Sterilization of Conduction-Heated Foods in

Oval-Shaped Containers
RICARDO SIMPSON, IVAN ARIS, and J. ANTONIO TORRES
ABSTRACT
A finite difference approximation of the differential equation for tran-
sient heat conduction in three dimensions was used to evaluate thermal
processes for foods in oval-shaped containers. A sensitivity analysis
on the basis of thiamin retention was used to select the time increment
and the size of the volume elements required by the numerical method.
Estimations of the temperature for the center of the oval container
were in close agreement with an analytical solution valid for suffi-
ciently long times, constant boundary conditions, and uniform initial
temperature. To validate the model, published experimental data for
the retention of thiamin, chlorophyll and betanin were compared with
values predicted by the numerical method.
INTRODUCTION
SEVERAL conduction-heated food products, mostly seafood,
are processed in oval-shaped containers. These commercial
activities would benefit from a simulation model to estimate
thermal processes for this type of container and to predict the
resulting food quality.
Many methods have been reported for sterilization calcula-
tions and have been classified into two groups (Hayakawa,
1978). Group I procedures are based on the evaluation of the
lethality at the slowest heating point while those in group II
are based on the evaluation of a mass average lethality for the
whole container. Group II methods have been used to model
cylindrical (Teixeira et al., 1969), rectangular (Manson et al.,
1970) and pear-shaped (Manson et al., 1974) containers. No
published procedures were found for oval-shaped containers.
An analytical solution for the temperature at any point in an
infinite elliptical cylinder was obtained by Kirkpatrick and Sto-
key (1959). These authors solved the heat conduction equation
using elliptical coordinates. Their analytical solution was based
on equations published earlier by McLachlan (1945, 1947)
which require knowledge of the zeroes for the modified Ma-
thieu functions. As reviewed by Dusinberre (1959), the ana-
lytical solution by Kirkpatrick and Stokey (1959) is rather
complicated for practical use. First, the zeroes for the Mathieu
functions need to be calculated with a computer program (Kirk-
patrick and Stokey, 1959). A more serious limitation of their
analytical solution is its lack of flexibility. In many sterilization
processes the retort temperature may not be constant and the
initial temperature distribution of the food in the can may not
be uniform. Either one of these situations would invalidate this
analytical solution.
A more useful approach would be a numerical method using
a direct finite difference solution of the heat transfer equation.
This approach allows the inclusion of (1) variable retort tem-
perature, (2) non-uniform initial conditions of temperature,
bacterial load and distribution of the quality factor, (3) tem-
perature-dependent thermophysical properties, (4) headspace
effects, and (5) nonisotropic medium.
This paper describes a mathematical model for the sterili-
Authors Simpson and Aris are with Escoela de, Alimentos, Uni-
versidad Catolica de Valparaiso, Chile. Author Torres, to whom
inquiries should be directed, is with the Dept. oh Food Science
& Technology, Oregon State Univ., Corvallis, OR 97331.
zation of conduction-heated foods in oval-shaped containers to
estimate the mass-average bacterial lethality and the retention
of a quality factor with known kinetics of destruction (e.g.
texture, vitamins, color). The model uses a finite difference
approximation method and was implemented on a personal
computer.
THEORY
A GENERAL MODEL for the sterilization process can be
obtained by examining the following phenomena and their gov-
erning equations:
(1) conduction heat transfer equation (nonsteady state) with
thermophysical properties independent of temperature:
$ + 5 + 2 = d $ (rectangular coordinates) (1)
or:
1 aT a*T
--+-
r ar f3r2
+ 2 = d p (cylindrical coordinates)
(2)
(2) kinetics of cell destruction:
(3) kinetics of destruction of a quality factor:
where k, and kg are functions of temperature usually modelled
with Arrhenius equations:
and
k, = k,,. exp (- E,,,/RT)
(5)
k, = k,,, exp (- E,,,/RT)
(6)
The energy required for thermal destruction of cells and food
quality factors is extremely small. Therefore, the heat transfer
equation can be solved separately from the kinetic equations
(Clark, 1978).
