PROCESSING BIOMASS

All patents, patent applications and publications referenced herein or attached hereto as Appendices A to E are incorporated herein by reference in their entireties.

TECHNICAL FIELD

This invention relates to processing biomass, and products made therefrom.

BACKGROUND

Various carbohydrates, such as cellulosic and lignocellulosic materials, e.g., in fibrous form, are produced, processed, and used in large quantities in a number of applications. Often such materials are used once, and then discarded as waste, or are simply considered to be waste materials, e.g., sewage, bagasse, sawdust, and stover.

Various cellulosic and lignocellulosic materials, their uses, and applications have been described in U.S. Patent Nos. 7,307, 108, 7,074,918, 6,448,307, 6,258,876,

6,207,729, 5,973,035 and 5,952, 105; and in various patent applications, including "FIBROUS MATERIALS AND COMPOSITES," PCT/US2006/010648, filed on March 23, 2006, and "FIBROUS MATERIALS AND COMPOSITES," U.S. Patent Application Publication No. 2007/0045456.

Because cellulosic and lignocellulosic materials are so widely available, and waste cellulosic and lignocellulosic materials require disposal, it would be advantageous to put such materials to good use. The use of cellulosic and lignocellulosic materials to make biofuels such as ethanol is being considered, but as yet has not been implemented commercially on a large scale.

SUMMARY

Generally, carbohydrate-containing materials (e.g., biomass materials or biomass- derived materials are disclosed herein, for example starchy materials, cellulosic materials, lignocellulosic materials, or biomass materials that are or that include significant amounts of low molecular weight sugars (e.g., monosaccharides, disaccharides or trisaccharides), and methods of making and processing such materials so as to change their structure, e.g., functionalize these materials with one or more desired types and amounts of functional groups. Products made from the structurally changed materials are also disclosed. For example, many of the methods described herein can provide cellulosic and/or

lignocellulosic materials that have a lower molecular weight and/or crystallinity relative to a native material. Many of the methods disclosed herein provide materials that can be more readily utilized by a variety of microorganisms to produce useful products, such as hydrogen, alcohols (e.g., ethanol or butanol), organic acids (e.g., acetic acid),

hydrocarbons, co-products (e.g., proteins) or mixtures of any of these.

In some instances, functionalized biomass is more soluble and more readily utilized by microorganisms in comparison to biomass that has not been functionalized. In addition, many of the functionalized materials described herein are less prone to oxidation and can have enhanced long-term stability (e.g., oxidation in air under ambient conditions). Many of the products obtained, such as ethanol or n-butanol, can be utilized as a fuel for powering cars, trucks, tractors, ships or trains, e.g., as an internal combustion fuel or as a fuel cell feedstock. Many of the products obtained can also be utilized to power aircraft, such as planes, e.g., having jet engines or helicopters. In addition, the products described herein can be utilized for electrical power generation, e.g., in a conventional steam generating plant or in a fuel cell plant.

Another aspect of the invention derives from the realization that the addition of biomass, such as a functionalized cellulosic or lignocellulosic material, to a mixture including a low molecular weight sugar can facilitate conversion of the low molecular weight sugar to a product, such as to a combustible fuel such as ethanol. The inventors have found that including the biomass in a mixture with a low molecular weight sugar, a solvent or solvent system and a microorganism significantly improves the yield of a product obtained by conversion of the sugar, for example an alcohol such as ethanol, in some cases without significant conversion or depletion of the biomass itself. Including the biomass also can prevent incomplete, sluggish, or "stuck" product conversion, e.g., by fermentation.

The biomass may not in itself be converted to the product (such as ethanol), or may be partially or fully converted to the product along with the low molecular weight sugar. In instances where the biomass is partially converted, the surface area and porosity of the biomass is increased relative to the surface area and porosity of the starting biomass, which can advantageously increase the conversion rate of the low molecular weight sugar to the product.

In some cases, the biomass may be the remnants of a cellulosic or lignocellulosic material that has been saccharified, e.g., lignin and/or other materials that are left over after cellulose has been converted to sugar.

Thus, in one aspect, the invention features a method that includes converting a low molecular weight sugar, or a material that includes a low molecular weight sugar, in a mixture with a biomass, a microorganism, and a solvent or a solvent system, e.g., water or a mixture of water and an organic solvent, to a product, for example, other than sugar. Examples of solvents or solvent systems include water, hexane, hexadecane, glycerol, chloroform, toluene, ethyl acetate, petroleum ether, liquefied petroleum gas (LPG), ionic liquids and mixtures thereof. The solvent or solvent system can be in the form of a single phase or two or more phases. The biomass can be, e.g., in fibrous form.

In some instances, having a biomass material (e.g., treated by any method described herein or untreated) present during production of a product, such as ethanol, can enhance the production rate of the product. Without wishing to be bound by any particular theory, it is believed that having a solid present, such as a high surface area and/or high porosity solid, can increase reaction rates by increasing the effective concentration of solutes and providing a substrate on which reactions can occur.

For example, an irradiated or an un-irradiated biomass material, e.g., a paper fiber, can be added to a fermentation process, such as during a corn-ethanol fermentation or a sugarcane extract fermentation, to increase the rate of production by 10, 15, 20, 30, 40, 50, 75, 100 percent or more, e.g., 150 percent. The biomass material can have a high surface area, high porosity, and/or low bulk density. In some embodiments, the biomass is present in the mixture from about 0.5 percent to about 50 percent by weight, such as between about 1 percent and about 25 percent by weight, or between about 2 percent and about 12.5 percent by weight. In other embodiments, the biomass is present in amounts greater than about 0.5 percent by weight, such as greater than about 1, 2, 3, 4, 5, 6, 7, 8, 9, or even greater than about 10 percent by weight. For example, in some embodiments, an oxidized, sonicated, steam exploded and/or pyrolyzed biomass material, such as a paper or cotton fiber, can be added to a low molecular weight sugar fermentation process, e.g., to enhance fermentation rate and output.

Because the biomass material is not itself consumed during the conversion process, the biomass material can be reused in multiple batch processes, or can be used continuously for the production of a relatively large volume of the product.

Some implementations include one or more of the following features.

The biomass may comprise a fibrous material. Converting can include allowing the microorganism to convert at least a portion of the low molecular weight sugar to ethanol. Form example, converting can comprise fermentation. The microorganism can comprise a yeast, e.g., selected from the group consisting of S. cerevisiae and P. stipitis, or a bacterium such as Zymomonas mobilis. Converting can exhibit a % performance of at least 140%, in some cases at least 170%.

The method can further include irradiating the fibrous biomass prior to mixing, e.g., with ionizing radiation, for example at a total dosage of at least 5 Mrad. Irradiating can be performed using a particle beam. Irradiating can be conducted under conditions selected to reduce the molecular weight of the biomass.

The biomass can have a bulk density of less than about 0.5 g/cm ³ . The biomass can have a BET surface area of greater than 0.25 m ² /g, and/or a length to diameter ratio of at least 5. The biomass can have a porosity greater than 50%, e.g., greater than 70%.

The method can further include physically preparing the biomass, e.g., by shearing, or by reducing the size of the biomass by stone grinding, mechanical ripping or tearing, pin grinding, or air attrition milling. The biomass can have internal fibers, and can have been sheared to an extent that its internal fibers are substantially exposed.

The biomass may be or include a cellulosic or lignocellulosic material. For example, the biomass can be selected from the group consisting of paper, paper products, paper waste, wood, particle board, sawdust, agricultural waste, sewage, silage, grasses, rice hulls, bagasse, cotton, jute, hemp, flax, bamboo, sisal, abaca, straw, corn cobs, corn stover, switchgrass, alfalfa, hay, rice hulls, coconut hair, cotton, seaweed, algae, and mixtures thereof. The method may further include subjecting the biomass to enzymatic hydrolysis, and in some cases converting the hydrolyzed material to the product.

In another aspect, the invention features a method for dissolving a cellulosic or lignocellulosic material, the method comprising combining a cellulosic or lignocellulosic material with a solvent system comprising DMSO and a salt.

Solvent systems for cellulosic and lignocellulosic materials include DMSO-salt systems. Such systems include, for example, DMSO in combination with a lithium, magnesium, potassium, sodium or zinc salt. Lithium salts include LiCl, LiBr, Lil, lithium perchlorate and lithium nitrate. Magnesium salts include magnesium nitrate and magnesium chloride. Potassium salts include potassium iodide and nitrate. Examples of sodium salts include sodium iodide and nitrate. Examples of zinc salts include zinc chloride and nitrate. Any salt can be anhydrous or hydrated. Typical loadings of the salt in the DMSO are between about 1 and about 50 percent, e.g., between about 2 and 25, between about 3 and 15 or between about 4 and 12.5 percent by weight.

In other implementations, the salt can be a fluoride salt, e.g. tetrabutyl ammonium fluoride. The method can further include irradiating the cellulosic or lignocellulosic material. The cellulosic or lignocellulosic material can be selected from the group consisting of paper, paper products, paper waste, wood, particle board, sawdust, agricultural waste, sewage, silage, grasses, rice hulls, bagasse, cotton, jute, hemp, flax, bamboo, sisal, abaca, straw, corn cobs, corn stover, switchgrass, alfalfa, hay, rice hulls, coconut hair, cotton, seaweed, algae, and mixtures thereof. In some cases, the cellulosic or lignocellulosic material has a bulk density of less than about 0.5 g/cm ³ (prior to addition to the solvent system) and a porosity of at least 50%.

Materials are disclosed herein that include a plurality of saccharide units arranged in a molecular chain, wherein from about 1 out of every 2 to about 1 out of every 250 saccharide units includes a carboxylic acid group, or an ester or salt thereof. In another aspect, materials include a plurality of such molecular chains. For example, about 1 out of every 8, 1 out of every 10, 1 out of every 50, or 1 out of every 100 saccharide units of each chain can include a carboxylic acid group, or an ester or salt thereof. In some embodiments, the saccharide units can include 5 or 6 carbon saccharide units. Each chain can have between about 10 and about 200 saccharide units, e.g., between about 10 and about 100 or between about 10 and about 50. For example, each chain can include hemicellulose or cellulose. In some embodiments, each chain also includes saccharide units that include nitroso, nitro, or nitrile groups.

In some embodiments, the average molecular weight of the materials relative to PEG standards can be from about 1,000 to about 1,000,000, such as between 1,500 and 200,000 or 2,000 and 10,000. For example, the average molecular weight of the materials relative to PEG standards can be less than about 10,000.

Methods of changing a molecular and/or a supramolecular structure of a biomass feedstock are disclosed herein that include 1) irradiating the biomass feedstock with radiation, such as photons, electrons or ions of sufficient energy to ionize the biomass feedstock, to provide a first level of radicals, e.g., which are detectable with an electron spin resonance spectrometer; 2) quenching the radicals to an extent that the radicals are at a second level lower than the first level, such as at a level that is no longer detectable with the electron spin resonance spectrometer, e.g., such as at a level of less than about 10 ¹⁴ spins; and 3) processing the irradiated biomass feedstock to produce a product. If desired, prior to irradiation and/or after irradiation, the biomass feedstock can be prepared by reducing one or more dimensions of individual pieces of the biomass feedstock.

In some implementations, the processing step includes making a product, such as a fuel, such as a combustible fuel, such as a motor, an aviation fuel or a fuel cell fuel, e.g., for generating electricity, by converting the irradiated biomass feedstock with a microorganism having the ability to convert at least a portion, e.g., at least about 1 percent by weight, of the biomass to the product.

In some embodiments, irradiating is performed on the biomass feedstock while the biomass feedstock is exposed to air, nitrogen, oxygen, helium, or argon. In some embodiments, pretreatment can include pretreating the biomass feedstock with steam explosion.

In some embodiments, the method further includes reducing one or more dimensions of individual pieces of biomass, for example by shearing, wet or dry grinding, cutting, squeezing, compressing or mixtures of any of these processes. For example, shearing can be performed with a rotary knife cutter. The shearing can produce fibers having an average length-to-diameter ratio of greater than 5/1, or at least 5. In some embodiments, the prepared biomass can have a BET surface area of greater than 0.25 m ² /g. In some cases, the biomass has internal fibers, and the biomass can be sheared to an extent that internal fibers of the biomass are substantially exposed. The biomass can be sheared to an extent that it has a bulk density of less than about 0.35 g/cm ³ .

In some embodiments, the process does not include hydrolyzing the biomass with an acid or a base. For example, at least about seventy percent by weight of the biomass can be un-hydrolyzed, e.g., at least at 95 percent by weight of the biomass has not been hydrolyzed. In specific embodiments, substantially none of the biomass has been hydrolyzed.

In some embodiments, irradiation is performed on biomass in which less than about 25 percent by weight of the biomass is wetted with a liquid, such as water.

Specifically, in some embodiments, at least one pretreatment method is performed on biomass in which substantially none of the biomass is wetted with a liquid, such as water. The biomass can have, e.g., less than about five percent by weight retained water, measured at 25°C and at fifty percent relative humidity.

In some embodiments, irradiation is performed on biomass in which less than about 25 percent by weight of the biomass is in a swollen state, the swollen state being characterized as having a volume of more than about 2.5 percent higher than an unswollen state. In other embodiments, the biomass is mixed with or includes a swelling agent.

Pressure can be utilized in any of the methods described herein. For example, irradiation can be performed on the biomass under a pressure of greater than about 2.5 atmospheres, such as greater than 5 or 10 atmospheres.

In another aspect, a mixture includes a low molecular weight sugar, a biomass material, and a solvent. In some cases the mixture also includes a microorganism.

Examples of biomass feedstock include paper, paper products, paper waste, wood, particle board, sawdust, agricultural waste, sewage, silage, grasses, rice hulls, bagasse, cotton, jute, hemp, flax, bamboo, sisal, abaca, straw, corn cobs, corn stover, switchgrass, alfalfa, hay, rice hulls, coconut hair, cotton, synthetic celluloses, seaweed, algae, or mixtures of these. The biomass can be or can include a natural or a synthetic material. Examples of fuels include one or more of hydrogen, alcohols, and hydrocarbons. For example, the alcohols can be ethanol, n-propanol, isopropanol, n-butanol, or mixtures of these.

Irradiation can be, e.g., performed utilizing an ionizing radiation, such as gamma rays, a beam of electrons, or ultraviolet C radiation having a wavelength of from about 100 nm to about 280 nm. Irradiation can be performed using multiple applications of radiation. The ionizing radiation can include electron beam radiation. For example, the radiation can be applied at a total dose of between about 10 Mrad and about 150 Mrad, such as at a dose rate of about 0.5 to about 10 Mrad/day, or 1 Mrad/s to about 10 Mrad/s. In some embodiments, irradiating includes applying two or more radiation sources, such as gamma rays and a beam of electrons.

In some embodiments, the biomass includes a first cellulose having a first number average molecular weight and the carbohydrate material comprises a second cellulose having a second number average molecular weight lower than the first number average molecular weight. For example, the second number average molecular weight is lower than the first number average molecular weight by more than about one-fold. In some embodiments, the first cellulose has a first crystallinity, and the second cellulose has a second crystallinity lower than the first crystallinity. For example, the second

crystallinity can be lower than the first crystallinity by more than about 10 percent.

In some embodiments, the first cellulose can have a first level of oxidation and the second cellulose has a second level of oxidation higher than the first level of oxidation.

The biomass material can further include a buffer, such as sodium bicarbonate or ammonium chloride, an electrolyte, such as potassium chloride or sodium chloride a growth factor, such as biotin and/or a base pair such as uracil, a surfactant, a mineral, or a chelating agent.

In some embodiments, the methods include pretreating with one or more other pretreatment methods in addition to irradiation. For example, the two or more different pretreatment methods can include radiation and sonication, radiation and oxidation, and radiation and pyrolization. Optionally, pretreating the biomass can include steam explosion. To further aid in the reduction of the molecular weight of the biomass, an enzyme, e.g., a cellulolytic enzyme, or a chemical, e.g., sodium hypochlorite, an acid, a base or a swelling agent, can be utilized with any method described herein. The enzyme and/or chemical treatment can occur before, during or after irradiation or other pretreatment.

When a microorganism is utilized, it can be a natural microorganism or an engineered microorganism. For example, the microorganism can be a bacterium, e.g., a cellulolytic bacterium, a fungus, e.g., a yeast, a plant or a protist, e.g., an algae, a protozoa or a fungus-like protist, e.g., a slime mold. When the organisms are compatible, mixtures may be utilized. Generally, various microorganisms can produce a number of useful products, such as a fuel, by operating on, e.g., fermenting the materials. For example, alcohols, organic acids, hydrocarbons, hydrogen, proteins or mixtures of any of these materials can be produced by fermentation or other processes.

Examples of products that may be produced using the methods disclosed herein include mono- and polyfunctional C1-C6 alkyl alcohols, mono- and poly-functional carboxylic acids, C1-C6 hydrocarbons, and combinations thereof. Specific examples of suitable alcohols include methanol, ethanol, propanol, isopropanol, butanol, ethylene glycol, propylene glycol, 1,4-butane diol, glycerin, and combinations thereof. Specific example of suitable carboxylic acids include formic acid, acetic acid, propionic acid, butyric acid, valeric acid, caproic acid, palmitic acid, stearic acid, oxalic acid, malonic acid, succinic acid, glutaric acid, oleic acid, linoleic acid, glycolic acid, lactic acid, γ- hydroxybutyric acid, and combinations thereof. Examples of suitable hydrocarbons include methane, ethane, propane, pentane, n-hexane, and combinations thereof. Many of these products may be used as fuels. Other products are described in U.S. Provisional Application Serial No. 61/139,453, the full disclosure of which is incorporated by reference herein. Products or co-products produced can be products intended to be used as produced or the products produced can be intermediates for any other process described herein or any process described in any application incorporated by reference herein.

Examples of microorganisms that may be used to produce useful products include bacteria, yeasts, or combinations thereof. For example, the microorganism can be a bacterium, e.g., a cellulolytic bacterium, a fungus, e.g., a yeast, a plant or a protist, e.g., an algae, a protozoa or a fungus-like protist, e.g., a slime mold.

In any of the methods disclosed herein, radiation may be applied from a device that is in a vault.

The term "fibrous material," as used herein, is a material that includes numerous loose, discrete and separable fibers. For example, a fibrous material can be prepared from a bleached Kraft paper fiber source by shearing, e.g., with a rotary knife cutter.

The term "screen," as used herein, means a member capable of sieving material according to size. Examples of screens include a perforated plate, cylinder or the like, or a wire mesh or cloth fabric.

The term "pyrolysis," as used herein, means to break bonds in a material by the application of heat energy. Pyrolysis can occur while the subject material is under vacuum, or immersed in a gaseous material, such as an oxidizing gas, e.g., air or oxygen, or a reducing gas, such as hydrogen.

Oxygen content is measured by elemental analysis by pyrolyzing a sample in a furnace operating at 1300 °C or above.

The term "biomass" includes any non-fossilized, i.e., renewable, organic matter. The various types of biomass include plant biomass (defined below), microbial biomass, animal biomass (any animal by-product, animal waste, etc.) and municipal waste biomass (residential and light commercial refuse with recyclables such as metal and glass removed). The term biomass also includes virgin or post consumer cellulosic materials, such as rags and towels fabricated from cotton or a cotton blend.

The term "plant biomass" and "lignocellulosic biomass" refer to virtually any plant-derived organic matter (woody or non-woody). Plant biomass can include, but is not limited to, agricultural or food crops (e.g., sugarcane, sugar beets or corn kernels) or an extract therefrom (e.g., sugar from sugarcane and corn starch from corn), agricultural crops and agricultural crop wastes and residues such as corn stover, wheat straw, rice straw, sugar cane bagasse, cotton and the like. Plant biomass further includes, but is not limited to, trees, woody energy crops, wood wastes and residues such as softwood forest thinnings, barky wastes, sawdust, paper and pulp industry waste streams, wood fiber, and the like. Additionally, grass crops, such as switchgrass and the like have potential to be produced on a large-scale as another plant biomass source. For urban areas, the best potential plant biomass feedstock includes yard waste (e.g., grass clippings, leaves, tree clippings, and brush) and vegetable processing waste.

"Lignocellulosic feedstock," is any type of plant biomass such as, but not limited to, non-woody plant biomass, cultivated crops, such as, but not limited to, grasses, for example, but not limited to, C4 grasses, such as switchgrass, cord grass, rye grass, miscanthus, reed canary grass, or a combination thereof, or sugar processing residues such as bagasse, or beet pulp, agricultural residues, for example, soybean stover, corn stover, rice straw, rice hulls, barley straw, corn cobs, wheat straw, canola straw, rice straw, oat straw, oat hulls, corn fiber, recycled wood pulp fiber, sawdust, hardwood, for example aspen wood and sawdust, softwood, or a combination thereof. Further, the lignocellulosic feedstock may include cellulosic waste material such as, but not limited to, newsprint, cardboard, sawdust, and the like.

Lignocellulosic feedstock may include one species of fiber or alternatively, lignocellulosic feedstock may include a mixture of fibers that originate from different lignocellulosic feedstocks. Furthermore, the lignocellulosic feedstock may comprise fresh lignocellulosic feedstock, partially dried lignocellulosic feedstock, fully dried lignocellulosic feedstock or a combination thereof.

For the purposes of this disclosure, carbohydrates are materials that are composed entirely of one or more saccharide units or that include one or more saccharide units. The saccharide units can be functionalized about the ring with one or more functional groups, such as carboxylic acid groups, amino groups, nitro groups, nitroso groups or nitrile groups and still be considered carbohydrates. Carbohydrates can be polymeric (e.g., equal to or greater than 10-mer, 100-mer, 1,000-mer, 10,000-mer, or 100,000-mer), oligomeric (e.g., equal to or greater than a 4-mer, 5-mer, 6-mer, 7-mer, 8-mer, 9-mer or 10-mer), trimeric, dimeric, or monomeric. When the carbohydrates are formed of more than a single repeat unit, each repeat unit can be the same or different.

Examples of polymeric carbohydrates include cellulose, xylan, pectin, and starch, while cellobiose and lactose are examples of dimeric carbohydrates. Examples of monomeric carbohydrates include glucose and xylose. Carbohydrates can be part of a supramolecular structure, e.g., covalently bonded into the structure. Examples of such materials include lignocellulosic materials, such as those found in wood.

A starchy material is one that is or includes significant amounts of starch or a starch derivative, such as greater than about 5 percent by weight starch or starch derivative. For purposes of this disclosure, a starch is a material that is or includes an amylose, an amylopectin, or a physical and/or chemical mixture thereof, e.g., a 20:80 or 30:70 percent by weight mixture of amylose to amylopectin. For example, rice, corn, and mixtures thereof are starchy materials. Starch derivatives include, e.g., maltodextrin, acid-modified starch, base-modified starch, bleached starch, oxidized starch, acetylated starch, acetylated and oxidized starch, phosphate-modified starch, genetically-modified starch and starch that is resistant to digestion.

For purposes of this disclosure, a low molecular weight sugar is a carbohydrate or a derivative thereof that has a formula weight (excluding moisture) that is less than about 2,000, e.g., less than about 1,800, 1,600, less than about 1,000, less than about 500, less than about 350 or less than about 250. For example, the low molecular weight sugar can be a monosaccharide, e.g., glucose or xylose, a disaccharide, e.g., cellobiose or sucrose, or a trisaccharide.

A combustible fuel is a material capable of burning in the presence of oxygen. Examples of combustible fuels include ethanol, n-propanol, n-butanol, hydrogen and mixtures of any two or more of these.

Swelling agents as used herein are materials that cause a discernable swelling, e.g., a 2.5 percent increase in volume over an unswollen state of cellulosic and/or lignocellulosic materials, when applied to such materials as a solution, e.g., a water solution. Examples include alkaline substances, such as sodium hydroxide, potassium hydroxide, lithium hydroxide and ammonium hydroxides, acidifying agents, such as mineral acids (e.g., sulfuric acid, hydrochloric acid and phosphoric acid), salts, such as zinc chloride, calcium carbonate, sodium carbonate, benzyltrimethylammonium sulfate, and basic organic amines, such as ethylene diamine.

A "sheared material," as used herein, is a material that includes discrete fibers in which at least about 50% of the discrete fibers have a length/diameter (L/D) ratio of at least about 5, and that has an uncompressed bulk density of less than about 0.6 g/cm ³ . A sheared material is thus different from a material that has been cut, chopped or ground.

Changing a molecular structure of a biomass feedstock, as used herein, means to change the chemical bonding arrangement, such as the type and quantity of functional groups or conformation of the structure. For example, the change in the molecular structure can include changing the supramolecular structure of the material, oxidation of the material, changing an average molecular weight, changing an average crystallinity, changing a surface area, changing a degree of polymerization, changing a porosity, changing a degree of branching, grafting on other materials, changing a crystalline domain size, or an changing an overall domain size.

This application incorporates by reference herein the entire contents of

International Application No. PCT/US2007/022719, filed on October 26, 2007. The full disclosures of each of the following U.S. Patent Applications are hereby incorporated by reference herein: U.S. Provisional Application Serial Nos. 61/049,391; 61/049,394;

61/049,395; 61/049,404; 61/049,405; 61/049,406; 61/049,407; 61/049,413; 61/049,415; and 61/049,419, all filed April 30, 2008; U.S. Provisional Application Serial Nos.

61/073,432; 61/073,436; 61/073,496; 61/073,530; 61/073,665; and 61/073,674, all filed June 18, 2008; U.S. Provisional Application Serial No. 61/106,861, filed October 20, 2008; U.S. Provisional Application Serial Nos. 61/139,324 and 61/139,453, both filed December 19, 2008, and U.S. Patent Application Ser. Nos.12/417,707; 12/417,720;

12/417,840; 12/417,699; 12/417,731; 12/417,900; 12/417,880; 12/417,723; 12/417,786; and 12/417,904, all filed April 3, 2009.

Unless otherwise defined, all technical and scientific terms used herein have the same meaning as commonly understood by one of ordinary skill in the art to which this invention belongs. Although methods and materials similar or equivalent to those described herein can be used in the practice or testing of the present invention, suitable methods and materials are described below. All publications, patent applications, patents, and other references mentioned herein are incorporated by reference in their entirety. In case of conflict, the present specification, including definitions, will control. In addition, the materials, methods, and examples are illustrative only and not intended to be limiting. Other features and advantages of the invention will be apparent from the following detailed description, and from the claims.

DESCRIPTION OF DRAWINGS

FIG. 1 is a block diagram illustrating conversion of biomass into products and co- products.

FIG. 2 is block diagram illustrating conversion of a fiber source into a first and second fibrous material.

FIG. 3 is a cross-sectional view of a rotary knife cutter.

FIG. 4 is block diagram illustrating conversion of a fiber source into a first, second and third fibrous material.

FIG. 5 is block diagram illustrating densification of a material.

FIG. 6 is a perspective view of a pellet mill.

FIG. 7A is a densified fibrous material in pellet form.

FIG. 7B is a transverse cross-section of a hollow pellet in which a center of the hollow is in-line with a center of the pellet.

FIG. 7C is a transverse cross-section of a hollow pellet in which a center of the hollow is out of line with the center of the pellet.

FIG. 7D is a transverse cross-section of a tri-lobal pellet.

FIG. 8 is a block diagram illustrating a treatment sequence for processing feedstock.

FIG. 9 is a perspective, cut-away view of a gamma irradiator housed in a concrete vault.

FIG. 10 is an enlarged perspective view of region R of FIG. 9.

FIG. 11 A is a block diagram illustrating an electron beam irradiation feedstock pretreatment sequence.

FIG. 1 IB is a schematic representation of biomass being ionized, and then oxidized or quenched.

FIG. 12 is a schematic view of a system for sonicating a process stream of cellulosic material in a liquid medium. FIG. 13 is a schematic view of a sonicator having two transducers coupled to a single horn.

FIG. 14 is a block diagram illustrating a pyrolytic feedstock pretreatment system

FIG. 15 is a cross-sectional side view of a pyrolysis chamber.

FIG. 16 is a cross-sectional side view of a pyrolysis chamber.

FIG. 17 is a cross-sectional side view of a pyrolyzer that includes a heated filament.

FIG. 18 is a schematic cross-sectional side view of a Curie-Point pyrolyzer.

FIG. 19 is a schematic cross-sectional side view of a furnace pyrolyzer.

FIG. 20 is a schematic cross-sectional top view of a laser pyrolysis apparatus

FIG. 21 is a schematic cross-sectional top view of a tungsten filament flash pyrolyzer.

FIG. 22 is a block diagram illustrating an oxidative feedstock pretreatment system.

FIG. 23 is block diagram illustrating a general overview of the process of converting a fiber source into a product, e.g., ethanol.

FIG. 24 is a cross-sectional view of a steam explosion apparatus.

FIG. 25 is a schematic cross-sectional side view of a hybrid electron

beam/soni cation device.

FIG. 26 is a scanning electron micrograph of a fibrous material produced from polycoated paper at 25 X magnification. The fibrous material was produced on a rotary knife cutter utilizing a screen with 1/8 inch openings.

FIG. 27 is a scanning electron micrograph of a fibrous material produced from bleached Kraft board paper at 25 X magnification. The fibrous material was produced on a rotary knife cutter utilizing a screen with 1/8 inch openings.

FIG. 28 is a scanning electron micrograph of a fibrous material produced from bleached Kraft board paper at 25 X magnification. The fibrous material was twice sheared on a rotary knife cutter utilizing a screen with 1/16 inch openings during each shearing.

FIG. 29 is a scanning electron micrograph of a fibrous material produced from bleached Kraft board paper at 25 X magnification. The fibrous material was thrice sheared on a rotary knife cutter. During the first shearing, a 1/8 inch screen was used; during the second shearing, a 1/16 inch screen was used, and during the third shearing a 1/32 inch screen was used.

FIGS. 29A-29F are 3-D Raman spectra from the surface of fibers from samples P132, P132-10, P132-100, P-le, P-30e, and P-100e, respectively.

FIG. 30 is a schematic side view of a sonication apparatus, while FIG. 31 is a cross-sectional view through the processing cell of FIG. 30.

FIG. 32 is a scanning electron micrograph at 1000 X magnification of a fibrous material produced from shearing switchgrass on a rotary knife cutter, and then passing the sheared material through a 1/32 inch screen.

FIGS. 33 and 34 are scanning electron micrographs of the fibrous material of FIG. 32 after irradiation with 10 Mrad and 100 Mrad gamma rays, respectively, at 1000 X magnification.

FIG. 35 is a scanning electron micrographs of the fibrous material of FIG. 32 after irradiation with 10 Mrad and sonication at 1000 X magnification.

FIG. 36 is a scanning electron micrographs of the fibrous material of FIG. 32 after irradiation with 100 Mrad and sonication at 1000 X magnification.

FIG. 37 is an infrared spectrum of Kraft board paper sheared on a rotary knife cutter.

FIG. 38 is an infrared spectrum of the Kraft paper of FIG. 37 after irradiation with 100 Mrad of gamma radiation.

FIGS. 38A-38I are 1H-NMR spectra of samples P132, P132-10, P132-100, P-le, P-5e, P-lOe, P-30e, P-70e, and P-100e in Example 23. FIG. 38J is a comparison of the exchangeable proton at ~16ppm from FIGS. 38A-38I. FIG. 38K is a ¹³ C- MR of sample P-100e. FIGS. 38L-38M are ¹³ C- MR of sample P-100e with a delay time of 10 seconds. FIG. 38N is a ¹ H- MR at a concentration of 10% wt./wt. of sample P-100e.

FIG. 39 is a schematic view of a process for biomass conversion.

FIG. 40 is schematic view of another process for biomass conversion. DETAILED DESCRIPTION

Biomass (e.g., plant biomass, such as those that are or that include one or more low molecular weight sugars, animal biomass, and municipal waste biomass) can be processed to produce useful products such as fuels, e.g., fuels for internal combustion engines, jet engines or feedstocks for fuel cells. In addition, functionalized materials having desired types and amounts of functionality, such as carboxylic acid groups, enol groups, aldehyde groups, ketone groups, nitrile groups, nitro groups, or nitroso groups, can be prepared using the methods described herein. Such functionalized materials can be, e.g., more soluble, easier to utilize by various microorganisms or can be more stable over the long term, e.g., less prone to oxidation. Systems and processes are described herein that can use various biomass materials, such as cellulosic materials, lignocellulosic materials, starchy materials or materials that are or that include low molecular weight sugars, as feedstock materials. Such materials are often readily available, but can be difficult to process, e.g., by fermentation, or can give sub-optimal yields at a slow rate. Feedstock materials are first physically prepared for processing, often by size reduction of raw feedstock materials. Physically prepared feedstock can be pretreated or processed using one or more of radiation, sonication, oxidation, pyrolysis, and steam explosion. The various pretreatment systems and methods can be used in combinations of two, three, or even four of these technologies.

In some cases, to provide materials that include a carbohydrate, such as cellulose, that can be converted by a microorganism to a number of desirable products, such as a combustible fuels (e.g., ethanol, butanol or hydrogen), feedstocks that include one or more saccharide units can be treated by any one or more of the processes described herein. Other products and co-products that can be produced include, for example, human food, animal feed, pharmaceuticals, and nutriceuticals. A number of examples are presented that range from bench scale implementations of individual pretreatment methods to large-scale biomass processing plants.

TYPES OF BIOMASS

Generally, any biomass material that is or includes carbohydrates composed entirely of one or more saccharide units or that include one or more saccharide units can be processed by any of the methods described herein. For example, the biomass material can be cellulosic or lignocellulosic materials, starchy materials, such as kernels of corn, grains of rice or other foods, or materials that are or that include one or more low molecular weight sugars, such as sucrose or cellobiose.

For example, such materials can include paper, paper products, wood, wood- related materials, particle board, grasses, rice hulls, bagasse, cotton, jute, hemp, flax, bamboo, sisal, abaca, straw, corn cobs, rice hulls, coconut hair, algae, seaweed, cotton, synthetic celluloses, or mixtures of any of these. Suitable materials include those listed in the Summary section, above.

Fiber sources include cellulosic fiber sources, including paper and paper products

(e.g., polycoated paper and Kraft paper), and lignocellulosic fiber sources, including wood, and wood-related materials, e.g., particleboard. Other suitable fiber sources include natural fiber sources, e.g., grasses, rice hulls, bagasse, cotton, jute, hemp, flax, bamboo, sisal, abaca, straw, corn cobs, rice hulls, coconut hair; fiber sources high in oc- cellulose content, e.g., cotton; and synthetic fiber sources, e.g., extruded yarn (oriented yarn or un-oriented yarn). Natural or synthetic fiber sources can be obtained from virgin scrap textile materials, e.g., remnants or they can be post consumer waste, e.g., rags. When paper products are used as fiber sources, they can be virgin materials, e.g., scrap virgin materials, or they can be post-consumer waste. Aside from virgin raw materials, post-consumer, industrial (e.g., offal), and processing waste (e.g., effluent from paper processing) can also be used as fiber sources. Also, the fiber source can be obtained or derived from human (e.g., sewage), animal or plant wastes. Additional fiber sources have been described in U.S. Patent Nos. 6,448,307, 6,258,876, 6,207,729, 5,973,035 and 5,952, 105.

In some embodiments, the carbohydrate is or includes a material having one or more P-l,4-linkages and having a number average molecular weight between about 3,000 and 50,000. Such a carbohydrate is or includes cellulose (I), which is derived from (β- glucose 1) through condensation of P(l→4)-glycosidic bonds. This linkage contrasts itself with that for a(l→4)-glycosidic bonds present in starch and other carbohydrates.

I

Starchy materials include starch itself, e.g., corn starch, wheat starch, potato starch or rice starch, a derivative of starch, or a material that includes starch, such as an edible food product or a crop. For example, the starchy material can be arracacha, buckwheat, banana, barley, cassava, kudzu, oca, sago, sorghum, regular household potatoes, sweet potato, taro, yams, or one or more beans, such as favas, lentils or peas. Blends of these and/or other starchy materials are also considered to be starchy materials. In particular embodiments, the starchy material is derived from corn. Various corn starches and derivatives are described in "Corn Starch," Corn Refiners Association (11 ^th Edition, 2006), which is attached hereto as Appendix A.

Biomass materials that include low molecular weight sugars can, e.g., include at least about 0.5 percent by weight of the low molecular sugar, e.g., at least about 2, 3, 4, 5,

6, 7, 8, 9, 10, 12.5, 25, 35, 50, 60, 70, 80, 90 or even at least about 95 percent by weight of the low molecular weight sugar. In some instances, the biomass is composed substantially of the low molecular weight sugar, e.g., greater than 95 percent by weight, such as 96, 97, 98, 99 or substantially 100 percent by weight of the low molecular weight sugar.

Biomass materials that include low molecular weight sugars can be agricultural products or food products, such as sugarcane and sugar beets, or an extract therefrom, e.g., juice from sugarcane or sugar beets. Biomass materials that include low molecular weight sugars can be substantially pure extracts, such as raw or crystallized table sugar (sucrose). Low molecular weight sugars include sugar derivatives. For example, the low molecular weight sugars can be oligomeric (e.g., equal to or greater than a 4-mer, 5-mer, 6-mer, 7-mer, 8-mer, 9-mer or 10-mer), trimeric, dimeric, or monomeric. When the carbohydrates are formed of more than a single repeat unit, each repeat unit can be the same or different.

Specific examples of low molecular weight sugars include cellobiose, lactose, sucrose, glucose and xylose, along with derivatives thereof. In some instances, sugar derivatives are more rapidly dissolved in solution or utilized by microbes to provide a useful material, such as ethanol or butanol. Several such sugars and sugar derivatives are shown below.

2-keto-gluconic acid

6-MAS

6-monoacid of sucrose HO ¹

fructose

Blends of any biomass materials described herein can be utilized for making any of the products described herein, such as ethanol. For example, blends of cellulosic materials and starchy materials can be utilized for making any product described herein.

SYSTEMS FOR TREATING BIOMASS

FIG. 1 shows a system 100 for converting biomass, particularly biomass with significant cellulosic and lignocellulosic components and/or starchy components, into useful products and co-products. System 100 includes a feed preparation subsystem 110, a pretreatment subsystem 114, a primary process subsystem 118, and a post-processing subsystem 122. Feed preparation subsystem 110 receives biomass in its raw form, physically prepares the biomass for use as feedstock by downstream processes (e.g., reduces the size of and homogenizes the biomass), and stores the biomass both in its raw and feedstock forms. Biomass feedstock with significant cellulosic and/or lignocellulosic components, or starchy components can have a high average molecular weight and crystallinity that can make processing the feedstock into useful products (e.g., fermenting the feedstock to produce ethanol) difficult. For example, others have used acids, bases and enzymes to process cellulosic, lignocellulosic or starchy feedstocks. As described herein, in some embodiments, such treatments are unnecessary, or are necessary only in small or catalytic amounts.

Pretreatment subsystem 114 receives feedstock from the feed preparation subsystem

110 and prepares the feedstock for use in primary production processes by, for example, reducing the average molecular weight and crystallinity of the feedstock. Primary process subsystem 118 receives pretreated feedstock from pretreatment subsystem 114 and produces useful products (e.g., ethanol, other alcohols, pharmaceuticals, and/or food products). In some cases, the output of primary process subsystem 118 is directly useful but, in other cases, requires further processing provided by post-processing subsystem 122. Postprocessing subsystem 122 provides further processing to product streams from primary process system 118 which require it (e.g., distillation and denaturation of ethanol) as well as treatment for waste streams from the other subsystems. In some cases, the co-products of subsystems 114, 118, 122 can also be directly or indirectly useful as secondary products and/or in increasing the overall efficiency of system 100. For example, post-processing subsystem 122 can produce treated water to be recycled for use as process water in other subsystems and/or can produce burnable waste which can be used as fuel for boilers producing steam and/or electricity.

The optimum size for biomass conversion plants is affected by factors including economies of scale and the type and availability of biomass used as feedstock. Increasing plant size tends to increase economies of scale associated with plant processes. However, increasing plant size also tends to increase the costs (e.g., transportation costs) per unit of feedstock. Studies analyzing these factors suggest that the appropriate size for biomass conversion plants can range from 2000 to 10,000 dried tons of feedstock per day depending at least in part on the type of feedstock used. The type of feedstock can also impact plant storage requirements with plants designed primarily for processing feedstock whose availability varies seasonally (e.g., corn stover) requiring more on- or of-site feedstock storage than plants designed to process feedstock whose availability is relatively steady (e.g., waste paper). PHYSICAL PREPARATION

In some cases, methods of processing begin with a physical preparation of the feedstock, e.g., size reduction of raw feedstock materials, such as by cutting, grinding, shearing or chopping. In some cases, loose feedstock (e.g., recycled paper, starchy materials, or switchgrass) is prepared by shearing or shredding. Screens and/or magnets can be used to remove oversized or undesirable objects such as, for example, rocks or nails from the feed stream.

Feed preparation systems can be configured to produce feed streams with specific characteristics such as, for example, specific maximum sizes, specific length-to-width, or specific surface areas ratios. As a part of feed preparation, the bulk density of feedstocks can be controlled (e.g., increased or decreased).

Size Reduction

In some embodiments, the material to be processed is in the form of a fibrous material that includes fibers provided by shearing a fiber source. For example, the shearing can be performed with a rotary knife cutter.

For example, and by reference to FIG. 2, a fiber source 210 is sheared, e.g., in a rotary knife cutter, to provide a first fibrous material 212. The first fibrous material 212 is passed through a first screen 214 having an average opening size of 1.59 mm or less (1/16 inch, 0.0625 inch) to provide a second fibrous material 216. If desired, fiber source can be cut prior to the shearing, e.g., with a shredder. For example, when a paper is used as the fiber source, the paper can be first cut into strips that are, e.g., 1/4- to 1/2-inch wide, using a shredder, e.g., a counter-rotating screw shredder, such as those

manufactured by Munson (Utica, N. Y). As an alternative to shredding, the paper can be reduced in size by cutting to a desired size using a guillotine cutter. For example, the guillotine cutter can be used to cut the paper into sheets that are, e.g., 10 inches wide by 12 inches long. In some embodiments, the shearing of fiber source and the passing of the resulting first fibrous material through first screen are performed concurrently. The shearing and the passing can also be performed in a batch-type process.

For example, a rotary knife cutter can be used to concurrently shear the fiber source and screen the first fibrous material. Referring to FIG. 3, a rotary knife cutter 220 includes a hopper 222 that can be loaded with a shredded fiber source 224 prepared by shredding fiber source. Shredded fiber source is sheared between stationary blades 230 and rotating blades 232 to provide a first fibrous material 240. First fibrous material 240 passes through screen 242, and the resulting second fibrous material 244 is captured in bin 250. To aid in the collection of the second fibrous material, the bin can have a pressure below nominal atmospheric pressure, e.g., at least 10 percent below nominal atmospheric pressure, e.g., at least 25 percent below nominal atmospheric pressure, at least 50 percent below nominal atmospheric pressure, or at least 75 percent below nominal atmospheric pressure. In some embodiments, a vacuum source 252 is utilized to maintain the bin below nominal atmospheric pressure.

Shearing can be advantageous for "opening up" and "stressing" the fibrous materials, making the cellulose of the materials more susceptible to chain scission and/or reduction of crystallinity. The open materials can also be more susceptible to oxidation when irradiated.

The fiber source can be sheared in a dry state, a hydrated state (e.g., having up to ten percent by weight absorbed water), or in a wet state, e.g., having between about 10 percent and about 75 percent by weight water. The fiber source can even be sheared while partially or fully submerged under a liquid, such as water, ethanol, isopropanol.

The fiber source can also be sheared in under a gas (such as a stream or atmosphere of gas other than air), e.g., oxygen or nitrogen, or steam.

Other methods of making the fibrous materials include, e.g., stone grinding, mechanical ripping or tearing, pin grinding or air attrition milling.

If desired, the fibrous materials can be separated, e.g., continuously or in batches, into fractions according to their length, width, density, material type, or some

combination of these attributes. For example, ferrous materials can be separated from any of the fibrous materials by passing a fibrous material that includes a ferrous material past a magnet, e.g., an electromagnet, and then passing the resulting fibrous material through a series of screens, each screen having different sized apertures.

The fibrous materials can also be separated, e.g., by using a high velocity gas, e.g., air. In such an approach, the fibrous materials are separated by drawing off different fractions, which can be characterized photonically, if desired. Such a separation apparatus is discussed in Lindsey et al, U.S. Patent No. 6,883,667.

The fibrous materials can irradiated immediately following their preparation, or they can may be dried, e.g., at approximately 105 °C for 4-18 hours, so that the moisture content is, e.g., less than about 0.5% before use.

If desired, lignin can be removed from any of the fibrous materials that include lignin. Also, to aid in the breakdown of the materials that include the cellulose, the material can be treated prior to irradiation with heat, a chemical (e.g., mineral acid, base or a strong oxidizer such as sodium hypochlorite) and/or an enzyme.

In some embodiments, the average opening size of the first screen is less than 0.79 mm (1/32 inch, 0.03125 inch), e.g., less than 0.51 mm (1/50 inch, 0.02000 inch), less than 0.40 mm (1/64 inch, 0.015625 inch), less than 0.23 mm (0.009 inch), less than 0.20 mm (1/128 inch, 0.0078125 inch), less than 0.18 mm (0.007 inch), less than 0.13 mm (0.005 inch), or even less than less than 0.10 mm (1/256 inch, 0.00390625 inch).

The screen is prepared by interweaving monofilaments having an appropriate diameter to give the desired opening size. For example, the monofilaments can be made of a metal, e.g., stainless steel. As the opening sizes get smaller, structural demands on the monofilaments may become greater. For example, for opening sizes less than 0.40 mm, it can be advantageous to make the screens from monofilaments made from a material other than stainless steel, e.g., titanium, titanium alloys, amorphous metals, nickel, tungsten, rhodium, rhenium, ceramics, or glass. In some embodiments, the screen is made from a plate, e.g. a metal plate, having apertures, e.g., cut into the plate using a laser. In some embodiments, the open area of the mesh is less than 52%, e.g., less than 41%, less than 36%, less than 31%, less than 30%. In some embodiments, the second fibrous is sheared and passed through the first screen, or a different sized screen. In some embodiments, the second fibrous material is passed through a second screen having an average opening size equal to or less than that of first screen.

Referring to FIG. 4, a third fibrous material 220 can be prepared from the second fibrous material 216 by shearing the second fibrous material 216 and passing the resulting material through a second screen 222 having an average opening size less than the first screen 214.

Generally, the fibers of the fibrous materials can have a relatively large average length-to-diameter ratio (e.g., greater than 20-to-l), even if they have been sheared more than once. In addition, the fibers of the fibrous materials described herein may have a relatively narrow length and/or length-to-diameter ratio distribution.

As used herein, average fiber widths (i.e., diameters) are those determined optically by randomly selecting approximately 5,000 fibers. Average fiber lengths are corrected length-weighted lengths. BET (Brunauer, Emmet and Teller) surface areas are multi-point surface areas, and porosities are those determined by mercury porosimetry.

The average length-to-diameter ratio of the second fibrous material 14 can be, e.g., greater than 8/1, e.g., greater than 10/1, greater than 15/1, greater than 20/1, greater than 25/1, or greater than 50/1. An average length of the second fibrous material 14 can be, e.g., between about 0.5 mm and 2.5 mm, e.g., between about 0.75 mm and 1.0 mm, and an average width (i.e., diameter) of the second fibrous material 14 can be, e.g., between about 5 μπι and 50 μπι, e.g., between about 10 μπι and 30 μπι.

In some embodiments, a standard deviation of the length of the second fibrous material 14 is less than 60 percent of an average length of the second fibrous material 14, e.g., less than 50 percent of the average length, less than 40 percent of the average length, less than 25 percent of the average length, less than 10 percent of the average length, less than 5 percent of the average length, or even less than 1 percent of the average length.

In some embodiments, a BET surface area of the second fibrous material is greater than 0.1 m ² /g, e.g., greater than 0.25 m ² /g, greater than 0.5 m ² /g, greater than 1.0 m ² /g, greater than 1.5 m ² /g, greater than 1.75 m ² /g, greater than 5.0 m ² /g, greater than 10 m ² /g, greater than 25 m ² /g, greater than 35 m ² /g, greater than 50m ² /g, greater than 60 m ² /g, greater than 75 m ² /g, greater than 100 m ² /g, greater than 150 m ² /g, greater than 200 m ² /g, or even greater than 250 m ² /g. A porosity of the second fibrous material 14 can be, e.g., greater than 20 percent, greater than 25 percent, greater than 35 percent, greater than 50 percent, greater than 60 percent, greater than 70 percent, e.g., greater than 80 percent, greater than 85 percent, greater than 90 percent, greater than 92 percent, greater than 94 percent, greater than 95 percent, greater than 97.5 percent, greater than 99 percent, or even greater than 99.5 percent.

In some embodiments, a ratio of the average length-to-diameter ratio of the first fibrous material to the average length-to-diameter ratio of the second fibrous material is, e.g., less than 1.5, e.g., less than 1.4, less than 1.25, less than 1.1, less than 1.075, less than 1.05, less than 1.025, or even substantially equal to 1.

In particular embodiments, the second fibrous material is sheared again and the resulting fibrous material passed through a second screen having an average opening size less than the first screen to provide a third fibrous material. In such instances, a ratio of the average length-to-diameter ratio of the second fibrous material to the average length- to-diameter ratio of the third fibrous material can be, e.g., less than 1.5, e.g., less than 1.4, less than 1.25, or even less than 1.1.

In some embodiments, the third fibrous material is passed through a third screen to produce a fourth fibrous material. The fourth fibrous material can be, e.g., passed through a fourth screen to produce a fifth material. Similar screening processes can be repeated as many times as desired to produce the desired fibrous material having the desired properties.

Densification

Densified materials can be processed by any of the methods described herein, or any material described herein, e.g., any fibrous material described herein, can be processed by any one or more methods described herein, and then densified as described herein.

A material, e.g., a fibrous material, having a low bulk density can be densified to a product having a higher bulk density. For example, a material composition having a bulk density of 0.05 g/ cm ³ can be densified by sealing the fibrous material in a relatively gas impermeable structure, e.g., a bag made of polyethylene or a bag made of alternating layers of polyethylene and a nylon, and then evacuating the entrapped gas, e.g., air, from the structure. After evacuation of the air from the structure, the fibrous material can have, e.g., a bulk density of greater than 0.3 g/cm ³ , e.g., 0.5 g/cm ³ , 0.6 g/cm ³ , 0.7 g/cm ³ or more, e.g., 0.85 g/ cm ³ . After densification, the product can processed by any of the methods described herein, e.g., irradiated, e.g., with gamma radiation. This can be advantageous when it is desirable to transport the material to another location, e.g., a remote manufacturing plant, where the fibrous material composition can be added to a solution, e.g., to produce ethanol. After piercing the substantially gas impermeable structure, the densified fibrous material can revert to nearly its initial bulk density, e.g., greater than 60 percent of its initial bulk density, e.g., 70 percent, 80 percent, 85 percent or more, e.g., 95 percent of its initial bulk density. To reduce static electricity in the fibrous material, an anti-static agent can be added to the material.

In some embodiments, the structure, e.g., bag, is formed of a material that dissolves in a liquid, such as water. For example, the structure can be formed from a polyvinyl alcohol so that it dissolves when in contact with a water-based system. Such embodiments allow densified structures to be added directly to solutions that include a microorganism, without first releasing the contents of the structure, e.g., by cutting.

Referring to FIG. 5, a biomass material can be combined with any desired additives and a binder, and subsequently densified by application of pressure, e.g., by passing the material through a nip defined between counter-rotating pressure rolls or by passing the material through a pellet mill. During the application of pressure, heat can optionally be applied to aid in the densification of the fibrous material. The densified material can then be irradiated.

In some embodiments, the material prior to densification has a bulk density of less than 0.25 g/cm ³ , e.g., 0.20 g/cm ³ , 0.15 g/cm ³ , 0.10 g/cm ³ , 0.05 g/cm ³ or less, e.g., 0.025 g/cm ³ . Bulk density is determined using ASTM D1895B. Briefly, the method involves filling a measuring cylinder of known volume with a sample and obtaining a weight of the sample. The bulk density is calculated by dividing the weight of the sample in grams by the known volume of the cylinder in cubic centimeters.

The preferred binders include binders that are soluble in water, swollen by water, or that has a glass transition temperature of less 25 °C, as determined by differential scanning calorimetry. By water-soluble binders, we mean binders having a solubility of at least about 0.05 weight percent in water. By water swellable binders, we mean binders that increase in volume by more than 0.5 percent upon exposure to water.

In some embodiments, the binders that are soluble or swollen by water include a functional group that is capable of forming a bond, e.g., a hydrogen bond, with the fibers of the fibrous material, e.g., cellulosic fibrous material. For example, the functional group can be a carboxylic acid group, a carboxylate group, a carbonyl group, e.g., of an aldehyde or a ketone, a sulfonic acid group, a sulfonate group, a phosphoric acid group, a phosphate group, an amide group, an amine group, a hydroxyl group, e.g., of an alcohol, and combinations of these groups, e.g., a carboxylic acid group and a hydroxyl group. Specific monomelic examples include glycerin, glyoxal, ascorbic acid, urea, glycine, pentaerythritol, a monosaccharide or a disaccharide, citric acid, and tartaric acid.

Suitable saccharides include glucose, sucrose, lactose, ribose, fructose, mannose, arabinose and erythrose. Polymeric examples include polyglycols, polyethylene oxide, polycarboxylic acids, polyamides, polyamines and polysulfonic acids polysulfonates. Specific polymeric examples include polypropylene glycol (PPG), polyethylene glycol (PEG), polyethylene oxide, e.g., POLYOX ^® , copolymers of ethylene oxide and propylene oxide, polyacrylic acid (PAA), polyacrylamide, polypeptides, polyethylenimine, poly vinylpyri dine, poly(sodium-4-styrenesulfonate) and poly(2-acrylamido-m ethyl- 1- propanesulfonic acid).

In some embodiments, the binder includes a polymer that has a glass transition temperature less 25 °C. Examples of such polymers include thermoplastic elastomers (TPEs). Examples of TPEs include poly ether block amides, such as those available under the tradename PEBAX ^® , polyester elastomers, such as those available under the tradename HYTREL ^® , and styrenic block copolymers, such as those available under the tradename KRATON ^® . Other suitable polymers having a glass transition temperature less 25 °C include ethylene vinyl acetate copolymer (EVA), poly olefins, e.g.,

polyethylene, polypropylene, ethylene-propylene copolymers, and copolymers of ethylene and alpha olefins, e.g., 1-octene, such as those available under the tradename ENGAGE ^® . In some embodiments, e.g., when the material is a fiberized polycoated paper, the material is densified without the addition of a separate low glass transition temperature polymer.

In a particular embodiment, the binder is a lignin, e.g., a natural or synthetically modified lignin.

A suitable amount of binder added to the material, calculated on a dry weight basis, is, e.g., from about 0.01 percent to about 50 percent, e.g., 0.03 percent, 0.05 percent, 0.1 percent, 0.25 percent, 0.5 percent, 1.0 percent, 5 percent, 10 percent or more, e.g., 25 percent, based on a total weight of the densified material. The binder can be added to the material as a neat, pure liquid, as a liquid having the binder dissolved therein, as a dry powder of the binder, or as pellets of the binder.

The densified fibrous material can be made in a pellet mill. Referring to FIG. 6, a pellet mill 300 has a hopper 301 for holding undensified material 310 that includes a carbohydrate-containing material, such as cellulose. The hopper communicates with an auger 312 that is driven by variable speed motor 314 so that undensified material can be transported to a conditioner 320 that stirs the undensified material with paddles 322 that are rotated by conditioner motor 330. Other ingredients, e.g., any of the additives and/or fillers described herein, can be added at inlet 332. If desired, heat may be added while the fibrous material is in conditioner. After conditioned, the material passes from the conditioner through a dump chute 340, and to another auger 342. The dump chute, as controlled by actuator 344, allows for unobstructed passage of the material from conditioner to auger. Auger is rotated by motor 346, and controls the feeding of the fibrous material into die and roller assembly 350. Specifically, the material is introduced into a hollow, cylindrical die 352, which rotates about a horizontal axis and which has radially extending die holes 250. Die 352 is rotated about the axis by motor 360, which includes a horsepower gauge, indicating total power consumed by the motor. Densified material 370, e.g., in the form of pellets, drops from chute 372 and are captured and processed, such as by irradiation.

The material, after densification, can be conveniently in the form of pellets or chips having a variety of shapes. The pellets can then be irradiated. In some

embodiments, the pellets or chips are cylindrical in shape, e.g., having a maximum transverse dimension of, e.g., 1 mm or more, e.g., 2 mm, 3 mm, 5 mm, 8 mm, 10 mm, 15 mm or more, e.g., 25 mm. Other convenient shapes include pellets or chips that are platelike in form, e.g., having a thickness of 1 mm or more, e.g., 2 mm, 3 mm, 5 mm, 8 mm, 10 mm or more, e.g., 25 mm; a width of, e.g., 5 mm or more, e.g., 10 mm, 15 mm, 25 mm, 30 mm or more, e.g., 50 mm; and a length of 5 mm or more, e.g., 10 mm, 15 mm, 25 mm, 30 mm or more, e.g., 50 mm.

Referring now FIG. 7A-7D, pellets can be made so that they have a hollow inside. As shown, the hollow can be generally in-line with the center of the pellet (FIG. 7B), or out of line with the center of the pellet (FIG. 7C). Making the pellet hollow inside can increase the rate of dissolution in a liquid after irradiation.

Referring now to FIG. 7D, the pellet can have, e.g., a transverse shape that is multi-lobal, e.g., tri-lobal as shown, or tetra-lobal, penta-lobal, hexa-lobal or deca-lobal. Making the pellets in such transverse shapes can also increase the rate of dissolution in a solution after irradiation.

Alternatively, the densified material can be in any other desired form, e.g., the densified material can be in the form of a mat, roll or bale.

Examples

In one example, half-gallon juice cartons made of un-printed white Kraft board having a bulk density of 20 lb/ft ³ can be used as a feedstock. Cartons can be folded flat and then fed into a shredder to produce a confetti -like material having a width of between 0.1 inch and 0.5 inch, a length of between 0.25 inch and 1 inch and a thickness equivalent to that of the starting material (about 0.075 inch). The confetti-like material can be fed to a rotary knife cutter, which shears the confetti-like pieces, tearing the pieces apart and releasing fibrous material.

In some cases, multiple shredder- shearer trains can be arranged in series with output. In one embodiment, two shredder-shearer trains can be arranged in series with output from the first shearer fed as input to the second shredder. In another embodiment, three shredder- shearer trains can be arranged in series with output from the first shearer fed as input to the second shredder and output from the second shearer fed as input to the third shredder. Multiple passes through shredder- shearer trains are anticipated to increase decrease particle size and increase overall surface area within the feedstream. In another example, fibrous material produced from shredding and shearing juice cartons can be treated to increase its bulk density. In some cases, the fibrous material can be sprayed with water or a dilute stock solution of POLYOX™ WSR N10 (polyethylene oxide) prepared in water. The wetted fibrous material can then be processed through a pellet mill operating at room temperature. The pellet mill can increase the bulk density of the feedstream by more than an order of magnitude.

PRETREATMENT

Physically prepared feedstock can be pretreated for use in primary production processes by, for example, reducing the average molecular weight and crystallinity of the feedstock and/or increasing the surface area and/or porosity of the feedstock. In some embodiments, the cellulosic and/or lignocellulosic material includes a first cellulose having a first number average molecular weight and the resulting carbohydrate includes a second cellulose having a second number average molecular weight lower than the first number average molecular weight. For example, the second number average molecular weight is lower than the first number average molecular weight by more than about twenty-five percent, e.g., 2x, 3x, 5x, 7x, lOx, 25x, even lOOx reduction.

In some embodiments, the first cellulose has a first crystallinity and the second cellulose has a second crystallinity lower than the first crystallinity, such as lower than about two, three, five, ten, fifteen or twenty-five percent lower.

In some embodiments, the first cellulose has a first level of oxidation and the second cellulose has a second level of oxidation higher than the first level of oxidation, such as two, three, four, five, ten or even twenty-five percent higher.

Pretreatment processes can include one or more of irradiation, sonication, oxidation, pyrolysis, and steam explosion. The various pretreatment systems and methods can be used in combinations of two, three, or even four of these technologies.

Pretreatment Combinations

In some embodiments, biomass can be processed by applying two or more of any of the processes described herein, such as two, three, four or more of radiation, sonication, oxidation, pyrolysis, and steam explosion either with or without prior, intermediate, or subsequent feedstock preparation as described herein. The processes can be applied to the biomass in any order or concurrently. For example, a carbohydrate can be prepared by applying radiation, sonication, oxidation, pyrolysis, and, optionally, steam explosion to a cellulosic and/or lignocellulosic material (in any order or concurrently). The provided carbohydrate-containing material can then be converted by one or more microorganisms, such as bacteria, yeast, or mixtures of yeast and bacteria, to a number of desirable products, as described herein. Multiple processes can provide materials that can be more readily utilized by a variety of microorganisms because of their lower molecular weight, lower crystallinity, and/or enhanced solubility. Multiple processes can provide synergies and can reduce overall energy input required in comparison to any single process.

For example, in some embodiments, feedstocks are provided that include a carbohydrate that is produced by a process that includes irradiating and sonicating, irradiating and oxidizing, irradiating and pyrolyzing, or irradiating and steam-exploding (in either order or concurrently) a cellulosic and/or a lignocellulosic material. The provided feedstock can then be contacted with a microorganism having the ability to convert at least a portion, e.g., at least about 1 percent by weight, of the feedstock to the product, such as the combustible fuel.

Pretreatment Conditions

In some embodiments, the process does not include hydrolyzing the cellulosic and/or lignocellulosic material, such as with an acid or a base, e.g., a mineral acid, such as hydrochloric or sulfuric acid. If desired, some or none of the feedstock can include a hydrolyzed material. For example, in some embodiments, at least about seventy percent by weight of the feedstock is an unhydrolyzed material, e.g., at least at 95 percent by weight of the feedstock is an unhydrolyzed material. In some embodiments, substantially all of the feedstock is an unhydrolyzed material.

Any feedstock or any reactor or fermentor charged with a feedstock can include a buffer, such as sodium bicarbonate, ammonium chloride or Tris; an electrolyte, such as potassium chloride, sodium chloride, or calcium chloride; a growth factor, such as biotin and/or a base pair such as uracil or an equivalent thereof; a surfactant, such as Tween ^® or polyethylene glycol; a mineral, such as such as calcium, chromium, copper, iodine, iron, selenium, or zinc; or a chelating agent, such as ethylene diamine, ethylene diamine tetraacetic acid (EDTA) (or its salt form, e.g., sodium or potassium EDTA), or dimercaprol.

When radiation is utilized, it can be applied to any sample that is dry or wet, or even dispersed in a liquid, such as water. For example, irradiation can be performed on cellulosic and/or lignocellulosic material in which less than about 25 percent by weight of the cellulosic and/or lignocellulosic material has surfaces wetted with a liquid, such as water. In some embodiments, irradiating is performed on cellulosic and/or

lignocellulosic material in which substantially none of the cellulosic and/or

lignocellulosic material is wetted with a liquid, such as water.

In some embodiments, any processing described herein occurs after the cellulosic and/or lignocellulosic material remains dry as acquired or has been dried, e.g., using heat and/or reduced pressure. For example, in some embodiments, the cellulosic and/or lignocellulosic material has less than about five percent by weight retained water, measured at 25°C and at fifty percent relative humidity.

If desired, a swelling agent, as defined herein, can be utilized in any process described herein. In some embodiments, when a cellulosic and/or lignocellulosic material is processed using radiation, less than about 25 percent by weight of the cellulosic and/or lignocellulosic material is in a swollen state, the swollen state being characterized as having a volume of more than about 2.5 percent higher than an unswollen state, e.g., more than 5.0, 7.5, 10, or 15 percent higher than the unswollen state. In some embodiments, when radiation is utilized on a cellulosic and/or

lignocellulosic material, substantially none of the cellulosic and/or lignocellulosic material is in a swollen state. In specific embodiments when radiation is utilized, the cellulosic and/or lignocellulosic material includes a swelling agent, and swollen cellulosic and/or lignocellulosic receives a dose of less than about 10 Mrad.

When radiation is utilized in any process, it can be applied while the cellulosic and/or lignocellulosic is exposed to air, oxygen-enriched air, or even oxygen itself, or blanketed by an inert gas such as nitrogen, argon, or helium. When maximum oxidation is desired, an oxidizing environment is utilized, such as air or oxygen. When radiation is utilized, it may be applied to biomass, such as cellulosic and/or lignocellulosic material, under a pressure of greater than about 2.5 atmospheres, such as greater than 5, 10, 15, 20 or even greater than about 50 atmospheres.

Radiation Treatment

One or more irradiation processing sequences can be used to process raw feedstock from a wide variety of different sources to extract useful substances from the feedstock, and to provide partially degraded organic material which functions as input to further processing steps and/or sequences. Irradiation can reduce the molecular weight and/or crystallinity of feedstock. In some embodiments, energy deposited in a material that releases an electron from its atomic orbital is used to irradiate the materials. The radiation may be provided by 1) heavy charged particles, such as alpha particles or protons, 2) electrons, produced, for example, in beta decay or electron beam accelerators, or 3) electromagnetic radiation, for example, gamma rays, x rays, or ultraviolet rays. In one approach, radiation produced by radioactive substances can be used to irradiate the feedstock. In some embodiments, any combination in any order or concurrently of (1) through (3) may be utilized. In another approach, electromagnetic radiation (e.g., produced using electron beam emitters) can be used to irradiate the feedstock. The doses applied depend on the desired effect and the particular feedstock. For example, high doses of radiation can break chemical bonds within feedstock components and low doses of radiation can increase chemical bonding (e.g., cross-linking) within feedstock components. In some instances when chain scission is desirable and/or polymer chain functionalization is desirable, particles heavier than electrons, such as protons, helium nuclei, argon ions, silicon ions, neon ions, carbon ions, phosphorus ions, oxygen ions or nitrogen ions can be utilized. When ring-opening chain scission is desired, positively charged particles can be utilized for their Lewis acid properties for enhanced ring- opening chain scission. For example, when oxygen-containing functional groups are desired, irradiation in the presence of oxygen or even irradiation with oxygen ions can be performed. For example, when nitrogen-containing functional groups are desirable, irradiation in the presence of nitrogen or even irradiation with nitrogen ions can be performed. Referring to FIG. 8, in one method, a first material 2 that is or includes cellulose having a first number average molecular weight ( ^T M _N i) is irradiated, e.g., by treatment with ionizing radiation (e.g., in the form of gamma radiation, X-ray radiation, 100 nm to 280 nm ultraviolet (UV) light, a beam of electrons or other charged particles) to provide a second material 3 that includes cellulose having a second number average molecular weight ( ^T M _N2 ) lower than the first number average molecular weight. The second material (or the first and second material) can be combined with a microorganism (e.g., a bacterium or a yeast) that can utilize the second and/or first material to produce a fuel 5 that is or includes hydrogen, an alcohol (e.g., ethanol or butanol, such as n-, sec- or t- butanol), an organic acid, a hydrocarbon or mixtures of any of these.

Since the second material 3 has cellulose having a reduced molecular weight relative to the first material, and in some instances, a reduced crystallinity as well, the second material is generally more dispersible, swellable and/or soluble in a solution containing a microorganism. These properties make the second material 3 more susceptible to chemical, enzymatic and/or biological attack relative to the first material 2, which can greatly improve the production rate and/or production level of a desired product, e.g., ethanol. Radiation can also sterilize the materials.

In some embodiments, the second number average molecular weight (M _N2 ) is lower than the first number average molecular weight ( ^T M _N i) by more than about 10 percent, e.g., 15, 20, 25, 30, 35, 40, 50 percent, 60 percent, or even more than about 75 percent.

In some instances, the second material has cellulose that has as crystallinity ( ^T C ₂ ) that is lower than the crystallinity (¾) of the cellulose of the first material. For example, ( ^T C ₂ ) can be lower than (¾) by more than about 10 percent, e.g., 15, 20, 25, 30, 35, 40, or even more than about 50 percent.

In some embodiments, the starting crystallinity index (prior to irradiation) is from about 40 to about 87.5 percent, e.g., from about 50 to about 75 percent or from about 60 to about 70 percent, and the crystallinity index after irradiation is from about 10 to about 50 percent, e.g., from about 15 to about 45 percent or from about 20 to about 40 percent. However, in some embodiments, e.g., after extensive irradiation, it is possible to have a crystallinity index of lower than 5 percent. In some embodiments, the material after irradiation is substantially amorphous.

In some embodiments, the starting number average molecular weight (prior to irradiation) is from about 200,000 to about 3,200,000, e.g., from about 250,000 to about 1,000,000 or from about 250,000 to about 700,000, and the number average molecular weight after irradiation is from about 50,000 to about 200,000, e.g., from about 60,000 to about 150,000 or from about 70,000 to about 125,000. However, in some embodiments, e.g., after extensive irradiation, it is possible to have a number average molecular weight of less than about 10,000 or even less than about 5,000.

In some embodiments, the second material can have a level of oxidation ( ^T 0 ₂ ) that is higher than the level of oxidation ( ^T Oi) of the first material. A higher level of oxidation of the material can aid in its dispersibility, swellability and/or solubility, further enhancing the materials susceptibility to chemical, enzymatic or biological attack. In some embodiments, to increase the level of the oxidation of the second material relative to the first material, the irradiation is performed under an oxidizing environment, e.g., under a blanket of air or oxygen, producing a second material that is more oxidized than the first material. For example, the second material can have more hydroxyl groups, aldehyde groups, ketone groups, ester groups or carboxylic acid groups, which can increase its hydrophilicity.

Ionizing Radiation

Each form of radiation ionizes the biomass via particular interactions, as determined by the energy of the radiation. Heavy charged particles primarily ionize matter via Coulomb scattering; furthermore, these interactions produce energetic electrons that may further ionize matter. Alpha particles are identical to the nucleus of a helium atom and are produced by the alpha decay of various radioactive nuclei, such as isotopes of bismuth, polonium, astatine, radon, francium, radium, several actinides, such as actinium, thorium, uranium, neptunium, curium, californium, americium, and plutonium.

When particles are utilized, they can be neutral (uncharged), positively charged or negatively charged. When charged, the charged particles can bear a single positive or negative charge, or multiple charges, e.g., one, two, three or even four or more charges. In instances in which chain scission is desired, positively charged particles may be desirable, in part, due to their acidic nature. When particles are utilized, the particles can have the mass of a resting electron, or greater, e.g., 500, 1000, 1500, or 2000 or more times the mass of a resting electron. For example, the particles can have a mass of from about 1 atomic unit to about 150 atomic units, e.g., from about 1 atomic unit to about 50 atomic units, or from about 1 to about 25, e.g., 1, 2, 3, 4, 5, 10, 12 or 15 amu.

Accelerators used to accelerate the particles can be electrostatic DC, electrodynamic DC, RF linear, magnetic induction linear or continuous wave. For example, cyclotron type accelerators are available from IB A, Belgium, such as the Rhodotron® system, while DC type accelerators are available from RDI, now IBA Industrial, such as the Dynamitron®. Ions and ion accelerators are discussed in Introductory Nuclear Physics, Kenneth S. Krane, John Wiley & Sons, Inc. (1988), Krsto Prelec, FIZIKA B 6 (1997) 4, 177-206, a copy of which is attached as Appendix B, Chu, William T., "Overview of Light-Ion Beam Therapy", Columbus-Ohio, ICRU-IAEA Meeting, 18-20 March 2006, a copy of which is attached hereto at Appendix C, Iwata, Y. et al., "Alternating-Phase-Focused IH- DTL for Heavy -Ion Medical Accelerators", Proceedings of EPAC 2006, Edinburgh, Scotland, a copy of which is attached hereto as Appendix D and Leitner, CM. et al., "Status of the Superconducting ECR Ion Source Venus", Proceedings of EPAC 2000, Vienna, Austria, which is attached hereto as Appendix E.

Electrons interact via Coulomb scattering and bremsstrahlung radiation produced by changes in the velocity of electrons. Electrons may be produced by radioactive nuclei that undergo beta decay, such as isotopes of iodine, cesium, technetium, and iridium. Alternatively, an electron gun can be used as an electron source via thermionic emission.

Electromagnetic radiation interacts via three processes: photoelectric absorption, Compton scattering, and pair production. The dominating interaction is determined by the energy of the incident radiation and the atomic number of the material. The summation of interactions contributing to the absorbed radiation in cellulosic material can be expressed by the mass absorption coefficient.

Electromagnetic radiation is subclassified as gamma rays, x rays, ultraviolet rays, infrared rays, microwaves, or radio waves, depending on its wavelength. For example, gamma radiation can be employed to irradiate the materials.

Referring to FIGS. 9 and 10 (an enlarged view of region R), a gamma irradiator 10 includes gamma radiation sources 408, e.g., ⁶⁰ Co pellets, a working table 14 for holding the materials to be irradiated and storage 16, e.g., made of a plurality iron plates, all of which are housed in a concrete containment chamber (vault) 20 that includes a maze entranceway 22 beyond a lead-lined door 26. Storage 16 includes a plurality of channels 30, e.g., sixteen or more channels, allowing the gamma radiation sources to pass through storage on their way proximate the working table.

In operation, the sample to be irradiated is placed on a working table. The irradiator is configured to deliver the desired dose rate and monitoring equipment is connected to an experimental block 31. The operator then leaves the containment chamber, passing through the maze entranceway and through the lead-lined door. The operator mans a control panel 32, instructing a computer 33 to lift the radiation sources 12 into working position using cylinder 36 attached to a hydraulic pump 40.

Gamma radiation has the advantage of a significant penetration depth into a variety of material in the sample. Sources of gamma rays include radioactive nuclei, such as isotopes of cobalt, calcium, technicium, chromium, gallium, indium, iodine, iron, krypton, samarium, selenium, sodium, thalium, and xenon.

Sources of x rays include electron beam collision with metal targets, such as tungsten or molybdenum or alloys, or compact light sources, such as those produced commercially by Lyncean.

Sources for ultraviolet radiation include deuterium or cadmium lamps.

Sources for infrared radiation include sapphire, zinc, or selenide window ceramic lamps.

Sources for microwaves include klystrons, Slevin type RF sources, or atom beam sources that employ hydrogen, oxygen, or nitrogen gases.

Various other irradiating devices may be used in the methods disclosed herein, including field ionization sources, electrostatic ion separators, field ionization generators, thermionic emission sources, microwave discharge ion sources, recirculating or static accelerators, dynamic linear accelerators, van de Graaff accelerators, and folded tandem accelerators. Such devices are disclosed, for example, in U.S. Provisional Application Serial No. 61/073,665, the complete disclosure of which is incorporated herein by reference.

Electron Beam

In some embodiments, a beam of electrons is used as the radiation source. A beam of electrons has the advantages of high dose rates (e.g., 1, 5, or even 10 Mrad per second), high throughput, less containment, and less confinement equipment. Electrons can also be more efficient at causing chain scission. In addition, electrons having energies of 4-10 MeV can have a penetration depth of 5 to 30 mm or more, such as 40 mm.

Electron beams can be generated, e.g., by electrostatic generators, cascade generators, transformer generators, low energy accelerators with a scanning system, low energy accelerators with a linear cathode, linear accelerators, and pulsed accelerators. Electrons as an ionizing radiation source can be useful, e.g., for relatively thin piles of materials, e.g., less than 0.5 inch, e.g., less than 0.4 inch, 0.3 inch, 0.2 inch, or less than 0.1 inch. In some embodiments, the energy of each electron of the electron beam is from about 0.3 MeV to about 2.0 MeV (million electron volts), e.g., from about 0.5 MeV to about 1.5 MeV, or from about 0.7 MeV to about 1.25 MeV.

FIG. 11 A shows a process flow diagram 3000 that includes various steps in an electron beam irradiation feedstock pretreatment sequence. In first step 3010, a supply of dry feedstock is received from a feed source. As discussed above, the dry feedstock from the feed source may be pre-processed prior to delivery to the electron beam irradiation devices. For example, if the feedstock is derived from plant sources, certain portions of the plant material may be removed prior to collection of the plant material and/or before the plant material is delivered by the feedstock transport device. Alternatively, or in addition, as expressed in optional step 3020, the biomass feedstock can be subjected to mechanical processing (e.g., to reduce the average length of fibers in the feedstock) prior to delivery to the electron beam irradiation devices.

In step 3030, the dry feedstock is transferred to a feedstock transport device (e.g., a conveyor belt) and is distributed over the cross-sectional width of the feedstock transport device approximately uniformly by volume. This can be accomplished, for example, manually or by inducing a localized vibration motion at some point in the feedstock transport device prior to the electron beam irradiation processing.

In some embodiments, a mixing system introduces a chemical agent 3045 into the feedstock in an optional process 3040 that produces a slurry. Combining water with the processed feedstock in mixing step 3040 creates an aqueous feedstock slurry that may be transported through, for example, piping rather than using, for example, a conveyor belt.

The next step 3050 is a loop that encompasses exposing the feedstock (in dry or slurry form) to electron beam radiation via one or more (say, N) electron beam irradiation devices. The feedstock slurry is moved through each of the N "showers" of electron beams at step 3052. The movement may either be at a continuous speed through and between the showers, or there may be a pause through each shower, followed by a sudden movement to the next shower. A small slice of the feedstock slurry is exposed to each shower for some predetermined exposure time at step 3053.

Electron beam irradiation devices may be procured commercially from Ion Beam Applications, Louvain-la-Neuve, Belgium or the Titan Corporation, San Diego, CA. Typical electron energies can be 1 MeV, 2 MeV, 4.5 MeV, 7.5 MeV, or 10 MeV.

Typical electron beam irradiation device power can be 1 kW, 5 kW, 10 kW, 20 kW, 50 kW, 100 kW, 250 kW, or 500 kW. Effectiveness of depolymerization of the feedstock slurry depends on the electron energy used and the dose applied, while exposure time depends on the power and dose. Typical doses may take values of 1 kGy, 5 kGy, 10 kGy, 20 kGy, 50 kGy, 100 kGy, or 200 kGy.

Tradeoffs in considering electron beam irradiation device power specifications include cost to operate, capital costs, depreciation, and device footprint. Tradeoffs in considering exposure dose levels of electron beam irradiation would be energy costs and environment, safety, and health (ESH) concerns. Tradeoffs in considering electron energies include energy costs; here, a lower electron energy may be advantageous in encouraging depolymerization of certain feedstock slurry (see, for example, Bouchard, et al, Cellulose (2006) 13 : 601-610). Typically, generators are housed in a vault, e.g., of lead or concrete or lead-lined concrete.

It may be advantageous to provide a double-pass of electron beam irradiation in order to provide a more effective depolymerization process. For example, the feedstock transport device could direct the feedstock (in dry or slurry form) underneath and in a reverse direction to its initial transport direction. Double-pass systems can allow thicker feedstock slurries to be processed and can provide a more uniform depolymerization through the thickness of the feedstock slurry.

The electron beam irradiation device can produce either a fixed beam or a scanning beam. A scanning beam may be advantageous with large scan sweep length and high scan speeds, as this would effectively replace a large, fixed beam width.

Further, available sweep widths of 0.5 m, lm, 2 m or more are available.

Once a portion of feedstock slurry has been transported through the N electron beam irradiation devices, it may be necessary in some embodiments, as in step 3060, to mechanically separate the liquid and solid components of the feedstock slurry. In these embodiments, a liquid portion of the feedstock slurry is filtered for residual solid particles and recycled back to the slurry preparation step 3040. A solid portion of the feedstock slurry is then advanced on to the next processing step 3070 via the feedstock transport device. In other embodiments, the feedstock is maintained in slurry form for further processing.

Electromagnetic Radiation

In embodiments in which the irradiating is performed with electromagnetic radiation, the electromagnetic radiation can have, e.g., energy per photon (in electron volts) of greater than 10 ² eV, e.g., greater than 10 ³ , 10 ⁴ , 10 ⁵ , 10 ⁶ , or even greater than 10 ⁷ eV. In some embodiments, the electromagnetic radiation has energy per photon of between 10 ⁴ and 10 ⁷ , e.g., between 10 ⁵ and 10 ⁶ eV. The electromagnetic radiation can have a frequency of, e.g., greater than 10 ¹⁶ hz, greater than 10 ¹⁷ hz, 10 ¹⁸ , 10 ¹⁹ , 10 ²⁰ , or even greater than 10 ²¹ hz. In some embodiments, the electromagnetic radiation has a frequency of between 10 18 and 1022 Hz, e.g., between 1019 to 1021 Hz. Doses

In some embodiments, the irradiating (with any radiation source or a combination of sources) is performed until the material receives a dose of at least 0.25 Mrad, e.g., at least 1.0 Mrad, at least 2.5 Mrad, at least 5.0 Mrad, or at least 10.0 Mrad. In some embodiments, the irradiating is performed until the material receives a dose of between 1.0 Mrad and 6.0 Mrad, e.g., between 1.5 Mrad and 4.0 Mrad.

In some embodiments, the irradiating is performed at a dose rate of between 5.0 and 1500.0 kilorads/hour, e.g., between 10.0 and 750.0 kilorads/hour or between 50.0 and 350.0 kilorads/hours.

In some embodiments, two or more radiation sources are used, such as two or more ionizing radiations. For example, samples can be treated, in any order, with a beam of electrons, followed by gamma radiation and UV light having wavelengths from about 100 nm to about 280 nm. In some embodiments, samples are treated with three ionizing radiation sources, such as a beam of electrons, gamma radiation, and energetic UV light.

Alternatively, in another example, a fibrous material that includes a cellulosic and/or lignocellulosic material is irradiated and, optionally, treated with acoustic energy, e.g., ultrasound.

In one example of the use of radiation as a pretreatment, half-gallon juice cartons made of un-printed polycoated white Kraft board having a bulk density of 20 lb/ft ³ are used as a feedstock. Cartons are folded flat and then fed into a sequence of three shredder-shearer trains arranged in series with output from the first shearer fed as input to the second shredder, and output from the second shearer fed as input to the third shredder. The fibrous material produced by the shredder-shearer train can be sprayed with water and processed through a pellet mill operating at room temperature. The densified pellets can be placed in a glass ampoule, which is evacuated under high vacuum and then backfilled with argon gas. The ampoule is sealed under argon. Alternatively, in another example, the ampoule is sealed under an atmosphere of air. The pellets in the ampoule are irradiated with gamma radiation for about 3 hours at a dose rate of about 1 Mrad per hour to provide an irradiated material in which the cellulose has a lower molecular weight than the starting material.

Additives to Enhance Molecular Weight Breakdown During Irradiation

In some embodiments, prior to irradiation, various materials, e.g., solids or liquids, can be added to the biomass to enhance molecular weight reduction. In those instances in which a liquid is utilized, the liquid can be in contact with outer surfaces of the biomass and/or the liquid can be in interior portions of the biomass, e.g., infused into the biomass.

For example, the material can be a neutral weak base, such as alanine, ammonia, ammonia/water mixture, e.g., 25 percent by weight ammonia in water, water, methyl amine, dimethyl amine, trimethyl amine, pyridine, or a anionic base, such as a salt of acetic acid (e.g., sodium acetate), sodium carbonate, sodium bicarbonate or a salt of an ion of hydrogen sulfide (e.g., sodium hydrosulfide).

Alternatively, the material can be a neutral weak acid, such as formic acid, acetic acid, trichloroacetic acid, water, hydrogen sulfide or a cationic acid, such as an ammonium salt.

Quenching and Controlled Functionalization of Biomass

After treatment with one or more ionizing radiations, such as photonic radiation (e.g., X-rays or gamma-rays), e-beam radiation or particles heavier than electrons that are positively or negatively charged (e.g., protons or carbon ions), any of the carbohydrate- containing materials or mixtures described herein become ionized; that is, they include radicals at levels that are detectable with an electron spin resonance spectrometer. The current practical limit of detection of the radicals is about 10 ¹⁴ spins at room temperature. After ionization, any biomass material that has been ionized can be to reduce the level of radicals in the ionized biomass, e.g., such that the radicals are no longer detectable with the electron spin resonance spectrometer. For example, the radicals can be quenched by the application of a sufficient pressure to the biomass and/or by utilizing a fluid in contact with the ionized biomass, such as a gas or liquid, that reacts with (quenches) the radicals. The use of a gas or liquid to at least aid in the quenching of the radicals also allows the operator to control functionalization of the ionized biomass with a desired amount and kind of functional groups, such as carboxylic acid groups, enol groups, aldehyde groups, nitro groups, nitrile groups, amino groups, alkyl amino groups, alkyl groups, chloroalkyl groups or chlorofluoroalkyl groups. In some instances, such quenching can improve the stability of some of the ionized biomass materials. For example, quenching can improve the resistance of the biomass to oxidation. Functionalization by quenching can also improve the solubility of any biomass described herein, can improve its thermal stability, which can be important in the manufacture of composites and boards described herein, and can improve material utilization by various microorganisms. For example, the functional groups imparted to the biomass material by quenching can act as receptor sites for attachment by microorganisms, e.g., to enhance cellulose hydrolysis by various microorganisms.

FIG. 1 IB illustrates changing a molecular and/or a supramolecular structure of a biomass feedstock by pretreating the biomass feedstock with ionizing radiation, such as with electrons or ions of sufficient energy to ionize the biomass feedstock, to provide a first level of radicals. As shown in FIG. 1 IB, if the ionized biomass remains in the atmosphere, it will be oxidized, such as to an extent that carboxylic acid groups are generated by reacting with the atmospheric oxygen. In some instances with some materials, such oxidation is desired because it can aid in the further breakdown in molecular weight of the carbohydrate-containing biomass, and the oxidation groups, e.g., carboxylic acid groups can be helpful for solubility and microorganism utilization in some instances. However, since the radicals can "live" for some time after irradiation, e.g., longer than 1 day, 5 days, 30 days, 3 months, 6 months or even longer than 1 year, material properties can continue to change over time, which in some instances, can be undesirable. Detecting radicals in irradiated samples by electron spin resonance spectroscopy and radical lifetimes in such samples is discussed in Bartolotta et al., Physics in Medicine and Biology, 46 (2001), 461-471 and in Bartolotta et al., Radiation Protection Dosimetry, Vol. 84, Nos. 1-4, pp. 293-296 (1999), which are attached hereto as Appendix F and Appendix G, respectively. As shown in FIG. 1 IB, the ionized biomass can be quenched to functionalize and/or to stabilize the ionized biomass. At any point, e.g., when the material is "alive", "partially alive" or fully quenched, the pretreated biomass can be converted into a product, e.g., a fuel, a food, or a composite.

In some embodiments, the quenching includes an application of pressure to the biomass, such as by mechanically deforming the biomass, e.g., directly mechanically compressing the biomass in one, two, or three dimensions, or applying pressure to a fluid in which the biomass is immersed, e.g., isostatic pressing. In such instances, the deformation of the material itself brings radicals, which are often trapped in crystalline domains, in sufficient proximity so that the radicals can recombine, or react with another group. In some instances, the pressure is applied together with the application of heat, such as a sufficient quantity of heat to elevate the temperature of the biomass to above a melting point or softening point of a component of the biomass, such as lignin, cellulose or hemicellulose. Heat can improve molecular mobility in the polymeric material, which can aid in the quenching of the radicals. When pressure is utilized to quench, the pressure can be greater than about 1000 psi, such as greater than about 1250 psi, 1450 psi, 3625 psi, 5075 psi, 7250 psi, 10000 psi or even greater than 15000 psi.

In some embodiments, quenching includes contacting the biomass with a fluid, such as a liquid or gas, e.g., a gas capable of reacting with the radicals, such as acetylene or a mixture of acetylene in nitrogen, ethylene, chlorinated ethylenes or

chlorofluoroethylenes, propylene or mixtures of these gases. In other particular embodiments, quenching includes contacting the biomass with a liquid, e.g., a liquid soluble in, or at least capable of penetrating into the biomass and reacting with the radicals, such as a diene, such as 1,5-cyclooctadiene. In some specific embodiments, the quenching includes contacting the biomass with an antioxidant, such as Vitamin E. If desired, the biomass feedstock can include an antioxidant dispersed therein, and the quenching can come from contacting the antioxidant dispersed in the biomass feedstock with the radicals.

Other methods for quenching are possible. For example, any method for quenching radicals in polymeric materials described in Muratoglu et al., U.S. Patent Application Publication No. 2008/0067724 and Muratoglu et al., U.S. Patent No.

7,166,650, which are attached as Appendix H and Appendix I, respectively, can be utilized for quenching any ionized biomass material described herein. Furthermore any quenching agent (described as a "sensitizing agent" in the above-noted Muratoglu disclosures) and/or any antioxidant described in either Muratoglu reference can be utilized to quench any ionized biomass material.

Functionalization can be enhanced by utilizing heavy charged ions, such as any of the heavier ions described herein. For example, if it is desired to enhance oxidation, charged oxygen ions can be utilized for the irradiation. If nitrogen functional groups are desired, nitrogen ions or ions that includes nitrogen can be utilized. Likewise, if sulfur or phosphorus groups are desired, sulfur or phosphorus ions can be used in the irradiation. In some embodiments, after quenching any of the quenched materials described herein can be further treated with one or more of radiation, such as ionizing or nonionizing radiation, sonication, pyrolysis, and oxidation for additional molecular and/or supramolecular structure change.

In particular embodiments, functionalized materials described herein are treated with an acid, base, nucleophile or Lewis acid for additional molecular and/or supramolecular structure change, such as additional molecular weight breakdown. Examples of acids include organic acids, such as acetic acid and mineral acids, such as hydrochloric, sulfuric and/or nitric acid. Examples of bases include strong mineral bases, such as a source of hydroxide ion, basic ions, such as fluoride ion, or weaker organic bases, such as amines. Even water and sodium bicarbonate, e.g., when dissolved in water, can effect molecular and/or supramolecular structure change, such as additional molecular weight breakdown. Particle Beam Exposure in Fluids

In some cases, the cellulosic or lignocellulosic materials can be exposed to a particle beam in the presence of one or more additional fluids (e.g., gases and/or liquids). Exposure of a material to a particle beam in the presence of one or more additional fluids can increase the efficiency of the treatment.

