2 
Fermentation Design 
Allan C, Soderberg 
1.0 INTRODUCTION 
Industrial scale fermentation technology tends to be a “proprietary 
science. ” The industries with submerged liquid fermentation processes as a 
“synthetic” step for producing a commercial product generally have devel- 
oped their own technology and have not shared developments with their 
competitors, academe, or the public. Ifmajor fermentation industries decided 
to openly discuss the criteria of their procedures and processes for their 
fermentation departments, they would not agree on most systems and 
equipment, from culture storage methods to valves, from lab culture propa- 
gation to fermenter design, from scale-up to sterile filters, or from tank 
inoculation methods to continuous sterilizers. The experience ofevery author 
or speaker, though he may have years of practical knowledge, is probably 
regarded as inferior to the experience of the reader or listener. That is, the 
subjective analysis of the data by each company has resulted in different 
solutions to common problems, or each company has a customized plant 
suited to its procedures and products. 
67 
68 Fermentation and Biochemical Engineering Handbook 
2.0 FERMENTATION DEPARTMENT, EQUIPMENT AND 
SPACE REQUIREMENTS 
2.1 The Microbiological Laboratories 
Isolation of organisms for new products normally does not occur in 
laboratories associated with production cultures, however, production (mi- 
crobiological) laboratories frequently do mutation and isolation work to 
produce strains with higher yields, to suppress a by-product, to reduce the 
formation of a surfactant, to change the physical properties of the broth to 
facilitate the product recovery, etc. The experience, imagination and personal 
skill of the individual is fundamental for success. The results of mutation 
work have been of great economic value to the fermentation industry, 
therefore, the methods used remain closely guarded and are almost never 
published. Other on-going studies include new culture preservation tech- 
niques; improved culture storage methods; culture stability testing; new 
propagation procedures; media improvements; search for inducers, repres- 
sors, inhibitors, etc. Here again, the imagination ofthe researcher is essential 
to success because specific research methods are commonly nontraditional. 
The highly developed production cultures must be preserved from 
degradation, contamination and loss of viability. Every conceivable method 
is being used and supported by experimental data-sand, soil, lyophils, spore 
and vegetative suspensions, slants and roux bottles, surface colonies under 
oil, etc. The temperature for culture storage varies from -196°C (liquid 
nitrogen) up to +2"C and above. The containers generally are glass, but vary 
from tubing, to test tubes, flasks (any shape and size), roux bottles, serum 
bottles, etc. A good argument can be made that the only important variable 
is to select the correct medium to grow the organism in or on before it is stored. 
Obviously, carbon, nitrogen, water and minerals are required for growth, but 
sometimes high concentrations of salts, polyols or other chemicals are needed 
to prevent a high loss of viability during storage. Frequently, a natural 
product (oat meal, tomato juice, etc.) is helpful for stability compared to a 
totally synthetic medium. Under the right conditions, procedures based on 
vegetative growth can be more stable than ones based on spores. 
Submerged fermentation procedures are used almost exclusively to- 
day. A few surface fermentation processes (on liquids or solids) are still used. 
Cost comparisons of labor, air compression, infection, etc., can be made, but 
modern batch fed, highly instrumented and computerized submerged methods 
predominate. Submerged methods are also the predominant culture propa- 
gation technique. The general principle is to have the fewest possible 
Fermentation Design 69 
transfers from the primary culture stock to the fermenter. This is based on 
the assumptions that transferring and media sterilization are the main 
infection risks. Generally, a lyophilized or frozen culture is used to inoculate 
a flask of liquid medium which is then shaken until sufficient cell mass has 
been produced. (Some prefer solid media, in which case a sterile solution 
must be added to suspend the culture in order to transfer the culture to the seed 
tank.) The medium in the seed flask frequently contains production raw 
materials rather than microbiological preparations used in research labora- 
tories. (For a general description of various microbiological tasks performed 
in industry, see Peppler and Perlman.[']) 
After the culture is grown, the flask (fitted with a hose and tank 
coupling device) is used to inoculate the seed fermenter. However, some 
transfer the culture from the seed flask to a sterile metal container (in the 
laboratory) which has a special attachment for the seed fermenter. This 
technique is usually abandoned in time. Ingenuity for the minimum transfers 
in the simplest manner will usually give the best results. 
The space requirements and the equipment necessary for designing a 
culture maintenance lab vary so widely, from simple laminar flow hoods to 
air locked sterile rooms, that only each company can specify the details. The 
number of rooms and work areas depend upon the number of types of cultures 
maintained, as well as the variety of techniques for mutation, isolation and 
testing. Therefore, lab space and equipment might include: 
1. Glassware and Equipment Washing Area. Washing and 
drying equipment, benches, carts. 
2. Media Preparation Area@). Space must be provided for 
large raw material lots, not only for growth in flasks, but 
testing of cultures in very small glass fermenters, large 
statistically designed shake flask experiments, serial growth 
experiments in Petri dishes for stability experiments and 
others. Equipment will be required to hydrolyze starch 
and proteins, to process molasses, in addition to kettles, 
homogenizers, centrifuges, sterilizers and large benches. 
3. Inoculation Rooms. Frequently, separate rooms are used 
for work with bacteria, actinomycetes, molds, and steril- 
ity testing. High intensity UV lighting is commonly used 
when the rooms are unoccupied. These rooms generally 
have only work benches (or hoods) for easy cleaning. 
