process to increase shelf life and to maintain acceptability and the quality of the product,
equipment and the process control parameters remained simple. Adequate heat transfer, mass
transfer, substrate in appropriate amount, no under or over dosing of feed in fermenter should
maintained. Proper supply of the adequate substrate, salts, oxygen, suspended solids and
water availability for aerobic system should be ensured. Care should be taken in gas
evolution product and by-product. Some factors regarding to the attributes of fermenter
design requirement are scale-up, regulating techniques, typical construction and measuring,
sterilization, flexibility in operations, process control devices that are compatible with
upstream and downstream processes and antifoaming measures. (Sharma et al. 2012).
Aseptic environment is well defined as defense against entry of the unwanted
microorganism and contamination is preventing escape of viable cell form the process.
Fermenter system provide both type of the environment where ever they are mandatory.
Contamination is related in all of the process of fermentation but containment is essential
after the pathogenic organism occurrence in the fermentation practice. (Gudinet al. 1991)
stated that condition of the fermenter for living organism should be favorable to display their
activity in defined condition. This calls for a series of distinct attributes in the engineering
reaction of biocatalytic processes. Many times Bioreactor and fermenter term are used
synonymously. The slight difference between these two is fermenter is used for microbial
culture and bioreactor is used for mass culture of animal and plant cells.
Fermenter Design and Operation
The fermenter design should provide high quality product in low cost with improved
productivity and authentication of the desired parameters. The design of the fermenter and
mode of operation relies upon microorganism production, product value, condition necessary
for the desired product formation and production scale. The effective fermenter provides
positive influence on the biological reaction and prevents foreign contamination. In fermenter
capital investment and operating cost are important factors that to be considered. (Eibl et al.
2008) reported that during the fermentation process proper mixing, uniform shear rates, mono
septic conditions should be maintained. Aeration of the culture is achieved by one of the
following methods: increasing atmospheric pressure or enhancing the restricted pressure of
oxygen and direct sparging, indirect and/or membrane aeration or by medium perfusion.
(Naraendranathanet al.1998) discussed about characteristics of a good bioreactor design
which include: a simple, economical and robust mechanical design, beneath aseptic
conditions easy operation, flexibility in the process, nonappearance of dead zones and
transfer of heat and mass. The bioreactor design must control pH, temperature, oxygen
tension, allow aseptic operation and the shear stress. The system should also allow for
automated processing steps. This all is essential not only to control, but also for future routine
manufacturing (Martin et al.2004).
The biotechnological process has several aspects, which needs special care in
bioreactor designing. The cell growth, reaction rate and process strength in the bioreactor
depends upon environmental condition. Condition in bioreactor like pH, temperature,
agitation speed, dissolved oxygen level, foam production, gas low rates etc. necessary to
control and closely monitored (Chen et al. 2006).
Size of Fermenter Vessel and Material
The sizes of the bioreactor vary widely from the microbial cell (few mm3) to shake flask
(100-1000 ml) to laboratory scale vessel (1 – 50L) to pilot level (0.3 – 10 m3) to industrial
scale (2 – 500 m3) for large volume industrial applications. The width of the manufacturing
substance increases with scale. At 3,00,000–4,00,000 dm3 capacity, 7mm plate are generally
utilized for the side of the vessel and 10mm plate for the upper and lower part, it should be
hemispherical to resist pressures.
The material used for the fabrication of the fermenter are discussed by (Kaushik et al.
2014). Lab scale fermenter are typically constructed with the glass and the pilot scale and the
industrial scale vessel are normally fabricated with stainless steel or at they should have
cladding of the stainless steel. The presence of a thin hydrous oxide film on the exterior of the
steel reduces the corrosion of stainless steel. The configuration of film differs with industrial
process treatment and altered steel alloys. Chromium is used to alleviate the film and
considered as insoluble, nonporous and self-healing. When exposed to environment or
oxidising agent damaged film will be repair itself. (Duurkoop et al. 1992) suggested that in
chromium steel high percentage of nickel improves engineering properties and enhances their
resistance. The resistance of stainless steels is improved by the existence of molybdenum to
the mixture of halogen salts and opposing by chloride ions in brine or sea water. Nowadays
molybdenum commonly used in the construction of the fermenter containing 10% nickel and
18% chromium. Wood, plastic and concentrate are used where no chance of contamination in
the system.
Basic Feature of Fermenter Design:
The basic feature of bioreactor which include agitation system, foam control, oxygen
delivering system, headspace volume, sampling port, temperature and pH control system,
sterilization system and lines for charging & emptying the reactor (Alaghlavi et al. 2013).
These are described in Table 1.
Table 1. Different parts of Fermenter and its function (Jagani et al. 2010; Kaushik et al. 2014)
Parts of Fermenter Function