In some embodiments, the material is exposed to a particle beam in the presence of a fluid such as air. Particles accelerated in any one or more of the types of accelerators disclosed herein (or another type of accelerator) are coupled out of the accelerator via an output port (e.g., a thin membrane such as a metal foil), pass through a volume of space occupied by the fluid, and are then incident on the material. In addition to directly treating the material, some of the particles generate additional chemical species by interacting with fluid particles (e.g., ions and/or radicals generated from various constituents of air, such as ozone and oxides of nitrogen). These generated chemical species can also interact with the material, and can act as initiators for a variety of different chemical bond-breaking reactions in the material. For example, any oxidant produced can oxidize the material, which can result in molecular weight reduction. In certain embodiments, additional fluids can be selectively introduced into the path of a particle beam before the beam is incident on the material. As discussed above, reactions between the particles of the beam and the particles of the introduced fluids can generate additional chemical species, which react with the material and can assist in functionalizing the material, and/or otherwise selectively altering certain properties of the material. The one or more additional fluids can be directed into the path of the beam from a supply tube, for example. The direction and flow rate of the fluid(s) that is/are introduced can be selected according to a desired exposure rate and/or direction to control the efficiency of the overall treatment, including effects that result from both particle- based treatment and effects that are due to the interaction of dynamically generated species from the introduced fluid with the material. In addition to air, exemplary fluids that can be introduced into the ion beam include oxygen, nitrogen, one or more noble gases, one or more halogens, and hydrogen. Irradiating Low Bulk Density Biomass Materials and Cooling Irradiated Biomass

During treatment of biomass materials with ionizing radiation, especially at high dose rates, such as at rates greater then 0.15 Mrad per second, e.g., 0.25 Mrad/s, 0.35 Mrad/s, 0.5 Mrad/s, 0.75 Mrad/s or even greater than 1 Mrad/sec, biomass materials can retain significant quantities of heat so that the temperature of the biomass materials becomes elevated. While higher temperatures can, in some embodiments, be

advantageous, e.g., when a faster reaction rate is desired, it is advantageous to control the heating of the biomass to retain control over the chemical reactions initiated by the ionizing radiation, such as cross-linking, chain scission and/or grafting, e.g., to maintain process control. Low bulk density materials, such as those having a bulk density of less than about 0.4 g/cm ³ , e.g., less than about 0.35, 0.25 or less about 0.15 g/cm ³ , especially when combined with materials that have thin cross-sections, such as fibers having small transverse dimensions, are generally easier to cool. In addition, photons and particles can generally penetrate further into and through materials having a relatively low bulk density, which can allow for the processing of larger volumes of materials at higher rates, and can allow for the use of photons and particles that having lower energies, e.g., 0.25 Mev, 0.5 MeV, 0.75 MeV or 1.0 MeV, which can reduce safety shielding requirements. For example, in one method of changing a molecular and/or a supramolecular structure of a biomass feedstock, the biomass is pretreated at a first temperature with ionizing radiation, such as photons, electrons or ions (e.g., singularly or multiply charged cations or anions), for a sufficient time and/or a sufficient dose to elevate the biomass feedstock to a second temperature higher than the first temperature. The pretreated biomass is then cooled to a third temperature below the second temperature. Finally, if desired, the cooled biomass can be treated one or more times with radiation, e.g., with ionizing radiation. If desired, cooling can be applied to the biomass after and/or during each radiation treatment.

The biomass feedstock can be physically prepared as discussed above, e.g., by reducing one or more dimensions of individual pieces of the biomass feedstock so that the feedstock can be more efficiently processed, e.g., more easily cooled and/or more easily penetrated by an ionizing radiation.

In some implementations, the ionizing radiation is applied at a total dose of less than 25 Mrad or less thanlO Mrad, such as less than 5 Mrad or less than 2.5 Mrad, and at a rate of more than 0.25 Mrad per second, such as more than 0.5, 0.75 or greater than 1.0 Mrad/s, prior to cooling the biomass.

The pretreating of the biomass feedstock with ionizing radiation can be performed as the biomass feedstock is being pneumatically conveyed in a fluid, such as a in a gas, e.g., nitrogen or air. To aid in molecular weight breakdown and/or functionalization of the materials, the gas can be saturated with any swelling agent described herein and/or water vapor. For example, acidic water vapor can be utilized. To aid in molecular weight breakdown, the water can be acidified with an organic acid, such as formic, or acetic acid, or a mineral acid, such as sulfuric or hydrochloric acid.

The pretreating of the biomass feedstock with ionizing radiation can be performed as the biomass feedstock falls under the influence of gravity. This procedure can effectively reduce the bulk density of the biomass feedstock as it is being processed and can aid in the cooling of the biomass feedstock. For example, the biomass can be conveyed from a first belt at a first height above the ground and then can be captured by a second belt at a second level above the ground lower than the first level. For example, in some embodiments, the trailing edge of the first belt and the leading edge of the second belt define a gap. Advantageously, the ionizing radiation, such as a beam of electrons, protons, or other ions, can be applied at the gap to prevent damage to the biomass conveyance system.

Cooling of the biomass can include contacting the biomass with a fluid, such as a gas, at a temperature below the first or second temperature, such as gaseous nitrogen at or about 77 K. Even water, such as water at a temperature below nominal room temperature (e.g., 25 degrees Celsius) can be utilized.

Often advantageously, the biomass feedstock has internal fibers, and prior to irradiation with the ionizing radiation, the biomass feedstock has been sheared to an extent that its internal fibers are substantially exposed. This shearing can provide a low bulk density material having small cross-sectional dimensions, which can aid in the breakdown and/or functionalization of the biomass. For example, in some embodiments, the biomass is or includes discrete fibers and/or particles having a maximum dimension of not more than about 0.5 mm, such as not more than about 0.25 mm, not more than about 0.1 mm or not more than about 0.05 mm.

In some embodiments, the biomass feedstock to which the ionizing radiation is applied has a bulk density of less than about 0.35 g/cm ³ , such as less than about 0.3, 0.25, 0.20, or less than about 0.15 g/cm ³ during the application of the ionizing radiation. In such embodiments, the biomass feedstock can be cooled, and then ionizing radiation can be applied to the cooled biomass. In some advantageous embodiments, the biomass feedstock is or includes discrete fibers and/or particles having a maximum dimension of not more than about 0.5 mm, such as not more than about 0.25 mm, not more than about 0.1 mm, not more than about 0.05 mm, or not more than about 0.025 mm.

Sonication

One or more sonication processing sequences can be used to process raw feedstock from a wide variety of different sources to extract useful substances from the feedstock, and to provide partially degraded organic material which functions as input to further processing steps and/or sequences. Sonication can reduce the molecular weight and/or crystallinity of feedstock. Referring again to FIG. 8, in one method, a first material 2 that includes cellulose having a first number average molecular weight ( ^T M _N i) is dispersed in a medium, such as water, and sonicated and/or otherwise cavitated, to provide a second material 3 that includes cellulose having a second number average molecular weight ( ^T M _N2 ) lower than the first number average molecular weight. The second material (or the first and second material in certain embodiments) can be combined with a microorganism (e.g., a bacterium or a yeast) that can utilize the second and/or first material to produce a fuel 5 that is or includes hydrogen, an alcohol, an organic acid, a hydrocarbon or mixtures of any of these.

Since the second material has cellulose having a reduced molecular weight relative to the first material, and in some instances, a reduced crystallinity as well, the second material is generally more dispersible, swellable, and/or soluble in a solution containing the microorganism, e.g., at a concentration of greater than 10 ⁶

microorganisms/mL. These properties make the second material 3 more susceptible to chemical, enzymatic, and/or microbial attack relative to the first material 2, which can greatly improve the production rate and/or production level of a desired product, e.g., ethanol. Sonication can also sterilize the materials, but should not be used while the microorganisms are supposed to be alive.

In some embodiments, the second number average molecular weight ( ^T M _N2 ) is lower than the first number average molecular weight ( ^T M _N i) by more than about 10 percent, e.g., 15, 20, 25, 30, 35, 40, 50 percent, 60 percent, or even more than about 75 percent.

In some instances, the second material has cellulose that has as crystallinity ( ^T C ₂ ) that is lower than the crystallinity (¾) of the cellulose of the first material. For example, ( ^T C ₂ ) can be lower than (¾) by more than about 10 percent, e.g., 15, 20, 25, 30, 35, 40, or even more than about 50 percent.

In some embodiments, the starting crystallinity index (prior to sonication) is from about 40 to about 87.5 percent, e.g., from about 50 to about 75 percent or from about 60 to about 70 percent, and the crystallinity index after sonication is from about 10 to about 50 percent, e.g., from about 15 to about 45 percent or from about 20 to about 40 percent. However, in certain embodiments, e.g., after extensive sonication, it is possible to have a crystallinity index of lower than 5 percent. In some embodiments, the material after sonication is substantially amorphous.

In some embodiments, the starting number average molecular weight (prior to sonication) is from about 200,000 to about 3,200,000, e.g., from about 250,000 to about 1,000,000 or from about 250,000 to about 700,000, and the number average molecular weight after sonication is from about 50,000 to about 200,000, e.g., from about 60,000 to about 150,000 or from about 70,000 to about 125,000. However, in some embodiments, e.g., after extensive sonication, it is possible to have a number average molecular weight of less than about 10,000 or even less than about 5,000.

In some embodiments, the second material can have a level of oxidation ( ^T 0 ₂ ) that is higher than the level of oxidation ( ^T Oi) of the first material. A higher level of oxidation of the material can aid in its dispersibility, swellability and/or solubility, further enhancing the materials susceptibility to chemical, enzymatic or microbial attack. In some embodiments, to increase the level of the oxidation of the second material relative to the first material, the sonication is performed in an oxidizing medium, producing a second material that is more oxidized than the first material. For example, the second material can have more hydroxyl groups, aldehyde groups, ketone groups, ester groups or carboxylic acid groups, which can increase its hydrophilicity.

In some embodiments, the sonication medium is an aqueous medium. If desired, the medium can include an oxidant, such as a peroxide (e.g., hydrogen peroxide), a dispersing agent and/or a buffer. Examples of dispersing agents include ionic dispersing agents, e.g., sodium lauryl sulfate, and non-ionic dispersing agents, e.g., poly(ethylene glycol).

In other embodiments, the sonication medium is non-aqueous. For example, the sonication can be performed in a hydrocarbon, e.g., toluene or heptane, an ether, e.g., diethyl ether or tetrahydrofuran, or even in a liquefied gas such as argon, xenon, or nitrogen.

Without wishing to be bound by any particular theory, it is believed that sonication breaks bonds in the cellulose by creating bubbles in the medium containing the cellulose, which grow and then violently collapse. During the collapse of the bubble, which can take place in less than a nanosecond, the implosive force raises the local temperature within the bubble to about 5100 K (even higher in some instance; see, e.g., Suslick et al., Nature 434, 52-55) and generates pressures of from a few hundred atmospheres to over 1000 atmospheres or more. It is these high temperatures and pressures that break the bonds. In addition, without wishing to be bound by any particular theory, it is believed that reduced crystallinity arises, at least in part, from the extremely high cooling rates during collapse of the bubbles, which can be greater than about 10 ¹¹ K/second. The high cooling rates generally do not allow the cellulose to organize and crystallize, resulting in materials that have reduced crystallinity. Ultrasonic systems and sonochemistry are discussed in, e.g., Olli et al., U.S. Patent No. 5,766,764; Roberts, U.S. Patent No. 5,828,156; Mason, Chemistry with Ultrasound, Elsevier, Oxford, (1990); Suslick (editor), Ultrasound: its Chemical, Physical and Biological Effects, VCH, Weinheim, (1988); Price, "Current Trends in Sonochemistry" Royal Society of Chemistry, Cambridge, (1992); Suslick et al., Ann. Rev. Mater. Sci. 29, 295, (1999); Suslick et al., Nature 353, 414 (1991); Hiller et al., Phys. Rev. Lett. 69, 1182 (1992); Barber et al., Nature, 352, 414 (1991); Suslick et al., J. Am. Chem. Soc, 108, 5641 (1986); Tang et al., Chem. Comm., 2119 (2000); Wang et al., Advanced Mater., 12, 1137 (2000); Landau et al., J. of Catalysis, 201, 22 (2001); Perkas et al., Chem.

Comm., 988 (2001); Nikitenko et al., Angew. Chem. Inter. Ed. (December 2001); Shafi et al., J. Phys. Chem B 103, 3358 (1999); Avivi et al., J. Amer. Chem. Soc. 121, 4196 (1999); and Avivi et al., J. Amer. Chem. Soc. 122, 4331 (2000).

Sonication Systems

FIG. 12 shows a general system in which a cellulosic material stream 1210 is mixed with a water stream 1212 in a reservoir 1214 to form a process stream 1216. A first pump 1218 draws process stream 1216 from reservoir 1214 and toward a flow cell 1224. Ultrasonic transducer 1226 transmits ultrasonic energy into process stream 1216 as the process stream flows through flow cell 1224. A second pump 1230 draws process stream 1216 from flow cell 1224 and toward subsequent processing.

Reservoir 1214 includes a first intake 1232 and a second intake 1234 in fluid communication with a volume 1236. A conveyor (not shown) delivers cellulosic material stream 1210 to reservoir 1214 through first intake 1232. Water stream 1212 enters reservoir 1214 through second intake 1234. In some embodiments, water stream 1212 enters volume 1236 along a tangent establishing a swirling flow within volume 1236. In certain embodiments, cellulosic material stream 1210 and water stream 1212 can be introduced into volume 1236 along opposing axes to enhance mixing within the volume.

Valve 1238 controls the flow of water stream 1212 through second intake 1232 to produce a desired ratio of cellulosic material to water (e.g., approximately 10% cellulosic material, weight by volume). For example, 2000 tons/day of cellulosic material can be combined with 1 million to 1.5 million gallons/day, e.g., 1.25 million gallons/day, of water.

Mixing of cellulosic material and water in reservoir 1214 is controlled by the size of volume 1236 and the flow rates of cellulosic material and water into the volume. In some embodiments, volume 1236 is sized to create a minimum mixing residence time for the cellulosic material and water. For example, when 2000 tons/day of cellulosic material and 1.25 million gallons/day of water are flowing through reservoir 1214, volume 1236 can be about 32,000 gallons to produce a minimum mixing residence time of about 15 minutes.

Reservoir 1214 includes a mixer 1240 in fluid communication with volume 1236. Mixer 1240 agitates the contents of volume 1236 to disperse cellulosic material throughout the water in the volume. For example, mixer 1240 can be a rotating vane disposed in reservoir 1214. In some embodiments, mixer 1240 disperses the cellulosic material substantially uniformly throughout the water.

Reservoir 1214 further includes an exit 1242 in fluid communication with volume 1236 and process stream 1216. The mixture of cellulosic material and water in volume 1236 flows out of reservoir 1214 via exit 1242. Exit 1242 is arranged near the bottom of reservoir 1214 to allow gravity to pull the mixture of cellulosic material and water out of reservoir 1214 and into process stream 1216.

First pump 1218 (e.g., any of several recessed impeller vortex pumps made by Essco Pumps & Controls, Los Angeles, California) moves the contents of process stream 1216 toward flow cell 1224. In some embodiments, first pump 1218 agitates the contents of process stream 1216 such that the mixture of cellulosic material and water is substantially uniform at inlet 1220 of flow cell 1224. For example, first pump 1218 agitates process stream 1216 to create a turbulent flow that persists along the process stream between the first pump and inlet 1220 of flow cell 1224.

Flow cell 1224 includes a reactor volume 1244 in fluid communication with inlet 1220 and outlet 1222. In some embodiments, reactor volume 1244 is a stainless steel tube capable of withstanding elevated pressures (e.g., 10 bars). In addition or in the alternative, reactor volume 1244 includes a rectangular cross section.

Flow cell 1224 further includes a heat exchanger 1246 in thermal communication with at least a portion of reactor volume 1244. Cooling fluid 1248 (e.g., water) flows into heat exchanger 1246 and absorbs heat generated when process stream 1216 is sonicated in reactor volume 1244. In some embodiments, the flow rate and/or the temperature of cooling fluid 1248 into heat exchanger 1246 is controlled to maintain an approximately constant temperature in reactor volume 1244. In some embodiments, the temperature of reactor volume 1244 is maintained at 20 to 50 °C, e.g., 25, 30, 35, 40, or 45 °C.

Additionally or alternatively, heat transferred to cooling fluid 1248 from reactor volume 1244 can be used in other parts of the overall process.

An adapter section 1226 creates fluid communication between reactor volume 1244 and a booster 1250 coupled (e.g., mechanically coupled using a flange) to ultrasonic transducer 1226. For example, adapter section 1226 can include a flange and O-ring assembly arranged to create a leak tight connection between reactor volume 1244 and booster 1250. In some embodiments, ultrasonic transducer 1226 is a high-powered ultrasonic transducer made by Hielscher Ultrasonics of Teltow, Germany.

In operation, a generator 1252 delivers electricity to ultrasonic transducer 1252. Ultrasonic transducer 1226 includes a piezoelectric element that converts the electrical energy into sound in the ultrasonic range. In some embodiments, the materials are sonicated using sound having a frequency of from about 16 kHz to about 110 kHz, e.g., from about 18 kHz to about 75 kHz or from about 20 kHz to about 40 kHz. (e.g., sound having a frequency of 20 kHz to 40 kHz). In some examples, sonication is performed at a frequency of between about 15 kHz and about 25 kHz, such as between about 18 kHz and 22 kHz. In specific embodiments, sonicating can be performed utilizing a 1 KW or larger horn, e.g., a 2, 3, 4, 5, or even a 10 KW horn. The ultrasonic energy is then delivered to the working medium through booster 1248. The ultrasonic energy traveling through booster 1248 in reactor volume 1244 creates a series of compressions and rarefactions in process stream 1216 with an intensity sufficient to create cavitation in process stream 1216. Cavitation disaggregates the cellulosic material dispersed in process stream 1216. Cavitation also produces free radicals in the water of process stream 1216. These free radicals act to further break down the cellulosic material in process stream 1216.

In general, 5 to 4000 MJ/m ³ , e.g., 10, 25, 50, 100, 250, 500, 750, 1000, 2000, or 3000 MJ/m ³ , of ultrasonic energy is applied to process stream 16 flowing at a rate of about 0.2 m ³ /s (about 3200 gallons/min). After exposure to ultrasonic energy in reactor volume 1244, process stream 1216 exits flow cell 1224 through outlet 1222. Second pump 1230 moves process stream 1216 to subsequent processing (e.g., any of several recessed impeller vortex pumps made by Essco Pumps & Controls, Los Angeles, California).

While certain embodiments have been described, other embodiments are possible.

As an example, while process stream 1216 has been described as a single flow path, other arrangements are possible. In some embodiments for example, process stream 1216 includes multiple parallel flow paths (e.g., flowing at a rate of 10 gallon/min). In addition or in the alternative, the multiple parallel flow paths of process stream 1216 flow into separate flow cells and are sonicated in parallel (e.g., using a plurality of 16 kW ultrasonic transducers).

As another example, while a single ultrasonic transducer 1226 has been described as being coupled to flow cell 1224, other arrangements are possible. In some

embodiments, a plurality of ultrasonic transducers 1226 are arranged in flow cell 1224 (e.g., ten ultrasonic transducers can be arranged in a flow cell 1224). In some

embodiments, the sound waves generated by each of the plurality of ultrasonic transducers 1226 are timed (e.g., synchronized out of phase with one another) to enhance the cavitation acting upon process stream 1216.

As another example, while a single flow cell 1224 has been described, other arrangements are possible. In some embodiments, second pump 1230 moves process stream to a second flow cell where a second booster and ultrasonic transducer further sonicate process stream 1216.

As still another example, while reactor volume 1244 has been described as a closed volume, reactor volume 1244 is open to ambient conditions in certain

embodiments. In such embodiments, sonication pretreatment can be performed substantially simultaneously with other pretreatment techniques. For example, ultrasonic energy can be applied to process stream 1216 in reactor volume 1244 while electron beams are simultaneously introduced into process stream 1216.

As another example, while a flow-through process has been described, other arrangements are possible. In some embodiments, sonication can be performed in a batch process. For example, a volume can be filled with a 10% (weight by volume) mixture of cellulosic material in water and exposed to sound with intensity from about 50 W/cm ² to about 600 W/cm ² , e.g., from about 75 W/cm ² to about 300 W/cm ² or from about 95 W/cm ² to about 200 W/cm ² . Additionally or alternatively, the mixture in the volume can be sonicated from about 1 hour to about 24 hours, e.g., from about 1.5 hours to about 12 hours, or from about 2 hours to about 10 hours. In certain embodiments, the material is sonicated for a pre-determined time, and then allowed to stand for a second predetermined time before sonicating again.

Referring now to FIG. 13, in some embodiments, two electro-acoustic transducers are mechanically coupled to a single horn. As shown, a pair of piezoelectric transducers 60 and 62 is coupled to a slotted bar horn 64 by respective intermediate coupling horns 70 and 72, the latter also being known as booster horns. The mechanical vibrations provided by the transducers, responsive to high frequency electrical energy applied thereto, are transmitted to the respective coupling horns, which may be constructed to provide a mechanical gain, such as a ratio of 1 to 1.2. The horns are provided with a respective mounting flange 74 and 76 for supporting the transducer and horn assembly in a stationary housing.

The vibrations transmitted from the transducers through the coupling or booster horns are coupled to the input surface 78 of the horn and are transmitted through the horn to the oppositely disposed output surface 80, which, during operation, is in forced engagement with a workpiece (not shown) to which the vibrations are applied. The high frequency electrical energy provided by the power supply 82 is fed to each of the transducers, electrically connected in parallel, via a balancing transformer 84 and a respective series connected capacitor 86 and 90, one capacitor connected in series with the electrical connection to each of the transducers. The balancing transformer is known also as "balun" standing for "balancing unit." The balancing transformer includes a magnetic core 92 and a pair of identical windings 94 and 96, also termed the primary winding and secondary winding, respectively.

In some embodiments, the transducers include commercially available

piezoelectric transducers, such as Branson Ultrasonics Corporation models 105 or 502, each designed for operation at 20 kHz and a maximum power rating of 3 kW. The energizing voltage for providing maximum motional excursion at the output surface of the transducer is 930 volt rms. The current flow through a transducer may vary between zero and 3.5 ampere depending on the load impedance. At 930 volt rms the output motion is approximately 20 microns. The maximum difference in terminal voltage for the same motional amplitude, therefore, can be 186 volt. Such a voltage difference can give rise to large circulating currents flowing between the transducers. The balancing unit 430 assures a balanced condition by providing equal current flow through the transducers, hence eliminating the possibility of circulating currents. The wire size of the windings must be selected for the full load current noted above and the maximum voltage appearing across a winding input is 93 volt.

As an alternative to using ultrasonic energy, high-frequency, rotor-stator devices can be utilized. This type of device produces high-shear, microcavitation forces which can disintegrate biomass in contact with such forces. Two commercially available high- frequency, rotor-stator dispersion devices are the Supraton™ devices manufactured by Krupp Industrietechnik GmbH and marketed by Dorr-Oliver Deutschland GmbH of

Connecticut, and the Dispax™ devices manufactured and marketed by Ika-Works, Inc. of Cincinnati, Ohio. Operation of such a microcavitation device is discussed in Stuart, U.S. Patent No. 5,370,999.

While ultrasonic transducer 1226 has been described as including one or more piezoelectric active elements to create ultrasonic energy, other arrangements are possible. In some embodiments, ultrasonic transducer 1226 includes active elements made of other types of magnetostrictive materials (e.g., ferrous metals). Design and operation of such a high-powered ultrasonic transducer is discussed in Hansen et al., U.S. Patent No.

6,624,539. In some embodiments, ultrasonic energy is transferred to process stream 16 through an electro-hydraulic system.

While ultrasonic transducer 1226 has been described as using the electromagnetic response of magnetorestrictive materials to produce ultrasonic energy, other

arrangements are possible. In some embodiments, acoustic energy in the form of an intense shock wave can be applied directly to process stream 16 using an underwater spark. In some embodiments, ultrasonic energy is transferred to process stream 16 through a thermo-hydraulic system. For example, acoustic waves of high energy density can be produced by applying power across an enclosed volume of electrolyte, thereby heating the enclosed volume and producing a pressure rise that is subsequently transmitted through a sound propagation medium (e.g., process stream 1216). Design and operation of such a thermo-hydraulic transducer is discussed in Hartmann et al., U.S. Patent 6,383, 152.

Pyrolysis

One or more pyrolysis processing sequences can be used to process raw feedstock from a wide variety of different sources to extract useful substances from the feedstock, and to provide partially degraded organic material which functions as input to further processing steps and/or sequences.

Referring again to the general schematic in FIG. 8, a first material 2 that includes cellulose having a first number average molecular weight ( ^T M _N i) is pyrolyzed, e.g., by heating the first material in a tube furnace, to provide a second material 3 that includes cellulose having a second number average molecular weight ( ^T M _N2 ) lower than the first number average molecular weight. The second material (or the first and second material in certain embodiments) is/are combined with a microorganism (e.g., a bacterium or a yeast) that can utilize the second and/or first material to produce a fuel 5 that is or includes hydrogen, an alcohol (e.g., ethanol or butanol, such as n-, sec or t-butanol), an organic acid, a hydrocarbon or mixtures of any of these.

Since the second material has cellulose having a reduced molecular weight relative to the first material, and in some instances, a reduced crystallinity as well, the second material is generally more dispersible, swellable and/or soluble in a solution containing the microorganism, e.g., at a concentration of greater than 10 ⁶

microorganisms/mL. These properties make the second material 3 more susceptible to chemical, enzymatic and/or microbial attack relative to the first material 2, which can greatly improve the production rate and/or production level of a desired product, e.g., ethanol. Pyrolysis can also sterilize the first and second materials.

In some embodiments, the second number average molecular weight ( ^T M _N2 ) is lower than the first number average molecular weight ( ^T M _N i) by more than about 10 percent, e.g., 15, 20, 25, 30, 35, 40, 50 percent, 60 percent, or even more than about 75 percent.

In some instances, the second material has cellulose that has as crystallinity ( ^T C ₂ ) that is lower than the crystallinity (¾) of the cellulose of the first material. For example, ( ^T C ₂ ) can be lower than (¾) by more than about 10 percent, e.g., 15, 20, 25, 30, 35, 40, or even more than about 50 percent.

In some embodiments, the starting crystallinity (prior to pyrolysis) is from about

40 to about 87.5 percent, e.g., from about 50 to about 75 percent or from about 60 to about 70 percent, and the crystallinity index after pyrolysis is from about 10 to about 50 percent, e.g., from about 15 to about 45 percent or from about 20 to about 40 percent. However, in certain embodiments, e.g., after extensive pyrolysis, it is possible to have a crystallinity index of lower than 5 percent. In some embodiments, the material after pyrolysis is substantially amorphous.

In some embodiments, the starting number average molecular weight (prior to pyrolysis) is from about 200,000 to about 3,200,000, e.g., from about 250,000 to about 1,000,000 or from about 250,000 to about 700,000, and the number average molecular weight after pyrolysis is from about 50,000 to about 200,000, e.g., from about 60,000 to about 150,000 or from about 70,000 to about 125,000. However, in some embodiments, e.g., after extensive pyrolysis, it is possible to have a number average molecular weight of less than about 10,000 or even less than about 5,000.

In some embodiments, the second material can have a level of oxidation ( ^T 0 ₂ ) that is higher than the level of oxidation ( ^T Oi) of the first material. A higher level of oxidation of the material can aid in its dispersibility, swellability and/or solubility, further enhancing the materials susceptibility to chemical, enzymatic or microbial attack. In some embodiments, to increase the level of the oxidation of the second material relative to the first material, the pyrolysis is performed in an oxidizing environment, producing a second material that is more oxidized than the first material. For example, the second material can have more hydroxyl groups, aldehyde groups, ketone groups, ester groups or carboxylic acid groups, which can increase its hydrophilicity.

In some embodiments, the pyrolysis of the materials is continuous. In other embodiments, the material is pyrolyzed for a pre-determined time, and then allowed to cool for a second pre-determined time before pyrolyzing again. Pyrolysis Systems

FIG. 14 shows a process flow diagram 6000 that includes various steps in a pyrolytic feedstock pretreatment system. In first step 6010, a supply of dry feedstock is received from a feed source.

As described above, the dry feedstock from the feed source may be pre-processed prior to delivery to the pyrolysis chamber. For example, if the feedstock is derived from plant sources, certain portions of the plant material may be removed prior to collection of the plant material and/or before the plant material is delivered by the feedstock transport device. Alternatively, or in addition, the biomass feedstock can be subjected to mechanical processing 6020 (e.g., to reduce the average length of fibers in the feedstock) prior to delivery to the pyrolysis chamber.

Following mechanical processing, the feedstock undergoes a moisture adjustment step 6030. The nature of the moisture adjustment step depends upon the moisture content of the mechanically processed feedstock. Typically, pyrolysis of feedstock occurs most efficiently when the moisture content of the feedstock is between about 10% and about 30%) (e.g., between 15% and 25%) by weight of the feedstock. If the moisture content of the feedstock is larger than about 40% by weight, the extra thermal load presented by the water content of the feedstock increases the energy consumption of subsequent pyrolysis steps.

In some embodiments, if the feedstock has a moisture content which is larger than about 30%) by weight, drier feedstock material 6220 which has a low moisture content can be blended in, creating a feedstock mixture in step 6030 with an average moisture content that is within the limits discussed above. In certain embodiments, feedstock with a high moisture content can simply be dried by dispersing the feedstock material on a moving conveyor that cycles the feedstock through an in-line heating unit. The heating unit evaporates a portion of the water present in the feedstock.

In some embodiments, if the feedstock from step 6020 has a moisture content which is too low (e.g., lower than about 10% by weight), the mechanically processed feedstock can be combined with wetter feedstock material 6230 with a higher moisture content, such as sewage sludge. Alternatively, or in addition, water 6240 can be added to the dry feedstock from step 6020 to increase its moisture content.

In step 6040, the feedstock - now with its moisture content adjusted to fall within suitable limits - can be preheated in an optional preheating step 6040. Preheating step 6040 can be used to increase the temperature of the feedstock to between 75 °C and 150 °C in preparation for subsequent pyrolysis of the feedstock. Depending upon the nature of the feedstock and the particular design of the pyrolysis chamber, preheating the feedstock can ensure that heat distribution within the feedstock remains more uniform during pyrolysis, and can reduce the thermal load on the pyrolysis chamber.

The feedstock is then transported to a pyrolysis chamber to undergo pyrolysis in step 6050. In some embodiments, transport of the feedstock is assisted by adding one or more pressurized gases 6210 to the feedstock stream. The gases create a pressure gradient in a feedstock transport conduit, propelling the feedstock into the pyrolysis chamber (and even through the pyrolysis chamber). In certain embodiments, transport of the feedstock occurs mechanically; that is, a transport system that includes a conveyor such as an auger transports the feedstock to the pyrolysis chamber.

Other gases 6210 can also be added to the feedstock prior to the pyrolysis chamber. In some embodiments, for example, one or more catalyst gases can be added to the feedstock to assist decomposition of the feedstock during pyrolysis. In certain embodiments, one or more scavenging agents can be added to the feedstock to trap volatile materials released during pyrolysis. For example, various sulfur-based compounds such as sulfides can be liberated during pyrolysis, and an agent such as hydrogen gas can be added to the feedstock to cause desulfurization of the pyrolysis products. Hydrogen combines with sulfides to form hydrogen sulfide gas, which can be removed from the pyrolyzed feedstock.

Pyrolysis of the feedstock within the chamber can include heating the feedstock to relatively high temperatures to cause partial decomposition of the feedstock. Typically, the feedstock is heated to a temperature in a range from 150 °C to 1100 °C. The temperature to which the feedstock is heated depends upon a number of factors, including the composition of the feedstock, the feedstock average particle size, the moisture content, and the desired pyrolysis products. For many types of biomass feedstock, for example, pyrolysis temperatures between 300 °C and 550 °C are used.

The residence time of the feedstock within the pyrolysis chamber generally depends upon a number of factors, including the pyrolysis temperature, the composition of the feedstock, the feedstock average particle size, the moisture content, and the desired pyrolysis products. In some embodiments, feedstock materials are pyrolyzed at a temperature just above the decomposition temperature for the material in an inert atmosphere, e.g., from about 2 °C above to about 10 °C above the decomposition temperature or from about 3 °C above to about 7 °C above the decomposition

temperature. In such embodiments, the material is generally kept at this temperature for greater than 0.5 hours, e.g., greater than 1.0 hour or greater than about 2.0 hours. In other embodiments, the materials are pyrolyzed at a temperature well above the decomposition temperature for the material in an inert atmosphere, e.g., from about 75 °C above to about 175 °C above the decomposition temperature or from about 85 °C above to about 150 °C above the decomposition temperature. In such embodiments, the material is generally kept at this temperature for less than 0.5 hour, e.g., less 20 minutes, less than 10 minutes, less than 5 minutes or less than 2 minutes. In still other embodiments, the materials are pyrolyzed at an extreme temperature, e.g., from about 200 °C above to about 500 °C above the decomposition temperature of the material in an inert environment or from about 250 °C above to about 400 °C above the decomposition temperature. In such embodiments, the material us generally kept at this temperature for less than 1 minute, e.g., less than 30 seconds, 15 seconds, 10 seconds, 5 seconds, 1 second or less than 500 ms. Such embodiments are typically referred to as flash pyrolysis. In some embodiments, the feedstock is heated relatively rapidly to the selected pyrolysis temperature within the chamber. For example, the chamber can be designed to heat the feedstock at a rate of between 500 °C/s and 11,000 °C/s, for example from 500 °C/s to 1000 °C/s.

A turbulent flow of feedstock material within the pyrolysis chamber is usually advantageous, as it ensures relatively efficient heat transfer to the feedstock material from the heating sub-system. Turbulent flow can be achieved, for example, by blowing the feedstock material through the chamber using one or more injected carrier gases 6210. In general, the carrier gases are relatively inert towards the feedstock material, even at the high temperatures in the pyrolysis chamber. Exemplary carrier gases include, for example, nitrogen, argon, methane, carbon monoxide, and carbon dioxide. Alternatively, or in addition, mechanical transport systems such as augers can transport and circulate the feedstock within the pyrolysis chamber to create a turbulent feedstock flow.

In some embodiments, pyrolysis of the feedstock occurs substantially in the absence of oxygen and other reactive gases. Oxygen can be removed from the pyrolysis chamber by periodic purging of the chamber with high pressure nitrogen (e.g., at nitrogen pressures of 2 bar or more). Following purging of the chamber, a gas mixture present in the pyrolysis chamber (e.g., during pyrolysis of the feedstock) can include less than 4 mole% oxygen (e.g., less than 1 mole% oxygen, and even less than 0.5 mole% oxygen). The absence of oxygen ensures that ignition of the feedstock does not occur at the elevated pyrolysis temperatures.

In certain embodiments, relatively small amounts of oxygen can be introduced into the feedstock and are present during pyrolysis. This technique is referred to as oxidative pyrolysis. Typically, oxidative pyrolysis occurs in multiple heating stages. For example, in a first heating stage, the feedstock is heated in the presence of oxygen to cause partial oxidation of the feedstock. This stage consumes the available oxygen in the pyrolysis chamber. Then, in subsequent heating stages, the feedstock temperature is further elevated. With all of the oxygen in the chamber consumed, however, feedstock combustion does not occur, and combustion-free pyrolytic decomposition of the feedstock (e.g., to generate hydrocarbon products) occurs. In general, the process of heating feedstock in the pyrolysis chamber to initiate decomposition is endothermic. However, in oxidative pyrolysis, formation of carbon dioxide by oxidation of the feedstock is an exothermic process. The heat released from carbon dioxide formation can assist further pyrolysis heating stages, thereby lessening the thermal load presented by the feedstock.

In some embodiments, pyrolysis occurs in an inert environment, such as while feedstock materials are bathed in argon or nitrogen gas. In certain embodiments, pyrolysis can occur in an oxidizing environment, such as in air or argon enriched in air. In some embodiments, pyrolysis can take place in a reducing environment, such as while feedstock materials are bathed in hydrogen gas. To aid pyrolysis, various chemical agents, such as oxidants, reductants, acids or bases can be added to the material prior to or during pyrolysis. For example, sulfuric acid can be added, or a peroxide (e.g., benzoyl peroxide) can be added.

As discussed above, a variety of different processing conditions can be used, depending upon factors such as the feedstock composition and the desired pyrolysis products. For example, for cellulose-containing feedstock material, relatively mild pyrolysis conditions can be employed, including flash pyrolysis temperatures between 375 °C and 450 °C, and residence times of less than 1 second. As another example, for organic solid waste material such as sewage sludge, flash pyrolysis temperatures between 500 °C and 650 °C are typically used, with residence times of between 0.5 and 3 seconds. In general, many of the pyrolysis process parameters, including residence time, pyrolysis temperature, feedstock turbulence, moisture content, feedstock composition, pyrolysis product composition, and additive gas composition can be regulated automatically by a system of regulators and an automated control system.

Following pyrolysis step 6050, the pyrolysis products undergo a quenching step 6250 to reduce the temperature of the products prior to further processing. Typically, quenching step 6250 includes spraying the pyrolysis products with streams of cooling water 6260. The cooling water also forms a slurry that includes solid, undissolved product material and various dissolved products. Also present in the product stream is a mixture that includes various gases, including product gases, carrier gases, and other types of process gases. The product stream is transported via in-line piping to a gas separator that performs a gas separation step 6060, in which product gases and other gases are separated from the slurry formed by quenching the pyrolysis products. The separated gas mixture is optionally directed to a blower 6130, which increases the gas pressure by blowing air into the mixture. The gas mixture can be subjected to a filtration step 6140, in which the gas mixture passes through one or more filters (e.g., activated charcoal filters) to remove particulates and other impurities. In a subsequent step 6150, the filtered gas can be compressed and stored for further use. Alternatively, the filtered gas can be subjected to further processing steps 6160. For example, in some embodiments, the filtered gas can be condensed to separate different gaseous compounds within the gas mixture. The different compounds can include, for example, various hydrocarbon products (e.g., alcohols, alkanes, alkenes, alkynes, ethers) produced during pyrolysis. In certain embodiments, the filtered gas containing a mixture of hydrocarbon components can be combined with steam gas 6170 (e.g., a mixture of water vapor and oxygen) and subjected to a cracking process to reduce molecular weights of the hydrocarbon components.

In some embodiments, the pyrolysis chamber includes heat sources that burn hydrocarbon gases such as methane, propane, and/or butane to heat the feedstock. A portion 6270 of the separated gases can be recirculated into the pyrolysis chamber for combustion, to generate process heat to sustain the pyrolysis process.

In certain embodiments, the pyrolysis chamber can receive process heat that can be used to increase the temperature of feedstock materials. For example, irradiating feedstock with radiation (e.g., gamma radiation, electron beam radiation, or other types of radiation) can heat the feedstock materials to relatively high temperatures. The heated feedstock materials can be cooled by a heat exchange system that removes some of the excess heat from the irradiated feedstock. The heat exchange system can be configured to transport some of the heat energy to the pyrolysis chamber to heat (or pre-heat) feedstock material, thereby reducing energy cost for the pyrolysis process.

The slurry containing liquid and solid pyrolysis products can undergo an optional de-watering step 6070, in which excess water can be removed from the slurry via processes such as mechanical pressing and evaporation. The excess water 6280 can be filtered and then recirculated for further use in quenching the pyrolysis decomposition products in step 6250.

The de-watered slurry then undergoes a mechanical separation step 6080, in which solid product material 6110 is separated from liquid product material 6090 by a series of increasingly fine filters. In step 6100, the liquid product material 6090 can then be condensed (e.g., via evaporation) to remove waste water 6190, and purified by processes such as extraction. Extraction can include the addition of one or more organic solvents 6180, for example, to separate products such as oils from products such as alcohols. Suitable organic solvents include, for example, various hydrocarbons and halo- hydrocarbons. The purified liquid products 6200 can then be subjected to further processing steps. Waste water 6190 can be filtered if necessary, and recirculated for further use in quenching the pyrolysis decomposition products in step 6250.

After separation in step 6080, the solid product material 6110 is optionally subjected to a drying step 6120 that can include evaporation of water. Solid material 6110 can then be stored for later use, or subjected to further processing steps, as appropriate.

The pyrolysis process parameters discussed above are exemplary. In general, values of these parameters can vary widely according to the nature of the feedstock and the desired products. Moreover, a wide variety of different pyrolysis techniques, including using heat sources such as hydrocarbon flames and/or furnaces, infrared lasers, microwave heaters, induction heaters, resistive heaters, and other heating devices and configurations can be used.

A wide variety of different pyrolysis chambers can be used to decompose the feedstock. In some embodiments, for example, pyrolyzing feedstock can include heating the material using a resistive heating member, such as a metal filament or metal ribbon.

The heating can occur by direct contact between the resistive heating member and the material.

In certain embodiments, pyrolyzing can include heating the material by induction, such as by using a Curie-Point pyrolyzer. In some embodiments, pyrolyzing can include heating the material by the application of radiation, such as infrared radiation. The radiation can be generated by a laser, such as an infrared laser. In certain embodiments, pyrolyzing can include heating the material with a convective heat. The convective heat can be generated by a flowing stream of heated gas. The heated gas can be maintained at a temperature of less than about 1200 °C, such as less than 1000 °C, less than 750 °C, less than 600 °C, less than 400 °C or even less than 300 °C. The heated gas can be maintained at a temperature of greater than about 250 °C. The convective heat can be generated by a hot body surrounding the first material, such as in a furnace.

In some embodiments, pyrolyzing can include heating the material with steam at a temperature above about 250 °C.

An embodiment of a pyrolysis chamber is shown in FIG. 15. Chamber 6500 includes an insulated chamber wall 6510 with a vent 6600 for exhaust gases, a plurality of burners 6520 that generate heat for the pyrolysis process, a transport duct 6530 for transporting the feedstock through chamber 6500, augers 6590 for moving the feedstock through duct 6530 in a turbulent flow, and a quenching system 6540 that includes an auger 6610 for moving the pyrolysis products, water jets 6550 for spraying the pyrolysis products with cooling water, and a gas separator for separating gaseous products 6580 from a slurry 6570 containing solid and liquid products.

Another embodiment of a pyrolysis chamber is shown in FIG. 16. Chamber 6700 includes an insulated chamber wall 6710, a feedstock supply duct 6720, a sloped inner chamber wall 6730, burners 6740 that generate heat for the pyrolysis process, a vent 6750 for exhaust gases, and a gas separator 6760 for separating gaseous products 6770 from liquid and solid products 6780. Chamber 6700 is configured to rotate in the direction shown by arrow 6790 to ensure adequate mixing and turbulent flow of the feedstock within the chamber.

A further embodiment of a pyrolysis chamber is shown in FIG. 17. Filament pyrolyzer 1712 includes a sample holder 1713 with resistive heating element 1714 in the form of a wire winding through the open space defined by the sample holder 1713.

Optionally, the heated element can be spun about axis 1715 (as indicated by arrow 1716) to tumble the material that includes the cellulosic material in sample holder 1713. The space 1718 defined by enclosure 1719 is maintained at a temperature above room temperature, e.g., 200 to 250 °C. In a typical usage, a carrier gas, e.g., an inert gas, or an oxidizing or reducing gas, traverses through the sample holder 1713 while the resistive heating element is rotated and heated to a desired temperature, e.g., 325 °C. After an appropriate time, e.g., 5 to 10 minutes, the pyrolyzed material is emptied from the sample holder. The system shown in FIG. 17 can be scaled and made continuous. For example, rather than a wire as the heating member, the heating member can be an auger screw. Material can continuously fall into the sample holder, striking a heated screw that pyrolizes the material. At the same time, the screw can push the pyrolyzed material out of the sample holder to allow for the entry of fresh, unpyrolyzed material.

Another embodiment of a pyrolysis chamber is shown in FIG. 18, which features a Curie-Point pyrolyzer 1820 that includes a sample chamber 1821 housing a

ferromagnetic foil 1822. Surrounding the sample chamber 1821 is an RF coil 1823. The space 1824 defined by enclosure 1825 is maintained at a temperature above room temperature, e.g., 200 to 250 °C. In a typical usage, a carrier gas traverses through the sample chamber 1821 while the foil 1822 is inductively heated by an applied RF field to pyrolize the material at a desired temperature.

Yet another embodiment of a pyrolysis chamber is shown in FIG. 19. Furnace pyrolyzer 130 includes a movable sample holder 131 and a furnace 132. In a typical usage, the sample is lowered (as indicated by arrow 137) into a hot zone 135 of furnace 132, while a carrier gas fills the housing 136 and traverses through the sample holder 131. The sample is heated to the desired temperature for a desired time to provide a pyrolyzed product. The pyrolyzed product is removed from the pyrolyzer by raising the sample holder (as indicated by arrow 134).

In certain embodiments, as shown in FIG. 20, a cellulosic target 140 can be pyrolyzed by treating the target, which is housed in a vacuum chamber 141, with laser light, e.g., light having a wavelength of from about 225 nm to about 1500 nm. For example, the target can be ablated at 266 nm, using the fourth harmonic of an Nd-YAG laser (Spectra Physics, GCR170, San Jose, Calif). The optical configuration shown allows the nearly monochromatic light 143 generated by the laser 142 to be directed using mirrors 144 and 145 onto the target after passing though a lens 146 in the vacuum chamber 141. Typically, the pressure in the vacuum chamber is maintained at less than about 10 ^"6 mm Hg. In some embodiments, infrared radiation is used, e.g., 1.06 micron radiation from an Nd-YAG laser. In such embodiments, an infrared sensitive dye can be combined with the cellulosic material to produce a cellulosic target. The infrared dye can enhance the heating of the cellulosic material. Laser ablation is described by Blanchet- Fincher et al. in U.S. Patent No. 5,942,649.

Referring to FIG. 21, in some embodiments, a cellulosic material can be flash pyrolyzed by coating a tungsten filament 150, such as a 5 to 25 mil tungsten filament, with the desired cellulosic material while the material is housed in a vacuum chamber 151. To affect pyrolysis, current is passed through the filament, which causes a rapid heating of the filament for a desired time. Typically, the heating is continued for seconds before allowing the filament to cool. In some embodiments, the heating is performed a number of times to effect the desired amount of pyrolysis.

In certain embodiments, carbohydrate-containing biomass material can be heated in an absence of oxygen in a fluidized bed reactor. If desired, the carbohydrate containing biomass can have relatively thin cross-sections, and can include any of the fibrous materials described herein, for efficient heat transfer. The material can be heated by thermal transfer from a hot metal or ceramic, such as glass beads or sand in the reactor, and the resulting pyrolysis liquid or oil can be transported to a central refinery for making combustible fuels or other useful products.

Oxidation

One or more oxidative processing sequences can be used to process raw feedstock from a wide variety of different sources to extract useful substances from the feedstock, and to provide partially degraded organic material which functions as input to further processing steps and/or sequences.

Referring again to FIG. 8, a first material 2 that includes cellulose having a first number average molecular weight ( ^T M _N i) and having a first oxygen content ( ^T Oi) is oxidized, e.g., by heating the first material in a tube furnace in stream of air or oxygen- enriched air, to provide a second material 3 that includes cellulose having a second number average molecular weight ( ^T M _N2 ) and having a second oxygen content ( ^T 0 ₂ ) higher than the first oxygen content ( ^T Oi). The second material (or the first and second material in certain embodiments) can be, e.g., combined with a resin, such as a molten thermoplastic resin or a microorganism, to provide a composite 4 having desirable mechanical properties, or a fuel 5.

Such materials can also be combined with a solid and/or a liquid. For example, the liquid can be in the form of a solution and the solid can be particulate in form. The liquid and/or solid can include a microorganism, e.g., a bacterium, and/or an enzyme.

For example, the bacterium and/or enzyme can work on the cellulosic or lignocellulosic material to produce a fuel, such as ethanol, or a coproduct, such as a protein. Fuels and coproducts are described in FIBROUS MATERIALS AND COMPOSITES," USSN 11/453,951, filed June 15, 2006. The entire contents of each of the foregoing

applications are incorporated herein by reference.

In some embodiments, the second number average molecular weight is not more 97 percent lower than the first number average molecular weight, e.g., not more than 95 percent, 90, 85, 80, 75, 70, 65, 60, 55, 50, 45, 40, 30, 20, 12.5, 10.0, 7.5, 5.0, 4.0, 3.0, 2.5, 2.0 or not more than 1.0 percent lower than the first number average molecular weight. The amount of reduction of molecular weight will depend upon the application.

In some embodiments in which the materials are used to make a fuel or a coproduct, the starting number average molecular weight (prior to oxidation) is from about 200,000 to about 3,200,000, e.g., from about 250,000 to about 1,000,000 or from about 250,000 to about 700,000, and the number average molecular weight after oxidation is from about 50,000 to about 200,000, e.g., from about 60,000 to about

150,000 or from about 70,000 to about 125,000. However, in some embodiments, e.g., after extensive oxidation, it is possible to have a number average molecular weight of less than about 10,000 or even less than about 5,000.

In some embodiments, the second oxygen content is at least about five percent higher than the first oxygen content, e.g., 7.5 percent higher, 10.0 percent higher, 12.5 percent higher, 15.0 percent higher or 17.5 percent higher. In some preferred

embodiments, the second oxygen content is at least about 20.0 percent higher than the oxygen content of the first material. Oxygen content is measured by elemental analysis by pyrolyzing a sample in a furnace operating 1300 °C or higher. A suitable elemental analyzer is the LECO CHNS-932 analyzer with a VTF-900 high temperature pyrolysis furnace. In some embodiments, oxidation of first material 200 does not result in a substantial change in the crystallinity of the cellulose. However, in some instances, e.g., after extreme oxidation, the second material has cellulose that has as crystallinity ( ^T C ₂ ) that is lower than the crystallinity (¾) of the cellulose of the first material. For example, ( ^T C ₂ ) can be lower than (¾) by more than about 5 percent, e.g., 10, 15, 20, or even 25 percent. This can be desirable to enhance solubility of the materials in a liquid, such as a liquid that includes a bacterium and/or an enzyme.

In some embodiments, the starting crystallinity index (prior to oxidation) is from about 40 to about 87.5 percent, e.g., from about 50 to about 75 percent or from about 60 to about 70 percent, and the crystallinity index after oxidation is from about 30 to about 75.0 percent, e.g., from about 35.0 to about 70.0 percent or from about 37.5 to about 65.0 percent. However, in certain embodiments, e.g., after extensive oxidation, it is possible to have a crystallinity index of lower than 5 percent. In some embodiments, the material after oxidation is substantially amorphous.

Without wishing to be bound by any particular theory, it is believed that oxidation increases the number of hydrogen-bonding groups on the cellulose, such as hydroxyl groups, aldehyde groups, ketone groups carboxylic acid groups or anhydride groups, which can increase its dispersibility and/or its solubility (e.g., in a liquid). To further improve dispersibility in a resin, the resin can include a component that includes hydrogen-bonding groups, such as one or more anhydride groups, carboxylic acid groups, hydroxyl groups, amide groups, amine groups or mixtures of any of these groups. In some preferred embodiments, the component includes a polymer copolymerized with and/or grafted with maleic anhydride. Such materials are available from Dupont under the tradename FUSABO D ^® .

Generally, oxidation of first material 200 occurs in an oxidizing environment. For example, the oxidation can be effected or aided by pyrolysis in an oxidizing environment, such as in air or argon enriched in air. To aid in the oxidation, various chemical agents, such as oxidants, acids or bases can be added to the material prior to or during oxidation. For example, a peroxide (e.g., benzoyl peroxide) can be added prior to oxidation. Oxidation Systems

FIG. 22 shows a process flow diagram 5000 that includes various steps in an oxidative feedstock pretreatment system. In first step 5010, a supply of dry feedstock is received from a feed source. The feed source can include, for example, a storage bed or container that is connected to an in-line oxidation reactor via a conveyor belt or another feedstock transport device.

As described above, the dry feedstock from the feed source may be pre-processed prior to delivery to the oxidation reactor. For example, if the feedstock is derived from plant sources, certain portions of the plant material may be removed prior to collection of the plant material and/or before the plant material is delivered by the feedstock transport device. Alternatively, or in addition, the biomass feedstock can be subjected to mechanical processing (e.g., to reduce the average length of fibers in the feedstock) prior to delivery to the oxidation reactor.

Following mechanical processing 5020, feedstock 5030 is transported to a mixing system which introduces water 5150 into the feedstock in a mechanical mixing process. Combining water with the processed feedstock in mixing step 5040 creates an aqueous feedstock slurry 5050, which can then be treated with one or more oxidizing agents.

Typically, one liter of water is added to the mixture for every 0.02 kg to 1.0 kg of dry feedstock. The ratio of feedstock to water in the mixture depends upon the source of the feedstock and the specific oxidizing agents used further downstream in the overall process. For example, in typical industrial processing sequences for lignocellulosic biomass, aqueous feedstock slurry 5050 includes from about 0.5 kg to about 1.0 kg of dry biomass per liter of water.

In some embodiments, one or more fiber-protecting additives 5170 can also be added to the feedstock slurry in feedstock mixing step 5040. Fiber-protecting additives help to reduce degradation of certain types of biomass fibers (e.g., cellulose fibers) during oxidation of the feedstock. Fiber-protecting additives can be used, for example, if a desired product from processing a lignocellulosic feedstock includes cellulose fibers. Exemplary fiber-protecting additives include magnesium compounds such as magnesium hydroxide. Concentrations of fiber-protecting additives in feedstock slurry 5050 can be from 0.1% to 0.4% of the dry weight of the biomass feedstock, for example. In certain embodiments, aqueous feedstock slurry 5050 can be subjected to an optional extraction 5180 with an organic solvent to remove water-insoluble substances from the slurry. For example, extraction of slurry 5050 with one or more organic solvents yields a purified slurry and an organic waste stream 5210 that includes water- insoluble materials such as fats, oils, and other non-polar, hydrocarbon-based substances. Suitable solvents for performing extraction of slurry 5050 include various alcohols, hydrocarbons, and halo-hydrocarbons, for example.

In some embodiments, aqueous feedstock slurry 5050 can be subjected to an optional thermal treatment 5190 to further prepare the feedstock for oxidation. An example of a thermal treatment includes heating the feedstock slurry in the presence of pressurized steam. In fibrous biomass feedstock, the pressurized steam swells the fibers, exposing a larger fraction of fiber surfaces to the aqueous solvent and to oxidizing agents that are introduced in subsequent processing steps.

In certain embodiments, aqueous feedstock slurry 5050 can be subjected to an optional treatment with basic agents 5200. Treatment with one or more basic agents can help to separate lignin from cellulose in lignocellulosic biomass feedstock, thereby improving subsequent oxidation of the feedstock. Exemplary basic agents include alkali and alkaline earth hydroxides such as sodium hydroxide, potassium hydroxide, and calcium hydroxide. In general, a variety of basic agents can be used, typically in concentrations from about 0.01% to about 0.5% of the dry weight of the feedstock.

Aqueous feedstock slurry 5050 is transported (e.g., by an in-line piping system) to a chamber, which can be an oxidation preprocessing chamber or an oxidation reactor. In oxidation preprocessing step 5060, one or more oxidizing agents 5160 are added to feedstock slurry 5050 to form an oxidizing medium. In some embodiments, for example, oxidizing agents 5160 can include hydrogen peroxide. Hydrogen peroxide can be added to slurry 5050 as an aqueous solution, and in proportions ranging from 3% to between 30%) and 35% by weight of slurry 5050. Hydrogen peroxide has a number of advantages as an oxidizing agent. For example, aqueous hydrogen peroxide solution is relatively inexpensive, is relatively chemically stable, and is not particularly hazardous relative to other oxidizing agents (and therefore does not require burdensome handling procedures and expensive safety equipment). Moreover, hydrogen peroxide decomposes to form water during oxidation of feedstock, so that waste stream cleanup is relatively

straightforward and inexpensive.

In certain embodiments, oxidizing agents 5160 can include oxygen (e.g., oxygen gas) either alone, or in combination with hydrogen peroxide. Oxygen gas can be bubbled into slurry 5050 in proportions ranging from 0.5% to 10% by weight of slurry 5050.

Alternatively, or in addition, oxygen gas can also be introduced into a gaseous phase in equilibrium with slurry 5050 (e.g., a vapor head above slurry 5050). The oxygen gas can be introduced into either an oxidation preprocessing chamber or into an oxidation reactor (or into both), depending upon the configuration of the oxidative processing system. Typically, for example, the partial pressure of oxygen in the vapor above slurry 5050 is larger than the ambient pressure of oxygen, and ranges from 0.5 bar to 35 bar, depending upon the nature of the feedstock.

The oxygen gas can be introduced in pure form, or can be mixed with one or more carrier gases. For example, in some embodiments, high-pressure air provides the oxygen in the vapor. In certain embodiments, oxygen gas can be supplied continuously to the vapor phase to ensure that a concentration of oxygen in the vapor remains within certain predetermined limits during processing of the feedstock. In some embodiments, oxygen gas can be introduced initially in sufficient concentration to oxidize the feedstock, and then the feedstock can be transported to a closed, pressurized vessel (e.g., an oxidation reactor) for processing.

In certain embodiments, oxidizing agents 5160 can include nascent oxygen (e.g., oxygen radicals). Typically, nascent oxygen is produced as needed in an oxidation reactor or in a chamber in fluid communication with an oxidation reactor by one or more decomposition reactions. For example, in some embodiments, nascent oxygen can be produced from a reaction between NO and 0 ₂ in a gas mixture or in solution. In certain embodiments, nascent oxygen can be produced from decomposition of HOCl in solution. Other methods by which nascent oxygen can be produced include via electrochemical generation in electrolyte solution, for example.

In general, nascent oxygen is an efficient oxidizing agent due to the relatively high reactivity of the oxygen radical. However, nascent oxygen can also be a relatively selective oxidizing agent. For example, when lignocellulosic feedstock is treated with nascent oxygen, selective oxidation of lignin occurs in preference to the other

components of the feedstock such as cellulose. As a result, oxidation of feedstock with nascent oxygen provides a method for selective removal of the lignin fraction in certain feedstocks. Typically, nascent oxygen concentrations of between about 0.5% and 5% of the dry weight of the feedstock are used to effect efficient oxidation.

Without wishing to be bound by theory, it is believed that nascent oxygen reacts with lignocellulosic feedstock according to at least two different mechanisms. In a first mechanism, nascent oxygen undergoes an addition reaction with the lignin, resulting in partial oxidation of the lignin, which solubilizes the lignin in aqueous solution. As a result, the solubilized lignin can be removed from the rest of the feedstock via washing. In a second mechanism, nascent oxygen disrupts butane cross-links and/or opens aromatic rings that are connected via the butane cross-links. As a result, solubility of the lignin in aqueous solution increases, facilitating separation of the lignin fraction from the remainder of the feedstock via washing.

In some embodiments, oxidizing agents 5160 include ozone (0 ₃ ). The use of ozone can introduce several chemical handling considerations in the oxidation processing sequence. If heated too vigorously, an aqueous solution of ozone can decompose violently, with potentially adverse consequences for both human system operators and system equipment. Accordingly, ozone is typically generated in a thermally isolated, thick-walled vessel separate from the vessel that contains the feedstock slurry, and transported thereto at the appropriate process stage.

Without wishing to be bound by theory, it is believed that ozone decomposes into oxygen and oxygen radicals, and that the oxygen radicals (e.g., nascent oxygen) are responsible for the oxidizing properties of ozone in the manner discussed above. Ozone typically preferentially oxidizes the lignin fraction in lignocellulosic materials, leaving the cellulose fraction relatively undisturbed.

Conditions for ozone-based oxidation of biomass feedstock generally depend upon the nature of the biomass. For example, for cellulosic and/or lignocellulosic feedstocks, ozone concentrations of from 0.1 g/m ³ to 20 g/m ³ of dry feedstock provide for efficient feedstock oxidation. Typically, the water content in slurry 5050 is between 10% by weight and 80% by weight (e.g., between 40% by weight and 60% by weight). During ozone-based oxidation, the temperature of slurry 5050 can be maintained between 0 °C and 100 °C to avoid violent decomposition of the ozone.

In some embodiments, feedstock slurry 5050 can be treated with an aqueous, alkaline solution that includes one or more alkali and alkaline earth hydroxides such as sodium hydroxide, potassium hydroxide, and calcium hydroxide, and then treated thereafter with an ozone-containing gas in an oxidation reactor. This process has been observed to significantly increase decomposition of the biomass in slurry 5050.

Typically, for example, a concentration of hydroxide ions in the alkaline solution is between 0.001% and 10% by weight of slurry 5050. After the feedstock has been wetted via contact with the alkaline solution, the ozone-containing gas is introduced into the oxidation reactor, where it contacts and oxidizes the feedstock.

Oxidizing agents 5160 can also include other substances. In some embodiments, for example, halogen-based oxidizing agents such as chlorine and oxychlorine agents (e.g., hypochlorite) can be introduced into slurry 5050. In certain embodiments, nitrogen-containing oxidizing substances can be introduced into slurry 5050. Exemplary nitrogen-containing oxidizing substances include NO and N0 ₂ , for example. Nitrogen- containing agents can also be combined with oxygen in slurry 5050 to create additional oxidizing agents. For example, NO and N0 ₂ both combine with oxygen in slurry 5050 to form nitrate compounds, which are effective oxidizing agents for biomass feedstock. Halogen- and nitrogen-based oxidizing agents can, in some embodiments, cause bleaching of the biomass feedstock, depending upon the nature of the feedstock. The bleaching may be desirable for certain biomass-derived products that are extracted in subsequent processing steps.

Other oxidizing agents can include, for example, various peroxyacids, peroxyacetic acids, persulfates, percarbonates, permanganates, osmium tetroxide, and chromium oxides.

Following oxidation preprocessing step 5060, feedstock slurry 5050 is oxidized in step 5070. If oxidizing agents 5160 were added to slurry 5050 in an oxidation reactor, then oxidation proceeds in the same reactor. Alternatively, if oxidizing agents 5160 were added to slurry 5050 in a preprocessing chamber, then slurry 5050 is transported to an oxidation reactor via an in-line piping system. Once inside the oxidation reactor, oxidation of the biomass feedstock proceeds under a controlled set of environmental conditions. Typically, for example, the oxidation reactor is a cylindrical vessel that is closed to the external environment and pressurized. Both batch and continuous operation is possible, although environmental conditions are typically easier to control in in-line batch processing operations.

Oxidation of feedstock slurry 5050 typically occurs at elevated temperatures in the oxidation reactor. For example, the temperature of slurry 5050 in the oxidation reactor is typically maintained above 100 °C, in a range from 120 °C to 240 °C. For many types of biomass feedstock, oxidation is particularly efficient if the temperature of slurry 5050 is maintained between 150 °C and 220 °C. Slurry 5050 can be heating using a variety of thermal transfer devices. For example, in some embodiments, the oxidation reactor contacts a heating bath that includes oil or molten salts. In certain embodiments, a series of heat exchange pipes surround and contact the oxidation reactor, and circulation of hot fluid within the pipes heats slurry 5050 in the reactor. Other heating devices that can be used to heat slurry 5050 include resistive heating elements, induction heaters, and microwave sources, for example.

The residence time of feedstock slurry 5050 in the oxidation reactor can be varied as desired to process the feedstock. Typically, slurry 5050 spends from 1 minute to 60 minutes undergoing oxidation in the reactor. For relatively soft biomass material such as lignocellulosic matter, the residence time in the oxidation reactor can be from 5 minutes to 30 minutes, for example, at an oxygen pressure of between 3 and 12 bars in the reactor, and at a slurry temperature of between 160 °C and 210 °C. For other types of feedstock, however, residence times in the oxidation reactor can be longer, e.g., as long 48 hours. To determine appropriate residence times for slurry 5050 in the oxidation reactor, aliquots of the slurry can be extracted from the reactor at specific intervals and analyzed to determine concentrations of particular products of interest such as complex

saccharides. Information about the increase in concentrations of certain products in slurry 5050 as a function of time can be used to determine residence times for particular classes of feedstock material.

In some embodiments, during oxidation of feedstock slurry 5050, adjustment of the slurry pH may be performed by introducing one or more chemical agents into the oxidation reactor. For example, in certain embodiments, oxidation occurs most efficiently in a pH range of about 9-11. To maintain a pH in this range, agents such as alkali and alkaline earth hydroxides, carbonates, ammonia, and alkaline buffer solutions can be introduced into the oxidation reactor.

Circulation of slurry 5050 during oxidation can be important to ensure sufficient contact between oxidizing agents 5160 and the feedstock. Circulation of the slurry can be achieved using a variety of techniques. For example, in some embodiments, a mechanical stirring apparatus that includes impeller blades or a paddle wheel can be implemented in the oxidation reactor. In certain embodiments, the oxidation reactor can be a loop reactor, in which the aqueous solvent in which the feedstock is suspended is simultaneously drained from the bottom of the reactor and recirculated into the top of the reactor via pumping, thereby ensuring that the slurry is continually re-mixed and does not stagnate within the reactor.

After oxidation of the feedstock is complete, the slurry is transported to a separation apparatus where a mechanical separation step 5080 occurs. Typically, mechanical separation step 5080 includes one or more stages of increasingly fine filtering of the slurry to mechanically separate the solid and liquid constituents.

Liquid phase 5090 is separated from solid phase 5100, and the two phases are processed independently thereafter. Solid phase 5100 can optionally undergo a drying step 5120 in a drying apparatus, for example. Drying step 5120 can include, for example, mechanically dispersing the solid material onto a drying surface, and evaporating water from solid phase 5100 by gentle heating of the solid material. Following drying step 5120 (or, alternatively, without undergoing drying step 5120), solid phase 5100 is transported for further processing steps 5140.

Liquid phase 5090 can optionally undergo a drying step 5110 to reduce the concentration of water in the liquid phase. In some embodiments, for example, drying step 5110 can include evaporation and/or distillation and/or extraction of water from liquid phase 5090 by gentle heating of the liquid. Alternatively, or in addition, one or more chemical drying agents can be used to remove water from liquid phase 5090.

Following drying step 5110 (or alternatively, without undergoing drying step 5110), liquid phase 5090 is transported for further processing steps 5130, which can include a variety of chemical and biological treatment steps such as chemical and/or enzymatic hydrolysis.

Drying step 5110 creates waste stream 5220, an aqueous solution that can include dissolved chemical agents such as acids and bases in relatively low concentrations.

Treatment of waste stream 5220 can include, for example, pH neutralization with one or more mineral acids or bases. Depending upon the concentration of dissolved salts in waste stream 5220, the solution may be partially de-ionized (e.g., by passing the waste stream through an ion exchange system). Then, the waste stream - which includes primarily water - can be re-circulated into the overall process (e.g., as water 5150), diverted to another process, or discharged.

Typically, for lignocellulosic biomass feedstocks following separation step 5070, liquid phase 5090 includes a variety of soluble poly- and oligosaccharides, which can then be separated and/or reduced to smaller-chain saccharides via further processing steps. Solid phase 5100 typically includes primarily cellulose, for example, with smaller amounts of hemicellulose- and lignin-derived products.

In some embodiments, oxidation can be carried out at elevated temperature in a reactor such as a pyrolysis chamber. For example, referring again to FIG. 17, feedstock materials can be oxidized in filament pyrolyzer 1712. In a typical usage, an oxidizing carrier gas, e.g., air or an air/argon blend, traverses through the sample holder 1713 while the resistive heating element is rotated and heated to a desired temperature, e.g., 325 °C. After an appropriate time, e.g., 5 to 10 minutes, the oxidized material is emptied from the sample holder. The system shown in FIG. 17 can be scaled and made continuous. For example, rather than a wire as the heating member, the heating member can be an auger screw. Material can continuously fall into the sample holder, striking a heated screw that pyrolizes the material. At the same time, the screw can push the oxidized material out of the sample holder to allow for the entry of fresh, unoxidized material.

Feedstock materials can also be oxidized in any of the pyrolysis systems shown in FIGS. 18-20 and described above in the Pyrolysis Systems section.

Referring again to FIG. 21, feedstock materials can be rapidly oxidized by coating a tungsten filament 150, together with an oxidant, such as a peroxide, with the desired cellulosic material while the material is housed in a vacuum chamber 151. To affect oxidation, current is passed through the filament, which causes a rapid heating of the filament for a desired time. Typically, the heating is continued for seconds before allowing the filament to cool. In some embodiments, the heating is performed a number of times to effect the desired amount of oxidation.

Referring again to FIG. 12, in some embodiments, feedstock materials can be oxidized with the aid of sound and/or cavitation. Generally, to effect oxidation, the materials are sonicated in an oxidizing environment, such as water saturated with oxygen or another chemical oxidant, such as hydrogen peroxide.

Referring again to FIGS. 9 and 10, in certain embodiments, ionizing radiation is used to aid in the oxidation of feedstock materials. Generally, to effect oxidation, the materials are irradiated in an oxidizing environment, such as air or oxygen. For example, gamma radiation and/or electron beam radiation can be employed to irradiate the materials.

Other Processes

Steam explosion can be used alone without any of the processes described herein, or in combination with any of the processes described herein.

FIG. 23 shows an overview of the entire process of converting a fiber source 400 into a product 450, such as ethanol, by a process that includes shearing and steam explosion to produce a fibrous material 401, which is then hydrolyzed and converted, e.g., fermented, to produce the product. The fiber source can be transformed into the fibrous material 401 through a number of possible methods, including at least one shearing process and at least one steam explosion process.

For example, one option includes shearing the fiber source, followed by optional screening step(s) and optional additional shearing step(s) to produce a sheared fiber source 402, which can then be steam exploded to produce the fibrous material 401. The steam explosion process is optionally followed by a fiber recovery process to remove liquids or the "liquor" 404, resulting from the steam exploding process. The material resulting from steam exploding the sheared fiber source may be further sheared by optional additional shearing step(s) and/or optional screening step(s).

In another method, the fibrous material 401 is first steam exploded to produce a steam exploded fiber source 410. The resulting steam exploded fiber source is then subjected to an optional fiber recovery process to remove liquids, or the liquor. The resulting steam exploded fiber source can then be sheared to produce the fibrous material. The steam exploded fiber source can also be subject to one or more optional screening steps and/or one or more optional additional shearing steps. The process of shearing and steam exploding the fiber source to produce the sheared and steam exploded fibrous material will be further discussed below.

The fiber source can be cut into pieces or strips of confetti material prior to shearing or steam explosion. The shearing processes can take place with the material in a dry state (e.g., having less than 0.25 percent by weight absorbed water), a hydrated state, or even while the material is partially or fully submerged in a liquid, such as water or isopropanol. The process can also optimally include steps of drying the output after steam exploding or shearing to allow for additional steps of dry shearing or steam exploding. The steps of shearing, screening, and steam explosion can take place with or without the presence of various chemical solutions.

In a steam explosion process, the fiber source or the sheared fiber source is contacted with steam under high pressure, and the steam diffuses into the structures of the fiber source (e.g., the lignocellulosic structures). The steam then condenses under high pressure thereby "wetting" the fiber source. The moisture in the fiber source can hydrolyze any acetyl groups in the fiber source (e.g., the acetyl groups in the

hemicellulose fractions), forming organic acids such as acetic and uronic acids. The acids, in turn, can catalyze the depolymerization of hemicellulose, releasing xylan and limited amounts of glucan. The "wet" fiber source (or sheared fiber source, etc.) is then "exploded" when the pressure is released. The condensed moisture instantaneously evaporates due to the sudden decrease in pressure and the expansion of the water vapor exerts a shear force upon the fiber source (or sheared fiber source, etc.). A sufficient shear force will cause the mechanical breakdown of the internal structures (e.g., the lignocellulosic structures) of the fiber source.

The sheared and steam exploded fibrous material is then converted into a useful product, such as ethanol. In some embodiments, the fibrous material is converted into a fuel. One method of converting the fibrous material into a fuel is by hydrolysis to produce fermentable sugars, 412, which are then fermented to produce the product. Other known and unknown methods of converting fibrous materials into fuels may also be used.

In some embodiments, prior to combining the microorganism, the sheared and steam exploded fibrous material 401 is sterilized to kill any competing microorganisms that may be on the fibrous material. For example, the fibrous material can be sterilized by exposing the fibrous material to radiation, such as infrared radiation, ultraviolet radiation, or an ionizing radiation, such as gamma radiation. The microorganisms can also be killed using chemical sterilants, such as bleach (e.g., sodium hypochlorite), chlorhexidine, or ethylene oxide.

One method to hydrolyze the sheared and steam exploded fibrous material is by the use of cellulases. Cellulases are a group of enzymes that act synergistically to hydrolyze cellulose. Commercially available Accellerase® 1000 enzyme complex, which contains a complex of enzymes that reduces lignocellulosic biomass into fermentable sugars, can also be used.

According to current understanding, the components of cellulase include endoglucanases, exoglucanases (cellobiohydrolases), and b-glucosidases (cellobiases). Synergism between the cellulase components exists when hydrolysis by a combination of two or more components exceeds the sum of the activities expressed by the individual components. The generally accepted mechanism of a cellulase system (particularly of T. longibrachiatum) on crystalline cellulose is: endoglucanase hydrolyzes internal β-1,4- glycosidic bonds of the amorphous regions, thereby increasing the number of exposed non-reducing ends. Exoglucanases then cleave off cellobiose units from the nonreducing ends, which in turn are hydrolyzed to individual glucose units by b-glucosidases. There are several configurations of both endo- and exo- glucanases differing in

stereospecificities. In general, the synergistic action of the components in various configurations is required for optimum cellulose hydrolysis. Cellulases, however, are more inclined to hydrolyze the amorphous regions of cellulose. A linear relationship between crystallinity and hydrolysis rates exists whereby higher crystallinity indices correspond to slower enzyme hydrolysis rates. Amorphous regions of cellulose hydrolyze at twice the rate of crystalline regions. The hydrolysis of the sheared and steam exploded fibrous material may be performed by any hydrolyzing biomass process. Steam explosion of biomass sometimes causes the formation of by-products, e.g., toxicants, that are inhibitory to microbial and enzymatic activities. The process of converting the sheared and steam exploded fibrous material into a fuel can therefore optionally include an overliming step prior to fermentation to precipitate some of the toxicants. For example, the pH of the sheared and steam exploded fibrous material may be raised to exceed the pH of 10 by adding calcium hydroxide (Ca(OH) ₂ ) followed by a step of lowering the pH to about 5 by adding H ₂ S0 ₄ . The overlimed fibrous material may then be used as is without the removal of precipitates. As shown in FIG. 23, the optional overliming step occurs just prior to the step of hydrolysis of the sheared and steam exploded fibrous material, but it is also contemplated to perform the overliming step after the hydrolysis step and prior to the fermenting step.

FIG. 24 depicts an example of a steam explosion apparatus 460. The steam explosion apparatus 460 includes a reaction chamber 462, in which the fiber source and/or the fibrous material is placed through a fiber source inlet 464. Closing fiber source inlet valve 465 seals the reaction chamber. The reaction chamber further includes a pressurized steam inlet 466 that includes a steam valve 467. The reaction chamber further includes an explosive depressurization outlet 468 that includes an outlet valve 469 in communication with the cyclone 470 through the connecting pipe 472. Once the reaction chamber cpntains the fiber source and/or sheared fiber source and is sealed by closing valves 465, 467 and 469, steam is delivered into the reaction chamber 462 by opening the steam inlet valve 467 allowing steam to travel through steam inlet 466. Once the reaction chamber reaches target temperature, which can take about 20 - 60 seconds, the holding time begins. The reaction chamber is held at the target temperature for the desired holding time, which typically lasts from about 10 seconds to 5 minutes. At the end of the holding time period, outlet valve is opened to allow for explosive

depressurization to occur. The process of explosive depressurization propels the contents of the reaction chamber 462 out of the explosive depressurization outlet 468, through the connecting pipe 472, and into the cyclone 470. The steam exploded fiber source or fibrous material then exits the cyclone in a sludge form into the collection bin 474 as much of the remaining steam exits the cyclone into the atmosphere through vent 476.

The steam explosion apparatus further includes wash outlet 478 with wash outlet valve 479 in communication with connecting pipe 472. The wash outlet valve 479 is closed during the use of the steam explosion apparatus 460 for steam explosion, but opened during the washing of the reaction chamber 462.

The target temperature of the reaction chamber 462 is preferably between 180 and 240 degrees Celsius or between 200 and 220 degrees Celsius. The holding time is preferably between 10 seconds and 30 minutes, or between 30 seconds and 10 minutes, or between 1 minute and 5 minutes.

Because the steam explosion process results in a sludge of steam exploded fibrous material, the steam exploded fibrous material may optionally include a fiber recovery process where the "liquor" is separated from the steam exploded fibrous material. This fiber recovery step is helpful in that it enables further shearing and/or screening processes and can allow for the conversion of the fibrous material into fuel. The fiber recovery process occurs through the use of a mesh cloth to separate the fibers from the liquor. Further drying processes can also be included to prepare the fibrous material or steam exploded fiber source for subsequent processing.

Combined Irradiating, Pyrolyzing, Sonicating, and/or Oxidizing Devices

In some embodiments, it may be advantageous to combine two or more separate irradiation, sonication, pyrolyzation, and/or oxidation devices into a single hybrid machine. Using such a hybrid machine, multiple processes may be performed in close juxtaposition or even simultaneously, with the benefit of increasing pretreatment throughput and potential cost savings.

For example, consider the electron beam irradiation and sonication processes. Each separate process is effective in lowering the mean molecular weight of cellulosic material by an order of magnitude or more, and by several orders of magnitude when performed serially.

Both irradiation and sonication processes can be applied using a hybrid electron beam/sonication device as is illustrated in FIG. 25. Hybrid electron beam/sonication device 2500 is pictured above a shallow pool (depth ~ 3-5 cm) of a slurry of cellulosic material 2550 dispersed in an aqueous, oxidant medium, such as hydrogen peroxide or carbamide peroxide. Hybrid device 2500 has an energy source 2510, which powers both electron beam emitter 2540 and sonication horns 2530.

Electron beam emitter 2540 generates electron beams, which pass though an electron beam aiming device 2545 to impact the slurry 2550 containing cellulosic material. The electron beam-aiming device can be a scanner that sweeps a beam over a range of up to about 6 feet in a direction approximately parallel to the surface of the slurry 2550.

On either side of the electron beam emitter 2540 are sonication horns 2530, which deliver ultrasonic wave energy to the slurry 2550. The sonication horns 2530 end in a detachable endpiece 2535 that is in contact with the slurry 2550.

The sonication horns 2530 are at risk of damage from long-term residual exposure to the electron beam radiation. Thus, the horns can be protected with a standard shield 2520, e.g., made of lead or a heavy -metal-containing alloy such as Lipowitz metal, which is impervious to electron beam radiation. Precautions must be taken, however, to ensure that the ultrasonic energy is not affected by the presence of the shield. The detachable endpieces 2535, which are constructed of the same material and attached to the horns 2530, are in contact with the cellulosic material 2550 during processing and are expected to be damaged. Accordingly, the detachable endpieces 2535 are constructed to be easily replaceable.

A further benefit of such a simultaneous electron beam and ultrasound process is that the two processes have complementary results. With electron beam irradiation alone, an insufficient dose may result in cross-linking of some of the polymers in the cellulosic material, which lowers the efficiency of the overall depolymerization process. Lower doses of electron beam irradiation and/or ultrasound radiation may also be used to achieve a similar degree of depolymerization as that achieved using electron beam irradiation and sonication separately. An electron beam device can also be combined with one or more of high-frequency, rotor-stator devices, which can be used as an alternative to ultrasonic sonication devices.

Further combinations of devices are also possible. For example, an ionizing radiation device that produces gamma radiation emitted from, e.g., ⁶⁰ Co pellets, can be combined with an electron beam source and/or an ultrasonic wave source. Shielding requirements may be more stringent in this case.

The radiation devices for pretreating biomass discussed above can also be combined with one or more devices that perform one or more pyrolysis processing sequences. Such a combination may again have the advantage of higher throughput. Nevertheless, caution must be observed, as there may be conflicting requirements between some radiation processes and pyrolysis. For example, ultrasonic radiation devices may require the feedstock be immersed in a liquid oxidizing medium. On the other hand, as discussed previously, it may be advantageous for a sample of feedstock undergoing pyrolysis to be of a particular moisture content. In this case, the new systems automatically measure and monitor for a particular moisture content and regulate the same Further, some or all of the above devices, especially the pyrolysis device, can be combined with an oxidation device as discussed previously.

PRIMARY PROCESSES Fermentation

Generally, various microorganisms can produce a number of useful products, such as a fuel, by operating on, e.g., fermenting the pretreated biomass materials. For example, fermentation or other processes can produce alcohols, organic acids, hydrocarbons, hydrogen, proteins or mixtures of any of these materials.

The microorganism can be a natural microorganism or an engineered

microorganism. For example, the microorganism can be a bacterium, e.g., a cellulolytic bacterium, a fungus, e.g., a yeast, a plant or a protist, e.g., an algae, a protozoa or a fungus-like protist, e.g., a slime mold. When the organisms are compatible, mixtures of organisms can be utilized.

To aid in the breakdown of the materials that include the cellulose, one or more enzymes, e.g., a cellulolytic enzyme can be utilized. In some embodiments, the materials that include the cellulose are first treated with the enzyme, e.g., by combining the material and the enzyme in an aqueous solution. This material can then be combined with the microorganism. In other embodiments, the materials that include the cellulose, the one or more enzymes and the microorganism are combined at the concurrently, e.g., by combining in an aqueous solution.

Also, to aid in the breakdown of the materials that include the cellulose, the materials can be treated post irradiation with heat, a chemical (e.g., mineral acid, base or a strong oxidizer such as sodium hypochlorite), and/or an enzyme.

During the fermentation, sugars released from cellulolytic hydrolysis or the saccharification step, are fermented to, e.g., ethanol, by a fermenting microorganism such as yeast. Suitable fermenting microorganisms have the ability to convert carbohydrates, such as glucose, xylose, arabinose, mannose, galactose, oligosaccharides or

polysaccharides into fermentation products. Fermenting microorganisms include strains of the genus Sacchromyces spp. e.g., Sacchromyces cerevisiae (baker's yeast),

Saccharomyces distaticus, Saccharomyces uvarum; the genus Kluyveromyces, e.g., species Kluyveromyces marxianus, Kluyveromyces fragilis; the genus Candida, e.g., Candida pseudotropicalis, and Candida brassicae, Pichia stipitis (a relative of Candida shehatae, the genus Clavispora, e.g., species Clavispora lusitaniae and Clavispora opuntiae the genus Pachysolen, e.g., species Pachysolen tannophilus, the genus

Bretannomyces, e.g., species Bretannomyces clausenii (Philippidis, G. P., 1996, Cellulose bioconversion technology, in Handbook on Bioethanol: Production and Utilization, Wyman, C.E., ed., Taylor & Francis, Washington, DC, 179-212).

Commercially available yeast include, for example, Red Star®/Lesaffre Ethanol Red (available from Red Star/Lesaffre, USA) FALI ^® (available from Fleischmann's Yeast, a division of Burns Philip Food Inc., USA), SUPERSTART ^® (available from Alltech), GERT STRAND ^® (available from Gert Strand AB, Sweden) and FERMOL ^® (available from DSM Specialties).

Bacteria that can ferment biomass to ethanol and other products include, e.g., Zymomonas mobilis and Clostridium thermocellum (Philippidis, 1996, supra). Leschine et al. {International Journal of Systematic and Evolutionary Microbiology 2002, 52, 1155-1160) isolated an anaerobic, mesophilic, cellulolytic bacterium from forest soil, Clostridium phytofermentans sp. nov., which converts cellulose to ethanol.

Fermentation of biomass to ethanol and other products may be carried out using certain types of thermophilic or genetically engineered microorganisms, such Thermoanaerobacter species, including T. mathranii, and yeast species such as Pichia species. An example of a strain of T. mathranii is A3M4 described in Sonne-Hansen et al. (Applied Microbiology and Biotechnology 1993, 38, 537-541) or Ahring et al. (Arch. Microbiol. 1997, 168, 114-119).

Yeast and Zymomonas bacteria can be used for fermentation or conversion. The optimum pH for yeast is from about pH 4 to 5, while the optimum pH for Zymomonas is from about pH 5 to 6. Typical fermentation times are about 24 to 96 hours with temperatures in the range of 26 °C to 40 °C, however thermophilic microorganisms prefer higher temperatures.

Enzymes which break down biomass, such as cellulose, to lower molecular weight carbohydrate-containing materials, such as glucose, during saccharification are referred to as cellulolytic enzymes or cellulase. These enzymes may be a complex of enzymes that act synergistically to degrade crystalline cellulose. Examples of cellulolytic enzymes include: endoglucanases, cellobiohydrolases, and cellobiases (β-glucosidases). A cellulosic substrate is initially hydrolyzed by endoglucanases at random locations producing oligomeric intermediates. These intermediates are then substrates for exo- splitting glucanases such as cellobiohydrolase to produce cellobiose from the ends of the cellulose polymer. Cellobiose is a water-soluble β -1,4-linked dimer of glucose. Finally cellobiase cleaves cellobiose to yield glucose.

A cellulase is capable of degrading biomass and may be of fungal or bacterial origin. Suitable enzymes include cellulases from the genera Bacillus, Pseudomonas, Humicola, Fusarium, Thielavia, Acremonium, Chrysosporium and Trichoderma, and include species of Humicola, Coprinus, Thielavia, Fusarium, Myceliophthora,

Acremonium, Cephalosporium, Scytalidium, Penicillium or Aspergillus (see, e.g., EP 458162), especially those produced by a strain selected from the species Humicola insolens (reclassified as Scytalidium thermophilum, see, e.g., U.S. Patent No. 4,435,307), Coprinus cinereus, Fusarium oxysporum, Myceliophthora thermophila, Meripilus giganteus, Thielavia terrestris, Acremonium sp., Acremonium persicinum, Acremonium acremonium, Acremonium brachypenium, Acremonium dichromosporum, Acremonium obclavatum, Acremonium pinkertoniae, Acremonium roseogriseum, Acremonium incoloratum, and Acremonium furatum; preferably from the species Humicola insolens DSM 1800, Fusarium oxysporum DSM 2672, Myceliophthora thermophila CBS 117.65, Cephalosporium sp. RYM-202, Acremonium sp. CBS 478.94, Acremonium sp. CBS 265.95, Acremonium persicinum CBS 169.65, Acremonium acremonium AHU 9519, Cephalosporium sp. CBS 535.71, Acremonium brachypenium CBS 866.73, Acremonium dichromosporum CBS 683.73 , Acremonium obclavatum CBS 311.74, Acremonium pinkertoniae CBS 157 ^' .70, Acremonium roseogriseum CBS 134.56, Acremonium incoloratum CBS 146.62, and Acremonium furatum CBS 299.70H. Cellulolytic enzymes may also be obtained from Chrysosporium, preferably a strain of Chrysosporium lucknowense. Additionally, Trichoderma (particularly Trichoderma viride, Trichoderma reesei, and Trichoderma koningii), alkalophilic Bacillus (see, for example, U.S. Patent No. 3,844,890 and EP 458162), and Streptomyces (see, e.g., EP 458162) may be used. The bacterium, Saccharophagus degradans, produces a mixture of enzymes capable of degrading a range of cellulosic materials and may also be used in this process.

Anaerobic cellulolytic bacteria have also been isolated from soil, e.g., a novel cellulolytic species of Clostridium, Clostridium phytofermentans sp. nov. (see Leschine et. al, International Journal of Systematic and Evolutionary Microbiology (2002), 52, 1155-1160).

Cellulolytic enzymes using recombinant technology can also be used (see, e.g., WO 2007/071818 and WO 2006/110891).

The cellulolytic enzymes used can be produced by fermentation of the above- noted microbial strains on a nutrient medium containing suitable carbon and nitrogen sources and inorganic salts, using procedures known in the art (see, e.g., Bennett, J.W. and LaSure, L. (eds.), More Gene Manipulations in Fungi, Academic Press, CA 1991). Suitable media are available from commercial suppliers or may be prepared according to published compositions (e.g., in catalogues of the American Type Culture Collection). Temperature ranges and other conditions suitable for growth and cellulase production are known in the art (see, e.g., Bailey, J.E., and Ollis, D.F., Biochemical Engineering Fundamentals, McGraw-Hill Book Company, NY, 1986).

Treatment of cellulose with cellulase is usually carried out at temperatures between 30 °C and 65 °C. Cellulases are active over a range of pH of about 3 to 7. A saccharification step may last up to 120 hours. The cellulase enzyme dosage achieves a sufficiently high level of cellulose conversion. For example, an appropriate cellulase dosage is typically between 5.0 and 50 Filter Paper Units (FPU or IU) per gram of cellulose. The FPU is a standard measurement and is defined and measured according to Ghose (1987, Pure and Appl. Chem. 59:257-268).

Mobile fermentors can be utilized, as described in U.S. Provisional Patent Application Serial 60/832,735, now Published International Application No. WO

2008/011598.

Gasification

In addition to using pyrolysis for pre-treatment of feedstock, pyrolysis can also be used to process pre-treated feedstock to extract useful materials. In particular, a form of pyrolysis known as gasification can be employed to generate fuel gases along with various other gaseous, liquid, and solid products. To perform gasification, the pre-treated feedstock is introduced into a pyrolysis chamber and heated to a high temperature, typically 700 °C or more. The temperature used depends upon a number of factors, including the nature of the feedstock and the desired products.

Quantities of oxygen (e.g., as pure oxygen gas and/or as air) and steam (e.g., superheated steam) are also added to the pyrolysis chamber to facilitate gasification. These compounds react with carbon-containing feedstock material in a multiple-step reaction to generate a gas mixture called synthesis gas (or "syngas"). Essentially, during gasification, a limited amount of oxygen is introduced into the pyrolysis chamber to allow some feedstock material to combust to form carbon monoxide and generate process heat. The process heat can then be used to promote a second reaction that converts additional feedstock material to hydrogen and carbon monoxide.

