Enabling industrialization through structured technology scale-up
From lab success to industrial scale
The process industry is transforming as the demand for sustainable, resource-efficient technologies continues to grow. While many innovative ideas show strong potential in the laboratory, moving a concept from a small-scale test to a fully operational commercial plant comes with significant technical and financial risks.
Start-ups and established innovators alike face the complex challenge of proving that their unique processes can work reliably, and profitably, at an industrial scale.
To navigate this transition and bring vital solutions to market, a structured approach to technical upscaling is essential. This article explores the technical upscaling steps necessary to progress toward a commercial-scale production plant.
Reducing scale up risk through stepwise development
The process industry is currently undergoing a transformative phase, with a growing focus on developing sustainable and resource efficient processes. Emerging start-ups and technologies will play a crucial role in driving this transition. Advancing as many of these companies as possible toward industrialization will be critical to achieving a fossil-free society.
Many ideas originate from laboratory trials conducted at a very small scale. As an idea matures and its potential becomes clearer, the journey toward upscaling and industrialization can begin. However, there is no standardized approach to upscaling; each idea is unique and must be evaluated individually when developing an upscaling plan and strategy.
Technology maturity and TRL
Several methods exist to assess technology and its maturity. One of the most widely recognized frameworks is the Technology Readiness Level (TRL), which has gained increasing acceptance across both academia and industry as a tool for evaluating and communicating technological maturity. TRL is a standardized scale that spans from early scientific research to full commercial or operational deployment and was originally developed by NASA to manage technical risk in space programs.
Because TRL is applied across many industries and contexts, its interpretation can vary and involves some degree of judgment. An example interpretation is shown in Figure 1. As TRL is relatively high‑level, it should be complemented with case‑specific analysis when developing a realistic and executable scale‑up plan.
A stepwise scale‑up pathway
While TRL is a valuable communication tool, it is not sufficient on its own to define a practical and executable scale up strategy. A scale up strategy should be tailored to each technology and grounded in a few fundamental questions, for example:
- What is the target timeline?
- What level of risk is acceptable?
- How complex is the process concept (e.g., batch vs. continuous, unit operation maturity, operability constraints)?
To keep risk at a manageable level, a stepwise scale up approach is recommended. By progressing through the stages illustrated in Figure 2, the technology can be tested, optimized, and verified before committing to the design and construction of a full scale plant.
This approach reduces risk and minimizes the likelihood of unpleasant and costly surprises. However, a key drawback of the stepwise approach is the high cost and long time required to design, build, and operate multiple intermediate plants. In some cases, time to market may be the most critical factor, and for this specific situation, a traditional stepwise approach may therefore not be the optimal choice. Although these steps require considerable time and financial investment, they may ultimately result in lower overall development costs and a shorter time to market. Experience gained throughout the various stages can, in certain cases, be decisive for the successful implementation of the overall concept. However, every case is unique, and the scale-up plan needs to be adapted to the specific conditions and requirements. There are examples where one or several of these steps have been skipped, yet the process has still been successfully scaled up to a commercial plant.
The definitions of lab , pilot , and demonstration scale vary across industries, and in some contexts pilot and demo are used interchangeably. Figure 2 provides a general overview of each stage and its purpose.
In the development of new processes, the design and operation of pilot and demonstration plants often run in parallel with the design of the future commercial plant. Results and experiences from pilot- and demonstration-scale testing programs are therefore key inputs for optimizing the commercial plant design. As illustrated in Figure 2, supplier trials are also an important part of the upscaling process. When working with emerging technologies, it can sometimes be difficult to identify suitable equipment, both from a technical and an economic perspective. AFRY’s previous experience from upscaling projects highlights the importance of early collaboration with potential equipment suppliers to create the best possible conditions for developing a robust process and equipment design suitable for full-scale implementation. Already at pilot scale, it is beneficial to use scalable equipment even if the focus is on the process. Understanding equipment limitations and involvement of supplier in developing/modifying equipment is beneficial.
Technology scale-up stages
- Lab-scale – Generate initial data and understanding
- Pilot scale – High flexibility
- Demo-scale – Validate in industrial-like operation
- Supplier trials – Finding the right equipment
- Commercial scale – Large scale production
Lab-scale development forms the foundation for subsequent scale-up phases by enabling hypothesis testing, process understanding, and generation of reliable data to support early engineering and process design activities.
- Initial research: Lab-scales are used to conduct initial research and experiments to test hypotheses, verify reactions, and assess key process parameters.
- Controlled conditions: Allows precise manipulation of variables in a controlled environment, which is crucial for accurate and reliable data collection.