Development of model
Under the assumption of pure conduction heat transfer in an
isotropic and homogeneous medium, the unsteady state equa-
tion in rectangular coordinates (Eq.1) can be used as the basis
for the sterilization model for an oval-shaped can. The iso-
metric view of the oval container indicates that for symmetrical
initial temperature and boundary conditions the model needs
to consider only one-eighth of the total volume (Fig.la). A
closer view of the grid used by the finite difference method to
solve Eq.(l) is shown in Fig. lb and lc. The x-y plane view
(Fig.lb) illustrates the need to introduce the proportionality
factors E(i) and F(j) (having values between 0 and 1) for grid
Volume 54, No. 5, 1989~JOURNAL Of FOOD SCIENCE-7327
STERILIZATION OF CONDUCTION-HEATED FOODS. , .
(a) ISOMETRIC VIEW (l/8 of volume)
(b) X - Y PLANE
I I
(C) X - 2 PLANE
A
0 <
F(j),<
0 < E (i) ,< I
Fig. 1 -Schematic representation of the oval container. (a) iso-
metric view; (b) x-y cross-section showing proportionality fac-
tors E(i) and F(jl; (c) x-z cross-section.
points located on the curved boundary (Ozisik, 1968; Kreith,
1976), i.e.
d2Twq
= T(i + l,j,W - T(i,j,k)
ax2
(1 + E(i))
+ T(i-l,j,k) - T(i,j,k)
(1 + E(i))E(i)
I
(a2, C7) x 2
d*T(ij,k)
= T&j + l,k) - T(i,j,k )
-
af (1 + Vi))
+ T(i,j-1,k) - T(i,j,k)
(1 + FO))W
1
& (8)
d*Tci.j,k)
P(W+ 1) - T&j&)} + {T(Lj,k-1) - T(i,j,k)j
2
~
(W 1
(9)
dT(i,j,k) T(ij,k) - T(i,j,k)
dt
=
At
1
(10)
Substituting Eq. (7 to 10) in Eq. (1) leads to the following
expression:
T(i,j,k) + = T(i,j,k)
+ olAt {T(i-l,j,k) - T(i,j,k)p+ + {T(i+lj,k) - T(i,j.k)p 2
(1 + E(i))E(i)
(1 + E(i)) 1 OW
{T(ij-1,k) - T(ij,k)y+ + {T(i,j + 1,k) - T(i,j,k))
(1 + fYi#Yi) (1 + FCi)) I
2
(AY)*
+ {T(i,j,k-I) - T(i,j,k)p+ + {T(ij,k+ 1) - T(ij,k)p &z
I I
1328-JOURNAL OF FOOD SCIENCE-Volume 54, No. 5, 1989
(11)
Eq. (11) was rearranged to obtain an expression for T(i,j,k)+.
Finally, the alternating direction explicit procedure (ADEP)
was used to solve this equation. Although Eq. (11) is an im-
plicit equation, a proper choice of the initial point conditions
generates explicit calculations (Allada and Quon, 1966). In
addition, the method combines the stability of implicit methods
with the computational ease of explicit methods (Larkin, 1964;
Allada and Quon, 1966).
Microbial lethality and retention of a quality factor
The general expression for a first order model is:
Wi,j,k)
~ = -k, C(i,j,k)
dt
(12)
Eq. (12) can be integrated using an average temperature
(T(i,j,k)) for the volume element (i,j,k,) between time t and
t + At defined as the average temperature for its vertices at
time t and those temperatures at time t+At. This allows the
approximation of k, for the volume element (i,j,k,) as a con-
stant during time At. The accuracy of this approximation de-
pends upon the size of the volume element and the time
increment.
k,(ij,k) = ko exp (-E,/RT(ij,k))
(13)
Substitution in Eq. (12) and integration between time t and
t+At leads to:
-k, exp (( -E,/RT(i,j,k)) [* dt (14)
Therefore:
C(i,j,k)+A = C(i,j,k) exp {-k, exp((-E,/RT(i,j,k)) At}
(15)
Eq. (15) can be used to predict the microbial lethality and
the retention of the quality factor of a thermal process using
the temperature values calculated with Eq. (11).
Computer implementation
A schematic flow diagram of the computer program used to
implement the above described model is shown in Fig. 2. It
can be tested using literature data for the destruction of various
quality factors in cylindrical cans by choosing oval cans with
equal major and minor radius. Experimental data on foods
processed in oval-shaped cans were not available in the liter-
ature.