Impellor (agitator) Continuous stirring of media, distribution of the oxygen
throughout the system and prevent cells from settling down
Sparger (Aerator) Introduce sterile air or oxygen to the media in the aerobic
fermentation process
Baffles (vortex breaker) Provides better mixing by disrupting the vortex formation
Temperature probe Measure and monitor temperature change in the medium during
the fermentation process
Cooling Jacket maintains the temperature of process
pH probe Evaluate and monitor the change in pH of the medium
Level probe Measure the level of medium
Foam probe Detect the presence of the foam
Acid Neutralizes the basic environment and maintain the pH
Base Neutralizes the acidic environment and maintains the required pH
Antifoam Breakdown and avoid foam occurrence in the medium
Sampling point To acquire samples throughout the process
Valves Regulate and limit the flow of liquids and gases
Control panel Monitor all parameters in the system
Inlet air filter Filtration of air before entering the fermenter
Exhaust air filter Prevention of contaminants from escaping
Rotameter Measure flow rate of liquid or air
Dissolve oxygen probe Measure dissolve oxygen in the fermenter
Pressure gauge Measure internal pressure of the fermenter
1. Aeration and Agitation system
1.1. Aeration system
Aeration supports the growth of the organism by providing appropriate amount of oxygen in
the fermenter. The device such as sparger is used to introduce the air in the fermenter.
Aerators producing fine bubble should be used. Oxygen is easily transfer through the sparger
to greater amount with the large bubbles which has less surface area than the smaller bubbles.
In the case of airlift fermenter agitationis not necessary, aeration provides enough agitation.
But this is feasible with medium or low viscosity or less amount of total solids. For providing
agitation with the help of aeration, the height/ diameter ratio of the fermenter should be 5:1.
Sparger contains air filter to supply sterile air into the fermenter.
Three types of the sparger are used widely
(a) porous sparger
(b) orifice sparger
(c) nozzle sparger
1.2. Agitation system
Agitation offers uniform mixing of the cells in standardized nutrient medium. Agitation
offers mass fluid and gas phase mixing, ease of oxygen transfer, dispersion of air and transfer
of heat and maintains uniform atmosphere in the fermenter. Agitation in the fermenter is
achieved with agitator. Four different classes of the agitator (impeller) are Marine impeller,
Vaned disc, Disc turbine and Open turbine of variable pitch.
Flooding in the fermenter by air bubbles is prevented by the Disc turbine. The
conditions of the flooding is specified when the mass flow pattern in the fermenter is
generally related with agitator design (radial with the Rushton turbine) is misplaced and
changed by a centrally flowing air-broth plume up in the middle of the fermenter with a
liquid flow as an annulus ( Nienow et al. 2014).
Fermenter Operation
There are three different types of operation that are batch, continuous and fed-batch or semi-
continuous depending on feed of the fermentation media and the cultures into bioreactor
(McNeil and Harvey 2008). The relationship of the feeding of substrate to the biomass and
yields suggest the excellent fermentation mode (Raj and Karanth2006). For the centuries
Traditional batch stirred tank reactors (STRs) and continuously stirred tank reactors (CSTRs)
are existed. Due to their simplicity they are commonly used in bioprocessing industries
(McNeil and Harvey 2008). Other bioreactor having different design and operational
attributes are membrane bioreactor, drum reactors, photo-bioreactors, fluidized bed
bioreactors, air lift bioreactors and bubble column reactor. These all are developed to provide
various application in specific processes.
Batch Process
Batch fermentation is a closed culture technique in which the small quantity of nutrient is
inoculated with the variety of organism to let the fermentation. Batch fermentation is the
traditional process, during fermentation process no ingredient are added after inoculation,
except base or acid in controlling pH. In this fermentation process, organism effects in high
substrate concentration primarily and a high product concentration lastly. (Williams et
al.2002) observed that for the promotion of aerobic cultivation in fermenter, the aeration of
medium with sterile air to provide constant flow of oxygen. Gaseous by-product such as
carbon dioxide are removed, gas removal processes and the aeration takes place in this
process.
Batch Fermenter Design
The impellers in STRs connected to an exterior motor, which runs the stirrer system. The
assembly of agitator including seal is a way of contamination so the shaft has to pass from
aseptic seals into bioreactor (Abbott et al. 2013). (Garcia-Ochoa and Gomez 2009; Martin et
al. 2008) reported about contribution of the impellers in the uniform mixing and the
termination of the essential atmospheric oxygen into aqueous phase.
The efficiency of the agitation is determined by the shape of impeller blades and
speed of agitation. The mass transfer rates and mixing are affected due to variety of stirrer,
stirrer speed and the rate of gas flow used. Batch type of fermenter are preferred for high
value end product and low volume, particularly to obtain product yield. Such type of
fermenter are used when more than one products are produced prepared in same equipment or
in the case of highly viscous liquid where continuous flow is difficult. (Williamet al. 2002).
Batch type fermenter are more flexible with varying product system, they low down the risk
of contamination and the investment is also low as compared to the continuous processes for
same volume.