- Quick results: Provide rapid insights into the feasibility of a process or technology, allowing fast adjustments and iterative development.
- Process familiarization: Offers the first hands‑on experience with the process, building fundamental understanding that supports later technology selection.
- Data collection: Lab-scale is essential for generating data that forms the basis for designing and optimizing larger‑scale processes.
- Material screening and Selection: Allows for screening of larger numbers of raw materials, catalysts, solvents, or additives.
- Typical characteristics: Usually performed as a manual batch process, for example in a fume hood. At this stage, it is generally too early for continuous operation, even if continuous processing is anticipated at larger scale.
A pilot plant plays a critical role in the scale-up of new processes and technologies. It serves as a bridge between lab-scale development and demonstration or full-scale operation by enabling technology maturation, market validation, data generation, and risk reduction. The key objectives and characteristics of a pilot plant are summarized below.
- Learning and technology development: The primary objective of a pilot plant is to establish a small‑scale production unit where new technologies can be tested and further developed, thereby increasing the Technology Readiness Level (TRL) toward large‑scale implementation.
- Market testing: Enables production of limited product volumes to support early market development, identify potential customers, and initiate preparations for commercialization.
- Data collection: Provides valuable input data for the design of demonstration‑ and full-scale plants, including reaction behavior, material properties, system limitations, chemical consumption, and effluents, preferably compiled to support future environmental permitting.
- Process optimization: Pilot scales help in refining, testing new process configurations and optimizing processes before scaling up to demonstration scales.
- Risk reduction: Pilot plants reduce the risk and costs associated with the construction of large process plants by allowing for the testing of new technologies and processes on a smaller scale.
- Typical characteristics: Typically operated as a semi‑automatic batch or semi‑automatic continuous process. The selected configuration depends on the available technology as well as advantages and limitations identified during lab-scale development.
A demonstration plant represents a critical step in the scale-up of new technologies, bridging the gap between pilot operation and full-scale commercial deployment. Its primary purpose is to validate the technology, process configuration, and business case under conditions that closely resemble full-scale operation. It is important to verify not only the technology itself, but also that the plant can reliably produce the products in line with the assumptions on which the profitability assessment is based. The key objectives and characteristics of a demonstration plant are outlined below.
- Proving new technology: Demonstrates that the technology functions as intended using commercially available, pre‑tested equipment or specific equipment that is designed to be scalable to full-scale. It is only at this stage that the long‑term viability of the process and the overall concept can be properly assessed. For example, it becomes possible to evaluate whether the required availability, yields and chemical consumption can be achieved to meet the assumptions and requirements of the business case and profitability assessment.
- Risk identification and mitigation development before full-scale: For example, fouling or erosion/corrosion are typical issues that are identified at demo-scale level during long-term operation.
- Scalability: Provides an intermediate proof point that confirms the feasibility of scaling up from pilot scale to full commercial scale.
- Process configuration: The technology applied at demo-scale should be representative of the planned full-scale solution. Likewise, the chosen operating mode, batch or continuous, should be consistent with the intended commercial operation. Demo-scale should also include process step outside the core technology, which are often underestimated or considered as known technology. In a new context, known technology can be new.
- Operational insights: Generates operational experience that is used to refine and finalize the design of the full-scale plant, ensuring that the process performs as expected under realistic operating conditions.
- Market testing: Enables production of larger product volumes to support market introduction, validate distribution chains, and confirm target market viability.
- Financial viability: Provides evidence of a reasonable return on investment (ROI) for the capital associated with full-scale deployment, including realistic estimates of operating costs and performance.
Supplier trials are often underestimated in early‑phase projects but are frequently critical for securing performance guarantees and reducing execution risk in later project phases. Supplier trials support scale-up by complementing lab and pilot work, validating equipment selection, and enabling early collaboration and process guarantees.
- Complement to lab and pilot trials: Address unit operations or parameters that cannot be adequately tested in lab or pilot setups.
- Equipment selection: Identify technically and economically viable equipment; at pilot scale, suitable capacity and geometry can be particularly difficult to source.
- Collaboration: Establishing a strong and reliable collaboration with a suitable supplier can be key to a successful project. Both parties invest significantly in trials and development, making a lasting partnership essential. Paid supplier trial shows that there are an interest and commitment from the technology developer to work with the supplier. Increasing trust and willingness of the supplier to give some support.
- Number of suppliers: The number of suppliers and collaborations varies based on the project timeline and customers' availability and capacity. Ideally, having several parallel collaborations for the same equipment or process area is beneficial, but it can be time-consuming and costly. When a type of technology affects the process design/development and is not easily interchangeable between suppliers, only a few (or one) suppliers is likely to be realistic. For technologies that are more common, several suppliers are possible.
