Final report 1

CFPA Canning Fruit Producers’

Assoc.

Submit to: Wiehahn Victor

PO Box 426 Paarl, 7620

Tel: +27 (0)21 872 1501

inmaak@mweb.co.za

DFPT Deciduous Fruit Producers’

Trust

Submit to: Louise Liebenberg

Suite 275, Postnet X5061 Stellenbosch, 7599

Tel: +27 (0)21 882 8470/1

louise@dfptresearch.co.za

DFTS Dried Fruit Technical Services

Submit to: Dappie Smit

PO Box 426 Paarl, 7620

Tel: +27 (0)21 872 1501

dappies@dtd.co.za

Winetech

Submit to: Jan Booysen

PO Box 528 Paarl, 7624

Tel: +27 (0)21 807 3324

booysenj@winetech.co.za

X

FINAL REPORT

(Including a subsequent Patent Commercialisation phase up to August 2010)

Programme & Project Leader Information

PROGRAMME LEADER PROJECT LEADER

Title, initials, surname Charl Theron Tim Rypstra

Present position Extra-ordinary lecturer: Oenology Associate Professor: Wood Science

Address Department of Viticulture & Oenology

University of Stellenbosch

Department of Forest & Wood Science

University of Stellenbosch

Tel. / Cell no. 083 269-0577 083 348-4334

Fax (021) 808-4781 (021) 808-3603

E-mail vinofino@mweb.co.za tr@sun.ac.za

Project Information

Project number

Project title Optimisation of wood flavourants for the production of quality wines through improved wood production strategies.

Industry programme

CFPA

DFPT

DFTS

Winetech √

Other

Fruit kind(s)

Start date (dd/mm/yyyy) 01 January 2005 End date (dd/mm/yyyy) 31 December 2007

Final report 2

FINAL SUMMARY OF RESEARCH PROJECT

Programme & Project Leader Information

PROGRAMME LEADER PROJECT LEADER

Title, initials, surname Charl Theron Tim Rypstra

Institution Department of Viticulture & Oenology

University of Stellenbosch

Department of Forest & Wood Science

University of Stellenbosch

Tel. / Cell no. 083 269-0577 083 348-4334

E-mail vinofino@mweb.co.za tr@sun.ac.za

Project Information

Project number

Project title Optimisation of wood flavourants for the production of quality wines through improved wood production strategies.

Fruit kind(s)

Start date 01 January 2005 End date 31 December 2007

Summary: Alternative products in Wine-making

The state-of-the-art of the role of wood in the winemaking process was investigated. To be able to

enhance existing or develop new wood-in-wine technologies the status and function of the wine barrel

(wine-in-wood) was assessed first. Through technology transfer to and with further exchange of

information with winemakers, suppliers and distributors of barrels and alternative oak products

(AOPs) a greater demand for knowledge on wood was established. Depending on the type of AOP

used, the most common limitation of AOPs was the large variability in their performance.

During the critical “Go/No-go” assessment of the state-of-the-art of wood in wine making, and to

deliver on the objectives to compile a knowledge package for the SA wine industry and where possible

make improvements to the existing wood in wine technology (i.e. AOPs), it became apparent that the

starting process in the existing wood-in-wine technology is determined by the sole purpose to

manufacture barrels from oak trees.

Instead of considering possible modifications or improvements to existing AOP technologies, a new

AOP technology, based on basic wood scientific principles that recognise the variation in physical,

chemical, anatomical properties in wood (trees), was invented and developed. This new AOP

manufactured with a well known production process, utilising a mature technology meets the

winemaker’s wood in wine performance requirements, i.e. consistency, repeatability and predictability

in terms of flavour delivery. The new AOP is a precision-engineered source of wood-borne chemicals,

produced from a more homogeneous wood source, with improved comminution (reduce to smaller

fractions of portions) strategies, combined with the best available, drying, toasting and other value-

adding treatment technologies, for an improved product with more predictable flavour delivery and

with flavour dosage possibilities.

Commercialisation of the intellectual property, filing of a patent in the USA, Australia, RSA and those

wine producing countries with oak forests and the international implementation of the new process

developed, are at a stage where collaboration with industrial partners, conforming to specific criteria,

is in progress.

Final report 3

Final Report

1. Problem identification and objectives

Problem

The SA wine-maker’s ability to produce higher quality wines with alternative wood products (AOPs)

is currently limited by the fact that product quality and product performance of the available AOPs do

not match winemaking’s consistency, repeatability and predictability requirements. Product quality

and product performance are major considerations in order to fully exploit the natural occurring or

modified flavour enhancing chemical constituents in wood (barrels and AOPs such as tank inserts,

barrel inserts, staves, planks, segments, slats, rods, balls, blocks, cubes, chips, granules, powder,

extract, etc.).