70 Fermentation and Biochemical Engineering Handbook 
4. Incubator Areas. Space is required for incubators (vari- 
ous temperatures), some of which could be the walk-in 
type, and/or floor cabinet models. Shaker cabinets at 
various temperatures are also needed. 
5. Ofice. Record keeping and administration will require 
one or more offices, depending upon the size of the staff. 
6. Laboratories. Depending upon the size of the facility, 
separate laboratories could be required for culture muta- 
tion, culture isolation, and testing in bench top fermenters. 
Space must be provided for microscopes, special analyti- 
cal equipment for DNA, ATP, Coulter counters, water 
baths, pH and DO instruments, laminar flow hoods, 
balances, lyophilization equipment, etc. 
7. Other. Space must be provided for refrigerators and 
freezers, which are the repositories of the production 
culture collection. Normally, toilets, showers and a coffee 
break room are provided since the total work areas are 
“restricted” to laboratory employees only. 
The square feet of floor space per technician required for these 
laboratories will be four to eight times that required for the analytical 
laboratories of the fermentation department. The reason for this is cleanli- 
ness, and the rooms have specific purposes for which they may not be used 
every day. The work force moves from room to room depending upon the task 
scheduled. Also, the total work area depends upon the variety of microbio- 
logical tasks performed. A large plant may even have a pilot plant. 
2.2 Analytical Support Laboratories 
The functions of these laboratories usually are sterility testing of 
production samples, and chemical assays of: raw materials for approval to 
use in the processes, blends or batches of raw materials before sterilization, 
scheduled samples ofproduction batches, fermenter feeds, waste streams and 
miscellaneous sources. In many instances the analytical work for the culture 
laboratories will also be performed. 
Typical laboratories have Technicon Auto-analyzers for each of the 
common repetitive assays (the product of the fermentations, carbohydrates, 
phosphate, various ions, specific enzymes, etc.). Other equipment generally 
includes balances, gas chromatographs, high pressure liquid chromato- 
Fermentation Design 71 
graphs, Kjeldahl equipment, titrimeters, Wkisible spectrophotometers, an 
atomic absorption spectrophotometer, pH meters, viscosimeter, refiactome- 
ter, densitometer, etc. The cell mass is usually followed for its intrinsic value 
as well as to calculate specific uptake rates or production rates in the 
fermenter. Therefore, centrifuges and various types of ovens are required for 
drying in addition to ashing. 
Fermenter sterility testing requires a room with a laminar flow hood to 
prepare plates, tubes and shake flasks. Space needs to be provided for 
incubators and microscopes. Since it is very important to identify when 
infection occurs in large scale production, microscopic examination of shake 
flasks is usually preferred because a large sample can be used, and it gives 
the fastest response. Similarly, stereo microscopes are used for reading spiral 
streaks on agar plates before the naked eye can see colonies. 
Chemical and glassware storage, dish washing, sample refrigerators, 
glassware dryers, autoclaves for the preparation of sterile sample bottles for 
the plant, computer(s) for assay calculations, water baths, fume hoods, etc., 
are additional basic equipment items needed. Typical overall space require- 
ments are 450 ft2 of floor space per working chemical technician. 
2.3 Production: Raw Material Storage 
Raw material warehousing most often is a separate building from 
manufacturing. Its location should be on a rail siding (for large plants) and 
have easy access by twenty-ton trailers. The dimensions of the building 
should make it easy to stack a palletized forty-ton rail car’s contents-two 
pallets wide and three or four pallets high, from the main aisle to the wall. In 
this manner, raw material lots can be easily identified and used when 
approved. 
Large volume dry raw materials should be purchased in bulk (trucks 
or rail cars) and stored in silos. Pneumatic conveying from the silos to the 
mixing tanks can be controlled from the panel in the instrument control room 
after selecting the weight and positioning diverter valves. Wherever possible, 
liquid raw materials should be purchased in bulk and pumped. For safety and 
environmental reasons, drummed, liquid raw materials should be avoided, if 
possible, The silos and bulk liquid tanks can usually be placed close to the 
batching area, whereas the warehouse can be some distance away. Since 
large volume materials are pneumatically conveyed or pumped, the floor 
space of the batching area for storing miscellaneous materials can be 
relatively small. 
72 Fermentation and Biochemical Engineering Hun dbook 
The equipment needed in warehousing are fork lift trucks, floor- 
washing machines, etc. Special materials must be on hand to clean up spills 
quickly, according to federal regulations. Good housekeeping and pest 
control are essential. 
2.4 Media Preparation or Batching Area 
For good housekeeping, all equipment should be on or above the floor 
and no pits should be used. On the other hand, grated trenches make it easy 
to clean the floors, and minimize the number of floor drains. 
The number, shape and volume of batching tanks that different 
companies use show personal preference and are not very important. Usually 
two or three different sized tanks are used; smaller batching tanks are for 
inoculumtanks and the largertanks for feed and fermenter media preparation. 