Figure 1. Stirrer tank (Jagani et al. 2010)

Continuous Process
In the continuous process of the fermenter new medium is constantly added in the system
along with that continuously removal of the product from the bioreactor. (Abbott et al. 2013).
This supports the cells in growth phase and keeps the capacity of reactor constant. Thus,
steady state is attained, the connection between microorganism behaviour is established
depending upon the availability conditions of the nutrient. The continuous product are formed
with higher yield. In continuous stirred-tank, the reactants are very well mixed. Other name
for the reactor is back mix reactor. Continuous feeding process is the specific feature of
continuous bioreactor. (Martin and Montes 2008) suggested that hydraulic or mechanical
agitation is required to accomplish uniform temperature and composition. To maintain steady
state, the culture is continuously fed to medium in the bioreactor. The control parameters and
the reaction variables remain consistent, within bioreactor it establish a time perpetual state.
This result in the continuous output (McNeil and Harvey 2008). (Kaushiket al. 2014)
suggested that by automating the process, time could be saved in filling, emptying, and
sterilizing the bioreactor with reduced toxicity risks and reduce labour cost. CSTRs can yield
high product quality, due to presence of the mechanical pumps CSTRs consume more energy.
Continuous Stirred Tank Reactor (CSTR)
In the CSTR, with one or extra agitator, fermentation broth is continuously stirred and the
composition is identical and homogeneous to that for outgoing flow into the reactor. Such
type of reactor are usually operated in syngas fermentation. Application of the CSTR is
constant flow of the gas throughout the liquid that normally contains a diluted solution of
basic nutrients for the organism to develop and survive on. (Tang et al.2010) has evaluated
the performance of reactor in concurrent and ethanol fermentation in addition with
flocculating yeast strain. Using gas stripping the product removed from fermentation media
also reported with the Continuous stirred tank reactor (Liu et al. 1990).
Plug Flow Reactor (PFR)
In the plug flow reactor (PFR), the reactants are driven via tube or pipe with a constant
velocity profile across the radius, and the reaction continues as the reagents moves within the
PFR, with dispersion expected to be small in the axial direction (Anandaet al. 2014). In PFR
operation, inoculum is continuously fed to the reactor.
Figure 2.(a) Stirred tank reactor(CSTR) (b)Plug flow reactor (PFR). (Ananda et al. 2014)
Fed Batch or Semi-Continuous Process
Fed-batch fermentation process is a system in the middle of batch fermentation and
continuous fermentation.During whole fermentation process in Fed batch or semi-continuous
process, broth is taken off from the reactor, however the rate of nutrient are limited that helps
in increasing yield of product and controlling reaction rate. In this process sterilized condition
are maintained during the operation and the yield is collected at the end of the process as in
batch bioreactor (Abbott et al. 2013). Such type of vessel perform safer and stable operation
in the batch bioreactor. An elaborate sequences of equipment is necessary to maintain
suitable feed rates with the accurate constituent in the fed-batch reactors. However, the fed-
batch method has several advantages than batch and continuous process.
The Constant Volume or Fixed Volume Fed-Batch Reactors
In this type of fed-batch reactor, the substrate is provided in the limited amount without
diluting a culture. The growth limiting substance are fed in undiluted form, e.g. solid or
concentrated liquid volume of culture can be maintained constant. Alternatively, addition of
substrate by dialysis without disturbing the culture volume can be done. (Anandaet al.
2014).A periodic removal of a part of the culture is mandatory in a fix cyclic fed batch
reactor.
The variable volume fed-batch reactors
In the variable volume fed-batch reactor, change in size occurs with fermentation time due to
substrate feed. Volume change can be controlled depended on the need such as
microorganism characteristics and fermentation kinetics. In this reactor, liquid volumes are
used as a variables in optimizing the product yield. For example, at certain stage the culture is
replaced from the system with fresh medium where the fermentation process is not effective
anymore. The reduction of volume in the process results in rise in the specific growth rate,
followed by a steady fall as the quasi-steady state is created.

Fig 3. Fed-batch reactors (Abbott et al. 2013)

Types of Fermenter
1. Stirred Tank Fermenter
Stirrer tank fermenter (STF) are known for their flexibility so they one of the most frequently
used fermenter. (Chisti et al.2010). STF are cylindrical in shape and in STF motors drives the
shaft and stir the content in the tank. Depending on the scale of process and other aspect
agitator might be bottom driven or top driven. Commonly used are top entry-stirrer (agitator)
model, it has so many benefits such as robustness, reliability and easily operated and rarely
used are the bottom entry–stirrer (agitator) model. The agitator might be top driven or
bottom. The shaft support more than two impellers positioned almost one impeller-diameter
separately (Chisti et al.2010). The characteristic decision variables are: size, type, impellers
and sparger size. This type of reactor has following functions: aeration of liquid, solids
suspension, homogenization, gas-liquid mixture dispersion and exchange of the heat.
Laboratory-scale stirrer tank fermenter are fabricated with the borosilicate glass and
the stainless steel lid. Capacity of these fermenters is 1 to 100 L. Fermenter with stainless
steel has special requirement in the laboratories. (Ali et al.2002) has studied about laboratory-
scale stirred fermenter that was designed for production of citric acid using Aspergillus niger
GCBT7 having capacity of the 15 L with working capacity of 9 L. (Vamanu et al. 2009)
reported the condition of fermenter that properly mixes the medium for 15 min. Such type of
tanks suffer because of their low productivity. The Stirred tank reactor’s provides tremendous
mass transfer and advantageous mixing. Attrition problem occurs in the vessel with the
immobilized cells, however by splitting the zone of mixing one can easily and effectively
function the system.