In a first step of the overall reaction, heating the feedstock material produces a char that can include a wide variety of different hydrocarbon-based species. Certain volatile materials can be produced (e.g., certain gaseous hydrocarbon materials), resulting in a reduction of the overall weight of the feedstock material. Then, in a second step of the reaction, some of the volatile material that is produced in the first step reacts with oxygen in a combustion reaction to produce both carbon monoxide and carbon dioxide.

The combustion reaction releases heat, which promotes the third step of the reaction. In the third step, carbon dioxide and steam (e.g., water) react with the char generated in the first step to form carbon monoxide and hydrogen gas. Carbon monoxide can also react with steam, in a water gas shift reaction, to form carbon dioxide and further hydrogen gas.

Gasification can be used as a primary process to generate products directly from pre-treated feedstock for subsequent transport and/or sale, for example. Alternatively, or in addition, gasification can be used as an auxiliary process for generating fuel for an overall processing system. The hydrogen-rich syngas that is generated via the gasification process can be burned, for example, to generate electricity and/or process heat that can be directed for use at other locations in the processing system. As a result, the overall processing system can be at least partially self-sustaining. A number of other products, including pyrolysis oils and gaseous hydrocarbon-based substances, can also be obtained during and/or following gasification; these can be separated and stored or transported as desired.

A variety of different pyrolysis chambers are suitable for gasification of pre- treated feedstock, including the pyrolysis chambers disclosed herein. In particular, fluidized bed reactor systems, in which the pre-treated feedstock is fluidized in steam and oxygen/air, provide relatively high throughput and straightforward recovery of products. Solid char that remains following gasification in a fluidized bed system (or in other pyrolysis chambers) can be burned to generate additional process heat to promote subsequent gasification reactions.

POST-PROCESSING

Distillation

After fermentation, the resulting fluids can be distilled using, for example, a "beer column" to separate ethanol and other alcohols from the majority of water and residual solids. The vapor exiting the beer column can be, e.g., 35% by weight ethanol and can be fed to a rectification column. A mixture of nearly azeotropic (92.5%) ethanol and water from the rectification column can be purified to pure (99.5%) ethanol using vapor-phase molecular sieves. The beer column bottoms can be sent to the first effect of a three-effect evaporator. The rectification column reflux condenser can provide heat for this first effect. After the first effect, solids can be separated using a centrifuge and dried in a rotary dryer. A portion (25%) of the centrifuge effluent can be recycled to fermentation and the rest sent to the second and third evaporator effects. Most of the evaporator condensate can be returned to the process as fairly clean condensate with a small portion split off to waste water treatment to prevent build-up of low-boiling compounds.

Waste water treatment

Wastewater treatment is used to minimize makeup water requirements of the plant by treating process water for reuse within the plant. Wastewater treatment can also produce fuel (e.g., sludge and biogas) that can be used to improve the overall efficiency of the ethanol production process. For example, as described in further detail below, sludge and biogas can be used to create steam and electricity that can be used in various plant processes.

Wastewater is initially pumped through a screen (e.g., a bar screen) to remove large particles, which are collected in a hopper. In some embodiments, the large particles are sent to a landfill. Additionally or alternatively, the large particles are burned to create steam and/or electricity as described in further detail below. In general, the spacing on the bar screen is between 1/4 inch to 1 inch spacing (e.g., 1/2 inch spacing).

The wastewater then flows to an equalization tank, where the organic

concentration of the wastewater is equalized during a retention time. In general, the retention time is between 8 hours and 36 hours (e.g., 24 hours). A mixer is disposed within the tank to stir the contents of the tank. In some embodiments, a plurality of mixers disposed throughout the tank are used to stir the contents of the tank. In certain embodiments, the mixer substantially mixes the contents of the equalization tank such that conditions (e.g., wastewater concentration and temperature) throughout the tank are uniform.

A first pump moves water from the equalization tank through a liquid-to-liquid heat exchanger. The heat exchanger is controlled (e.g., by controlling the flow rate of fluid through the heat exchanger) such that wastewater exiting the heat exchanger is at a desired temperature for anaerobic treatment. For example, the desired temperature for anaerobic treatment can be between 40 °C to 60 °C.

After exiting the heat exchanger, the wastewater enters one or more anaerobic reactors. In some embodiments, the concentration of sludge in each anaerobic reactor is the same as the overall concentration of sludge in the wastewater. In other embodiments, the anaerobic reactor has a higher concentration of sludge than the overall concentration of sludge in the wastewater.

A nutrient solution containing nitrogen and phosphorus is metered into each anaerobic reactor containing wastewater. The nutrient solution reacts with the sludge in the anaerobic reactor to produce biogas which can contain 50% methane and have a heating value of approximately 12,000 British thermal units, or Btu, per pound). The biogas exits each anaerobic reactor through a vent and flows into a manifold, where a plurality of biogas streams are combined into a single stream. A compressor moves the stream of biogas to a boiler or a combustion engine as described in further detail below. In some embodiments, the compressor also moves the single stream of biogas through a desulphurization catalyst. Additionally or alternatively, the compressor can move the single stream of biogas through a sediment trap.

A second pump moves anaerobic effluent from the anaerobic reactors to one or more aerobic reactors (e.g., activated sludge reactors). An aerator is disposed within each aerobic reactor to mix the anaerobic effluent, sludge, and oxygen (e.g., oxygen contained in air). Within each aerobic reactor, oxidation of cellular material in the anaerobic effluent produces carbon dioxide, water, and ammonia.

Aerobic effluent moves (e.g., via gravity) to a separator, where sludge is separated from treated water. Some of the sludge is returned to the one or more aerobic reactors to create an elevated sludge concentration in the aerobic reactors, thereby facilitating the aerobic breakdown of cellular material in the wastewater. A conveyor removes excess sludge from the separator. As described in further detail below, the excess sludge is used as fuel to create steam and/or electricity.

The treated water is pumped from the separator to a settling tank. Solids dispersed throughout the treated water settle to the bottom of the settling tank and are subsequently removed. After a settling period, treated water is pumped from the settling tank through a fine filter to remove any additional solids remaining in the water. In some embodiments, chlorine is added to the treated water to kill pathogenic bacteria. In some embodiments, one or more physical-chemical separation techniques are used to further purify the treated water. For example, treated water can be pumped through a carbon adsorption reactor. As another example, treated water can pumped through a reverse osmosis reactor.

In the processes disclosed herein, whenever water is used in any process, it may be grey water, e.g., municipal grey water, or black water. In some embodiments, the grey or black water is sterilized prior to use. Sterilization may be accomplished by any desired technique, for example by irradiation, steam, or chemical sterilization.

Waste combustion

The production of alcohol from biomass can result in the production of various by-product streams useful for generating steam and electricity to be used in other parts of the plant. For example, steam generated from burning by-product streams can be used in the distillation process. As another example, electricity generated from burning byproduct streams can be used to power electron beam generators and ultrasonic transducers used in pretreatment.

The by-products used to generate steam and electricity are derived from a number of sources throughout the process. For example, anaerobic digestion of wastewater produces a biogas high in methane and a small amount of waste biomass (sludge). As another example, post-distillate solids (e.g., unconverted lignin, cellulose, and hemicellulose remaining from the pretreatment and primary processes) can be used as a fuel.

The biogas is diverted to a combustion engine connected to an electric generator to produce electricity. For example, the biogas can be used as a fuel source for a spark- ignited natural gas engine. As another example, the biogas can be used as a fuel source for a direct-injection natural gas engine. As another example, the biogas can be used as a fuel source for a combustion turbine. Additionally or alternatively, the combustion engine can be configured in a cogeneration configuration. For example, waste heat from the combustion engines can be used to provide hot water or steam throughout the plant.

The sludge, and post-distillate solids are burned to heat water flowing through a heat exchanger. In some embodiments, the water flowing through the heat exchanger is evaporated and superheated to steam. In certain embodiments, the steam is used in the pretreatment rector and in heat exchange in the distillation and evaporation processes.

Additionally or alternatively, the steam expands to power a multi-stage steam turbine connected to an electric generator. Steam exiting the steam turbine is condensed with cooling water and returned to the heat exchanger for reheating to steam. In some embodiments, the flow rate of water through the heat exchanger is controlled to obtain a target electricity output from the steam turbine connected to an electric generator. For example, water can be added to the heat exchanger to ensure that the steam turbine is operating above a threshold condition (e.g., the turbine is spinning fast enough to turn the electric generator).

While certain embodiments have been described, other embodiments are possible. As an example, while the biogas is described as being diverted to a combustion engine connected to an electric generator, in certain embodiments, the biogas can be passed through a fuel reformer to produce hydrogen. The hydrogen is then converted to electricity through a fuel cell.

As another example, while the biogas is described as being burned apart from the sludge and post-distillate solids, in certain embodiments, all of the waste by-products can be burned together to produce steam.

PRODUCTS / CO-PRODUCTS Alcohols

The alcohol produced can be a monohydroxy alcohol, e.g., ethanol, or a polyhydroxy alcohol, e.g., ethylene glycol or glycerin. Examples of alcohols that can be produced include methanol, ethanol, propanol, isopropanol, butanol, e.g., n-, sec- or t- butanol, ethylene glycol, propylene glycol, 1, 4-butane diol, glycerin or mixtures of these alcohols.

Each of the alcohols produced by the plant have commercial value as industrial feedstock. For example, ethanol can be used in the manufacture of varnishes and perfume. As another example, methanol can be used as a solvent used as a component in windshield wiper fluid. As still another example, butanol can be used in plasticizers, resins, lacquers, and brake fluids.

Bioethanol produced by the plant is valuable as an ingredient used in the food and beverage industry. For example, the ethanol produced by the plant can be purified to food grade alcohol and used as a primary ingredient in the alcoholic beverages. Bioethanol produced by the plant also has commercial value as a transportation fuel. The use of ethanol as a transportation fuel can be implemented with relatively little capital investment from spark ignition engine manufacturers and owners (e.g., changes to injection timing, fuel -to-air ratio, and components of the fuel injection system). Many automotive manufacturers currently offer flex-fuel vehicles capable of operation on ethanol/gasoline blends up to 85% ethanol by volume (e.g., standard equipment on a Chevy Tahoe 4 x 4).

Bioethanol produced by this plant can be used as an engine fuel to improve environmental and economic conditions beyond the location of the plant. For example, ethanol produced by this plant and used as a fuel can reduce greenhouse gas emissions from manmade sources (e.g., transportation sources). As another example, ethanol produced by this plant and used as an engine fuel can also displace consumption of gasoline refined from oil.

Bioethanol has a greater octane number than conventional gasoline and, thus, can be used to improve the performance (e.g., allow for higher compression ratios) of spark ignition engines. For example, small amounts (e.g., 10% by volume) of ethanol can be blended with gasoline to act as an octane enhancer for fuels used in spark ignition engines. As another example, larger amounts (e.g., 85% by volume) of ethanol can be blended with gasoline to further increase the fuel octane number and displace larger volumes of gasoline.

Bioethanol strategies are discussed, e.g., by DiPardo in Journal of Outlook for Biomass Ethanol Production and Demand (EIA Forecasts), 2002; Sheehan in

Biotechnology Progress, 15:8179, 1999; Martin in Enzyme Microbes Technology, 31 :274, 2002; Greer in BioCycle, 61-65, April 2005; Lynd in Microbiology and

Molecular Biology Reviews, 66:3, 506-577, 2002; Ljungdahl et al. in U.S. Patent No. 4,292,406; and Bellamy in U.S. Patent No. 4,094,742.

Organic acids

The organic acids produced can include monocarboxylic acids or polycarboxylic acids. Examples of organic acids include formic acid, acetic acid, propionic acid, butyric acid, valeric acid, caproic, palmitic acid, stearic acid, oxalic acid, malonic acid, succinic acid, glutaric acid, oleic acid, linoleic acid, glycolic acid, lactic acid, γ-hydroxybutyric acid or mixtures of these acids.

Food Products

In some embodiments, all or a portion of the fermentation process can be interrupted before the cellulosic material is completely converted to ethanol. The intermediate fermentation products include high concentrations of sugar and

carbohydrates. These intermediate fermentation products can be used in preparation of food for human or animal consumption. In some embodiments, irradiation pretreatment of the cellulosic material will render the intermediate fermentation products sterile (e.g., fit for human consumption). In some embodiments, the intermediate fermentation products will require post-processing prior to use as food. For example, a dryer can be used to remove moisture from the intermediate fermentation products to facilitate storage, handling, and shelf life. Additionally or alternatively, the intermediate fermentation products can be ground to a fine particle size in a stainless-steel laboratory mill to produce a flour-like substance.

Animal feed

Distillers grains and solubles can be converted into a valuable byproduct of the distillation-dehydration process. After the distillation-dehydration process, distillers grains and solubles can be dried to improve the ability to store and handle the material. The resulting dried distillers grains and solubles (DDGS) is low in starch, high in fat, high in protein, high in fiber, and high in phosphorous. Thus, for example, DDGS can be valuable as a source of animal feed (e.g., as a feed source for dairy cattle). DDGS can be subsequently combined with nutritional additives to meet specific dietary requirements of specific categories of animals (e.g., balancing digestible lysine and phosphorus for swine diets).

Pharmaceuticals

The pretreatment processes discussed above can be applied to plants with medicinal properties. In some embodiments, sonication can stimulate bioactivity and/or bioavailabilty of the medicinal components of plants with medicinal properties.

Additionally or alternatively, irradiation stimulates bioactivity and/or bioavailabilty of the medicinal components of plants with medicinal properties. For example, sonication and irradiation can be combined in the pretreatment of willow bark to stimulate the production of salicin.

Nutriceuticals

In some embodiments, intermediate fermentation products (e.g., products that include high concentrations of sugar and carbohydrates) can be supplemented to create a nutnceutical. For example, intermediate fermentation products can be supplemented with calcium to create a nutriceutical that provides energy and helps improve or maintain bone strength. Co-Products

Lignin Residue

As described above, lignin-containing residues from primary and pretreatment processes has value as a high/medium energy fuel and can be used to generate power and steam for use in plant processes. However, such lignin residues are a new type of solids fuel and there is little demand for it outside of the plant boundaries, and the costs of drying it for transportation only subtract from its potential value. In some cases, gasification of the lignin residues can convert it to a higher-value product with lower cost.

Other Co-Products

Cell matter, furfural, and acetic acid have been identified as potential co-products of biomass-to-fuel processing facilities. Interstitial cell matter could be valuable, but might require significant purification. Markets for furfural and acetic acid are in place, although it is unlikely that they are large enough to consume the output of a fully commercialized lignocellulose-to-ethanol industry.

EXAMPLES

The following Examples are intended to illustrate, and do not limit the teachings of this disclosure. Example 1 - Preparation Of Fibrous Material From Polycoated Paper

A 1500 pound skid of virgin, half-gallon juice cartons made of un-printed polycoated white Kraft board having a bulk density of 20 lb/ft ³ was obtained from

International Paper. Each carton was folded flat, and then fed into a 3 hp Flinch Baugh shredder at a rate of approximately 15 to 20 pounds per hour. The shredder was equipped with two 12 inch rotary blades, two fixed blades and a 0.30 inch discharge screen. The gap between the rotary and fixed blades was adjusted to 0.10 inch. The output from the shredder resembled confetti having a width of between 0.1 inch and 0.5 inch, a length of between 0.25 inch and 1 inch and a thickness equivalent to that of the starting material (about 0.075 inch).

The confetti-like material was fed to a Munson rotary knife cutter, Model SC30. Model SC30 is equipped with four rotary blades, four fixed blades, and a discharge screen having 1/8 inch openings. The gap between the rotary and fixed blades was set to approximately 0.020 inch. The rotary knife cutter sheared the confetti-like pieces across the knife-edges, tearing the pieces apart and releasing a fibrous material at a rate of about one pound per hour. The fibrous material had a BET surface area of 0.9748 m ² /g +/- 0.0167 m ² /g, a porosity of 89.0437 percent and a bulk density (@0.53 psia) of 0.1260 g/mL. An average length of the fibers was 1.141 mm and an average width of the fibers was 0.027 mm, giving an average L/D of 42: 1. A scanning electron micrograph of the fibrous material is shown in FIG. 26 at 25 X magnification.

Example 2 - Preparation Of Fibrous Material From Bleached Kraft Board

A 1500 pound skid of virgin bleached white Kraft board having a bulk density of 30 lb/ft ³ was obtained from International Paper. The material was folded flat, and then fed into a 3 hp Flinch Baugh shredder at a rate of approximately 15 to 20 pounds per hour. The shredder was equipped with two 12 inch rotary blades, two fixed blades and a 0.30 inch discharge screen. The gap between the rotary and fixed blades was adjusted to 0.10 inch. The output from the shredder resembled confetti having a width of between 0.1 inch and 0.5 inch, a length of between 0.25 inch and 1 inch and a thickness equivalent to that of the starting material (about 0.075 inch). The confetti-like material was fed to a Munson rotary knife cutter, Model SC30. The discharge screen had 1/8 inch openings. The gap between the rotary and fixed blades was set to approximately 0.020 inch. The rotary knife cutter sheared the confetti-like pieces, releasing a fibrous material at a rate of about one pound per hour. The fibrous material had a BET surface area of 1.1316 m ² /g +/- 0.0103 m ² /g, a porosity of 88.3285 percent and a bulk density (@0.53 psia) of 0.1497 g/mL. An average length of the fibers was 1.063 mm and an average width of the fibers was 0.0245 mm, giving an average L/D of 43 : 1. A scanning electron micrograph of the fibrous material is shown in FIG. 27 at 25 X magnification.

Example 3 - Preparation Of Twice Sheared Fibrous Material From Bleached Kraft Board

A 1500 pound skid of virgin bleached white Kraft board having a bulk density of 30 lb/ft ³ was obtained from International Paper. The material was folded flat, and then fed into a 3 hp Flinch Baugh shredder at a rate of approximately 15 to 20 pounds per hour. The shredder was equipped with two 12 inch rotary blades, two fixed blades and a 0.30 inch discharge screen. The gap between the rotary and fixed blades was adjusted to 0.10 inch. The output from the shredder resembled confetti (as above). The confetti-like material was fed to a Munson rotary knife cutter, Model SC30. The discharge screen had 1/16 inch openings. The gap between the rotary and fixed blades was set to

approximately 0.020 inch. The rotary knife cutter the confetti-like pieces, releasing a fibrous material at a rate of about one pound per hour. The material resulting from the first shearing was fed back into the same setup described above and sheared again. The resulting fibrous material had a BET surface area of 1.4408 m ² /g +/- 0.0156 m ² /g, a porosity of 90.8998 percent and a bulk density (@0.53 psia) of 0.1298 g/mL. An average length of the fibers was 0.891 mm and an average width of the fibers was 0.026 mm, giving an average L/D of 34: 1. A scanning electron micrograph of the fibrous material is shown in FIG. 28 at 25 X magnification.

Example 4 - Preparation Of Thrice Sheared Fibrous Material From Bleached Kraft Board

A 1500 pound skid of virgin bleached white Kraft board having a bulk density of

30 lb/ft ³ was obtained from International Paper. The material was folded flat, and then fed into a 3 hp Flinch Baugh shredder at a rate of approximately 15 to 20 pounds per hour. The shredder was equipped with two 12 inch rotary blades, two fixed blades and a 0.30 inch discharge screen. The gap between the rotary and fixed blades was adjusted to 0.10 inch. The output from the shredder resembled confetti (as above). The confetti-like material was fed to a Munson rotary knife cutter, Model SC30. The discharge screen had 1/8 inch openings. The gap between the rotary and fixed blades was set to approximately 0.020 inch. The rotary knife cutter sheared the confetti-like pieces across the knife- edges. The material resulting from the first shearing was fed back into the same setup and the screen was replaced with a 1/16 inch screen. This material was sheared. The material resulting from the second shearing was fed back into the same setup and the screen was replaced with a 1/32 inch screen. This material was sheared. The resulting fibrous material had a BET surface area of 1.6897 m ² /g +/- 0.0155 m ² /g, a porosity of 87.7163 percent and a bulk density (@0.53 psia) of 0.1448 g/mL. An average length of the fibers was 0.824 mm and an average width of the fibers was 0.0262 mm, giving an average L/D of 32: 1. A scanning electron micrograph of the fibrous material is shown in FIG. 29 at 25 X magnification.

Example 5 - Preparation Of Densified Fibrous Material From Bleached Kraft Board Without Added Binder

Fibrous material was prepared according to Example 2. Approximately 1 lb of water was sprayed onto each 10 lb of fibrous material. The fibrous material was densified using a California Pellet Mill 1100 operating at 75 °C. Pellets were obtained having a bulk density ranging from about 7 lb/ft ³ to about 15 lb/ft ³ .

Example 6 - Preparation Of Densified Fibrous Material From Bleached Kraft Board With Binder

Fibrous material was prepared according to Example 2.

A 2 weight percent stock solution of POLYOX™ WSR N10 (polyethylene oxide) was prepared in water.

Approximately 1 lb of the stock solution was sprayed onto each 10 lb of fibrous material. The fibrous material was densified using a California Pellet Mill 1100 operating at 75 °C. Pellets were obtained having a bulk density ranging from about 15 lb/ft ³ to about 40 lb/ft ³ . Example 7 - Reducing the Molecular Weight of Cellulose in Fibrous Kraft Paper by Gamma Radiation with Minimum Oxidation

Fibrous material is prepared according to Example 4. The fibrous Kraft paper is densified according to Example 5.

The densified pellets are placed in a glass ampoule having a maximum capacity of

250 mL. The glass ampoule is evacuated under high vacuum (10 ^"5 torr) for 30 minutes, and then back-filled with argon gas. The ampoule is sealed under argon. The pellets in the ampoule are irradiated with gamma radiation for about 3 hours at a dose rate of about

1 Mrad per hour to provide an irradiated material in which the cellulose has a lower molecular weight than the fibrous Kraft starting material.

Example 8 - Reducing the Molecular Weight of Cellulose in Fibrous Kraft Paper by Gamma Radiation with Maximum Oxidation

Fibrous material is prepared according to Example 4. The fibrous Kraft paper is densified according to Example 5.

The densified pellets are placed in a glass ampoule having a maximum capacity of

250 mL. The glass ampoule is sealed under an atmosphere of air. The pellets in the ampoule are irradiated with gamma radiation for about 3 hours at a dose rate of about 1

Mrad per hour to provide an irradiated material in which the cellulose has a lower molecular weight than the fibrous Kraft starting material.

Example 9- Electron Beam Processing

Samples were treated with electron beam using a vaulted Rhodotron® TT200 continuous wave accelerator delivering 5 MeV electrons at 80 kW of output power. Table 1 describes the parameters used. Table 2 reports the nominal dose used for the Sample ID (in Mrad) and the corresponding dose delivered to the sample (in kgy).

Table 1. Rhodotron® TT 200 Parameters

Beam

Beam Produced: Accelerated electrons

Beam energy: Nominal (fixed): 10 MeV (+0 keV-250 keV

Energy dispersion at 10 Mev: Full width half maximum (FWHM) 300 keV

Beam power at 10 MeV: Guaranteed Operating Range 1 to 80 kW

Power Consumption

Stand-by condition (vacuum and cooling ON): <15 kW At 50 kW beam power: <210 kW

At 80 kW beam power: <260 kW

RF System

Frequency: 107.5 ± 1 MHz

Tetrode type: Thomson TH781

Scanning Horn

Nominal Scanning Length (measured at 25-35

120 cm

cm from window):

Scanning Range: From 30% to 100% of Nominal Scanning Length

Nominal Scanning Frequency (at max.

100 Hz ± 5%

scanning length):

Scanning Uniformity (across 90% of Nominal

± 5%

Scanning Length)

Table 2. Dosages Delivered to Samples

^or example, 9.9kgy was delivered in 11 seconds at a beam

and a line speed of 12.9 feet/minute. Cool time between treatments was around 2 minutes.

Example 10 - Methods of Determining Molecular Weight of Cellulosic and Lignocellulosic Materials by Gel Permeation Chromatography

Cellulosic and lignocellulosic materials for analysis were treated according to Example 4. Sample materials presented in the following tables include Kraft paper (P), wheat straw (WS), alfalfa (A), cellulose (C), switchgrass (SG), grasses (G), and starch (ST), and sucrose (S). The number "132" of the Sample ID refers to the particle size of the material after shearing through a 1/32 inch screen. The number after the dash refers to the dosage of radiation (MRad) and "US" refers to ultrasonic treatment. For example, a sample ID "P132-10" refers to Kraft paper that has been sheared to a particle size of 132 mesh and has been irradiated with 10 Mrad.

For samples that were irradiated with e-beam, the number following the dash refers to the amount of energy delivered to the sample. For example, a sample ID "P- lOOe" refers to Kraft paper that has been delivered a dose of energy of about 100 MRad or about 1000 kgy (Table 2). Table 3. Peak Average Molecular Weight of Irradiated Kraft Paper

Sample Dosage Average MW ±

Sample Source Ultrasound

ID (Mrad) Std Dev.

P132 0 32853±10006 P132-10 10 61398 ± 2468*

Kraft Paper P132-100 100 8444 ± 580

P132-181 181 6668 ± 77

P132-US 0 3095 ± 1013

**Low doses of radiation appear to increase the molecular weight of some materials dosage Rate = lMRad/hour

² Treatment for 30 minutes with 20kHz ultrasound using a 1000W horn under re-circulating conditions with the material dispersed in water.

Table 4. Peak Average Molecular Weight of Irradiated Kraft Paper with E-Beam

Sample Source Sample ID ... Average MW ± Std Dev.

P-1e 1 63489 ± 595

P-5e 5 56587 ± 536

Kraft Paper P-10e 10 53610 ± 327

P-30e 30 38231 ± 124

P-70e 70 1201 1 ± 158

P-100e 100 9770 ± 2

Table 5. Peak Average Molecular Weight of Gamma Irradiated Materials

Peak Dosage

Sample ID Ultrasound ² Average MW ± Std Dev.

# (Mrad)

WS132 1 0 No 140741 1 ± 175191

2 39145 ± 3425 3 2886 ± 177

WS 132-10* 1 10 26040 ± 3240

WS132-100* 1 100 23620 ± 453

A132 1 0 1604886 ± 151701

2 37525 ± 3751 3 2853 ± 490

A132-10* 1 10 50853 ± 1665

2 2461 ± 17

A132-100* 1 100 38291 ± 2235

2 2487 ± 15

SG132 1 0 1557360 ± 83693

2 42594 ± 4414 3 3268 ± 249

SG132-10* 1 10 60888 ± 9131

SG132-100* 1 100 22345 ± 3797

SG132-10-US 1 10 Yes 86086 ± 43518

2 2247 ± 468

SG132-100-US 1 100 4696 ± 1465

*Peaks coalesce after treatment **Low doses of radiation appear to increase the molecular weight of some materials dosage Rate = lMRad/hour

² Treatment for 30 minutes with 20kHz ultrasound using a 1000W horn under re-circulating conditions with the material dispersed in water.

Table 6. Peak Average Molecular Weight of Irradiated Material with E-Beam

Average MW ± STD

Sample ID Peak # Dosage

DEV.

1 1004783 ± 97518

A-1e 2 1 34499 ± 482

3 2235 ± 1

1 38245 ± 346

A-5e 5

2 2286 ± 35

1 44326 ± 33

A-10e 10

2 2333 ± 18

1 47366 ± 583

A-30e 30

2 2377 ± 7

1 32761 ± 168

A-50e 50

2 2435 ± 6

1 447362 ± 38817

G-1e 2 1 32165 ± 779

3 3004 ± 25

1 62167 ± 6418

G-5e 5

2 2444 ± 33

1 72636 ± 4075

G-10e 10

2 3065 ± 34

G-30e 1 30 17159 ± 390

G-50e 1 50 18960 ± 142

1

ST 0 923336 ± 1883

2 150265 ± 4033

1 846081 ± 5180

ST-1e 1

2 131222 ± 1687

ST-5e 1 5 90664 ± 1370

ST-10e 1 10 98050 ± 255

ST-30e 1 30 41884 ± 223

ST-70e 1 70 9699 ± 31

ST-100e 1 100 8705 ± 38

Gel Permeation Chromatography (GPC) is used to determine the molecular weight distribution of polymers. During GPC analysis, a solution of the polymer sample is passed through a column packed with a porous gel trapping small molecules. The sample is separated based on molecular size with larger molecules eluting sooner than smaller molecules. The retention time of each component is most often detected by refractive index (PJ), evaporative light scattering (ELS), or ultraviolet (UV) and compared to a calibration curve. The resulting data is then used to calculate the molecular weight distribution for the sample.

A distribution of molecular weights rather than a unique molecular weight is used to characterize synthetic polymers. To characterize this distribution, statistical averages are utilized. The most common of these averages are the "number average molecular weight" (M _n ) and the "weight average molecular weight" (M _w ).

M _n is similar to the standard arithmetic mean associated with a group of numbers. When applied to polymers, M _n refers to the average molecular weight of the molecules in the polymer. M _n is calculated affording the same amount of significance to each molecule regardless of its individual molecular weight. The average M _n is calculated by the following formula where N; is the number of molecules with a molar mass equal to Mi.

i

M _w is another statistical descriptor of the molecular weight distribution that places a greater emphasis on larger molecules than smaller molecules in the distribution. The formula below shows the statistical calculation of the weight average molecular weight.

The polydispersity index or PI is defined as the ratio of M _w /M _n . The larger the PI, the broader or more disperse the distribution. The lowest value that a PI can be is 1. This represents a monodisperse sample; that is, a polymer with all of the molecules in the distribution being the same molecular weight. The peak molecular weight value (M _P ) is another descriptor defined as the mode of the molecular weight distribution. It signifies the molecular weight that is most abundant in the distribution. This value also gives insight to the molecular weight distribution.

Most GPC measurements are made relative to a different polymer standard. The accuracy of the results depends on how closely the characteristics of the polymer being analyzed match those of the standard used. The expected error in reproducibility between different series of determinations, calibrated separately, is ca. 5-10% and is characteristic to the limited precision of GPC determinations. Therefore, GPC results are most useful when a comparison between the molecular weight distributions of different samples is made during the same series of determinations.

The lignocellulosic samples required sample preparation prior to GPC analysis. First, a saturated solution (8.4% by weight) of lithium chloride (LiCl) was prepared in dimethyl acetamide (DMAc). Approximately 100 mg of the sample was added to approximately 10 g of a freshly prepared saturated LiCl/DMAc solution, and the mixture was heated to approximately 150°C-170°C with stirring for 1 hour. The resulting solutions were generally light- to dark-yellow in color. The temperature of the solutions were decreased to approximately 100°C and heated for an additional 2 hours. The temperatures of the solutions were then decreased to approximately 50°C and the sample solution was heated for approximately 48 to 60 hours. Of note, samples irradiated at 100 MRad were more easily solubilized as compared to their untreated counterpart.

Additionally, the sheared samples (denoted by the number 132) had slightly lower average molecular weights as compared with uncut samples.

The resulting sample solutions were diluted 1 : 1 using DMAc as solvent and were filtered through a 0.45 μπι PTFE filter. The filtered sample solutions were then analyzed by GPC using the parameters described in Table 7. The peak average molecular weights (Mp) of the samples, as determined by Gel Permeation Chromatography (GPC), are summarized in Tables 3-6. Each sample was prepared in duplicate and each preparation of the sample was analyzed in duplicate (two injections) for a total of four injections per sample. The EasiCal® polystyrene standards PS1A and PS IB were used to generate a calibration curve for the molecular weight scale from about 580 to 7,500,00 Daltons. Table 7. GPC Analysis Conditions

Instrument: Waters Alliance GPC 2000

Plgel 10μ Mixed-B

Columns (3): S/N's: 10M-MB-148-83; 10M-MB-

148-84; 10M-MB-174-129

Mobile Phase (solvent): 0.5% LiCI in DM Ac (1 .0 mL/min.)

Column/Detector Temperature: 70 °C

Injector Temperature: 70 °C

Sample Loop Size: 323.5 μΙ_

Example 11. Time-Of-Flight Secondary Ion Mass Spectrometry (ToF-SIMS) Surface Analysis

Time-of-Flight Secondary Ion Mass Spectroscopy (ToF-SIMS) is a surface- sensitive spectroscopy that uses a pulsed ion beam (Cs or microfocused Ga) to remove molecules from the very outermost surface of the sample. The particles are removed from atomic monolayers on the surface (secondary ions). These particles are then accelerated into a "flight tube" and their mass is determined by measuring the exact time at which they reach the detector (i.e. time-of-flight). ToF-SIMS provides detailed elemental and molecular information about the surface, thin layers, interfaces of the sample, and gives a full three-dimensional analysis. The use is widespread, including semiconductors, polymers, paint, coatings, glass, paper, metals, ceramics, biomaterials, pharmaceuticals and organic tissue. Since ToF-SIMS is a survey technique, all the elements in the periodic table, including H, are detected. ToF-SIMS data is presented in Tables 8-11. Parameters used are reported in Table 12.

Table 8. Normalized Mean Intensities of Various Positive Ions of Interest

(Noj^njdjzed ^{^} elative^

P132 P132-10 P132-100 m/z species Mean σ Mean σ Mean σ

23 Na 257 28 276 54 193 36

27 Al 647 43 821 399 297 44

28 Si 76 45.9 197 89 81 .7 10.7

15 CH ₃ 77.9 7.8 161 26 133 12

27 C2H3 448 28 720 65 718 82

39 C3H3 333 10 463 37 474 26 41 C3H5 703 19 820 127 900 63

43 C3H7 657 11 757 162 924 118

115 C9H7 73 13.4 40.3 4.5 42.5 15.7

128 CioHe 55.5 11.6 26.8 4.8 27.7 6.9

73 C3H9S i* 181 77 65.1 18.4 81.7 7.5

147 C ₅ H ₁₅ OSi ₂ * 72.2 33.1 24.9 10.9 38.5 4

207 C5H15O3S13* 17.2 7.8 6.26 3.05 7.49 1.77

647 C42H64PO3 3.63 1.05 1.43 1.41 10.7 7.2

Table 9. Normalized Mean Intensities of Various Negative Ions of Interest

(Normalized relative to total ion counts x 10000)

P132 P132-10 P132-100

m/z species Mean σ Mean σ Mean σ

19 F 15.3 2.1 42.4 37.8 19.2 1.9

35 CI 63.8 2.8 107 33 74.1 5.5

13 CH 1900 91 1970 26 1500 6

25 C ₂ H 247 127 220 99 540 7

26 CN 18.1 2.1 48.6 30.8 43.9 1.4

42 CNO 1.16 0.71 0.743 0.711 10.8 0.9

46 N0 ₂ 1.87 0.38 1.66 1.65 12.8 1.8

Table 10. Normalized Mean Intensities of Various Positive Ions of Interest

(Normalized relative to total ion counts x 10000)

P-1e P-5e P-10e P-30e P-70e P-100e m/z species Mean σ Mean σ Mean σ Mean σ Mean σ Mean σ

23 Na 232 56 370 37 241 44 518 57 350 27 542 104

27 Al 549 194 677 86 752 371 761 158 516 159 622 166

28 Si 87.3 11.3 134 24 159 100 158 32 93.7 17.1 124 11

15 CH ₃ 114 23 92.9 3.9 128 18 110 16 147 16 141 5

27 C2H3 501 205 551 59 645 165 597 152 707 94 600 55

39 C3H3 375 80 288 8 379 82 321 57 435 61 417 32

41 C3H5 716 123 610 24 727 182 607 93 799 112 707 84

43 C3H7 717 121 628 52 653 172 660 89 861 113 743 73

115 C9H7 49.9 14.6 43.8 2.6 42.2 7.9 41.4 10.1 27.7 8 32.4 10.5

128 CioHe 38.8 13.1 39.2 1.9 35.2 11.8 31.9 7.8 21.2 6.1 24.2 6.8

73 C3H9S1* 92.5 3.0 80.6 2.9 72.3 7.7 75.3 11.4 63 3.4 55.8 2.1

147 C ₅ H ₁₅ OSi ₂ * 27.2 3.9 17.3 1.2 20.4 4.3 16.1 1.9 21.7 3.1 16.3 1.7

207 C5H15O3S13* 6.05 0.74 3.71 0.18 4.51 0.55 3.54 0.37 5.31 0.59 4.08 0.28

647 C42H64PO3 1.61 1.65 1.09 1.30 0.325 0.307 nd ~ 0.868 1.31 0.306 0.334 Table 11. Normalized Mean Intensities of Various Negative Ions of Interest

(Normalized relative to total ion counts x 10000)

P-1e P-5e P-10e P-30e P-70e P-100e m/z species Mean σ Mean σ Mean σ Mean σ Mean σ Mean σ

13 CH 1950 72 1700 65 1870 91 1880 35 2000 46 2120 102

25 C ₂ H 154 47 98.8 36.3 157 4 230 17 239 22 224 19

19 F 25.4 1 24.3 1 .4 74.3 18.6 40.6 14.9 25.6 1 .9 21 .5 2

35 CI 39.2 13.5 38.7 3.5 46.7 5.4 67.6 6.2 45.1 2.9 32.9 10.2

26 CN 71 .9 18.9 6.23 2.61 28.1 10.1 34.2 29.2 57.3 28.9 1 12 60

42 CNO 0.572 0.183 0.313 0.077 0.62 0.199 1 .29 0.2 1 .37 0.55 1 .38 0.28

46 N0 ₂ 0.331 0.057 0.596 0.255 0.668 0.149 1 .44 0.19 1 .92 0.29 0.549 0.1

Table 12. ToF-SIMS Parameters

Instrument Conditions:

Instrument: PHI TRIFT II

Primary Ion Source: ⁶⁹ Ga

12 kV + ions

Primary Ion Beam Potential:

18 kV - ions

2 na for P#E samples

Primary Ion Current (DC):

600 pA for P132 samples

Energy Filter/CD: Out/Out

Masses Blanked: None

Charge Compensation: On

ToF-SIMS uses a focused, pulsed particle beam (typically Cs or Ga) to dislodge chemical species on a materials surface. Particles produced closer to the site of impact tend to be dissociated ions (positive or negative). Secondary particles generated farther from the impact site tend to be molecular compounds, typically fragments of much larger organic macromolecules. The particles are then accelerated into a flight path on their way towards a detector. Because it is possible to measure the "time-of-flight" of the particles from the time of impact to detector on a scale of nano-seconds, it is possible to produce a mass resolution as fine as O.OOX atomic mass units (i.e. one part in a thousand of the mass of a proton). Under typical operating conditions, the results of ToF-SIMS analysis include: a mass spectrum that surveys all atomic masses over a range of 0-

10,000 amu, the rastered beam produces maps of any mass of interest on a sub-micron scale, and depth profiles are produced by removal of surface layers by sputtering under the ion beam. Negative ion analysis showed that the polymer had increasing amounts of CNO, CN, and N0 ₂ groups. Example 12. X-Ray Photoelectron Spectroscopy (XPS)/Electron Spectroscopy for

Chemical Analysis (ESCA)

X-Ray Photoelectron Spectroscopy (XPS) (sometimes called "ESCA") measures the chemical composition of the top five nanometers of surface; XPS uses photo- ionization energy and energy-dispersive analysis of the emitted photoelectrons to study the composition and electronic state of the surface region of a sample. X-ray

Photoelectron spectroscopy is based upon a single photon in/electron out. Soft x-rays stimulate the ejection of photoelectrons whose kinetic energy is measured by an electrostatic electron energy analyzer. Small changes to the energy are caused by chemically-shifted valence states of the atoms from which the electrons are ejected; thus, the measurement provides chemical information about the sample surface.

Table 13. Atomic Concentrations (in %) ^a ' ^b

Sample ID Atom

C O Al Si

P132 (Areal ) 57.3 39.8 1 .5 1 .5

P132 (Area2) 57.1 39.8 1 .6 1 .5

P132-10 (Area 1 ) 63.2 33.5 1 .7 1 .6

P132-10 (Area 2) 65.6 31 .1 1 .7 1 .7

P132-100 (Area 1 ) 61 .2 36.7 0.9 1 .2

P132-100 (Area 2) 61 36.9 0.8 1 .3

Normalized to 100% of the elements detected. XPS does not detect H or Table 14. Carbon Chemical State (in % C)

C-C, C-H C-O c=o o-c=o

Sample ID

P132 (Areal ) 22 49 21 7

P132 (Area2) 25 49 20 6

P132-10 (Area l ) 34 42 15 9

P132-10 (Area 2) 43 38 14 5

P132-100 (Area 1 ) 27 45 15 9

P132-100 (Area 2) 25 44 23 9 a,b

Table 15. Atomic Concentrations (in %)

Sample ID Atom

C O Al Si Na

P-1e (Area 1) 59.8 37.9 1.4 0.9 ~

P-1e (Area 2) 58.5 38.7 1.5 1.3

P-5e (Area 1 ) 58.1 39.7 1.4 0.8

P-5e (Area 2) 58.0 39.7 1.5 0.8

P-1 Oe (Area 1 ) 61.6 36.7 1.1 0.7

P-10e (Area 2) 58.8 38.6 1.5 1.1 ~

P-50e (Area 1 ) 59.9 37.9 1.4 0.8 <0.1

P-50e (Area 2) 59.4 38.3 1.4 0.9 <0.1

P-70e (Area 1 ) 61.3 36.9 1.2 0.6 <0.1

P-70e (Area 2) 61.2 36.8 1.4 0.7 <0.1

P-1 OOe (Area 1 ) 61.1 37.0 1.2 0.7 <0.1

P-1 OOe (Area 2) 60.5 37.2 1.4 0.9 <0.1

Normalized to 100% of the elements detected. XPS does not detect H or He.

A less than symbol "<" indicates accurate quantification cannot be made due to weak signal intensity.

Table 16. Carbon Chemical State Table (in %C)

C-C, C-H C-O C=Q o-c=o

Sample ID

P-1e (Area 1)

P-1e (Area 2)

P-5e(Area 1) 25 53 18 5

P-5e(Area2) 28 52 17 4

P-1 Oe (Area 1) 33 47 16 5

P-1 Oe (Area 2) 28 51 16 5

P-50e(Area1) 29 45 20 6

P-50e(Area2) 28 50 16 5

P-70e(Area1) 32 45 16 6

P-70e(Area2) 35 43 16 6

P-1 OOe (Area 1) 32 42 19 7

P-1 OOe (Area 2) 30 47 16 7 Table 17. Analytical Parameters

Instrument: PHI Quantum 2000

X-ray source: Monochromated Alka 1486.6 eV

Acceptance Angle: ±23°

Take-off angle: 45°

Analysis area: 1400 x 300 μηι

Charge Correction: C1s 284.8 eV

XPS spectra are obtained by irradiating a material with a beam of aluminum or magnesium X-rays while simultaneously measuring the kinetic energy (KE) and number of electrons that escape from the top 1 to 10 nm of the material being analyzed (see analytical parameters, Table 17). The XPS technique is highly surface specific due to the short range of the photoelectrons that are excited from the solid. The energy of the photoelectrons leaving the sample is determined using a Concentric Hemispherical Analyzer (CHA) and this gives a spectrum with a series of photoelectron peaks. The binding energy of the peaks is characteristic of each element. The peak areas can be used (with appropriate sensitivity factors) to determine the composition of the materials surface. The shape of each peak and the binding energy can be slightly altered by the chemical state of the emitting atom. Hence XPS can provide chemical bonding information as well. XPS is not sensitive to hydrogen or helium, but can detect all other elements. XPS requires ultra-high vacuum (UHV) conditions and is commonly used for the surface analysis of polymers, coatings, catalysts, composites, fibers, ceramics, pharmaceutical/medical materials, and materials of biological origin. XPS data is reported in Tables 13-16.

Example 13. Raman Analysis

Raman spectra were acquired from the surface of fibers from samples: P132, P132-100, P-le, and P-100e. The measurements were performed using a "LabRam" J-Y Spectrometer. A HeNe laser (632.8 nm wavelength) and 600 gr/mm grating were used for the measurements. The measurements were performed confocally using

backscattering geometry (180°) under an Olympus BX40 microscope. The samples had a Raman spectrum typical of cellulose. Example 14. Scanning Probe Microscopy (SPM) Surface Analysis Using an Atomic Force

Microscope (AFM)

The purpose of this analysis was to obtain Atomic Force Microscope (AFM) images of the samples in Tables 18 and 19 to measure surface roughness.

Scanning probe microscopy (SPM) is a branch of microscopy that forms images of surfaces using a physical probe that scans the specimen. An image of the surface is obtained by mechanically moving the probe in a raster scan of the specimen, line by line, and recording the probe-surface interaction as a function of position. The atomic force microscope (AFM) or scanning force microscope (SFM) is a very high-resolution type of scanning probe microscope, with demonstrated resolution of fractions of a nanometer, more than 1000 times better than the optical diffraction limit. The probe (or the sample under a stationary probe) generally is moved by a piezoelectric tube. Such scanners are designed to be moved precisely in any of the three perpendicular axes (x,y,z). By following a raster pattern, the sensor data forms an image of the probe-surface interaction. Feedback from the sensor is used to maintain the probe at a constant force or distance from the object surface. For atomic force microscopy, the sensor is a position- sensitive photodetector that records the angle of reflection from a laser bean focused on the top of the cantilever.

Table 18. Roughness Results for Gamma-Irradiated Samples

Sample ID RMS (A) Ra (A) Rmax (A)

P132 927.2 716.3 8347.6

P132-10 825.7 576.8 1 1500

P132-100 1 008 813.5 7250.7

Table 19. Roughness Results for Samples Irradiated with E-Beam

Sample ID RMS (A) Ra (A) Rmax (A)

P-1e 1441 .2 1 147.1 8955.4

P-5e 917.3 727.5 6753.4

P-10e 805.6 612.1 7906.5

P-30e 919.2 733.7 6900

P-70e 505.8 388.1 5974.2

P-100e 458.2 367.9 3196.9

AFM images were collected using a NanoScope III Dimension 5000 (Digital Instruments, Santa Barbara, California, USA). The instrument was calibrated against a NIST traceable standard with an accuracy better than 2%. NanoProbe silicon tips were used. Image processing procedures involving auto-flattening, plane fitting or convolution were employed.

One 5μπι x 5μπι area was imaged at a random location on top of a single fiber. Perspective (3-D) views of these surfaces are included with vertical exaggerations noted on the plots (FIGS. 29A-29F). The roughness analyses were performed and are expressed in: (1) Root-Mean- Square Roughness, RMS; (2) Mean Roughness, Ra; and (3) Maximum Height (Peak-to- Valley), Rmax. Results are summarized in Tables 18 and 19.

Example 15- Determining Crystallinity of Irradiated Materials by X-Ray Diffraction

X-ray diffraction (XRD) is a method by which a crystalline sample is irradiated with monoenergetic x-rays. The interaction of the lattice structure of the sample with these x-rays is recorded and provides information about the crystalline structure being irradiated. The resulting characteristic "fingerprint" allows for the identification of the crystalline compounds present in the sample. Using a whole-pattern fitting analysis (the Rietvelt Refinement), it is possible to perform quantitative analyses on samples containing more than one crystalline compound. Table 20. XRD Data Including Domain Size and % Crystall

Domain Size

Sample ID % Crystallinity

(A)

P132 55 55

P132-10 46 58

P132-100 50 55

P132-181 48 52

P132-US 26 40

A132 28 42

A132-10 26 40

A132-100 28 35

WS132 30 36

WS132-10 27 37

WS132-100 30 41

SG132 29 40

SG132-10 28 38

SG132-100 28 37

SG132-10-US 25 42

SG132-100-US 21 34

Each sample was placed on a zero background holder and placed in a Phillips PW1800 diffractometer using Cu radiation. Scans were then run over the range of 5° to 50° with a step size of 0.05° and a counting time of 2 hours each.

Once the diffraction patterns were obtained, the phases were identified with the aid of the Powder Diffraction File published by the International Centre for Diffraction Data. In all samples the crystalline phase identified was cellulose - la, which has a triclinic structure.

The distinguishing feature among the 20 samples is the peak breadth, which is related to the crystallite domain size. The experimental peak breadth was used to compute the domain size and percent crystallinity, which are reported in Table 4.

Percent crystallinity (X _c %) is measured as a ratio of the crystalline area to the total area under the x-ray diffraction peaks,

X _c % = — x 100%

where,

A _c = Area of crystalline phase A _a = Area of amorphous phase X _c = Percent of crystallinity

To determine the percent crystallinity for each sample it was necessary to first extract the amount of the amorphous phase. This is done by estimating the area of each diffraction pattern that can be attributed to the crystalline phase (represented by the sharper peaks) and the non-crystalline phase (represented by the broad humps beneath the pattern and centered at 22° and 38°).

A systematic process was used to minimize error in these calculations due to broad crystalline peaks as well as high background intensity. First, a linear background was applied and then removed. Second, two Gaussian peaks centered at 22° and 38° with widths of 10-12° each were fitted to the humps beneath the crystalline peaks. Third, the area beneath the two broad Gaussian peaks and the rest of the pattern were determined. Finally, percent crystallinity was calculated by dividing the area beneath the crystalline peak by the total intensity (after background subtraction). Domain size and %

crystallinity of the samples as determined by X-ray diffraction (XRD) are presented in Table 20.

Example 16 - Porosimetry Analysis of Irradiated Materials

Mercury pore size and pore volume analysis (Table 21) is based on forcing mercury (a non-wetting liquid) into a porous structure under tightly controlled pressures. Since mercury does not wet most substances and will not spontaneously penetrate pores by capillary action, it must be forced into the voids of the sample by applying external pressure. The pressure required to fill the voids is inversely proportional to the size of the pores. Only a small amount of force or pressure is required to fill large voids, whereas much greater pressure is required to fill voids of very small pores. Table 21. Pore Size and Volume Distribution by Mercury Porosimetry

P132-10 5.5436 1.211 46.3463 4.5646 18.3106 0.1614 1.5355 89.4875

P132-100 5.3985 0.998 34.5235 18.2005 21.6422 0.1612 1.2413 87.0151

P132-181 3.2866 0.868 25.3448 12.2410 15.1509 0.2497 1.3916 82.0577

P132-US 6.0005 14.787 98.3459 0.0055 1.6231 0.1404 0.8894 84.2199

A132 2.0037 11.759 64.6308 0.0113 0.6816 0.3683 1.4058 73.7990

A132-10 1.9514 10.326 53.2706 0.0105 0.7560 0.3768 1.4231 73.5241

A132-100 1.9394 10.205 43.8966 0.0118 0.7602 0.3760 1.3889 72.9264

SG132 2.5267 8.265 57.6958 0.0141 1.2229 0.3119 1.4708 78.7961

SG132-10 2.1414 8.643 26.4666 0.0103 0.9910 0.3457 1.3315 74.0340

SG132-100 2.5142 10.766 32.7118 0.0098 0.9342 0.3077 1.3590 77.3593

SG132-10-US 4.4043 1.722 71.5734 1.1016 10.2319 0.1930 1.2883 85.0169

SG132-100-US 4.9665 7.358 24.8462 0.0089 2.6998 0.1695 1.0731 84.2010

WS132 2.9920 5.447 76.3675 0.0516 2.1971 0.2773 1.6279 82.9664

WS132-10 3.1138 2.901 57.4727 0.3630 4.2940 0.2763 1.9808 86.0484

WS132-100 3.2077 3.114 52.3284 0.2876 4.1199 0.2599 1.5611 83.3538

A-le 1.9535 3.698 25.3411 0.0810 2.1130 0.3896 1.6299 76.0992

A-5e 1.9697 6.503 29.5954 0.0336 1.2117 0.3748 1.4317 73.8225

A-lOe 2.0897 12.030 45.5493 0.0101 0.6948 0.3587 1.4321 74.9545

A-50e 2.1141 7.291 37.0760 0.0304 1.1599 0.3577 1.4677 75.6264

G-le 2.4382 7.582 58.5521 0.0201 1.2863 0.3144 1.3472 76.6610

G-5e 2.4268 6.436 44.4848 0.0225 1.5082 0.3172 1.3782 76.9831

G-lOe 2.6708 6.865 62.8605 0.0404 1.5562 0.2960 1.4140 79.0638

G-50e 2.8197 6.798 56.5048 0.0315 1.6591 0.2794 1.3179 78.7959

P-le 7.7692 1.052 49.8844 22.9315 29.5348 0.1188 1.5443 92.3065

P-5e 7.1261 1.212 46.6400 12.3252 23.5166 0.1268 1.3160 90.3644

P-lOe 6.6096 1.113 41.4252 17.4375 23.7513 0.1374 1.4906 90.7850

P-50e 6.5911 1.156 40.7837 15.9823 22.7974 0.1362 1.3302 89.7616

P-100e 5.3507 1.195 35.3622 10.7400 17.9063 0.1648 1.3948 88.1840

S 0.4362 0.030 102.8411 42.5047 57.8208 0.9334 1.5745 40.7160

S-le 0.3900 0.632 90.6808 0.0041 2.4680 0.9772 1.5790 38.1140

S-5e 0.3914 0.337 97.1991 0.0070 4.6406 0.9858 1.6052 38.5847

S-lOe 0.4179 0.349 113.4360 0.0042 4.7873 0.9469 1.5669 39.5678

S-30e 0.4616 5.329 102.0559 0.0042 0.3464 0.9065 1.5585 41.8388

S-50e 0.5217 7.162 137.2124 0.0051 0.2914 0.8521 1.5342 44.4582

S-lOOe 0.8817 15.217 76.4577 0.0053 0.2318 0.6478 1.5105 57.1131

St 0.6593 17.631 4.2402 0.0053 0.1496 0.7757 1.5877 51.1438

St-le 0.6720 18.078 4.3360 0.0052 0.1487 0.7651 1.5750 51.4206

St-5e 0.6334 19.495 4.2848 0.0051 0.1300 0.7794 1.5395 49.3706

St-lOe 0.6208 16.980 4.3362 0.0056 0.1462 0.7952 1.5703 49.3630

St-30e 0.6892 18.066 4.4152 0.0050 0.1526 0.7475 1.5417 51.5165

St-50e 0.6662 18.338 4.3759 0.0054 0.1453 0.7637 1.5548 50.8778

St-lOOe 0.6471 23.154 5.4032 0.0048 0.1118 0.7229 1.3582 46.7761 The AutoPore 9520 can attain a maximum pressure of 414 MPa or 60,000 psia. There are four low pressure stations for sample preparation and collection of macropore data from 0.2 psia to 50 psia. There are two high pressure chambers, which collect data from 25 psia to 60,000 psia. The sample is placed in a bowl-like apparatus called a penetrometer, which is bonded to a glass capillary stem with a metal coating. As mercury invades the voids in and around the sample, it moves down the capillary stem. The loss of mercury from the capillary stem results in a change in the electrical capacitance. The change in capacitance during the experiment is converted to volume of mercury by knowing the stem volume of the penetrometer in use. A variety of penetrometers with different bowl (sample) sizes and capillaries are available to accommodate most sample sizes and configurations. Table 22 below defines some of the key parameters calculated for each sample.

Table 22. Definition of Parameters

Parameter Description

The total volume of mercury intruded during an experiment. This

Total Intrusion Volume: can include interstitial filling between small particles, porosity of sample, and compression volume of sample.

The total intrusion volume converted to an area assuming

Total Pore Area:

cylindrical shaped pores.

Median Pore Diameter

The size at the 50 ^th percentile on the cumulative volume graph. (volume):

Median Pore Diameter (area): The size at the 50 ^th percentile on the cumulative area graph.

Average Pore Diameter: The total pore volume divided by the total pore area (4V/A).

The mass of the sample divided by the bulk volume. Bulk volume

Bulk Density:

is determined at the filling pressure, typically 0.5 psia.

The mass of sample divided by the volume of sample measured at

Apparent Density:

highest pressure, typically 60,000 psia.

Porosity: (Bulk Density/ Apparent Density) x 100%

Example 17 - Particle Size Analysis of Irradiated Materials

The technique of particle sizing by static light scattering is based on Mie theory (which also encompasses Fraunhofer theory). Mie theory predicts the intensity vs. angle relationship as a function of the size for spherical scattering particles provided that other system variables are known and held constant. These variables are the wavelength of incident light and the relative refractive index of the sample material. Application of Mie theory provides the detailed particle size information. Table 23 summarizes particle size using median diameter, mean diameter, and modal diameter as parameters.

Table 23. Particle Size by Laser Light Scattering (Dry Sample Dispersion)

Median Mean Diameter Modal Diameter

Sample ID

Diameter (μΐτι) (μηι) (μηι)

A132 380.695 418.778 442.258

A132-10 321 .742 366.231 410.156

A132-100 301 .786 348.633 444.169

SG132 369.400 41 1 .790 455.508

SG132-10 278.793 325.497 426.717

SG132-100 242.757 298.686 390.097

WS132 407.335 445.618 467.978

WS132-10 194.237 226.604 297.941

WS132-100 201 .975 236.037 307.304

Particle size was determined by Laser Light Scattering (Dry Sample Dispersion) using a Malvern Mastersizer 2000 using the following conditions:

Feed Rate: 35%

Disperser Pressure: 4 Bar

Optical Model: (2.610, 1 .000i), 1 .000

An appropriate amount of sample was introduced onto a vibratory tray. The feed rate and air pressure were adjusted to ensure that the particles were properly dispersed. The key component is selecting an air pressure that will break up agglomerations, but does not compromise the sample integrity. The amount of sample needed varies depending on the size of the particles. In general, samples with fine particles require less material than samples with coarse particles.

Example 18 - Surface Area Analysis of Irradiated Materials

Surface area of each sample was analyzed using a Micromeritics ASAP 2420 Accelerated Surface Area and Porosimetry System. The samples were prepared by first degassing for 16 hours at 40 °C. Next, free space (both warm and cold) with helium is calculated and then the sample tube is evacuated again to remove the helium. Data collection begins after this second evacuation and consists of defining target pressures, which control how much gas is dosed onto the sample. At each target pressure, the quantity of gas adsorbed and the actual pressure are determined and recorded. The pressure inside the sample tube is measured with a pressure transducer. Additional doses of gas will continue until the target pressure is achieved and allowed to equilibrate. The quantity of gas adsorbed is determined by summing multiple doses onto the sample. The pressure and quantity define a gas adsorption isotherm and are used to calculate a number of parameters, including BET surface area (Table 24).

Table 24. Summary of Surface Area by Gas Adsorption

BET

Sample ID Single point surface area (m ² /g) Surface

Area (m ² /g)

P132 @ P/Po= 0.250387771 1 .5253 1 .6897

P132-10 @ P/Po= 0.239496722 1 .0212 1 .2782

P132-100 @ P/Po= 0.240538100 1 .0338 1 .2622

P132-181 @ P/Po= 0.239166091 0.5102 0.6448

P132-US @ P/Po= 0.217359072 1 .0983 1 .6793

A132 @ P/Po= 0.240040610 0.5400 0.7614

A132-10 @ P/Po= 0.21 1218936 0.5383 0.7212

A132-100 @ P/Po= 0.238791097 0.4258 0.5538

SG132 @ P/Po= 0.237989353 0.6359 0.8350

SG132-10 @ P/Po= 0.238576905 0.6794 0.8689

SG132-100 @ P/Po= 0.241960361 0.5518 0.7034

SG132-10-US @ P/Po= 0.225692889 0.5693 0.7510

SG132-100-US @ P/Po= 0.225935246 1 .0983 1 .4963

G-10-US 0.751

G100-US 1 .496

G132-US 1 .679

WS132 @ P/Po= 0.237823664 0.6582 0.8663

WS 132-10 @ P/Po= 0.238612476 0.6191 0.7912

WS132-100 @ P/Po= 0.238398832 0.6255 0.8143

A-1e @ P/Po=0.238098138 0.6518 0.8368

A-5e @ P/Po=0.243184477 0.6263 0.7865

A-10e @ P/Po=0.243163236 0.4899 0.6170

A-50e @ P/Po=0.243225512 0.4489 0.5730

G-1e @ P/Po=0.238496102 0.5489 0.7038

G-5e @ P/Po=0.242792602 0.5621 0.7086

G-10e @ P/Po=0.243066031 0.5021 0.6363

G-50e @ P/Po=0.238291 132 0.4913 0.6333

P-1e @ P/Po=0.240842223 1 .1413 1 .4442

P-5e @ P/Po=0.240789274 1 .0187 1 .3288

P-10e @ P/Po=0.2401 16967 1 .1015 1 .3657

P-50e @ P/Po=0.2400721 14 1 .0089 1 .2593

P-100e @ P/Po=0.236541386 0.91 16 1 .1677

S @ P/Po=0.225335038 0.0147 0.0279 S-1e @ P/Po=0.217142291 0.0193 0.0372

S-5e @ P/Po=0.133107838 0.0201 0.0485

S-10e @ P/Po=0.244886517 0.0236 0.0317

S-30e @ P/Po=0.237929400 0.0309 0.0428

S-50e @ P/Po=0.245494494 0.0262 0.0365

S-100e @ P/Po=0.224698551 0.0368 0.0506

St @ P/Po=0.238324949 0.3126 0.4013

St-1e @ P/Po=0.238432726 0.3254 0.4223

St-5e @ P/Po=0.238363587 0.3106 0.4071

St-10e @ P/Po=0.238341099 0.3205 0.4268

St-30e @ P/Po=0.238629889 0.31 18 0.4189

St-50e @ P/Po=0.244630980 0.31 19 0.3969

SM OOe @ P/Po=0.238421621 0.2932 0.3677

The BET model for isotherms is a widely used theory for calculating the specific surface area. The analysis involves determining the monolayer capacity of the sample surface by calculating the amount required to cover the entire surface with a single densely packed layer of krypton. The monolayer capacity is multiplied by the cross sectional area of a molecule of probe gas to determine the total surface area. Specific surface area is the surface area of the sample aliquot divided by the mass of the sample.

Example 19 - Fiber Length Determination of Irradiated Materials

Fiber length distribution testing was performed in triplicate on the samples submitted using the Techpap MorFi LBOl system. The average fiber length and width are reported in Table 25.

Table 25. Summary of Lignocellulosic Fiber Length and Width Data

Example 20 - Ultrasonic Treatment of Irradiated and Un-irradiated Switchqrass

Switchgrass was sheared according to Example 4. The switchgrass was treated by ultrasound alone or irradiation with 10 Mrad or 100 Mrad of gamma rays, and then sonicated. The resulting materials correspond to G132-BR (un-irradiated), G132-10-BR (10 Mrad and sonication) and G132-100-BR (100 Mrad and sonication), as presented in Table 1. Sonication was performed on each sample for 30 minutes using 20kHz ultrasound from a 1000W horn under re-circulating conditions. Each sample was dispersed in water at a concentration of about 0.10 g/mL.

FIGS. 30 and 31 show the apparatus used for sonication. Apparatus 500 includes a converter 502 connected to booster 504 communicating with a horn 506 fabricated from titanium or an alloy of titanium. The horn, which has a seal 510 made from VITON ^® about its perimeter on its processing side, forms a liquid tight seal with a processing cell 508. The processing side of the horn is immersed in a liquid, such as water, that has dispersed therein the sample to be sonicated. Pressure in the cell is monitored with a pressure gauge 512. In operation, each sample is moved by pump 517 from tank 516 through the processing cell and is sonicated. After, sonication, the sample is captured in tank 520. The process can be reversed in that the contents of tank 520 can be sent through the processing cell and captured in tank 516. This process can be repeated a number of times until a desired level of processing is delivered to the sample. Example 21 - Scanning Electron Micrographs of Un-irradiated Switchqrass in Comparison to Irradiated and Irradiated and Sonicated Switchgrass

Switchgrass samples for the scanning electron micrographs were applied to carbon tape and gold sputter coated (70 seconds). Images were taken with a JEOL 6500 field emission scanning electron microscope.

FIG. 32 is a scanning electron micrograph at 1000 X magnification of a fibrous material produced from shearing switchgrass on a rotary knife cutter, and then passing the sheared material through a 1/32 inch screen.

FIGS. 33 and 34 are scanning electron micrographs of the fibrous material of FIG.

32 after irradiation with 10 Mrad and 100 Mrad gamma rays, respectively, at 1000 X magnification. FIG. 35 is a scanning electron micrographs of the fibrous material of FIG. 32 after irradiation with 10 Mrad and sonication at 1000 X magnification.

FIG. 36 is a scanning electron micrographs of the fibrous material of FIG. 32 after irradiation with 100 Mrad and sonication at 1000 X magnification. Example 22- Fourier Transform Infrared (FT-IR) Spectrum of Irradiated and Unirradiated Kraft Paper

FT-IR analysis was performed on a Nicolet/Impact 400. The results indicate that samples P132, P132-10, P132-100, P-le, P-5e, P-lOe, P-30e, P-70e, and P-100e are consistent with a cellulose-based material.

FIG. 37 is an infrared spectrum of Kraft board paper sheared according to

Example 4, while FIG. 38 is an infrared spectrum of the Kraft paper of FIG. 37 after irradiation with 100 Mrad of gamma radiation. The irradiated sample shows an additional peak in region A (centered about 1730 cm ^"1 ) that is not found in the unirradiated material. Of note, an increase in the amount of a carbonyl absorption at -1650 cm ^"1 was detected when going from P132 to P132-10 to P132-100. Similar results were observed for the samples P-le, P-5e, P-lOe, P-30e, P-70e, and P-100e.

Example 23- Proton and Carbon-13 Nuclear Magnetic Resonance ( ¹ H-NMR and ¹³ C-NMR) Spectra of Irradiated and Unirradiated Kraft Paper

Sample Preparation

The samples P132, P132-10, P132-100, P-le, P-5e, P-lOe, P-30e, P-70e, and P- lOOe were prepared for analysis by dissolution with DMSO-d ₆ with 2% tetrabutyl ammonium fluoride trihydrate. The samples that had undergone lower levels of irradiation were significantly less soluble than the samples with higher irradiation.

Unirradiated samples formed a gel in this solvent mixture, but heating to 60 °C resolved the peaks in the MR spectra. The samples having undergone higher levels of irradiation were soluble at a concentration of 10% wt/wt. Analysis Ίί-NMR spectra of the samples at 15 mg/mL showed a distinct very broad resonance peak centered at 16ppm (FIGS. 38A-38J). This peak is characteristic of an exchangeable -OH proton for an enol and was confirmed by a "d ₂ 0 shake." Model compounds (acetylacetone, glucuronic acid, and keto-gulonic acid) were analyzed and made a convincing case that this peak was indeed an exchangeable enol proton. This proposed enol peak was very sensitive to concentration effects, and we were unable to conclude whether this resonance was due to an enol or possibly a carboxylic acid.

The carboxylic acid proton resonances of the model compounds were similar to what was observed for the treated cellulose samples. These model compounds were shifted up field to -5-6 ppm. Preparation of P-100e at higher concentrations (-10% wt/wt) led to the dramatic down field shifting to where the carboxylic acid resonances of the model compounds were found (-6 ppm) (FIG. 38N). These results lead to the conclusion that this resonance is unreliable for characterizing this functional group, however the data suggests that the number of exchangeable hydrogens increases with increasing irradiation of the sample. Also, no vinyl protons were detected.

The ¹³ C NMR spectra of the samples confirm the presence of a carbonyl of a carboxylic acid or a carboxylic acid derivative. This new peak (at 168 ppm) is not present in the untreated samples (FIG. 38K). A ¹³ C NMR spectrum with a long delay allowed the quantitation of the signal for P-100e (FIGS. 38L-38M). Comparison of the integration of the carbonyl resonance to the resonances at approximately 100 ppm (the CI signals) suggests that the ratio of the carbonyl carbon to CI is 1 : 13.8 or roughly 1 carbonyl for every 14 glucose units. The chemical shift at 100 ppm correlates well with glucuronic acid. Titration

Samples P-100e and P132-100 (lg) were suspended in deionized water (25 mL). The indicator alizarin yellow was added to each sample with stirring. P-100e was more difficult to wet. Both samples were titrated with a solution of 0.2M NaOH. The end point was very subtle and was confirmed by using pH paper. The starting pH of the samples was - 4 for both samples. P132-100 required 0.4 milliequivalents of hydroxide, which gives a molecular weight for the carboxylic acid of 2500 amu. If 180 amu is used for a monomer, this suggests there is one carboxylic acid group for 13.9 monomer units. Likewise, P-100e required 3.2 milliequivalents of hydroxide, which calculates to be one carboxylic acid group for every 17.4 monomer units.

Conclusions

The C-6 carbon of cellulose appears to be oxidized to the carboxylic acid (a glucuronic acid derivative) in this oxidation is surprisingly specific. This oxidation is in agreement with the IR band that grows with irradiation at ~ 1740 cm ^"1 , which

corresponds to an aliphatic carboxylic acid. The titration results are in agreement with the quantitative ¹³ C MR. The increased solubility of the sample with the higher levels of irradiation correlates well with the increasing number of carboxylic acid protons. A proposed mechanism for the degradation of "C-6 oxidized cellulose" is provided below in Scheme 1.

Scheme 1

Example 24 - Combination of Electron Beam and Sonication Pretreatment

Switchgrass is used as the feedstock and is sheared with a Munson rotary knife cutter into a fibrous material. The fibrous material is then evenly distributed onto an open tray composed of tin with an area of greater than about 500 in2. The fibrous material is distributed so that it has a depth of about 1 - 2 inches in the open tray. The fibrous material may be distributed in plastic bags at lower doses of irradiation (under 10 MRad), and left uncovered on the metal tray at higher doses of radiation.

Separate samples of the fibrous material are then exposed to successive doses of electron beam radiation to achieve a total dose of 1 Mrad, 2 Mrad, 3, Mrad, 5 Mrad, 10 Mrad, 50 Mrad, and 100 Mrad. Some samples are maintained under the same conditions as the remaining samples, but are not irradiated, to serve as controls. After cooling, the irradiated fibrous material is sent on for further processing through a sonication device.

The sonication device includes a converter connected to booster communicating with a horn fabricated from titanium or an alloy of titanium. The horn, which has a seal made from VITON® about its perimeter on its processing side, forms a liquid tight seal with a processing cell. The processing side of the horn is immersed in a liquid, such as water, into which the irradiated fibrous material to be sonicated is immersed. Pressure in the cell is monitored with a pressure gauge. In operation, each sample is moved by pump through the processing cell and is sonicated.

To prepare the irradiated fibrous material for sonication, the irradiated fibrous material is removed from any container (e.g., plastic bags) and is dispersed in water at a concentration of about 0.10 g/mL. Sonication is performed on each sample for 30 minutes using 20 kHz ultrasound from a 1000 W horn under re-circulating conditions. After sonication, the irradiated fibrous material is captured in a tank. This process can be repeated a number of times until a desired level of processing is achieved based on monitoring the structural changes in the switchgrass. Again, some irradiated samples are kept under the same conditions as the remaining samples, but are not sonicated, to serve as controls. In addition, some samples that were not irradiated are sonicated, again to serve as controls. Thus, some controls are not processed, some are only irradiated, and some are only sonicated.

Example 25 - Microbial Testing of Pretreated Biomass

Specific lignocellulosic materials pretreated as described herein are analyzed for toxicity to common strains of yeast and bacteria used in the biofuels industry for the fermentation step in ethanol production. Additionally, sugar content and compatibility with cellulase enzymes are examined to determine the viability of the treatment process. Testing of the pretreated materials is carried out in two phases as follows.

Phase 1 : Toxicity and Sugar Content

Toxicity of the pretreated grasses and paper feedstocks is measured in yeast Saccharomyces cerevisiae (wine yeast) and Pichia stipitis (ATCC 66278) as well as the bacteria Zymomonas mobilis (ATCC 31821) and Clostridium thermocellum (ATCC 31924). A growth study is performed with each of the organisms to determine the optimal time of incubation and sampling.

Each of the feedstocks is then incubated, in duplicate, with S. cerevisiae, P.

stipitis, Z. mobilis, and C. thermocellum in a standard microbiological medium for each organism. YM broth is used for the two yeast strains, S. cerevisiae and P. stipitis. RM medium is used for Z. mobilis and CM4 medium for C. thermocellum. A positive control, with pure sugar added, but no feedstock, is used for comparison. During the incubation, a total of five samples is taken over a 12 hour period at time 0, 3, 6, 9, and 12 hours and analyzed for viability (plate counts for Z. mobilis and direct counts for S. cerevisiae) and ethanol concentration.

Sugar content of the feedstocks is measured using High Performance Liquid Chromatography (HPLC) equipped with either a Shodex™ sugar SP0810 or Biorad Aminex® HPX-87P column. Each of the feedstocks (approx. 5 g) is mixed with reverse osmosis (PvO) water for 1 hour. The liquid portion of the mixture is removed and analyzed for glucose, galactose, xylose, mannose, arabinose, and cellobiose content. The analysis is performed according to National Bioenergy Center protocol Determination of Structural Carbohydrates and Lignin in Biomass. Phase 2: Cellulase Compatibility

Feedstocks are tested, in duplicate, with commercially available Accellerase™ 1000, which contains a complex of enzymes that reduces lignocellulosic biomass into fermentable sugars, at the recommended temperature and concentration in an Erlenmeyer flask. The flasks are incubated with moderate shaking at around 200 rpm for 12 hours. During that time, samples are taken every three hours at time 0, 3, 6, 9, and 12 hours to determine the concentration of reducing sugars (Hope and Dean, Biotech J, 1974, 144:403) in the liquid portion of the flasks.

Example 26- Sugar Concentration Analysis using HPLC

13 samples were analyzed for sugar concentration (HPLC) and toxicity against 3 microorganisms (Pichia stipitis, Saccharomyces cerevisiae, and Zymomonas mobilis. Table 26 lists the equipment used for these experiments. Table 27 and 28 provide a list of the sugars (including vendor and lot numbers) used to prepare the HPLC standard and the protocol used to prepare the HPLC standard, respectively.

Table 26. Equipment Utilized in Experiments

Equipment Manufacturer, Name

pH meter Orion

Shakers (2) B. Braun Biotech, Certomat BS-1

HPLC Waters, 2690 HPLC Module

Spectrophotometer Unicam, UV300

YSI Biochem Analyzer Interscience, YSI

Table 27. Sugars used in HPLC analy

Sugar Manufacturer Ref # Lot #

glucose 49140 1284892

xylose 95731 1304473 51707231 cellobiose BioChemika 22150 1303157 14806191 arabinose 10840 1 188979 24105272 mannose 63582 363063/1 22097 galactose 48259 46032/1 33197

Table 28. Preparation of HPLC standards

Volume of sugar Volume of Total

Desired Concentration

solution Nanopure Water Volume

(mg/mL)

(mL) (mL)

4 50 mL of 4 mg/mL 0 50

2 25 mL of 4 mg/mL 25 50

1 25 mL of 2 mg/mL 25 50

0.5 25 mL of 1 mg/mL 25 50

0.1 5 ml of 1 mg/mL 20 25

Verification Standard 18.75 mL of 4

31 .25 50

1 .5 mg/mL mg/mL

Analysis Each sample (1 gram) was mixed with reverse osmosis water at 200 rpm and 50 °C overnight. The pH of the sample was adjusted to between 5 and 6 and filtered through a 0.2 μπι syringe filter. Samples were stored at -20 °C prior to analysis to maintain integrity of the samples. The observations made during the preparation of the samples are presented in Table 29.

Table 29. Observations During HPLC Sample Preparation

Amount used Water added

Sample PH Observations

(9) (mL)

P132 1 30 5.38 Fluffy, difficult to mix

P132-10 1 25 6.77 Fluffy, difficult to mix

pH is low, difficult to bring

P132-100 1 20 3.19

to pH 5.0, used 10 N NaOH

P132-US 0.3 5 6.14

A132 1 15 5.52

A132-10 1 15 4.9

A132-100 1 15 5.39

SG132 1 15 5.59

SG132-10 1 15 5.16

SG132-100 1 15 4.7

SG132-10-US 0.3 5 5.12

SG132-100-US 0.3 5 4.97

WS132 1 15 5.63

WS132-10 1 15 5.43

WS132-100 1 15 5.02

^: pH of these samples was adjusted to pH using IN NaOH

Standards were prepared fresh from a 4 mg/mL stock solution of the 6 combined sugars, glucose, xylose, cellobiose, arabinose, mannose, and galactose. The stock solution was prepared by dissolving 0.400 grams of each sugar into 75 mL of nanopure water (0.3 micron filtered). Once dissolved, the stock solution was diluted to 100 mL using a volumetric flask and stored at -20 °C. Working standard solutions of 0.1, 0.5, 1, 2, and 4 mg/mL were prepared by serial dilution of the stock solution with nanopure water. In addition, a verification standard of 1.5 mg/mL was also prepared from the stock solution.

Sugar concentrations were analyzed according to the protocol Determination of Structural Carbohydrates in Biomass (NREL Biomass Program, 2006) and this protocol is incorporated herein by reference in its entirety. A SHODEX SUGAR SP0810 COLUMN with an Evaporative Light Scattering Detector was used. A verification standard (1.5 mg/mL of standard) was analyzed every 8 injections to ensure that the integrity of the column and detector were maintained during the experiment. The standard curve coefficient of variation (R ² value) was at least 0.989 and the concentration of the verification standards were within 10% of the actual concentration. The HPLC conditions were as follows:

Table 30. HPLC Parameters

Injection volume: 20 μ|_

nanopure water*, 0.45 μπι

Mobile phase:

filtered and degassed

Flow rate: 0.5 mL/min

Column

85 °C

temperature:

evaporator temperature

Detector

1 10 °C, nebulizer

temperature:

temperature 90 °C

*Initial tests noted that better separation was observed

when using nanopure water than 15/85 acetonitrile:water in the mobile phase (manufacturer does not recommend using greater than 20% acetonitrile with this column).

Results

The results of the HPLC analysis are presented in Tables 31, 32, and 33.

Table 31. Sugar Concentration Expressed as mg/mL and mg/g of Extract

Table 32. Sugar Concentration Expressed at % of Paper

Sugar

° ⁰ _/ ( ^η ο% of dry P132 P132-10 P132-100 P132

sample) cellobiose 0.00 0.81 0.72 0.00

glucose 0.00 0.86 0.67 0.56

xylose 0.00 0.00 0.70 0.58

galactose 0.00 0.00 0.00 0.00

arabinose 0.00 0.00 0.00 0.72

mannose 0.00 0.00 0.00 0.00

Table 33. Sugar Concentration Expressed at % of Total Sample

Sugar

concentration A132- A132- SG132- SG132- SG132- SG132- WS132- WS132-

A132 SG132 WS132

(% of dry 10 100 10 100 10-US 100-US 10 100 sample) cellobiose 0.00 0.00 1.22 0.00 0.00 0.67 0.00 D.65 0.00 0.00 0.53 glucose 1.62 0.00 0.52 1.27 1.60 0.61 0.54 D.59 0.59 1.10 0.54 xylose 2.04 1.79 1.61 0.59 0.75 0.00 0.57 D.00 0.74 0.85 0.64 galactose 0.58 0.00 0.OD 0.50 0.52 0.00 0.00 D.54 0.00 0.51 0.00 arabinose 0.00 0.00 0.OD 0.57 0.62 0.55 0.65 D.62 0.62 0.60 0.55 mannose 1.60 0.55 0.OD 1.38 1.47 0.83 0.00 D.67 0.00 0.76 0.53

5 Example 27- Toxicity Study

Twelve samples were analyzed for toxicity against a panel of three ethanol- producing cultures In this study, glucose was added to the samples in order to

distinguish between starvation of the cultures and toxicity of the samples. A thirteenth

sample was tested for toxicity against Pichia stipitis. A summary of the protocol used is 10 listed in Table 32. A description of the chemicals and equipment used in the toxicity

testing is reported in Tables 34-36.

Table 34. Conditions for Toxicity Testing

Organism

Variable Zymomonas mobilis Saccharomyces cerevesiae Pichia stipitis

ATCC 31821 ATCC 24858 NRRL Y-7124

Test Repetition Duplicate

Inoculation Volume (mL) 1 0.1 1 Incubation Temperature 30 °C 25 °C 25 °C Shaker Speed (rpm)

125 200 125

Erlenmeyer Flask Volume 250 mL 500 mL 250 mL Media volume 100 mL 100 mL 100 mL

Total Incubation time

36 36 48 (hours)

Ethanol Analysis 24, 30, 36

24, 30, 36 24, 36, 48 (hours)

Cell Counts (hours) 24, 36 24, 36 24, 48

PH 0 hours 0 hours 0 hours

Table 35. Reagents Used for Toxicity Testing

Media

Manufacturer Reference # Lot #

Component

Urea ScholAR Chemistry 9472706 AD-7284-43

Yeast Nitrogen

Becton Dickinson 291940 7128171

Base

Peptone Becton Dickinson 21 1677 4303198

1304473

Xylose Fluka 95731

51707231

Glucose Sigma G-5400 107H0245

Yeast Extract

(used for S. Becton Dickinson 288620 4026828 cerevisiae)

Yeast Extract

(used for P.

Becton Dickinson 212750 7165593

stipitis and Z.

mobilis)

MgS0 ₄ 7H ₂ 0 Sigma 5921 034K0066 (NH ₄ ) ₂ S0 ₄ Sigma A4418 117K5421

KH ₂ P0 ₄ Sigma P5379 074 K0160

Y Broth Becton Dickinson 271 120 6278265

Table 36. YSI Components Used in Shake Flask Study

Component Catalog # Lot #

YSI Ethanol Membrane 2786 07L100153 YSI Ethanol Standard (3.2 g/L) 2790 01271 1040

YSI Ethanol Buffer 2787 07M1000053, 07100215 Testing was performed using the three microorganisms as described below.

Saccharomyces cerevisiae ATCC 24858 (American Type Culture Collection)

A slant of S. cerevisiae was prepared from a rehydrated lyophilized culture obtained from ATCC. A portion of the slant material was streaked onto an YM Broth + 20 g/L agar (pH 5.0) and incubated at 30 °C for 2 days. A 250 mL Erlenmeyer flask containing 50 mL of medium (20 g/L glucose, 3 g/L yeast extract, and 5.0 g/L peptone, pH 5.0) was inoculated with one colony from the YM plate and incubated for 24 hours at 25 °C and 200 rpm. After 23 hours of growth, a sample was taken and analyzed for optical density (600 nm in a UV spectrophotometer) and purity (Gram stain). Based on these results, one flask (called the Seed Flask) with an OD of 14.8 and clean Gram Stain was chosen to inoculate all of the test flasks.

The test vessels were 500 mL Erlenmeyer flasks containing 100 mL of the sterile medium described above. All flasks were autoclaved at 121 °C and 15 psi prior to the addition of the test materials. The test materials were not sterilized, as autoclaving will change the content of the samples. The test samples were added at the time of inoculation (rather than prior to) to reduce the possibility of contamination. In addition to the test samples, 1 mL (1% v/v) of seed flask material was added to each flask. The flasks were incubated as described above for 36 hours.

Pichia stipitis NRRL Y-7124 (ARS Culture Collection)

A slant of P. stipitis was prepared from a rehydrated lyophilized culture obtained from ARS Culture Collection. A portion of the slant material was streaked onto an YM Broth + 20 g/L agar (pH 5.0) and incubated at 30 °C for 2 days. A 250 mL Erlenmeyer flask containing 100 mL of medium (40 g/L glucose, 1.7 g/L yeast nitrogen base, 2.27 g/L urea, 6.56 g/L peptone, 40 g/L xylose, pH 5.0) was inoculated with a small amount of plate material and incubated for 24 hours at 25 °C and 125 rpm. After 23 hours of growth, a sample was taken and analyzed for optical density (600 nm in a UV

spectrophotometer) and purity (Gram stain). Based on these results, one flask (called the Seed Flask) at an optical density of 5.23 and with a clean Gram Stain was chosen to inoculate all of the test flasks. The test vessels were 250 mL Erlenmeyer flasks containing 100 mL of the sterile medium described above. All flasks were autoclaved empty at 121 °C and 15 psi and filter sterilized (0.22 μπι filter) media added to the flasks prior to the addition of the test materials. The test materials were not sterilized, as autoclaving will change the content of the samples and filter sterilization not appropriate for sterilization of solids. The test samples were added at the time of inoculation (rather than prior to) to reduce the possibility of contamination. In addition to the test samples, 1 mL (1% v/v) of seed flask material was added to each flask. The flasks were incubated as described above for 48 hours.

Zymomonas mobilis ATCC 31821 (American Type Culture)

A slant of Z. mobilis was prepared from a rehydrated lyophilized culture obtained from ATTC. A portion of the slant material was streaked onto DYE plates (glucose 20 g/L, Yeast Extract 10 g/L, Agar 20 g/L, pH 5.4) and incubated at 30 °C and 5% C0 ₂ for 2 days. A 20 mL screw-cap test tube containing 15 mL of medium (25 g/L glucose, 10 g/L yeast extract, 1 g/L MgS0 ₄ ^' 7H ₂ 0, 1 g/L ( H ₄ ) ₂ S0 ₄ , 2 g/L KH ₂ P0 ₄ , pH 5.4) was inoculated with one colony and incubated for 24 hours at 30 °C with no shaking. After 23 hours of growth, a sample was taken and analyzed for optical density (600 nm in a UV spectrophotometer) and purity (gram stain). Based on these results, one tube (OD 1.96) was chosen to inoculate the second seed flask. The second seed flask was a 125 ml flask containing 70 mL of the media described above and was inoculated with 700 (1% v/v) and incubated for 24 hours at 30 °C with no shaking. After 23 hours of growth, a sample was taken and analyzed for optical density (600 nm in a UV spectrophotometer) and purity (gram stain). Based on these results, one flask (called the Seed Flask) with an OD of 3.72 was chosen to inoculate all of the test flasks.

The test vessels were 250 mL Erlenmeyer flasks containing 100 mL of the sterile medium described above with the exception of yeast extract at 5 g/L. All flasks were autoclaved empty at 121 °C and 15 psi and filter sterilized (0.22 μπι filter) media added to the flasks prior to the addition of the test materials. The test materials were not sterilized, as autoclaving will change the content of the samples and filter sterilization not appropriate for sterilization of solids. The test samples were added at the time of inoculation to reduce the possibility of contamination. In addition to the test samples, 1 mL (1% v/v) of seed flask material was added to each flask. The flasks were incubated as described above for 36 hours

Analysis

Two samples were analyzed for cell concentration (using spread plating for Z. mobilis and direct counts (haemocytometer and microscope for S. cerevisiae and P. stipitis). Appropriately diluted samples of Z. mobilis were spread on Dextrose Yeast Extract (glucose 20 g/L, Yeast Extract 10 g/L, Agar 20 g/L, pH 5.4) plates, incubated at 30 °C and 5% C02 for 2 days, and the number of colonies counted. Appropriately diluted samples of S. cerevisiae and ⁵ . stipitis were mixed with 0.05% Trypan blue, loaded into a Neubauer haemocytometer. The cells were counted under 40 X

magnification.

Three samples were analyzed for ethanol concentration using the YSI Biochem Analyzer based on the alcohol dehydrogenase assay (YSI, Interscience). Samples were centrifuged at 14,000 rpm for 20 minutes and the supernatant stored at -20 °C to preserve integrity. The samples were diluted to between 0-3.2 g/L ethanol prior to analysis. A standard of 3.2 g/L ethanol was analyzed approximately every 30 samples to ensure the integrity of the membrane was maintained during analysis. The optical density (600 nm) of the samples is not reported because the solid test samples interfered with absorbance measurement by increasing the turbidity of the samples and are inaccurate.

Results of Ethanol Analysis

Performance was used to compare each sample to the control for each

microorganism (Tables 37-39). However, the % performance cannot be used to compare between strains. When comparing strains, the total concentration of ethanol should be used. When analyzing the data, a % performance of less than 80% may indicate toxicity when accompanied by low cell number. The equation used to determine % performance is:

% Performance = (ethanol in the sample/ethanol in control) x 100 Table 37. Ethanol Concentration and % Performance Using Saccharomyces cerevisiae

Table 38. Ethanol Concentration and % Performance Using Pichia stipitis

5

Samples in BOLD were the highest ethanol producers, over 20 g L and similar to the concentrations in wood hydrolyzates (H.K. Sreenath and T.W. Jeffries Bioresource Technology 72 (2000) 253-260). * Analyzed in later shake flask experiment. Table 39. Ethanol Concentration and % Performance Using Zymomonas mobilis

Results from Cell Concentration Analysis

5 % Cells is used to compare each sample to the control for each organism (Tables

40-42). However, the % cells cannot be used to compare between strains. When comparing strains, the total concentration of cells should be used. When analyzing the data, a % performance of less than 70% may indicate toxicity when accompanied by low ethanol concentration. The equation used to determine % performance is: 10 % cells = (number of cell in the sample/number of cells in control) x 100

Table 40. Results from Cell Concentration Analysis for Saccharomyces cerevisiae

Table 41. Results from Cell Concentration Analysis for Pichia stipitis

Table 42. Results from Cell Concentration Analysis for Zymomonas mobilis

Example 28- Shake Flask Fermentation of Cellulose Samples Using P. stipitis

Summary

Thirteen samples were tested for ethanol production in P. stipitis culture without sugar added. They were tested in the presence and absence of cellulase (Accellerase 1000® enzyme complex, Genencor). Equipment and reagents used for the experiment are listed below in Tables 43-45.

Table 43. Equipment and frequency of maintenance

Equipment Manufacturer Frequency of Maintenance

B. Braun Biotech, ^ . .

Shakers (2) _ . , ₀ ' Quarter y

' Certomat BS-1

Spectrophotometer Unicam, UV300 Biannual

YSI Biochem Analyzer Interscience, YSI Monthly

Table 44. YSI Components used in shake flask study

Component Catalog # Lot #

YSI Ethanol Membrane 2786 07L100153

YSI Ethanol Standard (3.2 012711040

g/L)

07M1000053

YSI Ethanol Buffer 2787 ^ Y

07100215 Table 45. Chemicals used for shake flask fermentation

Media

Manufacturer Reference # Lot #

Component

ScholAR

Urea 9472706 AD-7284-43

Chemistry

Yeast Nitrogen

Becton Dickinson 291940 7128171

Base

Peptone Becton Dickinson 21 1677 4303198

YM Broth Becton Dickinson 271 120 6278265

Accellerase® Accellerase®

Genencor 1600794133

Enzyme complex 1000

1304473

Xylose BioChemika 95731

51707231

Glucose Sigma G-5400 107H0245

A slant of P. stipitis NRRL Y-7124 was prepared from a rehydrated lyophilized culture obtained from ARS Culture Collection. A portion of the slant material was streaked onto a Yeast Mold (YM) Broth + 20 g/L agar (pH 5.0) and incubated at 30 °C for 2 days. A 250 mL Erlenmeyer flask containing 100 mL of medium (40 g/L glucose, 1.7 g/L yeast nitrogen base, 2.27 g/L urea, 6.56 g/L peptone, 40 g/L xylose, pH 5.0) was inoculated with one colony and incubated for 24 hours at 25 °C and 100 rpm. After 23 hours of growth, a sample was taken and analyzed for optical density (600 nm in a UV spectrophotometer) and purity (Gram stain). Based on these results, one flask (called the Seed Flask) at an optical density of 6.79 and with a clean Gram stain was chosen to inoculate all of the test flasks.

