Fouling of Heat Exchangers by Dairy Fluids - A Review: B. Bansal
Fouling of Heat Exchangers by Dairy Fluids - A Review: B. Bansal
Challenges and Opportunities, Editors Hans Mller-Steinhagen, M. Reza Malayeri, and A. Paul Watkinson, Engineering Conferences
International, Kloster Irsee, Germany, June 5 - 10, 2005
         *
             Current address: Fonterra Co-operative Group Ltd, Private Bag 11029, Palmerston North, New Zealand
             Email: bipan.bansal@fonterra.com
      of protein molecules like casein, -lactalbumin (-La) and      down to 4 s and found that the first layer was made of
      form aggregates. The rate of fouling may be different for       proteinaceous material.
      the denatured and aggregated proteins. Being larger in size,         Fouling in a heat exchanger depends on bulk and
      the transport of the aggregated proteins from the bulk to the   surface processes. The deposition is a result of a number of
      heat transfer surfaces may be more difficult compared with      stages (Belmar-Beiny and Fryer 1993):
      the denatured proteins (Treybal 1981, Chen 2000).
      According to Changani et al. (1997), fouling occurs when         i)   denaturation and aggregation of proteins in the bulk
      the aggregation takes place next to the heated surfaces.         ii) transport of the aggregated proteins to the surface
      Delplace et al. (1994) experimentally observed that only         iii) surface reactions resulting in incorporation of protein
      3.6% of denatured -Lg was involved in deposit formation.             into the deposit layer and
      Lalande et al. (1985) found the figure to be around 5%.          iv) possible re-entrainment or removal of deposits.
      However, it is not clear whether fouling was primarily
      caused by the aggregated proteins or the denatured proteins           The step controlling the overall fouling hence may
      deposited first on the heat transfer surfaces and the           either be related to physical/chemical changes in the
      aggregation took place subsequently. Toyoda et al. (1994)       proteins or the mass transfer of the proteins between the
      modelled the milk fouling process based on the assumption       fluid and the heat transfer surface. In some cases, it may be
      that only aggregated proteins resulted in fouling. According    a combination of both. Belmar-Beiny et al. (1993) and
      to Delplace et al. (1997), fouling is controlled by the         Schreier and Fryer (1995) proposed that fouling was
      aggregation reaction of protein molecules. de Jong et al.       dependent on the bulk and surface reactions and not on the
      (1992) found that the formation of protein aggregates           mass transfer. It was also proposed that the fouling rate was
      reduces fouling. van Asselt et al. (2005) believe that -Lg     independent of the concentration of foulant in the liquid
      aggregates are not involved in fouling reactions. Chen et al.   (Schreier and Fryer 1995).
      (1998a, 2001) in their mathematical modelling considered              According to Lalande et al. (1985), Hege and Kessler
      that along with aggregated proteins, denatured proteins also    (1986), Arnebrant et al. (1987), and Kessler and Beyer
      took part in deposit formation.                                 (1991), protein denaturation is the governing reaction. On
            Usually an induction period is required for the           the other hand, Lalande and Ren (1988) and Gotham et al.
      formation of the protein aggregates or insoluble mineral        (1992) have observed that protein aggregation is the
      complexes before noticeable amount of deposits are formed       governing reaction. de Jong et al. (1992) observed that the
      (Elofsson et al. 1996, Visser and Jeurnink 1997, de Jong et     deposition of milk constituents in heat exchangers is a
      al. 1998). This time period varies between 1 and 60             reaction-controlled adsorption of denatured proteins.
      minutes for tubular heat exchangers (de Jong 1997) but is       Toyoda et al. (1994) suggested that mass transfer between
      much shorter or even instantaneous in plate heat exchangers     bulk fluid and thermal boundary layer was also important
      where intense mixing of fluid takes place due to higher         along with the bulk and surface reactions. Also only
      turbulence (Belmar-Beiny et al. 1993). Activation energies      aggregated proteins in the thermal boundary layer were able
      of deposition reactions for both types of heat exchangers are   to cause deposition. Changani et al. (1997), Anema and
      reported to be similar, which suggests that the underlying      McKenna (1996), and Chen et al. (1998a) suggested that the
      processes are the same in both cases (Fryer and Belmar-         protein unfolding or denaturation step is reversible whereas
      Beiny 1991).                                                    Ruegg et al. (1977), Lalande et al. (1985), Arnebrant et al
            The native proteins may adsorb on the heat transfer       (1987), and Roefs and de Kruif (1994), and Karlsson et al.