Figure 4. Stirred tank (Jagani et al. 2010)

2. Airlift Fermenter
Airlift fermenter is also recognized as tower reactor. An airlift fermenter vessel is cylindrical
in shape in which air is presented at the bottom of receptacle which arises through the column
to the medium. Operational proportion of the airlift fermenter is more than 6:1 (height
/weight). ALFs capable of using for free or together with immobilized cells that are suitable
for bacteria, yeast, fungi and animal and plant cells. These type of the fermenter does not
have agitation system, but contents in the vessel is agitated with the air introduced from the
bottom. The cell mixture flows all over the place in the column as a significance of the
gradient of air bubbles in the various sections of the fermenter. The fluid of volume is
separated within two connected regions by means of draft tube or baffles for improving
circulation and oxygen transmission and aligning shear forces in the apparatus (Veera and
Joshi 2001). From the two zones only one zone is sparged with the gas or air. Zone that is not
sparged is known as down comer, and the region which receives gas is the receiver (Chisti
and Moo-Young 2001). These come in two model i.e. external loop design and the internal
loop design. Riser and the downcomer enclosed in similar shell in the internal-loop and in the
external- loop downcomer and riser are distinct tubes interconnected near bottom and the top
(Chistiet al. 1999).
 In the production of citric acid, airlift fermenter was used with 900 m3 volume using
Aspergillus niger. The airlifts Fermenter are fabricated with the stainless steel to resist the
acidity because ordinary steel dissolve at pH 1-2. Airlift fermenter is generally suitable for
the aerobic organism due to the oxygen mass transmission coefficient is higher than stirred
tank reactors. This fermenter is perfect for the creation of SCP as carbon substrate from
methanol. Generation of the excess heat during agitation is avoided in this fermenter. The
knowledge of producing SCP from methanol procedure related to Imperial Chemical
Industries (ICI, UK).

Fig 5. Air Lift reactor (Siegel and Robinson 1992)

3. Bubble Column Reactor
The reactor is one of the simplest type of the reactor and it is easy to scale up (Kantarci et
al.2005). A bubble column reactor is generally cylindrical shape receptacle which contain gas
provider at the bottom side. Helmut Gerstenberg et al. applied it for first time. (Borakb and
Kutlu 2005) reported that in bubble column reactor gas is sparged in the manner of bubbles
into liquid–solid suspension or liquefied phase. The existence of solid phase in the vessel
commonly mentioned as slurry bubble column reactors. The mixing in the reactor is achieved
by gas sparging also it needs very small amount energy than the automated stirring (Nigar et
al. 2005). Comparing with other reactor having agitator bubbles make less shear stress
(Kantarci et al.2005). Bubble column reactor has many advantages as comparing with other
type of reactors. These types of reactor requires less maintenance and have good heat and
mass transfer attributes, operating cost is less because of their compactness along with
stability of the catalyst.
Bubble column reactors are utilized by many industries such as biochemical,
petrochemical, and metallurgical and chemical industries (Degaleesan et al. 2001). Use of
these reactor especially in the production of artificial fuels by transformation of the gas
process, chemical processing such as chlorination, polymerization, alkylation, and
hydrogenation and in biochemical process for example biological waste water management
and fermentation (Prakash et al.2001). Accessible chemical agent addition and taking out
ability and plug-free process are additional benefits that reduce bubble columns an appealing
reactor choice (Prakash et al. 2001). (Ogbonnaet al.2001) study was depending on ethanol
fuel production from sugar-beet juice in bubble column reactor. Yeast cells (Saccharomyces
cerevisiae) were used so as to examine the possibility of the procedure. Figure 6. Bubble
column reactor (Wilkinson et al. 1992).

