MEMBRANE TECHNIQUES/Principles of Reverse Osmosis
MEMBRANE TECHNIQUES
Contents
Principles of Reverse Osmosis
Applications of Reverse Osmosis
Principles of Ultrafiltration
Applications of Ultrafiltration
Principles of Reverse Osmosis
H N Lazarides and E Katsanidis, Aristotelian
University of Thessaloniki, Hellas, Thessaloniki,
Greece
Copyright 2003, Elsevier Science Ltd. All Rights Reserved.
Introduction
0001 Vast amounts of liquid food are industrially concen-
trated for preservation purposes or in order to reduce
storage, packaging, handling, and transportation
costs. Vacuum evaporation is the predominant
method used by the food industry to produce liquid
food concentrates, despite serious drawbacks such as
poor product quality due to thermal degradation and
high energy demand for the evaporation process. Re-
verse osmosis was first suggested by Sourirajan in
1959 as a method for water desalination. Since then,
significant developments in both material science and
membrane technology have allowed reverse osmosis
to be used in the food industry, mainly for concen-
trating liquid foods without the disadvantages of
vacuum evaporation.
Theory
0002 A membrane is a permeable or semipermeable mater-
ial (polymer, inorganic, or metal), which restricts the
motion of certain species through itself. The mem-
brane, acting as a barrier, controls the relative rates of
through transport of various species and thus gives
tbl0001 Table 1 Membrane separation processes
Separation process Particle size (microns) Applications
Microfiltration 0.1–10
Ultrafiltration 0.01–0.1
Nanofiltration 0.001–0.01
Reverse osmosis (hyperfiltration) 0.0001–0.001
Dialysis 0.0001–0.001
Electrodialysis 0.0001–0.001
Gas permeation 0.00001–0.0001
3827
one product depleted in certain components and a
second product concentrated in these components.
Membranes are used in many filtration and separ- 0003
ation processes. Some representative processes and
relative particle sizes are shown in Table 1.
When a membrane separates two solutions of dif- 0004
ferent solute concentrations, water moves through
the membrane towards the solution with the high
concentration of solutes tending to equalize the
solute concentration on the two sides of the mem-
brane. The driving force for the movement of water
is the difference in osmotic pressures of the two solu-
tions. This phenomenon is called osmosis.
The osmotic pressure of a dilute solution can be 0005
calculated by Van’t Hoff’s equation:
¼ cRT=M
where P is the osmotic pressure (Pa), c is the solute
concentration (Kg/m3), R is the gas constant (J/mol.K),
T is the absolute temperature (K), and M is the molecu-
lar weight of the solute. For a wider range of concen-
trations, Gibb’s equation has been found to be more
suitable for the calculation of the osmotic pressure:
¼ ðRT ln x Þ=Vm
where xa is the mole fraction of pure liquid and Vm is
the molar volume of pure liquid. When external
(hydrostatic) pressure greater than the osmotic pres-
sure is applied, water is expelled from the concentrated
solution and we observe a reverse flow, that is a flow
against the osmotic pressure gradient. This process is
called reverse osmosis. Reverse osmosis involves the
Clarification, sterile filtration
Separation of macromolecular solutions
Separation of small organic compounds and selected salts from solutions
Separation of microsolutes and salts from solutions
Separation of microsolutes and salts from macromolecular solutions
Separation of ions from water and nonionic solutes
Separation of gas mixtures
 3828 MEMBRANE TECHNIQUES/Principles of Reverse Osmosis

most ‘tight’ membranes, which are capable of separat-
ing the smallest solutes. The pores of the membrane are
so small that, in some materials, they can hardly be
resolved, even by scanning electron microscopy.
0006 The basis for separation is molecular size, but other
factors such as molecular shape and charge can also
play an important role.
0007 Membranes currently used in commercial reverse
osmosis installations are asymmetric, flat sheet mem-
branes of cellulose acetate (CA) or cellulose triacet-
ate, fine hollow fibers of aromatic polyamides (PA)
or cellulose triacetate and thin-film composites
solution and the preferential sorption of pure water to
the membrane result in rejection of ions, thus prevent-
ing them from permeating the membrane. It should be
noted that very-low-molecular-weight organics and
uncharged solutes may pass through the membrane.
In general, reverse osmosis membrane efficiency is
expressed as a percentage rejection of NaCl, and the
typical range for such membranes is 96–99%.
Operational Requirements
In conventional filtration processes, all the material 0008