The test vessels were 250 mL Erlenmeyer flasks containing 100 mL of medium (1.7 g/L yeast nitrogen base, 2.27 g/L urea, and 6.56 g/L peptone). No sugar (glucose or xylose) was added to the growth flask medium. All flasks were autoclaved empty at 121 °C and 15 psi and filter sterilized (0.22 μιτι filter) media added to the flasks prior to the addition of the test materials. The test materials were not sterilized, as autoclaving will change the content of the samples and filter sterilization is not appropriate for sterilization of solids. The test samples (listed in Table 46) were added at the time of inoculation (rather than prior to) to reduce the possibility of contamination. In addition to the test samples, 1 mL (1% v/v) of seed flask material was added to each flask. Flasks containing sample P132-100 required the addition of 0.4 mL 1 M NaOH to bring the pH to 5.0. The flasks were incubated at 30 °C and 150 rpm above for 96 hours. One set of duplicate flasks per feedstock contained Accellerase® enzyme complex (1.25 mL per flask, highest recommended dosage is 0.25 mL per gram of biomass, Genencor) to attempt simultaneous saccharification and fermentation (SSF). The other set of duplicate flasks did not contain Accellerase® enzyme complex. A total of 52 flasks were analyzed.

Six control flasks were also analyzed. Positive control flasks contained SolkaFloc 200 F Powdered Cellulose (lot # UA158072, International Fiber Corporation) at a concentration of 2.5 grams per 100 mL flask (25 grams per L) with and without addition of Accellerase® enzyme complex. In addition, a control containing sugars (glucose and xylose) only was used.

Table 46. The amount of each feedstock added to each flask

v . . Amount added to Flask

Xyleco Number . ,.„„ . .

' (g/100 mL)

P132 2.5

P132-10 2.5

P132-100 2.5

A132 5

A132-10 5

A132-100 5

G132 5

G132-1 0 5

G132-100 5

WS1 32 5

WS132-10 5

WS132-100 5

Sample A 5

Analysis

Samples were analyzed for ethanol concentration (Tables 47, 48, and 49) using the YSI Biochem Analyzer based on the alcohol dehydrogenase assay (YSI,

Interscience). Samples were centrifuged at 14,000 rpm for 20 minutes and the supernatant stored at -20 °C. The samples were diluted to between 0-3.2 g/L ethanol prior to analysis. A standard of 2.0 g/L ethanol was analyzed approximately every 30 samples to ensure the integrity of the membrane was maintained during analysis.

Results Table 47. Results of Control Flasks

Table 48. Results of Shake Flasks without Accellerase® 1000 Enzyme Complex

Table 49. Results of Shake Flasks with Accellerase® 1000 Enzyme Complex

Sample Number Ethanol Concentration (g/L)

24 hours 36 hours 48 hours 96 hours

P132 7.04 8.72 9.30 5.80

P132-10 4.22 4.48 4.49 1.24

P132-100 3.18 4.28 4.70 3.35

A132 2.79 2.91 2.03 4.30

A132-10 3.31 1.62 2.11 2.71

A132-100 2.06 1.92 1.02 1.47

G132 0.87 0.40 0.32 0.44

G132-10 1.38 1.04 0.63 0.07

G132-100 2.21 2.56 2.34 0.12

WS132 1.59 1.47 1.07 0.99

WS132-10 1.92 1.18 0.73 0.23

WS132-100 2.90 3.69 3.39 0.27

Sample A 2.21 2.35 3.39 2.98 Example 29- Cellulase Assay

Summary

Thirteen samples were tested for cellulase susceptibility using an industry cellulase (Accellerase® 1000, Genencor) under optimum conditions of temperature and pH.

Protocol

The protocol is a modification of the REL "Laboratory Analytical Procedure LAP-009 Enzymatic Saccharification of Lignocellulosic Biomass" . A sample of material was added to 10 mL 0.1 M sodium citrate buffer (pH 4.8) and 40 mg/mL tetracycline (to prevent growth of bacteria) in a 50 mL tube in duplicate. The amount of sample added to each tube is listed in Table 50. Some samples were difficult to mix (P132, P132-10, P132-100), so were added at a lower concentration. A positive control of 0.2 grams SolkaFloc 200 F Powdered Cellulose (lot # UA158072, International Fiber

Corporation) and a negative control (no sample) were also included. Enough reverse osmosis ( O) water to bring the volume to a total of 20 mL was added to the tubes. Both the sodium citrate buffer and water were heated to 50 °C prior to use.

Accellerase® 1000 enzyme was added to each tube at a dosage of 0.25 mL per gram of biomass (highest dosage recommended by Genencor). The tubes were incubated at 45° angle at 150 rpm and 50 degrees C (recommended by Genencor) for 72 hours. Samples were taken at 0, 3, 6, 9, 12, 18, 24, 48, and 72 hours (Table 52 and 53), centrifuged at 14,000 rpm for 20 minutes and the supernatant frozen at -20 °C. The glucose concentration in the samples was analyzed using the YSI Biochem Analyzer (Interscience) using the conditions described in Table 51. A glucose standard solution of 2.5 g/L was prepared by dissolving 2.500 grams glucose (Sigma Cat# G7528-5KG, Lot#: 107H0245) in distilled water. Once dissolved, the total volume was brought to 1 L with distilled water in a volumetric flask. The standard was prepared fresh weekly and stored at 4 °C. Table 50. Amount of Each Sample Added

Table 51. YSI Components Used in Shake Flask Study

Component Catalog # Lot #

YSI Glucose Membrane 2365 07D100124

YSI Glucose Buffer 2357 014614A Results

Table 52. Cellulase Assay Results

WS 132-10 0.44 1 .77 2.22 2.60 2.76 2.61 3.15 3.62 3.82

WS132-100 0.70 2.76 3.63 4.59 4.78 5.29 5.96 6.99 7.43

Sample A 0.42 1 .09 1 .34 1 .55 1 .69 1 .66 2.17 2.96 3.71

Negative Control

0.03 0.03 0.01 0.01 0.02 0.01 0.02 0.02 0.02 (no sample)

Positive Control

0.17 2.38 3.65 4.71 5.25 5.98 7.19 9.26 9.86 (SolkaFloc)

Chart 1. Glucose Concentration (Top 4 producers)

0 20 40 60 80

Time (hours)

The amount of cellulose digested in the tube was calculated as follows:

g/mL glucose x 20 mL (volume of sample) x 0.9 (to correct for the water molecule added upon hydrolysis of cellulose)

The percent of the total sample released as glucose (in Table 53 below) was calculated as follows:

g of cellulose digested/g of sample added (see Table 5 for details) * 100 Table 53. Cellulase Assay Results

Example 30- Shake Flask Fermentation Using Pichia stipitis

Summary

Shake flask fermentation using Pichia stipitis was performed using four cellulosic materials having the highest % performance from Table 36.

Protocol

Experiments were run under the parameters outlined in Tables 54-56.

Table 54. Equipment and Frequency of Maintenance

Equipment Manufacturer, Name Frequency of Maintenance

Shakers (2) B. Braun Biotech, Certomat BS-1 Quarterly

Spectrophotometer Unicam, UV300 Biannual

YSI Biochem Analyzer Interscience, YSI Monthly Table 55. YSI Components Used in Shake Flask Study

Component Reference # Lot #

YSI Ethanol Membrane 2786 07M100361

YSI Ethanol Standard (3.2 g/L) 2790 1271040

YSI Ethanol Buffer 2787 07J100215

Table 56. Chemicals Used for Shake Flask Fermentation

Seed Development

For all the following shake flask experiments the seed flasks were prepared using the following procedure.

A working cell bank of P. stipitis RRL Y-7124 was prepared from a rehydrated lyophilized culture obtained from ARS Culture Collection. Cryovials containing P. stipitis culture in 15 % v/v glycerol were stored at -75 °C. A portion of the thawed working cell bank material was streaked onto a Yeast Mold (YM) Broth + 20 g/L agar (pH 5.0) and incubated at 30 °C for 2 days. The plates were held for 2 days at 4 °C before use. A 250 mL Erlenmeyer flask containing 100 mL of medium (40 g/L glucose, 1.7 g/L yeast nitrogen base, 2.27 g/L urea, 6.56 g/L peptone, 40 g/L xylose, pH 5.0) was inoculated with one colony and incubated for 24 hours at 25 °C and 100 rpm. After 23 hours of growth, a sample was taken and analyzed for optical density (600 nm in a UV spectrophotometer) and purity (Gram stain). Based on these results, one flask (called the Seed Flask) at an optical density of between 4 and 8 and with a clean Gram stain was used to inoculate all of the test flasks.

Three experiments were run using samples A132-10, A132-100, G132-10, and G132-100. Experiment #1 tested these four samples for ethanol concentration at varying concentrations of xylose and at constant concentrations of glucose. Experiment #2 tested these four samples for ethanol concentration at double the concentration of feedstock used in the experiments of Table 36. Finally, experiment #3 tested these four samples for ethanol concentration while varying both the xylose and the glucose concentrations, simultaneously.

Experiment #1-Varying the Xylose Concentration

Four cellulosic samples (A132-10, A132-100, G132-10, and G132-100) were tested at varying xylose concentrations as listed in Table 57 below.

Table 57. Media Composition of Experiment #1 Flasks

Xylose Concentration Glucose Concentration

Treatment

(g/L) (g/L)

100 % Xylose 40.0 40.0

50 % Xylose 20.0 40.0

25 % Xylose 10.0 40.0

10 % Xylose 4.0 40.0

0 % Xylose 0.0 40.0

The test vessels (a total of 40, 250 mL Erlenmeyer flasks) contained 100 mL of medium. Five different types of media were prepared with the amount of xylose and glucose outlined in Table 57. In addition, the media contained 1.7 g/L yeast nitrogen base (Becton Dickinson # 291940) 2.27 g/L urea (ScholAR Chemistry #9472706) , and 6.56 g/L peptone (Becton Dickinson #211677). All flasks were autoclaved empty at 121 °C and 15 psi and filter sterilized (0.22 μπι filter) media was added to the flasks prior to the addition of the test materials. Flasks were held at room temperature for 4 days and inspected for contamination (cloudiness) prior to use. The test materials were not sterilized, as autoclaving will change the content of the samples and filter sterilization not appropriate for sterilization of solids. The test samples (A132-10, A132-100, G132-10, and G132-100 at 5 g per 100 mL) were added at the time of inoculation (rather than prior to) to reduce the possibility of contamination. In addition to the test samples, 1 mL (1% v/v) of seed flask material was added to each flask. The flasks were incubated at 30 °C and 150 rpm for 72 hours.

Unfortunately, one flask (sample A132-100 with 100% Xylose) was broken during the testing. Therefore, all results past 24 hours of incubation are reported as a single flask. After 72 hours of incubation, 100% of the original amount of cellulosic material (5.0 g) was added to the 100% Xylose flasks (7 flasks in total, one flask containing sample A132-100 was broken) and incubated as above for an additional 48 hours.

Table 58. Addition of Feedstock to 100 % Xylose Flasks at Incubation Time 72 hours

Feedstock Added at 72 hours (grams)

A132-10 5

A132-100 5

G132-10 5

G132-100 5

Analysis

Samples were taken from the 40 test flasks at incubation times of 0, 6, 12, 24, 36, 48, and 72 hours. In addition, samples were taken at 24 and 48 hours post-addition of the second feedstock amount in the 100% Xylose flasks (see Table 58).

A total of 292 samples were analyzed for ethanol concentration using a YSI Biochem Analyzer based on the alcohol dehydrogenase assay (YSI, Interscience).

Samples were centrifuged at 14,000 rpm for 20 minutes and the supernatant stored at -20 °C. Of note, time 0 samples required filtration through a 0.45 μπι syringe filter. The samples will be diluted to between 0-3.2 g/L ethanol prior to analysis. A standard of 2.0 g/L ethanol was analyzed approximately every 30 samples to ensure the integrity of the membrane was maintained.

A total of 47 samples were analyzed for cell count. Samples will be taken at 72 hours incubation and 48 hours post-addition of more cellulosic material. Appropriately diluted samples were mixed with 0.05% Trypan blue and loaded into a Neubauer haemocytometer. The cells were counted under 40 X magnification.

Experiment #2- Analysis of 2 X Feedstock Concentration

The test vessels (a total of 8, 250 mL Erlenmeyer flasks) contained 100 mL of medium. The media contained 40 g/L glucose, 40 g/L xylose, 1.7 g/L yeast nitrogen base (Becton Dickinson # 291940) 2.27 g/L urea (ScholAR Chemistry #9472706) , and 6.56 g/L peptone (Becton Dickinson #211677). Flasks were prepared as in Experiment #1. The test samples (A132-10, A132-100, G132-10, and G132-100 at 10 g per 100 mL) were added at the time of inoculation (rather than prior to) to reduce the possibility of contamination. In addition to the test samples, 1 mL (1% v/v) of seed flask material was added to each flask. The flasks were incubated at 30 °C and 150 rpm above for 72 hours.

Analysis

Samples were from the 8 test flasks at an incubation time of 0, 6, 12, 24, 36, 48, and 72 hours. Ethanol analys3s of the 56 samples were performed as per experiment #1 and are reported in Table 59. A cell count was performed on the 72 hour sample as per experiment #1 and is presented in Table 60.

Table 59. Ethanol Concentration in Flasks with Double Feedstock

Table 60. Cell Concentration at 72 hour Incubation Time in Flasks with Double Feedstock

Sample Cell Concentration ( x 10 /mL)

A132-10 4.06

A132-100 5.37

G132-10 5.18

G132-100 4.47

Experiment #5 '-Varying Xylose and Glucose Concentrations

Four cellulosic samples (A132-10, A132-100, G132-10, and G132-100) were tested at varying xylose and glucose concentrations as listed in the table below (Table 60). Table 61. Media Composition of Experiment #3 Flasks

Xylose Concentration Glucose Concentration

Treatment

(g/L) (g/L)

50 % Sugar 20.0 20.0

25 % Sugar 10.0 10.0

10 % Sugar 4.0 4.0

0 % Sugar 0.0 0

The test vessels (a total of 32, 250 mL Erlenmeyer flasks) contained 100 mL of medium. Four different types of media were prepared with the amount of xylose and glucose outlined in Table 61. In addition, the media contained 1.7 g/L yeast nitrogen base (Becton Dickinson # 291940) 2.27 g/L urea (ScholAR Chemistry #9472706) , and 6.56 g/L peptone (Becton Dickinson #211677). The flasks were prepared as per

Experiment #1. The test samples (A132-10, A132-100, G132-10, and G132-100) were added at the time of inoculation (rather than prior to) to reduce the possibility of contamination. In addition to the test samples, 1 mL (1% v/v) of seed flask material was added to each flask. The flasks were incubated at 30 °C and 150 rpm for 72 hours.

Analysis

Samples were taken from the 32 test flasks at an incubation time of 0, 6, 12, 24, 36, 48, and 72 hours (see Tables 62-65). A total of 224 samples were analyzed for ethanol concentration using the YSI Biochem Analyzer based on the alcohol

dehydrogenase assay (YSI, Interscience). Samples were centrifuged at 14,000 rpm for 20 minutes and the supernatant stored at -20 °C. Of note, some of the samples required centrifugation and then filtration through a 0.45 μπι syringe filter. The samples were diluted to between 0-3.2 g/L ethanol prior to analysis. A standard of 2.0 g/L ethanol was analyzed approximately every 30 samples to ensure the integrity of the YSI membrane was maintained.

Table 62. Ethanol Results Sample A132-10

* Analysis from experiment #3.

Table 63. Ethanol Results Sample A132-100

Analysis from experiment #3.

All results based on analysis of one flask. Table 64. Ethanol Results Sample G132-10

* Analysis from experiment #3.

5 Table 65. Ethanol Results Sample G132-100

* Analysis from experiment #3.

Samples were taken at 72 hours incubation for cell counts (see Tables 66-67). 10 Appropriately diluted samples were mixed with 0.05% Trypan blue and loaded into a Neubauer haemocytometer. The cells were counted under 40 X magnification.

Results One seed flask was used to inoculate all Experiment #1 and #2 test flasks. The optical density (600 nm) of the seed flask was measured to be 5.14 and the cell concentration was 4.65 x 10 ⁸ cells/mL (Tables 65-66). Therefore, the initial

concentration of cells in the test flasks was approximately 4.65 x 10 ^s cells/mL.

5 A second seed flask was used to inoculate Experiment #3 flasks. The optical density (600 nm) of the seed flask was 5.78 and the cell concentration was 3.75 x 10 ⁸ cells/mL. Therefore, the initial concentration of cells in the test flasks was approximately 3.75 x 10 ⁶ cells/mL. 0 Table 66. Cell Counts at Incubation Time of 72 hours

* Samples were heavily contaminated after 72 hours of growth. This is expected because the Pichia did not grow well without sugar added, and contaminants (from the non-sterile samples) were able to out-grow the Pichia. 5 Table 67. Cell Counts at Incubation Time of 48 hours Post-Addition (100 % Xylose and Glucose)

Sample Cell Concentration ( x 10 ml_)

A132-10 10.17

A132-100 3.38

G132-10 3.94

G132-100 6.53 0 Example 31 - Toxicity Testing of Lignocellulosic Samples against P. stipitis and S.

cerevisiae

Summary

Thirty-seven samples were analyzed for toxicity against two ethanol-producing cultures, Saccharomyces cerevesiae and Pichia stipitis. In this study, glucose was added to the samples in order to distinguish between starvation of the cultures and toxicity of the samples.

Table 68. Conditions for Toxicity Testing

Protocol

A summary of the protocol used is listed in Table 68. A description of the chemicals used in toxicity testing is listed in Table 69. Two control flasks (no sample added) were performed for each microorganism for each week of testing. A total of 82 flasks were analyzed.

During the experiments, no ethanol or cells appeared in the P. stipitis flasks containing samples C, C-le, C-5e, and C-lOe in the first 24 hours of incubation. In order to confirm the results, the test was repeated. The second test confirmed some inhibition of P. stipitis growth when samples C, C1E, C5E, and CIOE were added to the flasks.

Table 69. Chemicals and Materials Used for Toxicity Testing

Table 70. YSI Components Used in Toxicity Study

Component Catalogue #

YSI Ethanol Membrane 2786

YSI Ethanol Standard (3.2 g/L) 2790

YSI Ethanol Buffer 2787

Test Samples

Seven test samples (all with the C designation) were ground using a coffee grinder suitable for small samples. The samples were ground to a consistent particle size (between samples) with the naked eye. Sample number C-lOOe ground easily to a small particle size.

All samples were added to the flasks at a concentration of 50 grams per liter with the exception of the six P samples (25 grams per liter). These samples were white to off- white in color and visually fluffy and the flasks would not mix properly (not enough free liquid) at the 50 grams per liter concentration. Samples S dissolved easily and could in the future be added to the flasks at a higher concentration. Samples A and G could be added at 100 grams per liter in the future.

Testing was performed using the two microorganisms as described below.

Saccharomyces cerevisiae ATCC 24858 (American Type Culture Collection)

A working cell bank of S. cerevisiae ATCC 24858 was prepared from a rehydrated lyophilized culture obtained from American Type Culture Collection.

Cryovials containing S. cerevisiae culture in 15 % v/v glycerol are stored at -75 °C. A portion of the thawed working cell bank material will be streaked onto a Yeast Mold (YM) Broth + 20 g/L agar (pH 5.0) and incubated at 30 °C for 2 days. A 250 mL Erlenmeyer flask containing 50 mL of medium (20 g/L glucose, 3 g/L yeast extract, and 5.0 g/L peptone, pH 5.0) was inoculated with one colony from the YM plate and incubated for 24 hours at 25 °C and 200 rpm. After 23 hours of growth, a sample was taken and analyzed for optical density (600 nm in a UV spectrophotometer) and purity (Gram stain). Based on these results, one flask (called the Seed Flask) with an OD of 9- 15 and pure Gram stain was to be used for inoculating the growth flasks. After 23 hours of growth, the seed flask had a low OD (5.14) and cell count (1.35 x 10 ⁸ cells/mL). Of note, the colony taken from the seed plate was smaller than usual. Therefore, 0.5 mL of seed material (as opposed to the planned 0.1 mL) was added to each test vessel.

The test vessels were 500 mL Erlenmeyer flasks containing 100 mL of the sterile medium described above. All flasks were autoclaved at 121 °C and 15 psi prior to the addition of the test materials. The test materials were not sterilized, as autoclaving would change the content of the samples. The test samples were added at the time of inoculation (rather than prior to) to reduce the possibility of contamination. In addition to the test samples, 0.5 -1.0 mL (0.5-1.0% v/v) of seed flask material was added to each flask. The flasks were incubated as described above for 72 hours.

Pichia stipitis (ARS Culture Collection)

A working cell bank of P. stipitis RRL Y-7124 was prepared from a rehydrated lyophilized culture obtained from ARS Culture Collection. Cryovials containing P. stipitis culture in 15 % v/v glycerol are stored at -75 °C. A portion of the thawed working cell bank material was streaked onto a Yeast Mold (YM) Broth + 20 g/L agar (pH 5.0) and incubated at 30 °C for 2 days. The plates were held for up to 5 days at 4 °C before use. A 250 mL Erlenmeyer flask containing 100 mL of medium (40 g/L glucose, 1.7 g/L yeast nitrogen base, 2.27 g/L urea, 6.56 g/L peptone, 40 g/L xylose, pH 5.0) was inoculated with one colony and incubated for 24 hours at 25 °C and 125 rpm. After 23 hours of growth, a sample was taken and analyzed for optical density (600 nm in a UV spectrophotometer) and purity (Gram stain). Based on these results, one flask (called the Seed Flask) at an optical density of 5-9 and with a pure Gram Stain was used to inoculate all of the test flasks. The test vessels were 250 mL Erlenmeyer flasks containing 100 mL of the sterile medium described above. All flasks were autoclaved empty at 121 °C and 15 psi and filter sterilized (0.22 μπι filter) medium added to the flasks prior to the addition of the test materials. The test materials were not sterilized, as autoclaving would change the content of the samples and filter sterilization not appropriate for sterilization of solids. The test samples were added at the time of inoculation (rather than prior to) to reduce the possibility of contamination. In addition to the test samples, 1 mL (1% v/v) of seed flask material was added to each flask. The flasks were incubated as described above for 72 hours.

Analysis

Samples were taken from seed flasks just prior to inoculation and each test flask at 24 and 72 hours and analyzed for cell concentration using direct counts. Appropriately diluted samples of S. cerevisiae and ⁵ . stipitis were mixed with 0.05% Trypan blue, loaded into a Neubauer haemocytometer. The cells were counted under 40 X

magnification.

Samples were taken from each flask at 0, 6, 12, 24, 36, 48 and 72 hours and analyzed for ethanol concentration using the YSI Biochem Analyzer based on the alcohol dehydrogenase assay (YSI, Interscience). Samples were centrifuged at 14,000 rpm for 20 minutes and the supernatant stored at -20 °C. The samples will be diluted to 0-3.2 g/L ethanol prior to analysis. A standard of 2.0 g/L ethanol was analyzed approximately every 30 samples to ensure the integrity of the membrane was maintained during analysis. Calculations

The following calculations were used to compare the cell counts and ethanol concentration to the control flasks.

% performance = (concentration of ethanol in test flask/ethanol in control)* 100% cells = (number of cells in test flask/number of cells in control flask)* 100 Results

The S. cerevisiae seed flask had an optical density (600 nm) of 5.14 and a cell concentration of 1.35 x 10 ⁸ cells/mL. One half mL of seed flask material was added to each of the test flasks. Therefore, the starting cell concentration in each flask was 6.75 x 10 ⁵ /mL. During the second week of testing, the S. cerevisiae seed flask had an optical density (600 nm) of 4.87 and a cell concentration of 3.15 x 10 ⁷ cells/mL. One mL of seed flask material was added to each of the test flasks. Therefore, the starting cell concentration in each flask was 6.30 x 10 ⁵ /mL. The pH of the S. cerevisiae flasks at a sample time of 0 hours is presented in Table 71. The pH of the flask contents was within the optimal pH for S. cerevisiae growth (pH 4-6). No pH adjustment was required.

Table 71. pH of S. cerevisiae flasks at sample time 0 hours

* "S" refers to sucrose

"C" refers to corn

"ST" refers to starch The ethanol concentration and performance in the S. cerevisiae flasks are presented in Table 72 and 73. The highest ethanol concentrations were produced by the S series.

Table 72. Ethanol Concentration in S. cerevisiae flasks

Sample Ethanol Concentration (g/L) at the following times (hours)

analyzed week 2 See Table 72 for Sample Number key

Table 73. Performance in S. cerevisiae flasks

* analyzed week 2 The cell concentration and % cells in the S. cerevisiae flasks are presented in Table 74. High cell counts were observed in all flasks; however, not all of the cells appear to be making ethanol.

Table 74. S cerevisiae Cell Counts and % Cells

Cell Count % Cells

Sample Number (cells x10 ⁸ /ml_) (count/ count control) *100

24 hours 72 hours 24 hours 72 hours

P 0.62 0.96 97.7 139.0

P1E 0.35 1.18 54.1 170.9

P5E 1.13 1.93 177.3 279.5

P10E 0.59 1.42 91.8 205.6

P50E 0.32 1.40 49.4 202.8

P100E 0.45 1.94 70.6 281.0

G 0.74 3.48 116.5 504.0

G1E 0.68 3.65 107.1 528.6

G5E 0.62 3.87 96.5 560.5

G10E 0.70 2.73 109.5 395.4

G50E 0.46 2.10 71.8 304.1

A 0.55 3.53 86.0 511.2

A1E 0.83 3.45 130.7 499.6

A5E 0.67 3.53 104.8 511.2

A10E 0.53 1.95 83.6 282.4

A50E 0.66 1.62 103.5 234.6

S 0.44 1.11 69.5 160.8

S1E 0.44 1.10 68.2 159.3

S5E 0.23 0.99 36.5 143.4

S10E 0.39 0.73 61.2 105.4

S30E 0.31 0.71 48.3 102.1

S50E* 0.44 0.90 86.5 196.5

S100E 0.53 0.84 82.4 121.7

C 0.45 1.81 70.6 262.1

C1E 0.71 2.40 110.6 347.6

C5E 0.53 2.33 83.6 337.4

C10E 0.77 1.55 120.0 224.5

C30E 0.75 1.80 117.6 260.7

C50E 0.64 1.70 100.1 246.2

C100E 0.81 1.51 127.1 218.7

ST 0.75 1.75 117.6 253.4

ST1E 0.57 1.36 89.4 197.0

ST5E 0.58 1.49 90.7 215.8

ST10E 0.61 1.32 95.4 191.2

ST30E 0.59 0.60 91.8 86.9

ST50E 0.59 1.30 91.8 188.3

ST100E 0.41 1.24 63.5 179.6 control A 0.81 0.79 127.1 114.1 control B 0.47 0.59 72.9 85.9 control A* 0.66 0.42 131.2 91.7 control B* 0.35 0.50 69.0 108.1 The P. stipitis seed flask had an optical density (600 nm) of 5.01 and a cell concentration of 3.30 x 10 ⁸ cells/mL. One mL of seed flask material was added to each of the test flasks. Therefore, the starting cell concentration in each flask was 3.30 x 10 ⁶ /mL. During the second week of testing, the P. stipitis seed flask had an optical density (600 nm) of 5.45 and a cell concentration of 3.83 x 10 ⁸ cells/mL. One mL of seed flask material was added to each of the test flasks. Therefore, the starting cell concentration in each flask was 3.83 x 10 ⁶ /mL. The pH of the P. stipitis flasks at a sample time of 0 hours is presented in Table 75. The pH of the flask contents was within the optimal pH for ⁵ , stipitis growth (pH 4-7). No pH adjustment was required.

Table 75. pH of P. stipitis Flasks at Sample Time 0 Hours

The ethanol concentration and performance in the P. stipitis flasks are presented in Table 76 and 77. The highest ethanol concentrations were the G and A series. Flasks C-30e, C-50e, and C-lOOe also contained high concentrations of ethanol. The cell concentration and % cells in the P. stipitis flasks are presented in Table 78. Low cell concentrations were observed in the flasks with the S designations. Low cell counts were also observed in flasks containing samples C, CIE, C5E, and CIOE at the 24 hour sample time.

Table 76. Ethanol concentration in P. stipitis flasks

Sample Ethanol Concentration (g/L) at the following times (hours)

analyzed week 2 Table 77. Performance in P. stipitis flasks

analyzed in week 2

Table 78. P. stipitis Cell Counts and % Cells Cell Count % Cells

Sample Number (cells x10 ⁸ /ml_) (count/ count control) *100

24 hours 72 hours 24 hours 72 hours

P 2.78 11.00 80.6 148.0

P1E 2.10 7.20 60.9 96.9

P5E 2.93 9.68 84.9 130.3

P10E 1.42 7.73 41.2 104.0

P50E 0.33 8.63 9.6 116.2

P100E 1.58 8.25 45.8 111.0

G 1.50 14.20 43.5 191.1

G1E 3.90 8.10 113.0 109.0

G5E 2.93 6.45 84.9 86.8

G10E 4.35 13.30 126.1 179.0

G50E 3.75 11.60 108.7 156.1

A 7.43 8.55 215.4 115.1

A1E 4.13 9.53 119.7 128.3

A5E 3.68 9.75 106.7 131.2

A10E 4.50 7.50 130.4 100.9

A50E 6.23 5.33 180.6 71.7

S 3.53 5.55 102.3 74.7

S1E 3.00 3.30 87.0 44.4

S5E 3.68 3.00 106.7 40.4

S10E 1.73 5.78 50.1 77.8

S30E 2.55 5.48 73.9 73.8

S50E 2.63 6.15 76.2 82.8

S100E 2.25 4.43 65.2 59.6

C* 0.00 0.26 0.00 7.2

C1E* 0.00 0.36 0.00 9.9

C5E* 0.00 0.08 0.00 2.1

C10E* 0.00 5.85 0.00 160.7

C30E 5.78 4.20 167.5 56.5

C50E 3.40 7.35 98.6 98.9

C100E 1.98 6.60 57.4 88.8

ST 2.55 7.65 73.9 103.0

ST1E 2.00 8.70 58.0 117.1

ST5E 1.85 6.75 53.6 90.8

ST10E 1.83 5.40 53.0 72.7

ST30E 2.78 6.15 80.6 82.8

ST50E 1.33 3.45 38.6 46.4

ST100E* 4.35 3.83 59.8 105.2 control A 3.60 7.13 104.3 96.0 control B 3.30 7.73 95.7 104.0 control A* 7.50 3.23 103.0 88.7 control B* 7.05 4.05 96.8 111.3

* analyzed week 2 Cell Toxicity Results Summary

Zymomonas mobilis

As shown in Chart 1 A, elevated cell numbers (e.g., greater than the control) were observed in samples containing P-132-10, G-132-10, and WS-132-10 at the 24 hour time point. Cell numbers in the presence of all other samples were comparable to the control. This observation indicates that the substrates were not toxic towards Z. mobilis for up to 24 hours after seeding.

At the 36 hour time point, a decrease in cell numbers (e.g., due to a loss of cells or cell death) was observed for all samples, including the control. The greatest decrease in cell numbers was observed for those samples containing P-132-10, G-132-10. The likely cause of this effect is common to all samples, including the control. Thus, the cause of this effect is not the test substrates, as these vary in each sample, and are not present in the control. Possible explanations for this observation include inappropriate culture conditions (e.g., temperature, media compositions), or ethanol concentrations in the sample.

Chart 1A. Cell Concentrations for Z. mobilis

1 24 hr □ 36 hr

As shown in Chart IB, all cells produced comparable amounts of ethanol (e.g., 5- 10 g/L) at each time point, irrespective of the substrate. Consistent with the cell number data presented in Chart 1 A, ethanol concentration in each sample peaked at the 24 hour time point. In contrast to the cell number data, ethanol concentration did not decrease at subsequent time points. This was expected as ethanol was not removed from the system. In addition, this data suggests that ethanol production in these samples may have resulted from fermentation of glucose in the culture media. None of the substrates tested appeared to increase ethanol production.

Chart IB. Ethanol Concentrations for Z. mobilis

I Ζ 24 Etoh (g/L) □ Ζ 30 Etoh (g/L) I Z 36 Etoh (g/L)

Together, Charts 1 A and IB suggest that ethanol concentrations above about 6 g/L may be toxic to Z mobilis. This data is also presented as a percentage normalized against the control, as shown in Chart 1C.

Chart 1C. % Growth and Ethanol Production for Z. mobilis

111

Cells 24 hr □ Etoh 24 hr I Cells 36 hr 0 Etoh 36 hr

Pichia stipitis

As shown in Chart 2 A, cell numbers were comparable to the control.

Furthermore, although slightly reduced cell numbers were present in samples containing G-132 and WS-132, reduced cell numbers were not observed for G-132-10, G-132-100, A-132-10, or A-132-100. Thus, it is unlikely that substrates G or A are toxic. Rather, the reduced cell numbers observed for G-132 and WS-132 are likely to have been caused by an experimental anomaly or by the presence of unprocessed substrate somehow impeding cell growth. Overall, this data suggests that glucose present in the control and experimental samples is likely to be sufficient to promote optimal P. stipitis growth, and that the presence of an additional substrate in the sample does not increase this growth rate. These results also suggest that none of the samples are toxic in P. stipitis.

Chart 2A. Cell concentrations for P. stipitis

As shown in Chart 2B, despite the similar cell numbers reported in Chart 2B, greatly increased ethanol production was observed in all samples containing an experimental substrate. Ethanol concentrations increased over time for each of the three time points tested. The highest concentration of ethanol was observed for A-132-10 at the 48 hour time point (e.g., approximately 26.0 g/L). By comparing the substrate concentrations with the highest levels of ethanol production with the cell number data presented in Chart 2B, it can be seen that P. stipitis do not appear to be sensitive to increasing ethanol concentrations. Furthermore, ethanol production does not appear to be related to cell number, but rather appears to be related to the type of substrate present in the sample.

Chart 2B. Ethanol Concentrations for P. stipitis

Together, the results presented in Charts 2A and 2B suggest that the experimental substrates do not promote increased P. stipitis growth, however, they greatly increase the amount of ethanol produced by this cell type. This data is also presented as a percentage normalized against the control, as shown in Chart 2C.

Chart 2C. % Growth and Ethanol Production for P. stipitis

Saccharomyces cerevisiae

As shown in Chart 3A, G-132-100, A-132, A-132-10, A-132-100, and WS-132 promoted slightly elevated cell numbers compared to the control. No significant reductions in cell number were observed for any sample. These results suggest that none of the samples are toxic in S. cerevisiae.

Chart 3A. Cell Concentrations for S. cerevisiae

■ 24 hr□ 36 hr

As shown in Chart 3B, increased ethanol production was observed in cells treated with each cell type compared to the control. Comparison of those samples containing the highest amount of ethanol with the cell number data presented in Chart 3 A suggests that ethanol concentrations in excess of 5 g/L may have had an adverse effect on cell numbers. However, this observation is not the case for all samples.

Chart 3B. Ethanol Concentrations for S. cerevisiae

This data is also presented as a percentage normalized against the control, as shown in Chart 3C.

Chart 3C. % Growth and Ethanol Production for S. cerevisiae

■ Cells 24 hr□ Etoh 24 hr Cells 36 hr Ξ Etoh 36 hr

In conclusion, none of the samples tested appeared to be toxic in Z. mobilis, P. stipitis, or S. cerevisiae. Furthermore, P. stipitis appeared to be the most efficient of the three cell types for producing ethanol from the experimental substrates tested.

Example 32 - Alcohol Production Using Irradiation-Sonication Pretreatment

The optimum size for biomass conversion plants is affected by factors including economies of scale and the type and availability of biomass used as feedstock. Increasing plant size tends to increase economies of scale associated with plant processes. However, increasing plant size also tends to increase the costs (e.g., transportation costs) per unit of biomass feedstock. Studies analyzing these factors suggest that the appropriate size for biomass conversion plants can range from 2000 to 10,000 dried tons of biomass feedstock per day. The plant described below is sized to process 2000 tons of dry biomass feedstock per day.

FIG. 39 shows a process schematic of a biomass conversion system configured to process switchgrass. The feed preparation subsystem processes raw biomass feedstock to remove foreign objects and provide consistently sized particles for further processing. The pretreatment subsystem changes the molecular structure (e.g., reduces the average molecular weight and the crystallinity) of the biomass feedstock by irradiating the biomass feedstock, mixing the irradiated the biomass feedstock with water to form a slurry, and applying ultrasonic energy to the slurry. The irradiation and soni cation convert the cellulosic and lignocellulosic components of the biomass feedstock into fermentable materials. The primary process subsystem ferments the glucose and other low weight sugars present after pretreatment to form alcohols.

Feed preparation

The selected design feed rate for the plant is 2,000 dry tons per day of switchgrass biomass. The design feed is chopped and/or sheared switchgrass.

Biomass feedstock, in the form of bales of switchgrass, is received by the plant on truck trailers. As the trucks are received, they are weighed and unloaded by forklifts.

Some bales are sent to on-site storage while others are taken directly to the conveyors.

From there, the bales are conveyed to an automatic unwrapping system that cuts away the plastic wrapping and/or net surrounding the bales. The biomass feedstock is then conveyed past a magnetic separator to remove tramp metal, after which it is introduced to shredder- shearer trains where the material is reduced in size. Finally, the biomass feedstock is conveyed to the pretreatment subsystem.

In some cases, the switchgrass bales are wrapped with plastic net to ensure they don't break apart when handled, and may also be wrapped in plastic film to protect the bale from weather. The bales are either square or round. The bales are received at the plant from off-site storage on large truck trailers.

Since switchgrass is only seasonally available, long-term storage is required to provide feed to the plant year-round. Long-term storage will likely consist of 400-500 acres of uncovered piled rows of bales at a location (or multiple locations) reasonably close to the ethanol plant. On-site short-term storage is provided equivalent to 72 hours of production at an outside storage area. Bales and surrounding access ways as well as the transport conveyors will be on a concrete slab. A concrete slab is used because of the volume of traffic required to deliver the large amount of biomass feedstock required. A concrete slab will minimize the amount of standing water in the storage area, as well as reduce the biomass feedstock's exposure to dirt. The stored material provides a short- term supply for weekends, holidays, and when normal direct delivery of material into the process is interrupted.

The bales are off-loaded by forklifts and are placed directly onto bale transport conveyors or in the short-term storage area. Bales are also reclaimed from short-term storage by forklifts and loaded onto the bale transport conveyors.

Bales travel to one of two bale unwrapping stations. Unwrapped bales are broken up using a spreader bar and then discharged onto a conveyor, which passes a magnetic separator to remove metal prior to shredding. A tramp iron magnet is provided to catch stray magnetic metal and a scalping screen removes gross oversize and foreign material ahead of multiple shredder- shearer trains, which reduce the biomass feedstock to the proper size for pretreatment. The shredder- shearer trains include shredders and rotary knife cutters. The shredders reduce the size of the raw biomass feedstock and feed the resulting material to the rotary knife cutters. The rotary knife cutters concurrently shear the biomass feedstock and screen the resulting material.

Three storage silos are provided to limit overall system downtime due to required maintenance on and/or breakdowns of feed preparation subsystem equipment. Each silo can hold approximately 55,000 cubic feet of biomass feedstock (~3 hours of plant operation).

Pretreatment

A conveyor belt carries the biomass feedstock from the feed preparation subsystem 110 to the pretreatment subsystem 114. As shown in FIG. 40, in the pretreatment subsystem 114, the biomass feedstock is irradiated using electron beam emitters, mixed with water to form a slurry, and subjected to the application of ultrasonic energy. As discussed above, irradiation of the biomass feedstock changes the molecular structure (e.g., reduces the average molecular weight and the crystallinity) of the biomass feedstock. Mixing the irradiated biomass feedstock into a slurry and applying ultrasonic energy to the slurry further changes the molecular structure of the biomass feedstock.

Application of the radiation and sonication in sequence may have synergistic effects in that the combination of techniques appears to achieve greater changes to the molecular structure (e.g., reduces the average molecular weight and the crystallinity) than either technique can efficiently achieve on its own. Without wishing to be bound by theory, in addition to reducing the polymerization of the biomass feedstock by breaking

intramolecular bonds between segments of cellulosic and lignocellulosic components of the biomass feedstock, the irradiation may make the overall physical structure of the biomass feedstock more brittle. After the brittle biomass feedstock is mixed into a slurry, the application of ultrasonic energy further changes the molecular structure (e.g., reduces the average molecular weight and the crystallinity) and also can reduce the size of biomass feedstock particles.

Electron Beam Irradiation

The conveyor belt 491 carrying the biomass feedstock into the pretreatment subsystem distributes the biomass feedstock into multiple feed streams (e.g., 50 feed streams) each leading to separate electron beam emitters 492. In this embodiment, the biomass feedstock is irradiated while it is dry. Each feed stream is carried on a separate conveyor belt to an associated electron beam emitter. Each irradiation feed conveyor belt can be approximately one meter wide. Before reaching the electron beam emitter, a localized vibration is induced in each conveyor belt to evenly distribute the dry biomass feedstock over the cross-sectional width of the conveyor belt.

Electron beam emitter 492 (e.g., electron beam irradiation devices commercially available from Titan Corporation, San Diego, CA) are configured to apply a 100 kilo- Gray dose of electrons applied at a power of 300 kW. The electron beam emitters are scanning beam devices with a sweep width of 1 meter to correspond to the width of the conveyor belt. In some embodiments, electron beam emitters with large, fixed beam widths are used. Factors including belt/beam width, desired dose, biomass feedstock density, and power applied govern the number of electron beam emitters required for the plant to process 2,000 tons per day of dry feed. Sonication

The irradiated biomass feedstock is mixed with water to form a slurry before ultrasonic energy is applied. There can be a separate sonication system associated with each electron beam feed stream or several electron beam streams can be aggregated as feed for a single sonication system.

In each sonication system, the irradiated biomass feedstock is fed into a reservoir

1214 through a first intake 1232 and water is fed into the reservoir 1214 through second intake 1234. Appropriate valves (manual or automated) control the flow of biomass feedstock and the flow of water to produce a desired ratio of biomass feedstock to water (e.g., 10% cellulosic material, weight by volume). Each reservoir 1214 includes a mixer 1240 to agitate the contents of volume 1236 and disperse biomass feedstock throughout the water.

In each sonication system, the slurry is pumped (e.g., using a recessed impeller vortex pump 1218) from reservoir 1214 to and through a flow cell 1224 including an ultrasonic transducer 1226. In some embodiments, pump 1218 is configured to agitate the slurry 1216 such that the mixture of biomass feedstock and water is substantially uniform at inlet 1220 of the flow cell 1224. For example, the pump 1218 can agitate the slurry 1216 to create a turbulent flow that persists throughout the piping between the first pump and inlet 1220 of flow cell 1224.

Within the flow cell 1224, ultrasonic transducer 1226 transmits ultrasonic energy into slurry 1216 as the slurry flows through flow cell 1224. Ultrasonic transducer 1226 converts electrical energy into high frequency mechanical energy (e.g., ultrasonic energy), which is then delivered to the slurry through booster 48. Ultrasonic transducers are commercially available (e.g., from Hielscher USA, Inc. of Ringwood, New Jersey) that are capable of delivering a continuous power of 16 kilowatts.

The ultrasonic energy traveling through booster 1248 in reactor volume 1244 creates a series of compressions and rarefactions in process stream 1216 with an intensity sufficient to create cavitation in process stream 1216. Cavitation disaggregates components of the biomass feedstock including, for example, cellulosic and

lignocellulosic material dispersed in process stream 1216 (e.g., slurry). Cavitation also produces free radicals in the water of process stream 1216 (e.g., slurry). These free radicals act to further break down the cellulosic material in process stream 1216. In general, about 250 MJ/m ³ of ultrasonic energy is applied to process stream 1216 containing fragments of poplar chips. Other levels of ultrasonic energy (between about 5 and about 4000 MJ/m ³ , e.g., 10, 25, 50, 100, 250, 500, 750, 1000, 2000, or 3000) can be applied to other biomass feedstocks After exposure to ultrasonic energy in reactor volume 1244, process stream 1216 exits flow cell 24 through outlet 1222. Flow cell 1224 also includes a heat exchanger 1246 in thermal communication with at least a portion of reactor volume 1244. Cooling fluid 1248 (e.g., water) flows into heat exchanger 1246 and absorbs heat generated when process stream 1216 (e.g., slurry) is sonicated in reactor volume 1244. In some embodiments, the flow of cooling fluid 1248 into heat exchanger 1246 is controlled to maintain an approximately constant temperature in reactor volume 1244. In addition or in the alternative, the temperature of cooling fluid 1248 flowing into heat exchanger 1246 is controlled to maintain an approximately constant temperature in reactor volume 1244.

The outlet 1242 of flow cell 1224 is arranged near the bottom of reservoir 1214 to induce a gravity feed of process stream 1216 (e.g., slurry) out of reservoir 1214 towards the inlet of a second pump 1230 which pumps process stream 1216 (e.g., slurry) towards the primary process subsystem.

Sonication systems can include a single flow path (as described above) or multiple parallel flow paths each with an associated individual sonication unit. Multiple sonication units can also be arranged to series to increase the amount of sonic energy applied to the slurry.

Primary Processes

A vacuum rotary drum type filter removes solids from the slurry before fermentation. Liquid from the filter is pumped cooled prior to entering the fermentors. Filtered solids are passed to the post-processing subsystem for further processing.

The fermentation tanks are large, low pressure, stainless steel vessels with conical bottoms and slow speed agitators. Multiple first stage fermentation tanks can be arranged in series. The temperature in the first stage fermentation tanks is controlled to 30 degrees centigrade using external heat exchangers. Yeast is added to the first stage fermentation tank at the head of each series of tanks and carries through to the other tanks in the series.

Second stage fermentation consists of two continuous fermentors in series. Both fermentors are continuously agitated with slow speed mechanical mixers. Temperature is controlled with chilled water in external exchangers with continuous recirculation.

Recirculation pumps are of the progressive cavity type because of the high solids concentration. Off gas from the fermentation tanks and fermentors is combined and washed in a counter-current water column before being vented to the atmosphere. The off gas is washed to recover ethanol rather than for air emissions control.

Post-Processing

Distillation

Distillation and molecular sieve adsorption are used to recover ethanol from the raw fermentation beer and produce 99.5% ethanol. Distillation is accomplished in two columns— the first, called the beer column, removes the dissolved C02 and most of the water, and the second concentrates the ethanol to a near azeotropic composition.

All the water from the nearly azeotropic mixture is removed by vapor phase molecular sieve adsorption. Regeneration of the adsorption columns requires that an ethanol water mixture be recycled to distillation for recovery.

Fermentation vents (containing mostly C02, but also some ethanol) as well as the beer column vent are scrubbed in a water scrubber, recovering nearly all of the ethanol. The scrubber effluent is fed to the first distillation column along with the fermentation beer.

The bottoms from the first distillation contain all the unconverted insoluble and dissolved solids. The insoluble solids are dewatered by a pressure filter and sent to a combustor. The liquid from the pressure filter that is not recycled is concentrated in a multiple effect evaporator using waste heat from the distillation. The concentrated syrup from the evaporator is mixed with the solids being sent to the combustor, and the evaporated condensate is used as relatively clean recycle water to the process.

Because the amount of stillage water that can be recycled is limited, an evaporator is included in the process. The total amount of the water from the pressure filter that is directly recycled is set at 25%. Organic salts like ammonium acetate or lactate, steep liquor components not utilized by the organism, or inorganic compounds in the biomass end up in this stream. Recycling too much of this material can result in levels of ionic strength and osmotic pressures that can be detrimental to the fermenting organism's efficiency. For the water that is not recycled, the evaporator concentrates the dissolved solids into a syrup that can be sent to the combustor, minimizing the load to wastewater treatment.

Wastewater Treatment

The wastewater treatment section treats process water for reuse to reduce plant makeup water requirements. Wastewater is initially screened to remove large particles, which are collected in a hopper and sent to a landfill. Screening is followed by anaerobic digestion and aerobic digestion to digest organic matter in the stream. Anaerobic digestion produces a biogas stream that is rich in methane that is fed to the combustor.

Aerobic digestion produces a relatively clean water stream for reuse in the process as well as a sludge that is primarily composed of cell mass. The sludge is also burned in the combustor. This screening / anaerobic digestion / aerobic digestion scheme is standard within the current ethanol industry and facilities in the 1-5 million gallons per day range can be obtained as "off-the-shelf units from vendors.

Combustor, Boiler, and Turbo-generator

The purpose of the combustor, boiler, and turbo-generator subsystem is to burn various by-product streams for steam and electricity generation. For example, some lignin, cellulose, and hemicellulose remains unconverted through the pretreatment and primary processes. The majority of wastewater from the process is concentrated to a syrup high in soluble solids. Anaerobic digestion of the remaining wastewater produces a biogas high in methane. Aerobic digestion produces a small amount of waste biomass (sludge). Burning these by-product streams to generate steam and electricity allows the plant to be self sufficient in energy, reduces solid waste disposal costs, and generates additional revenue through sales of excess electricity.

Three primary fuel streams (post-distillate solids, biogas, and evaporator syrup) are fed to a circulating fluidized bed combustor. The small amount of waste biomass (sludge) from wastewater treatment is also sent to the combustor. A fan moves air into the combustion chamber. Treated water enters the heat exchanger circuit in the combustor and is evaporated and superheated to 510°C (950°F) and 86 atm (1265 psia) steam. Flue gas from the combustor preheats the entering combustion air then enters a baghouse to remove particulates, which are landfilled. The gas is exhausted through a stack. A multistage turbine and generator are used to generate electricity. Steam is extracted from the turbine at three different conditions for injection into the pretreatment reactor and heat exchange in distillation and evaporation. The remaining steam is condensed with cooling water and returned to the boiler feedwater system along with condensate from the various heat exchangers in the process. Treated well water is used as makeup to replace steam used in direct injection.

OTHER EMBODIMENTS

A number of embodiments of the invention have been described. Nevertheless, it will be understood that various modifications may be made without departing from the spirit and scope of the invention.

In some embodiments, relatively low doses of radiation, optionally, combined with acoustic energy, e.g., ultrasound, are utilized to crosslink, graft, or otherwise increase the molecular weight of a natural or synthetic carbohydrate-containing material, such as any of those materials in any form (e.g., fibrous form) described herein, e.g., sheared or un-sheared cellulosic or lignocellulosic materials, such as cellulose. The cross-linking, grafting, or otherwise increasing the molecular weight of the natural or synthetic carbohydrate-containing material can be performed in a controlled and predetermined manner by selecting the type or types of radiation employed (e.g., e-beam and ultraviolet or e-beam and gamma) and/or dose or number of doses of radiation applied. Such a material having increased molecular weight can be useful in making a composite, such as a fiber-resin composite, having improved mechanical properties, such as abrasion resistance, compression strength, fracture resistance, impact strength, bending strength, tensile modulus, flexural modulus and elongation at break. Cross-linking, grafting, or otherwise increasing the molecular weight of a selected material can improve the thermal stability of the material relative to an un-treated material. Increasing the thermal stability of the selected material can allow it to be processed at higher temperatures without degradation. In addition, treating materials with radiation can sterilize the materials, which can reduce their tendency to rot, e.g., while in a composite. The cross-linking, grafting, or otherwise increasing the molecular weight of a natural or synthetic carbohydrate-containing material can be performed in a controlled and predetermined manner for a particular application to provide optimal properties, such as strength, by selecting the type or types of radiation employed and/or dose or doses of radiation applied.

When used, the combination of radiation, e.g., low dose radiation, and acoustic energy, e.g., sonic or ultrasonic energy, can improve material throughput and/or minimize energy usage.

The resin can be any thermoplastic, thermoset, elastomer, adhesive, or mixtures of these resins. Suitable resins include any resin, or mixture of resins described herein.

In addition to the resin alone, the material having the increased molecular weight can be combined, blended, or added to other materials, such as metals, metal alloys, ceramics (e.g., cement), lignin, organic or inorganic additives, elastomers, asphalts, glass, or mixtures of any of these and/or resins. When added to cement, fiber-reinforced cements can be produced having improved mechanical properties, such as the properties described herein, e.g., compression strength and/or fracture resistance.

Cross-linking, grafting, or otherwise increasing the molecular weight of a natural or synthetic carbohydrate-containing material utilizing radiation can provide useful materials in many forms and for many applications. For example, the carbohydrate- containing material can be in the form of a paper product, such as paper, paper pulp, or paper effluent, particle board, glued lumber laminates, e.g., veneer, or plywood, lumber, e.g., pine, poplar, oak, or even balsa wood lumber. Treating paper, particle board, laminates or lumber, can increase their mechanical properties, such as their strength. For example, treating pine lumber with radiation can make a high strength structural material.

When paper is made using radiation, radiation can be utilized at any point in its manufacture. For example, the pulp can be irradiated, a pressed fiber preform can be irradiated, or the finished paper itself can be irradiated. In some embodiments, radiation is applied at more than one point during the manufacturing process.

For example, a fibrous material that includes a first cellulosic and/or

lignocellulosic material having a first molecular weight can be irradiated in a manner to provide a second cellulosic and/or lignocellulosic material having a second molecular weight higher than the first molecular weight. For example, if gamma radiation is utilized as the radiation source, a dose of from about 0.2 Mrad to about 10 Mrad, e.g., from about 0.5 Mrad to about 7.5 Mrad, or from about 2.0 Mrad to about 5.0 Mrad, can be applied. If e-beam radiation is utilized, a smaller dose can be utilized (relative to gamma radiation), such as a dose of from about 0.1 Mrad to about 5 Mrad, e.g., between about 0.2 Mrad to about 3 Mrad, or between about 0.25 Mrad and about 2.5 Mrad. After the relatively low dose of radiation, the second cellulosic and/or lignocellulosic material can be combined with a material, such as a resin, and formed into a composite, e.g., by compression molding, injection molding or extrusion. Forming resin-fiber composites is described in WO 2006/102543. Once composites are formed, they can be irradiated to further increase the molecular weight of the carbohydrate-containing material while in the composite.

Alternatively, a fibrous material that includes a first cellulosic and/or

lignocellulosic material having a first molecular weight can be combined with a material, such as a resin, to provide a composite, and then the composite can be irradiated with a relatively low dose of radiation so as to provide a second cellulosic and/or lignocellulosic material having a second molecular weight higher than the first molecular weight. For example, if gamma radiation is utilized as the radiation source, a dose of from about 1 Mrad to about 10 Mrad can be applied. Using this approach increases the molecular weight of the material while it is with a matrix, such as a resin matrix. In some embodiments, the resin is a cross-linkable resin, and, as such, it crosslinks as the carbohydrate-containing material increases in molecular weight, which can provide a synergistic effect to provide maximum mechanical properties to a composite. For example, such composites can have excellent low temperature performance, e.g., having a reduced tendency to break and/or crack at low temperatures, e.g., temperatures below 0 °C, e.g., below -10 °C, -20 °C, -40 °C, -50 °C, -60 °C or even below -100 °C, and/or excellent performance at high temperatures, e.g., capable of maintaining their advantageous mechanical properties at relatively high temperature, e.g., at temperatures above 100 °C, e.g., above 125 °C, 150 °C, 200 °C, 250 °C, 300 °C, 400 °C, or even above 500 °C. In addition, such composites can have excellent chemical resistance, e.g., resistance to swelling in a solvent, e.g., a hydrocarbon solvent, resistance to chemical attack, e.g., by strong acids, strong bases, strong oxidants (e.g., chlorine or bleach) or reducing agents (e.g., active metals such as sodium and potassium). In some embodiments, the resin, or other matrix material, does not crosslink during irradiation. In some embodiments, additional radiation is applied while the carbohydrate-containing material is within the matrix to further increase the molecular weight of the carbohydrate-containing material. In some embodiments, the radiation causes bonds to form between the matrix and the carbohydrate-containing material.

In some embodiments, the carbohydrate-containing material is in the form of fibers. In such embodiments, when the fibers are utilized in a composite, the fibers can be randomly oriented within the matrix. In other embodiments, the fibers can be substantially oriented, such as in one, two, three or four directions. If desired, the fibers can be continuous or discrete.

Any of the following additives can be added to the fibrous materials, densified fibrous materials, or any other materials and composites described herein. Additives, e.g., in the form of a solid, a liquid or a gas, can be added, e.g., to the combination of a fibrous material and resin. Additives include fillers such as calcium carbonate, graphite, wollastonite, mica, glass, fiber glass, silica, and talc; inorganic flame retardants such as alumina trihydrate or magnesium hydroxide; organic flame retardants such as chlorinated or brominated organic compounds; ground construction waste; ground tire rubber;

carbon fibers; or metal fibers or powders (e.g., aluminum, stainless steel). These additives can reinforce, extend, or change electrical, mechanical or compatibility properties. Other additives include lignin, fragrances, coupling agents, compatibilizers, e.g., maleated polypropylene, processing aids, lubricants, e.g., fluorinated polyethylene, plasticizers, antioxidants, opacifiers, heat stabilizers, colorants, foaming agents, impact modifiers, polymers, e.g., degradable polymers, photostabilizers, biocides, antistatic agents, e.g., stearates or ethoxylated fatty acid amines. Suitable antistatic compounds include conductive carbon blacks, carbon fibers, metal fillers, cationic compounds, e.g., quaternary ammonium compounds, e.g., N-(3-chloro-2-hydroxypropyl)- trimethylammonium chloride, alkanolamides, and amines. Representative degradable polymers include polyhydroxy acids, e.g., polylactides, polyglycolides and copolymers of lactic acid and glycolic acid, poly(hydroxybutyric acid), poly(hydroxyvaleric acid), poly[lactide-co-(e-caprolactone)], poly[glycolide-co-(e-caprolactone)], polycarbonates, poly(amino acids), poly(hydroxyalkanoate)s, polyanhydrides, polyorthoesters and blends of these polymers.

When described additives are included, they can be present in amounts, calculated on a dry weight basis, of from below 1 percent to as high as 80 percent, based on total weight of the fibrous material. More typically, amounts range from between about 0.5 percent to about 50 percent by weight, e.g., 5 percent, 10 percent, 20 percent, 30, percent or more, e.g., 40 percent.

Any additives described herein can be encapsulated, e.g., spray dried or microencapsulated, e.g., to protect the additives from heat or moisture during handling.

The fibrous materials, densified fibrous materials, resins or additives may be dyed. For example, the fibrous material can be dyed before combining with the resin and compounding to form composites. In some embodiments, this dyeing can be helpful in masking or hiding the fibrous material, especially large agglomerations of the fibrous material, in molded or extruded parts, when this is desired. Such large agglomerations, when present in relatively high concentrations, can show up as speckles in the surfaces of the molded or extruded parts.

For example, the desired fibrous material can be dyed using an acid dye, direct dye or a reactive dye. Such dyes are available from Spectra Dyes, Kearny, NJ or Keystone Aniline Corporation, Chicago, IL. Specific examples of dyes include

SPECTRA™ LIGHT YELLOW 2G, SPECTRACID™ YELLOW 4GL CONC 200, SPECTRANYL™ RHOD AMINE 8, SPECTRANYL™ NEUTRAL RED B,

SPECTRAMINE™ BENZOPERPURINE, SPECTRADIAZO™ BLACK OB,

SPECTRAMINE™ TURQUOISE G, and SPECTRAMINE™ GREY LVL 200%, each being available from Spectra Dyes.

In some embodiments, resin color concentrates containing pigments are blended with dyes. When such blends are then compounded with the desired fibrous material, the fibrous material may be dyed in-situ during the compounding. Color concentrates are available from Clariant.

It can be advantageous to add a scent or fragrance to the fibrous materials, densified fibrous or composites. For example, it can be advantageous for the composites smell and/or look like natural wood, e.g., cedar wood. For example, the fragrance, e.g., natural wood fragrance, can be compounded into the resin used to make the composite. In some implementations, the fragrance is compounded directly into the resin as an oil. For example, the oil can be compounded into the resin using a roll mill, e.g., a Banbury ^® mixer or an extruder, e.g., a twin-screw extruder with counter-rotating screws. An example of a Banbury ^® mixer is the F-Series Banbury ^® mixer, manufactured by Farrel. An example of a twin-screw extruder is the WP ZSK 50 MEGAcompunder™, manufactured by Krupp Werner & Pfleiderer. After compounding, the scented resin can be added to the fibrous material and extruded or molded. Alternatively, master batches of fragrance-filled resins are available commercially from International Flavors and

Fragrances, under the trade name Polylff™ or from the RTP Company. In some embodiments, the amount of fragrance in the composite is between about 0.005 % by weight and about 10 % by weight, e.g., between about 0.1 % and about 5 % or 0.25 % and about 2.5 %.

Other natural wood fragrances include evergreen or redwood. Other fragrances include peppermint, cherry, strawberry, peach, lime, spearmint, cinnamon, anise, basil, bergamot, black pepper, camphor, chamomile, citronella, eucalyptus, pine, fir, geranium, ginger, grapefruit, jasmine, juniperberry, lavender, lemon, mandarin, marjoram, musk, myrhh, orange, patchouli, rose, rosemary, sage, sandalwood, tea tree, thyme, wintergreen, ylang ylang, vanilla, new car or mixtures of these fragrances. In some embodiments, the amount of fragrance in the fibrous material-fragrance combination is between about

0.005 % by weight and about 20 % by weight, e.g., between about 0.1 % and about 5 % or 0.25 % and about 2.5 %.

While fibrous materials have been described, such as cellulosic and

lignocellulosic fibrous materials, other fillers may be used for making the composites. For example, inorganic fillers such as calcium carbonate (e.g., precipitated calcium carbonate or natural calcium carbonate), aragonite clay, orthorhombic clays, calcite clay, rhombohedral clays, kaolin, clay, bentonite clay, dicalcium phosphate, tricalcium phosphate, calcium pyrophosphate, insoluble sodium metaphosphate, precipitated calcium carbonate, magnesium orthophosphate, trimagnesium phosphate,

hydroxyapatites, synthetic apatites, alumina, silica xerogel, metal aluminosilicate complexes, sodium aluminum silicates, zirconium silicate, silicon dioxide or combinations of the inorganic additives may be used. The fillers can have, e.g., a particle size of greater than 1 micron, e.g., greater than 2 micron, 5 micron, 10 micron, 25 micron or even greater than 35 microns.

Nanometer scale fillers can also be used alone, or in combination with fibrous materials of any size and/or shape. The fillers can be in the form of, e.g., a particle, a plate or a fiber. For example, nanometer sized clays, silicon and carbon nanotubes, and silicon and carbon nanowires can be used. The filler can have a transverse dimension less than 1000 nm, e.g., less than 900 nm, 800 nm, 750 nm, 600 nm, 500 nm, 350 nm, 300 nm, 250 nm, 200 nm, less than 100 nm, or even less than 50 nm.

In some embodiments, the nano-clay is a montmorillonite. Such clays are available from Nanocor, Inc. and Southern Clay products, and have been described in U.S. Patent Nos. 6,849,680 and 6,737,464. The clays can be surface treated before mixing into, e.g., a resin or a fibrous material. For example, the clay can be surface is treated so that its surface is ionic in nature, e.g., cationic or anionic.

Aggregated or agglomerated nanometer scale fillers, or nanometer scale fillers that are assembled into supramolecular structures, e.g., self-assembled supramolecular structures can also be used. The aggregated or supramolecular fillers can be open or closed in structure, and can have a variety of shapes, e.g., cage, tube or spherical.

Accordingly, other embodiments are within the scope of the following claims.

APPENDIX

CONTENTS

Member Companies 2

Foreword 3

Introduction 4

Starch and the Starch Granule 5

The Corn Wet Milling Process 7

Physicochemical Properties of Starch 10

Commercial Cora Starches 13

Unmodified, regular or common corn starch D

Genetic variations of corn starch 13

Modified starch 15

Acid-modified corn starch 15

Oxidized corn starch 16

Dextrins 17

Cyclodextrins 19

Starch derivatives 20

Pregelatinized starches 23

Bleached starches 23

Status of Starches Under Federal Regulations 24

Shipping and Handling Dry Starches 25

Cooking Procedures for Starches 26

Handling Cooked Starches 29

Enzyme Conversion of Starch 31

Analytical Examination of Starch 33

Glossary 37

FIGURES

1. Layers of starch formed around the hilum 5

2. Shape of six common starch granules 6

3. Corn starch photographed under polarized light 6

4. A kernel of corn 7

5. The corn wet milling process 8

6. Amylose and amylopectin molecules 11

7. Micelle formation in amylose molecules 12

8. Effect of temperature on gelatinization 26

9. Effect of agitation on gelatinization 27

10. Effect of pH on gelatinization 28

Corn Refiners Association

1701 Pennsylvania Avenue, N.W.

Washington, D.C.20006-5805

www.corn.org

Copyright 2006 MEMBER COMPANIES PLANT LOCATIONS

Archer Daniels Midland Company Plants:

P.O. Box 1470 Cedar Rapids, Iowa 52404

Decatur, Illinois 62525 Clinton, Iowa 52732

Columbus, Nebraska 68601

Decatur, Illinois 62525

Marshall, Minnesota 56258-2744

Cargill, Incorporated Plants:

P.O. Box 5662/MS62 Blair, Nebraska 68008-2649

Minneapolis, Minnesota 55440-5662 Cedar Rapids, Iowa 52406-2638

Dayton, Ohio 45413-8001

Decatur, Alabama 35601

Eddyville, Iowa 52553-5000 Hammond, Indiana 46320-1094 Memphis, Tennessee 38113-0368 Wahpeton, North Dakota 58075

Corn Products International, Inc. Plants:

5 Westbrook Corporate Center Bedford Park, Illinois 60501-1933 Westchester, Illinois 60154 Stockton, California 95206-0129

Winton-Salem, North Carolina 27107

National Starch and Chemical Company Plants:

10 Finderne Avenue Indianapolis, Indiana 46221

Bridgewater, New Jersey 08807-0500 North Kansas City, Missouri 64116

Penford Products Co. Plant:

(A company of Penford Corporation) Cedar Rapids, Iowa 52404-2175

P.O. Box 428

Cedar Rapids, Iowa 52406-0428

Roquette America, Inc. Plant:

1417 Exchange Street Keokuk, Iowa 52632-6647

Keokuk, Iowa 52632-6647

Tate & Lyle Ingredients Americas, Inc. Plants:

(A subsidiary of Tate & Lyle, PLC ) Decatur, Illinois 62521

P.O. Box 151 Lafayette, Indiana 47902

Decatur, Illinois 62521 Lafayette, Indiana 47905

Loudon, Tennessee 37774 Each day of the year, in some manner or another, every

American's life is touched by one of our most abundant renewable resources, corn starch. From the clothing we wear

to the food on our table, corn starch is a component of tens

of thousands of manufactured products that define our modern lifestyle.

The use of starch is chronicled in records of the early Egyptians, who manufactured papyrus using a starch coating.

Roman records indicate that those early innovators found

uses for starch in foods, medicine, cosmetics and fabrics. It

was not until the middle of the nineteenth century, however,

that the process for large-scale efficient extraction of starch

from corn was developed. The development and continual

improvement of this process has enabled the corn refining

industry to offer American consumers abundant supplies of

starch tailored to meet the most exacting needs of individual

customers.

Our tenth edition of Corn Starch reviews the chemistry of the

starch granule, describes how corn refiners extract starch

from the corn kernel, how it is treated to produce special

products and reviews handling and analytical procedures for

starches. We hope that you will find this guide useful and

will not hesitate to contact the Corn Refiners Association, if

we can provide you with further information on starch and

its products.

Audrae Erickson

President

Corn Refiners Association

Readers are advised that the information and suggestions contained

herein are general in nature and that specific technical questions

should be referred to the Association or member companies. Questions as to the price and/or avaihbility of the products described

should be directed to individual Association members.

3 The corn plant (Ze mays) is rial supply from which a high-capacity, factory for starch may be produced. efficiently converting large

amounts of radiant energy In 1844, Colgate & Co. built from the sun into stable small corn starch factories at chemical energy. This enJersey City, New Jersey, and ergy is stored as cellulose, Columbus, Ohio. In 1848, oil and starch in the corn the much larger Kingsford plant and in the corn kernel. Cornstarch Plant was built in Oswego, New York. Since The corn plant is also one of that time, starch technology nature's greatest multipliers. has steadily improved and Approximately four months production has increased after planting, a single kernel many-fold. Today, corn of corn weighing about one starch dominates the world's one-hundredth of an ounce industrial and food starch will yield 800 kernels weighmarkets.

ing eight ounces. In comparison to this 800-fold seed mulThis booklet presents a tiplication in corn, wheat brief, simplified description will produce a 50-fold yield of the manufacture of starch per seed planted. by the corn refining (wet milling) process, a summary

By careful genetic control, of the physicochemical propcorn has been developed erties of starch that make it which can grow in the temof such great value to manperate and semi-tropical kind and general informaareas throughout the world. tion about how starch is With annual production of used in food and industrial corn topping 10 billion bushapplications. We hope you els, the United States ranks find this information useful. as the world's largest grower If you wish further informaof corn. Since the corn grain tion on starch, corn or corn averages about 70-72% starch refining, please contact the (dry basis) this enormous Corn Refiners Association quantity of corn provides an or its member companies. almost unlimited raw mate

Starch exists as a major carillustrated in Figure 3,

bohydrate storage product in showing the Maltese cross

all plants containing chloropattern characteristic of

phyll. In the process known these crystal structures,

as photosynthesis, green viewed in aqueous suspenplants extract energy from sion under polarized light.

sunlight to form glucose

from carbon dioxide and The highly structured nature

water. Glucose fuels plant of the starch granule is demgrowth processes and is the onstrated by its great

primary building material strength. After all the pulverfor plant support structures izing, pumping, centrifugal

such as cellulose and hemi- circulation and physical

cellulose. When the plant attrition in the wet phases of

reaches maturity, the reprothe corn wet milling operaduction cycle begins, culmition, followed by drying,

nating in pollination and grinding and mechanical or

formation of the starch- and air transportation of the dry

oil-rich seed embryo. Starch starch, practically all of the

and oil exist in the corn kergranules remain intact.

έ-d-glucopyranose unit nel to supply energy to the Granule integrity also pergerminating seed. Starch is a sists in both modified and

carbohydrate polymer made derivatized starches.

by the linking of glucose

units end-to-end into very- Isolated starch is typically a

long chains, similar to dry, soft, white powder. It is

the stringing together of insoluble in cold water, alcopearls in the making of a hol, ether and most organic

pearl necklace. solvents. Starch, if kept dry,

is stable in storage for indefi¬

Newly-synthesized starch is nite periods. Though starch

layered around a hilum granules are physically dunucleus within the plant cell, rable, they can be disrupted

in structures called granules quite easily. If granules in

(Figure 1). Starch granules water suspension are graduvary in size and shape, charally heated, they begin to

acteristic of specific plant absorb water. The granules

sources. Figure 2 shows the hydrate, increase in size and

comparative sizes and finally lose their structural

shapes of granules from six integrity. This results in loss Figure 1

common starches. Starch of characteristic birefrinLayers of starch formed molecules are oriented gence and opacity, an inaround the hilum within granules in specific crease in viscosity, and the

crystalline patterns. This is eventual formation of a paste

POTATO WHEAT TAPIOCA a O Φ °

RICE CORN SAGO

Figure 2 or gel. This process is reanhydroglucose units joined

Shape of six common ferred to as starch pasting or by an alpha-glucosidic linkstarch granules gelatinization. The temperaage, the aldehyde group of ture at the which gelatinizaone unit being chemically tion of a starch occurs— the bound to a hydroxyl group gelatinization temperature— on the next unit through is dependent upon such hemiacetal linkages. In most factors as starch concentrastarches the alpha- 1,4-linkage tion, pH of the suspension, predominates, with only rate of heating, the presence occasional 1,6-linkages. The of certain salts, and the spe1,4-linkages yield straight cific procedure being folchain starch molecules lowed. Under well-defined called amylose, while the conditions, starches can be 1,6-linkages serve as the classified using gelatinizabranching point in branched- tion temperature as a means chain starch molecules for differentiation. called amylopectin (Figure

6). The proportions of

The properties of the starch these two types of starch granule are dependent upon molecules are established the arrangement of the

genetically and are relatively bonds which link glucose constant for each species of

Figure 3

units to one-another within starch. For example, corn

Corn starch photographed

the starch molecule itself. starch contains 27% of the under polarized light. Note

typical "Maltese cross" The starch molecule is a linear amylose polymer, pattern homopolymer of repeating potato starch 20%, and tapi- oca starch 17%. other reagents. In contrast,

starch derivatives can be

Plant geneticists have made in which the granule

learned to manipulate gewill not gelatinize at all

netic controls in corn and when exposed to the severe

have developed commercial conditions of moist heat

varieties of corn that contain and pressure.

all branched-chain starch

amylopectin molecules are The granular structure of

called waxy maize. At the starch, one of nature's fasciother extreme, a variety connating architectural forms, is

taining as high as 70% a vital element in the flexstraight chain amylose molibility of commercial

ecules is grown commerstarches to fill specific prodcially, and is called high amyuct needs.

lose corn. 82% and higher

amylose hybrids have recently been announced. The

granules of waxy maize gelatinize much like normal Corn kernels have three

corn starch. High amylose main parts: the seed coat or

corn, on the other hand, will pericarp, the starchy ennot gelatinize even in boiling dosperm, and the embryo,

water, but must be pressure commonly called the germ

cooked or hydrated by treat(Figure 4). The pericarp is

ment with dilute sodium the outer skin or hull of the

hydroxide. More detailed kernel which serves to prodiscussion of the effect of tect the seed. The enthese variations in molecular dosperm, the main energy

structure is presented later. reserve, makes up about 80%

of the total weight of the

The inherent properties of kernel. It is about 90% starch

the starch granule can be and 7% gluten protein, with

altered by mild chemical the remainder consisting of

treatment and/ or small amounts of oil, minerderivatization. Oxidation als and trace constituents.

with sodium hypochlorite, The embryonic germ confor example, decreases the tains a miniature plant made

gelatinization point in diup of a root-like portion and

rect proportion to the quanfive or six embryonic leaves.

tity of chemical used. SimiIn addition, large quantities

lar effects are observed of high energy oil are

when starch is derivatized present to feed the tiny plant Figure 4 with ethylene oxide or when it starts to grow, as A kernel of corn along with many substances Incoming corn is cleaned to required during germination remove extraneous material and early development. such as pieces of cob, foreign seeds, stray metal, and fine

The corn wet milling progrit. It then is conveyed to cess is illustrated in Figure 5, storage silos, holding up to in which the kernel is sepa350,000 bushels, until ready rated into its component to go to the refinery.

parts, and those parts are

then further subdivided and Cleaned corn is transported refined. to large tanks called steeps.

Warm water (125°-130°F)

Corn wet millers buy containing small quantities shelled corn that is delivered of dissolved sulfur dioxide is to the plant by truck, barge circulated through the steeps or rail car. Normally #2 for approximately 24-48 grade corn is purchased, hours to soften the kernel.

Figure 5 based on USDA standards. Sulfur dioxide and water

The corn wet milling

process t Shelled Corn

Corn Cleaners

m Hydroclone

Steep Tanks Ger Centrifugal

Starch Washing

Starch Slurry

Starch Driers Modification

Tanks

Nutritive Sweeteners

Starch Driers

Fermentation

Starch UNMODIFIED and Other Chemicals Products STARCH

react during steeping to form used to isolate the germ. sulfurous acid, which controls undesirable fermentaClean, separated germ is tion and assists in separation dried and the crude oil is of starch and protein. During removed by mechanical steeping, the soluble compopresses and/ or solvent exnents are extracted from the traction. The crude oil may intact kernel. At the conclube refined to yield a fine sion of steeping, water is quality salad and cooking oil drained from the kernels and or a raw material for the concentrated in multiple preparation of corn oil mareffect evaporators to yield garines. Extracted germ meal concentrated steepwater. is used in animal feed. FurThis protein-rich extract ther information on producmay be used as a nutrient for tion and use of corn oil may microorganisms in the probe found in the booklet Corn duction of enzymes, antibiOil, available on the Corn otics and other fermentation Refiners Association products. Most steepwater, website, www.corn.org. however, is combined with

fiber and gluten in the proThe remaining mixture of duction of animal feed ingrehull and endosperm then dients. Further information passes through a series of on feed products produced grinding and screening opby corn wet millers may be erations. Large hull particles found in the booklet Corn- are retained on screens and Wet Milled Feed Products, removed, while finer protein available on the Corn Refinand starch particles pass ers Association website, through. The hull is added to www.corn.org. animal feed or washed and milled in the production of

Softened corn kernels next refined corn fiber (bran). pass through mild attrition

mills to loosen the hull and The water slurry of starch free the germ from the and gluten protein is next starch-rich endosperm. Waseparated by centrifugation. ter is added to the attrition Because starch and gluten mills and a thick slurry of differ widely in buoyant macerated kernels and density, nearly complete whole germ results. Because separation is obtained. Typithe germ at this stage concal operations yield a gluten tains 40-50% oil, it is lighter stream containing over 60% than the endosperm and protein, while the starch hull. Centrifugal force is stream is over 99% starch. The gluten is dried and sold vidual water molecules. as gluten meal (60% protein). As the molecules hydrate, they increase in size, immo¬

The white, nearly-pure bilize much of the water starch slurry is further present, thicken the aqueous washed to remove small system and form a paste. quantities of solubles. At The first useful physico- this stage the starch slurry chemical property, thickenmay be further processed to ing, gives many food prodmake any common (unmodiucts such as puddings, fied) corn starch or congravies, sauces and pie fillverted to make sweeteners ings their desired physical or fermentation products. characteristics. This propVarious modified or erty is also useful in many industrial starch applications.

The second useful physico- chemical property is the ability of the starch paste to disperse and suspend other ingredients or particulate matter. In many foods, fats and proteins are suspended and/ or emulsified in starch pastes. In coatings for paper and in some adhesives, clay panicles are suspended in thick starch pastes.

When starch pastes are allowed to cool, they thicken and can congeal into a semi¬

solid gel. The third useful

Starches have four major physicochemical property, physicochemical properties gel formation, provides the that make them useful in body typical of starch-based food and industrial applicapuddings, salad dressings tions. Both types of starch and some types of adhesives. molecules— amylose and

amylopectin (Figure 6)— are The fourth useful physico- polyhydroxy compounds chemical property of starch and hydrate when heated in paste is its ability to produce water, combining with indistrong adhesive films when

ΕΞ spread on smooth surfaces and developed for detecting dried. The major industrial and quantifying the two uses of starch, such as paper types of molecules, their coating and sizing, textile sizfunctional properties were ing, corrugated board manufinally explained.

facture and all adhesive applications utilize this property. Straight chain amylose molecules tend to line up

These four important properparallel to each other in ties vary in degree from one solution. As the solution starch source to another. cools, there is less energy When the structures of linear available to keep the moland branched starches were ecules apart. The hydroxyl elucidated and methods were groups on parallel amylose

Figure 7

Micelle formation in

amylose molecules

molecules exert attractive waxy starches, which are forces and the molecules are nearly 100% amylopectin. pulled together. This pheThey gelatinize easily and nomenon, illustrated in Figyield nearly-transparent, ure 7, is often referred to as viscous pastes that retroretrogradation. The overall grade slowly to weak gels. result is a gelled paste. The Between these extremes is oriented areas are called found a wide range of natumicelles. Starches with a ral starches as well as many high percentage of amylose starch modifications and are difficult to gelatinize derivatives. Based on the because of the extra energy behavioral diversities of needed to hydrate and disinnative starches, the starch tegrate the firmly- bonded, chemist, by selection of the crystalline aggregates of proper raw material, folamylose. After gelatiniza- lowed by application of setion such starches form firm lected modification or gels and when properly prederivatization techniques, pared, yield strong, tough can devise products with a films. broad range of functional characteristics.

A t the opposite end of the

functional spectrum are the

UNMODIFIED, REGULAR, powder, etc.), molding

NATIVE OR COMMON starch, laundry starch, etc.

CORN STARCH

Unmodified corn starch,

If the starch produced by the when cooked, has such great

corn wet milling process is thickening power that pastes

simply dried, it is called a containing more than 4-5%

common, regular or unmodisolids are too thick to

fied corn starch. It is availhandle. Further, such pastes

able in various physical gel very rapidly when

forms: corn starches may be cooled. For many uses

sold as fine or coarse powhigher solids-containing

ders, as flakes, as pearls or pastes with reduced tenbe agglomerated to larger dency to thicken or with the

particles. ability to form softer gels are

required.

Slight variations can be introduced into unmodified The chemical composition

starch by adjusting pH, by of starch— highly oxygenmild heat treatment, or by ated carbon compounds—

adding small quantities of make starch an excellent

chemicals or adjuvants beproduct for use as a chemical

fore or after drying. Such feedstock. Many industrial

starches will then perform products, which today are

more effectively in specific derived from petrochemical

applications. For example, feedstocks, are increasingly

common starch intended for being synthesized from

enzyme conversion may be starch or cellulosic feedadjusted to a specific pH and stocks. Examples of current

small amounts of inorganic commercial products of this

salts that facilitate enzyme type include the use of corn

action may be added. starch in the production

Starches for food use are also of biodegradable plastics.

often pH adjusted.

GENETIC VARIATIONS OF

More unmodified corn

starch is sold than any other CORN STARCH

type. It is used in the manuMany applications require

facture of corrugated board, starches in which properties

coated and sized paper, pa- other than viscosity have

perboard, adhesives, salad been modified. For many

dressings, beer, canned years, tapioca starch was the

foods, dry food mixes (such choice for puddings, fruit

as puddings, cakes, baking fillings and certain types of

EE hard biscuits. When the supfurther enhance their advanply of tapioca became short tageous properties.

during the late 1930's, and

later became unavailable, The development of waxy intensive research was bemaize encouraged genetigun to develop a genetic cists to look for a mutant variety of corn that conthat might yield a starch tained starch with properwith a much higher amylose ties similar to tapioca content than regular corn. starch. A type of corn first Such a starch, it was postufound in China in 1908 and lated, should be an excellent maintained as a genetic curifilm former and might be osity was called waxy corn spinnable into a fiber. Gebecause of its waxy appearnetic research ultimately ance. The starch in this corn resulted in the commercial had properties similar to development of two corn starch from tapioca. hybrids, one containing about 55%, the other about

An active breeding program 70% amylose. Recent rewas begun in 1956-57 to desearch has resulted in develvelop a commercial variety oping starches with greater of corn that retained the than 80% amylose. The ultiwaxy maize characteristics. mate goal is to have native By 1944, sufficient waxy hybrid corn starch with maize was grown to demon100% amylose.

strate that it could be processed by the wet milling High-amylose granules are method to yield a starch that smaller than those from was a satisfactory replaceregular or waxy maize corn ment for tapioca. and they often have unusual shapes. Some granules do

Waxy maize starch, which is not gelatinize or lose their essentially 100% amylopec- birefringence even when tin, yields pastes that are boiled for a long time. Howalmost clear when cool, non- ever, they will gelatinize in congealing, and when dried dilute alkali or alkaline in thin films, yields a transsalts, or when heated in lucent, water-soluble coatwater under pressure at ing. Waxy starches are used elevated temperatures. The for thickening a wide variety solutions must be kept hot of prepared foods. Most or the amylose quickly gels commercial waxy starches and retrogrades. High amyare modified by crosslinking lose starches are used to and/ or derivatization to produce sizes for textiles

14 and to produce quick-setting ing systems made it apparent

confectionery gums. High that the natural properties of

amylose starches appear to raw starches could not meet

be resistant to human digesthe demanding processing

tion (hence, "resistant requirements of increasingly

starches") and may find sophisticated product formuapplication in reduced-calolations.

rie food products.

In order to meet such manu¬

Active research programs facturing requirements,

are now being conducted starch chemists developed

into new methods to alter modified starches. The techthe genetic makeup of corn niques and chemicals used

to produce starches which to manufacture food and

have the characteristics and industrial modified starches

functionality of the starch have been thoroughly rederivatives discussed below. searched and tested to ensure

Several are now commersafety and functionality.

cially available. The genetiModified food starches are

cally engineered starches strictly defined and reguallow processors to use lated by the United States

fewer chemicals in their Food and Drug Administraproduction, and to claim tion (FDA) in 21 CFR Chap"native" labeling in addition ter 1, paragraph 172.892, and

to their unique functionality industrial modified starches

and their contribution to the are covered by 21 CFR

development of new foods. Chapter 1, paragraph

178.3520.

MODIFIED STARCH

Native starches have certain Acid-modified corn starch

inherent features for use in The first method used comthe development of foods, mercially to reduce the vispharmaceuticals and induscosity of starch pastes was

trial products. Among other the acid-modification proadvantages, they are readily cess patented by Duryea in

available, generally low in 1899. In this method, a

price, and yield a simple, starch-watersuspension is

consumer-friendly label agitated while being subwhen listed in an ingredient jected to mild treatment

panel. with dilute mineral acid at

temperatures elevated but

However, the advent of below the starch gelatiniza- more sophisticated processtion temperature, for varying

EE periods of time. When tests The starch pastes, applied to show the desired viscosity warp yarns and dried, serve has been reached, the acid is as an adhesive to bind the neutralized with sodium fibers in the warp giving carbonate and the starch is increased strength and resisfiltered, washed and dried. tance to abrasion needed in In this manner a series of the loom during weaving. starches yielding pastes of The lower viscosity acid- decreasing viscosity are modified starches are also produced. used in calendar and size press applications in the

The primary reaction taking paper industry to enhance place during acid-modificaprintability and abrasion tion is hydrolysis of gluco- resistance of the paper sursidic bonds in starch molface. This ability to form ecules. This limited and firm gels is utilized by the controlled hydrolysis proconfectioner in the manufacduces two important conseture of starch-based gum quences. First, since the candies.

starch molecule is so large,

only a small amount of Oxidized corn starch cleavage is needed to markA second method for reducedly reduce viscosity. Secing the viscosity and altering ond, disruption of bonds the properties of starch is within the granule weakens oxidation. Although oxidizthe granule structure. Like ing agents such as chlorine, the parent starch, all acid- hydrogen peroxide and pomodified starch pastes have tassium permanganate can reduced viscosities when be used, oxidized starches warm, yet have a strong tenproduced by the corn wet dency to gel when cooled. milling industry are almost This suggests that acid-modiexclusively made using sofication reduces chain length dium hypochlorite as the but does not substantially oxidizing agent.

change the molecular configuration. When starch fragAs in the case of acid-modifiments reorient, the cooled cation, aqueous starch suspastes can and will set to pensions under continuous firm gels. These so-called agitation are treated with acid-modified or thin boiling dilute sodium hypochlorite starches are used in large containing a small excess of quantities in textile warp caustic soda ( aOH). The sizes, especially for cottons reagent solution is added and cotton polyester blends. slowly to the starch suspen-

EH sion in a reactor which is groups, with the resulting maintained at about 120°F. rupture of the adjacent Cooling water in the reactor glucosidic bond. Since the jacket or external heat exoxidation occurs in the changers remove heat generpresence of excess sodium ated during the oxidation reachydroxide, the carboxyl tion. When the correct amount groups are neutralized, of reagent has been added and resulting in a sodium salt. sufficient time for reaction has Since the sodium salt of elapsed, the viscosity of the the carboxyl group is starch is determined. When bulkier than the parent the desired degree of oxidation hydroxyl group, it is postuis reached, the starch slurry is lated that the tendency of treated with a reducing agent the amylose molecules to such as sodium bisulfite to associate and retrograde remove excess hypochlorite, into gels is reduced. The adjusted to the desired pH, major uses for oxidized filtered, washed and dried. starches are in the paper Products with a wide range of industry as tub, size press modification can be produced. and calendar sizes; in the textile industry as warp

Oxidized starch retains its sizes and as components original granule structure and in adhesives. They are is still insoluble in cold water. used in food applications It is extremely white due to the where high solids, low bleaching action of the sodium viscosity and a creamy hypochlorite. In addition to body are desired, such having decreased viscosity, as in bakery fillings. Oxioxidized starch pastes are reladized starches perform tively clear and show a rewell in batters and breadduced tendency to thicken or ing due to good adhesion set back when cooled. When to meat products.

dried, oxidized starch films are

clear and tough. Because the Dextrins

highly oxidized starches give Dextrins are produced relatively clear pastes at high from starch by dry heating solids, they are sometimes or roasting unmodified referred to as gums. starch with or without an acid or alkaline catalyst.