Objectives

To effectively control the influence of wood in the wine-making process, the objectives are to:

1. Assess the current SA and international situation

2. Compile a knowledge package for the SA wine industry on wood in wine-making

3. Based on 2. Recommend essential improvements

4. Undertake R&D required to control the production and utilisation of alternative wood products on

a competitive basis.

(Permission to adjust the R&D focus towards the commercialisation of Winetech project US/WS1

was given on 3rd

May 2007. (Annexure II: Winetech letter)).

2. Workplan (materials & methods)

The three-year project is designed to promote interaction with industry. Intermediate goals set will

focus on “go/no-go” events.

First Year

Determine state-of-art of wood in wine-making

Methods Literature survey

Efficient communication with (visits to) selected wineries, and wood product

processing facilities

May include wood and/or wine experimental/laboratory work

Deliverable 1 Report on Wood in Wine-making.

Deliverable 2 Four report-back sessions with industry

Deliverable 3 “Go/No-go” evaluation based on the report as well as further liaison with

industry

Second and Third years

Most of the experimental work is planned to be undertaken over this two year period of the proposed

project and will be determined by results obtained in the first year.

R&D required is to ensure that alternative oak products will give the SA wine industry a competitive

edge.

Wood quality parameters, tests and control methods will be established.

Final report 4

Aspects that are anticipated to be investigated on a laboratory and pilot-plant scale are the effects of

species, silvicultural practices, growing environment, particle size reduction (comminution), chemical

reactivity and accessibility, and wood quality grades based on origin in the tree, etc.

The availability and suitability of equipment will be assessed.

Alternative products will be bench-marked against the traditional barrel.

3. Results and discussion

Determine the current status of wood in wine-making

This was done with the information obtained from international and national literature of five different

disciplines as well as a large number of information-gathering meetings with local suppliers of barrels

and alternative products, well-known and senior wine-makers and the staff of the only two (small)

South African cooperages and AOP producers.

Critically assess existing facts and develop a knowledge package

Interaction with industry revealed several limitations with regard to the handling, processing and use

of AOPs. The result of further analyses and discussions indicated that with improved material and

processing strategies, it is possible to move away from wood as only a biological material with natural

variation to a more homogeneous, precision-engineered wood product with predictable flavour

delivery performance for wine-making. This confirmed that if properly managed and funded AOPs

have the potential to add value and give the SA wine industry a competitive edge.

Technology transfer

Transfer of knowledge and technology took place in various forms: publication of 23 popular articles

in Wineland (see Annexure I), a radio talk on Radio Sonder Grense, report-back meetings with wine-

makers at eight locations in the Western Cape (attended by 94 wine makers), various general

discussions with local and international visitors from and CEOs of cooperages, and two 1-day

seminars for AOP suppliers and distributors in SA.

Undertake R&D required to control the production and utilisation of alternative wood

products on a competitive basis

During the critical “Go/No-go” assessment of the state-of-the-art of wood in wine making, and to

deliver on the objectives to compile a knowledge package for the SA wine industry and where possible

make improvements to the existing wood-in-wine technology (i.e. AOPs), it became apparent that the

starting process in the wood-in-wine technology is determined by the sole purpose to manufacture

barrels from oak trees. All AOPs, which essentially only differ in size and shape, are currently made

from logs, log and barrel residues and components (staves and boards for heads), i.e. wood material

ultimately not suitable for barrel manufacture. This “manufacturing legacy” of the barrel in essence

contributes to the variation in performance and lack of predictability of AOPs, a limitation constantly

expressed by winemakers interviewed throughout the duration of the project. The question most likely

asked years ago by coopers: “How can a(n) (oak) tree be harvested, the log break-down accomplished

and the wood processed so that the barrel provides a durable, strong and leak-free vessel?” was asked

again and investigated during this project. I.e. a similar question applicable to the manufacture of

AOPs: “How can an oak tree be harvested, the log break-down accomplished and the wood processed

so that the extraction of the chemical flavourants from the oak wood (or release of oak fragrances, etc.

into the wine) is at an optimum?”