Fig 6 Bubble column reactor (Wilkinson et al. 1992)

4. Fluidized Bed Reactor
FBB has many advantages over other type of reactor so in current years use of this type of
reactor has increased. Fluidized bed reactor are developed for the biological system has cells
as biocatalyst that are three phase system (liquid, solid and gas). This type of reactor contains
packed bed with small size particles which moves the fluid. The minor particle size
accelerates higher rate of oxygen transfer, mass transfer, higher mixing rates and nutrients to
the cells.
Mostly the constituents used in FBBs are of three types:
(a) inert core on which the biomass is produced by cell attachment.
(b) Porous particles in which the biocatalyst is entrapped.
(c) Cell
aggregates/ flocs (self-immobilization).
Some problems occurred in the packed bed reactor such as high liquid pressure drop,
channelling, clogging, compaction of bed is completely prevented in fluidized bed reactor.
Operation is in continuous state with temperature gradient and uniform particle
mixing. FBB are same as bubble column reactor with expanded cross section area at the top
of the vessel so as to recirculate the liquid that is constantly pumped from the bottom of the
receptacle at a velocity that is satisfactory to preserve them in suspension (Chistietal.2010).
Agitation of the medium is supported with the action of the pump in this bioreactor. FBB is
one of the method for sustaining high biomass concentration and excellent mass transfer in
continuous process. The concentration of the biocatalyst is significantly greater and washout
limitations of free cell systems is affected (Gibilaro et al.2001). FBBs provides lesser attrition
of solid particle than the conventional mechanical stirrer reactor and also volumetric
productivity is higher than the packed bed reactor. FBBs is widely use in bioprocess
improvement. The efficiency of fluidized bed reactor depends on the attachment of particles
that are maintained in suspension by an upward flow rate of the fluid to be treated. These
particles are also called as biofilm carrier either they are inert core on which the biomass is
produced by cell attachment; or porous particles in which the biocatalyst is trapped (self-
immobilization).
 Figure 7. Fluidized bed reactor (Kwong et al. 2000).
5. Packed Bed Reactor
Packed bed bioreactor is well known as fixed bed bioreactor. It is normally used in
wastewater engineering with biofilms attached. The use of packed reactor gains significance
after whole cell immobilization technique when it is demonstrated. The nutrients are fed from
the top or bottom with immobilized biocatalyst packed in the column. The packed bed reactor
are commonly treated with the immobilized cells. The reactor constitute a bed of packing,
made with glass, ceramic, polymer, natural material and they exist in various size and shapes
which allows the flow of fluid from one end to other end. Packed bioreactor can run in the
dribble flow mode or in the submerged mode with aeration. The flow rate in the channels can
be increase to remove external mass transfer limitation in the adjacent liquid film. The rate of
high pressure drops, at the same time, plugging can be avoided in the reactor (Wang et al.
1992). During operation, due to modifications in the bed porosity variation in the flow
characteristics arises in the packed bed bioreactor.
Packed bed belongs to the group of plug flow reactor where back mixing is not
present, but in this reactor slight backmixing arises which affects the attributes of the
fermentation. They are normally used as soon as substrate inhibition administers the rate of
reaction Several modification are made to the reactor such as tapered bed are used to decrease
the pressure drop horizontal bed, inclined bed, rotary horizontal reactors have been tested
with partial achievement.
Figure 8.Packed bed reactor (Siegel and Robinson 1992)
6. Membrane Bioreactor
Membrane bioreactor contains hollow fibre system which is developed for the
immobilization of the yeast, enzymes and bacteria. The hollow fibres are prepared with
cellulose acetate with a consistent wall matrix or from polysulfone fibres or acrylic
copolymer with irregular wall configuration (Raj and Karanth 2006). Advantages of hollow-
fibre reactor for microbial system are biocatalyst regeneration and immediate separation of
biomass and the product. Major drawbacks of the reactor are, they are difficult to control and
monitor the growth and breakdown of the culture and excessive development of
microorganism because of the less oxygen transfer rates. The metabolic activity of cells is
inhibited by accumulation of the toxic products in the hollow fibre. In various microbial cell
production membrane bioreactors has been widely used (Chang and Furusaki1991). Some
investigation are reported on the production of the probiotic cells in membrane reactor, such
type of system supports volumetric productivities and high cells yield.
Heat Transfer
Heat transfer is the transfer of heat from one location to another. Transfer of heat is one of the
significant parameter in maintaining and controlling the temperature during various operation
in the fermentation process. Generation of heat in the process in fermenter because of the
mechanical agitation and metabolic activity of microorganisms and by bubbles formed by the
gas, bubbles size increases when passed from the air sparger to the headspace of the
fermenter. The work performed by gas expansion by mechanically agitated system is usually
very less of the total. For most fermentation process heat is removed by cooling. The
fermentation process run above ambient temperature that involves thermophile organisms, for
such process involvement of heat is needed. Heat transfer is mainlyattained by internal coils
or via outer jacket surrounding internal phase in fermenter. Heat is always conducted through
the coils, baffles or vessel wall, no direct contact exist between fermentation medium and the
heating/cooling system. These type of systems are also applied to sterilize the fermenter, by
injection of the pasteurized steam.(Jackson et. al. 1990) reported that heat generated by the
fermentation is difficult to remove when the superficial area enclosed by the heating jacket
become insignificant. In this situation with the help of internal loops accurate temperature can
achieve and the circulation of cold water is needed in the area. (Atkinson and Mavituna1991)
have provided a technique to determine the loss of heat because of evaporation (Qevap), a
formula to determine the sensible heat loss for flow streams (Qsen) data to estimate (Qmet)
for a range of substrates and techniques to determine power input for (Qag) and Qgas.
Transfer of heat between the vessel surface and the microorganism is slightly
comparable to that of mass transfer, involves alteration between bulk fluid as well as the cells
and between cooling surface and bulk fluid. The temperature in the mass fluid is calculated
by the dynamic balance between the process of evolution of heat by cells and agitator and
removal of heat from the container wall in case of mass transfer. As compared to mass-
transfer coefficients determination, the cell-to-fluid heat-transfer coefficients is further
challenging, if the mass of the cell aggregates expands, at same time heat accumulation
within cell aggregates at a certain stage of metabolic activity also increases. In the given
temperature of bulk fluid, the average temperature of cell rises with increasing aggregation.
Effects of the biological activity is fouling, it occurs on the heat-transfer surfaces, either by
the cell deposition or material attack in solution. Overall heat-transfer coefficient is reduced
by such fouling. The design, material, position and reinforcing of the coil should be in such a
way that the deposition risk will minimize by confirming free flow of the suspension on the
exterior of the coils and increase in heat transfer co-efficient.
 (a) (b) (c)
/preprints201808.0433.v1
(d) (e)