(TFC). In TFC membranes an extremely fine layer
of highly hydrophilic polymer has been placed on a
microporous support usually made from polysulfone.
Figure 1 depicts the structure of a typical CA mem-
brane and shows the chemical affinity (selectivity) of
the membrane for water molecules. The chemically
to be filtered flows perpendicularly through the filter
where the separation occurs (dead-end flow). Sus-
pended solids captured by the filter tend to build up,
slowing down the filtration rate and requiring
frequent cleaning.
In reverse osmosis, cross-flow systems are used 0009

induced negative sorption (repulsion) of the ions in almost exclusively. In a cross-flow system, the feed

H H H H
O O
Impurity
H H H H H H
O O O
H H H H
O O
H H
O
CH3 CH3

CH3 C O O C CH3
C H H C
O C O C C CH2 O O CH2 C C O C O
O
HO C O CH3 CH3 O C OH
C C
CH3 O C O O C O CH3
C H H C
O C O C C CH2 O O CH2 C C O C O
O
Membrane skin
Membrane skin

HO CH3 CH3 OH
C O O C
C C
CH3 O C O O C O CH3
C H H C
O C O C C CH2 O O CH2 C C O C O
O
HO C O CH3 CH3 O C OH
C C
CH3 O C O O C O CH3
C H H C
O C O C C CH2 O O CH2 C C O C O
O
HO C O O C OH
C C
O H 2O H2O O
H2O
H 2O