By applying sound wood scientific principles to this AOP question and to comply with today’s

sustainability requirements i.e. to provide a cost effective, environmentally friendly solution, a new

AOP technology was invented and developed by Messrs CW Theron and JPJ Swart, and Prof T

Rypstra. Therefore, in stead of attempting modification to and enhancing existing AOP production

approaches and technology, the R&D (objective 4 of the project) envisaged was re-directed to the

development of this novel AOP technology, a system that consists of at least three interdependent,

Final report 5

sequential wood processing processes, generically similar to the processes followed during barrel or

existing AOP manufacture. Permission to re-direct the R&D focus to the application and registration

of one or more patents and subsequent commercialisation of the patent(s) by Stellenbosch University’s

Intellectual Property office (InnovUS) was, therefore, granted on 3rd

May 2007 (Annexure II:

Winetech letter). As a result of this development and the funding and services made available by

InnovUS, the activities beyond this Winetech project are still conducted further by the inventors,

Messrs CW Theron and JPJ Swart, and Prof T Rypstra, to ensure that all parties involved benefit from

the commercialisation of the intellectual property developed during the project.

The results obtained during the last phase of the contract up to December 2007 and from January 2008

to date are described further. For the sake of clarity and context some initial results reported in the first

(July 2005) and interim (April 2006) reports are duplicated.

Development of a new wood-in-wine alternative to the oak barrel and existing AOPs

The investigation into and critical review of the oak raw material and wood production processes used

nationally and internationally today as well as performance properties of the current, commercially

available AOPs have shown that these products can provide the required oak flavours in wine-making.

As cost benefits are currently the main driver behind the AOPs’ rapidly-gaining acceptance in the

wine industry, control over product quality and performance of these products can, from a wood

scientific perspective, still be improved.

Much more consideration can be given to

• the variable natural, biological and anisotropic characteristics, as well as the new physical and

chemical properties generated during processing (processes that include tree selection,

harvesting, log breakdown (sawing), air or kiln drying and toasting) and

• efficient wood flavour extraction by the wine.

To satisfy these wood-in-wine technology criteria it is claimed in the (first of four) patents that oak

logs should be rotary peeled (Fig 1) to acceptable thicknesses to ensure that veneer (sheets) with large

tangential surfaces (Fig 2) and guillotine cut to required product shapes and sizes are produced.

Dominantly large tangential surfaces not only optimise but also make chemical and physical changes

during processing less heterogeneous. Large tangential surfaces also maximise extraction of wood

fragrances into the wine. The “first cut” (rotary peeling) of the log also influences and enhances the

subsequent processes the veneer is subjected to.

Figure 1: Position and anatomical features of the tangential surface of wood

Final report 6

Figure 2: Rotary-peeling of veneer. Subsequent guillotine cutting of the veneer material into smaller wood fragments in a

manner ensuring that (i) the wood anatomical orientation (tangentially cut), shape (geometry) and size

(dimensions) of all the fragments are similar; and (ii) the wood fragments all have tangential surfaces as the

largest surface area.

Anatomical, physical and chemical properties of wood known can have profound effects on the

ultimate oak flavours in wine, brandy, whisky and other alcoholic beverages. As mentioned earlier,

two possible reasons can explain how the shape and size of AOPs have evolved. First the strong

legacy and impact of barrel-making on the alternative’s raw material selection, log processing and

production processes are clearly demonstrated in an AOP such as “staves” when inserted/immersed in

the wine. The second reason is the logical step to chip or grind heartwood residues of which the shape,

size and anatomical orientation are unsuitable for barrel-making into alternative products such as chips

and powder, or make other AOPs such as blocks, balls, cubes, slats, etc. Collectively these approaches

have limited the optimisation of the AOPs flavour delivery potential.

If it is accepted that each phase during the sequential processing and application of the product is

influenced by the other steps of the process, major flavour enhancements or gains are possible with

oak alternatives if a systems approach is used. All production phases/processes (such as tree

selection, harvesting, comminution (reduce logs to smaller fractions, e.g. by sawing), air or kiln

drying, heating (toasting) and other value-adding treatments should collectively and individually be

focused on the AOP’s performance in wine. To implement the new alternative process involves a

number of processing steps with a strong focus on four basic phases to manage and execute the

systems approach. These are raw material selection, production processes, product(s) characterisation

and product performance evaluation.

Raw material selection – more wood from the forest, higher yields per tree

In this phase the new process to produce oak alternatives can impact positively on the sustainability of

the forests (wood source), exercise better control over the quality of the wood and improve the

subsequent conversion of the available wood into a high quality, alternative product. This includes

that:

• With the increasing demand for oak, better utilisation of the available, slow-growing oak wood

resources is essential, e.g. shorter, usable log lengths would translate into more utilisable

timber from an individual tree.

• Higher yields per tree contribute to improved sustainability of the wood source (oak forests) –

a long-term consideration in line with FSA and PEFC certification.