      surface at low temperatures i.e. below 70oC with coverage       (1996) have found evidence that the denaturation step is
      of less than 5 mg/m2 but this does not result in any fouling.   irreversible. In comparison, the protein aggregation step
      According to Fryer and Belmar-Beiny (1991), protein             has been reported to be always irreversible (Mulvihill and
      denaturation in heat exchangers starts only at temperatures     Donovan 1987, Changani et al 1997, Anema and McKenna
      above 70-74oC. They also reported that the first deposit        1996, and Chen et al 1998a).
      layer (usually < 5m) is largely mineral. According to                Chen et al. (2001) proposed, based on their
      Visser and Jeurnink (1997) mainly the proteins form the         experimental data, that fouling was caused by both
      first layer. Analysis of deposits after fouling for an          denatured and aggregated whey proteins and perhaps
      extended period usually shows that the deposits near the        primarily influenced by the presence of the denatured (but
      surface contain a higher proportion of minerals. This is        not the aggregated) proteins in the bulk. They also included
      caused by the diffusion of minerals through the deposits to     the mechanism of the reversible formulation in the protein
      the surface rather than minerals forming firstly on the         denaturation process. Their simulated results showed that
      surface (Belmar-Beiny et al. 1993). Belmar-Beiny and            similar accuracy of the fouling predictions was achieved
      Fryer (1993) analysed deposits with contact heating times       with different combinations of unfolded and aggregated
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         proteins for hot surface  cold fluid scenario. However,       aggregation of proteins before the heating section, which
         different mechanisms may lead to quite different predictions   then leads to lower fouling in the heat exchangers (Bell and
         for cold surface  hot fluid scenario. This illustrates the    Sanders 1944, Burton 1968, Mottar and Moermans 1988,
         need to study the cold surface effect for better               Foster et al. 1989).
         understanding.                                                       Reconstituted milk gives much less fouling since
                                                                        around 25% of -Lg is denatured during the production of
                                                                        milk powders (Changani et al. 1997, Visser and Jeurnink
         Factors Affecting Milk Fouling                                 1997). The concentration of calcium is reported to be 9%
               Milk fouling may be unavoidable practically and          less in the reconstituted milk, which would result in less
         continuous efforts are required to minimise it. Fouling in a   fouling (Changani et al. 1997). In contrast, Newstead et al.
         heat exchanger depends on various parameters like heat         (1998) found that UHT fouling rates of the recombined milk
         transfer method, hydraulic and thermal conditions, heat        increased with increasing preheat treatment (preheating
         transfer surface characteristics, type and quality of milk     temperature x preheating time). The fouling deposits also
         along with its processing history etc. The factors affecting   had high levels of fat (up to 60% or more) compared with
         milk fouling in heat exchangers can be broadly classified      the deposits formed during fresh milk processing (10% or
         into five major categories:                                    less). The difference is attributed to changes in fat-globule
                                                                        membranes. Fung et al. (1998) studied the effect of damage
            Milk composition                                           to milk fat globule membrane by a cavitating pump on
            Operating conditions in heat exchangers                    fouling of whole milk. The fouling rate was enhanced and
            Type and characteristics of heat exchangers                the argument was that the damage to the membranes results
            Presence of micro-organisms                                in the fat globules to coalesce, which then tend to migrate
            Location of fouling                                        faster towards the heated wall.
      denaturation and aggregation reactions. The reason was          surface microstructure (roughness and other irregularities),
      that the fluid spent less time near the wall due to higher      presence of active sites, residual materials from previous
      mixing (Bradley and Fryer 1992). The pulsations however,        processing conditions, and type of stainless steel used
      enhanced fouling when the bulk fluid was also hot enough        (Jeurnink et al. 1996, Visser and Jeurnink 1997). The
      for the protein reactions to take place.                        modifications of the heat transfer surface characteristics
            Temperature of milk in a heat exchanger is probably       through electro-polishing, surface coatings etc. may help
      the single most important factor controlling fouling (Burton    reduce fouling by altering the surface roughness and
      1968, Kessler and Beyer 1991, Belmar-Beiny et al. 1993,         wettability (changing the polarisation from a hydrophilic
      Toyoda et al. 1994, Elofsson et al. 1996, Jeurnink et al.       into a hydrophobic state) (Yoon and Lund 1994, Pielinger-
      1996, Corredig and Dalgleish 1996, Santos et al. 2003).         Schweiger 2001, Beuf et al. 2003, Santos et al. 2001,
      Increasing the temperature results in higher fouling.           Rosmaninho et al. 2003). Increasing the surface roughness
      Beyond 110oC, the nature of fouling will change from type       provides a larger effective surface area and results in a
      A to type B (Burton 1968). It is worth mentioning that both     higher effective surface energy than a smooth surface
      the absolute temperature and temperature difference are         (Yoon and Lund 1994). As a result, the adhesion of
      important for fouling. This means that it is feasible to have   deposits with a rough surface would be comparatively
      fouling in coolers where the wall temperature is lower than     stronger. The affect of different surface coatings tend to be
      the bulk temperature. Chen and Bala (1998) investigated         less on the deposit formation but more on their adhesion
      the effect of surface and bulk temperatures on the fouling of   strength (Britten et al. 1988). Magnetic field treatment was
      whole milk, skim milk, and whey protein and found that the      observed to have no effect on the milk fouling rate (Yoon
      surface temperature was the most important factor in            and Lund 1994).