H2O H2O
H 2O H2O
H2 O H2O
H 2O H2O H2 O
H2O H2O H2O H2O

fig0001 Figure 1 Movement of water through a cellulose acetate membrane. Adapted from Lacey (1972).
 MEMBRANE TECHNIQUES/Principles of Reverse Osmosis
stream (influent) flows parallel (tangentially) to the
membrane and only a portion of the stream passes
through the membrane as permeate or filtrate. The
remainder of the stream is called retentate or concen-
trate. The main advantage of the cross-flow system is
that the feed stream constantly removes the accumu-
lated solids (cake) or solutes from the membrane
surface, reducing build-up, which allows for less fre-
quent clean-up of the membrane system. The two
types of flow and their representative flux and cake
build-up are depicted in Figure 2.
0010 In reverse osmosis, the external pressure has to
exceed the osmotic pressure of the solution so
that solvent (usually water) may be expelled. For
example, the osmotic pressure of sea water is
approximately 2.3 MPa and a desalination plant
utilizing reverse osmosis may operate at pressures of
up to 7 MPa. This makes it clear that the reverse
osmosis systems must be very robust from a physical
standpoint and the membranes must be able to resist
mechanical compression (compaction), which can
deform their morphology and negatively affect their
performance.
0011 Resistance to mechanical pressure is only one of the
properties that a good membrane must have. Mem-
branes need to function in a variety of environments,
where the operating pressure, temperature, pH, and
chemical compatibility need to be taken into account.
Cellulose acetate membranes are usually used at tem-
peratures up to 40  C, but they may be operated at
temperatures up to 65  C.
Cake thickness
Permeate flow
Time
Feed
Feed
Dead-end filtration
fig0002 Figure 2 Dead-end vs cross-flow filtration. Adapted from Mannapperuma JD (1997) Design and performance evaluation of mem-
brane systems. In: Rotstein E, Singh RP and Valentas KJ (eds) Handbook of Food Engineering Practice, pp. 168–208. Boca Raton, FL:
CRC Press LLC.
3829
The typical pH range for CA membranes is 2–8 and 0012
for PA 3–11. Membranes may be used outside the
above ranges, but their useful life will be shorter.
A good reverse osmosis membrane needs to with- 0013
stand chemical agents such as chlorine, iodine, other
oxidizing agents, oils, and solvents. CA has good
chlorine resistance (for sanitation purposes) but TFC
PA has poor chlorine resistance.
Several reverse osmosis membranes used in com- 0014
mercial applications and their properties are pre-
sented in Table 2.
Membrane Configurations
There are several configurations for the containment 0015
and support of the membranes. These configurations
need to address all the requirements discussed previ-
ously and also need to allow for easy access to the
membranes for replacement. There are four major
configurations that have been used in the food
industry.
Spiral Wound
This module consists of a flat sheet membrane, a 0016
support system, and a spacer system, all wrapped
around a perforated premeate-collection tube. The
feed stream flows across the membrane through the
spacer and the permeate is collected in the central
permeate-collection tube. Specially designed spacer
systems enhance turbulent flow, which helps reduce
fouling of the membrane. The main advantages of this
Permeate flow
Cake thickness
Time
Cross-flow filtration
 3830 MEMBRANE TECHNIQUES/Principles of Reverse Osmosis
tbl0002 Table 2 Properties of some commercial reverse osmosis membranes
Membrane type Module type
Cellulose acetate blend Spiral wound
Cellulose triacetate Capillary fiber
Aromatic polyamide Hollow fiber
Cross-linked polyether TFC Spiral wound
Aryl-alkyl polyetherurea TFC Spiral wound
Cross-linked fully aromatic polyamide TFC Spiral wound
TFC, thin-film composites.
Adapted from Fell CJD (1995) Reverse osmosis. In: Noble RD and Stern SA (eds) Membrane Separations Technology, pp. 113–144. Amsterdam, The
Netherlands: Elsevier.
module are the high packing density, the high flux,
and the fact that the flat sheet membrane can with-
stand higher pressures than the hollow fiber module.
Capillary (Hollow Fiber)
0017 In this module, the feed stream is pumped into a
vessel that contains a bundle of thin hollow fibers
(about 40 mm internal diameter). The permeate goes
through the thin fibers and is separated from the
concentrate. The advantage of this system is that it
provides a very large membrane area for the total size
of the system (high packing density). The disadvan-
tages are the low flux and the need for pretreatment
of the feed solution (i.e., filtration, centrifugation,
microfitration, even ultrafiltration).
Plate and Frame (Flat Sheet)
0018 This module consists of flat membrane sheets placed
between support frames that create flow channels
(about 0.5 mm) for the feed stream, the concentrate,
and the permeate. The membrane and its supports are
stacked together in large numbers (up to 360 mem-
brane sheets) to create one unit. The main advantages
of this module are that it is possible to remove and
clean the membrane sheets and that the system is
reusable (once the membranes have been cleaned
or replaced). The disadvantages are the high labor
and time investment required to disassemble and
reassemble the module and the low packing density
of the unit.
Tubular
0019 This module is relatively uncommon in reverse
osmosis. The feed and concentrate streams flow
through the inside of the tube (up to 12 mm internal
diameter) and the filtrate passes through the mem-
brane and is collected in the housing around the tube.
The advantages of this system are the ease of cleaning
and the capability to handle high viscosities. The
disadvantages are the relatively small membrane
area for the size of the system and the high feed
rates that are required for the system to operate
efficiently (high energy/pumping cost).
pH Chlorine tolerance Oxidation tolerance
3–8 Fair Fair
4–9 Fair Good
4–11 Poor Fair
1–12 Poor Fair
3.5–12 Poor Fair
1–12 Poor Fair
The spiral wound and the hollow fiber are the two 0020
modules that are mostly used in the food industry.
Figure 3 illustrates these module designs. In industrial
systems, usually several units are assembled together
in series and/or in parallel configuration to achieve
the desired results. These systems may be single-pass
systems or they may include recirculation loops and
pumps so that part of the feed solution passes through
the membrane multiple times.
Performance Comparisons
Reverse osmosis is a very efficient process, allowing 0021
for the simultaneous concentration, fractionation,
and purification of the product and the accomplish-
ment of multiple tasks in a single unit operation. It
does not impart pH or chemical changes in the prod-
uct and, since no significant heating is required,
there is no heat degradation of the product. Thus,
reverse osmosis has a minimal effect on the quality
characteristics and nutritional value of the finished
product, especially when compared to evaporative
concentration where inevitably there is heat degrad-
ation, as well as flavor and nutritional losses.
Since reverse osmosis systems do not require 0022
steam, evaporators, and condensers, they require
much less floor space and equipment than evapora-
tive systems. Due to their relative simplicity,
reverse osmosis systems have shorter come-up and
shutdown time. They are also more flexible and easier
to modify or upgrade than conventional evaporative
systems.
Reverse osmosis is very energy-efficient, because it 0023
typically operates at ambient temperature (no heating
or cooling required); and, most importantly, there is
no phase change requirement for water removal, as in
evaporative processes. Overall, reverse osmosis
systems require less energy than evaporative systems
per unit of water removed from the product. Reverse
osmosis systems require almost exclusively electric
energy for pumping and recirculating, whereas evap-
orative systems require steam in addition to electric
energy for pumping.
 MEMBRANE TECHNIQUES/Principles of Reverse Osmosis 3831