• A decrease or at least a slower rate of increase in raw material costs owing to the use of a more

efficient comminution technology and higher yields.

Final report 7

The newly proposed comminution method (rotary peeling) at the log breakdown phase satisfies these

requirements and this impacts positively on the cooperage’s tree selection, raw material cost and wood

utilisation.

Production processes – better process control, higher yields and optimised product

geometries

Real advances are possible with the processing of the wood. The new comminution approach not only

ensures the best possible utilisation of the wood’s anatomical, physical and chemical potential, the

specific geometry and different product sizes also enable a range of current and novel wood

treatments. Some of these treatments were until now either not possible or not being used. This is

made possible by:

• Production processes with equipment that is readily available off-the-shelf.

• Improved control during the new alternative production processes that include drying, heating

(toasting) and combinations of these treatments

• An improved comminution strategy that enables more efficient utilisation and higher product

yields from oak logs (e.g. through peeling, no saw dust residue is generated), a reduction of

waste produced (e.g. logs are not split), the utilisation of hitherto “unsuitable” wood material

(e.g. sapwood), and the most suitable product geometry and size that meets the final product’s

extractive requirements

• Delivery of generally more homogeneous products with a minimum biological and process-

induced variation in wood anatomical, physical and wood chemical properties

• Geometries and sizes that facilitate novel and superior value-adding treatments.

• Shorter storage periods in forest, before processing implies lower costs.

Product characteristics – a precision-engineered and wood-borne chemical

• Wood as a biological product with natural variation, can be converted into a precision-

engineered, alternative, wood-borne chemical

• The product meets the specific requirements for the production of wine, brandy, whisky and

other alcoholic beverages

• The product is easy to use and various application configurations (shape and size) are possible

• It is a more predictable flavour delivery system

• Meets phyto-sanitary and HCCAP requirements.

Product performance evaluation

• The product facilitates precision delivery i.e. quantity and rate controlled extraction of wood

flavourants into wine, spirits and other alcoholic beverages.

Patent Registration and Intellectual Property Commercialisation

Patent registration

After approval was obtained from Winetech (Annexure II: Winetech letter), the sponsor, on 3 May

2007 to go ahead with a commercialisation process, formal notification/disclosure of patentable ideas

with a date stamp was given to Stellenbosch University’s Intellectual Office, InnovUS on 12 October

2007. With necessary legal assistance, InnovUS registered a first provisional patent on this

scientifically sound and technologically simple alternative process on 15th January 2008. A decision

had to be taken to either file national patents in individual countries or file a PCT application which

allows a further 18 months before national patents need to be filed in individual countries. It was

decided to file a PCT application on 14th January 2009 and the international application was published

on 23rd

June 2009. In July and August 2010 it was decided to file national patents in the following

individual countries: USA in July and South Africa, Australia and Europe in August (in progress). The

European patent application filed through the European patent office allows a two year period before

Final report 8

filing in individual European countries is necessary. Funding for these legal processes is supplied by

InnovUS.

Commercialisation

A series of actions have been and are presently undertaken to address a commercialisation strategy to

develop the intellectual property potential of the new alternative product and its production and

application methods. Although the results of laboratory studies can provide valuable information on

the raw material, processing and product properties and performance evaluation, the work is usually

done with small quantities (grams) in ideal laboratory situations. However, the successful

commercialisation of a material with large (biological) variation such as wood requires R&D on a

pilot plant scale (work in kg) before up-scaling to an industrial level (work in tonnes). To implement

the new technology (starting with the first patent and considering the introduction of the other novel

ideas disclosed to InnovUS) in industry, collaboration with one or more suitable industrial partners is

obviously essential. The actions undertaken so far have been:

Criteria were compiled to select partners for the pilot plant phase. These criteria are:

• Must be large international companies, either cooperages or wood processing companies from

a related industry preferably with a presence in or a strong link with South Africa

• Must have production plant(s) near Quercus forests in both France and the USA. This is to

ensure that the new alternative process and its products are implemented and evaluated on

typical French and American oak species

• Be vertically integrated and have sufficient infrastructure as well as being present and well

established in all wine producing countries, including South Africa

• Be technologically strong and active in research, specifically wood chemistry and wine

chemistry

A list of names and contact details of international companies was compiled. The process was started

by the selection of one international, industrial partner from a short list of candidates.

Negotiations started with the signing of a non disclosure agreement (NDA) between the selected

industrial partners and InnovUS. Drivers in the collaboration proposal presented to the industrial

partner are:

• Produce a cheaper, higher yield AOP with improved flavour-delivery qualities

• Increase international competitiveness and profitability

• Develop a larger market share and have an impact in all wine-producing countries

Collaboration and selection of suitable industrial partners is presently in progress.