Figure 9. Heat transfer configuration for fermenter are (a) jacketed vessel (b) external coils
(c) internal helical coils (d) internal baffle type coils (e) external heat exchanger (Pauline Met
al. 1995).
Mass transfer
Transfer of mass from one location to the other location under the effect of concentration
gradient and concentration difference in the system. Mass transfer within the process is
important to the entireoperation. Basically, two aspects to the mass transfer process are -the
less or more uniform supply of the product molecules and the substrate in the bulk of fluid
and the transfer between microbial cells and the bulk of fluid. Transfer of mass occurs
between two phases, liquid-liquid and gas-liquid. In gas –liquid reactions the mechanically
agitated stirred tanks are mostly used, waste treatment and the aerobic fermentation. These
type of vessel provides good mixing and has mass of high values and heat transfer
coefficients. The mass transfer coefficient, kLa is the most significant parameter effecting
design and operation of unit. (Lau et al. 2012) has evaluated the mass transfer coefficient by
using oxygen sorption method. Mass transfer in the gas –liquid reaction system is studied by
many investigator. (Lauand Tao Chen 2012) reported that interfacial mass transfer is derived
on the basis of its bubble size distribution. The mass transfer coefficient of liquid side can
calculated from the interfacial mass transfer area and volumetric mass transfer coefficient.
Overall mass transfer coefficient is a combination of mass transfer coefficients of gas
phase, liquid phase and biofilm as given in the following equation
1/koverall =1/kG +1/kL +1/kB.20944/preprints201808.0433.v1
Where,
Koverall - Overall mass transfer coefficient
kG– Mass transfer rate coefficient of gas phase
kL - Mass transfer rate coefficient of liquid phase
kB - Mass transfer rate coefficient of the biofilm
Mass transfer of liquid-side alters with gas velocity controlled by varying bubble
rising parameters. Mass transfer rate of gas-liquid state is improved by static liquid height.
Efficient gas–liquid contacting has great importance to numerous industrial applications,
together with biological gas treatment. When mass transfer is limited, the metabolic rate of
the microorganism reduces and the organisms may react undesirably resulting stress (Lebrero
etal. 2010).A large amount of relationships are available for the volumetric mass transfer
coefficient, but often the results from various equations are not in contract with others
(Garcia-Ochoa and Gomez 1998). So they are being expatriated by theoretical or predictive
models, based on more significant principles. Dynamic measurement method is used to
compute the volumetric mass transfer coefficient, kLa, assuming no depletion order for gas
phase and proper mixing in liquid phase. (Salehiet al. 2013) reported that in bioreactor
transport of dissolved oxygen occurs in three different phases (i) bulk fluid phase of the
bioreactor (global mass transfer), (ii) from the bulk to the superficial of the aggregated cells
(internal mass transfer), (iii) throughout the aggregated cells (external mass transfer).The
internal mass transfer rates relies on a combination of convection mechanism, porosity and
scaffold’s structure, diffusion rates and the external mass transfer relies on bioreactor’s
hydrodynamic condition. For minimizing costs and maximizing the efficiency, it is necessary
to understand the behaviour of mass transfer for gas treatment in fermenter resulting
improved modelling tools and more advanced reactor operations (Rolfe et al. 2006).
Scale up in Fermenter
Scale-up is the rise in level or dimensions of fermenter, e.g. laboratory scale to pilot scale or
from pilot scale to large production scale. The key feature to be measured on the scaleup is
that the volume of the fermenter increased by the cubed function and the surface area is
increased by the square function so air flow rate, carbon dioxide and oxygen transfer,
agitation rate and foaming will be affected. Scale-up and scale-down in relation with agitation
and aeration is discussed by (Junkeret al. 2004; Junker et al. 2009) in detail. If some
parameters such as impeller speed remains perpetual at the time of fermentation process as
power output, it increases to an extremely large, and becomes economically unviable. Thus it
is difficult to regulate the same level of mixing on scale-up as it leads to less favourable
mixing behaviour (Schmidt et al. 2005).
Scale-up can also alter the generation of foam, shear forces and rate of elimination of
carbon dioxide. Scaling-up using continuous oxygen transfer rate (OTR) is the ability to
calculate or evaluate the volumetric mass transfer coefficient, kLa. It is unlikely to reproduce
particular conditions on all levels of operation no matter whatever standards are used in the
process. One set of principles are widely used to maintain the similarity of the three different
parameters that are power input per unit volume, geometry and superficial air velocity. The
outcome of the latter is to decrease the relative volumetric air-flow rate as scale increases.
Conclusion
Fermenters are used to produce wide range of biological and high value product. They
provide the prospect to control and monitor the conditions of the fermentation process with
added benefits. Fermenter configuration influences the production rate of the fermentation,
several factors like size of fermenter, vessel shape, agitation, aeration, baffles, etc. plays
important role in the production. There is no single fermenter which can achieve all the
conditions. Different methods are developed to increase the production besides different
controlling probes are developed to improve the productivity. Appropriate calculation
methods has been developed to provide quantitative understanding of heat transfer and mass
transfer. Innovative technologies are established in different types of fermenter to modify the
efficiency rate.
References
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_utilization_in_food_industries
SAFETY MEASURES IN EQUIPMENT DESIGN AND PRESSURE RELIEF
DEVICES
SAFETY MEASURES IN EQUIPMENT DESIGN
Till now we have discussed about number of safety measures for preventing or controlling
hazards. Some of these measures are significant in equipment design problems. Here main
focus is on considering equipment such as pressure vessels (i.e. reactors, heat exchangers
etc.) and the equipment which involves rotary motion (example filters, agitators etc.). During
the design stages of these items of equipment some important safety measures need to be
considered are discussed in the following sections.