Retentate out
Permeate
out

Feed in

Tube sheet Hollow fine fibers Feed tube Nub

Permeate out

Feed out
Feed in Feed spacer

Membrane

Permeate spacer

fig0003 Figure 3 Hollow fine fiber (top) and spiral wound (bottom) module designs. Adapted from Mannapperuma (1997) Design and
performance evaluation of membrane systems. In: Rotstein E, Singh RP and Valentas KJ (eds) Handbook of Food Engineering Prac-
tice, pp. 168–208. Boca Raton, FL: CRC Press LLC.

tbl0003 Table 3 Comparison of energy requirements of reverse osmosis and evaporation with either thermal vapor recompression (TVR) or
mechanical vapor recompression (MVR)

Type of plant Direct energyinput Equivalent energyinput (kWh kg1H2O)

1 1
Steam (kg kg H2O) Power (kWh kg H2O)

Evaporation TVR 3 effects 0.20–0.25 0.003 0.17–0.20

Evaporation TVR 5 effects 0.13–0.17 0.003 0.11–0.14
Evaporation TVR 7 effects 0.077–0.13 0.003 0.07–0.10
Evaporation MVR 0.02 0.01–0.03 0.046–0.11
Reverse osmosis 0.005–0.012 0.015–0.048

In this table a heat-to-power ratio of 3 has been used.

Adapted from Hallström B (1988) Preconcentration: new developments. In: Bruin S (ed.) Preconcentration and Drying of Food Materials, pp. 46–47. New
York, NY: Elsevier.

0024 Thermal energy (steam) can be generated from oil Operational Issues
at very high efficiency (80–90%), but electrical/mech-
In membrane systems a reduction of flux over time is 0026
anical energy is generated from oil at much lower
often encountered, while all operating parameters
efficiency (about 30%), yielding a heat-to-power
remain the same. This is typically due to membrane
ratio of 3.0. Table 3 compares the energy require-
ments of reverse osmosis to evaporation with either compaction, concentration polarization, and fouling.
thermal vapor recompression or mechanical vapor Compaction
recompression. The relative cost of electric energy to
oil or natural gas energy varies a lot in different areas As discussed previously, the high operating pressures 0027

of the world, thus making it hard for generalized
comparisons of energy costs of the two processes.
However, it seems that in countries such as the USA,
France, and Germany, reverse osmosis is much less
costly than any multistage evaporative process, with
either mechanical or thermal vapor recompression.
0025 In large desalination plants, energy can be re-
in reverse osmosis result in increased membrane dens-
ity, decreased thickness, and deformed (compressed)
membrane pores, which reduce the permeate flux
through the membrane.
Concentration Polarization
In all cross-flow processes, as soon as the flow begins, 0028