Treatment of starch with soIn this process, unmodidium hypochlorite brings fied starch, dried to about about a random oxidation of a 5-7% moisture, is usually limited number of hydroxyl acidified with very small groups to carboxyl or carbonyl amounts of mineral acid and placed in heated, aginot only are they reduced in tated vessels called reactors viscosity, but they also have or roasters. The temperature appreciable cold water soluis increased at a controlled bility, reduced tendency to rate and then maintained at a gel and increased reducing maximum temperature for power. High solids solutions varying lengths of time. The of some of the more highly resulting product is cooled, converted dextrins produce blended and sometimes tacky, quick-setting adhe- aged. Another dextrinization sives used in making all method utilizes a fluid bed, types of paper products in which unmodified starch (bags, laminates, paper is placed in a reactor and boxes, paper tubes and suspended or "fluidized" in envelopes).

a stream of heated air. The

starch is then acidified and, There are several theories as in the conventional or regarding what takes place "roaster" process, heated during the dextrinization under controlled conditions process. The process reduces of time and temperature the strength of the chemical until the desired end product bonds, which give the starch is attained. With several granule its integrity and degrees of freedom possible brings about generalized in such processes, a range of molecular scissions that dextrins with widely varying both reduce molecular size properties is produced. and alter molecular arrangement. In those cases where

During dextrinization, the acids are present, simple granule is not destroyed but hydrolytic cleavage is begranule integrity is dislieved to occur. A combinarupted. When dextrins are tion of hydrolysis, recombisuspended in water and nation and formation of new heated, the granules swell glucosidic linkages likely and then undergo a "peelaccounts for altered paste ing" action, separating into viscosities and congealing layers that eventually break characteristics.

free and disperse. The extent

of occurrence of this behavThere are three major types ior varies with the degree of of dextrins: white, yellow conversion of the dextrin. and British gums. Depending on the processing conditions

Dextrins differ from other involved, there may be many modified starches in that, subtypes. White Dextrins light brown in color and

The first type, white dexhave a distinct caramelized trins, have a white color odor. A range of products similar to original corn results, varying from low to starch, but have reduced high solubility. The pastes viscosities, and cold water prepared from these dextrins solubilities ranging from 5 to vary from nearly solid gels over 90%. White dextrins through very soft gels to produce light colored pastes viscous liquids.

that set to soft but definite

gels. The lower solubility Cyclodextrins

products yield pastes similar Although similar in name to to the most highly acid- dextrins, cyclodextrins are modified thin-boiling produced through quite difstarches. The higher solubilferent processes and have ity white dextrins (40-90%) different uses. Cyclodextrins can be used at much higher are produced through treatconcentrations to yield very ment of starch with a soft gels. glucosyltransferase enzyme.

The resulting water-soluble

Yellow Dextrins product takes the physical

Yellow or canary dextrins are shape of a hollow cone, with the second type. By using less an interior cavity of different acid, higher temperatures and sizes depending on the promore time, dextrins with high duction method. A unique water solubility and a disproperty of the interior of tinct yellow color can be the cone is its hydrophobic produced. The yellow dexnature, enabling trins are used to produce high cyclodextrins to be used to solids pastes (40-60%) that are encapsulate a wide variety of very tacky and, when applied compounds.

in thin films, dry rapidly.

They make excellent adhe- Uses for cyclodextrins insives, especially for paper clude encapsulation for conproducts. trolled flavor release, masking odors and tastes,

British Gums stabilizing emulsions, inBritish gums, the third type, creasing foaming power, and are produced by adding little controlling or masking or no acid to very dry starch color. These properties are and then roasting a long time finding increasing applicawith slowly increasing temtions in chemical, pharmaperature. They are tan to ceutical and food markets. Starch derivatives Starch derivatives are usuSince the starch molecule ally prepared by adding the contains many primary and desired reagent to an agisecondary hydroxyl groups, tated suspension of corn it can be modified by chemistarch in water. By adjusting cal derivatization. the pH of the slurry with an alkali, and sometimes with a

Unlike the modifications catalyst, the mild reactions thus far discussed, proceed on the ungelatinized derivatization may or may starch at only slightly elnot reduce the viscosity evated temperatures. After of the parent starch. sufficient reaction time, the Derivatization is used to derivatives are recovered by impart different properties filtration or centrifugation, to the derivative than those washed with water, dried of the parent starch. This and packaged.

allows the derivative to meet

more effectively the requireTwo basic types of derivaments of specific end uses. tives are prepared commerCountless starch derivatives cially:

have been described in technical literature and in patCrosslinked/inhibited ents, but only a limited numCrosslinked starches, someber are manufactured and times referred to as inhibited used commercially. starches, are made to overcome the sensitivity of

The derivatization of starch starch sols to shear and prodiffers from most chemical cessing conditions. This is modifications of polymers accomplished by treating in that the changes in properstarch in the granule state ties are attained with very with trace amounts of bi- slight changes in the molfunctional agents capable of ecule itself. In fact, all comreacting with hydroxyl mercial derivatives are pregroups on two different molpared under such mild ecules within the granule. conditions (usually in aqueous suspensions) that the Reagents such as phosphorus starch granules retain their oxychloride or sodium integrity. This allows the trimetaphosphate may be products to be handled in used as crosslinking agents. processing and application Very small amounts of these in much the same manner as agents can exert a marked the common starches previeffect on the behavior of ously discussed. the cooked starch. The de- gree of crosslinking controls duction of the hydroxyethyl the rate and extent to which group reduces the gelatiniza- starch swells on cooking. tion temperature of the Crosslinking decreases the starch and results in clear, sensitivity of starch sols to stable pastes. Hydroxyethyl temperature, agitation and starches are widely used in acids, improving resistance surface sizing and coating to loss in viscosity. paper.

Stabilization Cationic starches— -Reaction

Starch is stabilized against of corn starch with tertiary gelling by using monofunc- or quaternary amines yields tional reagents. These requaternary ammonium or agents react with hydroxyl amino alkyl starches. When groups on the starch to indispersed, these starches troduce substituent groups exhibit positively charged that interfere with intermo- particles that are strongly lecular association between adsorbed by negatively starch molecules. Certain charged cellulose fibers in reagents may also introduce the manufacture of paper. specific functionality into Less starch is used; but, starches, e.g., increasing more importantly, nearly all their water combining capacof the cationic starch in soluity or viscosity, or imparting tion is adsorbed by the paa positive charge to the per, leaving very little in the starch molecule. effluent going to the waste disposal system. This greatly

Hydroxyethyl starches— To reduces the biological oxyproduce hydroxyethyl gen demand (BOD) load. In starch, a starch slurry is adaddition, cationic starch justed to an alkaline pH and promotes the retention of a salt is added to suppress filters and pigments in the the tendency of the starch to sheet while reducing the loss gelatinize. Ethylene oxide in of very fine paper fibers. The varying quantities is added additional retained fiber and slowly to the agitated slurry the ability of the starch to and allowed to react for the bond the cellulose fibers proper time. Most together give greatly inhydroxyethyl starches creased internal strength are also acid-modified to to the sheet. This substantive reduce their viscosity. The characteristic of cationic hydroxyethylated starch is starches makes them useful recovered by filtration, also as surface sizes and as washed and dried. The introan adhesive in igmented coatings. With the growing succinic anhydride instead use of recycled paper stock of acetic anhydride yields in the manufacture of paper, starch succinates, which are more highly treated cationic also used as thickening starches are necessary to agents for foods. The 1- give strength and fiber retenoctenyl succinic ester is also tion properties. Computer prepared and has affinity for printer paper requires higher fats and oils superior to that cation treated starches to of other derivatives. These yield properties needed to starches act as emulsifiers in function properly. such products as salad dressing, flavors and beverages.

Starch acetates— -Com starch

can be acetylated with acetic Starch phosphates— -Starch can anhydride or vinyl acetate be esterified with monoso- under carefully controlled dium orthophosphate or conditions of pH, temperasodium tripolyphosphate to ture and time. After reacyield starch phosphates tion, the starch is isolated by which produce gels that are filtration, washed and dried. more stable than those proSufficient acetyl groups are duced from the parent introduced to prevent retro- starch. The phosphated gradation of the starch paste. starches are used mainly in Acetylated starches are used preparing food products. to size textile warps, yielding

tough, yet flexible yarns. Hydroxypropyl starches— The reduced tendency to Propylene oxide added to an congeal makes starch acalkaline starch suspension etates easy to pump and to reacts with the starch to apply at the slasher. yield hydroxypropyl derivatives. When made in accor¬

Starch acetates are also used dance with 21 CFR 172.892, as food starches. For exhydroxypropyl starches are ample, waxy maize starch used in food products where can be crosslinked with low temperature or frozen phosphorus oxychloride and stability is needed.

then acetylated with acetic Hydroxyethyl starch can anhydride or vinyl acetate to only be used in food packagproduce an excellent thicking and industrial applicaener, texturizer or stabilizer tions.

used in preparing a wide

variety of products. Other starch derivatives—

Starch can be etherified by

Starch succinates— -The use of treatment with acrolein. Such ethers may then be processes being used are

esterified with either acetic spray drying and extrusion.

or succinic anhydride. Often these procedures inStarches are also esterified volve the application of sevwith phosphorus oxychlo- eral treatments.

ride and then etherified with

propylene oxide. Bleached starches

Even though starches are

Pregelatinized starches quite white, certain uses

Suspensions of most starches require starches that are

and starch derivatives can be stark white. Such products

gelatinized and dried to are manufactured from

yield a broad variety of starches by treating them

pregelatinized starches. This with small amounts of such

is normally done on a single agents as hydrogen peroxide,

drum dryer with applicator peracetic acid, ammonium

rolls. The starch slurry is persulfate, potassium perheated to gelatinize it, inmanganate, sodium chlorite

stantaneously dried and or sodium hypochlorite. The

ground to desired granulaconditions of application are

tion requirement. These designed to whiten without

products can be dispersed in producing any detectable

cold water with agitation to chemical change in the

yield pastes comparable to starch. The bleached starch

those obtained by cooking is recovered on continuous

the raw starch. The filters or centrifuges, washed

pregelatinized starches make with copious amounts of

possible the production of water to remove traces of

many unique food and ininorganic salts formed from

dustrial products that do not the bleaching

require heat for preparation. agent, dried and

"Instant" adhesives and "Inpackaged.

stant" starch-based puddings Bleached

are examples of these types starches perform

of products. New types of functionally in

cold-water soluble (CWS) the same manstarches are made using ner as the parent

aqueous/ alcohol reaction, starch but are

which causes the granule to

lower in microswell and retain its structure biological population due to Corn starch photographed at 3000x.

without being ruptured. the bleaching agents used.

Such starches yield easier to They are

use, smoother bodied prodused in the manufacture of

ucts. Newer mechanical pills and body powders.

23 The Food and Drug Adminents list on the label of a istration has proposed to finished food, the name is, affirm the "generally recog"food starch- modified." The nized as safe" (GRAS) status two regulations are: Food of food grade unmodified or starch-modified— 21 CFR common starches as well as 172.892; and Industrial pregelatinized starches. In starch-modified— 21 CFR addition, the same regula178.3520.

tions proposed affirming the

GRAS status of unmodified For food starch-modified, starches with differing amy- these regulations cover acid- lose/ amylopectin contents, modified, bleached, oxisuch as high amylose and dized, esterified and etheri- waxy corn starches. These fied starches, and starches proposals are found in 50 FR treated with various combi12821-12825. Corn starches nations of these treatments. have been affirmed as GRAS

for use in food contact surFor industrial starch-modifaces in 21 CFR 182.70 and fied, the regulations cover 182.90. Dextrins have also starches treated by similar been affirmed as GRAS by methods, as well as irradithe Food and Drug Adminisated starches and starches tration. Regulations covering treated with specific surface- dextrins may be found in 21 active agents. Industrial CFR 184.1277. starch-modified regulations specify the use of these prod¬

Two specific regulations ucts as a component of arpromulgated by FDA cover ticles for food packaging, the bleached, the modified processing and storage. and the derivatized starches

approved for use in foods In addition to regulatory and in food packaging. actions by the Food and These regulations specify Drug Administration, varithe treatment approved, set ous groups such as the Food limits for either the quantity Chemicals Codex, U.S. Pharof modifying agent used in macopeia and the National preparing the product and/ Formulary have issued guideor the amount introduced lines and specifications for into the starch. They also starches, modified starches specify the names to be used and dextrins intended for for modified starch in ingrespecific uses.

dients lists. In the ingredi Dry starches are available in Starch from a dry bulk hanmultiwall paper bags and in dling station can be transrail car or bulk truck shipported to points of use

ments. Other containers throughout a plant by propsuch as paper drums, metal erly designed air, vacuum

and rubber containers of and mechanical systems.

various sizes, and corrugated Dry starches can also be

boxes can be used but reslurried in water and

quire special arrangements pumped to the point of use.

between user and supplier. Because starch settles rapBulk bags up to 2000 pounds idly from water, continuous

may be useful for industrial agitation or recirculation is

users, while smaller bags (25 necessary to maintain a susand 50 lb.) are available for pension. Proper design of

retail customers. Bulk instalboth dry and wet starch hanlations vary in size from dling systems is necessary.

those with capacity for a few Starch manufacturers will

thousand pounds to those supply engineering assiswith capacity to handle sevtance in designing such syseral bulk rail hopper cars of tems.

starch at one time.

Starch is very stable and can

Because starch is a finely be stored for long periods if

divided organic material, kept dry. Like many other

handling conditions that organic materials, however,

create dust may increase the it will degrade and decomrisk of explosion. Explosion pose if allowed to become

prevention measures include damp. Because starches are

the use of non-sparking metsomewhat hygroscopic, they

als, explosion proof electriwill vary in moisture content

cal motors and eliminating depending upon the humidsparks, flames and hot surity of the atmosphere in

faces in starch handling arwhich they have been stored.

eas. Compliance with Storage should avoid areas

OSHA, EPA and local safety where aromatic products are

and health regulations is stored, as starches can

required. readily pick up flavors.

25 Most applications for bath maintained at 90°C, the starches require that they be observed gelatinization temsuspended in water and then perature and the resulting heated above the gelatiniza- viscosities are not the same tion temperature. The viscosas with the bath maintained

NG ity of the resulting paste is at 95°C. The 90°C cook DURES dependent on many varireaches its maximum viscosSfkRCHES ables, such as starch type, ity in about 18 minutes and solids concentration, pH, then remains relatively conamount of agitation during stant. The 95°C cook, on the cooking, rate of heating, other hand, reaches its maximaximum temperature mum in just over 9 minutes, reached, time held at that but then gradually decreases temperature and the presin viscosity. The granules ence of other ingredients in subjected to the more rapid the suspension. temperature rise reach their maximum expansion and

As pointed out earlier, gela- then begin to rupture with a tinization temperature will resulting loss of viscosity. vary with the type of starch Adverse starch breakdown selected for use. Further, the can be reduced or prevented observed gelatinization temby using a low level of perature of a specific starch crosslinking.

may vary with the physical

conditions imposed upon The effect of agitation on the the system. As shown in gelatinization and breakFigure 8, if starch under down of corn starch is certain specific conditions shown in Figure 9. In this of concentration, pH and experiment a 5% starch susagitation is heated in a water pension at room tempera-

ture was placed in a water chanically ruptured.

bath maintained at 90°C and Crosslinking reduces

agitated at two different viscosity loss due to shearing

speeds. The solid line shows of the granule by use of agithat the paste agitated at 100 tators, pumps and homog- rpm required approximately enizers.

18 minutes to reach its maximum viscosity and then reThe effect of pH on corn

mained constant for the last starch gelatinization and

three minutes. In contrast, breakdown is demonstrated

the suspension agitated at in Figure 10. The reference

200 rpm reached a maximum sample at pH 4.0 yields a

viscosity after 6 minutes, typical cooking curve for

followed by a rapid viscosity normal corn starch. Increasdecrease and then a contining the pH to 7.0 caused

ued, but much slower, vismore rapid gelatinization,

cosity decrease. In the 200 but yielded a comparable

rpm cook, improved heat viscosity in the cooked

transfer caused the temperapaste. Increasing the pH

ture to rise at a faster rate from 4.0 to 7.0 increased the

and the granules to gelatiability of the starch granule

nize more rapidly. The meto hydrate and gelatinize,

chanical action of the 200 but did not provide suffirpm agitator, however, rupcient alkalinity to produce

tured the swollen granules appreciable viscosity breakresulting in a sharp drop in down after gelatinization.

viscosity. Continued agitaHowever, when the pH was

tion brought about only increased to 10.0 with alkali,

slight viscosity decrease gelatinization occurred in a

after the granules were memuch shorter time due to an

Figure 9

Effect of agitaion on gelatinization

Time (minutes)

27 increased rate of hydration glucosidic cleavage, weakenof the starch molecules. The ing the entire granular struchigher alkalinity also rupture, which ultimately disintured some of the swollen tegrates yielding granules with a resulting loss water-dispersible fragments of viscosity. Although not of lower molecular weight. shown in Figure 10, if the The effects of other materistarch had been dispersed in als in the solution on the rate 2% sodium hydroxide soluof gelatinization of starch tion, it would have gelatiand the characteristics of the nized without any added resulting pastes also can be heat to a relatively stable, observed. For example, but less viscous paste than when cooked in 10% sucrose that produced by heating at solutions, starches gelatinize pH lO.O. less rapidly and form less viscous pastes, since sucrose

The final curve on Figure 10 binds water so that less is shows the viscosity behavior available for granule gelatiof a starch suspension adnization. When the diastatic justed to pH 2.5. Gelatiniza- enzyme alpha-amylase is tion began much like the present, marked decreases in suspension at pH 7.0, but the viscosity occur. If beta-amy- paste attained a lower maxilase is present, the viscosity mum viscosity and then undrops and up to 60% of the derwent a rapid and continustarch may be converted to ing loss of viscosity. At pH maltose. If glucoamylase is 2.5 and at temperatures appresent, the starch may be proaching 80°C the starch converted to over 95% molecules probably undergo glucose.

28 Another method for preparmany products commering starch pastes involves cially available in this brief continuous pressure cookdiscussion. Typical applicaing, often referred to as jet tions for food and industrial cooking. In this process the starches, and dextrins are starch suspension is mixed included at the end of this with steam and then injected booklet. Any reader wishinto a pressure vessel, where ing assistance with these it is held for a very short products is encouraged to period of time at temperacontact individual member tures over 100°C and at prescompanies of the Corn Resures higher than atmofiners Association. They spheric. The paste is then would be pleased to offer flashed down to atmospheric assistance in selecting the pressure, with resultant correct product and in recevaporative cooling and conommending proper methods centration. If desired, some of application.

modification of the starch

may be obtained by adding

small quantities of specific

chemicals to the starch Cooked starches may be slurry before injection into used hot, at room temperathe cooker. This allows the ture or chilled. The proper user to alter the properties of conditions for altering the the starch paste in a continutemperature must be applied ous process to meet the reto the hot paste if the desired quirements of his specific results are to be obtained.

use, but it does mean that the Conditions are often deuser must assume responsisigned for a specific applica bility for controlling the tion, but some general guidedegree of modification aclines follow:

complished.

1. Hot starch pastes continue

Since starch properties can to lose viscosity if mainalso be altered by tained near boiling temperaderivatization and modificatures. They should be cooled tion, almost unlimited variato the temperature at which tions can be obtained. This they are to be used immediversatility has made posately after cooking.

sible the development of

many specialty starch prod2. Starch pastes lose viscosity ucts designed for specific in direct proportion to the fields of application. It is force of agitation. If viscosity impossible to discuss the is to be maintained, gentle but thorough agitation of the amylose polymer in should be used after cooking. the starch. Retrogradation is the process of molecular

3. Starch pastes increase in alignment and dehydration viscosity as they are cooled. that produces large, loosely The amount of agitation bound molecular aggregates. applied during cooling afGiven sufficient time and no fects the physical characteragitation, these aggregates istics of the cooled paste. may precipitate (settle). Continuous agitation during Clouding and precipitation cooling yields pastes can be prevented by keeping smoother in texture and with starch pastes at a temperafewer tendencies to gel than ture of about 170°F with those not stirred. Congentle, continuous agitation. versely, maximum gelling Oxidized, certain demands that no agitation be derivatized and most applied during cooling. dextrinized starches have reduced tendency to retro¬

4. Undercooked starch grade. Waxy starches do not pastes yield gels that release exhibit this retrogradation water upon standing. phenomenon to any marked Though often referred to as degree.

"weeping," as the more correct term is syneresis. Selec6. Due to the ready accessition of the proper starch bility of sugars, starch product, thorough cooking pastes are excellent media and proper cooling elimifor the growth of many airnates syneresis. borne microorganisms. If stored at or near room tem¬

5. Dilute starch pastes, parperature for more than 24 ticularly those of unmodihours, preservatives must be fied and acid-modified added to prevent fermentastarches, may develop a distion, loss of viscosity and tinct cloudiness. This cloud eventual spoilage.

is the result of retrograd tion

Starch pastes of all types are starch to the viscosity resusceptible to hydrolysis by quired for specific applicaamylolytic enzymes resulttions. In a typical paper or

ing in shorter polymer chain textile mill, bulk starch is

lengths and sharply reduced automatically scaled into

viscosities. Enzyme hydrolyconverting equipment, MZfME sis is widely used, particuwhere it is slurried in water CONVERSION larly in the textile and paper at the correct concentration OF STARCH industry and in the prepara(35-40% starch suspensions

tion of corn syrups and dexfor high solids conversions).

trose. The starch slurry is adjusted

to the desired pH, alpha-

Cotton warp yarns are comamylase is added and a promonly sized with starches to grammed heat cycle is set in

give them the needed operation. In a typical constrength for proper weaving. version cycle, steam is apHowever, the starch must be plied to a closed, jacketed,

removed from the woven agitated vessel heating the

cloth before it is dyed. A starch suspension to 80°C in

diastatic enzyme (alpha- 15 minutes. This swells the

amylase) that rapidly hydro- starch and initiates rapid

lyzes starch to short, water enzyme conversion. The

soluble fragments is used conversion is held at 80°C

for this purpose. The enfor 45 minutes and then

zyme is applied to wet cloth, heated to about 105°C in 15

allowed to stand for the corminutes. The elevated temrect period of time to permit perature is maintained for 30

the enzyme to act on the minutes to inactivate the

starch, and the solubilized enzyme and thoroughly dishydrolysates are then perse the starch.

washed from the cloth with

warm water. At the conclusion of the

105°C holding period, the

Paper manufacturers use starch is cooled to the temlarge quantities of starch that perature at which it is to be

is enzyme converted in the used by one of several

paper mill. The enzyme means. If it is intended for

conversion process allows use as a tub size or for applithe papermaker to replace cation at the size press on a

the modified or derivatized paper machine, it will quite

starches with unmodified likely be cooled by dilution

starch for some applications. with cold water. Pigments or

It also allows the paper- other chemical aids may be

maker to custom convert added simultaneously with the dilution water. prepared for this use. They are usually pH adjusted and

If the conversion is intended buffered; small quantities of for use in preparation of a various adjuvants are incorpigmented coating for paper, porated in the slurry before it is cooled by adding it to a drying and special drying "clay slip" which is a high techniques may be used. solids mixture of clay or

other pigments with dispersThe major use for enzyme- ing agents, dyes and other converted starch occurs right chemical aids. Since paper in the wet milling plant, coating is accomplished at where each year billions of very high speeds, the rheo- pounds of starch are conlogical properties of the verted to nutritive carbohystarch-clay-chemical mix drate sweeteners. These pro(coating color) must be carecesses utilize alpha-amylase, fully controlled. beta-amylase, glucoamylase, debranching enzymes and

Primary control of the final isomerases. They are disviscosity of enzyme-concussed in a booklet entitled verted starch is achieved by Nutritive Sweeteners from varying the quantity of enCorn, available on the Corn zyme utilized, but variation Refiners Association of the physical conditions website, www.corn.org. imposed upon the system

also affects the characteristics Enzyme treatment today is of the converted starch. Batch frequently used to prepare systems are often employed, starch for subsequent but continuous systems are derivatization and processalso in use commercially. ing steps, which result in the creation of products with

Generally, starches used for unique physical and funcenzyme conversion are untional properties.

modified and are specially

The chemical literature conmakes them available to the

tains descriptions of countpublic. These methods are

less methods for determinpublished in Analytical Mething the chemical and ods of the Member Companies,

physical properties of starch. available from the

Association's website,

The Corn Refiners Associawww.corn.org.

tion, through its Technical

Affairs Committee, has By cooperation with the

spent many years developing Association of Official Anaand standardizing analytical lytical Chemists many of

procedures for starch and these methods are available

starch derived products through that organization's

which are practical and efreference publications as

fective. The committee acwell.

tively continues its work on

standardization of analytical The Corn Refiners Associaprocedures today. tion has published many

analytical procedures appli¬

As a result of this extensive cable to unmodified and

work, the Corn Refiners modified starches and dex- Association publishes these trins, sweeteners and corn

analytical procedures and byproducts.

33 CORN REFINING INDUSTRY PRODUCT USE

CORN REFINING INDUSTRY PRODUCT USE

35

To aid in the understanding of industry-specific information in this booklet, technical terms are explained in the text at the points where they are first used. For reader convenience, definitions of some of the more difficult terms and of terms having special meanings in the corn refining industry are listed here.

Amylose - A starch molecule made up of glucose units chemically arranged in long straight chains.

Amylopectin - A starch molecule made up of glucose units chemically arranged into branched chains.

Anhydroglucose units - The basic C6H10O5 unit that occurs repeatedly in all starch molecules.

Aqueous - Containing water.

BOD - Biological oxygen demand, the measure of the amount of oxygen in a body of water used over a period of time through bacteria and plankton activity to stabilize decomposable organic waste.

Brabender - Amylo-viscograph unit used to measure viscosity.

Carbohydrate - A chemical compound composed of carbon, hydrogen and oxygen (starch, sugar and cellulose are three of the most common examples).

Congeal - To change from a liquid to a semi- solid, non-fluid mass.

Convert - To change to a lower molecular weight form, as by dextrinization, hydrolysis, etc.

Corn - The seed from commercially grown maize (Zea mays) used primarily for animal feed and corn-derived food and industrial products; not sweet corn.

Derivative - A product obtained by reacting starch with a chemical compound, resulting in unique physical and functional properties.

Enzyme - Any of a class of protein molecules that catalyze specific biochemical transformations, as in the conversion of starch to glucose.

Fluidity - Reciprocal of viscosity. Fractions - The two types of molecules found in starches- linear and branched; amylose and amylopectin.

Gel - A firm, semi-rigid, cooled starch paste resembling a jelly; to form a gel.

Gelatinize - To cook starch in aqueous suspension to the point at which swelling of the granules take place, forming a viscous sol.

Genetics - A branch of biology dealing with hereditary variations in plants and animals. As an applied science, it is used to improve corn by breeding desired characteristics into new varieties.

Glucosidic cleavage - The hydrolysis of a glucose polymer whereby water is the agent, which, under acid or enzyme catalysis, acts to split apart the glucosidic bond holding adjacent glucose units together and regenerates an hydroxyl group on each glucose component.

Granule - The small, grain-like storage particle produced in plants, consisting of starch molecules arranged in characteristic patterns.

High amylose starch - A starch containing over 50% amylose (usually 55-70% ).

Hydrate - A molecular-water association.

Hydrolysis - Process of splitting a molecule into smaller parts by chemical reaction with water.

Hydroxyl (OH) group - A chemical radical consisting of one oxygen and one hydrogen atom.

Hygroscopic - Readily absorbing and retaining moisture.

Kernel - A whole grain or seed of a cereal, especially corn.

Linkage - The specific bonding arrangement by which molecules are joined to form larger molecules.

Micelles - The tight bundles into which linear starch molecules and the linear segments of the branched molecules are drawn together.

Molecule - A unit of matter; the smallest portion of a compound that retains chemical identity with the substance in mass.

38 Mutant - An offspring different from its parent in some well- marked characteristic.

Oxidation - The act of oxidizing which is brought about by increasing the number of positive charges on an atom or the loss of negative charges.

pH - A measure of the acidity or alkalinity of a solution, pH 7 being neutral, lower values acid and higher values being alkaline.

Polymer - A very large, complex molecule formed by chemically joining a large number of identical smaller units (or monomers) in a repeating pattern.

Retrogradation - Dehydration and reversion of cooked starch from a paste to a condition of insolubility.

Slurry - Suspension of starch in water, with or without other components of corn.

Stable - Term indicates that the starch paste does not change appreciably in viscosity, clarity or texture with age.

Starch paste - The thick, viscous, smooth suspension formed by cooking starch in a water suspension to a point above its gelatinization temperature.

Steepwater - Water containing dissolved protein, minerals and other substances in which corn has been soaked or "steeped" during the initial stages of the corn refining process.

Suspension - A heterogeneous mixture of an insoluble granular or powdered material with a fluid.

Synthesize - To build up a compound by the union of simpler compounds or of its elements.

Viscosity - Term used to indicate the resistance of liquids to flow; often used to describe the thickness of a starch paste.

Waxy maize - A variety of corn, the starch content of which consists solely of branched molecules.

Wet milling - A process for separating corn into its component parts using a water-sulfur dioxide system.

Corn Refiners Association 1701 Pennsylvania Avenue, N.W. · Washington, D.C.20006-5805 202-331-1634 Fax: 202-331-2054 · www.corn.org

APPENDIX

ISSN 1330-0016

CODEN FIZBE7

IONS AND ION ACCELERATORS FOR CANCER TREATMENT KRSTO PRELEC

Brookhaven National Laboratory, Upton, New York, U. S. A.

Received 12 December 1997

UDC 537.567, 537.563.3yyyyyy

PACS number: 87.53.-j

A scientific review paper

Energetic ions in the mass range up to neon may have important advantages in cancer treatment when compared to other, conventional types of radiation. This review will first consider radiobiological properties of several types of radiation (photons, electrons, protons and ions), pointing out to the relevant characteristics of ions compared to other types. Parameters of ion beams as required for cancer treatment will then be defined, followed by the review of the status of proton and ion therapy and clinical trials, and a description of operating and planned facilities. Finally, on the basis of existing experience and desired future performance^ possible design of such a facility will be suggested.

I . introduction

Radiation therapy has become one of the most important modalities in the treatment of cancer. It is estimated that a person has one out of three chance to be confronted with the disease during his or her lifetime and that less than half of them will be cured. While the surgery is still the most successful treatment, radiation therapy either alone or in combination with other modalities contributes to about 40% of the overall cure rates. It is interesting to note that chemotherapy alone results in a rather small part of cancer cures; it

FIZIKA B 6 (1997) 4, 177-206 177 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT is used mostly as an adjuvant therapy. All other modalities contribute only a few percent to the cure rates.

Ideally, the objective of any cancer treatment method is to remove or destroy the tumor while preserving at the same time the healthy tissue as much as possible. It was with this idea in mind that almost a hundred years ago low-energy X-rays began to be used for this purpose, although their penetration was poor and therapeutic effect debatable. In early 1920's, radium units came into use, producing deeper penetrating gamma rays; this was followed by electron accelerators providing higher energy X-rays. Nuclear reactors made radioactive cobalt sources available and they became a standard gamma-ray source for radiotherapy, used until the present (e.g., gamma knife). Most modern and very widely used machines for X-ray therapy are compact linear accelerators and it is estimated that there are up to 4000 of them around the world. Over the years, this technique has been constantly improved, the machines have been adapted to the hospital environment and the delivery of the radiation to the tumor has become more and more accurate, trying at the same time to spare the healthy tissues. However, there are still many cases where it is not possible to avoid irradiation of critical organs in the vicinity of the tumor; the maximum dose allowed for critical organs would in such cases limit the dose given to the tumor, leading to a possible failure of the local control.

About fifty years ago, R. Wilson remarked that the Bragg peak of monoenergetic protons (and other, heavier ions) would allow the radiation dose to be preferentially delivered at the end of their path, in the tumor itself where most damage has to be done. By modulating the proton (or ion) energy it would, in principle, be possible to irradiate the whole volume of the tumor with a uniform and sufficient dose, while keeping the dose delivered to other organs at a lower value. This characteristic, together with a high lateral beam accuracy, is the basis of conformal treatment of tumors, which is an important step toward the ideal method. Since this first proposal, there were a number of proton machines either adapted or specifically built for tumor treatment.

The most recent and quite promising introduction into the range of types of radiation for cancer treatment have been energetic ions in the mass range from carbon to neon. They will be referred to as light ions, although in the medical literature they are usually called heavy ions. In addition to the advantage of showing a Bragg peak which has a similar characteristic of protons, and an even better lateral beam accuracy than protons, ions have other characteristics which could make them more suitable for treatment of some types of tumors than any other radiation. The linear energy transfer (LET) or the rate of energy deposition along the path of a particle is higher for light ions (fast neutrons have a similar property) than it is for conventional radiation, including protons; the relative biological effectiveness (RBE) tends to be higher if LET values are higher. Furthermore, some tumors cells are anoxic and as such are more resistant to conventional radiation due to the oxygen effect, characterized by the oxygen enhancement ratio (OER). There are also indications that the effects of light ion radiation in the tumor do not depend as much on the cell cycle as they do for conventional radiation.

However, possible advantages of light ions compared to conventional radiation result in a more complex system for beam production and, especially, for beam delivery to the patient. With high LET particles and with a large part of their energy delivered at the end of the track, in the Bragg peak, it becomes extremely important to properly adjust not only

178 FIZIKA B 6 (1997) 4, 177-206 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT the shape of the beam but its energy and the time spent irradiating a certain part of the tumor as well; otherwise, healthy tissues may be exposed unnecessarily while the tumor may not get the required dose. The proper utilization of light ions requires a state-of-art application of medical diagnostics (CT, MRI, PET) to determine the exact shape and location of the tumor, a full computer control of the accelerator and beam delivery system and a fast and accurate measurement of the beam dose delivered at any instant to the patient. Until very recently, this complexity of the system has been one of the reasons why light ions have found a very limited use in medicine, particularly in the treatment of cancer, so that at present there is just one dedicated facility in the operation (Chiba, Japan). Another reason for the lack of interest was the fact that in the past the few accelerators capable of producing light ion beams with parameters adequate for medical applications were designed for a totally different purpose (nuclear and particle physics), with energies and intensities not matched to the needs of patient treatment, complicated to use and expensive to operate. Compared to light ion accelerators, electron linacs for photon production have enjoyed a long history of development and present designs are well adapted to a hospital environment.

This review will try to address several issues, such as possible advantages of light ion therapy compared to protons and conventional radiation, the complexity of such a system and its possible adaptation to a hospital environment, and the question of cost-effectiveness compared to other modalities for cancer treatment.

2. Characteristics and effects of radiation

The objective of any cancer treatment is the control or, possibly, permanent elimination of the tumor. As this process involves and results in cell destruction, the success of the treatment will always depend on the degree of discrimination between healthy tissues and tumor itself. Conventional types of radiation, which include gamma-rays from radioactive isotopes, brehmsstrahlung photons and electrons, have been used widely and routinely for treatment of human cancer since the earliest days (the word "conventional" is used because of historical reasons, without implying limitations or a lower quality). It is a common property of conventional radiation that the dose delivered to the body is the highest in the entrance region and decreases as the radiation penetrates the body (Fig. 1). For gamma- rays and photons, the decrease has an exponential character, which means that after passing through the target, the radiation dose decreases further but healthy tissues and possibly critical organs beyond the tumor are still being irradiated. The effect of radiation on healthy tissues both in front and behind the tumor may, therefore, limit the dose delivered to the tumor. The photon energy is transferred to the tissue through stochastic processes, such as inelastic scattering or photoelectric processes. Therefore, a photon beam is subject to strong scattering as it penetrates the body and this leads to a lateral beam spreading which has to be taken into consideration. Photons and gamma-rays are called indirectly ionizing because the biological effect is due to the action of fast electrons produced in tissues. High-energy electrons are directly ionizing particles; the dose delivered is decreasing even faster with depth than for photons but they have a finite range if the energy is properly selected (Fig. 1). They also show the effects of a strong scattering, resulting in a lateral

FIZIKA B 6 (1997) 4, 177-206 179 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT spreading of the beam as it penetrates the body. The delivery of conventional radiation can be substantially improved if the tumor is irradiated from several directions, by rotating the beam around the patient and aiming it toward the isocentre. Although this complicates the beam delivery system, the result is a more favourable ratio of the doses in the tumor and outside. In the case of gamma rays from radioactive cobalt, application of this method has led to the creation of the so called "gamma knife" where the rays from more than a hundred sources are collimated and directed toward the tumor enabling its destruction. Compared to other types of radiation, the conventional radiation is at present by far the most widely used type, contributing almost exclusively to a substantial part of cancer cure rates. Their most efficient use is in the case of fast growing tumors because those cells divide frequently and photons act es ecially on cells during their division.

DEPTH IN WATER (cm)

Fig. 1. Depth-dose curves for several types of radiation [1].

In spite of the successes of conventional radiotherapy, either alone or in combination with other modalities (surgery, chemotherapy), about 17% of patients diagnosed with a local cancer (absence of metastases) die due to the failure of the local control; the local recurrence is frequent in sites such as upper digestive tract, brain, skull base, in gynecological tumors and in some tumors with high metastatic rates [2,3]. These patients could mostly benefit from an improvement in radiation therapy. There are two approaches to achieve such an improvement, one through a better dose delivery of conventional radiation, and the other through the introduction of new types of radiation for therapy. There are, however, limits to the first approach, one of them being the mentioned depthvvise distribution of the physical dose.

Charged particles heavier than electrons (protons, ions) have properties that make them more attractive for treatment of some tumors [2,4a_5]. Their interaction with matter is

180 FIZIKA B 6 (1997) 4, 177-206 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT predominantly through processes involving electrons in target atoms. Because of their much larger mass compared to electrons, they suffer significantly less lateral scattering and less beam spreading; this difference becomes more pronounced with the increasing mass of ions. As a heavy charged particle penetrates into the tissue, it loses its energy in inelastic processes and its velocity is decreasing. The energy deposition rate is a function of energy, and as the particle is slowing down the rate at first increases slowly (Fig. 2; dotted curves); this region

DEPTH (cm)

Fig. 2. Spread-out-Bragg-peak (SOBP) [1].

is usually called a plateau. Toward the end of the path, the particle experiences a steep rise in the energy loss rate, just before it is fully stopped (the Bragg peak). The position of the Bragg peak depends on the mass and energy of the particle and on the stopping power of the target. These two effects, a less pronounced lateral scattering and the Bragg peak at the end of the path, led to the first proposal to use protons in radiotherapy about fifty years ago. For tumors with a thickness comparable to the width of the Bragg peak, a charged particle beam with the energy selected such that the peak coincides with the tumor, should in principle be capable to deposit a large part of its energy into the tumor itself, minimizing the damage to the organs in the entrance channel and avoiding fully any irradiation beyond the tumor. Many tumors, however, have a thickness larger than the width of the Bragg peak, and the target has to be irradiated in several steps, each time with beams of different energy, covering thus the whole volume (Fig. 2; solid curve). This method of the spread- out Bragg peak leads to the tumor conform treatment, applicable in principle to any tumor shape, and representing the closest approach to the ideal procedure.

Another parameter relevant for estimating and describing effects of radiation is the linear energy transfer or LET, usually expressed in units keV/ <m. Values of this parameter depend on the charge and energy of the particle and, therefore, change as particles penetrate the tissues. For an ideal monoenergetic beam, LET values are meaningful, but for a real beam they are always average values, depending on the way the average has been

FIZIKA B 6 (1997) 4, 177-206 181 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT calculated. Still, this parameter is useful as an indication of the biological effectiveness of radiation and different types are described as being low-LET (photons, protons) or high- LET (neutrons, light ions). The order of magnitude of LET values in keV/μηι is around 1 for photons, between 10 and 100 for protons and up to 1000 for light ions.

Fig. 3. Range of measured oxygen-enhancement ratio (OER) values for different types of radiation and cell lines [1].

The failure of the local control of tumors treated with conventional radiation is in some cases caused by a higher radiation resistance of anoxic cells present in the core of the tumor [1 ,4a,6]. Oxygen enhancement ratio (OER) is a parameter describing this effect; it is defined as the ratio of the absorbed dose of a given radiation to produce a certain biological effect in an anoxic cell population to the dose that would be needed to achieve the same effect in normally oxygenated cell population. OER values for conventional radiation have been found to be as high as 3, which may indicate the difficulty in delivering a sufficiently high dose to the (anoxic) cells in the core of the tumor, without causing an irreparable damage to the surrounding healthy tissues or critical organs. The oxygen enhancement ratio decreases with increasing LET and for particles with LET values above a few hundred keV///m, it may even approach 1 (Fig. 3). Reduced values of OER have been considered as an important argument for the use of high-LET particles although the clinical studies have not fully confirmed its significance and expectations.

Another phenomenon of importance for radiobiological effectiveness is the sensitivity of cells to radiation as function of the phase in the cell cycle [4a,6] . For conventional radiation, cells are mostsensitive during the dividing phase, while they are more resistant in the DNA synthesis phase. This difference can be very substantial. For light ions, however,

182 FIZIKA B 6 (1997) 4, 177-206 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT the dependence of the sensitivity on the phase in the cell cycle seems to be greatly reduced, especially for LET values above a few hundred keV/ ιη.

While the linear energy transfer (LET) describes the energy deposition (i.e., loss) of a particle along its path, the radiation dose is a measure of energy absorbed per unit mass of tissue; the dose is measured in units of Gray or rad (1 Gy = 100 rad). This is one of the most important measurable quantities in radiotherapy and it is usually quoted when reporting biological experiments or clinical trials [6,7a]. However, equal doses of different types of radiation do not always produce equal biological effects, resulting in different values of the relative biological effectiveness (RBE). The RBE is formally defined as the ratio of the dose of 250 keV X-rays to the dose of some other type of radiation, both resulting in the same biological effect. The response of cells, cell populations and tumors in patients to radiation will vary greatly and a general comparison of RBE values is not very relevant unless all the conditions of the experiment or clinical trial are specified. Still, the general conclusion that the RBE is higher for higher LET (and lower OER) types of radiation remains valid, for the range of interest for light ion therapy (Fig. 4).

In summary, protons and light ions have several properties that distinguish them from conventional radiation and offer new possibilities in cancer treatment. For protons, the advantages are a better distribution of the delivered dose due to a reduced lateral scattering and due to the existence of the Bragg peak. Light ions experience even less lateral scattering and they have additional characteristics, distinguishing them from both, conventional radiation and protons. While the latter are low-LET types of radiation, light ions are high- LET particles and as such show a reduced oxygen effect, their effects are less dependent on the cell cycle and they have a higher relative biological effectiveness. Therefore, light ions could be of benefit in treating slowly growing, well defined tumors. However, they also have a tendency to fragment after a nuclear collision; lighter fragmented particles may have an energy giving them a deeper penetration than the original ion and causing some irradiation of tissues beyond the distal peak. There are also some questions about an increased tumorigenic potential of light ions compared to other types of radiation. It is because of these new effects that the mass range of light ions presently considered for and used in tumor treatment is limited to those below neon; at both facilities where light ions are now used (Chiba, GSI), carbon ions are the species of the choice.

pagebreak

Fig. 4. Range, of experimental data for the relative biological effectiveness (RBE) factor as a function of linear energy transfer (LET) values [1].

3. Requirements and parameters of ion beams for cancer treatment

3.1. Ion species and energy

At the Chiba facility, most of the research of the effects of light ions on cells and almost all clinical trials have been done with ions up to neon, although the their facility has been designed for ions up to argon. There is a general agreement that carbon ions offer a very good compromise between advantages in the treatment (a very favourable ratio of

ΠΖΙΚΑ B 6 (1997) 4, 177-206 183 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT

MEAN _x (kcV/μπι) the dose delivered to the tumor and the entrance dose, good radiobiological properties) and disadvantages that should be minimized (fragmentation, distal dose). For a certain desired penetration depth (or position of the Bragg peak), the energy of ions delivered to the patient will depend on the ion species (Fig. 5); the ion energy will then determine the size of the machine and its cost. While for protons an energy of 250 MeV is sufficient for irradiation of tumors seated up to a depth of 30 cm (water equivalent), light ions require a higher energy for the same penetration. Carbon ions with an energy of 290 MeV/u will penetrate only 15 cm deep and for 30 cm an energy above 400 MeV/u would be required. For even heavier ions, such as neon, energies about 650 MeV/u are needed. Once the range of ion species has been selected, the top energy of the heaviest ion will determine the size of the machine and its cost. There are some trade-offs available in considering these parameters: a machine designed for a certain ion species and the full penetration depth (highest energy envisaged) is capable of delivering even heavier ions at the similar or somewhat lower energy per nucleon (the maximum energy will depend on the charge to mass ratio of ions); although for heavier ions

Fig. 5. Range-energy curves for several ion species of interest in cancer therapy [1]. the penetration would not be as deep, they could still be used for treatment of those tumors located closer to the surface of the body. For comparison, at an energy of 400 MeV/u carbon ions would have a penetration depth of 28 cm, oxygen ions 20 cm and neon ions only 17 cm. Ions like neon and heavier have a relatively higher plateau (dose delivered between the entrance and the tumor) and are preferred for shallow tumor locations to limit the damage to healthy tissues (Fig. 6); a lower energy per nucleon may, therefore, still be satisfactory. Should a deeper range be required, the machine should be designed for a higher energy. There will be additional requirements on the precision of the desired beam energy (position of the Bragg peak) and on the allowed energy spread of the beam

184 FIZIKA B 6 ( 1997) 4, 177-206 P ELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT

KINETIC ENERGY (MeV/u)

(broadening of the Bragg peak); it is possible to reduce these two effects by using energy defining collimators in the transport line, but this necessarily results in the loss of beam intensity. However, modern accelerators have already achieved the desired accuracy in energy setting and control (0.1% or better); the beam energy spread is also within the limits required for treatment. The knowledge of the properties of tissues in the path of the beam is more critical because this will affect the range (or position of the Bragg peak) and will have to be included into the planning of the treatment.

FIZ3KA B 6 (1997) 4, 177-206 185 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT

DEPTH (cm of water)

Fig. 6. Spread-out Bragg peak for several ion species, showing relative heights of the plateau and tail regions [1].

The treatment of larger volume tumors with protons or light ions requires scanning of the volume with ions of varying energy, to achieve a spread-out Bragg peak [8] . There are two methods to achieve the modulation of beam energy, one utilizes a fixed output energy from the accelerator (or, possibly, a few energies at large steps) when the changes of the beam energy are accomplished by energy degraders in the treatment room (passive systems), while the other is based on the energy modulation of the accelerator itself (active scanning). The first method, exclusively used at present, does not pose any additional requirement on the accelerator and the beam transfer line except for a fixed and steady output energy, but it does need very carefully designed energy degraders as well as elements for collimation; it may, however, result in a deterioration of the beam quality when passing through the degrader (scattering, fragmentation) and in additional background radiation in the treatment room. For some types of accelerators this is the only method applicable. The other method, by modulating the output energy of the accelerator itself, moves the burden of complexity from the final part of the transfer line to the machine itself. Modern designs of some accelerators, such as, e.g., a synchrotron, and beam transfer lines have reached a stage where it is possible to change the output energy of the machine and necessary transfer line parameters on a pulse-to-pulse basis, which may take only a second or less. This method allows the tumor volume to be scanned a small element by a small element (voxel), always with an appropriate energy and intensity. In spite of the additional complexity of the active scanning, further developments of the accelerator and beam transport control systems will soon make possible the introduction of this method for tests and patient treatment.

Finally, in order to accurately deliver the required dose throughout the tumor, the ac-

186 FIZIKA B 6 (1997) 4, 177-206 PRELEC: IONS AND I ON ACCELERATORS FOR CANCER TREATMENT celerator has to provide the desired ion species with very little contamination. In the case of light ions, accelerators may not be able to distinguish between different species having the same charge-to-mass ratio and the selection will have to be done in the injector stage.

3.2. Beam intensity

Beam intensity (or flux), required from the accelerator, is determined by several factors, among them the desired duration of the treatment, prescribed dose, method of beam energy modulation and size and location of the target. To minimize the effects of the motion of the patient during the irradiation it is desirable that treatment times be no longer than at most few minutes (in some cases it may be even necessary to synchronize the radiation pulses with breathing or heart beats). There is some flexibility in the choice of the length of the treatment time; one may e.g. ask for a dose of 5 Gy/min to be delivered to a target volume of 2 liters, at the full beam energy. Corresponding values of light ion beam intensities for such a rate of irradiation are of the order of 109 particles per second, less for heavier ion species because of their higher relative biological efficiency. The intensity of the beam at the exit of the accelerator will have to be higher because of losses in beam handling and transport from the machine to the patient. Passive systems in principle will have higher losses, possibly up to 80%, but one cannot expect a transport efficiency much better than 50% even with active scanning systems. The latter systems, however, have the advantage that the fraction of the beam, which is not delivered to the patient, is dumped outside the treatment room without contributing to the background radiation. The accelerator, together with the ion source and the injector stage, should be designed for the required output beam intensities over the whole range of ion species. For a certain machine design, the beam output will be lower for heavier ions, but so will be the required target beam intensity. Beam intensities given in Table 1 should be considered as upper limits; even lower values could be acceptable if this would lead to a simpler and less costly design or to a better beam quality because many tumors are smaller than two liters or a longer irradiation time could be allowed.

TABLE 1. Values of the beam intensities required for the treatment of patients.

3.3. Time structure of the beam on the target

An accurate dose delivery over the volume of the tumor requires a well defined time structure of the beam from the accelerator. If a passive beam delivery system is used, the target is irradiated slice by slice with a broad beam and the time structure is less critical as long as it is possible to monitor and control the time a slice is exposed to the beam. An active beam scanning system poses stricter requirements on the time structure unless there is an on-line beam detection system to accurately measure the dose delivered to any volume element and to deliver a signal to move the beam to the next element once the appropriate dose has been reached. Without such an on-line system, the extracted beam

FIZIKA B 6 (1997) 4, 177-206 187 P ELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT from the accelerator should be as steady as possible, with intensity fluctuations within a few percent only, which leads to very tight tolerances on accelerator and beam line elements and their power supplies.

In addition to the stability of the beam, there are other considerations. Regardless of the type of the machine, whether it is a cyclotron, linac or synchrotron, the beam will have an inherent intensity structure related to the rf accelerating voltage; depending on the type of the machine the beam may be available with a macroscopic duty factor less than 100%. A cyclotron operates with a duty factor of 100% and there is an rf structure corresponding to the frequency of the accelerating voltage; the beam intensity control is done best at the low energy end, ion source or ion injector. A linac usually has a very low duty factor, with pulses of a few milliseconds duration, but a high intensity and, again, showing an rf structure corresponding to the accelerating voltage. The low duty factor makes linacs less suitable for ion delivery systems. Finally, a synchrotron with a slow extraction system can have a duty factor up to 50% and its rf structure can in principle be removed by debunching the beam although there are no special advantages in doing this. A synchrotron, as a pulsed device, is well matched to both, passive and active beam delivery systems. The length of the extracted beam pulse could be made to correspond to the time needed to fully or partially irradiate a slice of the target, and the energy can then easily be changed for the next slice. However, the extracted beam intensity in a synchrotron is quite succeptible to any fluctuations or noise in magnet power supplies and efforts have to be made to address this problem.

4. Status of proton and light-ion cancer therapy, clinical trials

4.1. Facilities and number of potential patients

Statistics of the incidence of cancer and its cure rates indicate that there is room for a substantial improvement. Conventional surgery has reached a high level of safety and further improvements can be expected through the introduction of less traumatic procedures (laser surgery, laparotomies) and a broader use of reconstructive surgery. Chemotherapy is much less frequently chosen and justified as a single modality; patients benefit by its use as an adjuvant treatment. For the local control, most important part of cancer treatment, it is the radiation therapy that contributes greatly to the cure rates and which is still open to new methods of application and to new types of radiation. Even conventional new radiation techniques, such as stereotactic radiosurgery and conformal therapy, contribute to an increase of the dose delivered to the tumor without exceeding the allowed dose to healthy tissues. Protons and light ions , however, offer a further improvement in the treatment of certain tumor sites where conventional radiation may often fail. As mentioned earlier, the sites where proton and light ion beams could most benefit the patient are those where their characteristics (physical selectivity, radiobiological effects) can be fully utilized; the preferred sites would be those in a close vicinity of vital organs or those showing resistance to conventional radiation. Experience with proton beams (good physical selectivity), with neutrons (hi h-LET radiation) and with light ions (good physical selectivity, high-LET radiation) has shown that for a number of tumors substantially better results can be achieved,

188 FIZIKA B 6 (1997) 4, 177-206 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT both in the local control and in the long term survival. On the basis of these characteristics and supported by an limited experience, estimates have been made for the number of potential cases that could benefit from proton and light ion therapy [1 ,9,10,1 la,12]. For the Metropolitan New York area, with a population of 20 million, it has been estimated that out of 100000 new cancer cases per year, about 15 000 would benefit from proton therapy; an estimate done for Italy has shown that about 7 000 patients per year would benefit from light ion therapy, in a population of about 60 million. In a dedicated facility, it should be possible to treat about 1 000 to 2 000 patients a year. Hence, a proton facility could be fully utilized in any population of about ten million, while a light ion facility would be justified for agglomerations of several tens of million.

The real situation with proton and ion facilities is quite different. Although the use of protons has been suggested fifty years ago, at present there are less than twenty facilities in operation, with less than 20 000 patients treated so far. For light ions less experience has been gained: fewer than 3 000 patients have been treated so far, among them about 2 500 in the Berkeley facility which was closed in 1993. Presently, there is just one facility dedicated for light-ion cancer treatments, in Chiba (Japan), while clinical trials are about to begin in the nuclear laboratory at GSI (Germany). There are three proton facilities projected to be put into operation within a few years; another ion facility in Japan (Hyogo) is projected for the operation in the year 2001 and there are two European projects (TERA and CERN-AUSTRON-TERA-GSI collaboration) in the design stage. This reluctance in embarking with more vigor on clinical applications of light ions stems not only from the need for a substantial initial investment, but also from the uncertainty expressed by clini- tians that anticipated benefits of light ions in comparison with other types of radiation may not be fully realized in clinical trials.

4.2. Clinical trials with protons

Although not the first facility to use protons for tumor treatment, the Harvard Cyclotron Laboratory (HCL), in collaboration with the Massachusetts General Hospital (MGH), has treated the largest number of patients (more than 7000 so far) and gained most experience in the field [5,4b,7b,7c,13,14,l lb,l lc]. Results have been so encouraging that a new machine, again a cyclotron but with a higher energy, will be put into operation at the MGH, in 1998. Pathologies treated with proton beams fall into several categories in a certain order of priorities, starting with those close to highly critical structures where advantages of protons have been clearly demonstrated and no additional studies are needed; in the second group are pathologies characterized by a prevalently local evolution where local control will lead to a greater probability of cure than by using conventional radiation. Finally protons can be used for palliative treatment of locally advanced tumors with very poor prognosis. At HCL/MGH, the largest group of patients has been those treated for ocular tumors, especially uveal melanomas . Treatments have been highly successful with respect to local control, eye retension and visual preservation. A large number of patients with cervical spine and skull base chordomas and chordosarcomas have been treated as well. While the outcome, when using conventional radiotherapy and/or surgery for those tumors was very often fatal, a combined photon/proton treatment has resulted in a high local control rate and very good long-term survival rates. Similar encouraging results were

FIZIKA B 6 (1997) 4, 177-206 189 P ELEC: I ONS AND ION ACCELERATORS FOR CANCER TREATMENT achieved with a combined photon/proton treatment of prostate cancer, while the treatment of some intracranial tumors was much less successful.

The other important center in U.S.A. for cancer treatment with protons is situated in Loma Linda, as a fully dedicated facility [l id]. It is a 250 MeV synchrotron, put into operation in 1990 where more than 2000 patients have been treated. Anatomic regions treated include brain, head and neck, spine, posterior abdomen and pelvis. The majority of patients were diagnosed with prostate cancer. Together with the MGH facility, Loma Linda synchrotron with its three gantries and one fixed beam will for a long time be in the forefront of proton beam applications in cancer treatment.

At the Paul Scherrer Institute (PSI) in Villigen, Switzerland more than 2000 patients have been treated so far with protons, most of them for ocular tumors with a 72 MeV cyclotron beam [2,7d,l le,l lf]. Results were excellent, comparable to the treatment by enucleation but with the advantage of preserving the eye and a reasonable visual acuity, even in unfavourable cases of large tumors. There are plans to broaden the application of proton beams by using the 590 MeV cyclotron at PSI; the energy will have to be reduced to match the required range even for treatment of deep seated tumors. It is envisaged that the tumor volume will be scanned in three dimensions, moving the Bragg peak longitudinally by using a number of range shifters, sweeping magnetically the beam in one perpendicular direction and slowly moving the patient in the other.

The Proton Medical Research Center at Tsukuba, Japan [4c] has concentrated its efforts on treatment of thoraco-abdominal tumors, a different emphasis from other similar centers. About 500 patients have been treated thus far, using the 500 MeV synchrotron beam, degraded to 250 MeV. Due to a relatively small number of cases per type of tumor, the results are not conclusive but there are indications that primary malignancies of the esophagus, lung and liver may benefit from the improved physical dose distribution of proton beams, when applied either alone or in combination with photons.

There has been an active program of proton therapy in Russia since 1969, mostly at the Institute for Theoretical and Experimental Physics (ITEP) in Moscow [4d,l lg]. Close to 3000 patients have been treated for a large variety of tumor sites, many of them in an inoperable stage, by using the 70 - 200 MeV proton beam from the ITEP synchrotron. Although the number of cases per site has been rather small and therefore the statistics are not reliable, results for some tumors have been very encouraging, in a good agreement with clinical trials at other centers. The main difficulty for the clinical work in Russia has been the lack of dedicated facilities; medical applications usually have had a much lower priority in scheduling the time on the machine. The prospects for the recently prepared program to develop a hospital-based facility are, however, not very good because of the present economic situation in Russia.

4.3. Clinical trials with light ions

In spite of the expected benefits of light ion radiation, due to their better physical selectivity and to the additional radiobiological effects, there have been very few clinical trials worldwide, with a very limited number of patients. If the trials with helium nuclei are excluded from consideration (helium nuclei have characteristics similar to protons, i.e. they are low LET radiation), there were only about 500 patients treated so far, with either neon or carbon ions. The pioneering work was done at the Lawrence Berkeley Laboratory, in

190 FIZIKA B 6 (1997) 4, 177-206 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT the period between 1979 and 1992 when about 300 patients were irradiated with neon ions from the Bevatron facility; the facility was closed soon thereafter and no further trials were done [15,16,7e,4e,4f ,1 lh].The most commonly used energy of neon ions was 585 MeV/u, sufficient to penetrate to the deepest tumors. Most patients were selected for neon ion treatment because conventional modalities were ineffective (inoperable tumors, tumors not responding to conventional radiation). This fact makes a comparison more difficult because easily treatable cases, with a more favourable outcome, were excluded. The objective of those trials was to develop techniques for therapy planning and delivery, study the response for a variety of tumors and evaluate the acute and late toxicity of neon irradiation. The list of treated tumor types is long and, therefore, the number of patients was too small for good statistics. Still , neon ions appear to offer potentially improved local control and survival rates for a number of tumor types; results agree well with those obtained with other high- LET radiation such as neutrons. Improved control and survival rates were achieved for patients with paranasal sinus tumors, some salivary gland tumors, bile duct carcinomas, some soft tissue and bone sarcomas, and advanced prostate carcinomas; in some cases the rates were twice as high as with photons. The outcome of treatment of other types of tumors, such as some brain tumors, melanomas, advanced head and neck tumors, lung, esophageal , gastric and pancreatic malignancies, was not better than with conventional therapy, which usually meant that it was not favourable. The conclusion of the LBL trials was that neon ion radiotherapy offers a clinically feasible modality for several selected human cancers, with improved results when compared to conventional photon therapy. It is expected that better results, with fewer side effects, could be obtained with a better, more conformal system of beam delivery than used at LBL.

Although all patients treated at the LBL with light ions (excluding helium) received neon ion therapy, this choice does not seem to be the best. Carbon ions have radiobiological dose distribution features which have advantages compared to both protons and neon ions. While the physical selectivity is similar for all those particles, carbon ions have high- LET characteristics, and compared to neon ions, a lower dose in the plateau region and a smaller fragmentation tail beyond the target. The two facilities where light ions are used (or soon will be) have decided to concentrate the trials on carbon ions although the range of available species is much broader. The first facility is at Chiba, where clinical trials have been in progress since 1994 and about 200 patients have been treated with carbon ions [7f,17,18a,l li]. A wide variety of tumors have been and will be treated, including some deep-seated tumors which did not respond well to neon beams. Patients are carefully selected according to a number of criteria to determine the tumor response and the toxicity for normal tissues; locally advanced and/or inoperable localized carcinomas have been chosen. For head and neck sites locally advanced, recurrent or radioresistant tumors not treatable with other modalities are selected; brain tumors selected for treatment are malignant glioma and astrocytoma, while other sites include inoperable lung tumors, primary liver tumors, cervical cancer, prostate cancer, esophageal cancer and inoperable sarcomas of the bone and soft tissue. In the first phase, it is intended to use conservative doses, below those tolerated by healthy tissues; later on, the dose will be increased in small increments. This approach is justified because of the need to establish proper protocols for the treatment and because of high values of the factor RBE for some tissues such as the central nervous system which have to be spared as much as possible. Preliminary results show that

FIZ1KA B 6 ( 1997) 4, 177-206 191 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT there were no major healthy tissue morbidities and that carbon ion therapy is a promising modality for cancer treatment. Trials are planned to continue, expanding eventually the range of ion species to silicon or argon (for tumors located closer to the surface), with the hope to determine the appropriate role of ions in radiotherapy.

At the GSI heavy-ion research complex in Darmstadt (Germany), an experimental cancer treatment program is underway, to continue for five years and to include about 350 patients [18b,l lj]. The main objective of the program is to test a novel, most advanced method of beam delivery by using two-dimensional magnetic raster scanning coupled with an active accelerator energy modulation. An ionization chamber in front of the patient measures the number of ions at a specific point in the tumor volume and controls the speed of scanning. After the successful conclusion of the clinical trials the plan is to design and build a hospital based facility.

5. Types of accelerators for light ion therapy

5.1. Cyclotrons

Cyclotrons are machines with a constant magnetic field and a fixed frequency of the accelerating voltage. The injection of the beam from the ion source, its acceleration in the machine and ejection are a continuous process; the extracted beam has a fixed energy and its intensity can also be continuous which can have advantages when scanning the tumor. While cyclotrons delivering proton beams with energies up to 230 MeV have already been developed by industry to operate in a hospital environment, their application as accelerators for light ion therapy is not very feasible. The energy per nucleon needed for the same penetration depth is higher, also the charge to mass ratio of ions compared to protons is lower; because of these factors, a standard-design light-ion cyclotron for cancer treatment would have a prohibitively large magnet. The only cyclotron even considered for light ions was part of the now abandoned European Light Ion Medical Accelerator (EULIMA) Project. In order to reduce the large size and weight of a standard magnet, a superconducting single coil design was considered and developed for EULIMA, having an external radius of only 2.32 m. However, the cyclotron was not the preferred choice for this facility because the required superconducting technology was very sophisticated, not justifying other advantages of a cyclotron.

5.2. Linear accelerators

Conventional linear accelerators are usually very low duty-factor machines, delivering high ion beam currents in short pulses (of about a millisecond duration), often for injection into the next stage accelerator such as a synchrotron. They can accept and accelerate ions having a certain ratio of the charge to mass and deliver a beam with an energy fixed or, at best, variable in large steps. Although the extraction efficiency is close to 100%, there are presently no linear accelerators used for either proton or light ion therapy (there was a proposal to use a small fraction of the proton beam from the Brookhaven National Laboratory's 200 MeV linear accelerator for cancer treatment but it was decided not to proceed). Linear accelerators are machines requiring a large space, they are expensive to build and to

192 FIZIKA B 6 (1997) 4, 177-206 P ELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT maintain and beam characteristics are not most favourable for radiotherapy. Improved performance (broader spectrum of ion species, a higher duty factor, some flexibility in output energy, reduced size) can be achieved by using superconducting cavities but this is again a sophisticated technology which is not very suitable for a hospital environment.

5.3. Synchrotrons

A synchrotron is a pulsed accelerator, with particles moving on a closed, approximately circular trajectory where the magnetic field and the frequency of the accelerating voltage vary in time as the energy of particles increases. The pulse rate of a synchrotron is of the order of 1 per second or less except for very large machines, and the duty factor can be as high as 50%. The energy of the extracted beam depends on the final value of the magnetic field and can be changed on a pulse-to-pulse basis, which makes this type of a machine very well matched to the depth scanning by beam energy modulation. Although the extracted beam intensity is lower than from either a cyclotron or a linear accelerator, by a proper design it can be made sufficiently high for any ion species and for treatment of tumors at any depth. Other extracted beam parameters, such as emittance, energy spread or time structure, can also be matched to the needs of the beam delivery system. Due to its advantages, flexibility in output energy and ion species, a sufficient intensity, a reliable operation and a moderate size and cost, a synchrotron is the machine of choice in all projects for light ion treatment of cancer.

6. Light ion facilities, existing and future

6.1. History: BEVALAC Program

Although the first acceleration of ions heavier than helium was accomplished in 1971 , clinical trials had to wait until 1975 for the completion of the BEVALAC complex consisting of the synchrotron Bevatron and the linear accelerator SuperHILAC serving as its injector. The beam resources of this facility were shared between the nuclear physics research and biomedical studies. There were two treatment rooms, both utilizing horizontal beams. Initially a scattering system with two foils was used to spread the beam but uniform fields larger than 20 cm diameter were difficult to achieve without a significant deterioration of beam properties. In 1983, a magnetic wobbler system was installed consisting of two orthogonal dipole magnets and delivering the beam in a set of concentric circles, their radii controlled by the amplitude of the magnet coil currents. A more advanced raster scanning system was subsequently developed and commissioned just before the shutting down of the facility in 1993. In the retrospect, the main drawbacks of the BEVALAC program were the difficulties in running a machine for two different programs, with different requirements, rather high operating costs, beam characteristics not optimized for medical applications and a relatively high incidence of breakdowns which is not acceptable for routine radiotherapy.

6.2. Loma Linda proton synchrotron

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Although this machine was not designed for light ions, the review of existing facilities will begin with the proton synchrotron at the University at Loma Linda because it is the first synchrotron built for a hospital and used exclusively for medical applications [4g,l lk]. The engineering design and fabrication of the accelerator and beam transport systems were done by the Fermi National Accelerator Laboratory (Fermilab), beginning mid-1986. The maximum energy has been chosen to be 250 MeV, sufficient to treat even the deepest tumors. A duoplasmatron proton source feeds a 2 MeV radio frequency quadrupole (RFQ) which serves as an injector into the synchrotron. The machine is weak focusing, which made it simpler but it may have limited the intensity. In the year 1990, the first patient was treated, and since then the facility has been fully commissioned to include three gantry rooms and one fixed (horizontal) beam room. The operation of the machine itself has been very satisfactory, it was stable, reliable and reproducible. It will be very interesting to compare the experience with this facility with the MGH new cyclotron facility, soon to become operational, to see whether a single approach in the design of a proton facility is sufficient or whether both should be pursued. As a reference, it can be mentioned that Loma Linda synchrotron could accelerate heavier particles, such as fully stripped ions from helium up to possibly neon, but with a much lower intensity and a final energy just below 70 MeV/u, which is barely sufficient to irradiate even tumors very close to the surface.

6.3. HIMAC facility (Chiba)

The Heavy Ion Medical Accelerator in Chiba (HIMAC) is the first and only light ion accelerator in the world which has been designed specifically for medical and radiobiological applications [7g,7h,7i,19,18c] . The parameters of the machine were defined broadly enough to cover possible future requirements for heavier ion species and a higher maximum energy. The range of available ions goes thus from helium to argon, and the maximum energy was chosen to be 800 MeV/u for silicon, sufficient for a penetration depth of 30 cm (for argon ions the maximum energy is 700 MeV/u, which is sufficient for their optimal application, treatment of tumors close to the surface). The required beam intensity was determined on the basis of the dose rate of 5 Gy/min, for a field size of 22 cm diameter. This dose rate requires intensities ranging from 2.7 X 10 ^s particles per second (pps) for argon to 1.2 x 10 ¹⁰ pps for helium; for carbon, which is presently used for clinical trials, the required intensity is 2 x 10 ⁹ pps. Synchrotron is the only accelerator capable to satisfy the requirements for such a broad range of ion species, beam intensities and energy. In order to achieve such a flexibility and increase the reliability of the facility, it was decided to build two synchrotron rings, one on top of the other. The upper ring was designed for a somewhat lower energy, 600 MeV/u maximum, and it delivers a vertical beam to two treatment rooms and a horizontal beam to a room for radiobiological studies. The lower ring delivers a horizontal beam at the full energy of 800 MeV/u to two treatment rooms as well as a beam for general studies. Because of a much higher rigidity of light ions to be used in therapy compared to protons (for the same magnetic field the radius of curvature has to be larger by a factor of about 4 for heaviest ions and highest energy) gantries for light ions would have to be larger by a similar factor and most often are not considered for use in light ion facilities.

The detailed design and arrangement of the elements of the injector were determined

194 FIZIKA B 6 (1997) 4, 177-206 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT by the beam parameters of available ion sources. There are two ion sources used in the injector, a Penning source with a hot cathode suitable for ions from helium to neon and an electron cyclotron resonance (ECR) ion source for elements up to argon. Installation of an upgraded ECR ion source is underway, to provide the facility with even heavier ions, such as Fe. The two selected sources do not produce fully stripped ions, which is a requirement for acceleration in the HIMAC synchrotron; ions have to be first accelerated to an energy high enough to achieve an efficient stripping to bare nuclei. The first stage of acceleration is done in a radiofrequency quadrupole (RFQ) accelerator, designed to accept ions in a low charge state (relative charge to mass ratio q/m > 1/7); such a low value of the ratio q/m dictates that the RFQ has to be very long (/ = 7.3 m) which complicates the design. The output energy of the RFQ is still not high enough to achieve a full stripping, and ions are fed into a 24 m long Alvarez type linear accelerator where their energy is raised to 6 MeV/u; this is sufficient to achieve a high fraction of bare nuclei when the beam passes through a thin carbon stripping foil. The size of the ring is primarily determined by the final, maximum ion energy and at HIMAC the circumference is 130 m. The focusing is strong, of the separated function type. The maximum dipole magnetic field is 1.5 T, with a rise time up to 2 T s ^{_ 1} . Repetition rate can be varied between 0.3 and 1.5 Hz, with a flat top of up to 400 ms. For acceleration of heavier ions (Fe), the two rings could be operated in cascade.

The beam delivery system is standard, with two orthogonal wobbler dipole magnets to cover the required target field, a scatterer to achieve a smoother transverse dose distribution, a ridge filter to broaden the momentum spread and thus the Bragg peak, and a range shifter to change the beam energy. Although the synchrotron energy can in principle be varied on a pulse-to-pulse basis, the necessary instrumentation and controls have not yet been installed and the energy is varied by means of range shifters. The maximum field size is 15 x 22 cm ² .

The Chiba facility is part of the national program to combat cancer, developed in 1984. The construction started in 1988, machines were commissioned in 1993 and clinical trials started the following year. The cost of the facility was high, more than 300 million dollars (M$), with yearly operating costs of 45 M$. The whole system operates well, reliably and reproducibly; at present, the most important improvement project deals with removing ripples and fluctuations in the extracted beam.

6.4. GSI facility

The use of light ions from the GSI synchrotron SIS in radiotherapy was considered at the time of the proposal for the machine itself, but its realization had to wait until early 1990's [18b,4h,20a,18d]. At that time, there was already some experience gained at LBL with its BEVALAC facility, showing better results in treatment of several tumors compared to conventional radiation. Although light ions, which are high-LET radiation, should have certain advantages with respect to low-LET protons, clinical results from LBL did not fully confirm that; as one possible explanation, it was suggested that the dose delivery system at LBL has permitted an essential part of this high-LET radiation to be deposited outside the tumor, thus limiting the dose to the tumor itself. The objective of the GSI program has been to develop the best possible conform dose delivery system and to test the effects of light ions under such conditions. The machine itself has not been designed

FIZIKA B 6 (1997) 4, 177-206 195 PRELEC: I ONS AND ION ACCELERATORS FOR CANCER TREATMENT with medical applications in mind, but for production of all ions up to uranium for nuclear physics studies. The ring is rather large, and the maximum energy reaches 2 GeV/u for particles with q/m = 0.5 or 1 GeV/u for uranium. The ion beam spill may be as long as 1 to 2 seconds. Recent upgrades had as the objective an increase of intensity to the space charge limit of the ring but the original light-ion intensity was already sufficient for tumor treatment. The linear accelerator UNILAC serves as the injector into the ring; this was a logical solution because UNILAC was already available and in operation.

Of the two basic approaches in the design of the beam delivery system, the active beam spreading method was selected. The other approach, a passive system, has the disadvantage of irradiating a substantial fraction of healthy tissues around the tumor with potentially lethal high-LET ions. In the passive system, the ratio of the doses to the tumor and surrounding tissues can be improved by a careful design of a number of beam shaping modules for each patient, depending on the shape of the tumor and energy of the beam for a particular slice of the target; this process is demanding and costly. A great deal of effort was devoted to studies of active systems at GSI. In principle, this is a simple system: the treament volume is dissected into slices of equal thickness and each slice is irradiated separately by moving the beam across its cross-section. The shapes of consecutive slices will be quite different one from the other. Therefore, using the active beam delivery it should be possible to treat tumors of any shape. The control of beam energy to match the depth of a slice is done by modulating the accelerator and beam transfer line parameters.

To scan the beam laterally, across a slice, two different methods have been considered, raster and voxel scanning. In the raster scanning, the beam is moved continuously over the slice, and the writing speed is adjusted according to the required dose for the particular spot. In the voxel scanning, the beam stays at a spot long enough to deliver the required dose, then it is turned off and moved to the next spot. In the practical realization, there are no fundamental differences between the two methods and they both are capable of creating the proper dose distribution. While the motion of the beam across the slice is in principle a matter of controlling the elements of the beam transfer line to match the shape of the slice, it is much more complex to properly deliver the needed dose to each volume element. First, the beam with its energy adjusted to place the Bragg peak into the distal slice will deliver a dose, although lower, to all slices closer to the surface. The dose to be delivered to any subsequent slice has to take into account what has been previously deposited. Second, light ions are subject to fragmentation when passing through the matter and those lighter fragments may have a deeper penetration, delivering a certain dose beyond the Bragg peak, i.e. in the healthy tissue beyond the tumor (Fig. 6). Third, the relative radiobiological efficiency will be a very complex function of many parameters, such as particle energy, nuclear fragmentation, and properties of different tissues; it will have to be estimated in the best possible way to determine what dose to deliver to each volume element and then properly instruct the beam delivery system. The last problem remaining is to measure online the dose that has been delivered to a certain spot and then give the signal to move the beam; fast on-line ionization chambers are used for that purpose. On-line control of the dose distribution has an additional advantage: the system will be much less sensitive to ripple or fluctuations in the extracted beam intensity which was of primary concern for passive systems.

The extracted beam energy is changed by varying the parameters of the machine; a

196 FIZIKA B 6 (1997) 4, 177-206 P ELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT large number of fixed energy values have been selected and corresponding machine settings stored in a computer, to enable a pulse-to-pulse change of energies. The approach selected by the GSI is evidently the most advanced and should be capable of adjusting the delivered dose to the shape of the tumor with the minimum damage to the healthy tissues. In a few years, when the first results are known, it will be possible to compare not only the passive method as used at the HIMAC with the GSI active method, but also to determine whether a better dose delivery will prove expected advantages of light ions.

A few years ago, as an exercise, a medical synchrotron for light ions was designed at GSI. The maximum energy was 480 MeV/u, for all species up to neon; the intensity was chosen rather low, 10 ⁸ neon ions per second, resulting in a smaller vacuum chamber. The size of the machine was also relatively small, about 50 m in circumference.

6.5. COSY facility

The cooler synchrotron and storage ring COSY, recently put into operation at Julich, Germany, has also been considered for medical applications [20b, 111]. Although primarily a proton machine intended for nuclear physics, it should be capable to accelerate light ions up to neon. At the maximum magnetic field, the energy of light ions would be similar to that of the HIMAC facility but substantial modifications of the injector would be required to expand the range from protons to light ions. There are several areas of studies covered by the proposed medical program, among them comparison of active and passive beam spreading systems, treatments with a fixed horizontal line vs. a rotating gantry, and as a long range objective, the comparison of protons and light ions. As this facility will remain primarily a nuclear physics center, the number of patients will be limited to about 100 per year if at some future time clinical trials begin.

6.6. TERA project

The TERA project is an ambitious study by a large collaboration of Italian institutions, universities and hospitals with the goal of establishing an Italian centre for hadrontherapy [121 ,1 lm]. The initial goal has been later broadened to form a whole network of facilities for hadron cancer treatment, called RITA. This network would consist of the oncological hadrontherapy center, linked with several centers devoted to proton therapy and with other hospitals. For the oncological center, the study concluded that the best option would be a synchrotron serving for acceleration of H ^~ and light ions. Protons within an energy range of 60 to 250 MeV would be generated at extraction, by stripping of accelerated H ^~ ions. The same ring could be upgraded in the future to accelerate fully stripped light ions up to oxygen, at energies between 120 and 400 MeV/u. When operating with H ^~ ions, the ion source will be followed by an RFQ with the output energy of 2 MeV; the beam will then be further accelerated in a linear accelerator up to an energy of 11 MeV and injected into the synchrotron. For light ions, the choice of the ion source is of crucial importance for the design of the injector itself. Two ion sources have been considered, a Penning ion source delivering high ion currents but in low charge states, and an ECR ion source with a lower yield but with higher charge states. The first injector design was based on a Penning source delivering 0 ²⁺ ions; this would be followed by an RFQ to raise the energy to 250 keV/u. The final stage, a synchrotron, needs fully stripped ions for injection and low charge

FTZIKA B 6 (1997) 4, 177-206 197 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT state oxygen ions have to be pre-accelerated to an energy high enough to achieve the full stripping. For the TERA project, the process of raising the charge state would proceed in two steps. After the initial acceleration in the linear accelerator to an energy of 850 keV/u, the optimum charge state after stripping is O ⁶ *; this will be followed by further acceleration to 3 MeV/u, sufficient for a good yield of fully stripped oxygen ions. This is a rather complex scheme and not very efficient because it requires a two-section linear accelerator, with one stripping foil inserted between the sections and one after the second section. Although the yield of the optimum charge state after the stripping foil is much lower than the beam intensity before the foil, it is expected that the synchrotron output would be sufficient to deliver the required dose to the patient. Both injectors, H- for proton therapy and the light ion injector, would require about the same injection magnetic field which simplifies the operation. The design value of the maximum magnetic field needed for acceleration of fully stripped oxygen ions to an energy of 400 MeV/u is 1.4 T; for the maximum energy of H ^~ ions of 250 MeV the field is only 0.537 T which allows an efficient acceleration with very small losses due to stripping of H- ions in the magnetic field. The proposed lattice is of the strong focusing, separated function type, with a circumference of about 60 m. The repetition rate is 2 Hz for H~ operation and 1 Hz for light ion operation; the flat top is 0.3 s.

The oncological center has been designed to have five treatment rooms, two with proton gantries capable of handling 250 MeV beams, one room with full energy horizontal and vertical proton beams, one room with two lower energy horizontal beams for treatment of eye, head and neck tumors, and one room devoted to future light ion therapy; there will also be an experimental room for protons and light ions. When fully in operation, about 1000 patients could be treated per year. At this stage of the project, both passive and active beam delivery systems are under consideration. It should be mentioned that as part of the TERA project, other options for proton acceleration have also been considered, such as a compact synchrotron and a compact high frequency linear accelerator.

6.7. Hyogo project

In addition to the HIMAC facility, which has been put into operation a few years ago, there is another proton/light ion facility under construction in Japan. This is the Heavy Ion Medical Accelerator Project by Hyogo Prefecture Government [7j], planned for initial operation in the year 2001. The facility will use protons, helium and carbon ions, with energies up to 230 MeV/u for protons and helium and up to 320 MeV/u for carbon. Beam intensities have been determined from the requirement for a dose rate of 5 Gy/min delivered to a target volume of 15 cm diameter and a fully extended spread-out Bragg peak. Ion beam energies will allow a penetration depth of 30 cm for protons and helium ions and 20 cm for carbon ions. The repetition rate of the synchrotron is 1 Hz for protons and 0.5 Hz for other ions, with a spill length of 0.4 s. There will be five beam lines, three for helium and carbon ions (one horizontal, one vertical and one 45° oblique line) and two proton lines with gantries. For the initial operation, a passive beam delivery system is envisaged.

6.8. Med-AUSTRON initiative

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The initiative Med-AUSTRON was established in 1995 with the objective to study the feasibility for a proton and ion cancer research center in Austria. Studies are ongoing, in collaboration with the TERA Foundation, CERN and GSI , and the results will be presented at a meeting scheduled for October 1997. Preliminary parameters of the ring are slightly different than in the original TERA proposal, although the machine is still designed for protons and light ions. The light ion species considered in this study is carbon (as presently used at Chiba and GSI facilities), with a maximum energy of 425 MeV/u. The ring has a larger circumference, 71 m, but this increase in size would add very little to the overall cost of the facility. In addition to the studies of slow beam extraction from the synchrotron, there are a number of related issues to be covered as well , such as beam stability during the spill and passive and active beam delivery options.

6.9. BNL booster

At Brookhaven National Laboratory, Upton, U.S.A., there is a 200 MeV H~ linear accelerator; it was recently proposed to use a small part of the beam for proton therapy but the plan was abandoned because of difficulties in scheduling the two applications, high energy physics and medical, without one interfering with the other [10]. Another accelerator, a booster synchrotron, was designed and constructed to serve as injector of any ion species (protons to uranium ions) into the Alternating Gradient Synchrotron (AGS). The maximum energy as well as beam intensities have been determined by the needs of the AGS ring, and further, of the Relativistic Heavy Ion Collider (RHIC), presently under construction, and are more than sufficient for any medical application. For light ions such as carbon or oxygen the AGS Booster is capable, using the existing tandem van de Graaff injector, to provide a sufficient beam intensity at any energy required for tumor treatment. Other ion species (nitrogen, neon) would need a new ion source and injector to replace the tandem. There is a proposal to utilize the Booster beam for radiobiological studies of interest to NASA with ions up to iron, but patient treatment has not been included in the proposal . By adding a new ion source and injector, it would be possible to extend the range of parameters of the Booster (ion species, energy, intensity) and change them on a pulse-to-pulse basis. The interference with the principal mode of operation of the Booster, which is acceleration of ions for injection into the AGS, would be minimal because AGS and RHIC will need the beam only part of the time.

7. A dedicated light ion facility for cancer treatment

7.1. Accelerator

The analysis of light ion beam parameters, required for tumor treatment, has shown that of the three types of accelerators considered in this report, it is only a synchrotron that is capable to deliver beams of different species, with an energy variable on a pulse- to-pulse basis and a duty factor of the extracted beam well matched to either the passive or active mode of beam delivery [4i ,4j]. A cyclotron is a machine designed for a fixed energy and range shifters have to be used if lower energies are needed; this may result in a deterioration of beam properties, one of the most important characteristics of light ions. Conventional cyclotron designs, when extended to light ions, lead to very large and

FIZ1KA B 6 (1997) 4, 177-206 199 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT massive machines. Therefore, superconducting magnets have to be considered. Even this technology requires large units and a very sophisticated design which is not very suitable for a hospital environment. A linear accelerator for ion energies of interest in tumor therapy is a very long and expensive machine; although it is in principle possible to design a linear accelerator for handling different ion species and even to modulate its final energy, there are other disadvantages that preclude this option. On the other hand, a number of synchrotrons have been constructed so far, at an acceptable cost, for different purposes and a broad range of parameters (ion species, energy, duty factor, duration of the flat top). They perform well, reliably and with a good reproducibility and they are accelerators of choice for light ion tumor therapy.

The synchrotron lattice designs have been perfected to a high degree and at present it is possible to find a design close to the optimum for given beam parameters. The expertise for a proper design exists at many laboratories around the world, and industry may be willing to participate in the construction, in collaboration with one or more laboratories. Existing designs, such as TERA or Med-AUSTRON, can serve as the basis for any new light ion facility.

7.2. Ion sources

There is, however, one element of the accelerator with some room for improvement. This is the preceding stage, the injector. Several considerations require that only fully stripped ions be injected into the synchrotron. First, the acceleration efficiency depends on the charge state of ions, therefore the size of the machine, its cost and time for ions to reach the final energy will also depend on the charge state; this is why the injector into the synchrotron has to produce fully stripped ions (bare nuclei). The same rule applies to the injector itself: a higher charge state of ions produced in the source will result in a more efficient acceleration and a smaller, simpler and less costly injector. The design of the Chiba facility illustrates this point: the beam from the ion source is accelerated in a 7.3 m long RFQ, followed by a 24 m long linear accelerator, all in order to give partially stripped ions enough energy for an efficient full stripping at injection into the synchrotron. The second, also important consideration are losses of ions in collisions with molecules of the residual gas in the vacuum chamber; they will be lowest for fully stripped ions.

7.2.1. Low charge state ion sources

A typical representative of low charge state ion sources and also one still frequently used in accelerators, is the Penning or PIG (from Philips Ionization Gauge) ion source. It is very simple in principle, consisting of two cathodes placed at each end of a hollow, cylindrical anode; the electrode structure is immersed in a magnetic field. Electrons emitted from either cathode are accelerated by the cathode electric field into the hollow anode where they are trapped and forced to make many oscillations along the magnetic field lines before they are lost to the anode. Electrons with a sufficient energy will ionize particles in the source volume and a plasma will be created there. Penning sources are capable of producing copious ion currents of any element, but in a rather low ionization state and with a broad charge state distribution; the reason for the former is a relatively low cathode to anode voltage that the plasma in the source can sustain.

200 FIZIKA B 6 (1997) 4, 177-206 PRELEC : IONS AND ION ACCELERATORS FOR CANCER TREATMENT

The standard approach in the design of a high energy ion accelerator (such as for cancer treatment), based on a low charge state ion source, is to select a charge state with a sufficient intensity, then preaccelerate the ions to an intermediate level and pass them through a thin stripping target. At the exit of the stripper, charge states of ions will be higher than before but their spectrum will be broader; the price to pay is the fact that unwanted states will have to be rejected, resulting in a substantial loss of intensity. In some cases the process has to be repeated once more, by further acceleration and final stripping before injection into the synchrotron, as was proposed for the first TERA project. It is evident that this scheme, although based on a simple inexpensive ion source, could be more costly concerning the overall acceleration process itself.

7.3. Intermediate charge state ion sources - ECR

An electron cyclotron resonance (ECR) ion source is again a magnetic electron trap, where a plasma is created and maintained in a weak magnetic field. Ionization is performed by fast electrons in a step-by-step process, resulting in an increase of the average charge state of ions . Electrons are heated by high frequency electromagnetic waves introduced into the plasma; there is a region in the plasma where the wave frequency is in resonance with the magnetic field. ECR ion sources have been in a wide use for several decades, they are reliable and easy to operate, although much more expensive than, e.g., a Penning source. They are capable of producing intermediate charge states of many elements, up to uranium, but their performance with light ions is what is relevant for medical applications. The best yields of carbon or oxygen ions of modern ECR ion sources is in the helium-like state, with two electrons remaining, while for heavier ions, the optimum charge state is lower. Still, an ECR ion source for use in a medical accelerator would require just one stripping stage to produce bare nuclei , with the final yield not much different from a Penning source. This type of ion sources is being used or proposed as an alternative to Penning sources, e.g., at Chiba or in the TERA proposal. The work on improving ECR sources is going on at many laboratories, but it is doubtfull that enough progress will be made to produce a high enough yield of fully stripped light ions in a foreseeable future.

7.4. High charge state ion sources - EBIS

An electron beam ion source (EBIS) is a device where electrons and ions are confined in a combination of electrostatic and magnetic fields. The magnetic field is solenoidal , serving to compress and confine a high-current-density electron beam. The negative space charge of electrons confines the ions radially while a system of coaxial electrodes confines them axially via properly selected potentials. The process of ionization is again step-by- step, in collisions between fast electrons in the beam and confined ions. An EBIS is in principle a pulsed device, where the process starts with the injection of neutral particles or very low charge state ions of the desired species. During the confinement time, which can be chosen at will, the charge state distribution of confined ions moves from lower to higher values; the final distribution depends on the electron beam current density and the confinement time. These two parameters can be easily adjusted so that the source is able to produce any ion species in any charge state (e.g., fully stripped uranium). For light ions up to neon, satisfactory yields of bare nuclei have already been achieved, while for

FIZIKA B 6 (1997) 4, 177-206 201 PRELEC: I ONS AND ION ACCELERATORS FOR CANCER TREATMENT heavier ions such as argon, yields are still too low. The comparison of performances of an ECR source with an EBIS is not straightforward: an ECR source is in principle a device delivering a certain current, while an EBIS delivers a certain positive charge depending on the electron beam parameters and size of the device. Thus the ion current from an EBIS will depend also on the selected value of the ion pulse length, which is adjustable within a certain range. The latter property of an EBIS makes this source very suitable for injection into a synchrotron because a very high current can be injected into the ring during a short interval. At present, the work on EBIS development is proceeding at several laboratories and within a few years, a simple, room-temperature device should become available delivering ion intensities needed for medical synchrotrons. The main advantage of an EBIS is its possibility of producing fully stripped ions, up to neon with a sufficient intensity, eliminating thus the need for any stripping before injection into the synchrotron and making the injector short, simple and less expensive. Any source of fully stripped light ions has to be extremely clean, to avoid any contamination of the extracted beam with ions of unwanted species having the same charge-to-mass ratio.

7.5. Injector

The simplest design of an injector results if the source can deliver fully stripped ions. At present, it is only an EBIS that is capable of delivering sufficient intensities of fully stripped ions, but should an ECR be developed in the future with the similar performance, the choice will be between these two types, with other characteristics deciding which one to use. In any case, the only accelerator stage between the source and the synchrotron ring will be just a short RFQ, with an energy high enough to accelerate and inject the required number of ions. Elimination of stripping foils will make the design simpler, more reliable and easier to operate.

7.6. Beam delivery system

The only beam delivery system presently in use on proton and light ion accelerators for tumor treatment is of the passive type. The active-type systems, with accelerator energy modulation and beam raster or voxel scanning, will be tested in the near future at the GSI facility. Although active systems seem to be more complex, once the required technology is developed (accelerator controls, beam intensity monitoring and controls, interface between the beam delivery system and patient) the most important element will be to determine the exact location, shape and properties of the tumor, as well as properties of tissues ahead of the tumor. The knowledge of the properties of healthy tissues is of crucial importance, not only because they will determine what will happen to the beam when passing toward the tumor, but because it will serve to estimate the dose delivered to healthy organs. However, the design of the accelerator should be such as to satisfy the requirements of either a passive or an active beam delivery system.