RESULTS & DISCUSSION
Numerical method parameters: Grid dimensions and time
increment
The accuracy of the numerical method can be improved by
reducing the size of the volume elements and the time incre-
ment at the expense of increasing computational time. There-
fore, an increment size study was completed to identify the
conditions for accurate solutions within a reasonable compu-
tation time. The numerical method published by Teixeira et
al. (1969) was used to develop a computer program to calculate
thiamin retention (307x409 cans, TR = 122.153C, TI = 71.1C)
in green beans puree (f,,=60 min) (Almonacid, 1988). Thia-
min was chosen as the quality factor because of the high tem-
perature dependence of its rate of destruction (z=25C;
D,= 188.7 min at T,= 118.9(Z). A rather severe thermal process
(80 min) was chosen to facilitate the detection of discrepancies
between both numerical methods. As shown in Fig.3, a 7.5
set time increment and a 9x9x9 partition matrix of the major
m
*
ORTR INPUT:
TR: retort tempsroture
TI: initial product temperature
TIHEP: process time
TC: cooling temperature
TCC: temperature ot ths con center ot
the end ofthe cooling period
CAN OIMENSIONS
GRID DIMENSIONS
TIMEI: time increment
a: thermal diffusivi ty
KINETIC PRRRMETERS
c
EVRLURTION OF PROPORTIONRLIT Y
FRCTOAS. E.F. RN0 VOLUME ELEMENTS
I
1 INSIDE TEHP - TI (TIME - 011
,
PRINT TIME. T(CENTER1.
RVERRGE LETHRLITY ANO
RVERRGE OURLITY FACTOR RETENTION
t
1 TENPERRTURE EVRLURTION Rl t - TIMEtllMEl 1
/t//l*1
EVRLURTION OF THE RVERRGE TEHPERRTURE IN
t
EVRLlJRlION OF THE RYERAGE LETHRLITY RN0
QUALITY FACTOR RETENTION
ENTER NEY TIMEP
Fig. 2-Schematic flowsheet of the computer program for an
oval-shaped can.
radius, minor radius and half-height, respectively, lead to ac-
ceptable accuracy. For the same time increment, this number
of volume elements (729) is greater than the 100 elements used
by Teixeira et al. (1969) to model a cylindrical container. The
use of cylindrical coordinates by these authors led to a finer
grid in the can center as compared with the can surface (Fig.4)
It should be noted that surface elements are over-processed
and do not significantly affect the values for average bacterial
lethality and average quality factor retention. The accuracy of
the prediction depends greatly on the precision of values cal-
culated for the can center. This suggests the need for future
studies that use other strategies for the sizing of volume ele-
ments.
Model validation: Transient temperature prediction
In an early paper, Iwata (1940) analyzed the center temper-
ature-heating time relationship for oval-shaped containers with
a uniform initial temperature and subjected to a step change in
boundary temperature. For sufficiently long heating times he
obtained the following expression:
ln(O, - 0) = hcxt -t p
(16)
A = (7r/2c)Z + 4/(@t.L)
(17)
p, = -0.3527 + 0.2572 u - 0.0076 3 for 2<u<6 (18)
1 + (1 - G)2
lJ = 1 - (1 - qm
(19)
50.01
# OF PARTITIONS
49.5 - 0 5X5X5 f 8X8X8
A 6x6x6 + 9X9X9
49.0
5 I %-- 0 8X8X6
0
tl 48.5 0
41.5 -
A.k-A
k-
A
47.0- ;i+ n
I
t
--x
lt
x
46.5 - ---+-
I
C---------------------------------T
RETENTION VRLUE CRLCULRTEO
USING TEIXEIRR'S METHOD
45.5
45.0L
J
0 5 IO I5 20 25 30 35
TIME INCREMENTS PER MINUTE
Fig. 3-Effect of numerical method parameters on its prediction
accuracy.
<It
Fig. 4-Schematic representation of a cylindrical container.
Iwata (1940) demonstrated the validity of Eq. (16) using
seafood thermal diffusivity values published previously by Lang
(1935). Furthermore, using the first term of the infinite series
solution obtained by Kirkpatrick and Stokey (1959) and con-
sidering only the temperature at the center point of an oval
container, it was possible to obtain an expression analogous to
Eq. (16).
ln (E
) = -k,t + k2
The first parametric zero of the modified Mathieu function
at various eccentricity values (Kirkpatrick and Stokey, 1959)
was then used to obtain a correlation equation (R* > 0.9999)
similar to Eq. (18):
p, = -0.2693 + 0.2216 v - 0.002768 3
(21)
for 1.91 <u<9
The advantage of this latter expression (Eq. 21) over that ob-
Volume 54, No. 5, 1989-JOURNAL OF FOOD SCIENCE- 1329
STERILIZATION OF CONDUCTION-HEATED FOODS.
tained by Iwata (1940) (Eq. 18) is that it is valid over a wider
range of elliptical eccentricities and that it can be used to pre-
dict thermal diffusivity using experimental time-temperature
data with much better accuracy.