The type of agitation varies widely. Batching tanks, 10,000 gallons and 
smaller, could be specified as 304 stainless steel, dished or flat bottom and 
heads, WD ratio about 0.7 to keep a working platform low, a slow speed (60 
to 90 rpm) top-entering agitator with airfoil type impellers, horsepower 
approximately 1.25 per 1000 gallons. The tanks need to be equipped with 
submerged (bottom) nozzles which are supplied with both steam and air. Hot 
and cold water are usually piped to the top. The hatch, with a removable grate 
of %" S/S rod on 6" x 6" centers, should be as large as a 100 lb. bag of raw 
materials. A temperature recorder is the minimum instrumentation. The 
cyclone, with a rotary air lock valve to permit material additions from the bulk 
storage silos, is normally located above the tank(s). For tanks larger than 
10,000 gallons, the bottom head should be dished, the WD ratio made 1 to 2, 
and airfoil type agitators used. 
The size and number of batching tanks depend upon whether the plant 
uses continuous sterilizers or batch sterilization. The difference is that in the 
latter case, the tanks can be large (50 to 80% of the size ofthe fermenter), and 
usually all the materials are mixed together. For continuous sterilizers, there 
is usually a minimum of four smaller tanks so that proteins, carbohydrates 
and salts can be batched and sterilized separately. In this case, the tanks are 
considerably smaller than the fermenter. 
The media preparation area is also where hydrolysates of proteins, and 
starches, as well as special processing of steep liquor, molasses and other 
crude materials takes place. Very strict accuracy of weights, volumes, pH 
adjustments and processing instructions are the first step to reproducible 
fermentation results. A well-run batching area depends upon purchasing a 
uniform quality of raw materials, adequate equipment, detailed batching 
Fermentation Design 73 
instructions and well trained, reliable personnel. Record keeping of batch 
quantities, lot numbers, pH, temperatures, etc. are necessary for quality and 
good manufacturing practices. 
2.5 The Seed Fermenter Layout 
Some companies prefer to locate all the seed fermenters in one area so 
that a group of workmen become specialists in batch sterilizing, inoculating, 
and coddling the first (plant) inoculum stage to maturity. Other companies 
locate the seed fermenters adjacent to the fermenters. Small plants cannot 
afford to isolate equipment and have a specialized work force, however, large 
plants do isolate groups of similar equipment, and specialize the work force, 
which often results in higher productivity. 
The operation of fermenters is basically the same regardless of size, but 
seed fermenters usually do not have sterile anti-foam and nutrient feeds piped 
to the tanks as the main fermenters have. Therefore, foaming in the seed 
fermenters can lead to infection, which is one of the reasons they need more 
attention. Careful inoculation procedures, sampling and sterilizing the 
transfer lines from the seed fermenter require alert personnel. Careful 
attention to these details is more important than the proximity ofthe seed and 
main fermenters. 
The number of inoculum stages or scale-up is traditional. The rule of 
a tenfold volume increase per stage is followed by some companies, but is not 
critical. The multiplication rate ofan organism is constant after the lag phase 
so the amount of cell mass developed to inoculate the next stage, minus the 
starting amount, is a matter of time, providing, of course, there is sufficient 
substrate and environmental conditions are reasonable. Mer all, the theory 
is that one foreign organism or spore, if not killed during sterilization, will, 
in time, contaminate the fermenter. Larger cell masses of inoculum can 
shorten the growth phase of the next larger stage. Using this concept, some 
companies make the inoculum volume larger than a tenth of the fermenter 
volume so that the number of transfers from laboratory flask to the final 
fermenter is minimum. This also assumes there is a higher risk of infection 
during transfers as well as a certain viability loss. A higher inoculum cell 
mass may reduce the lag time in the fermenter. This, combined with using 
continuous sterilization for a short “turn around” time of the fermenter, can 
increase productivity for little or no cost. 
74 Fermentation and Biochemical Engineering Handbook 
2.6 The Main Fermenter Layout 
For simplicity of piping, especially the utility piping, the fermenters are 
usually placed in a straight line, sometimes two or more parallel lines. In this 
manner the plant is easily expanded, and other tank layouts do not seem as 
convincing. It is desirable to have the working platform extend completely 
around the circumference of the top dish, and to have enough room between 
tanks for maintenance carts (1 to 1.5 meters). Good lighting and ventilation 
on the working platform should not be overlooked. Using water from hoses 
for cleaning is common so care must be taken to have nonskid floors with 
adequate drains, especially at the top of stairs. Open floor grating is not 
desirable. All structural steel should be well primed to prevent corrosion from 
the very humid atmosphere. Electronic instrumentation and computers must 
be placed in control rooms which run at constant (HVAC) temperature. Most 
fermenter buildings are between 40 and 100 feet high, making it possible to 
have one or more floors between the ground floor and the main fermenter 
working platform. The intermediate floors can be used for the utility and 
process piping, sterile air filters, the sterile anti-foam system, instrumentation 
sensors (temperature, pH, DO, etc.), heat exchangers, motor control center, 
laboratories and offices. Buildings 40 feet or more high frequently have 
elevators installed. 
Fermenters can be located outdoors inmost countries ofthe world. The 
working platforms usually are enclosed and heated in temperate zones, and 
only shaded in more tropical zones. In more populated areas, open fermenter 
buildings make too much noise for local residents. The environmental 
awareness, or the tolerance of the public, could preclude open fermenter 
buildings in the future. Odor is also offensive to the public. The environmen- 
tal authorities are demanding that equipment be installed to eliminate the 
offensive odor ofthe off-gases. (Noise levels inside a fermenter building will 
be greater than 90 dBA if no preventive measures are taken.) 