8. Cost effectiveness of light-ion cancer therapy

There are two issues to consider when estimating the cost effectiveness of light ion cancer therapy: costs of treatment of a patient as compared with other modalities having

202 FIZIKA B 6 (1997) 4, 177-206 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT similar prospects for cure of cancer and costs of treatment of a patient for whom there are no other (or better) modalities for cure compared to costs of other life-saving procedures. While the first issue is the question of economics - how to find the most cost-effective treatment if several modalities with similar outcomes are available, the second issue borders with the question how to determine whose life should be saved.

One of the most thorough analyses of costs of a proton/light-ion facility has been done for the TERA project [21]; estimates are available for a few other projects as well [2,3,10]. The Phase I of the TERA project would be limited to production and use of protons only, while the addition of light ions up to oxygen has been considered as an upgrade. The total cost of the facility has been estimated at about $M 50, with the light-ion upgrade adding about $M 7.5; this includes management, installation and commissioning costs and 15% contingency. It is interesting to note that the accelerator itself contributes less than 20% to the total construction cost of the facility. To estimate the cost of the treatment per patient, several assumptions had to be made in the proposal; the first was about the number of patients that could be treated per year. After an initial period of two years, and operation in two shifts, about 1 000 patients could be treated per year (this number could be increased by adding more treatment rooms or by operating in three shifts which is a standard mode of operation at nuclear or high energy physics machines). Assuming a 25 year amortization and including the operating costs, the estimated cost per patient was about $ 15 000 for proton therapy; light-ion therapy would be more expensive by about 20%. A somewhat lower estimate has been arrived at for a German project. If, instead, 1 500 patients are treated per year, the cost would be reduced correspondingly. There are two major proton therapy facilities in the United States, Loma Linda and Harvard Cyclotron Laboratory; their charges have been quoted in a wide range, from $ 10 000 to $ 60 000, depending on the number of sessions. At present, there are no light-ion facilities either existing or proposed to be built in the United States.

It is not easy to compare these costs with other modalities for cancer treatment, again because of a broad range of costs , from one country to another and depending on the extent of the disease. In Germany, the average cost of conventional radiotherapy amounts to about $ 5 000, but the modern conformal radiation treatment would be more expensive; oncological surgery is more expensive, on the average about $ 10 000, and chemotherapy even more, up to $ 40 000. In USA, the structure of costs is different, so that e.g. an oncological surgery may easily cost $ 25 000. From these data, it would follow that a proton therapy treatment is about twice as expensive as conventional radiotherapy, while the light-ion treatment may be up to three times more expensive. Average costs of proton therapy are comparable to oncological surgery, but lower than for chemotherapy. However, there are other factors to be taken into account, such as the length of the stay in the hospital (which in some cases is the major contribution to the total cost), overall treatment time, quality of life and socio-economic disruption of life, and acute and long-term morbidity. When all these factors are included, it may well be that a somewhat more expensive modality, such as radiotherapy with protons or even with light ions, would be preferable.

Finally, addressing the second issue, one should consider costs of other socially and economically acceptable treatments, such as bone marrow transplantation which may cost up to $100 000, and heart transplantation which may cost up to $ 140 000 for the surgery alone and further several hundred thousand for hospital and drug costs. The latter proce-

FIZIKA B 6 (1997) 4, 177-206 203 P ELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT dure, long term life-saving, is presently, in about 60% of cases, limited not by the costs of the treatment itself but by the number of available organs. However, this issue is beyond the scope of this report.

9. Conclusions

Light ions have several distinct characteristics that seem to offer a more promising treatment of some types of cancer than other types of radiation. Their physical selectivity in the dose delivery is very good, with lower scattering and enhanced energy deposition at the end of the track. Radiobiological properties, such as a reduced sensitivity to the phase in the cell cycle, a lower oxygen enhancement ratio and higher values of factors LET and RBE also seem attractive and advantageous for cancer treatment. Analyses performed for several projects have shown that there are a number of types of cancer where light ions may offer a much better or the only prospect for cure and, therefore, can not be considered to compete with established methods but to complement them. Still, the number of patients treated so far has been relatively very small and limited to just two facilities, Berkeley and Chiba. There are several reasons for the reluctance to introduce this new type of radiation as a modality in cancer treatment and we shall try to address them.

It is a fact that, except for the dedicated Chiba facility, all other accelerators capable of producing energetic light ions were built for a different purpose and with different characteristics than needed for the therapy. The range of their parameters (ion species, energy, intensity) is usually much broader and the construction and operating costs much higher than acceptable for medical applications; the facilities tend to be complex and not reliable enough. Because tumor treatment is not their primary purpose, the time available for radiobiological studies and trials is limited. The Chiba facility, once in full operation, will be able to supply the needed ion beams and in a few years valuable experience will be gained about the effectiveness and advantages of light ions. The new Hyogo facility should be in operation by the year 2001 and add more data to the statistics. With these two facilities, Japan has taken a leading role in exploring the merits of light ions. European efforts, although very important for the progress of the field, are concentrated on limited clinical studies at the GSI and on TERA Project and Med-AUSTRON initiative. If these efforts result in the construction of a dedicated light-ion facility in Europe, this will be again an important step in determining the feasibility of light-ion use in cancer treatment. In the United States, at present there is no ongoing effort, after the closing of the Bevalac facility. The only accelerator capable of producing light ions for cancer treatment is the Booster at Brookhaven National Laboratory, but presently there are no plans to use its beams in medicine, although it is likely to be used for radiobiological research.

Characteristics of light ions that make them attractive for cancer treatment, are also the reason that their application is much more critical and complex. Tumor diagnostics and beam delivery systems become very sophisticated, and so do the accelerator controls. However, after the initial investment into the development of the hardware and software of a prototype facility, the next generation should become simple enough to be operated in a hospital environment. Results from GSI studies in accelerator control and active beam delivery systems will be very important for further developments.

204 FIZIKA B 6 (1997) 4, 177-206 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT

Progress in the use of conventional types of radiation, including protons, has been substantial and the beam delivery has moved closer to the ideal, conform treatment. This has been mentioned as an argument against the introduction of new types of radiation in tumor treatment. However, light ions were never supposed to replace the methods which have already achieved excellent results but to try to treat those cases for which other modalities offer little or no hope. To prove or disprove the expectations, based on physical and radiobiological properties, it is necessary to broaden the studies and clinical trials to get better statistics.

Finally, there is the question of cost-effectiveness compared to other modalities. Again, it may be true that conventional radiation treatments are less costly than one with light ions, but here the argument is the same as before: if light ion treatment is a much better or the only modality available for certain tumor sites, then the cost should be of secondary importance, considering other more expensive, but life saving procedures.

To conclude, for such a universal medical problem as cancer, it is important to explore all avenues to accomplish a cure. Radiation with light ions offers a possibility to improve existing methods, but the number of patients is still far too small to reach the judgement about its benefits and advantages. In the present situation, one cannot expect that funds would become available to start construction of new facilities above those mentioned before. It is, therefore, important that the facilities already existing, including those built for other purpose, are utilized as much as possible for radiobiological studies and clinical trials of a limited number of tumor sites where other methods fail or are not very successful; an international cooperation will be indispensable to achieve the desired results.

Acknowledgements

This work was performed under the auspices of the U. S. Dept. of Energy. The generosity of the Rockefeller Foundation in awarding me the residency at the Bellagio Study and Conference Center to write the report, is greatly appreciated. Professor U. Amaldi kindly gave the permission to use figures from Ref . 1. Discussions with and advice received from Dr. J. Sisterson, Harvard Cyclotron Laboratory, are also acknowledged.

FIZIKA B 6 (1997) 4, 177-206 205 PRELEC: IONS AND ION ACCELERATORS FOR CANCER TREATMENT

References

1) The TERA Project and the Centre for Oncological Hadrontherapy, INFN-LNF-Divisione Ricerca, Frascati (Italy), eds. U. Amaldi and M. Silari, July 1994;

2) E. Pedroni in Proc. Fourth European Particle Accelerator Conference EPAC 94, World Scientific Publishing Co. (1994), page 407;

3) L. H. Schwartz et al., Bull. Cancer/Radiotherapie 82 (1995) 365;

4) Ion Beams in Tumor Therapy, ed. U. Linz, Chapman & Hall (1995), papers: a) U. Linz, p. 15; b) J. E. Munzenrider, p. 95; c) H. Tsujii et al., p. 127; d) E. I. Minakova, p. 106; e) P. K. Lillis- Hearne and J. R. Castro, p. 133; f) R. P. Levy et al., p. 142; g) J. M. Slater et al., p. 319; h) G. Kraft, p. 341; i) J. R. Alonso, p. 171 ; j) P. Mandrillon, p. 181;

5) D. E. Bonnett, Phys. Med. Biol. 38 (1993) 1371 ;

6) A. Wambersie, in Hadrons in Radiation Therapy, Proc. European Heavy Particle Therapy Group Meeting, Orleans, May 1995; Bull, du Cancer/Radiotherapy 83 (1996) 68;

7) Proc. NIRS Int. Seminar on Appl. of Heavy Ion Accelerator to Radiation Therapy of Cancer, eds. T. Kanai and E. Takada, Nat. Inst, of Radiological Sciences, Japan (1994), papers: a) K. Ando et al., p. 32; b) A. Smith et al., p. 50; c) Y. Jongen, p. 59; d) E. Pedroni, p. 259; e) E. A. Blakely and J.R. Castro, p. 149; f) H. Tsujii et al., p. 212; g) K. Kawachi, p. 10; h) S. Yamada et al., p. 13; i) K. Ueda et aL. p. 19; j) A. Itano, p. 88;

8) J. Alonso, in Proc. 1995 Particle Accelerator Conference, IEEE Service Center, p. 58;

9) U. Amaldi, in Proc. XVIII Int. Linear Accelerator Conf, CERN, Geneva (1996), p. 605;

0) Proton Therapy Facility atBNL, Report to the BNL Director, March 1995 (unpublished); 1) Proc. First Int. Symp. Hadrontherapy, Como (Italy), October 1993, eds. U. Amaldi and B. Lars- son, Elsevier (1994), papers: a) G. Gademann, p. 59; b) J. E. Munzerider, p. 83; c) A. Smith, p. 138; d) J. M. Slater, p. 130; e) H. Blattmann et al., p. 122; f) E. Egger and L. Zografos, p. 145; g) E. I. Minakova, p. 102; h) J. R. Castro, p. 209; i) K. Kawachi et al., p. 229; j) G. Kraft et al., p. 217; k) G. Coutrakon et al., p. 282; 1) U. Linz, p. 386; m) U. Amaldi, p.45;

2) Particles, a Newsletter, Proton Therapy Co-Operative Group, ed. J. Sisterson;

3) P. Chauvel, Radiat. Environ. Biophys. 34 (1995) 49:

4) J. M. Cosset et al., Radiat. Environ. Biophys.34 (1995) 3739;

5) J. R. Castro, Radiat. Environ. Biophys.34 (1995) 45;

6) J. R. Castro, Int. J. Rad. One. Biol. Phys. 29 (1994) 647;

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9) T. Murakami et al., in Proc. XVIII Int. Linear Accelerator Conference, CERN (Geneva) 1996, p.

830;

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IONI I IONSKI UBRZIVACI ZA LIJECENJE RAKA

Upotreba iona visoke energije te mase do neona pruza znacajne prednosti prema uobicajenim metodama zracenja u lijeSenju nekih vrsta raka. U ovom preglednom radu izlazu se radiobioloSke znacajke vise vrsta zracenja (fotona, elektrona, protona i iona), s naglaskom na usporedbe uSinaka brzih iona i drugih vrsta zraSenja. Nadalje, utvrduju se parametri ionskih snopova za lijecenje raka, daje pregled dosadasnjeg rada u ionskoj terapiji i klini£kim ispitivanjima s protonima i brzim ionima, te opisuju sustavi koji su u upotrebi i koji se planiraju. Na kraju, na osnovi poznatih iskustava i buducih potreba, predlaze se najpovoljniji sustav ionskog ubrzivaca za lijecenje raka.

FIZIKA B 6 ( 1997) 4, 177-206 207

APPENDIX

Lawrence Berkeley National Laboratory

(University of California, University of California)

Year 2006 Paper LBNL ^> 5Q88S

Overview of Light-Ion Beam Therapy

William T. Chu

This paper is posted at the eScholarship Repository, University of California.

http://repositories.cdlib.org/lbnl/LBNL-59883

Copyright ©2006 by the author. Coiumbus-Ohio, ICRU-IAEA meeting, 18-20 March 2006

Overview of Light-Ion Beam Therapy

William T. Chu ^*

E.O. Lawrence Berkeley National Laboratory

University of California, Berkeley

History of Hadron Therapy

In 1930, Ernest Orlando Lawrence at the University of California at Berkeley invented the cyclotron. One of his students, M. Stanley Livingston, constructed a 13 -cm diameter model that had all the features of early cyclotrons, accelerating protons to 80 keV using less than 1 kV on a semi-circular accelerating electrode, now called the "dee." ¹ Soon after, Lawrence constructed the first two-dee 27-Inch (69-cm) Cyclotron, which produced protons and deuterons of 4.8 MeV. In 1939, Lawrence constructed the 60-Inch (150-cm) Cyclotron, which accelerated deuterons to 19 MeV. Just before WWII, Lawrence designed a 184-inch cyclotron, but the war prevented the building of this machine. Immediately after the war ended, the Veksler-McMillan principle of phase stability was put forward, which enabled the transformation of conventional cyclotrons to successful synchrocyclotrons. When completed, the 184-Inch Synchrocyclotron produced 340-MeV protons. Following it, more modern synchrocyclotrons were built around the globe, and the synchrocyclotrons in Berkeley and Uppsala, together with the Harvard cyclotron, would perform pioneering work in treatment of human cancer using accelerated hadrons (protons and light ions).

When the 184-Inch Synchrocyclotron was built, Lawrence asked Robert Wilson, one of his former graduate students, to look into the shielding requirements for of the new accelerator. Wilson soon realized that the 184-Inch would produce a copious number of protons and other light ions that had enough energy to penetrate human body, and could be used for treatment of deep-seated diseases. Realizing the advantages of delivering a larger dose in the Bragg peak ² when placed inside deep-seated tumors, he published in a medical journal a seminal paper on the rationale to use accelerated protons and light ions for treatment of human cancer. ³ The precise dose localization provided by protons and light ions means lower doses to normal tissues adjacent to the treatment volume compared to those in conventional (photon) treatments.

Supported by the Director, Office of Science, Office of Basic Energy Sciences, of the U.S. Department of Energy under Contract No. DE-AC02-05CH1 1231.

¹ E.O. Lawrence and M.S. Livingstone, Phys. Rev 37: 1707 (1931); and M.S. Livingston, "The Production of High- Velocity Hydrogen Ions Without the Use of High Voltages," PhD thesis, University of California, Berkeley (1931).

² W.H. Bragg and R. Kleeman, "On the ionization curves of radium." Philosophical Magazine, 8: 726-738

(1904).

³ R.R. Wilson, "Radiological use of fast protons," Radiol. 47, 487-491 (1946).

(1) Columbus-Ohio, iCRU-IAEA meeting, 18-20 March 2006

Wilson wrote his personal account of this pioneering work in 1997. ⁴

In 1954 Cornelius Tobias and John Lawrence at the Radiation Laboratory (former E.O. Lawrence Berkeley National Laboratory) of the University of California, Berkeley performed the first therapeutic exposure of human patients to hadron (deuteron and helium ion) beams at the 184-Inch Synchrocyclotron. ⁵ By 1984, or 30 years after the first proton treatment at Berkeley, programs of proton radiation treatments had opened at: University of Uppsala, Sweden, 1957 ⁶ ; the Massachusetts General Hospital-Harvard Cyclotron Laboratory (MGH/HCL), USA, 1961 ⁷ ; Dubna (1967), Moscow (1969) and St Petersburg (1975) in Russia ⁸ ; Chiba (1979) and Tsukuba (1983) in Japan; and Villigen, Switzerland, 1984. These centers used the accelerators originally constructed for nuclear physics research. The experience at these centers has confirmed the efficacy of protons and light ions in increasing the tumor dose relative to normal tissue dose, with significant improvements in local control and patient survival for several tumor sites. M.R. Raju reviewed the early clinical studies. ⁹

In 1990, the Loma Linda University Medical Center in California heralded in the age of dedicated medical accelerators when it commissioned its proton therapy facility with a 250- MeV synchrotron. ¹⁰ Since then there has been a relatively rapid increase in the number of hospital-based proton treatment centers around the world, and by 2006 there are more than a dozen commercially-built facilities in use, five new facilities under construction, and more in planning stages.

Light-Ion Beam Therapy

In the 1950s larger synchrotrons were built in the GeV region at Brookhaven (3-GeV Cosmotron) and at Berkeley (6-GeV Bevatron), and today most of the world's largest accelerators are synchrotrons. With advances in accelerator design in the early 1970s, synchrotrons at Berkeley ¹¹ and Princeton ¹² accelerated ions with atomic numbers between 6 and 18, at energies that permitted the initiation of several biological studies. ¹³ It is worth noting that when the Bevatron was converted to accelerate light ions, the main push came from biomedical users who wanted to use high-LET radiation for treating human cancer.

⁴ R.R. Wilson, "Foreword to the Second International Symposium on Hadrontherapy," in Advances in

Hadrontherapy, (U. Amaldi, B. Larsson, and Y. Lemoigne, editors), Excerpta Medica, Elsevier, International Congress Series 1144: ix-xiii (1997).

C.A. Tobias, H.O. Anger and J.H. Lawrence, "Radiological use of high energy deuterons and alpha particles," Am. J. Roentgenol. Radiat. Ther. Nucl. Med. 67: 1-27 (1952).

⁶ B. Larsson, Brit. J. Radiol. 34: 143-151 (1961).

⁷ H.D. Suit, M. Goitein, J. Tepper, A.M. Koehler, R.A. Schmidt and R. Schneider, Cancer 35: 1646-1657 (1975).

⁸ L.L. Goldin, V.P. Dzhelepov et al., Sov. Phys. Usp. 16: 402 (1973).

⁹ M.R. Raju, "The History of Ion Beam Therapy," in Ion Beams in Tumor Therapy (Ute Lintz, ed.), Chapman & Hall, 3-9 (1995).

¹⁰ J.M. Slater, J.O. Archambeau, D.W. Miller, M.I. Notarus, W. Preston, and J.D. Slater, "The proton treatment center at Loma Linda University Medical Center: rationale for and description of its development," Int J Radiat Oncol Biol Phys. 22: 383-389 (1992).

^{1 1} H.A. Grunder, W.D. Hartsough and E.J. Lofgren, Science 174: 1 128- 1129 (1971).

¹² M.G. White, M. Isaila, K. Predec and H.L. Allen, Science 174: 1 121 -1 123 (1971).

¹³ C.A. Tobias, Radiology 108: 145-158 (1973).

(2 ) bus-Ohio, !CRU-IAEA meeting, 18-20 March 2006

Physical Characteristics of Light-Ion Beams

Bragg Peak and Spread-Out Bragg Peak

When energetic light ions enter an absorbing medium, they are slowed down by losing their kinetic energy mainly through ionizing the medium. The energy loss per unit mass for unit area of the absorber, or specific ionization (usually expressed in keV/μιη in water) increases with decreasing particle velocity, giving rise to a sharp maximum in ionization near the end of the range, known as the Bragg peak. When a beam of monoenergetic heavy charged particles enters the patient body, the depth-dose distribution is characterized by a relatively low dose in the entrance region (plateau) near the skin and a sharply elevated dose at the end of the range (Bragg peak), viz., Fig. 1(a). A pristine beam with a narrow Bragg peak makes it possible to irradiate a very small, localized region within the body with an entrance dose lower than that in the peak region. ¹⁴ To treat an extended target, the Bragg peak is spread out to cover volume by modulating the energy of the particles to form a spread-out Bragg peak (SOBP), viz., Fig. 1(b). g. 1. (a) Bragg curve of an ion beam, (b) SOBP curve, which has several regions referred to as the plateau, the proximal peak, the mid- peak, the distal peak regions, the distal dose- falloff edge, and the tail. A uniform biological dose distribution within the SOBP region is obtained by compensating for the variation in RBE of the radiation as a function of penetrating depth.

Examples of SOBP ionization curves, adjusted with RBE, of several ion beams are shown in Fig. 2. For the light-ion beams, the radiation dose abruptly decreases beyond the Bragg peak, sparing any critical organs and healthy tissues located downstream of the target volume from unwanted radiation. The entrance dose, the dose upstream of the target, is also low compared with the peak dose.

Tobias, H. O. Anger and J. H. Lawrence, Am. J. Roentgenol. 67: 1-27 (1952).

(3 ) iumbus-Ohio, ICRU-!AEA meeting, 18-20 March 2006

Fig. 2. The relative biological doses of SOBPs of helium, carbon, and neon ion beams as a function of penetrating depth in water are shown for comparison. The doses are normalized at the isosurvival region and the figure shows the different relative entrance, plateau, and tail doses for these beams.

Depth (cm of water)

Multiple Scattering and Range Straggling

Multiple scattering of an incident ion stems from the small angle deflection of it due to collisions with the nuclei of the traversed material. Numerous small angle deflections in an ion beam lead to lateral spreading of the incident ions away from the central trajectory resulting in larger divergence of the beam. Elastic Coulomb scattering dominates this process with a small strong-interaction scattering correction. The angular distribution of the scattered particles is roughly Gaussian for small deflection angles, and the mean beam deflection is approximately proportional to the penetration depth (Fig. 3(B))

Range straggling is the dispersion of the path length of a particle beam due to statistical fluctuations in the energy-loss process. The end result is to produce a smearing of the range of the stopping particle beam. For a particle traveling in a direction X, with energy E and mean range R, the distribution of ranges, s(x), is Gaussian, ¹⁵

In the region where this formula is valid (2 < R < 40 cm), σ _χ is almost proportional to range, R, and inversely proportional to the square root of the particle mass number, A.

Multiple scattering and range straggling effects for ion beams vary approximately inversely to the square-root of the mass of the particle. Interactions of several light ions penetrating absorbing material is characterized in Fig. 3, showing σ for range straggling (A) and mean beam deflections due to multiple scattering (B). Removing material from the beam line could minimize the range straggling and multiple scattering. For example magnetic deflection can eliminate the material needed to spread the beam in a scattering system, or changing the accelerator energy can eliminate material degraders used to change the energy of the beam.

H. W. Lewis, Phys. Rev. 85: 20 (1952).

(4) Coiumbus-Ohio, lCRU-iAEA meeting, 18-20 March 2006

Fig. 3 . Interactions of light ions penetrating absorbing material are characterized by σ for range straggling (A) and for multiple scattering (B) . For example, the σ values for range straggling in 20-cm of water are: 2 . 0 , 1 . 0 , 0 . 6 , and 0 . 5 mm for protons, helium, carbon, and neon ions, respectively .

The sharpness of the lateral dose falloff, often called the apparent penumbra, is of clinical importance because the radiation exposure of the normal tissues adjacent to the target volume often limits the therapy dose. Heavier ion beams exhibit sharper lateral dose falloffs at the field boundary than for the lighter ions: viz., Fig. 4 that compares the penumbrae of proton and carbon beams. The penumbra width increases essentially linearly with the penetration depth of the beam. For low-Z ions, such as protons, sharpest dose falloffs are obtained when the final collimator is at the surface of the patient. For higher-Z ion beams, such as carbon ion beams, scanning narrow pencil beams without collimations will produce narrow penumbrae.

numbra beam is r than roton

range.

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(5 ) Columbus-Ohio, ICRU-IAEA meeting, 1 8-20 March 2006

The effect of multiple scattering becomes more pronounced for small size beams as indicated in Fig. 5, which examines depth-dose curves of proton and carbon-ion beams of comparable range for an uncollimated beam and a 1-cm diameter collimated beam. The Bragg peaks appear almost unchanged for the two carbon-ion beams; whereas, the Bragg peak is much suppressed for the collimated proton beam (Fig. 5(a)). Lateral dose distributions of the collimated 1-cm diameter proton beam exhibits broader penumbra, especially at the end of its range and wider range straggling. The collimated carbon-ion beam shows much smaller beam scattering and straggling. For treating small targets, where the sharpness of the lateral dose falloff is essential, the choice of the heavier ion beam becomes important. ¹⁶

Fig. 5(a). Depth-dose curves of proton and carbon-ion beams of comparable range are compared. For each ion, uncollimated and collimated 1-cm diameter beams are examined. Bragg peaks appear almost unchanged for the two carbon-ion beams; whereas, the Bragg peak is much

suppressed for the collimated proton beam.

g. 5(b). Dose distributions in the plane that includes the central ray of proton and carbon-ion beams are shown. Both beams are collimated to a 1-cm diameter.

⁶ M.H. Phillips, K.A. Frankel, J.T. Lyman, J.I. Fabrikant and R.P. Levy, Int. J. Radiat. Oncol. Biol. Phys. 8: 21 1- 220 (1990).

(6) Columbus-Ohio, !CRU-IAEA meeting, 18-20 March 2006

Beam Fragmentation

As a particle beam penetrates through matter, the primary particles suffer fragmentation collisions, which decrease the number of primaries with the corresponding increase of lighter fragments along the penetration path. ¹⁷ Fragmentation refers to the process where the projectile nucleus, after suffering a nuclear collision with a target nucleus, is broken apart into several daughter particles. The remnants of the projectile nucleus emerge from the absorbing material with similar speeds as that of the original projectile nucleus. The target nucleus may also break apart, but these fragments have relatively low energy and do not travel with the beam.

Fig. 6 shows the measured fragment number and dose contribution as a function of the particle charge for a neon-ion beam after traversing 16 cm of water. The measurement was made with BER LET. The instrument consists of a 300-μπι thick Si detector and a 5.5-cm thick Ge detector, which when operated in coincidence, measures the dE/dx and the total energy of the particle, respectively. ¹⁸

Fig. 6(a). Scatter plot of fragments on the residual energy versus LET (or dE/dx). The brightest spot is the primary beam particles. The bands are particles of a given charge. (CBB 875-4105)

A.S. Goldhaber and H.H. Heckman, Ann. Rev. Nucl. Part. Sci. 28: 161-205 (1978).

J. Llacer, J.B. Schmidt and C.A. Tobias, Med. Phys. 17: 158-162 (1990); and J. Llacer and H.W. Kraner, Nucl. Instrum. and Methods 98: 467-475 (1972).

( 7) Columbus-Ohio, ICRU-IAEA meeting, 18-20 March 2006

Fig. 6(b). Two sets of data show contributions of different atomic charges to the total particle number and the total dose delivered. Fragments are from neon ions in the proximal peak region of a 12-cm spread out Bragg peak with a residual range of 28 cm in water. It corresponds to the beam traversing 16 cm of water. The data for low Z values (1-2 and 3-4) are lumped together.

For protons colliding with a water-like target material (e.g., soft tissue), knocked-out neutrons from the target nuclei are the dominant interaction products. These neutrons contribute to the dose delivered beyond the stopping region of the primary projectile. Light ions also produce such a neutron background. Even after accounting for the higher RBE of the neutrons produced, they contribute less than 0.5 % of the biological dose delivered to the patient. ¹⁹ Their contribution would be larger in cases where the range of the beam is severely degraded upstream of the patient, such as by a double scattering method, then whole body exposure could become an issue.

As discussed above, carbon and neon ions fragment into a larger number of nuclear species. These fragments lead to a significant dose beyond the actual stopping range of the primary particles, and contribute significantly to the dose within the spread-out Bragg peak. In general, the heavier the nuclear projectile, the larger the dose delivered in the region beyond the Bragg peak when normalized to the dose delivered by primary ions at the proximal peak of the SOBP.

An additional complication is that a fragmented beam has a radiobiological effect different from that of the primary beam. The LET distribution of the fragmented beam becomes quite complex as more of the primary beam fragments ²⁰ ; hence, RBE, which is a function of the LET of the beam, is a function of the depth of the material penetrated. For SOBP, the composition of the beam and its biological effect is also a function of depth and must be accounted by adjusting the physical depth-dose distribution to obtain a uniform biological dose distribution.

Biological Rationale for Clinical Use of Light Ions

By the late 1980s, radiobiological research with light-ion beams, essential concomitant to a successful and safe clinical research program, had three major aspects. First was determining the optimal strategies for tumor treatment by analysis of the biological responses of tumor tissue to different ions, delivered at various doses and at various intervals. Second, determining tolerance doses and the risks of carcinogenesis and cell transformation for normal tissues. Thirdly, fundamental radiobiological understanding and characterizing physical phenomena

⁹ J.B. McCaslin, P.R. LaPlant, A.R. Smith, W.P. Swanson and R.H. Thomas, IEEE Trans. Nucl. Sci. NS-32:

3104-3106 (1985).

^• ° J. Llacer, C.A. Tobias, W.R. Holley and T. Kanai, Med. Phys. 11: 266-278 (1984).

(8) Columbus-Ohio, ICRU-IAEA meeting, 18-20 March 2006 such as ion fragmentation and biological effects such as DNA damage and repair. Knowledge gained from basic research influenced the choices of ion, energy, beam delivery system, and treatment schedule. At the same time, the emerging picture of the processes by which radiation causes genetic damage, and by which the DNA attempts to recover from the insult, enhanced our understanding of the risks posed by radiation exposure in general, including exposure associated with radiation accidents and space exploration, as well as radiotherapy.

These early studies are sometimes called "classical" cellular radiobiology to distinguish it from "new" molecular radiobiology that was developed in more recent years. ²¹ We will describe here some of the significant results that have emerged from early radiobiological research at Berkeley, especially as they relate to then ongoing cancer therapy trials.

LET, OER and RBE

The higher relative biological effectiveness (RBE) values of higher-Z ion beams indicated a high likelihood of an enhanced therapeutic potential when compared with lower-Z particle beams, such as protons. ²² The RBE of each ion has been studied in some detail with a variety of biological endpoints showed that the RBE of an ion beam is not a simple function of LET even though LET is usually used to describe of the differences in radiation damage by various light ions (Fig. 7(a)). ²³ RBE also depends on the endpoint of measurements, such as the survival level, the kinds of ions and types of cells and tissues used in the experiments (Fig. 7(b)). In general, the values of RBE and the degrees of dose localization increases with the Z values from protons to silicon ions, and at LET values higher than approximately 200 keV/μηι, the RBE values decline.

Another important point is that the failures in local control of tumors treated with low-LET radiation (conventional and proton radiation) are often due to its inability to completely eradicate anoxic tumor cells which are resistant to such radiation. High-LET radiation exhibits the biological advantages of lower oxygen effect (lower OER values), as indicated in Fig. 8. The OER value is defined as the ratio of the dose needed to render the same end-point for anoxic cells to that for well-oxygenated cells.

J. Yarnold, "Molecular and cellular responses to radiotherapy," in Advances in Hadrontherapy, (U. Amaldi, B. Larsson, and Y. Lemoigne, editors), Excerpta Medica, Elsevier, International Congress Series 1144: 3-1 1 (1997).

PART III. "Particles and Radiation Therapy, Third International Conference," Int. J. Radiat. Oncol. Biol. Phys., 8 (1982).

E. A. Blakely, F. Q. H. Ngo, S. B. Curtis and C. A. Tobias, Adv. Radiat. Biol. 11 : 295- 389 (1984).

(9) Columbus-Ohio, ICRU-IAEA meeiing, 18-20 March 2006

LET

Fig. 7(a). RBE vs. LET. The data is from a Fig. 7(b). The relationship number of experiments using a number of between RBE vs. LET is a ions, energies and cell types. The function of (A) the endpoint shaded area shows the general trend of of measurements, e.g., the data. survival, (B) kinds of ions, and (C) type of cells or tissues .

MEAN LET(keWrriicron)

Fig. 8(a). OER vs. LET. The Fig. 8(b). Measured data of OER shaded area represents the vs. Ζ ^*2 /β ² for carbon, neon and measured OER for x rays. The argon ion beams .

curve is a generalized fit to

data using various ions and

energies .

(10) Columbus-Ohio, ICRU-IAEA meeting, 18-20 March 2006

In 1967, Tobias and Todd gave the scientific justification for utilizing light-ion beams combining the characteristics of light-ion beams in LET, RBE and OER. ²⁴ In 1980 LBNL published a report compiling the results of research in physics, biology and medicine about light-ion therapy. ²⁵ The conjecture was that, referring to Fig. 9, the most advantageous species of ions for cancer treatment are located at higher values of "oxygen gain factor," which is a parameter proportional to the inverse of OER, and at the same time at higher values of RBE. For the smaller and shallower targets (upper panel), it appeared that carbon and neon-ion beams are superior to other ions. For larger and deeper targets (lower panel), the relative placement of each of the therapy modalities is altered, and proton, helium and carbon-ion beams are quite similar.

One has to carefully interpret the meanings of Fig. 9 under other clinical considerations. Simple mindedly, we may take RBE not crucial on the assumption that the low RBE may be readily compensated with higher physical doses; whereas, the oxygen gain factor is biologically important factor that is intrinsic properties of the ion species. However, the gain in oxygen effect must be weighed against the increased mutagenesis and carcinogenesis of the higher-Z ions. It was generally agreed that ions of atomic numbers between carbon and silicon are the most interesting high-LET ions for clinical use. ²⁶ - ²⁷ Today, carbon ion beams are chosen for therapy as the carbon ion has both biological and dose localization advantages superior to those of lighter ions such as protons, yet avoids some complications with higher-Z ions. For carbon ion beams, enough high LET is present to provide significant differences in DNA damage, and suppression of radiation repair. The use of heavier ions such as neon and silicon leads to complexity in treatment planning because of the high LET in the entrance region and the fragment tail. Normal tissues in these regions need to be carefully assessed and treatment plans designed which avoid significant late effects, especially in CNS.

The radiobiological rationale for using these high-Z ions for therapy, ²⁸²⁹ as understood then, can be summarized as follows: (a) The high resistance of hypoxic cells relative to oxic cells is reduced when irradiated with high-LET radiation, (b) Slowly proliferating cells (in G ₀ or long G _j phase in cell cycle) show a similar increase in sensitivity, if irradiated with high-LET radiation, (c) Overall treatment time with high-LET radiation can be shortened since fewer fractions of larger doses may be used instead of multiple fractions of small doses when the surrounding normal tissue damage in a fewer fraction can be kept comparable to that of a standard low-LET fraction. The last point squarely contrasts against the rationale that there is an

C. A. Tobias and P. W. Todd, Radiobiology and Radiotherapy, Natl. Cancer Inst. Monogr. 24: 1-21 (1967). "Biological and Medical Research with Accelerated Heavy Ions at the Bevalac, 1977-1980," (M.C. Pirruccello and C.A. Tobias, eds.), Lawrence Berkeley Laboratory, LBL-11220, pp. 423 (1980).

E.A. Blakely, C.A. Tobias, B.A. Ludewigt, and W.T. Chu, "Some Physical and Biological Properties of Light Ions," Proc. of the Fifth PTCOG Meeting and the International Workshop on Biomedical Accelerators, December 1986 (ed. by W. T. Chu), Lawrence Berkeley Laboratory, Berkeley, CA, LBL-22962, 19-41 (1987). P.K. Lillis-Hearne, J.R. Castro, "Indications for Heavy Ions- Lessons from Berkeley," in Ion Beams in Tumour Therapy (V. Linz, ed.), Chapman & Hall, 133-141 (1995).

J.F. Fowler, Nuclear Particles in Cancer Treatment, Medical Physics Handbook, No. 8, Adam Higler Press, Bristol, England (1981).

E. J. Hall, Int. J. Radiat. Oncol. Biol. Phys. 8: 2137-2140 (1982).

(I D Columbus-Ohio, ICRU-IAEA meeting, 18-20 March 2006 advantage in using multiple, small fractions of low-LET radiation for sparing late damage Cutting down the number of ion-beam treatments would benefit individual patients as well the management of the clinic.

Fig. 9 . "Vector representation" of therapy modalities for treatment of : small shallow targets (upper panel) and large deep targets ( lower panel) . The "oxygen gain factor" is a parameter proportional to the inverse of OER, and the "ratio of biologically effective doses" represent RBEs of the ions in question. (XBL 808-36238 )

Physical Parameters of Clinical Beams

Protocols for heavy charged-particle beam dosimetry have been established by the American Association of Physicists in Medicine for protons and heavier ions. ³¹ They describe the methods of calculating the dose based on measurements using various dosimeters. Discussions of these methods are reviewed in other publications. ³²

RBE and LET Distributions

The main function of the treatment planning and delivery is to create a radiation field that produces uniform cell killing or a uniform biological response. Changes in the primary

H.D. Suit, M. Goitein, J.E. Munzenrider, L. Verhey, P. Blitzer, E. Gragoudas, A.M. Koehler, M. Urie, R. Gentry, W. Shipley, M. Urano, J. Duttenhaver and M. Wagner, Int. J. Radiat. Oncol. Biol. Phys. 8: 2199-2205 (1982).

American Association of Physicists in Medicine, Protocols for Heavy Charged Particle Beam Dosimetry, " A Report of Task Group 20, Radiation Therapy Committee, American Institute of Physics, New York, AAPM Report No. 16 (1986).

J. J. Broerse, J. T. Lyman and J. Zoetelief, "Dosimetry of External Beams of Nuclear Particles," in The Dosimetry of Ionizing Radiation (ed. by K. R. Kase, B. E. Bjarngard and F. H. Attix), Academic Press, Orlando, FL, Vol. I: 230-290 (1985).

(12) Columbus-Ohio, ICRU-IAEA meeting, 18-20 March 2006 particle beam from fragmentation lead to changes in the biological effectiveness of the radiation. Fig. 10 shows a measurement of RBE as a function of depth. Dose-averaged LET, LQ, is defined as:

where D(L) is the dose contributed by particles of a given LET, L , and Φ (L) is the fluence of particles with the given L , and

I 6x 1 Q ⁷ L

P

where p is the material density in g/cm ³ , L is measured in keV/μηι and Φ in particles/cm ² .

Fig. 10(a) Measured RBE data at various depths in water of a range-modulated beam. The solid line is to guide the eye.

(b) The associated physical dose distribution, which would render an isosurvival region in SOBP when the physical dose is multiplied by RBE at each depth.

The tail region of the depth-dose curve is a complex mix of particles; its RBE is important in predicting the response of tissue beyond the Bragg peak where critical structures might be found. Tail doses are typically one tenth of the dose in the proximal peak, and biological measurements in the tail region are difficult due to the large dose need at the proximal peak in order to measure reliably cell responses in the tail. Measurements of dose-averaged LET in this region are simpler to make, but not very straightforward in predicting the biological effects.

Verification of Treatment planning and Delivery Using Radioactive Beams

Treatment plans and delivery usually rely on xCT data, where the CT numbers are calibrated for ion beam stopping power in various types of tissues (see Fig. 11). ³³ Such treatment plans

G. T. Y. Chen, "CT in high LET therapy planning," Proc. of the Symposium on Computed Tomography in Radiotherapy, September 1981 (ed. by C. C. Ling and R. Morton), Washington, DC, Raven Press, New York, 221-228 (1983).

(13) Coiumbus-Ohio, ICRU-IAEA meeting, 18-20 March 2006 could render errors as large as ±5 mm in a 10 cm range. ³⁴ For ion-beam treatment, the penalty paid for a small range inaccuracy is much more severe than for photon treatment as schematically illustrated in Fig. 12. By substituting a radioactive beam to deliver a "treatment" according to a therapy plan, and imaging the actual treatment volume, the conformation of the delivered dose with the target volume can be verified. ³⁵³⁶

CT-number conversion

Fig. 11. Conversion of the

CT numbers of tissues to water-equivalent path

lengths for ion-beam

CT Number treatment planning.

When a stable nucleus of an ion beam collides with a nucleus of the target material, the two nuclei knock off pieces (nucleons) of one another in peripheral collisions. Projectile ions may emerge, with one or two neutrons knocked out, with approximately the same velocity. The radioactive secondaries can be separated from the primary ion beam by magnetic momentum analysis and collected, and transported from the production target to the treatment room, and into the patient body. Production and collection of radioactive beams such as ¹⁹ Ne produced form ²⁰ Ne and ^{l l} C and ¹⁰ C from ¹² C have been investigated at LBNL. ³⁷ The most interesting isotope is ¹⁰ C (positron emitter, 19 second half life) as it is suitable for PET imaging. If the Bragg peak of a ¹⁰ C beam of known momentum were aligned to the distal edge of a target volume inside the patient body, one can deliver with confidence a ¹² C beam into the same target.

E. L. Alpen, W. Saunders, A. Chatterjee, J. Llacer, G. T. Chen and J. Scherer, Brit. J. Radiol. 58: 542-548 (1985).

J. Llacer, Nucl. Sci. Applications 3: 111 (1988)

S. D. Henderson, M. Collier, T. Renner, A. Chatterjee and J. Llacer, Med. Phy. 14: 468 (1987).

J. R. Alonso, B. Feinberg, J. G. Kalnins, G. F. Krebs, M. A. McMahan and I. Tanihata, "Radioactive beam production at the Bevalac," Proc. of the First International Conference on Radioactive Nuclear Beams, Berkeley, CA, October 16-18, 1989 (ed. by W. D. Myers, J. M. Mitschke and E. B. Norman), World Scientific Publishing Co., Teaneck, NJ, 1 12 (1990).

(14) Coiumbus-Ohio, iCRU-IAEA meeting, 18-20 March 2006

Fig. 12. For photon treatment, an error in target depth, indicated by two red lines at left, results in small dose error (red area). Whereas, for light ions, a similar error in range determination, shown in displaced Bragg peaks, would result in much more severe dose error as indicated by red areas (a big under-dose under the peak, and an overdose beyond the depth dose falloff region) .

A schematic drawing of a specially-developed PET detector, called "Positron Emitting Beam Analyzer (PEBA) is shown in Fig. 13(a). It illustrates how PEBA localizes a stopping radioactive (positron-emitting) nucleus by measuring the annihilation photons of the positron emitted by the decay of ¹⁰ C nucleus. The transverse dimension of the stopping region of the C ¹⁰ nuclei and distance between the stopping nucleus and the point of annihilation are greatly exaggerated in Fig. 13(a). A PET image of stopping ¹⁹ Ne in a phantom is shown in Fig. 13(b). One can determine the location of the Bragg peak within <0.5 mm using sophisticated PET systems.

In a similar vein, GSI has implemented a PET system for in-beam in-situ therapy control, i.e., during ion beam treatment by assessing the radioactive isotopes produced by the ¹² C beams. ³⁸

C ¹⁰ Beam

Fig. 13(a). A schematic drawing of PEBA.

ors

W. Enghardt, J. Debus, T. Haberer, B.G. Hasch, R. Hinz, O. Jakel, M. Kramer, K. Lauckner, J. Pavvelke, "The application of PET to quality assurance of heavy-ion tumor therapy," Strahlenther Onkol. 175 Suppl. 2: 33-36 (1999)

( 1 5 ) Columbus-Ohio, IC U-IAEA meeting, 18-20 March 2006

the The a the a the XBC

Ion Beam Research for Space Biology

Beyond the protection of the Earth's magnetic shield, the abundance of galactic cosmic rays, both light and heavy ions, is such that during a three-year trip to Mars 30% of the cell nuclei in an astronaut's body would be traversed by one or more heavily ionizing particles (10≤Z≤ 28), assuming shielding typical of today's spacecraft. Iron nuclei are the major contributor to these radiation effects, but their consequences must be understood. Radiobiology research in light- ion therapy naturally extended into space biology research program, first at the Bevalac at LBNL and now at the Booster Accelerator Facility of the Relativistic Heavy Ion Collider (RHIC) at the Brookhaven National Laboratory. It focuses on the effects of both iron-ion beams and the secondary particles produced by fragmentation in absorbing materials. ³⁹ Experiments are in progress to determine their effects on cell inactivation and neoplastic cell transformation and to calculate the cross sections for cell transformation by low- and high-LET radiation. Preliminary results indicate that, compared with the cross section for cell inactivation or death, the cross section for cell transformation is about 10,000 times smaller. Such a difference implies that only a very few genes are involved in radiation-induced cell transformation. Life shortening, cataract formation, and tumorigenesis in animals irradiated with iron-ion beams are also under investigation. Early results on cataract expression suggest a shortened latency for iron-ion exposure, compared with low-LET radiation.

Clinical Trials Using Light Ions

The construction of the Bevalac accelerator complex at LBNL, in which the SuperHILAC injected ion beams into the Bevatron, expanded the opportunity for medical studies with light ion beams. ⁴⁰ J.R. Castro and his team conducted clinical trials for treating human cancer using light ion beams at the 184-Incg Synchrocyclotron and the Bevalac from 1977 to 1992, when the

TASK GROUP ON THE BIOLOGICAL EFFECTS OF SPACE RADIATION. Radiation Hazards to Crews of Interplanetary Missions: Biological Issues and Research Strategies. Washington, DC. Space Studies Board Commission on Physical Sciences, Mathematics and Applications, National Research Council. National Academy Press (1996).

A. Ghiorso, H. A. Grunder, W. Hartsough, G. Lambertson, E. Lofgren, K. Lou, R. Main, R. Mobley, R. Morgado, W. Salsig and F. Selph, IEEE Trans. Nucl. Sci. NS-20: 155 (1973).

(16) Columbus-Ohio, ICRU-IAEA meeting, 18-20 March 2006 accelerators were closed. ⁴¹ Ions of interest ranged from ⁴ He to ²⁸ Si. ²⁰ Ne ions with energies per nucleon of 450 and 585 MeV have been most commonly used. The numbers of patients treated were 2054 patients with helium ion beams and 433 patients with neon ion beams. The patients treated with helium ions included primary skull base tumors: chondrosarcomas, chordomas, meningiomas, etc. The patient treated during 1987-1992 showed increased local control, representing the influence of improved immobilization, treatment planning and delivery, and availability of MRI. Using ²⁰ Ne ions, they also treated, and obtained excellent 5- year local control of, carcinomatous lesions arising from paranasal sinuses, nasopharynx or salivary glands, and extending into the skull base. Complications observed were mainly cranial nerve injuries including optic nerves, and radiation injury in the brain stem or temporal lobes. ⁴²

Since the end of 1997, clinical trials at the Gesellschaft fur Schwerionenforschung (GSI), Darmstadt, have treated with carbon-ion beams relatively radioresistant tumors such as chordomas and low-grade chondrosarcomas of the skull base, adenoid cystic carcinomas and malignant meningiomas. ⁴³ ' ⁴⁴ These tumors in the head region, which have not been treatable with conventional therapy methods. The new therapy led to a significant reduction of the tumor in all patients without any signs of relapse; local control rates achieved were comparable to neutron therapy but with less toxicity. By June 2005, about 250 patients have been treated successfully at GSI. Based on the studies at GSI, a therapy centre in Heidelberg is being built where up to 1,000 patients per year could be treated.

In 1994 the National Institute of Radiological Sciences (NIRS) in Chiba, Japan, commissioned its Heavy Ion Medical Accelerator in Chiba (HIMAC), which has two synchrotrons and produces ion beams from ⁴ He to ⁴⁰ Ar up to a maximum energy per nucleon of 800 MeV. The HIMAC houses two treatment rooms, one with both a horizontal and a vertical beam, and the other with a vertical beam only. There are also a secondary (radioactive) beam room, a biology experimental room, and a physics experimental room, all equipped with horizontal beam lines. All beam lines are of the fixed beam type, in contrast to rotating gantries. Currently, their clinical trials use carbon ions, and they have successfully treated 1796 patients by February 2004. Currently, Phase I and II clinical trials are under way. They have demonstrated safety and efficacy of carbon ions to a great extent. In the near future they plan to establish an optimum irradiation method, identify the sites and histological types in which carbon ions are particularly effective, and clarify differences in indication from low-LET radiation. In 2004 HIMAC has obtained for the carbon-ion treatment the Japanese government

J.R. Castro, J.M. Quivey, J.T. Lyman, G.T. Chen, T.L. Phillips, C.A. Tobias, and E.L. Alpen, "Current status of clinical particle radiotherapy at Lawrence Berkeley Laboratory," Cancer 46: 633-641 (1980); J. Castro, Progress in Radio-Oncology (Ed. D Kogelnik), 643-648 (1995); J.R. Castro, "Clinical proagrammes: a review of past and existing hadron protocols," in Advances in Hadrontherapy, (U. Amaldi, B. Larsson, and Y. Lemoigne, editors), Excerpta Medica, Elsevier, International Congress Series 1144: 79-94 (1997).

J.R. Castro, D.E. Linstadt, J.P. Bahary, et al., "Experience in charged particle irradiation of tumours of the skull base: 1977-1992," Int. J. Radia. Oncol. Biol. Phys. 29: 647 (1994).

H. Eickhoff, T. Haberer, G. Kraft, U. Krause, M. Richter, R. Steiner, J. Debus, "The GSI Cancer Therapy Project," Strahlenther. Onkol. 175 (Suppl.2): 21 -24 (1999).

D. Schulz-Ertner, A. Nikoghosyan, C. Thilmann, Th. Haberer, O. Jakel, C. Karger, G. Kraft, M. Wannenmacher, J Debus, "Results of carbon ion radiotherapy in 152 patients," Int. J. Rad. Oncol. Biol. Phys. 58: 631 - 640 (2004).

( 17) Columbus-Ohio, ICRU-IAEA meeting, 18-20 March 2006 approval as "highly advanced medical technology," which is comparable to the US FDA approval.

In 2001 at Harima Science Garden City, Japan, the Hyogo Ion Beam Medical Center (HIBMC) was commissioned as the first hospital-based facility in the world to provide both proton and carbon-ion beam therapy, which provides protons of maximum energy of 230 MeV and carbon ions of maximum energy per nucleon of 320 MeV. Six therapy rooms are available with seven treatment ports. Three rooms are dedicated to carbon ion beams: one with a vertical beam line, one with a horizontal and one with a 45 degree oblique beam line. Two proton treatment rooms are equipped with commercially designed rotating gantries. By the end of 2005, HIBMC has treated 825 patients using protons and 53 patients with carbon-ion beams.

.

The Heidelberg Ion Beam Therapy Center (HIT) is constructing the Ion Therapy Unit in Heidelberg, Germany. It is a joint project of the University Clinic Heidelberg, the German Cancer Research Center (DKFZ), the Gesellschaft fur Schwerionenforschung (GSI) and the Research Center Rossendorf (FZR). As shown in Fig. 14, two ion sources feed the synchrotron via a linear accelerator. It houses three treatment rooms: two with a horizontal beam (H-l and H-2) and one with a rotating gantry, which makes it possible to aim the beam at the patient from all directions. This system, which will be capable of treating tumors with both carbon ions and protons, is expected to begin treating patients in 2007.

European Network for LIGHt ion Therapy (ENLIGHT) plans for four national centers: Heidelberg Ion Therapy (HIT); the Centro Nazionale di Adroterapia Oncologica (CNAO) in Pavia; MedAustron in Wiener Neustadt; and ETOILE in Lyon. There is an increasing interest in further initiatives and more countries are expressing interest in creating national projects, in particular Sweden, the Netherlands, Belgium, Spain and the UK. There are other initiatives for light-ion facilities in several locations in the US and Japan, in Lanzhou, China, in Busan, Korea, and elsewhere.

( 18) Columbus-Ohio, !CRU-IAEA meeting, 18-20 March 2006

Relation between the present report and other IAEA and ICRU reports

The present report will be on "Dose and volume specification for prescribing, recording and reporting ion-beam therapy" -

• to help accurately administer treatments

o for individual patient treatment

o for therapy planning

o for data management with DICOM compliance (IMP AC)

• to standardize the treatment reporting

• to facilitate meaningful inter-comparison of treatment results among carbon ion centers

o also inter-comparison with conventional therapy

Issues to consider including in the present report:

Prescribe and report doses to volumes rather than to discrete points

• Justifications for it for carbon-ion treatment

The location/volume of the dose specification in treatment plan

• The dose should be specified at the point where the dose changes least for small errors in determining ion beam path due to the uncertainties in integrated stopping power.

o Mid-peak of the SOBP

o Not at the proximal peak of the SOBP.

• The dose should be specified at the point where the dose changes most rapidly for small errors in determining ion beam path due to the uncertainties in integrated stopping power.

o Mid-point of the distal dose falloff

• Dose-volume histogram

Units of dose specified and reported

• "Physical dose and RBE" vs. "biological dose" in "Gray-equivalent (GyE)" (dose- weighting factors)

(19) Coiumbus-Ohio, ICRU-IAEA meeting, 18-20 March 2006

Should one specify the errors in treatment plans?

• Errors help assess the under-dosing within the treatment volume, and over-dosing the adjacent normal tissues. ⁴⁵

• (Corollary) Should one present the upper and lower limits of dose delivered within a certain volume?

Are the radioactive beam measurements of dose delivery important?

• It improves the accuracy of treatment planning and delivery.

Dose verification of treatment delivery

^• For scanned beam delivery, a measurement requires a complete scan of the entire field. o In case when a treatment is accomplished by assembling several non-uniform dose distributions, each dose measurement for verification requires complete scans. A very time- and accelerator resource-consuming process. o Multiple detectorss

Dosimetry standardization for inter-comparisons among ion-beam centers

• Dosimeter calibrations

• Do you compare physical or biological doses?

o What units for biological doses?

^• Will it be practical, or feasible or even advisable, to agree on a "standard" ion beam setup with comparable beam quality? Weighting of absorbed dose implies the selection of reference treatment conditions. ⁴⁶

M. Goitein, "Calculation of the uncertainty in the dose delivered in radiation therapy," Med. Phys. 12: 608-612 (1985).

A.Wambersie, R.Gahbauer and H.G.Menzel, "RBE and weighting of absorbed dose in ion-beam therapy," Radiotherapy and Oncology, 73 (Suppl.2), 40-49, and 176-182 (2004); and A.Wambersie, H.G.Menzel, R.A.Gahbauer, D.T.L.Jones, B.D.Michael, H.Paretzke, "Biological weighting of absorbed dose in radiation therapy," Radiation Protection Dosimetry, 99: 445-452 (2002).

(20)

APPENDIX

WEPCH 169 Proceedings of EPAC 2006, Edinburgh, Scotland

ALTERNATING-PHASE-FOCUSED IH-DTL FOR HEAVY-ION

MEDICAL ACCELERATORS

Y. Iwata ^* , T. Fujisawa, T. Furukawa, S. Hojo, M. Kanazawa, N. Miyahara, T. Murakami,

M. Muramatsu, K. Noda, H. Ogawa, Y. Sakamoto, S. Yamada, K. Yamamoto,

NIRS, 4-9-1 Anagawa, Inage, Chiba 263-8555, Japan

T. Fujimoto T. Takeuchi, AEC, 2-12-1 Konakadai, Inage, Chiba 263-8555, Japan.

T. Mitsumoto, H. Tsutsui, T. Ueda, T. Watanabe, Sumitomo Heavy Industries (SHI), Ltd.,

9-ll,Kita-Shinagawa 5, Shinagawa, Tokyo 141-8686, Japan

Abstract complex as well as total costs of construction. Therefore,

Compact linacs, consisted of a Radio-Frequency- we developed the compact injector for the heavy-ion Quadrupole (RFQ) linac and Interdigital H-mode Drift- medical accelerators.

Tube-Linac (IH-DTL) having the same operating The compact injector consisted of ECRIS and two frequency of 200 MHz, were designed for an injector of linacs, which are the RFQ linac and IH-DTL having the heavy-ion medical accelerators. For beam focusing of same operating frequency of 200 MHz. For beam IH-DTL, the method of Alternating-Phase-Focusing focusing of IH-DTL, the method of APF was applied. (APF) was applied. The total length of the RFQ linac and Injection and extraction energies of the two linacs were APF IH-DTL is approximately 6 m. With the two linacs, summarized in Table 1. In the following sections, the carbon ions produced by an ECR Ion-Source (ECRIS) present status of the compact injector and results of beam could be accelerated up to 4.0 MeV/u. The compact acceleration tests were described.

linacs were constructed and installed in NIRS. We have

Figure 1 : A schematic drawing of the compact injector.

2328 08 Applications Qfi&ccelerators, Technology Transfer and Industrial Relations

U01 Medical Applications Proceedings of EPAC 2006, Edinburgh, Scotland WEPCH169

. 2 A picture of the compact RFQ linac (a view

from upstream). Fig. 3 A picture of APF I H-DTL (a view from the downstream).

The RFQ linac has a conventional four-vane structure.

It can accelerate carbon ions up to 610 keV/u. By Due to the nature of the method, focusing strengths optimizing cell parameters for acceleration of carbon provided by the rf acceleration field are rather weak as ions and using the rather high operating-frequency of compared with these of magnetically focused DTLs. 200 MHz, we could design the compact cavity; length Moreover, beam motion for the APF linac depends and outer diameter of the cavity are 2.5 m and 0.42 m, strongly on a choice of the alternating synchronous respectively. The construction of the RFQ linac was phases, and it is generally difficult to optimize an array completed in July 2005 and installed in NIRS. A picture of the synchronous phases to obtain sufficient of the RFQ linac is presented in Fig. 2. acceptances as well as low emittances of extracted beam.

For IH-DTL, the APF method was adopted to focus By using a sinusoidal function to describe the phase accelerating ions. The method utilizes focusing and array and performing beam dynamics simulations defocusing strengths provided with the rf acceleration iteratively, we succeeded to optimize the phase array as field by choosing the positive and negative synchronous described in refs. [3,4], The calculated transmission was phases alternately at each gap. By analogy with the reached to as high as 99.6% indicating the sufficient principle of strong focusing, both longitudinal and acceptance of this APF structure. Parameters calculated transverse stability of motion would be obtained. Hence, for APF IH-DTL are summarized in Table 2.

no additional focusing element has to be installed in the The ΓΗ structure was used for the cavity of APF IH- cavity making the cavity structure significantly simple. DTL. An idea of the IH structure was first proposed in This also indicates that drift tubes can be fabricated 50s. Although the structure was known to provide better smaller and shorter and therefore allowed us to employ shunt impedance than that of conventional DTLs, IH- higher operating frequency and lower injection energy DTL has not been used for many decades. A major than ever before with conventional DTLs, such as the reason for this is that an electromagnetic (EM) field Alvarez structure. Although the method has such the distribution could not be calculated with existing two- attractive features, it has never been practically used dimensional EM field solvers, because the field since it was first proposed in 50s. distribution in the IH cavity depends strongly on its total structure of the cavity. Therefore, lengthy and costly model studies had been required to determine the final

Table 2: Parameters calculated for APF IH-DTL

structure of the cavity. With recent development of three-

Parameters Value Units dimensional EM field solvers, it became possible to

Number of unit cells 72 - calculate the EM field in the IH cavity directly. Although

Normalized 90% transverse

0.68 n'mm'mrad these solvers were recently applied to design IH-DTL, emittance of the injected beam accuracy of these solvers was not confirmed. To verify

Normalized 90% transverse the accuracy of the solver and tuning capability of our

0.86 7Pmm'mrad

emittance of the extracted beam inductive tuners, we constructed a full-scale model

Normalized 90% longitudinal cavity of APF IH-DTL[4]. Electric field distribution of

1.3 7t*ns*keV7u

emittance of the injected beam the model cavity was measured by using the perturbation

Normalized 90% longitudinal method and compared with the designed distribution.

1.6 nms'keV/u

emittance of the extracted beam The result of the comparison indicated that the gap voltages over the model cavity could be controlled with

Energy spread (ΔΕ/Ε) ±0.4 %

excellent accuracy, while maintaining the desired cavity

Transmission 99.6 %

08 Applications of Accelerators, Technology Transfer and Ij^ustrial Relations 2329 U01 Medical Applications WEPCH169 Proceedings of EPAC 2006, Edinburgh, Scotland

F igure 4: Measured transverse phase-space

distributions of carbon ions ( ¹² C ⁴⁺ ) extracted from

APF IH-DTL. Solid and dotted curves show results

Fig. 5 A measured energy distribution of C of the 100% and 90% emittance fits.

The beam transmission of the entire injector system, frequency, once tuning with the inductive tuners has

including LEBT, the RFQ linac and APF IH-DTL, was been performed.

reached up to 79%. With the known transmission of

Based on the model cavity, the design of the high- LEBT and the RFQ linac, the transmission through APF power cavity for APF IH-DTL has been developed. The

IH-DTL was estimated to be almost 100%.

construction of APF IH-DTL and rf amplifiers has

Transverse phase-space distributions were measured completed in February 2006. A picture of APF IH-DTL

with a pair of a slit and profile monitor installed in the is shown in Fig. 3. The electric field was measured and

beam analyzing line. The results were presented in Fig. 4. tuned with the inductive tuners. After the tuning, most of

The distributions were fitted with an elliptical function as the gap voltages were tuned to the designed voltages

shown by the curves in Fig. 4. The normalized 90% within a few percent of accuracy. The quality factor was

emittances for the both coordinates were estimated by measured to be 12,000 corresponding 80% of the

the fit to be approximately 1.0 Tfmmnnrad, which was calculated value (g _c =15,000). The required rf power was

slightly higher than the calculated value given in Table 2. estimated to be 360 kW assuming 80% of Q _c .

The energy distribution of accelerated ¹² C ⁴⁺ ions was measured as shown in Fig. 5. The average energy and

BEAM ACCELERATION TESTS spread were roughly £^=4.0 MeV/u and ΔΕ/Ε=±0.4%,

The RFQ linac was first constructed and installed in respectively, which were reproduced well with those conjunction with ECRIS. In prior to installation of APF calculated. We note here that these measured parameters IH-DTL, beam acceleration tests only with ECRIS and would suffice requirements given by our design of the the RFQ linac were performed. Energy and phase space synchrotron ring.

distributions of the extracted carbon beam having the SUMMARY

energy of 610 keV/u were measured and compared with

those calculated with the PARMTEQ code. As a result, The compact injector, consisting of ECRIS and two linacs, which are the RFQ and APF IH-DTL, was we found the measured distributions were fairly well

reproduced with the calculated distributions. designed and constructed. The acceleration tests were

After the beam acceleration tests of the RFQ linac, performed, and we have succeeded to accelerate carbon APF IH-DTL was installed downstream of the RFQ linac. ions with the APF linac for the first time. The results of In between the RFQ linac and APF IH-DTL, a magnetic the tests further demonstrated its excellent performance. quadrupole triplet was installed for matching of The total length of the two linacs was reduced to transverse phase space. The total length of the triplet was approximately 6 m, which is considerably shorter than approximately 38 cm. Matched beam would be injected that of the existing heavy-ion linacs. With this successful to APF IH-DTL and finally accelerated up to 4.0 MeV/u. result, the final design and construction of the hospital-

After commissioning of the entire compact injector based complex have been started.

system completed in March 2006, an rf power, generated

by the three rf amplifiers having maximum output of 500 REFERENCES

kW, was delivered to the cavity of APF IH-DTL. After a * Corresponding author. E-mail: y_iwata@nirs.go.jp few days of conditioning, the designed power of 360 kW [1] Y. Hirao et al., Ann. Rep. HIMAC, NIRS-M- was successfully fed into the cavity without any problem. 89/HIMAC-001 (1992).

The beam acceleration tests were subsequently [2] M. Muramatsu et al, Rev. of Sci. Instrum., 76, performed, and we have succeeded to accelerate carbon 113304 (2005).

ions. Extracted beam was measured with a beam [3] Y. Iwata et al., Proceedings of EPAC04, Lucerne, analyzing line located downstream of APF IH-DTL. Switzerland, 2631 (2004).

Beam intensity of ¹² C ⁴⁺ ions extracted from APF IH-DTL [4] Y. Iwata et al, Nucl. Instrum. and Meth. in Phys. Res. was measured to be as high as 390 εμΑ, which would be A (submitted).

twice as much as that required for the treatments.

2330 08 Applications (^ ccelerators, Technology Transfer and Industrial Relations

U01 Medical Applications

APPENDIX

STATUS OF THE SUPERCONDUCTING ECR ION SOURCE VENUS

M.A. Leitner, CM. Lyneis, D.C. Wutte, CE. Taylor, S.R. Abbott

LBNL, Berkeley, CA94720, USA

Email: MIeitner@lbl.gov WWW: http://ecrgroup.lbl.gov transport a proton-equivalent current of 25mA at 20kV

Abstract

extraction voltage. The design of the ion source and LEBT

A new, very high magnetic field superconducting ECR will be discussed.

ion source, VENUS, is under development at the LBNL

88-Inch Cyclotron. It will boost the maximum energies 1 INTRODUCTION

and intensities for heavy ions from the cyclotron

The superconducting ECR ion source (ECRIS) VENUS, particularly for ions with mass greater than 60. It will also

whose R&D progress has been previously documented [1 , serve as R&D ion source for the proposed Rare Isotope

2] , is presently beginning its construction phase. The Accelerator (RIA) project in the US, which requires up to

VENUS project aims for following significant 10 ρμΑ of ^3a* . The superconducting magnet structure

improvements for ECRIS:

consists of three solenoids and six racetrack coils with

1. Reach the highest magnetic fields so far obtained in iron poles forming the sextupole. The coils are designed to

an ECRIS to improve plasma confinement.

generate a 4T axial mirror field at injection and 3T at

2. Utilize a commercially available lOkW-CW 28 GHz extraction and a radial sextupole field of 2.4 T at the

gyrotron amplifier to take advantage of the high plasma chamber wall. Test results of the magnet coils,

magnetic fields and the large plasma volume.

which exceeded design requirements with minimum

3. Develop new clamping schemes for the training, are presented. The magnet assembly with its

superconducting coils in order to withstand the strong cryostat will be enclosed by an iron shield and therefore

magnetic forces.

must be designed to withstand any possible forces

4. Use state of the art cryogenic equipment, utilizing between coils and iron, which can be as high as 35,000

cryocoolers and High Tc leads, to eliminate the need kg-force. The low energy beam transport line (LEBT) and

of a liquid-He filling system.

mass analyzing system of the ion source is designed to

Figure 1: Section view of the VENUS ion source.

1610 293 Proceedings of EPAC 2000, Vienna, Austria 5. Develop a cold mass suspension system, which can terminate the plasma and still provide enough space for withstand the strong magnetic forces that occur in the waveguide and oven penetrations. The open space of ECRIS designs and simultaneously maintain a low the biased disk is the only vacuum-pumping opportunity heat leak to allow the use of cryocoolers. for the plasma chamber. Taking into account the limited

6. Develop a miniature high- temperature oven (~2000 conductance of the injection tank a 1000 1/sec turbo pump deg. C) to be axially inserted into the ion source. will allow sufficient pumping of the plasma chamber.

7. Develop a thin walled aluminum plasma chamber, During the first year of operation two 18 GHz CPI which allows sufficient cooling of the walls and klystron amplifiers (VKU-7791A12) will provide up to 5 maintains a maximum plasma volume. kW CW total microwave power at the amplifier output. In

8. Increase the electrical insulation capability of the a later project phase, it is planned to upgrade VENUS with source in order to facilitate operation at higher a 28 GHz CPI gyrotron (VGA8028) system, which can extraction voltages. deliver lOkW CW total power. We expect that only such a

9. Develop a beam extraction and analyzing system, microwave system will allow optimal use of the high which can transport the higher expected beam magnetic field and the large plasma volume of VENUS. intensities. The high magnetic field (up to 3 T) of the Also shown in Fig. 1 are the end walls of the iron extraction region results in different focusing shielding-yoke, which is designed to reduce the magnetic properties for different ions thus requiring a versatile stray-field outside the yoke to <50 Gauss. Such a low transport system. magnetic field is required - besides being a safety

In order to demonstrate these technology advancements measure - by the cryocoolers and the HTc leads located in some VENUS design parameters are compared with the the cryogenic service tower above the magnet structure. respective parameters of the two existing LBL ECR ion The HTc leads, which minimize the cryostat heat leak, sources [3] in table 1. quench at a certain magnetic field level (depending on the lead current).

Table 1: Com arison between LBNL ECR Ion Sources We are currently constructing the VENUS cryostat at

WANG NMR Inc. in Livermore, CA, where all of the superconducting magnet coils were wound. The fabrication of the magnet structure was completed fall 1999. Its design was improved in several respects compared with a prototype magnet [2, 4]. It is mandatory to eliminate any possible movements of the superconducting coils in order to avoid quenching of the superconducting wires. As described in [2, 4] existing clamping schemes could not constrain the sextupole coils sufficiently. Therefore, we have developed a new method of clamping: Expandable bladders - consisting of two flat sheets of 0.25 mm stainless steel stacked together and welded on the edges - are inserted along and at the end of the sextupole coils. A 3 mm OD stainless steel tube is

2 SOURCE DESIGN welded to each bladder through which fluid can pressurize

Fig. 1 shows the mechanical layout of the VENUS ion the space between the two steel sheets. With the bladders source. The plasma chamber is made out of an aluminum in place, the sextupole assembly is heated to 65 deg. C. tube with gun-drilled water cooling-channels. Aluminum The azimuthal bladders are inflated to 10.4 MPa and the provides a source of cold electrons for the plasma. This end bladder to 2.6 MPa with a liquid metal having a technique has been developed and tested on the LBNL melting temperature of 47.2 deg. C. The alloy, Incaloy AECR. In addition to the favorable secondary emission 117, has a very small volume change during solidification. properties of the aluminum wall, which come from the This way, the coils are uniformly compressed azimuthally formation of A1 ₂ 0 ₃ on the surface, the aluminum is very and radially.

resistant to plasma etching. This reduces contamination in The success of the new clamping scheme and other the plasma of ions from the wall. To further increase the improvements was demonstrated during magnet tests of vacuum cleanliness, the whole source and beamline are the superconducting coil assembly (axial and sextupole metal sealed. coils) in fall 1999 [4]. The sextupole coils reached more

Three off-axis microwave feeds as well as two ovens than 125% of the coil design current after only five and a biased disk are inserted from the injection spool. We training quenches when tested by itself. At maximum have developed a high temperature (>2000 deg. C) solenoid field, the sextupole coils reached more than miniature oven, which fits through a 2-3/4" conflat flange. 125% of the design field after four additional training The oven is currently fabricated and will be first tested in quenches. (The solenoid coils experienced no quenches up the AECR source. The biased disk is star-shaped to to the power supply limits in a previous test.) In summary,

Proceedings of EPAC 2000, Vienna, Austria 294 1611 the VENUS magnet system exceeds the design

requirements by utilizing permanently inflated

"expandable shims", thus providing the highest magnetic

fields ever achieved in an ECR coil configuration.

Fabrication of the cryostat and source components will

continue until end of this year. First beam tests are

scheduled for summer 2000 after assembly of the

beamline.

3 LOW ENERGY BEAM TRANSPORT

The effect of the high magnetic ion-source field (up to 3

T) on the ion beam extraction and matching to the beam

line has been investigated in [2, 5]. The various charge

states focus differently in the high magnetic field of a

superconducting ECR ion source. This leads to typical

emittance patterns, where each charge state is oriented

Figure 3: VENUS beamline layout.

differently in phase space. For the 88-Inch Cyclotron

operation, the LEBT must be versatile enough to transport between the extraction and the analyzing magnet. In this many different ion beams and charge states at varying scheme the solenoid lens focuses the extracted beam to the extraction voltages. first focal point of the analyzing magnet. Ion optics

The tuning flexibility of the existing LBL ECR simulations show that a small waist in front of the beamlines comes from the insertion of a solenoid lens analyzing magnet induces strong aberrations in high-

the analyzing magnet). 5-9, 1998, p. 384.

1612 295 Proceedings of EPAC 2000, Vienna, Austria

APPENDIX

INSTITUTE OF PHYSICS PUBLISHING PHYSICS IN MEDICINE AND BIOLOGY

Phys. Med. Biol. 46 (2001) 461^71 www.iop.org/Joumals/pb PII: S0031-9155(01)17131-9

Response characterization of ammonium tartrate solid state pellets for ESR dosimetry with radiotherapeutic photon and electron beams

A Bartolotta ¹ , M C D'Oca ¹ , M Brai ² , V Caputo ³ , V De Caro ⁴ and L I Giannola ⁴

¹ Dipartimento Farmacochimico, Tossicologico e Biologico, Universita di Palermo via Archirafi 32 - 90123, Palermo, Italy

² Dipartimento di Fisica e Tecnologie Relative e Unita INFM, Universita di Palermo, Italy

³ Servizio di Fisica Sanitaria ARNAS, Palermo, Italy

⁴ Dipartimento di Chimica e Tecnologie Farmaceutiche, Universita di Palermo, Italy

Received 15 September 2000, in final form 2 November 2000

Abstract

Solid state pellets (1 mm thick) for electron spin resonance (ESR) dosimetry were made using ammonium tartrate as the radiation-sensitive substance. Their behaviour was experimentally investigated as a function of dose with ⁶⁰ Co gamma rays. The calibration function obtained permits measurements of absorbed dose in the 2-50 Gy range, with a combined uncertainty of ±4%. The lowest detectable dose was about 0.5 Gy. These properties are comparable with or even better than those of ESR dosimeters made from other materials. The time stability of the ESR signal of ammonium tartrate dosimeters at different storage conditions after irradiation was studied. A rather complex behaviour was observed, which suggests that more species of free radicals are produced by radiation and that migration processes may be effective. No dependence of the response on beam quality was found for high-energy photon and electron beams produced by a linear accelerator used in radiotherapy, whereas dose was underestimated with low-energy x-rays.

1. Introduction

Electron spin resonance (ESR) dosimetry, based on the quantitative detection by ESR spectrometry of the free radicals produced by ionizing radiation in alanine, is widely used to control irradiation in industrial radiation processing, where absorbed dose values in the kGy range are used (ASTM 1995, Mehta 1996). Dosimeters to be used in radiotherapy should fulfil two conflicting requirements: they should be of small size for dose measurements even in areas of high dose gradient and they should have a high sensitivity to enable the measurement of doses even lower than 1 Gy. Therefore, extension of ESR dosimetry to the radiotherapeutic dose range remains difficult, because of the poor value of the signal to noise ratio in thin alanine

0031-9155/01/020461+11$30.00 © 2001 IOP Publishing Ltd Printed in the UK 461 462 A Bartolotta et al dosimeters irradiated at doses lower than about 2 Gy (Bartolotta et al 1993, Kuntz et al 1996, Sharpe et al 1996, Wieser et al 1993).

Improvements in ESR dosimetry could be obtained by either optimizing data acquisition and using a high resolution in analysis procedures (Coppola et al 1999, Nette et al 1993, Rakvin 1996, Varshney and Choughule 1999) or by substituting alanine with other substances (Azorin et al 2000, Hassan et al 1998, 1999, Hassan and Ikeya 2000, Ikeya et al 2000, Olsson et al 1999, Yavuz and Koksal 1999).

In this paper we report on the response characteristics of 1 mm thick solid state ESR dosimeters made at the University of Palermo using ammonium tartrate as the substance forming free radicals, polyethylene as the binding material and magnesium stearate as the lubricant. The observed experimental results show that ammonium tartrate could be an alternative to alanine for photon and electron beam dosimetry with regard to stock homogeneity, dose range, reproducibility and overall uncertainty of dose response; a less satisfying behaviour was found with regard to the stability of the free radicals formed after irradiation.

2. Materials and methods

2.1. Realization of the solid state dosimeters

A homogeneous blend of ammonium tartrate (Carlo Erba, Italy), polyethylene (Polysciences, molecular weight— 700) and magnesium stearate (Carlo Erba, Italy) (94%, 5% and 1% by weight respectively) was prepared in our laboratory by the following procedure. Polycry stalline ammonium tartrate was manually pounded in an agate mortar and sieved with standard mesh wire sieves (Endecots Ltd, UK) to select grains of sizes 70-125 μπι, i.e. in the same size range as grains of polyethylene and magnesium stearate (about 90 μπι on average). The three compounds were mixed in a powder blender (Laboratori MAG, Italy) equipped with a rotating twin shell for 30 min, and the blend was stored in a dry environment until used. We constructed a stainless steel die with 21 cylindrical housings for the blend. Solid cylindrical pellets were obtained by pressing the chosen quantities of the blend with small stainless steel pistons of an appropriate length, by means of a hand-tabletting press equipped with adjustable pressure. An aliquot of 24 mg was inserted in each housing, and a pressure of about 6 x 10 ⁶ Pa was applied to obtain pellets with an expected thickness of 1 mm and diameter of 4.8 mm. Finally, the pellets underwent a thermal cycle of 20 min at 130 °C and 15 min at 85 °C to improve their mechanical properties.

The mass and size of 100 ammonium tartrate pellets, randomly chosen from a stock of 500, were measured with the following results (average ±1 SD): diameter 4.80 ± 0.05 mm, thickness 0.96 ± 0.04 mm, mass 22.2 ± 0.9 mm. The mean mass density of the dosimeters was therefore 1.28 g cm ^-3 . The effective (Z/A) ratio of the blend was 0.535.

The frequency distribution of mass and thickness values was found to be fairly symmetrical around the mean (figures 1 and 2). The mass of each pellet was lower than the aliquot used, probably due to losses during pressing of the blend and extraction of the pellet from the die. This could also justify the small tail in the distribution in the lower mass region.

2.2. Irradiations

Dosimeters were irradiated at room temperature in a Perspex phantom with the ⁶⁰ Co source (Alcyon II, General Electric, France), the linear accelerator Saturne II (General Electric, France), the Philips RT100 (Germany) and the Siemens Stabilipan (Germany) x-ray tubes used for radiotherapy treatments at the Radiotherapy Department of the Oncology Hospital ESR dosimetry with ammonium tartrate pellets 463

19.0 19.4 19.8 20.2 20.6 21.0 21.4 21.8 22.2 22.6 23.0 23.4 23.8 dosimeter mass / mg

Figure 1. Frequency distribution of the mass of ammonium tartrate dosimeters; each bar corresponds to a 0.4 mg wide range, centred on the value reported on the abscissa.

0.89 0.91 0.93 0.95 0.97 0.99 1.01

dosimeter thickness / mm

Figure 2. Frequency distribution of the thickness of ammonium tartrate dosimeters; each bar corresponds to a 0.02 mm wide range, centred on the value reported on the abscissa.

'M.Ascoli' in Palermo. The main characteristics of the beams and of the irradiation conditions are summarized in table 1.

The absorbed dose rate at the mid-plane position of the dosimeters was measured with a cylindrical ionization chamber (Comecer ESC/87, Italy) calibrated in terms of air kerma and traceable to primary standards; the formalism recommended by the American Association of Physicists in Medicine (AAPM 1983) was used. The overall uncertainty at the 95% confidence 464 A Bartolotta et al

Table 1. The main characteristics of the radiation beams used in this study; for each one, the appropriate quantity is indicated.

Beam HVL ¹ IR ² so ³ Irradiation depth ^{4 60} Co gamma rays 12 mm Pb 50 mm

X-rays, 85 kV 1.5 mm Al Phantom surface

X-rays, 200 kV 1.1 mm Cu Phantom surface

X-rays, 10 MV 0.677 100 mm

X-rays, 18 MV 0.767 100 mm

Electrons, 9 MeV 35.3 mm 20 mm ⁵

Electrons, 21 MeV 84.7 mm 36 mm ⁵

¹ Half Value Layer.

² Ionization Ratio at depths 10 and 20 cm in water.

³ Depth of 50% absorbed dose.

⁴ Equivalent depth in water.

⁵ Depth of maximum dose.

Figure 3. The ESR spectrum of a solid state ammonium tartrate dosimeter before irradiation (a) and after irradiation at 30 Gy with the ⁶⁰ Co source (b). level in dose values was estimated to be ±3% and ±3.5% for photon and electron beams respectively. As for the low- and medium-energy x-ray beams, a parallel plate ionization chamber (PTW 464, Germany) was used; the overall uncertainty in absorbed dose was ±5% in this case.

2.3. ESR measurements

The ESR spectra were recorded at room temperature with a Brucker ECS 106 spectrometer equipped with a TE102 rectangular cavity operating at approximately 9.7 GHz. The signal analyses were performed with the instrument-dedicated computer software. The tartrate pellets were reproducibly positioned inside the cavity, in the location of maximum signal intensity, by means of a quartz vial and quartz spacers. Figure 3 shows the ESR spectrum of a solid state ammonium tartrate dosimeter before (a) and after (b) irradiation at 30 Gy with the ⁶⁰ Co source. One main resolved line (1.10 ± 0.05 mT wide; g = 2.0030± 0.0005) is present, due to the free radicals produced by photons in the molecule (Olsson etal 1999). Its g value was measured by comparison with the stable free radical 2,2-diphenyl-l-picrylhydrazyl (DPPH) used as field g ESR dosimetry with ammonium tartrate pellets 465

1/2

Square root of microwave power / (mW)

Figure 4. Microwave power dependence of the ESR signal height, normalized to its maximum value, for an ammonium tartrate dosimeter. standard (Weil et al 1994). Two other structures appear, symmetrically spaces at about 1.8 mT from the central line; their characteristics are under investigation, but they are not relevant for dose evaluation, which is the aim of the present work. In fact, the peak-to-peak width of the central line does not change with dose in the range investigated, and the peak-to-peak signal height H of the main line (figure 3) could therefore be used as a dose-dependent parameter (ASTM 1995).

The ESR recording parameters were appropriately set to obtain the highest signal to noise ratio (S/N), even though some signal distortion was introduced. A detailed analysis of the ESR spectrum as a function of the recording parameters was carried out.

Figure 4 shows the dependence of H on the square root of the microwave power for a dosimeter irradiated at 30 Gy with the ⁶⁰ Co source. The signal is proportional to the square root of the microwave power (Weil et al 1994) up to 0.5 mW; saturation behaviour appears at higher powers, and above 1 mW the intensity decreases. For the same dosimeter, the dependence on the amplitude of the 100 kHz modulating magnetic field is shown in figure 5.

On the basis of these results, the following set of standard ESR recording parameters was chosen:

. field set, 346.8 mT

• field sweep, 4.0 mT

• microwave power, 1.60 mW

• modulation amplitude, 0.88 mT

• time constant, 655 ms

• gain, 5 x 10 ⁴

• number of cumulated scans, 3.

Using this experimental set-up, the value of S/N for a dosimeter irradiated at a dose of 30 Gy was 37.5; this value is much higher than the corresponding one (15) measured in alanine solid state dosimeters with a mass equal to that of the ammonium tartrate pellets and irradiated with the same procedure (Bartolotta et al 1999). 466 A Bartolotta et al

0.5 1 1.5

Modulation amplitude / mT

Figure 5. Microwave amplitude dependence of the ESR signal height, normalized to its maximum value, for an ammonium tartrate dosimeter.

Since amplitude of the ESR signal depends on the orientation of each pellet inside the resonating cavity (Kojima et al 1995), the procedure for recording the ESR spectrum was repeated four times. After each acquisition the dosimeter was rotated by 90° inside the cavity and the peak-to-peak signal height H was measured each time. The mean value H _m was normalized to the dosimeter mass M to reduce interspecimen scattering due to differences in ammonium tartrate content. Correction for fluctuations in the sensitivity of the spectrometer was obtained by normalization to the signal height Hs of a steady sample. The resulting value

H _m

HR = —

M H _s

was used as the dose-sensitive parameter. If more than one dosimeter was irradiated at the same dose, the average of all the readings was used.

3. Results and discussion

3.1. Time stability of the ESR signal

Knowledge of time stability of the ESR signal under different storage conditions after irradiation is of great importance from the point of view of practical applications (Arber and Sharpe 1993, Nagy and Desrosiers 1996). If this dependence is not negligible, a correction factor must be applied to the value of HR when the time shift between irradiation and ESR measurements is not the same as that which occurred during the calibration procedure.

Two dosimeters were irradiated with the ⁶⁰ Co source at 8 and 50 Gy respectively. HR was measured 30 min after irradiation, and repeatedly up to 30 days afterwards; between measurements the dosimeters were stored under room temperature and humidity conditions (10-25 °C, 40-65% relative humidity). Results for the 50 Gy dosimeter are shown in figure 6; the signal intensity increased by about 20% during the first 24 h after irradiation, reaching its maximum value after 6 days, and slowly decreasing afterwards. Similar but less pronounced ESR dosimetry with ammonium tartrate pellets 4 ₆ 7

10 100 1000 time after irradiation / hours

Figure 6. Time dependence of the ESR signal intensity of the main line of the ESR spectrum of an ammonium tartrate dosimeter irradiated at 50 Gy and stored at room conditions after irradiation. behaviour was observed with the dosimeter irradiated at 8 Gy. This behaviour suggests that more free radical species with different stability properties are produced (Olsson et al 1999), and that diffusion and recombination processes may be present.

Another couple of dosimeters irradiated at 8 and 50 Gy were stored at 50 °C in a dry environment (humidity lower than 50%) after irradiation. A noticeable decrease of about 10% was observed in these dosimeters at each dose by 24 h after irradiation; a loss of signal of up to 24% was measured after 6 days and later.

3.2. Dose response and background signal

The ESR signal intensity of ammonium tartrate dosimeters was studied as a function of dose by irradiating 11 groups of three dosimeters each at 11 different known doses (calibration doses) with the ⁶⁰ Co source in the 0.5-50 Gy range. The response to higher dose values was not investigated since it is of minor interest for radiotherapy applications. The values of H _R as a function of absorbed dose are shown in figure 7 (error bars correspond to an overall uncertainty at the 95% confidence level). The ESR read-outs were always performed 24 h after irradiation to reduce uncertainty related to the time dependence of the signal. The response of ammonium tartrate dosimeters showed a linear dependence on absorbed dose over the entire 0.5-50 Gy range; the linear regression coefficient was actually 0.9992, much higher than the critical value of 0.903 for the number of data used and P = 0.001.

Since ESR dosimetry is a relative method, the unknown dose in an irradiated dosimeter should be determined from the measurement of J¾ and the use of an appropriate calibration function (Nagy 2000). The function that minimized the differences between the calculated and calibration doses was chosen as the calibration function.

The dose range where a linear calibration function could be used was determined, using the following relationship:

D = m H _RC (1)

where ¾ is the value of H _R corrected for the intersection with the ordinate axis of the regression line for ¾ versus the dose. This range was found to be restricted from 3 up to 50 Gy, with deviations between calibration and calculated doses within ±3%, whereas the deviation increases to more than 20% for doses lower than 3 Gy.

Data weighted by uncertainty over the whole 0.5-50 Gy range were best fitted by the least squares method (Mandel 1984) with a second-order polynomial (regression coefficient= 0.99997); the corresponding curve is also shown in figure 7. The inverse function is required to obtain a calibration function allowing calculation of absorbed dose, D, from the value of H _R measured in an irradiated dosimeter. The following function, which has the structure of the solution of a second-order equation, was the best one to fit our experimental data:

where a, b and c are the parameters to be optimized.

In the 2-50 Gy range the percentage differences in dose values calculated using the function (2) from the nominal dose values were found to be within—0.5% and +0.8%, whereas the deviation increased to about 20% at 1 Gy. A different specific calibration function might be used between 1 and 5 Gy, with deviations lower than ±5%.

The lowest detectable dose can be defined as the dose that produces an ESR signal in the irradiated dosimeter equal to the mean value of the background in unirradiated dosimeters plus three standard deviations. The signal intensity of 10 unirradiated dosimeters was therefore measured in the magnetic field range where the ESR signal of the free radicals produced after irradiation is expected to appear (between 346 and 348 mT); the mean value of background was 0.52, with a standard deviation of 0.14. Using the results concerning calibration, the lowest dose that should produce a detectable signal was evaluated to be 0.3 Gy; however, only dosimeters irradiated at 0.5 Gy showed a measurable signal. This dose value can therefore be assumed to be the lowest detectable one.

Thin alanine dosimeters (1-2.5 mm thick) with a mass comparable with that of the ammonium tartrate dosimeters discussed in this paper have a minimum measurable dose of at least 3 Gy (De Angelis et al 2000, Dolo et al 1996, Gohs 1996, Sharpe et al 1996). ESR dosimetry with ammonium tartrate pellets 469

Table 2. The results regarding precision, resolution and overall uncertainty (95% confidence level) of ammonium tartrate dosimeters.

Percentage Overall

Dose (Gy) precision Resolution (Gy) uncertainty (Gy)

2 5 0.15 0.1

5 4 0.25 0.2

10 5 0.45 0.4

30 2 0.35 1.1

50 2 0.70 1.7

Ammonium tartrate therefore seems to have a higher sensitivity than alanine and other materials used for ESR dosimeters (Azorin et al 2000, Hassan et al 1998, 1999, Hassan and Ikeya 2000, Ikeya et al 2000, Yavuz and Koksal 1999) if results concerning samples with equal mass are examined.

Moreover, the dose response properties of ammonium tartrate dosimeters can be improved if pellets of a higher mass are used. For instance, with 2 mm thick pellets a dose of 0.5 Gy can be measured with an overall uncertainty of 5%, and a minimum dose of about 0.2 Gy can be detected.

3.3. Precision, resolution and overall accuracy

The repeatability of the results of measurements of H (precision) is important for both the evaluation of the resolution and of the contribution to the overall uncertainty.

The percentage precision at five different doses for the ammonium tartrate dosimeters is reported in table 2; it was obtained as the coefficient of variation of 12 measurements of three dosimeters irradiated with the ⁶⁰ Co source at the same dose. Dose resolution, i.e. the smallest difference between two dose values that could be meaningfully distinguished, was evaluated as the dose increment that caused a variation in /¾ of at least 1 SD, and is also reported in table 2.

The overall uncertainty in the measured absorbed dose was evaluated using the calibration function (2). The uncertainty depends on various contributions coming from the evaluation of ¾, from the function parameters and from the uncertainty in the calibration doses (Bergstrand et al 1998). The uncertainty in ¾ mainly depends on precision and on time stability. The overall uncertainty (95% confidence level) in the evaluation of dose is reported as a function of dose in table 2; it was calculated using the law of propagation of uncertainties (ISO 1995), assuming that 12 determinations of H _R were carried out, 24 h after irradiation. If a different time shift is used, a correction factor has to be applied according to the time dependence of the ESR signal.