About material of construction

The selection of materials certainly involves a compromise between factors such as strength,
corrosion resistance, elasticity, toughness, wear, fatigue resistance and ease of fabrication, as
well as availability and cost. In some cases process conditions vary a good deal, which makes
the choice of material difficult. The choice of the material is largely based on experience and
even small variations in the constituents of the fluid streams make considerable difference to
the material to be used. At the design stage, all reasonable hazards should be identified and
listed, and a limit set for each variable which can lead to such a hazard. For instance, the
consequences of material failure or deterioration should be considered, with limits for wear or
corrosion being established. To ensure safe operation a critical analysis of the process
conditions and material handled must be made.
Precautions in design and construction
It is generally known that preventing the effects of industrial accidents/hazards necessitates,
above all, a high safety standard of potentially dangerous plants. These will vary according to
the type of equipment. A properly designed piece of equipment will have in-built safety and
loss prevention features. To prevent such failures the ideas and experience which are already
available at various points in connection with emergency measures should be incorporated.
These might include, for example, unit reliability and flexibility, ease of operations, provision
for future expansion, inspection and maintenance, emergency shutdown facility,
standardization of equipment for rapid replacement, design to withstand probable pressure
and temperature range, with facility to over pressure/temperature control etc. But at the same
time it is not possible to give the list of precautions for each and individual unit operations,
some are specified below.

Pressure vessels
For design and construction of pressure vessel and storage tanks Indian standards codes
should be followed and vessels should be tested at 1.3 times the design pressure (Mahajani
and Umarji, 2009 ). The design should be made to keep the vessels as simple as possible and
it should not be overloaded with supplementary equipments. Thick weld joints made on the
vessel should be given special attentions. The fatigue strength should be regularly monitored
particularly if the vessel is exposed to pressure cycling, system changes, vibrations or similar
factors which are likely to create fatigue conditions. Important point need to consider is that
flange joints must be leak proof. All pressure vessels should be provided with pressure relief
devices.
Heat transfer equipments
The heat transfer equipment such as evaporator, reactors, furnaces, heat exchangers require
some type of heating which may be directly fired with the help of fuel, electric heating, or
using heat transfer media like steam or heating fluids. While designing such equipment
special precaution should be taken which would not only prevent over heating but protect
from fire and explosions this can be accomplished by different ways.
i. Provide sufficient heating surface so that excessive rate of heat input per unit area
can be avoided
ii. In such equipments the heat absorbed by the tubes must be continuously removed by
circulating the fluids and to prevent excess temperature rise through the liquid film
heat transfer coefficient should be sufficiently high.
iii. Periodic inspection of the equipment is necessary and for that reason sufficient
numbers of inspection opening must be provided, if applicable.
iv. Provision of vent valves at all high spots in the equipment is necessary.
v. An expansion or surge tank may be provided in case of liquid phase systems.
vi. In case of heaters the tubes must be tightly secured to headers and vapour drums.
vii. For high temperature equipments pressure relief devices must be considered in
design.
viii. While designing precaution should be taken to keep allowance for the stresses due to
thermal expansion.
ix. Choice of the insulation should be appropriate and consistent with the material
handled by the equipment.