Harvest tanks can be justified as the responsibility of the fermentation 
or recovery department. They are economical (carbon or stainless steel) with 
a shape described by (H/D z 1) and should be insulated and equipped with 
cooling coils and agitator(s). 
2.7 Nutrient Feed Tanks 
Essential equipment to a productive fermentation department are 
sterilizable tanks for nutrient feeds. Multiproduct plants usually require 
several different sizes of feed tanks: (i) a small volume to be transferred once 
Fermentation Design 75 
every 12 or 24 hours such as a nitrogen source; (ii) a large volume 
carbohydrate solution fed continuously, perhaps varying with the fermenter 
volume; (iii) aprecursor feed, fed in small amounts relative to assay data; (iv) 
anti-foam (Some companies prefer a separate anti-foam feed system for each 
fermenter. A continuously sterilizing system for anti-foam is discussed below 
which is capable of servicing all the fermenters.); (v) other tanks for acids, 
bases, salts, etc. Many companies prefer to batch sterilize a known quantity 
and transfer the entire contents quickly. Sometimes, the feeds require 
programming the addition rate to achieve high productivity. In this latter 
case, large volume tanks are used and the contents are presterilized (batch or 
continuous) or the feed is continuously sterilized between the feed tank and 
the fermenter. Usually feed tanks are not designed as fermenters, even though 
they are sterilizable, and there is no need for high volume air flow, but only 
sufficient air pressure for the transfer. For solvable nutrients the agitator and 
anti-foam system are not required. Since the air requirements are needed only 
to transfer the feed, the air piping design is different and the sterile air filter 
is proportionately smaller. Instrumentation is usually limited to temperature, 
pressure and volume. The Hn> ratio ofthe vessel can be near one for economy 
and need not be designed for the aeratiodagitation requirements of a 
fermenter. 
2.8 Sterile Filters 
Sterile air filtration is simple today with the commercial units readily 
available. However, some companies still design their own (see Aiba, 
Humphrey and Millisr2]) to use a variety of filter media such as carbon, 
cotton, glass staple, etc. (For recent papers about industrial applications of 
cartridge filters, see Bruno[3] and Perkowski.r4]) 
The essential method to obtain sterile air, whether packed-bed or 
cartridge filters are used, is to reduce the humidity ofthe air after compression 
so that the filter material always remains dry. The unsterilized compressed 
air must never reach 100% relative humidity. Largerplants install instrumen- 
tation with alarms set at about 85% relative humidity. Carehl selection of 
the cartridge design or the design of packed-bed filters will result in units that 
can operate in excess of three years without replacement of filter media. If 
a fiber material is used in a packed-bed type filter, the finer the fiber diameter 
the shallower the bed depth needs to be for efficient filtration. Other filter 
media are less common and tend to have special problems and/or shorter life. 
The bed depth of filters is only 10 to 18 inches for fibers of less than 10 
microns. These filters run “clean” for 2 weeks or longer before being 
resterilized. 
76 Fermentation and Biochemical Engineering Handbook
Some plants have a separate filter for each sterile vessel. Others place
filters in a central group which feeds all the vessels. In this case, one filter,
for example, might be taken out of service each day, sterilized and put back
into service. If there were ten filters in the group, each one would be sterilized
every tenth day. This system has the advantage that the filter can be blown
dry after sterilization with sterile air before it is put into service again.
Figure 1. Domnick-Hunter sterile air filter.
2.9 Air Compressors
It is ideal to have oil-free compressed air. Centrifugal machines
generally are available up to 40,000 cfm. "Oil free" screw air compressors
are available in smaller sizes. Regarding oil-free screw type compressors, it
Fermentation Design 77 
is necessary to read the fine print of the manufacturer. For example, one 
manufacturer uses no lubricant on the screws and another claims to be oil free, 
but does use a non-hydrocarbon liquid lubricant. Carbon ring reciprocating 
compressors are available and used, but maintenance is annoying. 
For small plants, non-lubricated screw compressors with two-speed 
motors and constant pressure control will provide versatility. For large 
plants, centrifugal air compressors, driven by non-condensing steam tur- 
bines with 50 psig steam extraction for process requirements, are suitable. 
In all cases, extra considerations include locating the intake 20 feet or more 
above the ground level and installing filters on the intake to the compressors 
to prevent dirt accumulation on the sterile filters. Occasionally, the noise 
levels measured at the suction inlet exceed OSHA regulations and bother the 
neighbors of the plant. The air from the compressors requires heat 
exchangers to lower the air temperature below the dew point, plus additional 
heat exchangers to reheat and control the air to have the relative humidity at 
about 85%. 