covered from the rejected brine by running it through a build-up of a polarized layer or a gel-like layer of
turbines to generate electricity that can be used in the solutes is observed at the membrane surface. This
plant. Such a recovery system can lead to energy phenomenon can result in locally increased osmotic
savings of up to 30%. pressure in the vicinity of the membrane surface that
 3832 MEMBRANE TECHNIQUES/Principles of Reverse Osmosis
will negatively affect the flux through the membrane.
Over time, the accumulated solutes can affect the
affinity of the membrane for certain solutes or solv-
ents. Concentration polarization is a reversible phe-
nomenon that can be reduced by periodical changes
in the velocity of the feed solution (tantalizing), by
increasing the velocity, or by decreasing the pressure
and concentration of the feed solution.
Fouling
0029 Fouling refers to the irreversible changes that occur on
the membrane and result in reduced flux over time.
Many factors contribute to membrane fouling. Pore
plugging and solute adsorption in the membrane pores
can result in a decrease of the pore diameter and
reduced flux. Solutes accumulated on the membrane
surface due to concentration polarization may under-
go irreversible changes over time and form a layer that
will cause hydrodynamic resistance to flow. This layer
formation depends on the membrane surface chemis-
try, solute–membrane and solute–solute interactions.
0030 All the above make it clear that pretreatment of the
feed stream is crucial in extending the useful mem-
brane life. The objective of the pretreatment process
would be to remove as many suspended solids and
contaminants as possible before reverse osmosis. The
pretreatment process may be a simple filtration or
centrifugation step or it may be a much more thor-
ough micro- or even ultrafiltration step. Pretreatment
requirements will depend on the type of membrane
used, the membrane configuration, and the compos-
ition and flow rate of the feed solution.
Cleaning
0031 Mechanical cleaning can be applied in large-diameter
tubular modules using oversized sponge balls to clean
the tubes.
0032 Hydraulic cleaning can be achieved by back-
washing (reversing the flow), by back-shock treat-
ment (back-flushing for very short time), or by the
pulsation of flow (increasing and decreasing the
pressure of the feed solution). Back-washing and
back-shock treatment cannot be applied to TFC
membranes because of their tendency to delaminate.
0033 Electric cleaning uses a pulsed electric field resulting
in the movement of charged particles away from the
membrane. Electric cleaning can be applied without
interrupting the process, but requires electricity-
conducting membranes and special module design.
0034 Chemical cleaning is the most important method
for controlling fouling phenomena. Chemical com-
patibility between the cleaning agent and the mem-
brane is the most important factor in selecting the
proper cleaning agent. Acids (nitric, phosphoric,
citric) are usually used for inorganic contaminants
and basic (caustic) detergents or chlorine are typically
used for organic contaminants (i.e., fat, protein).
Other chemicals used may be complexing agents
(ethylenediaminetetraacetic acid; (EDTA), enzymes,
and disinfectants (H2O2, NaOCl).
Applications
Water desalination and/or purification is one of the 0035
major applications of reverse osmosis. Brackish water
or sea water is treated by reverse osmosis to produce
potable water. Also, ultrapure water for medical or
industrial applications can be produced.
Reverse osmosis is used in the dairy industry for 0036
milk, whey, or lactose concentration. Concentration
of whey, produced as a byproduct from the cheese-
making process, is the most widely used application
in the food industry. Spiral module configurations
with CA or TFC membranes are most often used in
the dairy industry.
Tubular and spiral module systems equipped with 0037
TFC membranes are used for juice concentration.
Reverse osmosis is economically efficient for concen-
trations up to 24% solids, but it could be used to
concentrate juices up to 60% solids, if economically
feasible. Membranes developed for reverse osmosis
have also been used in direct osmosis applications
for the preconcentration of liquid foods (i.e., juices)
with the use of high osmotic pressure brines on one
side of the membrane. In these applications the
driving force is not hydrostatic pressure (pressure
are rather low; < 500 kPa) but the osmotic pressure
difference on the two sides of the membrane.
A thorough discussion of reverse osmosis applica- 0038
tions can be found in a following section.
See also: Effluents from Food Processing: On-Site
Processing of Waste; Evaporation: Basic Principles;
Uses in the Food Industry; Filtration of Liquids;
Membrane Techniques: Applications of Reverse
Osmosis; Principles of Ultrafiltration
Further Reading
Dziezak JD (1990) Membrane separation technology offers
processors unlimited potential. Food Technology 44:
108–113.
Fell CJD (1995) Reverse osmosis. In: Noble RD and
Stern SA (eds) Membrane Separations Technology,