The program for oval-shaped cans was used to generate time-
temperature data profiles for the center of containers with equal
volume (oval can, 515.37 cm3) and height (3.81 cm) but dif-
fering in eccentricity (0.6~~<0.9.5) (Fig. 5). In all cases the
TR - T
correlation of In ___
( 1
TR - TI
vs time was better than R2 =
0.9999 (time>20 min).
The computer program was also used to generate time-tem-
perature data for two typical commercial cans (4548 = 1 lb,
606x403~108, E = 0.754; 2278 = l/2 lb, 514x308~103, E
= 0.803) (Fig. 6) Again, the linear correlations for long times
were better than R = 0 999
It is important to note-that-these examples confirm that for
sufficiently long times the numerical method predicts temper-
ature accurately for a wide range of eccentricity values. This
suggests that the use of proportionality factors (Eq. 7-8) to
compensate for surface curvature is an accurate procedure.
Because of the availability of a mathematical expression for
the shape of the oval can it was possible to incorporate the
calculation of these proportionality factors into the program.
This was not possible for pear-shaped containers (Manson et
al., 1974) and retort pouches (Tandon and Bhowmik, 1986).
Model validation: Prediction of biological changes
Experimental nutrient retention data obtained from the lit-
erature (Lenz and Lund, 1977) were used to compare with
values calculated by the oval-shaped can numerical method
(Table 1). Table 1 also includes the prediction values obtained
with the L-T method developed by the same authors. To make
this comparison possible the computer program was run with
0 E = 0.60
-t
A E = 0.70
Q,
0 E = 0.80
'0
IO 20 30 40 50
TIME. minutes
Fig. 5-Effect of can eccentricity on the center temperature of
constant volume oval containers.
* E = 0.803
Tn
n El = 0.754
\
\
O\
* II\
\
s\
*L \
O\
A
\
II
A
\
A
\
A
0 10 al 30 40 50
TIME. minutes
Fig. d-prediction of can center temperature for two typical
commercial cans (E = 0.754, 4549 = 1 lb, 606x403~108; e =
0.803, 227g = 112 lb, 514x308~103).
equal major and minor radii to allow the simulation of cylin-
drical cans.
The oval-shaped can method predicts biological changes with
acceptable accuracy (Table 1) and estimates of retention of
quality factors are well within experimental error (Lenz and
Lund, 1977). The average experimental error between pre-
dicted and measured values was 6.3% for the oval-shaped can
method which compares well with the L-T method (5.9%;
Lenz and Lund, 1977).
Thiamin retention values predicted by the oval-shaped can
method were also compared with several other published pre-
diction methods (Hayakawa, 1969; Teixeira et al., 1969; Jen
et al., 1971; Lenz and Lund, 1977). The oval-shaped can method
was as acurate as all other published methods (Table 2) and
predictions were close to experimental values (Lenz and Lund,
1977).
Comparisons summarized in Tables 1 and 2 show that the
oval-shaped method is as accurate as other published methods
for predicting the mass-average retention of a thermally vul-
nerable component. It is important to note that all comparisons
were made against cylindrical container data due to the una-
vailability of experimental data for oval-shaped cans.
CONCLUSIONS
VALIDATION EXPERIMENTS showed that the oval-shaped
can method of mathematical modelling predicted time-temper-
ature data and biological changes with accuracy well within
experimental error. Numerical approaches were flexible and
the developed computer program could be modified to accept
variable retort temperature, non-uniform initial temperature
conditions, changing kinetic parameters and heterogeneous
medium conditions. In this case, it would not be possible to
consider only one-eighth of the total can volume. The program
could also be used to optimize processing conditions that would
lead to optimum quality retention.