2.10 Valves (To Maintain Sterility) 
Most companies have tried gate, diaphragm, ball, and plug valves, to 
name a few. Some have designed and patented special valves for the bottom 
or sample positions. Some companies will disassemble all fermenter valves 
after an infected run. No companies use threaded nipples or valves on a 
fermenter because the threads are a site of potential infection. In general, 
valves are less of a sterility problem when a continuous sterilizer is used for 
the substrate than fermenters which batch sterilize the substrate. This is 
because, in the former case, the vessel is sterilized empty, and all valves are 
opened and sterilized in an outward direction so that a steam plume can be 
seen. The temperature ofthe valves during sterilization can be checked with 
a TempilstikTM. Batch sterilizing requires all valves below the liquid level 
to be sterilized with steam passing through the valve into the substrate. This 
depends upon steam pressure and how much the valve is opened (which might 
affect the PIT conditions of sterilization). This is much more subject to 
human error and infection. Most plants drill and tap the body of the valve 
near the valve seat in order to drain the condensate away from all sections of 
pipe where a steam seal is required for sterility. In general, diaphragm and 
ball valves require considerable maintenance, but tend to be popular in batch 
sterilizing operations, while plug type valves are more typical on fermenters 
where continuous sterilizers are used. Plug or diaphragm valves are 
commonly used for inoculum transfer and sterile feed piping. All the process 
78 Fermentation and Biochemical Engineering Handbook 
valves and piping today are 3 16 S/S. Utility piping remains carbon steel up to 
the first S/S valve on the fermenter. Valves used in non-process piping are 
selected for the best type of service and/or control. Butterfly valves have been 
used in applications where perfect closure is not essential, such as a vent valve. 
In summary, the valves which maintain a sterile environment on one 
side and a non-sterile environment on the other side are the essential valves. 
They must be devoid of pockets, easily sterilized, maintained, and occasion- 
ally replaced. 
2.11 Pumps 
Apart from continuous sterilizers, pumps are a minor concern in the 
fermentation department. A simple way to transfer inoculum from a large 
laboratory flask to a seed fermenter, without removing the back pressure on 
the vessel, is to use a peristaltic pump. Connect the sterile adapter (which is 
attached to the flask) to the seed fermenter by sterile technique. Install the 
gum rubber tubing in the pump, open the hose clamp and start the pump. 
Inoculum from seed fermenters and sterile feeds are transferred to the 
fermenter by air pressure. Centrikgal pumps (3 16 S/S) are used to pump 
non-sterile raw materials, slurries, harvested broth, etc. The centrifugal 
pumps and piping should be cleaned immediately after a transfer has been 
completed. Occasionally a specialty pump may be required. 
2.12 Cooling Equipment 
Cooling is required to cool media from sterilizing temperatures, to 
remove the exothermic heat of fermentation, to cool broth before harvesting, 
and to cool the compressed air. Some portion ofthe heat can be reclaimed to 
produce hot water for the preparation of new substrate, and for general 
cleaning of equipment, platforms and floors, however, the excess heat must 
be disposed to the environment. Cooling water is provided from cooling 
towers, but chilled water (5O-15OC) is produced by steam vacuum, or 
refrigeration units. 
In any case, the fermentation department should always be concerned 
about its cooling water supply, i.e., the temperature and chloride content. 
Chloride ions above 150 ppm when stainless steel is above 8OoC (while 
sterilizing) will cause stress corrosion cracking of stainless steel. A conduc- 
tivity probe should be in the cooling water line. When the dissolved solids 
(salts) get too high, it may indicate a process leak, or that the salt level is too 
high and some water must be discharged and fresh water added. If cooling 
water is discharged to a stream, river, etc., an NPDES permit may be needed 
Fermentation Design 79 
and special monitoring required. The chloride content should be determined 
analytically every two weeks to control the chloride to less than 100 ppm. 
This is done by draining water fromthe cooling tower and adding fresh water. 
2.13 Environmental Control 
Stack odors have to be avoided. Certain raw materials smell when 
sterilized. Each fermentation process tends to have its own unique odor 
ranging from mild to strong and from almost pleasant to absolutely foul. Due 
to the high volume of air discharged from a large fermenter house, odor is 
neither easy nor cheap to eliminate. Carbon adsorption is impractical. 
Normally, more air is exhausted than required for steam production from the 
boilers which eliminates that route of disposal. Wet scrubbing towers with 
sodium hypochlorite are expensive ($lSO/yr. cfm), and discharge Na' and 
C1, to the waste system which may preclude this method. Ozone treatment 
can be effective. A very tall exhaust stack for dilution of the off gas with the 
atmosphere before the odor reaches the ground is possible in some cases, but 
is not considered an acceptable solution by U. S. Authorities. 
The fermentation department should monitor and control the COD/ 
BOD of its liquid waste to the sewer. Procedures for cleaning up spills and 
reporting should be Standard Operating Procedure. A primary aeration basin 
will reduce the COD to 80-90 ppm. Secondary aeration lagoons will reduce 
the BOD to acceptible levels which have no odor. 
Noise levels are very difficult to reduce to Federal standards. Hearing 
protection for employees is essential. The move towards greater automation 
has resulted in operators having less exposure to noisy work areas. 
3.0 GENERAL DESIGN DATA 
Most companies produce more than one product by fermentation 
simultaneously. It is not necessary to have separate fermenter buildings to 
isolate products. Well-designed fermenters which are operated properly, not 
only keep infection out, but prevent cross contamination of products. Over 
the years, most fermentation plants have been enlarged by the addition ofnew 
fermenters despite major yield improvements. Therefore, as plants grow, the 
engineer must always keep in mind there will be a need for further expansions. 
The layout of labs, fermenter buildings, the media preparation area and 
warehousing must be able to be expanded. Utilities and utility piping must 
also be installed with spare capacity to handle average and peak loads as well 
as future growth. 