- Process guarantees: Supplier trials are often necessary to ensure that the supplier is prepared to provide process guarantees.
Full-scale operation validates commercial viability, regulatory compliance, and return on investment under real production conditions. It is essential that the product achieves the same quality in full-scale operation as demonstrated in the pilot and/or demonstration plant. Market development and scale-up are often based on product samples and performance demonstrated at these earlier stages. Therefore, it is critical that the full-scale product meets the quality expectations established during pilot and demonstration operation.
- Operational experience: Gaining operational experience and practical know-how from operation.
- Commercial viability: Confirms that the process operates reliably at full capacity and is commercially viable while capturing the full range of operational conditions and variability.
- Extensive sampling: Enables comprehensive data collection for process optimization and verification that product specifications and market demands can be consistently met.
- Market development: Allows production and delivery of the product in significant volumes to support full market entry, establish distribution channels, and confirm long‑term market viability.
- IP protection: Access to real operational data, troubleshooting, and systematic problem-solving enables improved protection of the process implementation.
- Return on Investment (ROI): Demonstrates an acceptable return on the capital invested in the full-scale system, including realistic operating costs and long‑term performance.
- Regulatory compliance: Ensures full compliance with applicable regulatory and permitting requirements, which is critical for sustained large‑scale operation.
Market and value chain considerations
While this article focuses on technical aspects, market considerations and the value chain are often overlooked. Understanding the structure of the value chain and one’s role within it is essential. When moving from pilot or demo-scale to commercial scale, the entire value chain must be industrialized. A fundamental requirement is also that the product quality achieved at full-scale matches that demonstrated at pilot or demo-scale, particularly if market development has already begun based on the demo product.
Takeaways from scale-up projects
AFRY has extensive experience supporting start‑up companies within the process industry, in some cases throughout the entire journey from initial idea to the construction of a commercial scale facility. Although each project is unique, these engagements have generated valuable insights and lessons learned that strengthen our delivery capabilities. Some key takeaways from these experiences are summarized below.
- There is no single scale‑up strategy that fits all processes. It is important to develop a clear and executable scale‑up strategy that reflects your prerequisites and risk appetite. Following each development step rigorously, without cutting corners, is generally recommended to minimize risk. However, in certain situations, it may be possible to accelerate the process if a higher level of risk is acceptable or if there are well‑founded reasons to believe the approach will be successful.
- There are no “bad” results. All outcomes generate knowledge, often knowledge that competitors do not have.
- Allow sufficient time in the overall schedule for unexpected results and setbacks. The purpose of each stage is learning for the next step, and such findings are highly valuable.
- Consider start‑up, shutdown, and operability early in the engineering phase.
- Involve equipment suppliers early in the development phase, particularly for:
- key process steps,
- concept verification at larger scale,
- performance guarantees.
- Introducing the product to the market as early as possible to verify product requirements and specifications, develop the market, identify customers, and prepare for commercialization.
- Successful scale‑up requires understanding how increasing size affects physical and chemical phenomena.
- Known technologies are often underestimated. Issues frequently arise in so‑called “known areas,” such as raw material handling and wastewater treatment, because the associated risks are assumed to be low and therefore underestimated.
- Anticipate practical challenges. Powders can be unpredictable, and scale‑dependent issues may include foaming, fouling/deposition, accumulation of inerts, or impurities.
- Balance perspectives. R&D often focuses on adding functionality, whereas scale‑up engineering must prioritize robustness, operability, maintainability, and cost efficiency.
- The transition from lab-scale to pilot scale typically represents the largest numerical increase in scale.
- Maintaining dynamic similarity alone is insufficient. Although it may appear that preserving parameters such as mixing intensity, temperature, and concentration should ensure equivalent performance, this is rarely the case in practice.
- It is important not to overlook key parameters such as availability, yield, and chemical consumption. Even if the technology itself functions as intended, these factors have a significant impact on profitability and can ultimately be critical to the success of the plant.
Why AFRY
AFRY has extensive experience in delivering project and technical services to the process industry and has played a leading role in numerous green transition projects involving novel technologies and industrial scale‑up. Drawing on long‑standing experience across the forest, biomaterials, chemicals, and metals industries, AFRY offers support from early conceptual development through implementation. With strong technical expertise, proven project management capabilities, and comprehensive engineering tools, AFRY helps clients successfully manage the challenges associated with technology scale‑up and industrialization.