Equipment involving electrical energy

All the electrical installations are inherent source for ignition. Special design features are
required to prevent the ignition of flammable vapors and dusts from electrical devices. The
fire and explosion hazard is directly proportional to the number and types of electrically
powered devices in a process area. The process areas are divided into two major types of
environment explosion proof and non explosion proof. Explosion proof means flammable
material may be present at certain times, and non explosion proof means that flammable
materials are not present even under abnormal conditions (for example: the areas like open
flames, heated elements and other sources of ignition may be present). The explosion proof
design should include the use of conduit with special sealed connections around all junction
boxes.
The design of electrical equipment and instrumentations is based on the nature of the
process hazards or specific process classifications. It is a function of the nature and degree
of the process hazards within a particular area. For example in petroleum industries we
always have a classification of hazardous areas of electrical work also.
Class 1: Location where flammable gases or vapors are present.
Class 2: In normal operation explosive mixtures is most likely to occur.
 Class 3: Hazard locations where combustible fibers or dusts are present but not likely
to be in suspension.
Equipment involving rotary motion
The rotary equipment involves a mechanical drive system that should be protected by guards.
The bearings used in the system should be well lubricated and cooled, if necessary, to reduce
temperature.
Pressure relief devices
Selection, design and specification of appropriate pressure relieving facilities is the most
important safety device used in the process equipment to prevent the failure of equipment due
to over pressure. The more common causes of over pressure are external fire, closed outlets,
liquid expansion, failure of reflux.
The relief devices fall into six categories.
1. Safety valve - It is an automatic pressure-relieving device actuated by the static pressure
upstream of the valve and characterized by rapid full opening or pop action. It is used for gas
or vapor service. (In the petroleum industry it is used normally for steam or air)
2. Relief Valve - A relief valve is an automatic pressure-relieving device actuated by the
static pressure upstream of the valve, and which opens in proportion to the increase in
pressure over the opening pressure. It is used primarily for liquid service.
3. Safety Relief Valve - A safety relief valve is an automatic pressure relieving device
suitable for use as either a safety valve or relief valve, depending on application. (In the
petroleum industry it is normally used in gas and vapor service or for liquid). These safety
relief valves are classified as conventional or balanced, depending on the effect of back
pressure on their performance.
a. Conventional Safety Relief Valve - A conventional safety relief valve is a closed-
bonnet pressure relief valve that has the bonnet vented to the discharge side of the valve and
is therefore unbalanced. The performance characteristics, i.e., opening pressure, closing
pressure, lift and relieving capacity, are directly affected by changes in the back pressure on
the valve
b. Balanced Bellows Safety Relief Valve - A balanced safety relief valve incorporates
means for minimizing the effect of back pressure variation on the performance
characteristics; opening pressure, closing pressure, lift and relieving capacity. This is usually
achieved by the installation of a bellows
4. Pressure Relief Valve - This is a generic term applying to relief valves, safety valves or
safety relief valves and it is commonly abbreviated to "PR Valve".
 5. Rupture Disc Device - A rupture disc device is actuated by inlet static pressure and is
designed to function by the bursting of a pressure retaining diaphragm or disc. Usually
assembled between mounting flanges, the disc may be of metal, plastic, or metal and plastic.
It is designed to withstand pressure up to a specified level, at which it will fail and release the
pressure from the system being protected

References:
1. Cheremisinoff, N. P., 2000, Pressure Safety Design Practices for Refinery and Chemical
Operations, Noyes Publications, USA.
2. Coulson & Richardson’s Chemical Engineering Series, Chemical Engineering Design, Fourth
Edition, Butterworth-Heinemann An Imprint of Elsevier, Oxoford.
3. Crowl, D.A., Louver, J. F., 1990, Chemical Process Safety Fundamentals with Applications,
Prentice-Hall International, Inc., New Jersey. Sinnott, R. K., 2005,
4. Mahajani, V V., Umarji, S.B., 2009, Process Equipment Design, Fourth Edition, Mcmillan
Publishers India Ltd., India.
5. Perry, R. H., Green, D. W., Maloney, J. O., 1997, Perry’s Chemical Engineers’ Handbook,
Seventh Edition, McGraw-Hill Book Company, USA.
6. Sanders, R. E., 1999, Chemical Process Safety: Learning from Case Histories, Butterworth-
Heinemann, USA.