80 Fermentation and Biochemical Engineering Handbook 
Some guidelines for piping design are: 
1. 50 to 150 psig steam 0.5 psi loss/lOO ft 
2. 100 psig instrument air 0.5 psi loss/lOO ft 
3. 50 psig fermenter air, (from 
compressors to sterile filters) 2.0 psi loss; total Ap 
4. Water in schedule 40 steel pipes 6-10 Wsec 
5. Gravity flow sewers 2.5 Wsec 
The consumption of utilities in a fermentation department depends 
upon the fermenter cycles since most ofthe steam and water are used to clean, 
prepare, sterilize and cool each batch. The data presented below are based 
on a one-week (1 68 hours) cycle including turnaround time and 1000 gallons 
of fermenter installed capacity (abbreviated: 1000 1.c.Wk). 
Steam 
1. 
2. 
45 psig steam for media sterilization 
45 psig steam for equipment and piping-cleaning 
and sterilizing 
Total steam 
Water (in) 
1. 
2. Media makeup 
3. Equipment cleaning 
4. Cooling tower water (makeup) 
Steam in (I), (2), above 
Total water 
1350 lb 
3150 lb 
4500 lb 
540 gal 
570 gal 
2880 gal 
550 gal 
4540 gal 
The fermentation department can consume up to 2/3 of the total plant 
electrical requirements (depending upon the recovery process), which in- 
cludes mechanical agitation (usually 15 hp/1000 gal) and electrically driven 
air compressors. 
There is no relationship between the cubic feet of compressed air for 
large fermenters and their installed capacity. The compressed air required for 
fermenters is calculated by linear velocity through the fermenter and the 
square feet of cross-sectional area of a vessel, not its volume. Therefore, if 
volume is constant, short squat vessels require more compressed air than tall 
slender vessels. More on this is discussed under fermenter design. 
Fermentation Design 81 
4.0 CONTINUOUS STERILIZERS 
4.1 A Justification for Continuous Sterilization 
The design of any fermentation plant begins with the annual capacity 
of product for sale, the yield of product isolation, and the productivity of the 
fermenters. The size of the fermenters should be the largest size possible 
consistent with the product degradation rate during isolation, the economy of 
isolation equipment, manpower and operating costs. Unfortunately, many 
companies have not built fermenters over awide range of sizes, but have built 
new fermenters “just like the last one.” One factor contributing to the 
reluctance to scale up is that small fermenters are batch sterilized, and there 
is a hesitancy to build and operate continuous sterilizers at the same time 
fermenters are scaled-up. Large fermenters and continuous sterilizers are 
economically sound. There are the same number of valves and operations on 
a small fermenter as on a large one, therefore, labor savings per kilo ofproduct 
are made by making larger fermenters. A continuous sterilizer is economi- 
cally advantageous at almost any industrial scale with five or six fermenters. 
A fermenter can be 
productive only when fermenting. Emptying, cleaning, filling, batch steril- 
izing and cooling are nonproductive time. A continuous sterilizer will shorten 
the turnaround time leaving more time for production. The increased number 
of harvests per year for a fermenter is related to the fermentation cycle; e.g., 
using a 30,000 gallon fermenter and a 150 gpm continuous sterilizer, the 
increased capacity annually is illustrated in Table 1. 
Reduced Fermenter Turn-Around Time. 
Table 1. Increased Harvests Per Year due to a Continuous Sterilizer 
Fermentation Time (hr) Percent increased annual harvest volume 
200 
150 
100 
50 
5 
6 
9 
20 
82 Fermentation and Biochemical Engineering Handbook 
More Effective Sterilization. The internal parts of a fermenter are 
sterilized easier with no liquid inside. A lower percentage of media 
contamination can be achieved with a continuous sterilizer than by batch 
sterilization. 
Higher Fermentation Yields. With a continuous sterilizer, proteins 
can be sterilized separately from carbohydrates and salts. The residence time 
at high temperature is short. There is less interaction and degradation of raw 
materials, resulting in higher fermentation yields. 
Reduced Agitator Cost. It is not necessary to buy atwo-speed motor 
where the slow speed (low horsepower) is used for mixing during batch 
sterilization and high speed only during aeration. 
4.2 Support Equipment for a Sterilizer 
All continuous sterilizers have a heating section, a retention section, 
and a cooling section. However, before the design of the sterilizer is 
discussed, a brief review of batching equipment in support of the sterilizer is 
necessary. 
Figure 2 is a flow diagram of batching equipment. Tanks 1,2, and 3 
illustrate that the proteins, carbohydrates and salts can be prepared and 
pumped separately to prevent interaction during sterilization. Notice that 
Tank 5 is for storage of hot water from the cooling section ofthe sterilizer and 
is used for media preparation, especially assisting in dissolving salts, sugars, 
etc. Omitted from Fig. 2 are the bulk storage and pneumatic conveying 
equipment of large volume dry materials, the bulk liquid storage system, 
starch hydrolysis systems for dextrin and glucose, and other systems for 
economy and high volume handling. 
After the raw materials are dissolved, suspended, and treated, they 
should be passed through a vibrating screen. The success of sterilization 
depends upon moist heat penetrating to the center of the suspended solids. 