      initiating fouling. When the surface temperature was less             There has been an increasing use of heat exchangers
      than 68oC, no fouling was observed even though the bulk         that foul comparatively less e.g. fluidised bed heat
      temperature was up to 84oC. Chen et al. (2001) predicted        exchangers (Klaren 2003), Helixchanger heat exchangers
      that mixing caused by in-line mixers can reduce fouling         (Master et al. 2003), heat exchangers equipped with
      substantially.                                                  turbulence promoters (Gough and Rogers 1987) etc.,
                                                                      however there is little information available about their use
      Type and characteristics of heat exchangers                     in thermal processing of dairy fluids. The use of pulsatile
            Plate heat exchangers are commonly used in dairy          flow exchanger results in higher mass transfer that may
      industry as they offer advantages of superior heat transfer     enhance fouling in case the deposition process is mass
      performance, lower temperature gradient, higher turbulence,     transfer controlled (Bradley and Fryer 1992). The use of
      ease of maintenance, and compactness over tubular heat          fluid bed heat exchanger was found to reduce the amount of
      exchangers. However, plate heat exchangers are prone to         fouling and increase the rate of heat transfer as well
      fouling due to their narrow flow channels (Delplace et al.      (Bradley and Fryer 1992).
      1994). Also milk fouling in a heat exchanger is difficult to          Direct heating methods like steam injection and steam
      completely eliminate, simply due to the fact that the           infusion allow to have an optimal selectivity between
      temperature of the heat transfer surface needs to be            desired (nutritional value) and undesired (surviving micro-
      considerably higher than the bulk temperature in order to       organisms) product transformations (de Jong et al. 1998).
      have efficient heat transfer. Complex hydraulic and thermal     These methods result in low fouling rate because the desired
      characteristics in plate heat exchangers make it very           temperatures are achieved within a very short time due to
      difficult to analyze milk fouling. The use of co-current and    high heating rates (de Jong 1997). Also high viscous fluids
      counter-current flow passages within the same heat              can be handled more easily (de Jong et al. 1998). The
      exchanger further complicates the problem.                      absence of heat transfer surface in such a case is also an
            The heat transfer surface to which the deposits stick     advantage. The resulting dilution however may not be
      also affects fouling. However, the surface characteristics      desirable. The direct injection of hot air/nitrogen was found
      are important only until the surface gets covered with the      to give satisfactory performance in concentrating milk
      deposits. The surface treatment may be of great benefit for     through evaporation of water (Zaida et al. 1987)
      fouling removal as fouling would occur after a time delay             Microwave heating has been used in numerous
      and the strength of the adhesion of the deposits onto the       industrial applications for several years due to its
      metal surfaces may be weaker, giving way to an easier           advantages like faster throughput, better quality, energy
      cleaning process. Stainless steel is the standard material      saving, less space requirement etc. over conventional
      used in the dairy industry. Factors that may affect fouling     heating methods (Metaxas and Meredith 1988). However,
      of a stainless steel surface are: presence of a chromium        limited lifespan of a microwave system can raise doubts
      oxide or passive layer, surface charge, surface energy,         over its economic viability. A number of studies have been
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Bansal and Chen:                                                                                                                                   153
         reported on heat treatment of milk using microwaves,                deposit/fluid interface temperature increases and promotes
         however these are based on general quality issues like              fouling (Bansal et al. 2005).