3.4. Dependence on beam quality

The dependence of the response of ammonium tartrate dosimeters on beam quality was also investigated. High-energy photon and electron beams produced by the linear accelerator, as well as low- and medium-energy x-ray beams used for radiotherapy, were used. For each beam, four dosimeters were irradiated at 30 Gy; the mean value of the ESR signal was evaluated and normalized to that of one of dosimeters irradiated at the same dose with the reference ⁶⁰ Co source, to calculate the relative effectiveness. Results, reported in table 3, show that the relative effectiveness deviates significantly from unity only for low-energy x-ray beams. 470 A Bartolotta et al

Table 3. The results of the study on the dependence on beam quality of the response of ammonium tartrate dosimeters. ¾ is the average ESR signal of four dosimeters irradiated at 30 Gy. The relative effectiveness (RE) is ¾ normalized to the value obtained with ⁶⁰ Co beam. Uncertainty was evaluated at the 95% confidence level.

Beam Uncertainty RE Uncertainty

⁶⁰ Co gamma rays 19.5 0.4 1

X-rays, 85 kV 15.5 0.5 0.80 0.03

X-rays, 200 kV 17.4 0.2 0.89 0.03

X-rays, 10 MV 18.5 0.4 0.95 0.03

X-rays, 18 MV 19.5 0.5 1.00 0.03

Electrons, 9 MeV 19.8 0.4 1.01 0.03

Electrons, 21 MeV 19.9 0.3 1.02 0.02

4. Conclusions

The results of the experimental investigation presented in this paper show that the 1 mm thick solid state pellets made at the University of Palermo with ammonium tartrate as the sensitive substance have response characteristics that render them suitable for ESR dosimetry. A unique calibration function can be used between 2 and 50 Gy, and absorbed dose can be measured in this range with an overall uncertainty of about ±4%, provided measurements are performed 1 day after irradiation and more than one dosimeter is used, especially in the low-dose range. Some experiments carried out with 2 mm thick pellets showed that doses as low as 0.5 Gy could be accurately measured; however, the greater thickness worsens the spatial resolution properties of these dosimeters. The choice of dosimeter thickness must therefore take into account the conflicting requirements of dose and spatial resolution.

No significant dependence of the response on beam quality was evident for photon beams with an energy higher than ⁶⁰ Co gamma rays or for high-energy electron beams. Underestimation of dose was evident for medium- and low-energy x-ray beams.

Up to now, the main drawback of these dosimeters has been due to the time instability of the ESR signal, even under room conditions; this deserved further investigation. Preliminary results indicate that more than one species of free radical is produced in ammonium tartrate, and migration between them can explain the time dependence of the intensity of the main line in the ESR spectrum. It is our intention to carry out deconvolution analysis on the spectra of the irradiated dosimeters just after irradiation and at different time intervals; the results may give information on the diffusion or recombination effects among the different radical species.

Acknowledgments

The research described in this paper was supported by a grant from Ministero Universita Ricerca Scientifica e Technologica. The authors are grateful to the Chief of the Radiotherapy Department of the Oncology Hospital 'M.Ascoli' in Palermo for permitting us to use the irradiation facilities.

References

AAPM (American Association of Physicists in Medicine) 1983 A protocol for absorbed dose for high-energy photon and electron beams Med. Phys. 10 741-71

Arber J M and Sharpe P H G 1993 Fading characteristics of irradiated alanine pellets: the importance of pre-irradiation conditioning Appl. Radial hot. 44 19-22

APPENDIX

Radiation Protection Dosimetry

Vol. 84, Nos. 1 -4, pp. 293-296 ( 1999)

Nuclear Technology Publishing

ESR SOLID STATE DOSIMETRY: BEHAVIOUR OF VARIOUS AMINO ACIDS AND BLEND PREPARATION PROCEDURES

A. Bartolotta†, M. Braij, V. Caputo§, V. De Caro||, L. I. Giannola||, R. Rap† and G. TeriJ

†]stituto Farmacochimico, Universita di Palermo

via Archirafi 32, 90123 Palermo, Italy

Jlsrituto della Biocomunicazione, Universita di Palermo, Italy

§Servizio di Fisica Sanitaria, Azienda Civico, Palermo, Italy

jjDipartimento di Chimica e Tecnologie Farmaceutiche, Universita di Palermo, Italy

Abstract— In several laboratories all around the world, electron spin resonance (ESR) dosimetry is a well-established reference dosimetric system in industrial applications of ionising radiation, and its use is also proposed in radiation therapy and accident dosimetry. In the present experimental investigation preparation procedures of alanine-polyethylene solid state dosemeters (SSD) with optimised characteristics were defined, both modifying the commonly used blend composition and preparation, and choosing the best ESR spectra recording conditions; some other amino acids that could be alternatives to alanine in obtaining ESR dosemeters with better performances than alanine ones were also tested. Results obtained up to now (tlie research is still under way) confirm that alanine seems to be the most suitable material for ESR dosimetiy. Methods to improve reproducibility are also discussed.

INTRODUCTION nine (Fluka, Buchs, Switzerland) in polycrystalline form was manually pounded in an agate mortar, and then

In several laboratories all around the world, electron

sieved with an Endecotts Octagon 2000 test sieve shaker spin resonance (ESR) dosimetry is a well-established

and standard mesh wire sieves (Endecotts Ltd, England) reference dosimetric system in industrial applications of

for grain size distribution analysis; grains in the 75-125 ionising radiation, and its use is also proposed in radiμηι range were selected. Low density polyethylene ation therapy and accident dosimetry" \ The amino acid

(Polysciences, MW = 700, nominal grain size 90 μηι) alanine is commonly used as a radiation sensitive

was used as binder, and magnesium stearate (Carlo material, whereas various binders and solid state dose- Erba, Milano, Italy) was added as lubricant. Alanine, meter preparation procedures are used'- ⁴ '. Because of

polyethylene and magnesium stearate (90%, 9%, 1 % in the intrinsic characteristics of alanine dosemeters (e.g.

weight respectively) were mixed in a powder blender the anisotropy of the ESR background signal), their use

(Laboratori MAG, Italy) equipped with a rotating twin is, however, still limited to doses higher than about

shell for at least one hour, and the blend was stored one gray' ⁵ - ⁶ '.

in a dry environment until used. Solid state cylindrical

The aims of the present experimental investigation

dosemeters (4.9 mm in diameter, 1.1 mm high) were were:

made by pressing an appropriate mass of the blend in a

(i) to define preparation procedures of alanine-polystainless steel die with a hand-tabletting press. To improve ethylene solid state dosemeters (SSD) with the mechanical properties of the tablets, they underwent a optimised characteristics (reproducibility, sensithermal cycle composed of 20 min at 130"C, followed by tivity, lowest detectable dose, mechanical 15 min at 85°C< ⁸⁾ . Tablets with the other amino acids properties), on the basis of the recipe suggested by under test were made with a similar procedure.

the American Society for Testing and Materials' ⁷ ', The ESR measurements were taken with a Bruker both modifying the commonly used blend cornpoECS106 spectrometer equipped with a TE _U)2 rectangular sition and preparation, and choosing the best ESR cavity and operating in the X band at approximately spectra recording conditions; 9.70 GHz. A quartz holder and quartz spacers were used

(ii) to test other materials that could be alternatives to to locate the dosemeter inside the cavity in the position alanine in obtaining ESR dosemeters with better where the strongest signal was obtained. The first performances. derivative of the ESR absorption spectrum was recorded at room temperature with the following parameters:

Results obtained up to now (the research is still under centre field 346.8 mT, field sweep 2.5 mT, microwave way) confirm that alanine seems to be the most suitable power I mW, modulation amplitude 0.98 mT, time conmaterial for ESR dosimetry. stant 655 ms. The peak-to-peak amplitude of the central line was measured and divided by the corresponding value of a steady reference sample, to almost cancel out

MATERIALS AND METHODS

any signal variation due to long-term fluctuations of

The alanine-polyethylene SSDs were prepared by the spectrometer behaviour; a mass correction factor was final following procedure. High purity (>99%) L- -ala- also applied to eliminate differences due to alanine con-

293 ESR dosimetry with ammonium tartrate pellets 471

ASTM (American Society for Testing and Materials) 1995 Standard practice for use of the alanine-EPR dosimetry system ASTM E1670-94, 1995 Annual Book of ASTM Standards vol 12.02 (Philadelphia, PA: ASTM)

Azorin J, Rivera T and Soli's J 2000 A new ESR dosimeter based on polytetrafluoroethylene Appl. Radiat. hot. 52

1243-5

Bartolotta A, Brai M, Caputo V, De Caro V, Giannola L I, Rap R and Teri G 1999 ESR solid state dosimetry: behaviour of various amino acids and blend preparation procedures Radiat. Prot. Dosim. 84 293-6

Bartolotta A, Fattibene P, Onori S, Pantaloni M and Petetti E 1993 Sources of uncertainty in therapy level alanine dosimetry Appl. Radiat. hot. 44 13-17

Bergstrand E S, Hole E O and Sagstuen E 1998 A simple method for estimating dose uncertainty in ESR/alanine dosimetry Appl. Radiat. hot. 49 845-54

Coppola A, Faucitano A, Buttafava A and Caprotti M 1999 A novel low background thin film alanine dosimeter

Radiat. Phys. Chem. 54 213-16

De Angelis C, Fattibene P, Onori S, Petetti E, Bartolotta A and Sansone Santamaria A 2000 Transferability of

ASTM NIST alanine-polyethylene recipe at ISS Appl. Radiat. hot. 52 1197-201

Dolo J M, Lecerf N and Tartes 1 1996 Progress in quality control of alanine dosimeters Appl. Radiat. hot. 47 1165-8 Gohs U 1996 Application of an analine dosimetry system for industrial irradiation and radiation protection Appl.

Radiat. hot. 47 1169-70

Hassan G M and Ikeya M 2000 Metal ion-organic compound for high sensitive ESR dosimetry Appl. Radiat. hot. 52

1247-54

Hassan G M, Ikeya M and Takaki S 1999 Radiation-induced defects in magnesium lactate as ESR dosimeter Radiat.

Meas. 30 189-96

Hassan G M, Ikeya M and Toyoda S 1998 Lithium lactate as an ESR dosimeter Appl. Radiat. hot. 49 823-8

Ikeya M, Hassan G M, Sasaoka H, Kinoshita Y, Takaki S and Yamanaka C 2000 Strategy for finding new materials for ESR dosimeters Appl. Radiat. hot. 52 1209-15

ISO (International Organization for Standardization) 1995 Guide to the Expression of Uncertainty in Measurement

(Geneva: ISO)

Kojima T, Kashiwazaki S, Tachibana H, Tanaka R, Desrosiers M F and McLaughlin W L 1995 Orientation effects on

ESR analysis of analine-polymer dosemeters Appl. Radiat. hot. 46 1407-11

Kuntz F, Pabst J Y, Delpech J P, Wagner J P and Marchioni E 1996 Analine-ESR in vivo dosimetry: a feasibility study and possible applications Appl. Radiat. hot. 47 1183-8

Mandel J 1984 The Statistical Analysis of Experimental Data (New York: Dover)

Mehta K 1996 High-dose standardization service of the IAEA Appl. Radiat. hot. 47 1155-9

Nagy V 2000 Accuracy considerations in EPR dosimetry Appl. Radiat. hot. 52 1039-50

Nagy V Y and Desrosiers M F 1996 Complex time dependence of the EPR signal of irradiated -a-alanine Appl.

Radiat. hot. 47789-93

Nette H.P, Onori S, Fattibene P, Regulla D and Wieser A 1993 Coordinated research efforts for establishing an international radiotherapy dose intercomparison service based on the alanine ESR system Appl. Radiat. hot. 44 7-11

Olsson S K, Bagherian S, Lund E, Carlsson G A and Lund A 1999 Ammonium tartrate as an ESR dosimeter material

Appl. Radiat. hot. 50 955-65

Rakvin B 1996 Improvement of sensitivity in the alanine ESR dosimetry Appl. Radiat. hot. 47 525-8

Sharpe P H G, Rajendran K and Sephton J P 1996 Progress towards an alanine ESR therapy level reference dosimetry service at NPL Appl. Radiat. hot. 47 1171-5

Varshney L and Choughule S V 1999 Radiation effects on alanine; thermal approach for estimation of low absorbed radiation doses Radiat. Phys. Chem. 54403-8

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Wieser A, Lettau C, Fill U and Regulla D 1993 The influence of non-radiation induced ESR background signal from paraffin-alanine probes for dosimetry in the radiotherapy dose range Appl. Radiat. hot. 44 59-65

Yavuz M and Koksal F 1999 Electron paramagnetic resonance of gamma irradiated (C¾ ¾ NHCIO4 and CH3 NH3 CIO4 single crystals Radiat. Phys. Chem. 54 143-9 A. BARTOLOTTA, M. BRAI, V. CAPUTO, V. De CARO, L. I. GIANNOLA. R. RAP and G. TERI tent. Since the signal amplitude depends on dosemeter in the 75-125 μηι range (90%) was mixed with 9% orientation inside the cavity^-"- ⁹⁵ , it was measured in polyethylene, whose grains were found to be in the 75- four different positions (90° separation), and the mean 100 μιη range, and 1% of lubricant, i.e. talc as a crystalvalue was used as a dosimetric parameter. The short- line powder (Carlo Erba, Milano, Italy) (blend A) or term reproducibility of sample positioning inside the Mg-stearate powder (Carlo Erba, Milano, Italy) (blend resonating cavity was checked by measuring the mean B), both of pharmaceutical grade. Twenty-five dosemetamplitude of the reference sample; the standard deviers from each blend were prepared and their characteration among ten repeated measurements was 0.7%, with istics compared to study inter-specimen mass variation, a highest difference of 2%; after each determination the background signal amplitude and fluctuations, and homdosemeter was removed from the cavity, repositioned ogeneity of dose response.

again, and all the ESR parameters were reset. Figure I For both dosemeter types the final mass was on avershows the results obtained, normalised to the their age 21.4 mg with a coefficient of variation (CV) of 3%, mean value. yielding a volumic mass of about 1.03 mg.miir ³ , very

Dosemeters were irradiated with the ''"Co source of close to that of water.

the radiotherapy Department of the Oncology Hospital The background (BG) signal of each dosemeter was of Palermo; irradiations were performed in a perspex measured in four different angular positions; the mean phantom, with a field size of 10 X 10 cm ² , at the depth CV of the measurement for each dosemeter was 9% for of 5 cm water equivalent, and a source-detector distance both blends, whereas the CV of the mean values of the of 80 cm. The dose rate at the effective dosemeter 25 dosemeters was 12% for blend A and 7% for blend location was evaluated with the ENEA secondary stanB; no improvement was obtained after mass correction. dard ionisation chamber (Ente Nazionale Energie AlterThese results indicate that the principal cause of oriennative, Italy), with an overall uncertainty of ±4% (95% tation effect in signal amplitude is to be imputed to confidence level). dependence of the BG signal on sample orientation inside the cavity, rather than to significant differences among dosemeters.

RESULTS

Nine randomly chosen dosemeters from each group

In a preliminary set-up, dosemeters made using a were then irradiated at 30 Gy; the corresponding signal blend of polyethylene (10%) and alanine with grain size amplitude being about 20 times the BG signal, and still less than 200 μιη (90%) proved to be rather friable, and showing an orientation effect; the mean CV of the the blend stuck slightly to the inner walls of the mixer measurement for each dosemeter was in this ease 1.3% and of the die. To improve these results, sieved alanine for both blends; the CV of the mean values of the irradiated dosemeters was 3% for blend A and 2.7% for blend B; these values reduce to 1.5 and 1.0 respectively after mass correction; a test of variance gave significant differences among dosemeters of blend A (p < 0.003), that were not evident in blend B (p = 0.1 6).

An analysis of the ESR signa l features was performed on 20 Gy irradiated dosemeters. For this study the modulation amplitude was reduced to 0.1 mT to avoid signal distortion, which was not important for dosimetric measurements. Figure 2(a) and 2(b) show, respectively, the amplitude and the width of the ESR central line of a blend B sample as a function of the square root of microwave power (similar results were obtained for blend A samples). Signal saturation is noticeable at powers greater than 1 mW, in agreement with results published by other authors ^{00" 12} ', and the overall behaviour is typical of an extremely diluted spin system' ¹³¹ (complete inhomogeneous broadening). A more detailed study of the ESR signal is still under way.

Other dosemeters were also made with the following

amino-acids, to study sensitivity dependence on molNumber of trial ecule structure: L-histidine, L-Ieucine, L-methionine, L-

Figure 1. Short-term reproducibility of ESR measurements; for tryptophan, L-valine; for each amino acid, the amplitude each trial the value of the signal amplitude, measured in four of the BG signal was measured, and some tablets were different angular positions, is reported (full circles); error bars irradiated at 75 Gy to elicit better any radiation induced indicate ± 1 standard deviation; all the data were divided by signal; the ESR spectrum of both non-irradiated and the average value of all the measurements. irradiated samples was recorded at room temperature

294 VARIOUS MATERIALS AND BLENDS FOR ESR DOSIMETRY

L-tryptophan 2.5 Figure 3. Mass dependence of the ESR signal amplitude of

L-valine 8

alanine-polyethylene dosemeters irradiated at 30 Gy; error bars indicate ± I standard deviation.

295 A. BARTOLOTTA, M. BRAT. V. CAPUTO, V. L CARO. L. I. GJANNOLA, R. RAP and G. TERI

DISCUSSION ct-alanine, among other amino-acids, gives the highest

ESR response; other investigations are underway to test

The results obtained in this study have shown that L- other materials supposed to be suitable for ESR dosimetry, from the point of view of either sensitivity or other response characteristics (e.g. homogeneity, linearity range).

The methods for preparing dosemeters from a blend of L-alanine, polyethylene and Mg-stearate were optimised, as well as the procedures for measuring the dosimetric parameter (the peak-to-peak amplitude of ESR central line). In particular, the importance of using raw materials with the same grain size distribution and a lubricant to obtain an homogeneous blend was emphasised; the application of the mass correction factor was indeed effective, and a coefficient of variation less than

0_ 1% could be obtained for more dosemeters irradiated at the same dose. The orientation dependence of the background signal is still the limiting factor to extend the use of ESR dosimetry to doses lower than 1 Gy, and more efforts are required to reduce significantly the intensity and fluctuation in the ESR signal of non- irradiated samples.

Dose (Gy)

Figure 4. Dose dependence of the ESR signal amplitude of ACKNOWLEDGEMENT

alanine-polyethylene dosemeters; the full line represents the

2nd order polynomial fitting function; error bars indicate overThis work was partially supported with a grant from all uncertainty (95% confidence level). Ministero Universita Ricerca Scientifica e Tecnologica.

REFERENCES

1 . ESR Dosimetry and Applications. Proc. 4th Int. Symp., Munich, Germany, 15-19 May 1995. Appl. Radiat. Isot. 47. 1 151- 1687 ( 1996).

2. Kojima. T., Tanaka, R., Morita, Y. and Scguchi, T. Alanine Dosimeters using Polymers as Binders. Appl. Radiat. Isot. 37, 517-520 ( 1986).

3. Kojima, T., Kashiwazaki, S. and. Zhang, Y. Alanm ^' e-polystyrene Dosimeters prepared by Injection Moulding. Appl. Radiat. Isot. 48, 965-968 ( 1997).

4. Onori, S.. D'Errico, F., De Angelis, C, Egger, E., Fattibene, P. and Janovsky, 1. Proton Response of Alanine Based Tablets and Films. Appl. Radiat. Isot. 47, 1 201- 1204 ( 1996).

5. Wieser, A., I.eltau, C, Fill, TJ. and Regulla, D. F. The Influence of Non-radiation Induced ESR Background Signal from Paraffm-Alanine Probes for Dosimetry in the Radiotherapy Dose Range. Appl. Radiat. Isot. 44, 59-65 (1993).

6. Bartolotta, A., Fattibene, P.. Onori, S., Pantaleoni, M. and Petetti, E. Sources of Uncertainty in Therapy Level Alanine Dosimetry. Appl. Radiat. Isot. 44, 13-17 (1993).

7. American Society for Testing and Materials (ASTM). Standard Practice for Use of the Alanine-EPR Dosimetry System. In: Annual Book of ASTM Standards, 12.02 (1995).

8. Nagy, V. Y. and Desrosiers, M. F. Complex Time Dependence of the EPR Signal of Irradiated L- -alanine. Appl. Radiat. Isot. 47, 789-793 ( 1996).

9. Kojima, T., Kashiwazaki, S., Tachibaiia, H., Tanaka, R., Desrosiers, M. F. and McLaughlin, W. L. Orientation Effects on ESR Analysis of Alanine-Polymer Dosimeters. Appl. Radiat. Isot. 46, 1407-141 1 ( 1996).

10. Regulla, D., Bartolotta, A., Deffner, U., Onori, S., Pantaloni, M. and Wieser, A. Calibration Network based on Alanine/ESR Dosimetry. Appl. Radiat. Isot. 44, 23-3 1 ( 1993).

1 1 . Wieser, A. and Girzikowsky, R. A Unique Calibration Curve for Alanine EPR Dosimetry Systems. Appl. Radiat. Isot. 47,

1269-1275 ( 1996).

12. Arber, .1. M., Shaipe, P. H. G., Joly, H. A., Morton, J. R. and Preston, K. F. The ESR/Alanine Dosimeter— Power Dependence of the X-Band Spectrum. Appl. Radiat. Isot. 42, 665-668 ( 1991 ).

13. Poole, C. P. and Farach, H. A. Relaxation in Magnetic Resonance (New York: Academic Press) (1971 ).

296

APPENDIX

US 20080067724A1

(i ) United States

(i2) Patent Application Publication (io) Pub. No.: US 2008/0067724 Al

MURATOGLU et al. (43) Pub. Date: Mar. 20, 2008

METHODS FOR MAKING OXIDATION Related U.S. Application Data

RESISTANT POLYMERIC MATERIAL

(63) Continuation of application No. 10/757,551, filed on Jan. 15, 2004.

Inventors: Orhun K. MURATOGLU, Cambridg

MA (US); Stephen H. Spiegelberg, (60) Provisional application No. 60/440,389, filed on Jan.

Winchester, MA (US) 16, 2003.

Publication Classification

Correspondence Address:

PROSKAUER ROSE LLP (51) Int. CI.

1001 PENNSYLVANIA AVE, N.W., B29C 35/08 (2006.01)

SUITE 400 SOUTH (52) U.S. CI 264/496 WASHINGTON, DC 20004 (US)

(57) ABSTRACT

(73) Assignees: Massachusetts General Hospital, Boston, MA (US); Cambridge Polymer The present invention relates to methods for making oxidaGroup, Inc., Boston, MA (US) tion resistant medical devices that comprise polymeric materials, for example, ultra-high molecular weight polyethylene (UHMWPE). The invention also provides methods of mak¬

Appl. No.: 11/948,393 ing antioxidant-doped medical implants, for example, doping of medical devices containing cross-linked UHMWPE Filed: Nov. 30, 2007 with vitamin E by diffusion and materials used therein.

Depth (mm) Patent Application Publication Mar. 20, 2008 Sheet 1 of 5 US 2008/0067724 Al

Figure 1.

0.0 0.5 1.0 1 .5 2.0 2.5 3.0

Distance (mm)

Patent Application Publication Mar. 20, 2008 Sheet 2 of 5 US 2008/0067724 Al

Figure 2.

0.0 1.0 2.0 3.0 4.0 5.0 6.0 7.0 8.0 9.0 10.0

Depth (mm)

317 Patent Application Publication Mar. 20, 2008 Sheet 4 of 5 US 2008/0067724 Al

Figure 4.

Dope with the antiPackage and

Machine oxidant preferably sterilize with either components ionizing radiation or

vitamin-E gas sterifization

Irradiate with

gamma or e-beam Dope with the antiPackage and either in air or In sterize with either

oxidant, preferably

inert or in sensitizing vitamin-E ionizing radiation or

gas stertSzaoon

Irradiate with

nsolidate the gamma or e-beam Package and

Blend vitamin-E with Co Machine a* with either

UHMWPE/vitamin-E either in air or in sterit

UHMWPE powder components ionizing radiation or

blend into a stock inert or in sensitizing

gas sterilization gas

Irradiate with

am Package and

Consolidate the gamma or e-be

Blend vilamirt-E with ilize with either

UHMWPEMtamin-E either in air or in Machine ster

UHMWPE powder blend into a stock inert or in sensitizing components ionizing radiation or

gas steriizatJon gas

Irradiate with

Direct Compression gamma or e-beam

either in air or in

Mold an Implant Inert or in sensitizing

gas

irradiate with Package and

Dope with the antigamma or e-beam

6 Direct Compression sterilize with either Mold art Implant oxidant, preferably either in air or in ton&ing radiation or

vitamin-E inert or In sensitizing gas sterilization

gas

Dope with the antiPackage and high-

Direct Compression oxidant preferably dose sterilize it

Mold an Implant vitamin-E ionizing radiation

8 Package and high- dose sterilize with ionizing radiation

Patent Application Publication Mar. 20, 2008 Sheet US 2008/0067724 Al

Figure 5.

US 2008/0067724 Al Mar. 20, 2008

METHODS FOR MAKING OXIDATION crosslinking of the UHMWPE during irradiation. However, RESISTANT POLYMERIC MATERIAL crosslinking is needed to increase the wear resistance of the polymer. Therefore, it would be preferable to have a medical

[0001] This application claims priority to U.S. Application

implant, or any polymeric component thereof, doped with an Ser. No. 60/440,389, filed Jan. 16, 2003, the entirety of

antioxidant in its consolidated solid form, such as feedwhich is hereby incorporated by reference.

stock, machined components, or molded components. However, this was not possible with prior art practices.

FIELD OF THE INVENTION

SUMMARY OF THE INVENTION

[0002] The present invention relates to methods for making oxidation resistant medical devices that comprise poly[0005] The present invention relates generally to methods meric materials. Methods of doping polyethylene with an of making oxidation resistant medical devices that comantioxidant, for example, vitamin E, and materials used prises one or more polymeric materials. More specifically, therewith also are provided. the invention relates to methods of manufacturing antioxidant doped medical devices containing cross-linked poly¬

BACKGROUND OF THE INVENTION ethylene, for example, cross-linked ultra-high molecular weight polyethylene (UHMWPE), and materials used

[0003] Oxidation resistant cross-linked polymeric matetherein. More specifically, the invention relates to methods rial, such as ultra-high molecular weight polyethylene of manufacturing antioxidant-doped, non-oxidizing medical (UHMWPE), is desired in medical devices because it sigdevice containing cross-linked polyethylene with residual nificantly increases the wear resistance of the devices. The free radicals, for example, irradiated ultra-high molecular preferred method of crosslinking is by exposing the UHMweight polyethylene (UHMWPE) and materials used WPE to ionizing radiation. However, ionizing radiation, in therein.

addition to crosslinking, also will generate residual free

[0006] In one aspect, the invention provides methods of radicals, which are the precursors of oxidation-induced

making cross-linked polymeric material comprising the embrittlement. Melting after irradiation is used to eliminate

steps of: a) providing consolidated and cross-linked polythe crystals and allow the residual free radicals to recombine

meric material that has been irradiated with ionizing radiawith each other. The irradiation with subsequent melting is

tion; and b) doping the consolidated and cross-linked polyused to reduce the potential for oxidation secondary to the

meric material with an antioxidant by diffusion.

residual free radicals. However, post-irradiation melting

reduces the crystallinity of UHMWPE, which, in turn, [0007] In another aspect, the invention provides methods decreases the yield strength, ultimate tensile strength, moduof making cross-linked polymeric material comprising the lus, and fatigue strength of UHMWPE. For certain applicasteps of: a) providing consolidated and cross-linked polytions that require high fatigue resistance, such highly meric material that has been irradiated with ionizing radiacrosslinked UHMWPE (that is irradiated and melted) may tion; b) doping the consolidated and cross-linked polymeric not be suitable; because, fatigue failure in the long term may material with an antioxidant by diffusion; and c) heating the compromise the performance of the medical device. Thereconsolidated and cross-linked polymeric material to a temfore, there is a need to either eliminate the residual free perature below the melting point of the consolidated and radicals or the oxidative effect of residual free radicals cross-linked polymeric material.

without melting. Such a method would preserve the crys¬

[0008] In another aspect, the invention provides methods tallinity of the irradiated UHMWPE and also preserve the

of making cross-linked polymeric material, wherein the mechanical properties and fatigue resistance.

cross-linked polymeric material is soaked in a solution, of

[0004] It is generally known that mixing of polyethylene about 50% by weight, of an antioxidant in an alcohol, such powder with an antioxidant prior to consolidation may as ethanol, wherein the cross-linked polymeric material is improve the oxidation resistance of the polyethylene matediffused with the antioxidant in a supercritical fluid, such as rial. Antioxidants, such as vitamin E and β-carotene, have co ₂ .

been mixed with UHMWPE powder or particles by several

[0009] In another aspect, the invention provides methods investigators (see, Mori et al. p. 1017, Hand-out at the 47th

of making cross-linked polymeric material comprising the Annual Meeting, Orthopaedic Res Soc, Feb. 25-28, 2001,

steps of: a) placing a consolidated and cross-linked polySan Francisco, Calif.; McKellop et al. WO 01/80778;

meric material in a pressure chamber; b) filling the chamber Schaffner et al. EP 0 995 450; Hahn D. U.S. Pat. No.

with an antioxidant, either in a neat form (about 100%) or in 5,827,904; Lidgren et al. U.S. Pat. No. 6,448,315), in

a solution such as a 50% mixture of the antioxidant and attempts to improve wear resistance. Mori et al. also

alcohol, such as ethanol; and c) pressurizing the chamber to described that irradiation does not decrease the oxidation

enhance diffusion of the antioxidant into the consolidated resistance of antioxidant-doped polyethylene. The investiand cross-linked polymeric material.

gators (see, McKellop et al. WO 01/80778; Schaffiier et al.

EP 0 995 450; Hahn D. U.S. Pat. No. 5,827,904; Lidgren et [0010] In another aspect, the invention provides methods al. U.S. Pat. No. 6,448,315) described mixing polyethylene of making cross-linked polymeric material comprising the powder with antioxidants, followed by consolidating the steps of: a) doping the consolidated polymeric material with antioxidant-powder mix to obtain oxidation resistant polyan antioxidant by diffusion; b) irradiating the consolidated ethylene. Mixing of the resin powder, flakes, or particles polymeric material with ionizing radiation, thereby forming with vitamin E and consolidation thereafter result in changes a consolidated and cross-linked polymeric material; and c) in color of polymeric material to yellow (see for example, annealing the consolidated and cross-linked polymeric U.S. Pat. No. 6,448,315). In addition, the addition of the material at a temperature below or above melt of the antioxidant to the UHMWPE prior to irradiation can inhibit consolidated and cross-linked polymeric material. US 2008/0067724 Al Mar. 20, 2008

[0011] According to another aspect, the invention provides ing a cross-linked and interlocked hybrid material; and c) methods of making cross-linked polymeric material, comdoping the cross-linked and interlocked hybrid material with prising the steps of: a) consolidating a polymeric material; b) an antioxidant by diffusion.

irradiating the polymeric material with ionizing radiation, [0018] In another aspect, the invention provides methods thereby forming a consolidated and cross-linked polymeric

of making a medical implant containing cross-linked polymaterial; c) doping the consolidated and cross-linked polymeric material comprising: a) compression molding of polymeric material with an antioxidant by diffusion; and d) meric material to another piece, thereby forming an interface heating the consolidated and cross-linked polymeric mateand an interlocked hybrid material; b) doping the interlocked rial at a temperature below the melting point of the consolihybrid material with an antioxidant by diffusion; and c) dated and cross-linked polymeric material. irradiating the interlocked hybrid material by ionizing radia¬

[0012] In another aspect, the invention provides methods tion, thereby forming a cross-linked and interlocked hybrid of making a medical implant comprising: a) providing a material.

polymeric material; b) consolidating the polymeric material; [0019] In another aspect, the invention provides methods c) irradiating the consolidated polymeric material with ionof making a sterile medical implant containing cross-linked izing radiation, thereby forming a consolidated and cross- polymeric material comprising: a) direct compression moldlinked polymeric material; d) machining the consolidated ing a polymeric material, thereby forming a medical and cross-linked polymeric material, thereby forming a implant; b) irradiating the medical implant to crosslink the medical implant; and e) doping the medical implant with an polymeric material; c) doping the irradiated medical implant antioxidant by diffusion, thereby forming an antioxidant- with an antioxidant by diffusion; d) packaging the irradiated doped cross-linked medical implant. and antioxidant-doped medical implant; and e) sterilizing

[0013] In another aspect, the invention provides methods the packaged irradiated and antioxidant-doped medical of making a medical implant comprising: a) providing a implant by ionizing radiation or gas sterilization, thereby consolidated polymeric material; b) irradiating the consoliforming a cross-linked and sterile medical implant. dated polymeric material with ionizing radiation, thereby [0020] In another aspect, the invention provides methods forming a consolidated and cross-linked polymeric material; of making a sterile medical implant containing antioxidant c) machining the consolidated and cross-linked polymeric doped cross-linked polymeric material comprising: a) material, thereby forming a medical implant; and d) doping machining a consolidated polymeric material, thereby formthe medical implant with an antioxidant by diffusion, ing a medical implant; b) irradiating the medical implant, thereby forming an antioxidant-doped cross-linked medical thereby forming a medical implant containing cross-linked implant. polymeric material; c) doping the medical implant with an antioxidant by diffusion; d) packaging the irradiated and

[0014] In another aspect, the invention provides methods

antioxidant-doped medical implant; and e) sterilizing the of making a medical implant containing-antioxidant-doped

packaged medical implant by ionizing radiation or gas cross-linked polymeric material comprising: a) irradiating a

sterilization, thereby forming a cross-linked and sterile consolidated polymeric material with ionizing radiation,

medical implant.

thereby forming a cross-linked polymeric material; b)

machining the consolidated and cross-linked polymeric [0021] In another aspect, the invention provides methods material, thereby forming a medical implant; and c) doping of making a medical implant containing cross-linked polythe medical implant with an antioxidant by diffusion. meric material comprising: a) doping a polymeric material with an antioxidant by diffusion; b) compression molding of

[0015] In another aspect, the invention provides methods the polymeric material to another piece, thereby forming an of making a medical implant containing antioxidant-doped interface and an interlocked hybrid material; and c) irradicross-linked polymeric material comprising: a) machining a ating the interlocked hybrid material by ionizing radiation, consolidated polymeric material, thereby forming a medical thereby forming a cross-linked and interlocked hybrid mateimplant; b) doping the medical implant with an antioxidant rial.

by diffusion; and c) irradiating the medical implant, thereby

[0022] In another aspect, the invention provides methods forming a medical implant containing cross-linked polyof making a medical implant containing cross-linked polymeric material.

meric material comprising: a) direct compression molding of

[0016] In another aspect, the invention provides methods the polymeric material, thereby forming a medical implant; of making a medical implant containing polymeric material b) irradiating the medical implant by ionizing radiation, comprising: a) irradiating the polymeric material with ionthereby forming a consolidated and cross-linked medical izing radiation, thereby forming a cross-linked polymeric implant; and c) doping the consolidated and cross-linked material; and b) doping the cross-linked polymeric material medical implant with an antioxidant by diffusion.

with an antioxidant by diffusion, wherein the cross-linked [0023] In another aspect, the invention provides methods polymeric material is annealed at a temperature below the of making a medical implant containing antioxidant-doped melt or above the melt of the consolidated and cross-linked cross-linked polymeric material comprising: a) machining a polymeric material. consolidated polymeric material, thereby forming a medical

[0017] In another aspect, the invention provides methods implant; b) irradiating the medical implant, thereby forming of making a medical implant containing cross-linked polya medical implant containing cross-linked polymeric matemeric material comprising: a) compression molding of polyrial; and c) doping the medical implant with an antioxidant meric material to another piece, thereby forming an interface by diffusion.

and an interlocked hybrid material; b) irradiating the inter[0024] In another aspect, the invention provides methods locked hybrid material by ionizing radiation, thereby formof making a medical implant containing cross-linked poly- US 2008/0067724 Al Mar. 20, 2008

meric material comprising: a) direct compression molding posts, intervertebral discs, heart valves, tendons, stents, and polymeric material, thereby forming a medical implant; b) vascular grafts, wherein the polymeric material is polymeric doping the medical implant with an antioxidant by diffusion; resin powder, polymeric flakes, polymeric particles, or the c) packaging the medical implant; and d) irradiating the like, or a mixture thereof.

packaged medical implant by ionizing radiation, thereby

forming a consolidated and cross-linked and sterile medical [0031] Yet in another aspect, the invention provides methimplant. ods of making medical implants, including non-permanent implants, containing cross-linked polymeric material,

[0025] In another aspect, the invention provides methods wherein the implant comprises medical device, including of making a medical implant containing cross-linked polyballoon catheters, sutures, tubing, and intravenous tubing, meric material comprising: a) machining a consolidated wherein the polymeric material is polymeric resin powder, polymeric material, thereby forming a medical implant; b) polymeric flakes, polymeric particles, or the like, or a doping the medical implant with an antioxidant by diffusion; mixture thereof. As described herein, the polymeric balc) packaging the medical implant; and d) irradiating the loons, for example, polyether-block co-polyamide polymer packaged medical implant by ionizing radiation, thereby (PeBAX®, Nylon, and polyethylene terephthalate (PET) forming a consolidated and cross-linked and sterile medical balloons are doped with vitamin B and irradiated before, implant. during, or after doping.

[0026] In another aspect, the invention provides methods [0032] Yet in another aspect, the invention provides methof making cross-linked polymeric material comprising the ods of making a packaging for a medical device, wherein the steps of: a) placing a consolidated and cross-linked polypackaging is resistant to oxidation when subjected to stermeric material in a pressure chamber; b) filling the chamber ilization with ionizing radiation or gas sterilization. The with an antioxidant; and c) pressurizing the chamber to packaging include barrier materials, for example, blow- enhance diffusion of the antioxidant into the consolidated molded blister packs, heat-shrinkable packaging, thermally- and cross-linked polymeric material. sealed packaging, or the like or a mixture thereof.

[0027] In another aspect, the invention provides methods [0033] In another aspect, the invention provides methods of making medical devices containing cross-linked polyof making a medical implant containing cross-linked polymeric material comprising: a) irradiating a manufactured meric material comprising: a) doping the consolidated polymedical device consisting of consolidated polymeric matemeric material with an antioxidant by diffusion; and b) rial with ionizing radiation, thereby forming a consolidated irradiating the polymeric material with ionizing radiation, and cross-linked polymeric material; and b) doping the thereby forming a consolidated and cross-linked polymeric consolidated and cross-linked polymeric material with an material.

antioxidant by diffusion, thereby forming an antioxidant- doped consolidated and cross-linked polymeric material. [0034] In one aspect, antioxidant-doped medical implants are packaged and sterilized by ionizing radiation or gas

[0028] In another aspect, the invention provides methods sterilization to obtain sterile and cross-linked medical of making a packaging for medical devices that is resistant implants.

to oxidation, when subjected to either sterilization or

crosslinking doses of ionizing radiation, comprising: a) [0035] In another aspect, the polymeric material of the doping the packaging material with an antioxidant by difinstant invention is a polymeric resin powder, polymeric fusion; b) inserting a medical device in the packaging flakes, polymeric particles, or the like, or a mixture thereof, material; c) sealing the packaging material containing the wherein the irradiation can be carried out in an atmosphere medical device, thereby forming a packaged medical device; containing between about 1% and about 22% oxygen, and d) irradiating the packaged medical device with ionizing wherein the radiation dose is between about 25 kGy and radiation or gas sterilization. about 1000 kGy.

[0029] In another aspect, the invention provides methods [0036] In another aspect, the polymeric material of the of making a packaging for pharmaceutical compounds that instant invention is polymeric resin powder, polymeric is resistant to oxidation, when subjected to either sterilizaflakes, polymeric particles, or the like, or a mixture thereof, tion or crosslinking doses of ionizing radiation, comprising: wherein the polymeric material is irradiated after consolia) doping the packaging material with an antioxidant by dation in an inert atmosphere containing a gas, for example, diffusion; b) inserting a pharmaceutical compound in the nitrogen, argon, helium, neon, or the like, or a combination packaging material; c) sealing the packaging material conthereof, wherein the radiation dose is between about 25 kGy taining the pharmaceutical compound, thereby forming a and about 1000 kGy.

packaged pharmaceutical compound; and d) irradiating the [0037] In another aspect, the polymeric material of the packaged pharmaceutical compound with ionizing radiation instant invention is consolidated polymeric material, where or gas sterilization. the consolidation can be carried out by compression molding

[0030] Yet in another aspect, the invention provides methto form a slab from which a medical device is machined. ods of making a medical implant containing cross-linked

[0038] In another aspect, the polymeric material of the polymeric material, wherein the implant comprises medical instant invention is consolidated polymeric material, where devices, including acetabular liner, shoulder glenoid, patelthe consolidation can be carried out by direct compression lar component, finger joint component, ankle joint compomolding to form a finished medical device.

nent, elbow joint component, wrist joint component, toe

joint component, bipolar hip replacements, tibial knee insert, [0039] Yet in another aspect, the polymeric material of the tibial knee inserts with reinforcing metallic and polyethylene instant invention is consolidated polymeric material, where US 2008/0067724 A 1 Mar. 20, 2008

the consolidation can be carried out by compression molding [0046] In another aspect, the invention provides methods to another piece to form an interface and an interlocked of making a medical implant containing cross-linked polyhybrid material. meric material comprising: a) direct compression molding of the polymeric material, thereby forming a medical implant;

[0040] Still in another aspect, the invention provides b) irradiating the medical implant by ionizing radiation, methods of making a medical implant containing cross- thereby forming a consolidated and cross-linked medical linked polymeric material comprising: a) compression implant; and c) doping the consolidated and cross-linked molding of polymeric material to another piece, thereby medical implant with an antioxidant by difiusion.

forming an interface and an interlocked hybrid material; b)

irradiating the interlocked hybrid material by ionizing radia[0047] Yet in another aspect, the invention provides methtion, thereby forming a cross-linked and interlocked hybrid ods of making a medical implant containing cross-linked material; and c) doping the cross-linked and interlocked polymeric material comprising: a) machining a consolidated hybrid material with an antioxidant by diffusion. polymeric material, thereby forming a medical implant; b) irradiating the medical implant by ionizing radiation,

[0041] According to one aspect, the invention provides thereby forming a consolidated and cross-linked medical methods of making a medical implant containing cross- implant; and c) doping the consolidated and cross-linked linked polymeric material comprising compression molding medical implant an antioxidant by diffusion.

of polymeric material to another piece, such as a metallic or

a non metallic piece, for example, a metal, a ceramic, or a [0048] In another aspect, the invention provides methods polymer, thereby forming an interface and an interlocked of making a medical implant comprising: a) providing a hybrid material, wherein the interface is a metal-polymer or polymeric material; b) consolidating the polymeric material; a metal-ceramic interface. c) doping the consolidated polymeric material with an antioxidant by diffusion; d) irradiating the antioxidant doped

[0042] Yet according to another aspect, the invention polymeric material by ionizing radiation, thereby forming an provides methods of making a medical implant containing antioxidant doped cross-linked polymeric material; and e) cross-linked polymeric material comprising: a) compression machining the cross-linked polymeric material, thereby molding of polymeric material to another piece, thereby forming an antioxidant doped cross-linked medical implant. forming an interface and an interlocked hybrid material; b)

doping the interlocked hybrid material with an antioxidant, [0049] In another aspect, the invention provides methods for example, an a-tocopherol, such as vitamin E, by diffuof making a medical implant comprising: a) providing a sion; and c) irradiating the interlocked hybrid material by consolidated polymeric material; b) doping the consolidated ionizing radiation, thereby forming a cross-linked and interpolymeric material with an antioxidant by difiusion; c) locked hybrid material. irradiating the antioxidant doped polymeric material by ionizing radiation, thereby forming an antioxidant doped

[0043] Another aspect of the invention provides methods cross-linked polymeric material; and d) machining the cross- of making a medical implant containing cross-linked polylinked polymeric material, thereby forming an antioxidant meric material comprising: a) compression molding a polydoped cross-linked medical implant.

meric material, thereby forming a medical implant; b) irradiating the medical implant to crosslink the polymeric [0050] In another aspect, the invention provides methods material; c) doping the irradiated medical implant with an of making a medical implant comprising: a) providing a antioxidant by diffusion; d) packaging the irradiated and polymeric material; b) consolidating the polymeric material; antioxidant-doped medical implant; and e) sterilizing the c) doping the consolidated polymeric material with an packaged irradiated and antioxidant-doped medical implant antioxidant by diffusion; d) machining the antioxidant doped by ionizing radiation or gas sterilization, thereby forming a polymeric material, thereby forming an antioxidant doped cross-linked and sterile medical implant. polymeric material; and e) irradiating the antioxidant doped cross-linked polymeric material by ionizing radiation,

[0044] Yet in another aspect, the invention provides meththereby forming an antioxidant doped cross-linked medical ods of making a medical implant containing cross-linked implant.

polymeric material comprising: a) machining a consolidated

polymeric material, thereby forming a medical implant; b) [0051] In another aspect, the invention provides methods irradiating the medical implant to crosslink the polymeric of making a medical implant comprising: a) providing a material; c) doping the irradiated medical implant with an consolidated polymeric material; b) doping the consolidated antioxidant by diffusion; d) packaging the irradiated and polymeric material with an antioxidant by diffusion; c) antioxidant-doped medical implant; and e) sterilizing the machining the antioxidant doped polymeric material, packaged irradiated and antioxidant-doped medical implant thereby forming an antioxidant doped polymeric material; by ionizing radiation or gas sterilization, thereby forming a and d) irradiating the antioxidant doped cross-linked polycross-linked and sterile medical implant. meric material by ionizing radiation, thereby forming an antioxidant doped cross-linked medical implant.

[0045] According to another aspect, the invention provides methods of making a medical implant containing [0052] In another aspect, the invention provides methods cross-linked polymeric material comprising: a) compression of making a medical implant containing cross-linked polymolding of polymeric material to another piece, thereby meric material comprising: a) direct compression molding forming an interface and an interlocked hybrid material; b) polymeric material, thereby forming a medical implant; b) doping the interlocked hybrid material with an antioxidant doping the medical implant an antioxidant by diffusion; c) by diffusion; and c) irradiating the interlocked hybrid matepackaging the medical implant; and d) irradiating the packrial by ionizing radiation, thereby forming a cross-linked aged medical implant by ionizing radiation, thereby forming and interlocked hybrid material. a consolidated and cross-linked and sterile medical implant. US 2008/0067724 Al Mar. 20, 2008

[0053] In another aspect, the invention provides methods meric material; e) packaging the antioxidant-doped cross- of making a medical implant comprising: a) providing a linked medical implant; and f) sterilizing the packaged polymeric material; b) consolidating the polymeric material; medical implant by ionizing radiation or gas sterilization, c) machining the consolidated polymeric material, thereby thereby forming a cross-linked and sterile medical implant. forming a medical implant; d) doping the medical implant

[0059] In another aspect, the invention provides methods with an antioxidant by diffusion, thereby forming an antiof making a sterile medical implant containing antioxidant oxidant doped medical implant; e) packaging the medical

doped cross-linked polymeric material comprising: a) dopimplant; and f) irradiating the packaged medical implant by

ionizing radiation, thereby forming an antioxidant doped ing a polymeric material with an antioxidant; b) consolidatcross-linked and sterile medical implant. ing the antioxidant-doped polymeric material; c) irradiating the consolidated polymeric material, thereby forming an

[0054] Yet in another aspect, the invention provides methantioxidant-doped cross-linked polymeric material; d) ods of making a medical implant comprising: a) providing a machining the consolidated and cross-linked polymeric consolidated polymeric material; b) machining the consolimaterial, thereby forming a medical implant containing an dated polymeric material, thereby forming a medical antioxidant-doped cross-linked polymeric material; e) packimplant; c) doping the medical implant with an antioxidant aging the antioxidant-doped cross-linked medical implant; by diffusion, thereby forming an antioxidant doped medical and f) sterilizing the packaged medical implant by ionizing implant; d) packaging the medical implant; and e) irradiating radiation or gas sterilization, thereby forming a cross-linked the packaged medical implant by ionizing radiation, thereby and sterile medical implant.

forming an antioxidant doped cross-linked and sterile medical implant. [0060] In another aspect, the invention provides methods of making a medical implant containing cross-linked poly¬

[0055] In another aspect, the invention provides methods meric material comprising: a) doping a polymeric material of making a medical implant comprising: a) providing a with an antioxidant by diffusion; b) irradiating the antioxipolymeric material; b) consolidating the polymeric material; dant-doped polymeric material by ionizing radiation, c) doping the consolidated polymeric material with an thereby forming a cross-linked antioxidant-doped polymeric antioxidant by diffusion, thereby forming an antioxidant material; and c) compression molding of the cross-linked doped polymeric material; d) machining the antioxidant- antioxidant-doped polymeric material to another piece, doped polymeric material, thereby forming a medical thereby forming a cross-linked and interlocked hybrid mateimplant; e) packaging the medical implant; and f) irradiating rial.

the packaged medical implant by ionizing radiation, thereby

forming an antioxidant doped cross-linked and sterile medi[0061] In another aspect, the invention provides methods cal implant. of making a medical implant containing cross-linked polymeric material comprising: a) irradiating a consolidated

[0056] Yet in another aspect, the invention provides methpolymeric material by ionizing radiation, thereby forming a ods of making a medical implant comprising: a) providing a consolidated and cross-linked polymeric material; b) direct consolidated polymeric material; b) doping the consolidated compression molding of the polymeric material, thereby polymeric material with an antioxidant by diffusion, thereby forming a consolidated and cross-linked medical implant; forming an antioxidant doped polymeric material; c) and c) doping the consolidated and cross-linked medical machining the antioxidant-doped polymeric material, implant with an antioxidant by diffusion.

thereby forming a medical implant; d) packaging the medical implant; and e) irradiating the packaged medical implant [0062] In another aspect, the invention provides methods by ionizing radiation, thereby forming an antioxidant doped of making a medical implant containing antioxidant doped cross-linked and sterile medical implant. cross-linked polymeric material comprising: a) doping a polymeric material with an antioxidant; b) consolidating the

[0057] In another aspect, the invention provides methods antioxidant-doped polymeric material; c) machining the of making a sterile medical implant containing antioxidant consolidated antioxidant-doped polymeric material, thereby doped cross-linked polymeric material comprising: a) irraforming an antioxidant-doped medical implant; and d) irradiating a consolidated polymeric material, thereby forming diating the medical implant, thereby forming a medical a cross-linked polymeric material; b) machining the conimplant containing antioxidant-doped cross-linked polysolidated and cross-linked polymeric material, thereby formmeric material.

ing a medical implant; c) doping the medical implant with an

antioxidant by diffusion; d) packaging the irradiated and [0063] In another aspect, the invention provides methods antioxidant-doped medical implant; and e) sterilizing the of making a medical implant containing antioxidant doped packaged medical implant by ionizing radiation or gas cross-linked polymeric material comprising: a) doping a sterilization, thereby forming a cross-linked and sterile polymeric material with an antioxidant; b) consolidating the medical implant. antioxidant-doped polymeric material; c) irradiating the consolidated polymeric material, thereby forming an anti¬

[0058] In another aspect, the invention provides methods

oxidant-doped cross-linked polymeric material; and d) of making a sterile medical implant containing antioxidant machining the consolidated and cross-linked polymeric doped cross-linked polymeric material comprising: a) dopmaterial, thereby forming a medical implant containing an ing a polymeric material with an antioxidant; b) consolidatantioxidant-doped cross-linked polymeric material.

ing the antioxidant-doped polymeric material; c) machining

the consolidated antioxidant-doped polymeric material, [0064] Yet in another aspect, the invention provides meththereby forming an antioxidant-doped medical implant; d) ods of making a non-permanent medical device containing irradiating the medical implant, thereby forming a medical cross-linked polymeric material comprising: a) doping a implant containing antioxidant-doped cross-linked polymanufactured medical device containing consolidated poly- US 2008/0067724 Al Mar. 20, 2008

meric material with an antioxidant by diff sion, thereby meric material with ionizing radiation, thereby forming a forming an antioxidant-doped polymeric material; and b) cross-linked polymeric material; c) doping the polymeric irradiating the medical device with ionizing radiation, material with an antioxidant by diffusion, thereby forming thereby forming a cross-linked polymeric material. an antioxidant-doped cross-linked polymeric material; and d) machining the polymeric material, thereby forming an

[0065] In another aspect, the invention provides non- antioxidant-doped cross-linked medical implant.

oxidizing cross-linked polymeric materials with detectable

residual free radicals. [0073] Another aspect of the invention provides methods of making a medical implant comprising: a) providing a

[0066] In another aspect, the invention provides non- polymeric material; b) compression molding the polymeric oxidizing cross-linked medical implants, including permanent and non-permanent medical devices, with detectable material, thereby forming a medical implant; c) doping the medical implant containing an interface or an interlocked residual free radicals.

hybrid material with an antioxidant by diffusion, thereby

[0067] In another aspect, the invention provides methods forming an antioxidant-doped medical implant; d) packagof making a medical implant comprising: a) providing a ing the medical implant; and e) irradiating the packaged polymeric material; b) consolidating the polymeric material; medical implant by ionizing radiation, thereby forming an c) machining the consolidated polymeric material, thereby antioxidant-doped cross-linked and sterile medical implant. forming a medical implant; d) irradiating the medical In another aspect, the polymeric material is compression implant with ionizing radiation, thereby forming a cross- molded to another piece or a medical implant, thereby form linked medical implant; and e) doping the medical implant an interface or an interlocked hybrid material.

with an antioxidant by diffusion, thereby forming an antioxidant-doped cross-linked medical implant. [0074] Another aspect of the invention provides methods of making a medical implant comprising: a) providing a

[0068] Yet in another aspect, the invention provides methcompression molded polymeric material forming a medical ods of making a medical implant comprising: a) providing a implant; b) doping the medical implant containing an interconsolidated polymeric material; b) machining the consoliface or an interlocked hybrid material with an antioxidant by dated polymeric material, thereby forming a medical diffusion, thereby forming an antioxidant-doped medical implant; c) irradiating the medical implant with ionizing implant; c) packaging the medical implant; and d) irradiating radiation, thereby forming an antioxidant-doped cross- the packaged medical implant by ionizing radiation, thereby linked medical implant; and d) doping the medical implant forming an antioxidant-doped cross-linked and sterile mediwith an antioxidant by diffusion, thereby forming an antical implant. In another aspect, the polymeric material is oxidant-doped cross-linked medical implant. compression molded to another piece or a medical implant, thereby form an interface or an interlocked hybrid material.

[0069] In another aspect, the invention provides methods

of making a medical implant comprising: a) providing a [0075] Another aspect of the invention provides methods polymeric material; b) consolidating the polymeric material; to increase the uniformity of an antioxidant in a doped c) machining the consolidated polymeric material, thereby polymeric material by annealing the doped polymeric mateforming a medical implant; d) doping the medical implant rial below the melting point of the doped polymeric material. with an antioxidant by diffusion, thereby forming an antioxidant-doped medical implant; and e) irradiating the medi[0076] Another aspect of the invention provides methods cal implant with ionizing radiation, thereby forming an to increase the uniformity of an antioxidant in a doped antioxidant-doped cross-linked medical implant. polymeric material by annealing the doped polymeric material above the melting point of the doped polymeric material.

[0070] Yet in another aspect, the invention provides methods of making a medical implant comprising: a) providing a BRIEF DESCRIPTION OF THE DRAWINGS consolidated polymeric material; b) machining the consolidated polymeric material, thereby forming a medical [0077] FIG. 1 shows penetration depth of vitamin E difimplant; c) doping the medical implant with an antioxidant fusion into UHMWPE at room temperature, 100° C, 120° by diffusion, thereby forming an antioxidant-doped medical C. and 130° C.

implant; and d) irradiating the medical implant with ionizing

radiation, thereby forming an antioxidant-doped cross- [0078] FIG. 2 shows the oxidation index profile as a linked medical implant. function of depth into one of the representative aged cubes of seven groups studied (Group TCRT, Group RT1, Group

[0071] In another aspect, the invention provides methods RT16, Group TC100CT6, Group 100C1, Group TC100C1, of making a medical implant comprising: a) providing a and Group 100C16). All cubes were fabricated from an polymeric material; b) consolidating the polymeric material; irradiated polyethylene and four of which were doped with c) irradiating the polymeric material with ionizing radiation, vitamin E under various conditions. Thermal control cubes thereby forming a cross-linked polymeric material; d) dopwere not treated with vitamin E. Vitamin E doped cubes ing the polymeric material with an antioxidant by diffusion, show less oxidation at the surface and in the bulk of the thereby forming an antioxidant-doped cross-linked polysamples than their corresponding thermal controls.

meric material; and e) machining the polymeric material,

thereby forming an antioxidant-doped cross-linked medical [0079] FIG. 3 shows the diffusion profiles for vitamin E implant. through unirradiated UHMWPE doped at 130° C. for 96 hours as a function of subsequent annealing time at 130° C.

[0072] Yet in another aspect, the invention provides methods of making a medical implant comprising: a) providing a [0080] FIG. 4 schematically shows examples of sequences consolidated polymeric material; b) irradiating the polyof processing UHMWPE and doping at various steps. US 2008/0067724 Al Mar. 20, 2008

[0081] FIG.5 schematically shows examples of sequences medical implants or medical devices either during storage of processing UHMWPE and doping at various steps. prior to use or during in vivo service. For a permanent medical device, the in vivo duration can be as long as the

DETAILED DESCRIPTION OF THE remaining life of the patient, which is the length of time

INVENTION between implantation of the device and the death of the patient, for example, 1-120 years. If leaching out of the

[0082] The present invention provides methods of making antioxidant is an issue, the irradiation of the medical implant oxidation resistant medical implants that comprise medical or medical device or irradiation of any portion thereof can be devices, including permanent and non-permanent devices, carried out after doping the antioxidant. This can ensure and packaging that comprises polymeric material, such as crosslinking of the antioxidant to the host polymer through polyethylene. The invention pertains to methods of doping covalent bonds and thereby prevent loss of antioxidant from consolidated polyethylene, such as UHMWPE, with antithe medical implant or the device.

oxidants, before, during, or after crosslinking the consolidated polyethylene. [0091] According to another aspect of the invention, polymeric material, for example, resin powder, flakes, particles,

[0083] In one aspect of the invention, the doping of or a mixture thereof, is mixed with an antioxidant and then consolidated polyethylene can be carried out by diffusion of the mixture is consolidated. The consolidated antioxidant an antioxidant, for example, a-tocopherol, such as vitamin doped polymeric material can be machined to use as a E. According to one aspect of the invention, the diffusion of component in a medical implant or as a medical device. the antioxidant is accelerated by increasing the temperature

and/or pressure. [0092] According to another aspect of the invention, consolidated polymeric material, for example, consolidated

[0084] According to another aspect of the invention, an resin powder, molded sheet, blown films, tubes, balloons, antioxidant is delivered in various forms, including in a pure flakes, particles, or a mixture thereof, can be doped with an form, for example, as pure vitamin E, or dissolved in a antioxidant, for example, vitamin E in the form of a-Toco- solvent. pherol, by diffusion. Consolidated polymeric material, for

[0085] According to another aspect of the invention, difexample, consolidated UHMWPE can be soaked in 100% fusion rate of an antioxidant into the polyethylene is vitamin E or in a solution of ct-Tocopherol in an alcohol, for increased by increasing the concentration of the antioxidant example, ethanol or isopropanol. A solution of a-Toco- solution, for example, a vitamin E solution. pherol, about 50% by weight in ethanol can be used to diffuse in to UHMWPE in contact with a supercritical fluid,

[0086] In accordance with another aspect of the invention, such as C0 ₂ . The balloons, for example, PeBAX®, Nylon, diffusion rate of an antioxidant into the polyethylene is and PET balloons can be doped with vitamin E and irradiincreased by swelling the consolidated polyethylene in a ated before, during, or after doping.

supercritical fluid, for example, in a supercritical C0 ₂ , i.e.,

the temperature being above the supercritical temperature, [0093] The invention also relates to the following processwhich is 31.3° C, and the pressure being above the supering steps to fabricate medical devices made out of highly critical pressure, which is 73.8 bar. cross-linked polyethylene and containing metallic pieces such as bipolar hip replacements, tibial knee inserts with

[0087] In general, for example, in case of vitamin E, as the reinforcing metallic and polyethylene posts, intervertebral antioxidant, mixing the resin powder, flakes, particles, or a disc systems, and for any implant that contains a surface that mixture thereof, with vitamin E and consolidation thereafter cannot be readily sterilized by a gas sterilization method. result in changes in color of polymeric material to yellow.

According to the instant invention, doping subsequent to [0094] According to one aspect of the invention, the consolidation avoids the exposure of vitamin E to high polyethylene component of a medical implant is in close temperatures and pressures of consolidation and prevents the contact with another material, such as a metallic mesh or discoloration of the polymeric material. The invention also back, a non-metallic mesh or back, a tibial tray, a patella tray, decreases the thermal effects on the antioxidant. The thermal or an acetabular shell, wherein the polyethylene, such as effects can reduce the effectiveness of the antioxidant in resin powder, flakes and particles are directly compression protecting the polymeric material against oxidation. molded to these counter faces. For example, a polyethylene tibial insert is manufactured by compression molding of

[0088] Doping in the consolidated state also allows one to polyethylene resin powder to a tibial tray, to a metallic mesh achieve a gradient of antioxidant in consolidated polymeric or back or to a non-metallic mesh or back. In the latter case, material. One can dope a certain thickness surface layer the mesh is shaped to serve as a fixation interface with the where the oxidation of the polymeric material in a medical

bone, through either bony in-growth or the use of an device is of concern in terms of wear. This can be achieved

adhesive, such as polymethylmethacrylate (PMMA) bone by simply dipping or soaking finished devices, for example,

cement. These shapes are of various forms including, a finished medical implant, for example, in pure vitamin E acetabular liner, tibial tray for total or unicompartmental or in a solution of vitamin E at a given temperature and for

knee implants, patella tray, and glenoid component, ankle, a given amount of time. elbow or finger component. Another aspect of the invention

[0089] According to the methods described herein, an relates to mechanical interlocking of the molded polyethylantioxidant, for example, vitamin E, can be doped into the ene with the other piece(s), for example, a metallic or a polymeric material either before, during, or after irradiation non-metallic piece, that makes up part of the implant. (See for example, FIGS. 4 and 5).

[0095] The interface geometry is crucial in that polyeth¬

[0090] It may be possible that the doped antioxidant can ylene assumes the geometry as its consolidated shape. leach out of the polymeric material used in fabrication of Polyethylene has a remarkable property of 'shape memory' US 2008/0067724 Al Mar. 20, 2008

due to its very high molecular weight that results in a high When there is substantial oxidation on the outside surface of density of physical entanglements. Following consolidation, the polyethylene induced during the free radical elimination plastic deformation introduces a permanent shape change, step or irradiation step, the device surface can be further which attains a preferred high entropy shape when melted. machined to remove the oxidized surface layer. In another This recovery of the original consolidated shape is due to the aspect, the invention provides that in the case of a post- 'shape memory', which is achieved when the polyethylene melting machining of an implant, the melting step can be is consolidated. carried out in the presence of an inert gas.

[0096] The recovery of polymeric material when sub[0100] Another aspect of the invention includes methods jected to annealing in an effort to quench residual free of sterilization of the fabricated device, wherein the device radicals is also problematic in medical devices that have a is further sterilized with ethylene oxide, gas plasma, or the high degree of orientation. Balloon catheters often can have other gases, when the interface is sterile but the rest of the intended axial and radial alignment of the polymeric chains. component is not.

Balloon catheters made from polyethylene benefit from the

[0101] In another aspect, the invention discloses packagimproved wear resistance generated from crosslinking when

ing of irradiated and antioxidant-doped medical implants or used with stents. Additionally, the use of catheters and stents

medical devices including compression molded implants or coated with drags precludes the use of ethylene oxide

devices, wherein the implants or the devices can be sterilized sterilization in some cases; thus ionizing radiation must be

by ionizing radiation or gas sterilization to obtain sterile and used, and the balloon catheter has to be protected from the

cross-linked medical implants or medical devices.

deleterious effects of free-radical induced oxidation. Annealing of these materials close to the melt transition tempera¬

DEFINITIONS

ture would result in bulk chain motion and subsequent loss

of dimensional tolerances of the part. By diffusing 100% [0102] "Antioxidant" refers to what is known in the art as vitamin E or in a solution of a-Tocopherol in an alcohol, for (see, for example, WO 01/80778, U.S. Pat. No. 6,448,315). example, ethanol or isopropanol, into the medical device, Alpha- and delta-tocopherol; propyl, octyl, or dedocyl gal- such as a balloon catheter, either before, during, or after lates; lactic, citric, and tartaric acids and their salts; ortho- exposure to ionizing radiation for either crosslinking or phosphates, tocopherol acetate. Preferably vitamin E. sterilization, the problems associated with post-irradiation

oxidation can be avoided without the need for thermal [0103] "Supercritical fluid" refers to what is known in the treatment. As described herein, the balloons, for example, art, for example, supercritical propane, acetylene, carbon PeBAX®, Nylon, and PET balloons can be doped with dioxide (C0 ₂ ). In this connection the critical temperature is vitamin E and irradiated before, during, or after doping. that temperature above which a gas cannot be liquefied by pressure alone. The pressure under which a substance may

[0097] Another aspect of the invention provides that folexist as a gas in equilibrium with the liquid at the critical lowing the compression moldings of the polyethylene to the temperature is the critical pressure. Supercritical fluid concounterface with the mechanical interlock, the hybrid comdition generally means that the fluid is subjected to such a ponent is irradiated using ionizing radiation to a desired dose temperature and such a pressure that a supercritical fluid and level, for example, about 25 kGy to about 1000 kGy, thereby a supercritical fluid mixture is obtained, the tempreferably between about 25 kGy and about 150 kGy, more perature being above the supercritical temperature, which preferably between about 50 kGy and about 100 kGy. for C0 ₂ is 31.3° C, and the pressure being above the Another aspect of the invention discloses that the irradiation supercritical pressure, which for C0 ₂ is 73.8 bar. More step generates residual free radicals and therefore, a melting specifically, supercritical condition refers to a condition of a step is introduced thereafter to quench the residual free mixture, for example, UHMWPE with an antioxidant, at an radicals. Since the polyethylene is consolidated into the elevated temperature and pressure, when a supercritical fluid shape of the interface, thereby setting a 'shape memory' of mixture is formed and then evaporate C0 ₂ from the mixture, the polymer, the polyethylene does not separate from the UHMWPE doped with an antioxidant is obtained (see, for counterface. example, U.S. Pat. No. 6,448,315 and WO 02/26464)

[0098] In another aspect of the invention, there are pro[0104] The term "compression molding" as referred vided methods of crosslinking polyethylene, to create a herein related generally to what is known in the art and polyethylene-based medical device, wherein the device is specifically relates to high temperature molding polymeric immersed in a non-oxidizing medium such as inert gas or material wherein polymeric material is in any physical state, inert fluid, wherein the medium is heated to above the including powder form, is compressed into a slab form or melting point of the irradiated polyethylene, for example, mold of a medical implant, for example, a tibial insert, an UHMWPE (above about 137° C.) to eliminate the crystalacetabular liner, a glenoid liner, a patella, or an unicompartline matter and to allow the recombination/elimination of the mental insert, can be machined.

residual free radicals. Because the shape memory of the

compression molded polymer is set at the mechanically [0105] The term "direct compression molding" as referred interlocked interface and that memory is strengthened by the herein related generally to what is known in the art and crosslinking step, there is no significant separation at the specifically relates to molding applicable in polyethylene- interface between the polyethylene and the counterface. based devices, for example, medical implants wherein polyethylene in any physical state, including powder form, is

[0099] Another aspect of the invention provides that folcompressed to solid support, for example, a metallic back, lowing the above steps of free radical elimination, the metallic mesh, or metal surface containing grooves, underinterface between the metal and the polymer become sterile cuts, or cutouts. The compression molding also includes due to the high irradiation dose level used during irradiation. high temperature compression molding of polyethylene at US 2008/0067724 Al Mar. 20, 2008

various states, including resin powder, flakes and particles, of free radicals, as is apparent to the skilled person from the to make a component of a medical implant, for example, a teachings contained herein. This is due, at least in part, to the tibial insert, an acetabular liner, a glenoid liner, a patella, or varying properties of polymer compositions. Thus these an unicompartmental insert. terms encompass values beyond those resulting from systematic error.

[0106] The term "mechanically interlocked" refers generally to interlocking of polyethylene and the counterface, that [0114] Polymeric Material: Ultra-high molecular weight are produced by various methods, including compression polyethylene (UHMWPE) refers to linear non-branched molding, heat and irradiation, thereby forming an interlockchains of ethylene having molecular weights in excess of ing interface, resulting into a 'shape memory' of the interabout 500,000, preferably above about 1,000,000, and more locked polyethylene. Components of a device having such preferably above about 2,000,000. Often the molecular an interlocking interface can be referred to as a "hybrid weights can reach about 8,000,000 or more. By initial material". Medical implants having such a hybrid material, average molecular weight is meant the average molecular contain a substantially sterile interface. weight of the UHMWPE starting material, prior to any irradiation. See U.S. Pat. No. 5,879,400, PCT US99/16070,

[0107] The term "substantially sterile" refers to a condifiled on Jul. 16, 1999, and PCT/US97/02220, filed Feb. 11, tion of an object, for example, an interface or a hybrid

1997.

material or a medical implant containing interface(s),

wherein the interface is sufficiently sterile to be medically [0115] The products and processes of this invention also acceptable, i.e., will not cause an infection or require reviapply to various types of polymeric materials, for example, sion surgery. any polyolefin, including high-density-polyethylene, low- density-polyethylene, linear-low-density-polyethylene,

[0108] "Metallic mesh" refers to a porous metallic surface

ultra-high molecular weight polyethylene (UHMWPE), or of various pore sizes, for example, 0.1-3 mm. The porous

mixtures thereof. Polymeric materials, as used herein, also surface can be obtained through several different methods,

applies to polyethylene of various forms, for example, resin for example, sintering of metallic powder with a binder that

powder, flakes, particles, powder, or a mixture thereof, or a is subsequently removed to leave behind a porous surface;

consolidated form derived from any of the above.

sintering of short metallic fibers of diameter 0.1-3 mm; or

sintering of different size metallic meshes on top of each [0116] Crosslinking Polymeric Material: Polymeric Mateother to provide an open continuous pore structure. rials, for example, UHMWPE can be cross-linked by a variety of approaches, including those employing cross-

[0109] "Bone cement" refers to what is known in the art as linking chemicals (such as peroxides and/or silane) and/or an adhesive used in bonding medical devices to bone.

irradiation. Preferred approaches for cross-linking employ Typically, bone cement is made out of polymethylmethacryirradiation. Cross-linked UHMWPE also can be obtained late (PMMA).

according to the teachings of U.S. Pat. No. 5,879,400, U.S.

[0110] "High temperature compression molding" refers to Pat. No. 6,641,617, and PCT US97/02220.

the compression molding of polyethylene in any form, for [0117] Consolidated Polymeric Material: Consolidated example, resin powder, flakes or particles, to impart new polymeric material refers to a solid, consolidated bar stock, geometry under pressure and temperature. During the high solid material machined from stock, or semi-solid form of temperature (above the melting point of polyethylene) compolymeric material derived from any forms as described pression molding, polyethylene is heated to above its meltherein, for example, resin powder, flakes, particles, or a ing point, pressurized into a mold of desired shape and mixture thereof, that can be consolidated. The consolidated allowed to cool down under pressure to maintain a desired polymeric material also can be in the form of a slab, block, shape. solid bar stock, machined component, film, tube, balloon,

[0111] "Shape memory" refers to what is known in the art pre-form, implant, or finished medical device.

as the property of polyethylene, for example, an UHMWPE, [0118] The term "non-permanent device" refers to what is that attains a preferred high entropy shape when melted. The known in the art as a device that is intended for implantation preferred high entropy shape is achieved when the resin in the body for a period of time shorter than several months. powder is consolidated through compression molding. Some non-permanent devices could be in the body for a few

[0112] The phrase "substantially no detectable residual seconds to several minutes, while other may be implanted free radicals" refers to a state of a polyethylene component, for days, weeks, or up to several months. Non-permanent wherein enough free radicals are eliminated to avoid oxidevices include catheters, tubing, intravenous tubing, and dative degradation, which can be evaluated by electron spin sutures, for example.

resonance (ESR). The phrase "detectable residual free radi¬

[0119] "Pharmaceutical compound", as described herein, cals" refers to the lowest level of free radicals detectable by refers to a drug in the form of a powder, suspension, ESR or more. The lowest level of free radicals detectable

emulsion, particle, film, cake; or molded form. The drug can with state-of-the-art instruments is about 10 ¹⁴ spins/gram be free-standing or incorporated as a component of a mediand thus the term "detectable" refers to a detection limit of cal device.

10 ¹⁴ spins/gram by ESR.

[0120] The term "pressure chamber" refers to a vessel or

[0113] The terms "about" or "approximately" in the cona chamber in which the interior pressure can be raised to text of numerical values and ranges refers to values or ranges levels above atmospheric pressure.

that approximate or are close to the recited values or ranges

such that the invention can perform as intended, such as [0121] The term "packaging" refers to the container or having a desired degree of crosslinking and/or a desired lack containers in which a medical device is packaged and/or US 2008/0067724 Al Mar. 20, 2008

10 shipped. Packaging can include several levels of materials, usually introduced into the body in a collapsed state, and are including bags, blister packs, heat-shrink packaging, boxes, inflated at the desired location in the body with a balloon ampoules, bottles, tubes, trays, or the like or a combination catheter, where they remain.

thereof. A single component may be shipped in several [0129] "Melt transition temperature" refers to the lowest individual types of package, for example, the component can temperature at which all the crystalline domains in a matebe placed in a bag, which in turn is placed in a tray, which rial disappear.

in turn is placed in a box. The whole assembly can be

sterilized and shipped. The packaging materials include, but [0130] Interface: The term "interface" in this invention is not limited to, vegetable parchments, multi-layer polyethdefined as the niche in medical devices formed when an ylene, Nylon 6, polyethylene terephthalate (PET), and polyimplant is in a configuration where a component is in contact vinyl chloride-vinyl acetate copolymer films, polypropywith another piece (such as a metallic or a non-metallic component), which forms an interface between the polymer lene, polystyrene, and ethylene-vinyl acetate (EVA)

copolymers. and the metal or another polymeric material. For example, interfaces of polymer-polymer or polymer-metal are in

[0122] The term "sealing" refers to the process of isolating medical prosthesis, such as orthopedic joints and bone a chamber or a package from the outside atmosphere by replacement parts, for example, hip, knee, elbow or ankle closing an opening in the chamber or the package. Sealing replacements.

can be accomplished by a variety of means, including [0131] Medical implants containing factory-assembled application of heat (for example, thermally-sealing), use of pieces that are in close contact with the polyethylene form adhesive, crimping, cold-molding, stapling, or application of interfaces. In most cases, the interfaces are not readily pressure. accessible to ethylene oxide gas or the gas plasma during a gas sterilization process.

[0123] The term "blister packs" refers to a packaging

comprised of a rigid plastic bowl with a lid or the like that [0132] Irradiation: In one aspect of the invention, the type is either peeled or punctured to remove the packaged conof radiation, preferably ionizing, is used. According to tents. The lid is often made of aluminum, or a gas-permeable another aspect of the invention, a dose of ionizing radiation membrane such as a Tyvek. The blister packs are often ranging from about 25 kGy to about 1000 kGy is used. The blow-molded, a process where the plastic is heated above its radiation dose can be about 25 kGy, about 50 kGy, about 65 deformation temperature, at which point pressurized gas kGy, about 75 kGy, about 100 kGy, about 150, kGy, about forces the plastic into the required shape. 200 kGy, about 300 kGy, about 400 kGy, about 500 kGy, about 600 kGy, about 700 kGy, about 800 kGy, about 900

[0124] The term "heat-shrinkable packaging" refers to kGy, or about 1000 kGy, or above 1000 kGy, or any integer plastic films, bags, or tubes that have a high degree of thereabout or therebetween. Preferably, the radiation dose orientation in them. Upon application of heat, the packaging can be between about 25 kGy and about 150 kGy or between shrinks down as the oriented chains retract, often wrapping about 50 kGy and about 100 kGy. These types of radiation, tightly around the medical device. including gamma and/or electron beam, kills or inactivates bacteria, viruses, or other microbial agents potentially con¬

[0125] The term "intervertebral disc system" refers to an

taminating medical implants, including the interfaces, artificial disc that separates the vertebrae in the spine. This

thereby achieving product sterility. The irradiation, which system can either be composed of one type of material, or

may be electron or gamma irradiation, in accordance with can be a composite structure, for example, cross-linked

the present invention can be carried out in air atmosphere UHMWPE with metal edges.

containing oxygen, wherein the oxygen concentration in the

[0126] The term "balloon catheters" refers to what is atmosphere is at least 1%, 2%, 4%, or up to about 22%, or known in the art as a device used to expand the space inside any integer thereabout or therebetween. In another aspect, blood vessels or similar. Balloon catheters are usually thin the irradiation can be carried out in an inert atmosphere, wall polymeric devices with an inflatable tip, and can wherein the atmosphere contains gas selected from the expand blocked arteries, stents, or can be used to measure group consisting of nitrogen, argon, helium, neon, or the blood pressure. Commonly used polymeric balloons like, or a combination thereof. The irradiation also can be include, for example, polyether-block co-polyamide polycarried out in a vacuum.

mer (PeBAX®), Nylon, and polyethylene terephthalate [0133] In accordance with a preferred feature of this (PET) balloons. Commonly used polymeric material used in invention, the irradiation may be carried out in a sensitizing the balloons and catheters include, for example, co-polymers atmosphere. This may comprise a gaseous substance which of polyether and polyamide (for example, PeBAX®), Polya- is of sufBciently small molecular size to diffuse into the mides, Polyesters (for example, PET), and ethylene vinyl polymer and which, on irradiation, acts as a polyfunctional alcohol (EVA) used in catheter fabrication. grafting moiety. Examples include substituted or unsubsti- tuted polyunsaturated hydrocarbons; for example, acetylenic

[0127] Medical device tubing: Materials used in medical

hydrocarbons such as acetylene; conjugated or unconjugated device tubing, including an intravenous tubing include,

olefinic hydrocarbons such as butadiene and (methjacrylate polyvinyl chloride (PVC), polyurethane, polyolefins, and

monomers; sulphur monochloride, with crdoro-tri-ffuoroet- blends or alloys such as thermoplastic elastomers, polya- hylene (CTFE) or acetylene being particularly preferred. By mide/imide, polyester, polycarbonate, or various fluoropoly- "gaseous" is meant herein that the sensitizing atmosphere is mers.

in the gas phase, either above or below its critical tempera¬

[0128] The term "stent" refers to what is known in the art ture, at the irradiation temperature.

as a metallic or polymeric cage-like device that is used to [0134] Metal Piece: In accordance with the invention, the hold bodily vessels, such as blood vessels, open. Stents are piece forming an interface with polymeric material is, for US 2008/0067724 A 1 Mar. 20, 2008

11 example, a metal. The metal piece in functional relation with containing polymeric material, such as cross-linked UHMpolyethylene, according to the present invention, can be WPE. The process comprises sterilizing the medical made of a cobalt chrome alloy, stainless steel, titanium, implants by ionizing sterilization with gamma or electron titanium alloy or nickel cobalt alloy, for example. beam radiation, for example, at a dose level ranging from

25-70 kGy, or by gas sterilization with ethylene oxide or gas

[0135] Non-metallic Piece: In accordance with the invenplasma.

tion, the piece forming an interface with polymeric material

is, for example, a non-metal. The non-metal piece in func[0145] Another aspect of the present invention discloses a tional relation with polyethylene, according to the present process of sterilization of medical implants containing polyinvention, can be made of ceramic material, for example. meric material, such as cross-linked UHMWPE. The process comprises sterilizing the medical implants by ionizing ster¬

[0136] Inert Atmosphere: The term "inert atmosphere"

ilization with gamma or electron beam radiation, for refers to an environment having no more than 1% oxygen

example, at a dose level ranging from 25-200 kGy. The dose and more preferably, an oxidant-free condition that allows

level of sterilization is higher than standard levels used in free radicals in polymeric materials to form cross links

irradiation. This is to allow crosslinking or further crosslink- without oxidation during a process of sterilization. An inert

ing of the medical implants during sterilization.

atmosphere is used to avoid 0 ₂ which would otherwise

oxidize the medical device comprising a polymeric material, [0146] In another aspect, the invention discloses a process such as UHMWPE. Inert atmospheric conditions such as of sterilizing medical implants containing polymeric matenitrogen, argon, helium, or neon are used for sterilizing rial, such as cross-linked UHMWPE, that is in contact with polymeric medical implants by ionizing radiation. another piece, including polymeric material consolidated by compression molding to another piece, thereby forming an

[0137] Inert atmospheric conditions such as nitrogen,

interface and an interlocked hybrid material, comprising argon, helium, neon, or vacuum are also used for sterilizing

sterilizing an interface by ionizing radiation; heating the interfaces of polymeric-metallic and/or polymeric-polymedium to above the melting point of the irradiated UHMmeric in medical implants by ionizing radiation.

WPE (above about 137° C.) to eliminate the crystalline

[0138] Inert atmospheric conditions also refers to an inert matter and allow for the recombination elimination of the gas, inert fluid, or inert liquid medium, such as nitrogen gas residual free radicals; and sterilizing the medical implant or silicon oil. with a gas, for example, ethylene oxide or gas plasma.

[0139] Anoxic environment: "Anoxic environment" refers [0147] Heating: One aspect of the present invention disto an environment containing gas, such as nitrogen, with less closes a process of increasing the uniformity of the antioxithan 21%-22% oxygen, preferably with less than 2% oxydant following doping in polymeric component of a medical gen. The oxygen concentration in an anoxic environment implant during the manufacturing process by heating for a also can be at least 1%, 2%, 4%, 6%, 8%, 10%, 1 % 14%, time period depending on the melting temperature of the 16%, 18%, 20%, or up to about 22%, or any integer polymeric material. For example, the preferred temperature thereabout or therebetween. is about 137° C. or less. Another aspect of the invention

[0140] Vacuum: The term "vacuum" refers to an environdiscloses a heating step that can be carried in the air, in an ment having no appreciable amount of gas, which otherwise atmosphere, containing oxygen, wherein the oxygen conwould allow free radicals in polymeric materials to form centration is at least 1%, 2%, 4%, or up to about 22%, or any cross links without oxidation during a process of sterilizainteger thereabout or therebetween. In another aspect, the tion. A vacuum is used to avoid 0 ₂ , which would otherwise invention discloses a heating step that can be carried while oxidize the medical device comprising a polymeric material, the implant is in contact with an inert atmosphere, wherein such as UHMWPE. A vacuum condition can be used for the inert atmosphere contains gas selected from the group sterilizing polymeric medical implants by ionizing radiation. consisting of nitrogen, argon, helium, neon, or the like, or a combination thereof. In another aspect, the invention dis¬

[0141] A vacuum condition can be created using a comcloses a heating step that can be carried while the implant is mercially available vacuum pump. A vacuum condition also in contact with a non-oxidizing medium, such as an inert can be used when sterilizing interfaces of polymeric-metalfluid medium, wherein the medium contains no more than lic and/or polymeric-polymeric in medical implants by ionabout 1% oxygen. In another aspect, the invention discloses izing radiation. a heating step that can be carried while the implant is in a

[0142] Residual Free Radicals: "Residual free radicals" vacuum.

refers to free radicals that are generated when a polymer is [0148] In another aspect of this invention, there is exposed to ionizing radiation such as gamma or e-beam described the heating method of implants to reduce increase irradiation. While some of the free radicals recombine with the uniformity of the antioxidant. The medical device comeach other to from crosslinks, some become trapped in prising a polymeric raw material, such as UHMWPE, is crystalline domains. The trapped free radicals are also generally heated to a temperature of about 137° C. or less known as residual free radicals. following the step of doping with the antioxidant. The

[0143] According to one aspect of the invention, the levels medical device is kept heated in the inert medium until the of residual free radicals in the polymer generated during an desired uniformity of the antioxidant is reached.

ionizing radiation (such as gamma or electron beam) is

[0149] The term "below melting point" or "below the preferably determined using electron spin resonance and

melt" refers to a temperature below the melting point of a treated appropriately to reduce the free radicals.

polyethylene, for example, UHMWPE. The term "below

[0144] Sterilization: One aspect of the present invention melting point" or "below the melt" refers to a temperature discloses a process of sterilization of medical implants less than 145° C, which may vary depending on the melting US 2008/0067724 Al Mar. 20, 2008

12 temperature of the polyethylene, for example, 145° C, 140° for one hour to 16 hours. The antioxidant can be heated to C. or 135° C, which again depends on the properties of the room temperature or up to about 160° C. and the doping can polyethylene being treated, for example, molecular weight be carried out at room temperature or up to about 160° C. averages and ranges, batch variations, etc. The melting Preferably, the antioxidant can be heated to 100° C. and the temperature is typically measured using a differential scandoping is carried out at 100° C.

ning calorimeter (DSC) at a heating rate of 10° C. per

[0156] The doping step can be followed by a heating step minute. The peak melting temperature thus measured is

in air or in anoxic environment to improve the uniformity of referred to as melting point and occurs, for example, at

the antioxidant within the polymeric material, medical approximately 137° C. for some grades of UHMWPE. It

implant or device. The heating may be carried out above or may be desirable to conduct a melting study on the starting

below or at the peak melting point.

polyethylene material in order to determine the melting

temperature and to decide upon an irradiation and annealing [0157] In another aspect of the invention the medical temperature. device is cleaned before packaging and sterilization.

[0150] The term "annealing" refers to heating the polymer [0158] The invention is further described by the following below its peak melting point. Annealing time can be at least examples, which do not limit the invention in any manner. 1 minute to several weeks long. In one aspect the annealing

time is about 4 hours to about 48 hours, preferably 24 to 48 EXAMPLES

hours and more preferably about 24 hours. "Annealing [0159] Vitamin E: Vitamin E (Acros™ 99% D-a-Toco- temperature" refers to the thermal condition for annealing in pherol, Fisher Brand), was used in the experiments accordance with the invention. described herein, unless otherwise specified. The vitamin E

[0151] The term "contacted" includes physical proximity used is very light yellow in color and is a viscous fluid at with or touching such that the sensitizing agent can perform room temperature. Its melting point is 2-3° C.

its intended function. Preferably, a polyethylene composition or pre-form is sufficiently contacted such that it is Example 1

soaked in the sensitizing agent, which ensures that the

contact is sufficient. Soaking is defined as placing the sample Consolidation of UHMWPE Resin Mixed with in a specific environment for a sufficient period of time at an Vitamin E

appropriate temperature, for example, soaking the sample in [0160] Vitamin E was dissolved in ethanol to create a a solution of an antioxidant. The environment is heated to a solution with 10% (w/v) vitamin E concentration. The temperature ranging from room temperature to a temperavitamin E-ethanol solution was then dry-blended with GUR ture below the melting point of the material. The contact 1050 ultra-high molecular weight polyethylene (UHMWPE) period ranges from at least about 1 minute to several weeks resin. Two batches were prepared: one with vitamin E and the duration depending on the temperature of the concentration of 0.1% (w/v) and the other with 0.3% (w/v). environment. The vitamin E concentrations were measured after evapo¬

[0152] The term "non-oxidizing" refers to a state of polyration of ethanol. Both batches were than consolidated on a meric material having an oxidation index (A. U.) of less than Carver laboratory bench pressed at a temperature of 230° C. about 0.5 following aging polymeric materials for 5 weeks in air. The consolidated blocks were discolored. The 0.1% in air at 80° C. oven. Thus, a non-oxidizing cross-linked (w/v) solution appeared dark yellow and the 0.3% (w/v) polymeric material generally shows an oxidation index (A. solution had a brown color. The discoloration was uniform U.) of less than about 0.5 after the aging period. throughout the consolidated UHMWPE blocks.

[0153] Doping: Doping refers to a process well known in [0161] The discoloration was thought to be the result of the art (see, for example, U.S. Pat. Nos. 6,448,315 and the degradation of vitamin E when heated in presence of 5,827,904). In this connection, doping generally refers to oxygen.

contacting a polymeric material with an antioxidant under

certain conditions, as set forth herein, for example, doping Example 2

UHMWPE with an antioxidant under supercritical conditions. Discoloration of Vitamin E when Exposed to Heat in Air or in Vacuum

[0154] More specifically, consolidated polymeric material

can be doped with an antioxidant by soaking the material in [0162] An experiment was carried out to determine if the a solution of the antioxidant. This allows the antioxidant to vitamin E discoloration is due to exposure to air at elevated diffuse into the polymer. For instance, the material can be temperatures and if the discoloration could be avoided by soaked in 100% antioxidant. The material also can be soaked heating vitamin E under vacuum.

in an antioxidant solution where a carrier solvent can be used [0163] One drop of vitamin E solution, as described to dilute the antioxidant concentration. To increase the depth herein, was placed on a laboratory glass slide. The glass of diffusion of the antioxidant, the material can be doped for slide was then heated in an air convection oven to 180° C. longer durations, at higher temperatures, at higher pressures, for 1 hour in air. The vitamin E changed its color to a dark and/or in presence of a supercritical fluid. brown. The discoloration was most probably due to the degradation of the vitamin E.

[0155] The doping process can involve soaking of a polymeric material, medical implant or device with an antioxi[0164] One drop of vitamin E was placed on a laboratory dant, such as vitamin E, for about an hour up to several days, glass slide. The glass slide was then heated in a vacuum oven preferably for about one hour to 24 hours, more preferably to 180° C. for 1 hour under vacuum. In contrast to heating US 2008/0067724 Al Mar. 20, 2008

13 in air, vitamin E showed no discernible color change folhours, the vitamin E drop was no longer visible on that lowing heating in vacuum. Therefore, in the absence of air machined surface, indicating that it had diffused into the or oxygen, heat treatment of vitamin E results in no dis- polyethylene.

cernable color change.