This reaction is a function of time and temperature, and the time-temperature 
design basis ofthe sterilizer must be capable ofthe task. Therefore, to prevent 
long sterilization times, a screen size with openings of about 4 mm2 is 
reasonable. Also, the non-dissolving raw materials must be a fine grind when 
purchased so that good dispersion in the batching tanks will be achieved. 
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Tank 4 is a surge tank for the operation of the sterilizer. Pump 1 (or 
2) from the batching tanks must fill Tank 4 faster than Pump 3 (or 4) feeds 
the sterilizer. Figure 3 illustrates the piping and instrumentation of the surge 
tank. It is filled from the batching tanks sequentially so that there is a 
minimum mixing of the segregated raw materials before sterilizing. 
The hot water from Tank 5 also supplies Tank 4 and Pump 3 (or 4). 
This is necessary to start and finish a batch through the sterilizer. For 
example, to start, the sterilizer is first steam sterilized (no liquid). At the end 
of this cycle, hot water from Tank 5 is started through the sterilizer to set or 
balance the instrumentation. When this is achieved, media is fed to Pump 3 
(or 4) by remote operating valves. Similarly, after all the media has been 
pumped, it is necessary to pump water through the sterilizer until the 
fermenter volume is correct. If another fermenter is to be filled immediately, 
the sterile water is diverted to the awaiting empty (and sterile) fermenter, and 
then the new media for the second fermenter is pumped into the sterilizer. 
The control room for the operation of a continuous sterilizer should be 
close to Tank 4, Pumps 3 and 4, the main steam valves and the valves of the 
sterilizer itself. This location is essential to sterilize the empty sterilizer and 
control the pumping of water and/or media. 
Figure 4 is a block flow diagram of a sterilizer that is suitable for 
fermenter volumes of 20,000 to 60,000 gallons capacity. It is based on 
pumping 150 gpm of non-sterile media to the steam injector. Energy savings 
could be about 45% if the hot water storage capacity (Tank 5) were equal in 
volume to a fermenter. Additional energy savings can be made by using the 
excess hot water for other purposes in the plant, e.g., in crystallizers, vacuum 
evaporators, space heaters, cleaning, etc. 
Notice that the pressure in the sterilizer during operation is greater than 
the pressure of the cooling water. If any leak should occur in the inner pipe, 
media will pass into the non-sterile cooling water. In addition, the pressure 
maintained in the sterilizer is greater than the equilibrium boiling point in the 
heating section. This reduces the noise and hammering. Proper selection of 
the steam control valve will reduce noise also. However, there remains 
considerable noise at the steam injector, and it is good to locate it (and all the 
sterilizer) outdoors. The injector can be enclosed in an insulated “box” to 
reduce noise levels still further. One final remark: if the steam supply is 
directly from a boiler, non-volatile additives must be used. Biotech compa- 
nies have chosen to use clean steam generators. 
Figures 5 and 6 show more details of the piping and instrumentation of 
the sterilizer. 
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4.3 The Sterilizing Section 
The hot section (Fig. 5) is controlled by a cascade loop which is based 
on a selected pumping rate (1 50 gpm) and sterilization temperature set in the 
TIC. Changes in the feed temperature are monitored at TT1 which will 
automatically override the steam supply to keep the temperature at set point. 
Steam flow rate is monitored (by FE) and flow is automatically compensated 
should a large draw down of steam occur elsewhere in the plant. Temperature 
is recorded at the beginning and end of the hot section. The hot section should 
be well insulated and special care should be given to the pipe supports for 
expansion. (Instrumentation symbols used here and in Figs. 3, 5, 6 and 7, 
conform to the standard symbols of the Instrument Society of America.) 
The pumping rate, the pipe diameter and the length of the hot section 
of the sterilizer, fix an average retention time. The design basis of the 
retention time depends upon the bacterial spore count, the maximum particle 
size of the suspended solids, and the fluid velocity. For economy, the 
minimum velocity which gives turbulent flow should be used, Le., a Reynold’s 
number of about 3000 to keep the pipe short and the pressure drop low. The 
installation of (carefully selected) short static mixers can help in some cases 
to increase turbulence, reduce the velocity and the length of the hot section. 
Due to the source of raw materials normally used in fermentation media, 
bacterial counts can run very high, and some suspended solids can be almost 
hydrophobic. Based on the particle size which will pass through the screen 
stated above, three minutes retention time is borderline for sterilization. Five 
to six minutes retention time is often designed because, in time, inorganic 
scale will deposit on the wall ofthe hot section resulting in a smaller diameter 
and a higher fluid velocity or a shorter retention time. The hot section is easily 
cleaned once a year to remove the scale. 
4.4 The Cooling Section 
Most commercial fermentation processes use media with a high 
concentration of dissolved and suspended solids. Unless a uniform flow 
profile is maintained, solids may build up in the cooling section. The 
following are examples of types of heat exchangers to be considered for 
continuous sterilizers of fermentation media. 
90 Fermentation and Biochemical Engineering Handbook 
Concentric Double Pipe Heat Exchangers. This type of heat 
exchanger offers the most advantages for a continuous sterilizer with a range 
of flow rates suitable to the vast majority of commercial fermenters. 
(Wiseman states production fermenters are 25- 1000 m3.[51) 
- 
It is not limited by the flow ratio of the media and the 
cooling water 
- It has the least crevices for corrosion. 
- It requires the least cleaning and is cleaned relatively 
easily 
- Scale in the cooling section is relatively minor. 