         nutrients, micro-organisms etc. instead of fouling (Kindle et             There are two other issues that may be important in an
         al. 1996, Villamiel et al. 1996, Sieber et al. 1996, Thompson       ohmic heating process. Better mixing of the fluid may be
         and Thompson 1990).                                                 required to overcome the wall effect and result in uniform
               In induction heating, heat is generated by placing food       heating but it may also promote fouling as the foulant is
         material inside electric coils.           These coils generate      transferred easily from the bulk to the surface. Cooling may
         oscillating magnetic fields, send electric current through the      be employed to reduce the temperatures of electrode
         food material, and thus cause heating. Induction heating            surfaces that would help control fouling.
         produces high local temperatures very quickly but its use
         has been limited to materials industry only.                        Presence of Micro-organisms
               Ohmic heating or direct resistance heating is a novel               The formation of deposits promotes the adhesion of
         heat treatment process where an electrical current is passed        micro-organisms to the surface resulting in bio-fouling.
         through the milk and heat is generated within the milk to           Furthermore, the deposits provide nutrients to micro-
         achieve pasteurization or sterilization (Quarini 1995). This        organisms ensuring their growth. It is worth mentioning
         technique offers the potential of thermal processing of             here that most of the processes in industry are carried out at
         materials without relying on an inefficient mechanism like          temperatures below 100oC. For example, pasteurisation is
         conduction of heat from a surface into the fluid. The               generally achieved by heating of milk at 72oC for 15
         resistance heating technique was used for milk                      seconds in a continuous flow system. At this temperature
         pasteurization in the early 20th century (de Alwis and Fryer        only the pathogenic bacteria along with some vegetative
         1990). In recent years this technology has been in use              cells are killed. A higher temperature of 85oC is required to
         again, after being abandoned for a major part of the 20th           kill the remaining vegetative cells. Spores are much more
         century. APV International Ltd. (England) developed                 heat-resistant and remain active well beyond this
         commercial ohmic heating units for continuous sterilization         temperature. However, their inactivation is important for
         of food products (Skudder and Biss 1997). Ayadi et al.              the products with longer shelf life.
         (2003a, b, 2004)) have investigated the performance of a                  Bio-fouling, either micro-organisms deposition or bio-
         plate type ohmic heater for the thermal treatment of dairy          film formation, in a heat exchanger raises serious quality
         products.                                                           concerns. Flint and co-workers have investigated the effect
               The major advantages of ohmic heating are: absence of         of bio-fouling in dairy manufacturing plants (Flint and
         moving parts, non-dependency on thermal conductivity of             Hartley 1996, Flint et al. 1997, 1999, 2000). According to
         materials, fast and uniform heating, and ability to start/stop      Bott (1993), bio-fouling takes place through two different
         thermal processing instantaneously. The disadvantages are:          mechanisms: deposition of micro-organisms directly on the
         deposition and corrosion of electrode surfaces and                  heat transfer surfaces of the heat exchanger, and
         additional safety requirements. Ohmic heating has an                deposition/attachment/entrapment of micro-organisms on/in
         advantage over microwave processing where processing can            the deposit layer forming on the heat transfer surfaces.
         be limited by the depth to which energy can penetrate the           With the supply of nutrients by the deposits, bacteria
         food material (Fryer et al. 1993).                                  multiply. The presence of micro-organisms in the process
               Fouling can not be completely eliminated in an ohmic          stream and/or deposit layer does not only affect the product
         heating process because when milk is heated for the                 quality, it influences the fouling process as well (Yoo et al.
         pasteurization/sterilization, it results in protein denaturation,   2004). Also bacteria can get released into the process fluid
         aggregation and deposition.           However, since surface        due to the hydrodynamic forces and result in increased
         temperature is lower due to the generation of heat in the           concentration of bacteria downstream. This may also result
         bulk, less fouling should take place. However, the                  in the bacterial growth in areas which otherwise are not
         temperature profile changes dramatically when the deposits          conducive to bio-fouling.          The release pattern of
         start attaching to the electrode surfaces (Ayadi et al. 2003b,      thermophilic bacteria Bacillus stearothermophilus into the
         Bansal et al. 2005). In conventional indirect heating               process stream was studied in detail by Chen et al. (1998b)
         methods like shell and tube or plate heat exchangers the            and Yoo and Chen (2002).