Although the mathematical model was developed for first
1330-JOURNAL OF FOOD SCIENCE-Volume 54, No. 5, 1989
Table 1 - Comoarison of oredicted aualitv factor retentions with values obtained bv chemical analvsi9
Qualtiy
factor
Thiamin
Product
Pork puree
Pea puree
TR
F IC)
X0( 126.6)
260
280(137.8)
260
280
Chlorophyll Pea puree 240(115.6)
260
280
TI
F 1C)
71(21.7)
71
71
70(21 .l)
62c16.7)
70
50(10.0)
54(12.23
Heating a
time (cm21
(min) min)
20 0.1143
30 0.1143
20 0.1180
20 0.0925
45 0.0881
20 0.0918
20 0.0990
20 0.1005
k,
(min-)
0.0385
0.0385
0.084
0.021
0.0435
0.0145
0.033
0.063
mole)
26
26
26
24
24
22
22
22
% Quality factor retention
Predicted values
Measured L-T Oval-shaped
value Method Method
lb) (cl Id)
78.4 79.2 79.3
59.2 60.5 61.0
53.3 63.4 62.6
80.0 89.5 89.2
76.8 75.0 73.5
91.4 90.9 91.5
77.7 82.8 82.5
69.7 70.7 71.5
Betanin Beet puree 240 40 (4.4) 30 0.1054 0.0395 11 61.8 59.8 80.6
267(130.6) 40 31 0.1096 0.065 11 52.3 46.9 44.6
a Adapted from Lenz and Lund (1977)
b Average quality factor retention; products processed in 202 x 314 cans except beet puree which was processed in 307 x 306 cans; cooling temperature (TC) = 54F (pea and
beet puree), TC = 525F (pork puree). In all cases Tr = TR.
C Lenz and Lund (1977)
d Oval-shaped can method simulating a cylindrical container
e See text for definition of other variables
Table P-Mass average retention of thiamin as predicted by several computational methodsa
% Thiamin Retention
TR TI
F (C) F (C)
240(115.6) 40.0( 4.4)
250(121.1) 66.5(19.2)
2501121.1) 55.5i13.1)
Heating
time
(min)
ii
60
Measured
value
b)
94
87
66
Hayakawa Jen
(c) (4
91 94
84 89
60 61
Predicted values
Teixeira L-T Method
(9 (f)
92 91
86 83
61 56
Oval-shaped
Method
91
86
61
aAdapated from Len2 and Lund (1977)
b Product: pee puree; quality factor: thiamin
c Process conditions: 202x314 cans, TC = 54F. E. = 24 KcNg-mole, kzbr, = 0.0144 min-, u = 0.1077 cm2/min and T,=TR in all cases (Hayakawa, 1969)
d Jen et al. (1971)
eTeixeira et al. (1969)
r Lenz and Lund (1977)
order kinetics for estimations of microbial lethality and deg-
radation of a single quality factor, this program could be mod-
ified to consider several quality factors, each one with its own
kinetic model. In its current form the computer program was
rather slow for the desired accuracy level (approximately 3
min of computational time per minute of real process time,
Compiled Advanced Basic, IBM PC AT). Several strategies
are currently being explored to solve this difficulty. Compu-
tational speed is particularly important for on-line correction
of process deviations.
W&k)
2c
E;,,,
Ew
E(i)
Vi)
kc
k,, k2
km
NOMENCLATURE
= cell or quality factor concentration in vol-
ume element (i,j,k)
= height of the can
= activation energy (microbial
inactivation)
= activation energy (destruction of a quality
factor)
= proportionality factor (0 <E(i) < 1)
= proportionality factor (0 <F(j) < 1)
= rate constant = f(temperature)
= constants
= first-order rate constant for cell
destruction
= first-order rate constant for factor
destruction
= constants
= focal distance of the ellipse
= number of viable cells per unit
volume
= concentration of quality factor
(nutrient, color, etc.)
R
T
TC
TI
TR
X
Y
Z
a
li
6
E
radial distance
universal gas constant
time
temperature at any point at any time t
cooling temperature
initial temperature
retort temperature
major axis direction
minor axis direction
vertical direction
thermal diffusivity
a constant
retort temperature
temperature at the center of the oval can
can eccentricity
REFERENCES
AIlada, S. R. and Quon, D. 1966. A stable, explicit and numerical solution
of the conduction equation for multidimensional nonhomogeneous me-
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Almanacid, S. F. 1988. Perfil o timo de temperatura en esterilizacion com-
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ineeniero de alimentos. Escuela de Alimentos. Universidad Catolica de
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Clark, J. P. 1978. Mathematical modeling in sterilization processes. Food
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Dusinberre, G. M. 1959. Transient heat conduction in elliptical plates and
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Hayakawa, K. 1969. New parameters for calculating mass average steri-
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Hayakawa, K. 1978. A critical review of mathematical procedures for de-
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-Continued on page 1363
Volume 54, No. 5, 1989-JOURNAL OF FOOD SCIENCE- 1331