pp. 113–144. Amsterdam, The Netherlands: Elsevier.
Hallström B (1986) Energy consumption in membrane pro-
cessing of foods. In: Singh PR (ed.) Energy in Food
Processing, pp. 242–243. New York, NY: Elsevier.
Hallström B (1988) Preconcentration: new developments.
In: Bruin S (ed.) Preconcentration and Drying of Food
Materials, pp. 46–47. New York, NY: Elsevier.
 MEMBRANE TECHNIQUES/Applications of Reverse Osmosis
Mannapperuma JD (1997) Design and performance evalu-
ation of membrane systems. In: Rotstein E, Singh RP and
Valentas KJ (eds) Handbook of Food Engineering Prac-
tice, pp. 168–208. Boca Raton, FL: CRC Press LLC.
Mulder MHV (1995) Polarization phenomena and mem-
brane fouling. In: Noble RD and Stern SA (eds) Mem-
brane Separations Technology, pp. 45–84. Amsterdam,
The Netherlands: Elsevier.
Paulson DJ, Wilson RL and Spatz DD (1984) Crossflow
membrane technology and its applications. Food Tech-
nology 38: 77–111.
Petrotos KB and Lazarides HN (2001) Osmotic concentra-
tion of liquid foods. Journal of Food Engineering 49:
201–206.
Scott K (1998) Handbook of Industrial Membranes, 2nd
edn, pp. 3–17. Oxford, UK: Elsevier.
Singh RP and Heldman DR (1993) Introduction to Food
Engineering, 2nd edn, pp. 385–407. San Diego, CA:
Academic Press.
Applications of Reverse
Osmosis
M H Abd El-Salam, National Research Centre, Cairo,
Egypt
Copyright 2003, Elsevier Science Ltd. All Rights Reserved.
Introduction
0001 Reverse osmosis (RO) is essentially a pressure-driven
membrane diffusion process. In practice, RO mem-
branes retain 95–99% of the dissolved solutes (or-
ganic and inorganic) from the feed stream into the
concentrate, while the permeate can be considered as
high-quality water. Therefore, RO is classified as a
concentration process. RO has several advantages
compared to other concentration technologies. RO is
an energy-saving process as removal of the solvent
does not require change in phases. Compared to
other competing processes, RO is more economic in
concentrating diluted solutions and for medium
concentrations. Also, RO concentrated fluids are not
subjected to any heat damage or losses in aroma com-
pounds, as has occurred in other concentration pro-
cesses. This is of utmost importance in concentrating
liquid foods. Like other membrane processes, RO
offers flexibility in different applications and scales,
RO concentration is best explained as the mechanism
of preferential sorption capillary flow. According to
this mechanism, permeation occurs due to the prefer-
ential sorption of constituents from fluid mixture and
their permeation through the porous membrane. For
RO to take place, it is essential that a membrane has
3833
the right chemical nature (polar and nonpolar effects)
and that its pores are of appropriate size and number
(steric effect).
Although RO is mainly applied in the production 0002
of potable water from sea and brackish water, the use
of RO in food processing is growing steadily. Until
recently, the application of RO in the food industry
has been based on the use of cellulose acetate mem-
branes. During the 1980s a wide variation of thin-
film composite membranes appeared on the market.
This new generation of membranes gave food proces-
sors the opportunity to apply more rigorous cleaning
routines and greater plant sanitation. Also, these
membranes exhibit better recovery of valuable com-
pounds in processed liquids, e.g., aroma compounds.
Reverse Osmosis in the Dairy Industry
RO was introduced into the dairy industry in the 0003
1970s and rapidly expanded with time. It is estimated
that about 75 000 m2 surface area of RO membranes
has been installed in the dairy industry until 1996 and
is still increasing. Most of this area (76%) is used in
concentrating whey, followed by permeate (20%) and
milk (3%). A smaller surface area of RO membrane
has been used to recover milk solids from rinse water
in the dairy plant.
As lactose and minerals are almost completely 0004
retained by RO membranes, the osmotic pressure
of the processed dairy liquid limits both the
permeate flux and the maximum concentration
achievable. Milk, whey, and permeate have nearly
the same osmotic pressure, which is around 7 bar, a
pressure that must be exceeded in RO processing of
these fluids. On the other hand, milk and whey con-
centrated by RO to 25–28% total solids (maximum
concentration) has an osmotic pressure of 27–35 bar.
However, for practical and economic considerations,
twofold RO concentration of whey and milk is
usually carried out.
Concentration of whey by RO has several advan- 0005
tages:
. decrease in costs for transport and storage of whey 0006
. as a preconcentration step in the manufacture of 0007
whey powder, demineralized whey powder, and
whey cheeses
. improving the ultrafiltration performance of whey 0008
for the preparation of whey protein concentrates.
Figure 1 shows the use of RO in the manufacture of
different whey products. One of the major concerns
of dairy processors is the microbiological quality of
the concentrate obtained when unpasteurized whey is
processed. The microbiological quality of RO whey
concentrates is controlled by the microbial load of