         deposit formation lowers the deposit/fluid interface
         temperature. In an ohmic heating process some heat is               Location of fouling
         generated in the deposit layer as well due to its own                    Protein denaturation and aggregation reactions take
         electrical resistance. Also the deposits prevent the outward        place as soon as milk is processed thermally. The relative
         flow of heat from the bulk fluid. As a result, the                  amounts of the denatured and aggregated proteins depend
                                                                             on a number of factors like operating conditions, type and
      design of heat exchanger, properties of the heat transfer        improvement of dairy products via ohmic heating processes:
      surface etc. The use of an efficient technology may help to      thermal and hydrodynamic effect on fouling. Proceedings of
      mitigate fouling within a heat exchanger; however the            Heat Exchanger Fouling and Cleaning - Fundamentals and
      processed milk at the exit of the heat exchanger would still     Applications, Santa Fe, USA.
      have large amounts of the denatured and aggregated                     Ayadi M. A., Chopard F., Berthou M. & Leuliet J. C.
      proteins. This would result in severe fouling at various         (2003b) Ohmic heating unit performance under whey
      locations further downstream. Hence controlling fouling          proteins fouling. Proceedings of International Conference
      within the heat exchanger may not yield effective results        Engineering and Food (ICEF9), Montpellier, France.
      and an overall strategy may need to be developed to study              Ayadi M. A., Leuliet J. C., Chopard F., Berthou M. &
      the fouling process over the entire setup (Petermeier et al.     Lebouche M. (2004) Continuous ohmic heating unit under
      2002).                                                           whey protein fouling. Innovative Food Science & Emerging
                                                                       Technologies, 5 (4) 465-473.
      CONCLUSIONS                                                            Bansal B., Chen X. D. & Lin S. X. Q. (2005) Skim
            Fouling in the dairy industry is affected by a number      milk fouling during ohmic heating, Heat Exchanger Fouling
      of parameters that can be classified into five major             and Cleaning: Challenges and Opportunities, Engineering
      categories: a) milk quality, b) operating conditions, c) type    Conferences International, Kloster Isree, Germany.
      and characteristics of heat exchangers, d) presence of                 Bell R. W. & Sanders C. F. (1944) Prevention of
      micro-organisms, and e) transfer of location where fouling       milkstone formation in a high-temperature-short-time heater
      takes place. It may not be possible to alter the properties of   by preheating milk, skim milk and whey. Journal of Dairy
      the milk as they are dependent on the source, collection         Science 27 499-504.
      schedule, season and many other factors. Lower surface                 Belmar-Beiny M. T. & Fryer P. J. (1993) Preliminary
      temperature and higher flow velocity help to reduce fouling.     stages of fouling from whey protein solutions. Journal of
      Lowering the surface roughness as well as wettability is         Dairy Research 60 467-483.
      likely to lower the tendency of the proteins to adsorb onto            Belmar-Beiny M. T., Gotham S. M., Paterson W. R.,
      the surface. The presence of micro-organisms causes bio-         Fryer P. J. & Pritchard A. M. (1993) The effect of Reynolds
      fouling. Furthermore, the deposits provide nutrients to the      number and fluid temperature in whey protein fouling.
      micro-organisms ensuring their growth. The situation gets        Journal of Food Engineering 19 119-139.
      worse if the micro-organisms are released into the process             Beuf M., Rizzo G., Leuliet J. C., Mller-Steinhagen
      stream due to its interaction with the deposit layer. The use    H., Yiantsios S., Karabelas A. & Benezech T. (2003)
      of newer technologies (microwave heating, ohmic heating,         Potency of stainless steel modifications in reducing fouling
      steam infusion etc.) is gaining momentum because these           and in improving cleaning of plate heat exchangers
      result in lower fouling, however further research is required    processing dairy products. Proceedings of Heat Exchanger
      to realise their full potential.                                 Fouling and Cleaning - Fundamentals and Applications,
             A significant amount of research has been done on         Santa Fe, USA.
      fouling; however the underlying fouling mechanisms are                 Bott T. R. (1993) Aspects of biofilm formation and
      not yet fully understood. A part of the problem is the           destruction, Corrosion Reviews 11 (1-2) 1-24.
      complex nature of milk and the dairy processes. The                    Bradley S. E. & Fryer P. J. (1992) A comparison of
      absence of generalised methodologies and techniques to           two fouling-resistant heat exchangers. Biofouling 5 295-
      control fouling worsens the problem. Further, concentrated       314.
      and joint efforts among industry, research institutes, and             Britten M., Green M. L., Boulet M. & Paquin P.
      academia are required to combat this serious problem.            (1988) Deposit formation on heated surfaces: effect of
                                                                       interface energetics. Journal of Dairy Research 55 551-562.
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