During and after successful implementation of the new alternative technology, the performance of the

(new) product will be benchmarked and monitored using analytical aroma techniques and the aroma

data base developed, and organoleptic evaluation.

Conclusion

Worldwide, the scientific and technical knowledge on wood in wine-making is continuously being

expanded. This on-going process provides a sound basis for the dedicated, experimental research

required to develop cutting-edge AOP technology for the SA wine industry.

The essential oak wood flavour contributions to wine-making, the increased demand for oak wood and

the need for a sustainable oak wood supply, gives collective impetus to the application of the whole-

tree utilisation concept. This implies that all residues of the tree now could become part of the AOPs

flavour profile by default.

Final report 9

Milestone Achievement

1. Knowledge Package: Barrel descriptions &

current AOPs quality and performance Progress reports and Go / No-Go decisions

2. Patent on precision-engineered AOPs

completed Patent published and filed

3. Three more potential patents disclosed Establishment of a system approach in AOP

technology

4. Accumulated outputs (January 2005 to December 2007) and further

Technology developed New, precision-engineered Alternative Oak

Products

Human resources developed/trained Two, female

Patents One

plus Three more patent disclosures

Publications Popular ............. 23 (Wineland)

Press releases ... none

Semi-scientific . none

Scientific ......... none

Radio talk on Radio Sonder Grense

Seminars 2 x 1-day seminars for AOP suppliers and

distributors in SA

Presentations/papers delivered None

Report-back meetings with wine-makers Eight locations in Western Cape (attended by

94 wine makers)

General discussions with Local and international visitors and CEOs of

Cooperages.

Final report 10

4. Total cost summary of project

YE

AR

CF

PA

DF

PT

DF

TS

WINETECH THRIP INNOVUS, US TOTAL

Total cost in real terms for year 1

R230 000.00 R230 000.00

Total cost in real terms for year 2

R230 000.00 R72 606.00 R56 000.00 R358 606.00

Total cost in real terms for year 3

R124 138.67 R109 250.00 R156 000.00 R389 388.67

Total

R584 138.67 R181 856.00 R212 000.00 R977 994.67

Final report 11

Annexure 1. Theron, C.W., T. Rypstra & Swart, J.P.J. (2006). Timber imports cost the Wine industry millions. Winelands. May. pp 67-68.

2. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2006). The necessity of timber specifications in winemaking. Winelands. June. p 76.

3. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2006) The cleaning and re-use of barrels. Winelands, August. p 87.

4. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2006) Specific Barrels for Specific Cultivars. Winelands. September p 105.

5. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2006) The use of different size barrels. Winelands. November. p 70.

6. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2006). Factors influencing the impact of oak chips on the flavour of wine. Winelands. December. p 67.

7. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2007) Recycling used wine barrels. Winelands. March 2007. p 57.

8. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2007) The use of American oak barrels. Winelands. April. p 48.

9. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2007) The influence of oak on the vinification and maturation of wine. Winelands. May. p 60.

10. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2007) The use of oak in the vinification of flagship wines. Winelands. June. p 72.

11. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2007) The increasing use of alternative wood products. Winelands. July. p 73.

12. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2007) The flavour contribution of wood to wine. Winelands. August (http://www.wynboer.co.za/)

13. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2007) The influence of toasting and particle size. Winelands. September. (http://www.wynboer.co.za/)

14. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2007) The use of heat and water in the construction of barrels. Winelands. October. p 77.

15. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2007) The use of high-power ultrasonics to clean and sanitise barrels. Winelands. November.

(http://www.wynboer.co.za/)

16. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2007) The certification of oak products used in the vinification process. Winelands. December.

(http://www.wynboer.co.za/)

17. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2008) Selecting the right wood for a wine style. Winelands. January. (http://www.wynboer.co.za/)

18. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2008) The different alternative wood products. Winelands. February. (http://www.wynboer.co.za/)

19. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2008) Using American oak of different origin. Winelands. March. (http://www.wynboer.co.za/)

20. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2008). Micro-oxygenation. Part 1. Winelands. April. (http://www.wynboer.co.za/)

21. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2008) Micro-oxygenation. Part 2. Winelands. May. (http://www.wynboer.co.za/)

22. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2008). Cleaning and disinfection of oak barrels and oak adjuncts with high-power ultrasonics. Winelands. June.

(http://www.wynboer.co.za/)

23. Theron, C.W., Rypstra, T. & Swart, J.P.J. (2008) Effective oak maturation of wine. Wynland, July. (http://www.wynboer.co.za/)

Final report 12