Example 6

Example 3

Consolidation of UHMWPE/Vitamin E in Anoxic Diffusion of Vitamin E into Irradiated Polyethylene

Environment

[0171] Compression molded GUR1050 UHMWPE (Per-

[0165] Vitamin E is dissolved in ethanol to create a plas, Lanchashire, UK) was irradiated using gamma radiasolution. GUR1050 polyethylene resin is degassed either in tion at a dose level of 100 kGy. Cylindrical pins (n=10) of vacuum or is kept in an anoxic environment to substantially 9 mm diameter and 13 mm height were machined from the remove the dissolved oxygen. The vitamin E-ethanol soluirradiated stock. One of the basal surfaces of five of the pins tion is then dry-blended with GUR1050 polyethylene resin. (n=5) were wetted with vitamin E. The other five pins served Two batches are prepared, one with degassed GUR1050 and as control samples. The two groups of pins were left in air the other with the as-received GUR1050 polyethylene resin. at room temperature for 16 hours. They were then placed in The dry-blended mixtures are then separately consolidated a convection oven at 80° C. in air for accelerated aging. on a Carver laboratory bench press. Consolidation can be

carried out in an anoxic environment to minimize the [0172] The aged pins were removed from the oven after discoloration of the consolidated stock. five weeks to determine the extent of oxidation. The pins were first cut in half along the axis of the cylinder. One of

Example 4 the cut surfaces was then microtomed (150-200 micrometer)

Pin-On-Disk (POD) Wear Test of Pins Treated with and a BioRad UMA 500 infra-red microscope was used to

0.1% and 0.3% Vitamin E collect infra-red spectrum as a function of distance away

[0166] An experiment was carried out to determine the from the edge corresponding to one of the basal surfaces of effects of vitamin E on crosslinking efficiency of UHMWPE. the cylinder. In the case of the vitamin E treated pins, the Vitamin E (a-tocopherol) was mixed with GUR1050 UHMoxidation level was quantified from the basal surface that WPE powder, in two concentrations, for example, 0.1% and was wetted with vitamin E.

0.3% weight/volume, and consolidated. The consolidation [0173] Oxidation index was calculated by normalizing the of UHMWPE into blocks was achieved by compression area under the carbonyl vibration (1740 cm ^"1 ) to that under molding. One additional consolidation was carried out withthe methylene vibration at 1370 cm ^-1 , after subtracting the out vitamin E additive, to use as a control. The three corresponding baselines.

consolidated blocks were machined into halves and one half

of each was packaged in vacuum and irradiated to 100 kGy [0174] The oxidation levels were substantially reduced by with gamma radiation (Steris, Northborough, Mass.). the application of vitamin E onto the surface of irradiated polyethylene. Therefore, this method can be used to improve

[0167] Cylindrical pins, 9 mm in diameter and 13 mm in the long-term oxidative stability of irradiated polyethylene, length, were cut out of the irradiated blocks. The pins were for example, in medical devices containing polymeric matefirst subjected to accelerated aging at 80° C. for 5 weeks in rial.

air and subsequently tested on a bi-directional pin-on-disk

(POD). The POD test was run for a total of 2 million cycles Example 7

with gravimetric assessment of wear at every 0.5 million

cycles. The test was run at a frequency of 2 Hz with bovine Diffusion of Vitamin E into Polyethylene Followed serum, as a lubricant. by Irradiation

[0168] The typical wear rate of UHMWPE with no radia¬

[0175] Compression molded GUR1050 UHMWPE (Per- tion history and no vitamin E is around 8.0 milligram per

plas, Lanchashire, UK) was machined into cubes (n=4) of 19 million cycles. The wear rates for the 100 kGy irradiated

mm a side. The surfaces of two cubes were wetted with vitamin E added pins were 2.10+0.17 and 5.01+0.76 millivitamin E and left at room temperature for 16 hours. Two gram per million cycles for the 0.1% and 0.3% vitamin E

other cubes were left without addition of vitamin E. One concentrations, respectively. The reduction in wear resiscube of each group with and without vitamin E were tance is less with higher vitamin E content.

packaged in an anoxic environment (for example, about 2%

[0169] By increasing vitamin E content, the radiation oxygen) and the remaining five cubes of each group were induced long-term oxidative instability of polyethylene can packaged in air. The cubes were irradiated using gamma be decreased. In other words, improved resistance to post- radiation at a dose level of 100 kGy in their respective irradiation oxidation of UHMWPE can be achieved by packaging.

blending with vitamin E. However, the crosslink density of

UHMWPE, achieved by a high irradiation dose, decreases [0176] The irradiated cubes were removed from the packwith increasing concentration of vitamin E content in the ages and placed in an oven at 80° C. in the air for accelerated mixture. aging.

Example 5 [0177] The aged cubes were removed from the oven after five weeks to determine the extent of oxidation. The cubes

Diffusion of Vitamin E into Consolidated were first cut into halves. One of the cut surfaces was then

Polyethylene microtomed (150-200 micrometer) and a BioRad UMA 500

[0170] A drop of vitamin E was placed on a machined infra-red microscope was used to collect infra-red spectrum surface of consolidated GUR1050 UHMWPE in air. In six as a function of distance away from one of the edges. US 2008/0067724 Al Mar. 20, 2008

14

[0178] Oxidation index was calculated by normalizing the The spectra were analyzed by quantifying the absorbance, area under the carbonyl vibration (1740 cm ^'1 ) to that under which is typically generated by vitamin E, namely the the methylene vibration at 1370 cm ^-1 , after subtracting the absorbance between 1226 and 1275 cm ^-1 wave numbers. corresponding baselines. The area under the absorbance was integrated and normal¬

[0179] The oxidation levels were substantially reduced by ized to the area under the reference absorbance peak, located the application of vitamin E onto the surface of polyethylene between 1850 and 1985 cm ^-1 . The integration of both the prior to irradiation in air or anoxic environment. Therefore, vitamin E absorbance and the reference absorbance this method can be used to improve the long-term oxidative excluded the respective baselines. The normalized value is stability of polyethylene that may subsequently be irradiated referred to as vitamin E index.

to sterilization and/or crosslinking polymeric material, for

example, medical devices containing polymeric material. [0185] FIG. 1 demonstrates the difiFusion profiles of polyethylene cubes that were doped at four different tempera¬

Example 8 tures (25° C, 100° C, 120° C. and 130° C). Depth of α-tocopherol diffusion in polyethylene increased with tem¬

Fabrication of a Highly Cross-Linked Medical perature from 400 um at 25° C. to 3 mm at 130° C. under

Device ambient pressure.

[0180] A tibial knee insert is machined from compression [0186] The diffusion depth and uniformity of the antioximolded GUR1050 UHMWPE. The insert is then soaked in dant, in this example of vitamin E, can be varied by varying 100% vitamin E or a solution of vitamin E. The diffusion of the doping temperature.

vitamin E into the insert may be accelerated by increasing

temperature and/or pressure, which can be carried out either Example 10

in air or inert or anoxic environment. After reaching desired

level of vitamin E diffusion, the insert is packaged either in

Artificial Aging of UHMWPE with and without air or inert or anoxic environment. The packaged insert is

Vitamin E

then irradiated to 100 kGy dose. The irradiation serves two

purposes: (1) crosslinks the polyethylene and improves wear [0187] An experiment was performed to investigate the resistance and (2) sterilizes the implant. effect of vitamin E on the thermo-oxidative stability of

[0181] In this example the polyethylene implant can be irradiated UHMWPE. Two identical cylindrical pins (9 mm any polyethylene medical device including those with abutin diameter and 13 mm in height) were machined out of a ting interfaces to other materials, such as metals. An UHMWPE block that was irradiated to 100 kGy with example of this is non-modular, metal-backed, polyethylene gamma radiation. One base of one of the cylindrical pins components used in total joint arthroplasty. was coated with natural vitamin E (DL-a-tocopherol) and the other pin was left clean. Both pins were then subjected

Example 9 to accelerated aging in an oven at 80° C. in air for 5 weeks.

Subsequent to aging, the pins were microtomed to prepare a

Diffusion of Vitamin E in Polyethylene 200 μπι thin section perpendicular to both of the cylindrical bases. Microtomed sections (200 μηι each) were then ana¬

[0182] An experiment was carried out to investigate the lyzed with a BioRad UMA500 infra-red microscope. Infradiffusion of synthetic vitamin E (DL-a-tocopherol) into

red spectra were collected, as a function of depth away from UHMWPE. Consolidated GUR 1050 UHMWPE (Perplas the edge of the microtomed section, which corresponded to Ltd., Lancashire, UK) was machined into 2 cm cubes. The the vitamin E exposed cylindrical base. The spectra were cubes were immersed in a-tocopherol (Fisher Scientific,

analyzed by quantifying the carbonyl absorbance between Houston, Tex.) for doping. Doping was carried out in an 1680 and 1780 cm ^-1 wave numbers. The area under the oven with a nitrogen purge. Cubes were doped at 25° C,

absorbance was integrated and normalized to the area under 100° C, 120° C, or 130° C. for 16 hours under 0.5-0.6 atm the reference absorbance peak located between 1330 and nitrogen pressure, which was applied by first purging the

1390 cm ^"1 . The integration of both the carbonyl absorbance oven with nitrogen, then applying vacuum, and then adjustand the reference absorbance excluded the respective baseing the amount of nitrogen (for all except 25° C, which was lines. The normalized value is referred to as oxidation index. performed in air at ambient pressure). After doping, the

samples were rinsed with ethanol to remove excess a-toco[0188] The clean UHMWPE pin sample showed about six pherol from surfaces of the cubes. The extent of a-tocotimes higher oxidation index than that of the vitamin E pherol diffusion into polyethylene was quantified by using treated pin.

infrared microscopy and measuring a characteristic absor- bance of a-tocopherol as a function of depth away from a Example 11

free surface.

[0183] The cubes that were doped with α-tocopherol were Improved Oxidation Resistance with Vitamin E machined to halves and sectioned (about 100 um thin Doping

sections) using an LKB Sledge Microtome (Sweden). The

[0189] Compression molded GUR 1050 UHMWPE thin sections were analyzed using a BioRad UMA 500

blocks (Perplas Ltd., Lancashire, UK) (3 inches in diamater) infrared microscope (Natick, Mass.).

were gamma -irradiated in vacuum to a dose of 111-kGy

[0184] Infrared spectra were collected with an aperture (Steris Isomedix, Northborough, Mass.). Irradiated blocks size of 50x50 μιη as a function of depth away from one of were machined into half-cubes of dimensions about 2 cmx2 the edges that coincided with the free surface of the cube. cmxl cm. US 2008/0067724 Al Mar. 20, 2008

15

[0190] Four groups of the half-cubes were soaked in

a-Tocopherol (a-D,L-T, Fischer Scientific, Houston, Tex.) TABLE 1

for doping. The half-cubes of the Group RT1 were soaked at

Maximum oxidation values for cleaned and accelerated aged room temperature for one hour. The half-cubes of the Group control and tocopherol doped 111-kGy irradiated UHMWPE RT16 were soaked at room temperature for 16 hour. The (RT denotes that doping was done at room temperature). half-cubes of the Group 100C1 were soaked at 100° C. for Sample ID Average Maximum Oxidation Index one hour. The half-cubes of the Group 100C16 were soaked

at 100° C. for 16 hours. There were a total 3 half-cubes in Group TCRT 3.68 ± 0.15

Group RT1 0.38 ± 0.05 each group. In addition, three groups of thermal controls Group RT16 0.40 ± 0.03 were prepared with three half-cubes in each group. Group Group TC100C16 0.97 * 0.04

Group 100C1 0.098 ± 0.003

TCRT consisted of half-cubes that were machined from one Group TC100C1 0.70 ± 0.18 of the irradiated blocks. Group TC100C1 consisted of half- Group 100C16 0.080 ± 0.003 cubes that were heated to 100° C. for one hour in air. Group

TC100C16 consisted of half-cubes that were heated to 100°

C. for 16 hours in air. [0195] Thermal control (Group TC100C1) for 111-kGy irradiated, cleaned and aged samples for UHMWPE doped

[0191] The soaked and thermal control half-cubes with tocopherol at 100° C. for 1 hour showed higher levels described above were then cleaned in a dishwasher. Cleanof oxidation than the corresponding tocopherol doped test ing was performed by a portable Kenmore dishwasher samples (Group 100C1). Similarly, thermal control (Group (Sears Inc, Hoffman Estates, 111.) on normal cycle with rinse TC100C16) for 111-kGy irradiated, cleaned and aged and heat drying. During cleaning, all half-cube test samples samples for UHMWPE doped with tocopherol at 100° C. for were placed in a cylindrical non-elastic polyethylene mesh 16 hours showed higher levels of oxidation than the tocopherol doped test samples (Group 100C16). The oxidation of 2 inches in diameter and closed at the ends. This ensured

levels of the thermal controls and test samples did not show that the samples did not move around, but the cleaning significant difference between a soak time of 1 hour and 16 medium could get through. Electrasol™ (Reckitt Benckiser hours. The oxidation levels for doped samples at 100° C. Inc., Berkshire, UK) was used as cleaning agent. were less than those doped at room temperature.

[0192] Following cleaning, the samples were subject to [0196] FIG. 2 shows the oxidation index profile as a accelerated aging to determine the effect of tocopherol function of depth into one of the representative aged cubes doping under different conditions on the oxidative stability of each group studied (Group TCRT, Group RT1, Group of the irradiated UHMWPE. Accelerated aging was perRT16, Group TC100C16, Group lOOCl, Group TC100C1, formed by placing the samples in an oven at 80° C. in air for and Group 100C16).

five weeks. [0197] These results show that cleaning by washing and drying did not remove the tocopherol diffused into UHM¬

[0193] Subsequent to aging, the half-cubes were cut in

WPE and tocopherol was able to protect against oxidation of halves and microtomed to prepare a 200 um thin section high-dose irradiated UHMWPE under aggressive aging conperpendicular to one of the 2 cmx2 cm surfaces. Microditions.

tomed sections (200 m each) were analyzed with a BioRad

UMA500 infra-red microscope. Infra-red spectra were colExample 12

lected, as a function of depth away from the edge of the

microtomed section, which corresponded to the surface that Ionizing Sterilization of Balloon Catheters was soaked in tocopherol and also exposed to air during

[0198] The increased use of drug coatings on balloons and aging. The spectra were analyzed by quantifying the carbo- stents precludes the use of ethylene oxide sterilization in nyl absorbance between 1680 and 1780 cm ^"1 wave numbers. many cases. Additionally, improved wear behavior is desired The area under the absorbance was integrated and normalfor balloons that are used to inflate metallic stents. Polyethized to the area under the reference absorbance peak located ylene balloons are soaked in vitamin E at room temperature between 1330 and 1390 cm ^"1 . The integration of both the and pressure for 16 hours. The balloons are then exposed to carbonyl absorbance and the reference absorbance excluded ionizing radiation in dose levels ranging from 25 kGy to 100 the respective baselines. The normalized value is referred to kGy. The radiation sterilizes the component without affectas oxidation index. ing the drug, and crosslinks the polyethylene to improve the wear behavior. Oxidation resulting from residual free radi¬

[0194] Maximum oxidation values of each microtomed cals can be minimized by the presence of the vitamin E. sections was calculated and averages of three sections from

each Group described above are shown in Table 1. Thermal Example 13

control for 111-kGy-irradiated, cleaned and aged samples

for UHMWPE doped with tocopherol at room temperature Improved Oxidation Resistance of Packaging showed high levels of oxidation. The average maximum Material

oxidation levels in irradiated, tocopherol doped, cleaned, [0199] Packaging made from polyethylene films is soaked and aged samples for durations of 1 hour and 16 hours, in vitamin E at room temperature and kept under pressure for respectively, were lower than their respective thermal con16 hours. The packaging is then sterilized by ionizing trols that were not doped but had the same thermal history. radiation at doses 25-40 kGy. The packaging is protected US 2008/0067724 Al Mar. 20, 2008

16 from oxidation-induced embrittlement, which can affect

both the mechanical integrity and the gas barrier properties TABLE 2

of the packaging.

The wear rate of doped and aged cross- linked polyethylene.

Example 14 Wear rate Wear rate

(mi lligrams/million- (milligrams/ million-

Sample ID cycfes) before aging cycles) after aging

Irradiation and Doping of UHMWPE

a-T-92 (65 kGy + 1.5 ± 0.3 1.9 ± 0.5

[0200] Cubes (20 mm to a side) were machined from three doping + 27 kGy)

a-T-127 (100 kGy + 0.82 ± 0.2 0.91 ± 0.1 different bar stocks made out of GUR1050 UHMWPE that doping + 27 kGy)

are treated as follows: (1) gamma irradiated to 65 kGy, (2)

gamma irradiated to 100 kGy, and (3) unirradiated. The

[0203] The wear behavior of the doped samples were cubes were than doped by soaking in vitamin E (DL-a- comparable before and after aging, indicating that the prestocopherol) for 16 hours at room temperature. Two groups of ence of an antioxidant incorporated by diffusion can protect cubes, one machined from the 65 kGy and the other from the the irradiated polyethylene from oxidation and thus prevent 100 kGy irradiated stocks, were packaged following doping an increase in wear after aging. Typically the wear rate of a with vitamin E and irradiated again with gamma irradiation 100-kGy irradiated UHMWPE is around 1 milligrams per for sterilization at a dose level of 25-40 kGy. One additional million-cycle (Muratoglu et al., Biomaterials, 20(16):1463- 1470, 1999). Aging of an 105-kGy irradiated UHMWPE can group of cubes, machined from unirradiated stock, was

increase its wear rate to above 20 milligram/per cycle packaged following doping with vitamin E and irradiated (Muratoglu et al. Clinical Orthopaedics & Related again with gamma irradiation for crosslinking and sterilizaResearch, 417:253-262, 2003).

tion at a dose level of 125-140 kGy.

Example 16

Example 15

Oxidation Stabilization of Polyether-Block

The Pin-on-Disk (Pod) Wear Behavior of Irradiated Co-Polyamide Balloons

and Vitamin E Doped UHMWPE Before and after [0204] Balloons fabricated from polyether-block

Aging co-polyamide polymer (PeBAX®) are sterilized with either gamma or electron beam after packaging. As there is con¬

[0201] Consolidated GUR 1050 UHMWPE bar stocks cern about oxidative embrittlement of these materials due to were gamma irradiated at 65 kGy and 100 kGy. Cylindrical free radical generation, quenching of the free radicals is pins (9 mm in diameter and 13 mm in length) samples for imperative to ensure an extended shelf life (for example, a POD wear testing were machined from the irradiated bar three-year shelf life). These materials cannot be heat-treated stocks. The samples were doped with vitamin E (a-Toco- following irradiation, given that the highly aligned polymer chains relax when exposed to elevated temperatures, resultpherol) for 16 hours at room temperature in air. Following

ing in radial and axial shrinkage.

doping, the samples were further gamma sterilized at a dose

of 27 kGy. These two groups are referred to as a-T-92 and [0205] Polyether-block co-polyamide balloons are soaked a-T-127 with a total radiation doses of 92 kGy and 127 kGy, in vitamin E, or in a solution of vitamin E and a solvent such as an alcohol. The balloons are packaged, and then subjected respectively.

to sterilization doses ranging from 25-70 kGy. The higher

[0202] Half of the cylindrical samples were subjected to radiation dose results from double sterilization doses. Sterilization can occur either in air or in a low oxygen atmoaccelerated aging at 80° C. in air for five weeks. Both

sphere. The vitamin E minimizes the oxidative behavior of un-aged and aged samples were subjected to POD wear residual free radicals introduced during the sterilization testing. The wear behavior of the pins was tested on a process and also can reduce undesired crosslinking. custom-built bi-directional pin-on-disc wear tester at a frequency of 2 Hz by rubbing the pins against an implant-finish Example 17

cobalt-chrome counterface in a rectangular wear path

Oxidation Stabilization of Nylon Balloons (Muratog!u et al., Biomaterials, 20(16):1463-1470, 1999).

The peak contact stress during testing was 6 MPa. Bovine [0206] Balloons fabricated from Nylon polymer are stercalf serum was used as lubricant and quantified wear gravi- ilized with either gamma or electron beam after packaging.

As there is concern about oxidative embrittlement of these metrically at 0.5 million-cycle intervals. Initially, the pins

materials due to free radical generation, quenching of the were subjected to 200,000 cycles of POD testing to reach a

free radicals is imperative to ensure a three year shelf life. steady state wear rate independent of diffusion or asperities These materials cannot be heat-treated following irradiation, on the surface. Thereafter, three pins of each group were given that the highly aligned polymer chains relax when tested for a total of 2 million cycles. The wear rate was exposed to elevated temperatures, resulting in radial and calculated as the linear regression of wear vs. number of axial shrinkage.

cycles from 0.2 to 2 million cycles. The wear rates of doped [0207] Nylon balloons are soaked in vitamin E, or in a and aged cross-linked polyethylenes are shown in Table 2. solution of vitamin E and a solvent such as an alcohol. The US 2008/0067724 Al Mar. 20, 2008

17 balloons are packaged, and then subjected to sterilization often through injection molding. Polypropylene is known to doses ranging from 25-70 kGy. The higher radiation dose exhibit oxidative degradation when it is subjected to ionizresults from double sterilization doses. Sterilization can ing sterilization with gamma or electron beam or gas steroccur either in air or in a low oxygen atmosphere. The ilization with ethylene oxide or gas plasma.

vitamin E minimizes the oxidative behavior of residual free

[0213] Polypropylene syringes are soaked in vitamin E, or radicals introduced during the sterilization process and also

in a solution of vitamin E and a solvent such as an alcohol. can reduce undesired crosslinking.

The syringes are packaged, and then subjected to sterilization doses ranging from 25-70 kGy. The higher radiation

Example 18

dose results from double sterilization doses. Sterilization can

Oxidation Stabilization of Polyethylene occur either in air or in a low oxygen atmosphere. The Terephthalate Balloons vitamin E will minimizes the oxidative behavior of residual free radicals introduced during the sterilization process, and

[0208] Balloons fabricated from polyethylene terephthacould also reduce undesired crosslinking.

late (PET) polymer are sterilized with either gamma or

electron beam after packaging. As there is concern about Example 21

oxidative embrittlement of these materials due to free radical

generation, quenching of the free radicals is imperative to Sterilization of Flexible Polyvinyl Chloride Tubing ensure an extended shelf life (for example, a three-year shelf

[0214] Flexible polyvinyl chloride (PVC) is used in a life). These materials cannot be heat-treated following irravariety of medical devices, including tubing. While previdiation, given that the highly aligned polymer chains relax

ously sterilized with ethylene oxide, more manufacturers are when exposed to elevated temperatures, resulting in radial

using gamma or electron beam to sterilize. Upon exposure and axial shrinkage.

to ionizing radiation, these material often darken and yellow,

[0209] PET balloons are soaked in vitamin E, or in a which is believed to be due to oxidation {Medical Plastics solution of vitamin E and a solvent such as an alcohol. The and Biomaterials Magazine, March, 1996, Douglas W. balloons are packaged, then subjected to sterilization doses Luther and Leonard A. Linsky). Yellowing is reduced when ranging from 25-70 kGy. The higher radiation dose results antioxidants are compounded into the PVC with a mechanifrom double sterilization doses. Sterilization can occur cal mixer or extruder.

either in air or in a low oxygen atmosphere. The vitamin E

[0215] PVC tubing is soaked in vitamin E, or in a solution minimizes the oxidative behavior of residual free radicals

of vitamin E and a solvent such as an alcohol. The tubing is introduced during the sterilization process and also can

then subjected to sterilization doses ranging from 25-70 reduce undesired crosslinking.

kGy. The higher radiation dose results from double steril¬

Example 19 ization doses. Sterilization can occur either in air or in a low oxygen atmosphere. The vitamin E minimizes the oxidative

Oxidation Stabilization of Multi-Component behavior of residual free radicals introduced during the

Balloons sterilization process, and results in color-stabilized PVC components, as well as improved shelf life.

[0210] Multi-component balloons fabricated from a combination of polymers, including polyethylene, PET, poly- Example 22

ether-block co-polyamide, polyvinyl acetate, and nylon, are

sterilized with either gamma or electron beam after packAnnealing after Doping

aging. As there is concern about oxidative embrittlement of

these materials due to free radical generation, quenching of [0216] Post-doping annealing can be used to achieve a the free radicals is imperative to ensure an extended shelf more uniform antioxidant distribution. Unirradiated UHM- life (for example, a three-year shelf life). These materials WPE cubes were doped at 130° C. for 96 hours by soaking cannot be heat-treated following irradiation, given that the in undiluted a-tocopherol. One cube was machined in halves highly aligned polymer chains relax when exposed to and microtomed. The microtomed sections were analyzed elevated temperatures, resulting in radial and axial shrinkusing infra-red microscopy, as described above in Example age. 9, to measure the vitamin E index as a function of depth away from one of the surfaces that was free during doping.

[0211] These multi -component balloons are soaked in Subsequent to doping, other doped cubes were annealed at vitamin E, or in a solution of vitamin E and a solvent such 130° C. for increasing periods of time. The doped and as an alcohol. The balloons are packaged, and then subjected annealed cubes were also analyzed using the infrared microto sterilization doses ranging from 25-70 kGy. The higher scope to determine the changes on the vitamin E index radiation dose results from double sterilization doses. Sterprofile as a function of annealing time. FIG. 3 shows the ilization can occur either in air or in a low oxygen atmodiffusion profiles measured in the doped and also doped and sphere. The vitamin E minimizes the oxidative behavior of annealed cubes. In the sample that has not been annealed, the residual free radicals introduced during the sterilization surface concentration was much higher than that for the process, and also can reduce undesired crosslinking. bulk, but the sample that had been annealed for 100 hours at the same temperature showed a nearly uniform profile.

Example 20 Therefore, annealing after doping can be used to increase the uniformity of the antioxidant distribution throughout the

Sterilization of Polypropylene Medical Devices host polymer. The temperature and time of annealing can be

[0212] Polypropylene is widely used in the medical industailored by carrying out a parametric analysis as described try to produce syringes, vials, and numerous other devices, herein. US 2008/0067724 Al Mar. 20, 2008

18

Example 23 forming an interlocked hybrid material having an interface between the antioxidant-doped UHMWPE and the

Sequences of Processing UHMWPE metallic material;

[0217] UHMWPE can be doped with antioxidants at varic) irradiating the interlocked hybrid material by ionizing ous stages, for example, as schematically shown in FIGS. 4 radiation at a dose of 100 kGy in an inert environment, and 5. thereby forming cross-links in the antioxidant-doped

[0218] It is to be understood that the description, specific UHMWPE and yielding a antioxidant-doped cross- examples and data, while indicating exemplary embodilinked and interlocked hybrid material for a medical ments, are given by way of illustration and are not intended device, wherein: (i) the cross-linking strengthens the to limit the present invention. Various changes and modifipolymeric blend to minimize separation at the intercations within the present invention will become apparent to face, (ii) the antioxidant provides resistance to post- the skilled artisan from the discussion, disclosure and data irradiation oxidation, and (iii) the irradiation sterilizes contained herein, and thus are considered part of the inventhe interface;

tion. d) machining the antioxidant-doped cross-linked and

1-79. (canceled) interlocked hybrid material to form the medical device

80. A method of making a medical device having interhaving non-oxidizing cross-linked UHMWPE and locked hybrid material and comprising a non-oxidizing interlocked hybrid material;

cross-linked ultrahigh molecular weight polyethylene e) packaging the medical device having non-oxidizing (UHMWPE), wherein the method comprises: cross-linked UHMWPE and interlocked hybrid matea) doping ultrahigh molecular weight polyethylene rial; and

(UHMWPE) for about 16 hours by diffusion with an

f) sterilizing the packaged medical device having non- antioxidant in a supercritical fluid at a temperature of oxidizing cross-linked UHMWPE and interlocked above 31.3° C. and under a supercritical pressure of

hybrid material by ionizing radiation or gas sterilizaabout 73.8 bar, thereby forming an antioxidant-doped

tion, thereby forming a cross-linked and sterile medical UHMWPE;

device having interlocked hybrid material.

b) compression molding of the antioxidant-doped UHMWPE to the counterface of a metallic material, thereby

APPENDIX

ιιιιιιΐΗ ΐι US0ι071π66650ηB2 ιιιιΐ!

(i2) United States Patent (io) Patent No.: US 7,166,650 B2

Muratoglu et al. (45) Date of Patent: *Jan. 23, 2007

HIGH MODULUS CROSSLINKED (58) Field of Classification Search 522/161, POLYETHYLENE WITH REDUCED 522/125, 150, 113, 114, 133; 523/115, 113; RESIDUAL FREE RADICAL 526/352.2, 72, 73, 348, 352; 623/18, 22, CONCENTRATION PREPARED BELOW THE 623/11.11, 13.12, 18.11, 22.11, 22.21 MELT See application file for complete search history.

Inventors: Orhun K. Muratoglu, Cambridge, MA (56) References Cited

(US); Stephen H. Spiegelberg, U.S. PATENT DOCUMENTS Winchester, MA (US); Gareth H.

McKinley, Acton, MA (US) 4,113,595 A 9/1978 Hagiwara et al 204/159.17

Assignees: Massachusetts General Hospital, (Continued)

Boston, MA (US); Cambridge Polymer

Group, Inc., Boston, MA (US) FOREIGN PATENT DOCUMENTS

10105085 4/2002

Notice: Subject to any disclaimer, the term of this

patent is extended or adjusted under 35 (Continued)

U.S.C. 154(b) by 0 days.

OTHER PUBLICATIONS

This patent is subject to a terminal dis¬

Murali Jasty, Document dated Jan. 11, 1999.

claimer.

(Continued)

Appl. No.: 11/030,115

Primary Examiner— Sanza L. McClendon

Filed: Jan. 7, 2005 (74) Attorney, Agent, or Firm— Proskauer Rose LLP

Prior Publication Data (57) ABSTRACT

US 2005/0124718 Al Jun. 9, 2005

The present invention provides an irradiated crosslinked

Related U.S. Application Data polyethylene containing reduced free radicals, preferably containing substantially no residual free radical. Disclosed is

Continuation of application No. 10/252,582, filed on a process of making irradiated crosslinked polyethylene by Sep. 24, 2002, now Pat. No. 6,852,772. irradiating the polyethylene in contact with a sensitizing

Provisional application No. 60/344,354, filed on Jan. environment at an elevated temperature that is below the 4, 2002. melting point, in order to reduce the concentration of residual free radicals to an undetectable level. A process of

Int. CI. making irradiated crosslinked polyethylene composition

C08F 2/46 (2006.01) having reduced free radical content, preferably containing A61F 2/00 (2006.01) substantially no residual free radicals, by mechanically A61F 2/02 (2006.01) deforming the polyethylene at a temperature that is below

U.S. CI 522/161; 522/125; 522/150; the melting point of the polyethylene, optionally in a sen¬

522/113; 522/133; 623/11.11; 623/13.12; sitizing environment, is also disclosed herein.

623/18.11 ; 623/22.11; 623/22.21; 526/352;

526/352.2; 526/72; 526/73; 526/348; 523/113 23 Claims, 2 Drawing Sheets

US 7,166,650 B2

Page 2

U.S. PATENT DOCUMENTS 6,228,900 Bl 5/2001 Shen et al. ..

6,242,507 Bl 6/2001 Saum et al. .,587,163 A 5/1986 Zachariades 428/29 ₂ 6,281,264 Bl 8/2001 Salovey et al.,030,402 A 7/1991 Zachariades 264/138 6,316,158 Bl 11/2001 Saum et al. .,414,049 A 5/1995 Sun et al 525/333.7 6,395,799 Bl 5/2002 Johnson,428,079 A 6/1995 Bastiaansen et al 522/161 6,464,926 Bl 10/2002 Merrill et al.,449,745 A 9/1995 Sun et al 528/483 6,852,772 B2 2/2005 Muratoglu et al,508,319 A 4/1996 DeNicola et al 522/161 2001/0027345 Al 10/2001 Merrill et al.,543,471 A 8/1996 Sun et al 525/333.7

,577,368 A 11/1996 Hamilton et al 53/432 FOREIGN PATENT DOCUMENTS,594,041 A 1/1997 Deamaley 522/2

,650,485 A 7/1997 Sun et al 528/483 EP 0729981 Bl 9/1996,728,748 A 3/1998 Sun et al 522/65 WO WO96/09330 3/1996,753,182 A 5/1998 Higgins 422/23 wo W097/29793 8/1997,824,411 A 10/1998 Shalaby et al 428/364 wo WO98/01085 11/1998,834,113 A 11/1998 Shalaby et al 428/364 wo WOO 1/05337 1/2001,879,400 A 3/1999 Merrill et al 623/22 wo WO03/059200 7/2003,017,975 A * 1/2000 Saum et al 522/161

,143,232 A 11/2000 Rohr 264/460 OTHER PUBLICATIONS,165,220 A * 12/2000 McKellop et al 128/898

,168,626 Bl 1/2001 Hyon et al 623/18.11 Murali Jasty, Document dated Jan. 30, 1999.,174,934 Bl 1/2001 Sun et al 523/113

,184,265 Bl 2/2001 Hamilton et al 522/189 * cited by examiner

U.S. Patent Jan. 23, 2ΟΟ7 Sheet 1 of 2 US 7,166,650 B2

Figure 1

U.S. Patent Jan. 23, 2ΟΟ7 Sheet 2 of 2 US 7,166,650 B2

Figure 2

1 2

HIGH MODULUS CROSSLINKED SUMMARY OF THE INVENTION POLYETHYLENE WITH REDUCED RESIDUAL FREE RADICAL An object of the invention to provide an improved irraCONCENTRATION PREPARED BELOW THE diated crosslinked polyethylene having reduced concentraMELT tion of free radicals, made by the process comprising irradiating the polyethylene at a temperature that is below the

This application is a continuation of U.S. Ser. No. 10/252, melting point of the polyethylene, optionally while it is in 582, filed Sep. 24, 2002, now U.S. Pat. No. 6,852,772, which contact with a sensitizing environment, in order to reduce the content of free radicals, preferably to an undetectable claims priority to U.S. Ser. No. 60/344,354, filed Jan. 4,

level, optionally through mechanical deformation.

2002, the entireties of which are hereby incorporated by

In accordance with one aspect of the present invention, reference. there is provided an irradiated crosslinked polyethylene

The present invention relates to irradiated crosslinked wherein crystallinity of the polyethylene is at least about polyethylene (PE) compositions having reduced free radical 51% or more.

content, preferably containing reduced or substantially no In accordance with another aspect of the present invenresidual free radicals, and processes of making crosslinked tion, there is provided an irradiated crosslinked polyethylpolyethylene. The processes can comprise the steps of ene, wherein the elastic modulus of the polyethylene is irradiating the polyethylene while it is in contact with a higher or just slightly lower than, i.e. about equal to, that of sensitizing environment at an elevated temperature that is the starting unirradiated polyethylene or irradiated polyethbelow the melting point in order to reduce the concentration ylene that has been subjected to melting.

of residual free radicals, preferably to an undetectable level. According to the present invention, the polyethylene is a The invention also relates to processes of making polyolefin and preferably is selected from a group consisting crosslinked polyethylene having reduced free radical conof a low-density polyethylene, high-density polyethylene, tent, preferably containing substantially no residual free linear low-density polyethylene, ultra-high molecular radicals, by mechanically deforming the irradiated PE either weight polyethylene (UHMWPE), or mixtures thereof. with or without contact with sensitizing environment during In one aspect of the present invention, the polyethylene is irradiation, at a temperature that is below the melting point contacted with a sensitizing environment prior to irradiation. of the polyethylene. These processes are complementary and The sensitizing environment, for example, can be selected can be used together or separately. from the group consisting of acetylene, chloro-trifluoro ethylene (CTFE), trichlorofluoroethylene, ethylene or the

DESCRIPTION OF THE FIELD like, or a mixture thereof containing noble gases, preferably selected from a group consisting of nitrogen, argon, helium, neon, and any inert gas known in the art. The gas can be a

Increased crosslink density in polyethylene is desired in mixture of acetylene and nitrogen, wherein the mixture bearing surface applications for joint arthroplasty because it comprising about 5% by volume acetylene and about 95% significantly increases the wear resistance of this material. by volume nitrogen, for example.

The preferred method of crosslinking is by exposing the In one aspect of the invention, the starting material of the polyethylene to ionizing radiation. However, ionizing radiapolyethylene can be in the form of a consolidated stock or tion, in addition to crosslinking, also will generate residual the starting material can be also in the form of a finished free radicals, which are the precursors of oxidation-induced product.

embrittlement. This is known to adversely affect in vivo In another aspect of the invention, there is provided an device performance. Therefore, it is desirable to reduce the irradiated crosslinked polyethylene with reduced free radical concentration of residual free radicals, preferably to undeconcentration, preferably with no detectable residual free tectable levels, following irradiation to avoid long-term radicals (that is, the content of free radicals is below the oxidation. current detection limit of 10 ¹⁴ spins/gram), as characterized

In the past, in order to substantially reduce the concenby an elastic modulus of about equal to or slightly higher tration of residual free radicals in irradiated polyethylene, than that of the starting unirradiated polyethylene or irradithe polyethylene has to be heated to above its melting ated polyethylene that has been subject to melting. Yet in temperature (for example, about 140° C). Melting frees or another aspect of the invention, there is provided a eliminates the crystalline structure, where the residual free crosslinked polyethylene with reduced residual free radical radicals are believed to be trapped. This increase in the free content that is characterized by an improved creep resistance radical mobility facilitates the recombination reactions, when compared to that of the starting unirradiated polyeththrough which the residual free radical concentration can be ylene or irradiated polyethylene that has been subjected to markedly reduced. This technique, while effective at recom- melting.

bining the residual free radicals, has been shown to decrease In accordance with one aspect of the invention there is the final crystallinity of the material. This loss of crystalprovided a method of making a crosslinked polyethylene linity will reduce the modulus of the polyethylene. Yet for comprising irradiating the polyethylene at a temperature that high stress applications, such as unicompartmental knee is below the melting point of the polyethylene while it is in designs, thin polyethylene tibial knee inserts, low conforcontact with a sensitizing environment in order to reduce the mity articulations, etc., high modulus is desired to minimize content of free radicals, preferably to an undetectable level. creep. In accordance with another aspect of the invention, there

It is therefore desirable to reduce the residual free radical are provided methods of treating crosslinked polyethylene, concentration without heating above the melting point in wherein crystallinity of the polyethylene is about equal to order to avoid significantly reducing the crystallinity of that of the starting unirradiated polyethylene, wherein cryspolyethylene, so as to permit insubstantial lowering, subtallinity of the polyethylene is at least about 51% or more, stantial maintenance, or an increase in the modulus. wherein elastic modulus of the polyethylene is about equal US 7,h 56,650 B2

3 4

to or higher than that of the starting unirradiated polyethyloptionally annealing below the melting point of the polyene or irradiated polyethylene that has been subjected to ethylene, preferably at about 135° C, in order to reduce the melting. thermal stresses.

There also is provided a method of making a crosslinked In accordance with one aspect of the invention, mechani- polyethylene, wherein the annealing temperature is below 5 cal deformation of the polyethylene is performed in presence the melting point of the polyethylene, wherein the annealing of a sensitizing environment at an elevated temperature that temperature is less than about 145° C, preferably less than is below the melting point of the polyethylene, wherein the about 140° C. and more preferably less than about 137° C. polyethylene has reduced free radical content and preferably

Also provided herein, the material resulting from the has no residual free radicals detectable by electron spin present invention is a polyethylene subjected to ionizing 10 resonance.

radiation with reduced free radical concentration, preferably In accordance with another aspect of the invention the containing substantially no residual free radicals, achieved irradiation is carried out in air or inert environment selected through post-irradiation annealing at below the melting from a group consisting of nitrogen, argon, helium, neon, point at less than 145° C, preferably at less than 140° C. and and any inert gas known in the art.

more preferably at less than 137° C, in the presence of a 15 In accordance with still another aspect of the invention, sensitizing environment. the mechanical deformation is uniaxial, channel flow, uniaxial compression, biaxial compression, oscillatory com¬

In one aspect of the invention, there is provided a method pression, tension, uniaxial tension, biaxial tension, ultraof making a crosslinked polyethylene, wherein the polyethsonic oscillation, bending, plane stress compression (chan- ylene is contacted with a sensitizing environment prior to 20 nel die) or a combination of any of the above and performed irradiation. at a temperature that is below the melting point of the

In another aspect according to the present invention, there polyethylene in presence or absence of a sensitizing gas. is provided a method of making a crosslinked polyethylene, Yet in accordance with another aspect of the invention, wherein the sensitizing environment is acetylene, chloro- mechanical deformation of the polyethylene is conducted at trifluoro ethylene (CTFE), trichlorofluoroethylene, ethylene 25 a temperature that is less than the melting point of the gas, or mixtures of gases thereof, wherein the gas is a polyethylene and above room temperature, preferably mixture of acetylene and nitrogen, wherein the mixture between about 100° C. and about 137° C, more preferably comprises about 5% by volume acetylene and about 95% by between about 120° C. and about 137° C, yet more prefvolume nitrogen. erably between about 130° C. and about 137° C, and most

Yet in another aspect according to the present invention, 30 preferably at about 135° C.

there is provided a method of making a crosslinked polyIn one aspect, the annealing temperature of the irradiated ethylene, wherein the sensitizing environment is dienes with crosslinked polyethylene is below the melting point of the different number of carbons, or mixtures of liquids and/or polyethylene, preferably less than about 145° C, more gases thereof. preferably less than about 140° C, and yet more preferably

One aspect of the present invention is to provide a method 35 less than about 137° C.

of making a crosslinked polyethylene, wherein the irradiaYet in another aspect, there is provided an irradiated tion is carried out using gamma radiation or electron beam crosslinked polyethylene, wherein elastic modulus of the radiation, wherein the irradiation is carried out at an elevated polyethylene is about equal to or higher than that of the temperature that is below the melting temperature, wherein starting unirradiated polyethylene.

radiation dose level is between about 1 and about 10,000 40 In accordance with the present invention, there is prokGy. vided a method of making an irradiated crosslinked poly¬

In one aspect there is provided a method of making a ethylene comprising irradiating at a temperature that is crosslinked polyethylene, wherein the annealing in the presbelow the melting point of the polyethylene, optionally in a ence of sensitizing environment is carried out at above an sensitizing environment; mechanically deforming the poly- ambient atmospheric pressure of at least about 1.0 atmo45 ethylene in order to reduce the concentration of residual free sphere (atm) to increase the diffusion rate of the sensitizing radical and optionally annealing below the melting point of molecules into polyethylene. the polyethylene, preferably at about 135° C, in order to reduce the thermal stresses.

In another aspect there is provided a method, wherein the In accordance with one aspect of the invention, there is annealing in the presence of sensitizing environment is 50 provided a method of mechanical deformation of polyethcarried with high frequency sonication to increase the difylene, optionally in presence of a sensitizing environment, at fusion rate of the sensitizing molecules into polyethylene. an elevated temperature that is below the melting point of

Yet in another aspect there is provided a method of the polyethylene, preferably at about 135° C, wherein the treating irradiated crosslinked polyethylene comprising polyethylene has reduced free radical content and preferably steps of contacting the polyethylene with a sensitizing 55 has no residual free radical detectable by electron spin environment; annealing at a temperature that is below the resonance.

melting point of the polyethylene; and elevating the temIn accordance with another aspect of the invention, there perature that is below the melting point in presence of a is provided a method of deforming polyethylene, wherein sensitizing environment in order to reduce the concentration the temperature is less than the melting point of the poly- of residual free radicals, preferably to an undetectable level. 60 ethylene and above room temperature, preferably between

Another aspect of the invention provides an improved about 100° C. and about 137° C, more preferably between irradiated crosslinked polyethylene composition having about 120° C. and about 137° C, yet more preferably reduced free radical concentration, made by the process between about 130° C. and about 137° C, and most prefcomprising irradiating at a temperature that is below the erably at about 135° C.

melting point of the polyethylene, optionally in a sensitizing 65 Yet in another aspect of the present invention, there is environment; mechanically deforming the polyethylene in provided a method of treating irradiated crosslinked polyorder to reduce the concentration of residual free radical and ethylene composition in order to reduce the residual free

5 6

radicals comprising steps of: mechanically deforming the The section is then analyzed using a BioRad UMA500 polyethylene; and annealing at a temperature that is below infra-red microscope as a function of depth away from the the melting point of the polyethylene in order to reduce the edge of the microtomed section as shown with arrow in the thermal stresses, wherein the mechanical deformation is figure.

performed (preferably at about 135° C), optionally in pres5

ence of a sensitizing environment. DETAILED DESCRIPTION OF THE

Still in another aspect of the invention, there is provided INVENTION

an irradiated crosslinked polyethylene composition made by

the process comprising steps of: irradiating at a temperature The present invention describes methods that allow reduc- that is below the melting point of the polyethylene; mechani ¹⁰ tion in the concentration of residual free radicals in irradically deforming the polyethylene below the melting point of ated polyethylene, preferably to undetectable levels, without the irradiated polyethylene in order to reduce the concenheating the material above its melting point. This method tration of residual free radicals; annealing at a temperature involves contacting the irradiated polyethylene with a senabove the melting point; and cooling down to room temsitizing environment, and heating the polyethylene to above perature. 15 a critical temperature that allows the free radicals to react

In another aspect, the invention provides a method of with the sensitizing environment, but is still below the making an irradiated crosslinked polyethylene composition melting point. It is likely that this critical temperature comprising steps of: mechanically deforming the polyethcorresponds to the alpha transition of the polyethylene. The ylene at a solid- or a molten-state; crystallizing/solidifying alpha transition of polyethylene is normally around 90-95° the polyethylene at the deformed state; irradiating the poly ₂₀ C; however, in the presence of a sensitizing environment ethylene below the melting point of the polyethylene; and that is soluble in polyethylene, the alpha transition may be heating the irradiated polyethylene below the melting point depressed. The alpha transition is believed to induce motion in order to reduce the concentration of residual free radicals in the crystalline phase, which is believed to increase the and to recover the original shape or preserve shape memory. diffusion of the sensitizing environment into this phase

Still in another aspect, the invention provides an irradiand/or release the trapped free radicals. The free radicals can ated crosslinked polyethylene composition made by the ⁵ now react with the sensitizing gas and/or liquid, which are process comprising steps of: mechanically deforming the thought to act as a linking agent between adjacent free polyethylene at a solid- or a molten-state; crystallizing/ radicals.

solidifying the polyethylene at the deformed state; irradiat¬

The material resulting from the present invention is a ing the polyethylene below the melting point of the polycrosslinked polyethylene that has reduced residual free ethylene; and heating the irradiated polyethylene below the

³⁰ radicals, and preferably no detectable free radicals, while not melting point in order to reduce the concentration of residual

substantially compromising the crystallinity and modulus. free radicals and to recover the original shape or preserve

shape memory. According to the invention, the polyethylene is irradiated

Still in another aspect, the invention provides an irradiin order to crosslink the polymer chains. In general, gamma ated crosslinked polyethylene with substantially reduced or irradiation gives a high penetration depth but takes a longer no detectable residual free radicals, wherein crystallinity of ³⁵ time, resulting in the possibility of some oxidation. In the polyethylene is about 51% or greater. general, electron irradiation gives more limited penetration

These and other aspects of the present invention will depths but takes a shorter time, and hence the possibility of become apparent to the skilled person in view of the oxidation is reduced. The irradiation dose can be varied to description set forth below. control the degree of crosslinking and crystallinity in the

40 final polyethylene product. Preferably, a dose of greater than

BRIEF DESCRIPTION OF THE DRAWINGS about 1 kGy is used, more preferably a dose of greater than about 20 kGy is used. When electron irradiation is used, the

FIG. 1. FIG. 1 shows schematically the channel die set-up energy of the electrons can be varied to change the depth of used in preparing some of the samples described in the penetration of the electrons, thereby controlling the degree Examples disclosed herein. The test sample A is first heated 45 of penetration of crosslinking in the final product. Preferto a desired temperature along with the channel die B. The ably, the energy is about 0.5 MeV to about 10 MeV, more channel die B is then placed in a compression molder and the preferably about 5 MeV to about 10 MeV. Such variability heated sample A is placed and centered in the channel. The is particularly useful when the irradiated object is an article plunger C, which is also preferably heated to the same of varying thickness or depth, for example, an articular cup temperature, is placed in the channel. The sample A is then _5o for a medical prosthesis.

compressed by pressing the plunger C to the desired comThe invention also provides an improved irradiated pression ratio. The flow direction (FD), wall direction (WD), crosslinked polyethylene, containing reduced free radical and compression direction (CD) are as marked. concentration and preferably containing substantially no

FIG. 2. FIG. 2 shows schematically the oxidative aging or detectable free radicals, made by the process comprising accelerated aging process and determination of residual free steps of contacting the irradiated polyethylene with a sen- radicals thereafter. A specimen is prepared by cutting a 3 mm ⁵⁵ sitizing environment; annealing at a temperature that is by 3 mm by 10 mm piece near the body center with long axis below the melting point of the polyethylene; and elevating of the specimen in the flow direction of the channel die (see to a temperature that is below the melting point in presence A). The specimen is then analyzed with electron spin of a sensitizing environment in order to reduce the concenresonance for residual free radicals. The remaining half of tration of residual free radicals, preferably to an undetectable the test sample is further machined to obtain a cube with 60 level.

dimensions of 1 cm by 1 cm by 1 cm. This cubic specimen The present invention provides methods of treating poly(see B) is then subjected to thermo-oxidative aging or ethylene, wherein crystallinity of the polyethylene is higher accelerated aging in air convection oven at 80° C. for three than that of the starting unirradiated polyethylene or irradiweeks. This method of aging will induce oxidation in the ated polyethylene that has been melted, wherein crystallinity polyethylene if there are residual free radicals. At the 65 of the polyethylene is at least about 51%, wherein elastic completion of the aging, the cubic specimen is cut in half modulus of the polyethylene is about the same as or is higher and microtomed to remove a 200 micrometer thin section. than that of the starting unirradiated polyethylene. US 7,1 ⁽ 56,650 B2

7 8

The present invention also describes methods that allow reduction in orientation and/or removal of thermal reduction in the concentration of residual free radical in stresses, one can heat the polyethylene to above its irradiated polyethylene, even to undetectable levels, without melting point.

heating the material above its melting point. This method b) Annealing above the melting point (for example, more involves subjecting an irradiated sample to a mechanical 5 than about 137° C.) can be utilized to eliminate the deformation that is below the melting point. The deformacrystalline matter and allow the polymeric chains to tion temperature could be as high as about 135° C. The relax to a low energy, high entropy state. This relaxdeformation causes motion in the crystalline lattice, which ation will lead to the reduction of orientation in the permits recombination of free radicals previously trapped in polymer and will substantially reduce thermal stresses. the lattice through crosslinking with adjacent chains or 10 Cooling down to room temperature is then carried out formation of trans-vinylene unsaturations along the backat a slow enough cooling rate (for example, at about 10° bone of the same chain. If the deformation is of sufficiently C./hour) so as to minimize thermal stresses.

small amplitude, plastic flow can be avoided. The percent 2. The contact before, during, and/or after irradiation with crystallinity should not be compromised as a result. Addia sensitizing environment to yield a polyethylene with no tionally, it is possible to perform the mechanical deformation ¹⁵ substantial reduction in its crystallinity when compared to on machined components without loss in mechanical tolerthe reduction in crystallinity that otherwise occurs following ance. The material resulting from the present invention is a irradiation and subsequent melting. The crystallinity of crosslinked polyethylene that has reduced concentration of polyethylene contacted with a sensitizing environment and residuals free radical, and preferably substantially no detectthe crystallinity of radiation treated polyethylene is reduced able free radicals, while not substantially compromising the 20 by annealing the polymer above the melting point (for crystallinity and modulus. example, more than about 137° C). Cooling down to room

The present invention further describes that the deformatemperature is then carried out at a slow enough cooling rate tion can be of large magnitude, for example, a compression (for example, at about 10° C./hour) so as to minimize ratio of 2 in a channel die. The deformation can provide thermal stresses.

enough plastic deformation to mobilize the residual free 25 As described herein, it is demonstrated that mechanical radicals that are trapped in the crystalline phase. It also can deformation can eliminate residual free radicals in a radiation crosslinked UHMWPE. The invention also provides induce orientation in the polymer that can provide anisotrothat one can first deform UHMWPE to a new shape either at pic mechanical properties, which can be useful in implant solid— or at molten-state, for example, by compression. fabrication. If not desired, the polymer orientation can be ₃₀ According to a process of the invention, mechanical deforremoved with an additional step of annealing at an increased mation of UHMWPE when conducted at a molten-state, the temperature below or above the melting point. polymer is crystallized under load to maintain the new

According to another aspect of the invention, a high strain deformed shape. Following the deformation step, the deformation can be imposed on the irradiated component. In deformed UHMWPE sample is irradiated below the melting this fashion, free radicals trapped in the crystalline domains point to crosslink, which generates residual free radicals. To likely can react with free radicals in adjacent crystalline ³⁵ eliminate these free radicals, the irradiated polymer speciplanes as the planes pass by each other during the deformamen is heated to a temperature below the melting point of tion-induced flow. High frequency oscillation, such as ultrathe deformed and irradiated polyethylene (for example, up to sonic frequencies, can be used to cause motion in the about 135° C.) to allow for the shape memory to partially crystalline lattice. This deformation can be performed at recover the original shape. Generally, it is expected to elevated temperatures that is below the melting point of the 40 recover about 80-90% of the original shape. During this polyethylene, and with or without the presence of a sensirecovery, the crystals undergo motion, which can help the tizing gas. The energy introduced by the ultrasound yields free radical recombination and elimination. The above procrystalline plasticity without an increase in overall temperacess is termed as a 'reverse-IBMA'. The reverse-IBMA ture. (reverse-irradiation below the melt and mechanical anneal-

The present invention also provides methods of further 45 ing) technology can be a suitable process in terms of annealing following free radical elimination below melting bringing the technology to large-scale production of UHM- point. According to the invention, elimination of free radiWPE-based medical devices.

cals below the melt is achieved either by the sensitizing gas These and other aspects of the present invention will methods and/or the mechanical deformation methods. Furbecome apparent to the skilled person in view of the ther annealing of crosslinked polyethylene containing ₅₀ description set forth below.

reduced or no detectable residual free radicals is done for A "sensitizing environment" refers to a mixture of gases various reasons, for example: and/or liquids (at room temperature) that contain sensitizing

1. Mechanical deformation, if large in magnitude (for gaseous and/or liquid component(s) that can react with example, a compression ratio of two during channel die residual free radicals to assist in the recombination of the deformation), will induce molecular orientation, which may ₅₅ residual free radicals. The gases maybe acetylene, chloro- not be desirable for certain applications, for example, trifluoro ethylene (CTFE), ethylene, or like. The gases or the acetabular liners. Accordingly, for mechanical deformation: mixtures of gases thereof may contain noble gases such as nitrogen, argon, neon and like. Other gases such as, carbon a) Annealing below the melting point (for example, less dioxide or carbon monoxide may also be present in the than about 137° C.) is utilized to reduce the amount of mixture. In applications where the surface of a treated orientation and also to reduce some of the thermal ⁶⁰ material is machined away during the device manufacture, stresses that can persist following the mechanical the gas blend could also contain oxidizing gases such as deformation at an elevated temperature and cooling oxygen. The sensitizing environment can be dienes with down. Following annealing, it is desirable to cool down different number of carbons, or mixtures of liquids and or the polyethylene at slow enough cooling rate (for gases thereof. An example of a sensitizing liquid component example, at about 10° C./hour) so as to minimize 65 is octadiene or other dienes, which can be mixed with other thermal stresses. If under a given circumstance, annealsensitizing liquids and/or non-sensitizing liquids such as a ing below the melting point is not sufficient to achieve hexane or a heptane. A sensitizing environment can include US 7,166,650 B2

10

a sensitizing gas, such as acetylene, ethylene, or a similar annealing temperatures. "Annealing temperature" refers to gas or mixture of gases, or a sensitizing liquid, for example, the thermal condition for annealing in accordance with the a diene. The environment is heated to a temperature ranging invention.

from room temperature to a temperature below the melting The term "contacted" includes physical proximity with or point of the material. touching such that the sensitizing agent can perform its

"Residual free radicals" refers to free radicals that are intended function. Preferably, a polyethylene composition or generated when a polymer is exposed to ionizing radiation pre-form is sufficiently contacted such that it is soaked in the such as gamma or e-beam irradiation. While some of the free sensitizing agent, which ensures that the contact is sufficient. radicals recombine with each other to from crosslinks, some Soaking is defined as placing the sample in a specific become trapped in crystalline domains. The trapped free environment for a sufficient period of time at an appropriate radicals are also known as residual free radicals. temperature. The environment include a sensitizing gas,

The phrase "substantially no detectable residual free such as acetylene, ethylene, or a similar gas or mixture of radical" refers to no detectable free radical or no substantial gases, or a sensitizing liquid, for example, a diene. The residual free radical, as measured by electron spin resonance environment is heated to a temperature ranging from room (ESR). The lowest level of free radicals detectable with temperature to a temperature below the melting point of the state-of-the-art instruments is about 10 ¹⁴ spins/gram and material. The contact period ranges from at least about 1 thus the term "detectable" refers to a detection limit of 10 ¹⁴ minute to several weeks and the duration depending on the spins/gram by ESR. temperature of the environment. In one aspect the contact

The terms "about" or "approximately" in the context of time period at room temperature is about 24 hours to about numerical values and ranges refers to values or ranges that 48 hours and preferably about 24 hours.

approximate or are close to the recited values or ranges such The term "Mechanical deformation" refers to a deformathat the invention can perform as intended, such as having tion taking place below the melting point of the material, a desired degree of crosslinking and/or a desired lack of free essentially 'cold-working' the material. The deformation radicals, as is apparent to the skilled person from the modes include uniaxial, channel flow, uniaxial compression, teachings contained herein. This is due, at least in part, to the biaxial compression, oscillatory compression, tension, varying properties of polymer compositions. Thus these uniaxial tension, biaxial tension, ultra-sonic oscillation, terms encompass values beyond those resulting from sysbending, plane stress compression (channel die) or a comtematic error. bination of any of the above. The deformation could be static

The terms "alpha transition" refers to a transitional temor dynamic. The dynamic deformation can be a combination perature and is normally around 90-95° C; however, in the of the deformation modes in small or large amplitude presence of a sensitizing environment that dissolves in oscillatory fashion. Ultrasonic frequencies can be used. All polyethylene, the alpha transition may be depressed. The deformations can be performed in the presence of sensitizing alpha transition is believed (An explanation of the "alpha gases and/or at elevated temperatures.

transition temperature" can be found in Anelastic and The term "deformed state" refers to a state of the polyDielectric Effects in Polymeric Solids, pages 141-143, by N. ethylene material following a deformation process, such as G. McCrum, B. E. Read and G. Williams; J. Wiley and Sons, a mechanical deformation, as described herein, at solid or at N.Y., N.Y., published 1967) to induce motion in the crys35

melt. Following the deformation process, deformed polytalline phase, which is hypothesized to increase the diffusion ethylene at a solid state or at melt is be allowed to solidify/ of the sensitizing environment into this phase and/or release crystallize while still maintains the deformed shape or the the trapped free radicals. newly acquired deformed state.

The term "critical temperature" corresponds to the alpha "IBMA" refers to irradiation below the melt and mechanitransition of the polyethylene. cal annealing. "IBMA" was formerly referred to as "CIMA"

The term "below melting point" or "below the melt" (Cold Irradiation and Mechanically Annealed).

refers to a temperature below the melting point of a polySonication or ultrasonic at a frequency range between 10 ethylene, for example, UHMWPE. The term "below melting and 100 kHz is used, with amplitudes on the order of 1-50 point" or "below the melt" refers to a temperature less than microns. The time of sonication is dependent on the fre145° C, which may vary depending on the melting temquency and temperature of sonication. In one aspect, soniperature of the polyethylene, for example, 145° C., 140° C. cation or ultrasonic frequency ranged from about 1 second or 135° C., which again depends on the properties of the to about one week, preferably about 1 hour to about 48 polyethylene being treated, for example, molecular weight hours, more preferably about 5 hours to about 24 hours and averages and ranges, batch variations, etc. The melting yet more preferably about 12 hours.

temperature is typically measured using a differential scanBy ultra-high molecular weight polyethylene (UHMning calorimeter (DSC) at a heating rate of 10° C. per WPE) is meant chains of ethylene that have molecular minute. The peak melting temperature thus measured is weights in excess of about 500,000 g/mol, preferably above referred to as melting point and occurs, for example, at about 1,000,000 g/mol, and more preferably above about approximately 137° C. for some grades of UHMWPE. It 2,000,000 g/mol. Often the molecular weights can reach may be desirable to conduct a melting study on the starting ,000,000 g/mol or more. By initial average molecular polyethylene material in order to determine the melting 55 about 8

weight is meant the average molecular weight of the UHMtemperature and to decide upon an irradiation and annealing WPE starting material, prior to any irradiation. See U.S. Pat. temperature. No. 5,879,400; PCT/US99/16070, filed on Jul. 16, 1999,

The term "pressure" refers to an atmospheric pressure, WO 20015337, and PCT/US97/02220, filed Feb. 11, 1997, above the ambient pressure, of at least about 1 atm for WO 9729793, for properties of UHMWPE.

annealing in a sensitizing environment.

By "crystallinity" is meant the fraction of the polymer that

The term "annealing" refers to heating the polymer below is crystalline. The crystallinity is calculated by knowing the its peak melting point. Annealing time can be at least 1

weight of the sample (weight in grams), the heat absorbed by minute to several weeks long. In one aspect the annealing the sample in melting (E, in J/g) and the heat of melting of time is about 4 hours to about 48 hours, preferably 24 to 48 polyethylene crystals (ΔΗ=291 J/g), and using the following hours and more preferably about 24 hours. The annealing equation:

time required to achieve a desired level of recovery following mechanical deformation is usually longer at lower % Crystallinit =£/wAi/ US 7,166,650 B2

11 12

By tensile "elastic modulus" is meant the ratio of the with sensitizing gas substantially filling the package. The nominal stress to corresponding strain for strains as deterpackage is then heated to a temperature between room mined using the standard test ASTM 638 M III and the like temperature and 90° C. The package is then irradiated at the or their successors. heated temperature using e-beam or gamma irradiation.

The term "conventional UHMWPE" refers to commercially available polyethylene of molecular weights greater Example 3

than about 500,000. Preferably, the UHMWPE starting

material has an average molecular weight of greater than Warm Irradiation with Sensitizing Gas Below the about 2 million. Alpha Transition with subsequent annealing in

By "initial average molecular weight" is meant the aversensitizing gas

age molecular weight of the UHMWPE starting material,

prior to any irradiation. Test samples or a finished medical product of UHMWPE

The term "interface" in this invention is defined as the are placed in a gas impermeable pouch (such as polyethylniche in medical devices formed when an implant is in a ene laminated aluminum foil), purged with a sensitizing gas configuration where the polyethylene is in functional relaand sealed with sensitizing gas substantially filling the tion with another piece (such as a metallic or a polymeric package. The package is then heated to a temperature component), which forms an interface between the polymer between room temperature and 90° C. The package is then and the metal or another polymeric material. For example, irradiated at the heated temperature using e-beam or gamma interfaces of polymer-polymer or polymer-metal in medical irradiation. The package is then annealed at a temperature prosthesis such as, orthopedic joints and bone replacement that is below the melting point of polyethylene.

parts, e. g., hip, knee, elbow or ankle replacements. Medical

implants containing factory-assembled pieces that are in Example 4

intimate contact with the polyethylene form interfaces. In

most cases, the interfaces are not accessible to the ethylene Warm Irradiation with Sensitizing Gas Above the oxide (EtO) gas or the gas plasma (GP) during a gas 25 Alpha Transition and Below the Melting Point sterilization process.

The piece forming an interface with polymeric material Test samples of UHMWPE are placed in a gas impermecan be metallic. The metal piece in functional relation with able pouch (such as polyethylene laminated aluminum foil), polyethylene, according to the present invention, can be purged with a sensitizing gas and sealed with sensitizing gas made of a cobalt chrome alloy, stainless steel, titanium, 30 substantially filling the package. The package is then heated titanium alloy or nickel cobalt alloy, for example. to a temperature between 90° C. and melting temperature

The products and processes of this invention also apply to (about 145° C). The package is then irradiated at the heated various types of polymeric materials, for example, high- temperature using e-beam or gamma irradiation.

density-polyethylene, low-density-polyethylene, linear-low- density-polyethylene, UHMWPE, and polypropylene. 35 Example 5

The invention is further demonstrated by the following

example, which do not limit the invention in any manner. Warm Irradiation with Sensitizing Gas Above the

Alpha Transition and Below the Melting Point with

EXAMPLES Subsequent Annealing in Sensitizing Gas

40

Example 1 Test samples of UHMWPE are placed in a gas impermeable pouch (such as polyethylene laminated aluminum foil),

Channel Die Set-up in Sample Preparation purged with a sensitizing gas and sealed with sensitizing gas substantially filling the package. The package is then heated

Referring to FIG. 1, a test sample 'A' is first heated to a 45 to a temperature between 90° C. and melting temperature desired temperature along with the channel die B. The (about 145° C). The package is then irradiated at the heated channel die 'B' is then placed in a compression molder and temperature using e-beam or gamma irradiation. The packthe heated sample A is placed and centered in the channel. age is then annealed at a temperature that is below the The plunger 'C, which also is preferably heated to the same melting of point polyethylene.

temperature, is placed in the channel. The sample 'A' is then 50

compressed by pressing the plunger 'C to the desired Example 6

compression ratio. The sample will have an elastic recovery

after removal of load on the plunger. The compression ratio, Post-Irradiation Contacting with a 5%/95% λ (final height/initial height), of the test sample is measured Acetylene/Nitrogen Gas Blend at an Elevated after the channel die deformation following the elastic 55 Temperature to Reduce the Concentration of recovery. The flow direction (FD), wall direction (WD), and Residual Free Radicals

compression direction (CD) are as marked in FIG. 1.

GUR 1050 ram-extruded UHMWPE bar stock (3.5"

Example 2 diameter) was machined into 4 cm thick cylinders. The

60 cylinders were irradiated using an Impela-10/50 AECL 10

Warm Irradiation with Sensitizing Gas Below the MeV electron beam accelerator (E-Beam Services, CranAlpha Transition berry N.J.) to a dose level of 100 kGy in air. The irradiated cylinders were machined into 2 mm thick sections. Test

Test samples or a finished medical product of ultra-high samples were prepared using sections with dimensions of molecular weight polyethylene (UHMWPE) are placed in a 65 3=3=2 mm. Test samples were placed in polyethylene lamigas impermeable pouch (such as polyethylene laminated nated aluminum foil pouches (three test samples per pouch). aluminum foil), purged with a sensitizing gas and sealed Three of the pouches were purged with a 5% acetylene/95% US 7,156,650 B2

13 14

nitrogen gas mixture (BOC Gas, Medford, Mass.) by pulling broken to maintain sterility of the medical device compovacuum, then back-filling the pouch with the gas blend three nent. The component is then shipped for surgical use. If so times. The pouches were sealed and left in slightly positive desired, the remaining sensitizing gas is removed before pressure of the acetylene/nitrogen gas blend. A fourth pouch shipping. The removal of the sensitizing gas is carried out by was purged using the same method with 100% nitrogen gas 5 puncturing the package; or by removing the outer foil pouch and sealed with a slightly positive pressure of nitrogen gas and shipping the component in the gas permeable inner inside the package. package.

Two of the acetylene/nitrogen-filled pouches and the

nitrogen-filled pouch were then placed in a convection oven Example 8

at 100° C. for 24 hours. The other acetylene/nitrogen-filled 10

pouch was kept at ambient temperature for 24 hours. The Reduction of Residual Free Radicals in a Finished pouches were then opened, and the test samples were Polyethylene Medical Device analyzed with electron spin resonance to determine the

concentration of residual free radicals in the specimens. A A medical device made out of polyethylene with residual set of three additional test samples that were left in air at 15 free radicals is placed in a sensitizing atmosphere and room temperature were also analyzed using electron spin annealed in the atmosphere that is below the melting point resonance. Results are shown in Table 1. of the polyethylene in order to reduce the concentration of

The results show that the irradiated test samples left in the residual free radicals to at least substantially undetectable 5% acetylene/95% nitrogen gas blend at room temperature levels.

for 24 hours had substantial residual free radicals, as did the 20

test samples stored in air at room temperature for 24 hours. Example 9

The test samples left in the 100% nitrogen gas at 100° C. for

24 hours showed a slight decrease in residual free radical Channel Die Deformation of Irradiated concentration. The test samples left in 5% acetylene/95% Polyethylene

nitrogen gas blend at 100° C. for 24 hours had no substan25

tially detectable residual free radical. Therefore, the addition Test samples of ultra-high molecular weight polyethylene of 5% acetylene into nitrogen is sufficient to reduce the are irradiated at room temperature using e-beam or gamma concentration of the residual free radicals to undetectable radiation. The samples are then placed in a channel die at levels following 100 kGy of electron beam irradiation. 120° C, and are deformed in uniaxial compression defor-

TABLE 1

Concentration of residual free radicals measured in various specimens (n = 3 for all).

E-Beam Post- Post- Irradiation Free radical

Dose Irradiation Temperature Annealing concentration

Test sample (kGy) Environment f t) time (his) [10 ¹⁵ spins/gram]

As-Is following irradiation 100 Air 25 Not applicable 8.67 * 2.1

100% Nitrogen 100 100% nitrogen 100 24 3.99 ± 1.1

environment, 100° C. for 24

hours

5%/95% acetylene/nitrogen 100 5% acetylene 25 24 9.70 ± 0.2

gas environment, room

temperature

5%/95% acetylene/nitrogen 100 5% acetylene 100 24 Not detectable

gas environment, 100° C. for

24 hours FIRST RUN

5%/95% acetylene/nitrogen 100 5% acetylene 100 24 Not detectable

gas environment, 100° C. for

24 hours REPEAT RUN

Example 7 mation by a factor of 2. The residual free radical concentration, as measured with electron spin resonance, are com¬

Irradiation of a Finished Polyethylene Medical pared with samples held at 120° C. for the same amount of Device in the Presence of a Sensitizing Gas at time.

Room Temperature

Example 10

A medical device is prepared from conventional UHM- WPE and packaged in a gas permeable material (such as Channel Die Deformation of Irradiated Tyvek). It is then placed in gas impermeable packaging Polyethylene Contacted with a Sensitizing (such as foil laminated packaging). This package is then Environment

purged several times using a sensitizing atmosphere and was

sealed in that atmosphere. The entire assembly is then Test samples of ultra-high molecular weight polyethylene irradiated using gamma irradiation or e-beam to a dose level are irradiated at room temperature using e-beam or gamma of 1 to 1000 kGy. Following irradiation, the entire assembly radiation. The samples are contacted with a sensitizing gas, is annealed. The annealing temperature is selected such that such as acetylene until saturated. The samples are then the packaging remains intact and that at least one level of placed in a channel die at 120° C, and are deformed in hermetic seal between the outside and the component is not uniaxial compression deformation by a factor of 2. The US 7,166, ,650 B2

15 16

residual free radical concentration, as measured with elecElevated Temperature to Reduce the Concentration tron spin resonance, are compared with samples held at 120° of Residual Free Radicals

C. for the same amount of time.

GUR 1050 compression molded UHMWPE bar stock was

Example 11 5 machined into cubes of 4x4x4 cm dimensions. The cubes

Warm Irradiation with Mechanical Annealing were irradiated using an gamma irradiation to a dose level of

75 kGy in nitrogen. The irradiated cubes were machined into

Test samples of ultra-high molecular weight polyethylene test samples with dimensions of 2x2x1 cm. Two test samples are irradiated at 120° C. adiabatically (that is, without io were placed in an air convection oven and heated to 135° C. significant heat loss to the environment) with electron beam in air, overnight (about 10 hours or more). One of the test radiation. The samples are then placed in a channel die at samples was then placed in aluminum channel die, which 120° C, and are deformed in uniaxial compression deforwas heated to 135° C, and pressed to a compression ratio, mation by a factor of 2. The residual free radical concenλ, of about two. The pressure was then released and the tration, as measured with electron spin resonance, is com- 15 sample was left to cool down to room temperature. The other pared with samples held at 120° C. for the same amount of test sample was simply removed from the convection oven time. and allowed to cool down to room temperature with no mechanical deformation.

Example 12 Both of these test samples were further machined. The test

20 sample that was subjected to heating only was cut to remove

Post -Irradiation Annealing in the Presence of a 5 mm long sliver (about 2x2 mm cross-section) from the 5%/95% Acetylene/Nitrogen Gas Mixed at an body center. The other sample that was subjected to heating Elevated Temperature to Reduce the Concentration and channel die compression was cut to remove a 5 mm long of Residual Free Radicals in a Large Polyethylene sliver (about 2x2 mm cross-section) from the body center.

Test Sample 25 The long-axis of the sliver was parallel to the channel die flow direction. Both of these slivers were then analyzed with

GUR 1050 ram-extruded UHMWPE bar stock (3.5" electron spin resonance.

diameter) was machined into 4 cm thick cylinders. The The ESR analysis showed a free radical signal (which was cylinders were irradiated using an Impela-10/50 AECL 10 quantified to represent 2xl0 ¹⁵ spins/gram) in the sliver that MeV electron beam accelerator (E-Beam Services, Cran- 30 was prepared from the test sample that was heated to 135° berry N.J.) to a dose level of 75 kGy in air. The irradiated C. overnight. In contrast, the sliver prepared from the test cylinders were machined into test samples with dimensions sample that was heated to 135° C. overnight and mechaniof about 2=2=2 cm cubes. Two test samples were placed in cally deformed in the channel die (λ=2) at that temperature two separate polyethylene laminated aluminum foil showed no detectable residual free radicals. This example pouches. One pouch was purged with a 5% acetylene/95% 35 confirms that mechanical deformation at an elevated temnitrogen gas .mixture (BOC Gas, Medford, Mass.) by pulling perature reduces the concentration of residual free radicals. vacuum, then back-filling the pouch with the gas blend. The

pouch was sealed and left in slightly positive pressure of the Example 14

acetylene/nitrogen gas blend. The second pouch was purged

using the same method with 100% nitrogen gas and sealed 40 Determination of Crystallinity with Differential with a slightly positive pressure of nitrogen gas inside the Scanning Calorimetry (DSC) Method package.

Both pouches were then placed in a convection oven at Differential scanning calorimetry (DSC) technique was 133° C. for 24 hours. The pouches were then opened, and the used to measure the crystallinity of the polyethylene test test samples were further machined to prepare specimens for 45 samples. The DSC specimens were prepared from the body analysis with electron spin resonance. These specimens center of the polyethylene test sample unless it is stated were prepared near the body center of the test samples.

otherwise.

The ESR analysis showed substantially no detectable free

radicals in the specimen prepared from the irradiated polyThe DSC specimen was weighed with an AND GR202 ethylene that was annealed while in contact with 5%/95% 50 balance to a resolution of 0.01 milligrams and placed in an acetylene/nitrogen gas mixture. The specimen prepared aluminum sample pan. The pan was crimped with an alufrom the test sample that was annealed in 100% nitrogen minum cover and placed in the TA instruments Q-1000 showed a free radical signal, which was quantified to repDifferential Scanning Calorimeter. The specimen was first resent 6xl0 ¹⁴ spins/gram. cooled down to 0° C. and held at 0° C. for five minutes to

This example shows that the presence of even low con- 55 reach thermal equilibrium. The specimen was then heated to centrations of a sensitizing gas such as 5% acetylene can 200° C. at a heating rate of 10° C./min.

reduce the concentration of residual free radicals in a large The enthalpy of melting measured in terms of Joules/gram test sample with dimensions typical of a polyethylene orthowas then calculated by integrating the DSC trace from 20° pedic implant without heating the said test sample to above C. to 160° C. The crystallinity was determined by normalits melting point. This reduction in free radical concentration 60 izing the enthalpy of melting by the theoretical enthalpy of is more than what is obtained by subjecting the same melting of 100% crystalline polyethylene (291 Joules/gram). irradiated polyethylene to an identical thermal history in the As apparent to the skilled person, other appropriate integrapresence of 100% nitrogen. tion also can be employed in accordance with the teachings of the present invention.

Example 13 65 The average crystallinity of three specimens obtained from near the body center of the polyethylene test sample is

Post-Irradiation Mechanical Deformation at an recorded with a standard deviation. US 7, 36,650 B2

17 18

The Q1000 TA Instruments DSC is calibrated daily with aging, the cubic specimen was cut in half and microtomed indium standard for temperature and enthalpy measureto remove a 200 micrometer thin section. The section was ments. then analyzed using a BioRad UMA500 infra-red microscope as a function of depth away from the edge of the

Example 15 5 microtomed section as shown in FIG. 2. The infra-red spectra collected with this method showed no detectable

Crystallinity Measurements of Polyethylene carbonyl vibration throughout the microtomed section, indiFollowing Irradiation and Channel die Deformation cating no detectable oxidation. The crystallinity of the aged at an Elevated Temperature test sample was also determined using three specimens cut to form the said aged test sample using the DSC method

GU 1050 compression molded UHMWPE bar stock was described above in Example 14. The crystallinity of the three machined into cubes of 4x4x4 cm dimensions. The cubes specimens averaged 59.2% with a standard deviation of 0.9 were irradiated using gamma irradiation to a dose level of 75 when the melting enthalpy was calculated by integrating the kGy in nitrogen. The irradiated cubes were machined into DSC trace from 20° C. to 160° C.

test samples with dimensions of 2x2x1 cm. One test sample 15 The aging method provided additional support for the (CIMA-12) was placed in an air convection oven and heated electron spin resonance in showing that irradiation followed to 135° C. in air, overnight (10 hours). The test sample was by mechanical deformation at an elevated temperature then placed in an aluminum channel die, which was heated results in a marked reduction in the concentration of residual to 135° C, and pressed to a compression ratio, λ, of about free radicals and an increase in thermo-oxidative stability of two. The pressure was then released and the sample was left 20 irradiated polyethylene.

to cool down to room temperature.

The compressed test sample was further machined to Example 1

prepare specimens from near the body center to be used to

determine the crystallinity. Three such specimens obtained Annealing Following Free Radical Reduction using from near the body center were analyzed using a TA 25 Channel Die Compression at an Elevated instruments Differential Scanning Calorimeter at a heating Temperature

rate of 10° C./min and a temperature scan range of 0° C. to

200° C. GUR 1050 UHMWPE bar stock was irradiated with

The enthalpy of melting (in terms of Joules/gram) was gamma rays to 75 kGy in nitrogen. The irradiated block was then calculated by integrating the DSC trace from 20° C. to ³⁰ then machined to blocks with dimensions of 2x2x1 cm. Two 160° C. The crystallinity was determined by normalizing the of these blocks were placed in an air convection oven at 133° enthalpy of melting by the theoretical enthalpy of melting of C. for 4 hours. Both of these heated blocks were then 100% crystalline polyethylene (291 Joules/gram). compressed in a channel die that was heated to 133° C. The

The average crystallinity of the three specimens obtained compression ratio, =initial height final height, was about from near the body center of the test sample was 58.9% with ³⁵ two. The dimensions of these blocks were measured and a standard deviation of 0.7. recorded after they were cooled down to room temperature

(see Table 2).

Example 16 One of the blocks (Block I in Table 2) was then annealed under no load at 135° C. for 16 hours and cooled down to

Free Radical Concentration and Thermo-Oxidative ⁴⁰ room temperature. Following this annealing cycle the Aging or Accelerated Aging Behavior of an dimensions of the block were measured again as shown in Irradiated and Mechanically Deformed the Table 2. This observation shows that the plastic deforPolyethylene Sample mation was markedly recovered by annealing below the melting point.

GUR 1050 compression molded UHMWPE bar stock was ⁴⁵ The other block (Block II in Table 2) was annealed under machined into cubes of 4x4x4 cm dimensions. The cubes no load at 150° C. for 6 hours and cooled down to room were irradiated using gamma irradiation to a dose level of 75 temperature. Following this annealing cycle the dimensions kGy in nitrogen. The irradiated cubes were machined into of the block were measured again as shown in Table 2. This test samples with dimensions of 2x2x1 cm. One test sample

observation shows that plastic deformation is almost fully (CIMA-28) was placed in an air convection oven and heated

⁵⁰ recovered by annealing above the melting point.

to 135° C. in air for 4 hours. The test sample was then placed

in an aluminum channel die, which was heated to 135° C,

and pressed to a compression ratio, λ, of about two. The TABLE 2

pressure was then released and the sample was put back into Annealing below and above melt using channel die the air convection oven and heated for an additional 4 hours 55 compression at an elevated temperature.

at 135° C. to recover most of the plastic deformation.

"Dimensions CD/FD/WD (mm)

A specimen was prepared by cutting a 3x3x10 mm piece

near the body center with long axis of the specimen in the Following channel Following flow direction of the channel die (see A in FIG. 2). The Sample Initial (mm) die compression Annealing specimen was analyzed with electron spin resonance and no ⁶⁰ Block I 20 x 20 x 9.5 12 x 35 x 10 16.5 x 23.5 x 9.5 free radicals were detected. The remaining half of the test (Annealed

sample was further machined to obtain a cube with dimenbelow the melt)

sions of lxlxl cm. This cubic specimen (see B in FIG. 2) Block II 20 x 20 x 9.5 10 x 40 x 10 20 x 20 x 9.5 was then subjected to thermo-oxidative aging or accelerated (Annealed

above the melt)

aging in air convection oven at 80° C. for three weeks. This 65

method of aging will induce oxidation in the polyethylene if *CD - Compression Direction; FD - Flow Direction; WD - Wall Direction there are residual free radicals. At the completion of the US 7,156,650 B2

19 20

Example 18 The invention claimed is:

1. A method of making a medical device comprising a

Thermal Oxidative Or Accelerated Aging Behavior polyethylene component, wherein the method comprises the of Irradiated Cross-Linked Polyethylenes that are steps of:

Heated and Mechanically Deformed Versus an 5 a) machining the polyethylene component, wherein the Irradiated Ross-Linked Heated Polyethylene polyethylene has been

i) irradiated at a temperature that is below the melting

GUR 1050 UHMWPE bar stock was machined into point of the polyethylene in order to form a blocks that were 9x9x4 cm. The blocks were gamma irracrosslinked polyethylene,

diated in a vacuum package to 100 kGy. Blocks were 10 ii) mechanically deformed at a temperature that is subsequently machined into the 19 mm cubes. above room temperature and below the melting point

Four groups of cubes (n=2 for each temperature) were of the crosslinked polyethylene in order to reduce the heated for one hour at 125° C, 128° C, 132° C., or 135° C, concentration of residual free radicals, and respectively. Subsequently, each heated cube was mechaniiii) annealed at a temperature below the melting point cally deformed between two flat aluminum plates held at 15 of the crosslinked polyethylene in order to permit room temperature to a compression ratio, λ, of 4.5. The shape recovery;

compression displacement was held at this point for 5 b) assembling the medical device comprising the compominutes to allow for stress relaxation to occur. The load nent;

required to hold the displacement constant at this point was c) packaging the medical device; and

monitored. By the end of the five minutes the load had 20 d) sterilizing the packaged device.

decreased and reached a steady state, at which point the 2. The method according to claim 1, wherein the deformsample was removed from the press. All deformed cubes ing temperature and the annealing temperature are less than were then annealed at 135° C. for 1 hour to partially recover about 140° C.

deformation. Samples were then machined in half in the 3. The method according to claim 1, wherein the radiation direction of compression to expose an internal surface for ²⁵ dose level is between about 1 and about 1,000 kGy. accelerated aging. 4. The method according to claim 1, wherein the radiation

Another four groups of cubes (n=2 for each group) were dose level is between about 25 and about 125 kGy. prepared to serve as thermal controls with no deformation 5. The method according to claim 1, wherein mechanical history. These cubes were subjected to the same thermal deformation is performed in presence of a sensitizing envi- histories as those of the four groups described above. That ³⁰ ronment.

is, the four groups were heated for one hour at 125° C, 128° 6. The method according to claim 1, wherein mechanical C, 132° C, or 135° C., respectively. The cubes were then deformation is performed in presence of a sensitizing gas at allowed to cool down to room temperature and annealed at a temperature that is below the melting point of the poly135° C. for 1 hour. The thermal control samples were then ethylene and is above room temperature.

machined in half in the direction of compression to expose

³⁵ 7. The method according to claim 1, wherein the mechanian internal surface for accelerated aging.

cal deformation is one of uniaxial, channel flow, uniaxial

The accelerated aging test specimens were placed in an air

compression, biaxial compression, oscillatory compression, convection oven at 80° C. and aged for 6 weeks. At the

tension, uniaxial tension, biaxial tension, ultra-sonic oscilcompletion of aging, the samples were cut in half and a 200 lation, bending, plane stress compression (channel die), or a μηι thin section was removed. The thin section was scanned

0 combination thereof.

using a BioRad UMA 500 infrared microscope at 100

8. The method according to claim 1, wherein irradiation micrometer intervals as a function of distance away from the

is carried out in air or an inert environment.

exposed internal free surface that was in contact with air

9. The method according to claim 1, wherein the polyduring aging. The scans were used to find the location of the

ethylene is ultra-high molecular weight polyethylene (UH- maximum carbonyl vibration. The infrared spectrum colMWPE).

lected at this maximum carbonyl location was used to assign

an oxidation index to that aged cube. The oxidation in index 10. A method of making a medical device comprising a was calculated by normalizing the area under the carbonyl polyethylene component , wherein the method comprises the vibration to that under the 1370 cm ^"1 vibration. The higher steps of:

the oxidation in the sample, the stronger is the carbonyl ₅₀ a) machining the polyethylene component, wherein the vibration and as a result higher is the oxidation index. polyethylene has been

The oxidation indexes of the four groups of deformed i) irradiated at a temperature that is above room temsamples were less than 0.03. In contrast, the thermal control perature and below the melting point of the polyethgroups showed oxidation indexes of 1.3, 1.2, 1.2, and 1.3 for ylene in order to form a crosslinked polyethylene, the pre-heat temperatures of 125° C, 128° C, 132° C, or 55 ii) mechanically deformed at a temperature below the 135° C, respectively. melting point of the crosslinked polyethylene in

Based on above results, it is concluded that heating alone order to reduce the concentration of residual free (below the melting point) does not improve the oxidation radicals, and

resistance of irradiated and cross-linked polyethylene to the iii) annealed in a sensitizing environment at a tempera- same extent as heating and subsequent deformation do. go tare below the melting point of the crosslinked

It is to be understood that the description, specific polyethylene in order to permit shape recovery; examples and data, while indicating exemplary aspects, are b) assembling the medical device comprising the compogiven by way of illustration and are not intended to limit the nent;

present invention. Various changes and modifications within c) packaging the medical device; and

the present invention will become apparent to the skilled 65 d) sterilizing the packaged device.

artisan from the discussion, disclosure and data contained 11. The method according to claim 10, wherein the herein, and thus are considered part of the invention. radiation dose level is between about 1 and about 1 ,000 kGy. US 7,166,650 B2

21 22

12. The method according to claim 10, wherein the f) packaging the medical device; and

radiation dose level is between about 25 and about 125 kGy. g) sterilizing the packaged device.

13. The method according to claim 10, wherein the 21. A method of making a medical device comprising a sensitizing environment comprises about 5% by volume polyethylene component, wherein the method comprises the acetylene and about 95% by volume nitrogen. steps of:

14. The method according to claim 10, wherein the a) irradiating polyethylene at a temperature that is below polyethylene is contacted with a sensitizing environment the melting point of the polyethylene, thereby forming prior to irradiation. a crosslinked polyethylene;

15. The method according to claim 10, wherein irradiation b) mechanically deforming the crosslinked polyethylene is carried out in air or an inert environment. at a temperature that is above room temperature and

16. The method according to claim 10, wherein the below the melting point of the crosslinked polyethylene deforming temperature and the annealing temperature are in order to reduce the concentration of residual free less than about 140° C. radicals, and then allowing the polyethylene to cool;

17. The method according to claim 10, wherein the

c) annealing the mechanically deformed crosslinked polyannealing in presence of sensitizing environment is carried

ethylene in a sensitizing environment at a temperature out at above an ambient atmospheric pressure.

below the melting point of the crosslinked polyethylene

18. The method according to claim 10, wherein the

in order to permit shape recovery;

sensitizing environment comprises about 5% by volume

d) machining the annealed mechanically deformed acetylene and about 95% by volume nitrogen.

crosslinked polyethylene, thereby forming the compo¬

19. The method according to claim 10, wherein the

polyethylene is ultra-high molecular weight polyethylene nent;

(UHMWPE). e) assembling the medical device comprising the compo¬

20. A method of making a medical device comprising a nent;

polyethylene component, wherein the method comprises the f) packaging the medical device; and

steps of: g) sterilizing the packaged device.

a) irradiating polyethylene at a temperature that is below 22. The medical device of claim 21, wherein the sensithe melting point of the polyethylene, thereby forming tizing environment comprises acetylene.

a crosslinked polyethylene; 23. A method of making a medical device comprising a b) mechanically deforming the crosslinked polyethylene polyethylene component, wherein the method comprises the at a temperature that is above room temperature and steps of;

below the melting point of the crosslinked polyethylene a) packaging the device in an inert environment; in order to reduce the concentration of residual free

b) irradiating the packaged device at a temperature that is radicals, and then allowing the polyethylene to cool;

below the melting point of the polyethylene;

c) annealing the mechanically deformed crosslinked polyethylene by heating to a temperature below the melting c) annealing the medical device at a temperature below point of the crosslinked polyethylene in order to permit the melting point of the polyethylene while in the shape recovery; presence of a sensitizing environment in order to d) machining the annealed mechanically deformed reduce the content of free radicals;

crosslinked polyethylene, thereby forming the compod) packaging the medical device; and e) sterilizing the nent; packaged device.

e) assembling the medical device comprising the component;