- The velocity profile and pressure drop do not result in heat 
transfer difficulties 
- It is easy to operate and instrument 
The cooling section, Fig. 6, is of double pipe construction. Cooling 
water and sterile media pass countercurrently. The back pressure control 
valve (for sterilization) is located at the low point ofthe piping. A Masoneilon 
CamflexTM valve is a suitable design for this service. A steam bleed should 
be located on each side of this valve in order to sterilize the sterilizer forward 
from the steam injector and backward from the fermenter. 
Notice also, there is no liquid metering device on the sterilizer. From 
a maintenance standpoint, it is much preferred to have dP cells on the 
fermenters for filling and controlling the volume than to measure the volume 
pumped through the sterilizer. The piping arrangement from the continuous 
sterilizer to the fermenters will depend somewhat upon the experience of the 
company as to the number, types, and locations of valves and steam bleeds. 
However, in general, the piping arrangements of fermenters filled by means 
of continuous sterilizers are more simplified than batch sterilized systems 
because all steam bleeding through valves is done in an outward direction. 
Other types of heat exchangers include those listed below. 
Plate Heat Exchangers. The advantages are: 
- Plate heat exchangers have a high film coefficient for heat 
transfer of certain classes of fluids 
- The pressure drop across a unit for clear solutions is 
moderate 
Fermentation Design 91 
The disadvantages are: 
- The velocity profile across each plate is not uniform by a 
factor of five due to the plate corrugations. The friction 
factors range from 10 to 400 times those in a single pipe 
with the same port flow rate and with the same surface 
area. The non-uniformity of flow rates causes suspended 
solids to accumulate between the plates creating problems 
of cleaning and sterilizing 
- There is a pressure drop through the pressure ports 
causing an unequal distribution of flow through the plate 
stack. Solids then begin to accumulate in the plates with 
the lowest pressure drop until plugging results. Gaskets 
often leak or rupture 
Plate heat exchangers have the most feet of gasket mate- 
rial for any commercial heat exchanger. The crevices at 
the gasket have a high incidence of chloride corrosion. 
Although cooling water may have less than 50 ppm 
chloride, scale buildup in the gasket crevice usually is 
several times the concentration in the cooling water. 
Should the fermentation media contain chlorides as well, 
stress corrosion will occur from both sides simulta- 
neously. Corrosion due to chlorides is serious when the 
concentration is above 150 ppm and 80°C. The first 
evidence of stress corrosion results in non-sterile media, 
rather than a visible leak or a major leak of water between 
the two fluids 
- Operationally, the plate heat exchanger is more difficult to 
sterilize and put into operation without losing the back 
pressure and temperature in the heating section than the 
concentric pipe exchanger 
- The optimum ratio of flow rates for the two fluids is 0.7 
to 1.3. This constraint limits the range of media pumping 
rate 
Spiral Heat Exchangers. Spiral heat exchangers have similar prob- 
lems to the plate type when the gap is small. The velocity profile is better than 
the plate type. These types of exchangers can be used for media with low 
92 Fermentation and Biochemical Engineering Handbook 
suspended solid concentrations and become more the exchanger of choice for 
continuous sterilizers with high volumetric throughput because the gap 
becomes larger. 
The amount of gasketing material is less than for the plate type 
resulting in fewer problems. 
Shell and Tube Heat Exchangers. The shell and tube exchanger is the 
least practical choice for cooling fermentation media with high suspended 
solids. It is very difficult to maintain sterility and cleanliness. It is the easiest 
to plug and foul. 
There is an excellent application for a shell and tube heat exchanger, 
the continuous sterilization of anti-foam. In this case, the exchanger is not the 
cooler, but the heater. If the anti-foam liquid has no suspended solids or 
material which will foul the heating surface, only one exchanger is needed per 
fermentation building or plant. However, if a crude vegetable oil containing 
non-triglycerides is the anti-foam agent, then fouling will occur. Figure 7 
shows one of the several possible systems for the continuous sterilization of 
crude vegetable oil. In this case, steam is supplied to the tubes. The main 
features of the system are two heat exchangers, each having the capacity in 
their shells to hold oil long enough to sterilize even though the supply pump 
should run continuously. One heat exchanger is in service while the spare, 
after being cleaned, is waiting to be put to service when the first can no longer 
maintain set-point temperature. 
With such an anti-foam sterilizer as Fig. 7, a fermentation facility can 
install a sterile, recirculating, anti-foam system. Commercial anti-foam 
probes are available and reliable. Frequently, a variable timer is placed in the 
circuit between the probe and a solenoid valve which permits anti-foam 
additions to the fermenter. In this manner, anti-foam can be programmed or 
fed by demand with the ability to change the volume ofthe addition. It is also 
possible to place a meter in the sterile anti-foam line of each fermenter in order 
to control and/or measure the volume added per run. 
Small continuous sterilizers are used in fermentation pilot plants as 
well as for nutrient feeds to a single vessel or group of fermenters. 
There are many references in the literature about the theory, design and 
application of continuous sterilization. For reference, see the following 
sources and their bibliographies: Peppler, H. J.;r61 Aiba, Humphrey, and 
Millis;[*] Lin, S. H.;[71[81 Ashley, M. H. J., and Mooyman, J.;r9] Wang, D. I. 
C., et al.['O] 
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