UNIVERSIDAD TCNICA FEDERICO SANTA MARA

DEPARTAMENTO DE INGENIERA QUMICA Y AMBIENTAL

INTRODUCTION TO
THERMAL PROCESSING OF
PACKAGED FOODS

Ricardo Simpson Rivera

Departamento de Ingeniera Qumica y Ambiental
Universidad Tcnica Federico Santa Mara

Octubre, 2013
 TABLES OF CONTENTS

INTRODUCTION ...................................................................................................................................... 1
BRIEF HISTORY ......................................................................................................................................... 1
CANNING FUNDAMENTALS ........................................................................................................................ 2
MICRO-ORGANISMS OF CONCERNS AND ITS HEAT RESISTANCE .................................................................... 5
RETORT OPERATION .................................................................................................................................. 8
PACKAGING MATERIALS ......................................................................................................................... 11
KINETICS OF MICROORGANISMS INACTIVATION ..................................................................... 20
BACKGROUND ........................................................................................................................................ 20
INACTIVATION KINETICS ......................................................................................................................... 20
HEAT TRANSFER CONCEPTS............................................................................................................. 26
INTRODUCTION ....................................................................................................................................... 26
HEAT TRANSFER MECHANISMS ............................................................................................................... 26
HEAT TRANSFER IN THERMAL PROCESSING .............................................................................................. 27
LATEST ADVANCES IN HEAT TRANSFER APPLICATIONS ON THERMAL PROCESSING ...................................... 32
STERILIZATION AND PASTEURIZATION CRITERION ................................................................. 38
STERILIZATION CRITERION ...................................................................................................................... 38
PASTEURIZATION CRITERION .................................................................................................................. 41
GENERAL METHOD ............................................................................................................................. 45
HISTORICAL PERSPECTIVE ....................................................................................................................... 45
PROCESS SAFETY: STATING THE PROBLEM TO BE SOLVED ......................................................................... 46
GENERAL METHOD CALCULATIONS ......................................................................................................... 47
ANALYSIS OF THE GENERAL METHOD ...................................................................................................... 53
FORMULA METHOD............................................................................................................................. 56
HISTORICAL PERSPECTIVE ....................................................................................................................... 56
DEVELOPMENT OF THE METHOD ............................................................................................................. 56
CALCULATIONS UTILIZING FORMULA METHOD ....................................................................................... 60
ANALYSIS OF THE FORMULA METHOD ..................................................................................................... 63
QUALITY EVALUATION ...................................................................................................................... 66
INTRODUCTION ....................................................................................................................................... 66
HISTORICAL PERSPECTIVE AND ANALYSIS ............................................................................................... 66
ORIGIN AND RATIONALE OF COOKING VALUE .......................................................................................... 67
QUALITY RETENTION. ............................................................................................................................. 69
QUALITY ESTIMATION: CALCULATION EXAMPLES ................................................................................... 70
HOW THE SEVERITY OF STERILIZATION CRITERION AFFECTS QUALITY. ...................................................... 73
PROCESSING AND ENGINEERING ASPECTS OF THERMAL PROCESSING .............................. 78
INTRODUCTION ....................................................................................................................................... 78
BATCH PROCESSING ................................................................................................................................ 79
BATCH PROCESSING PROBLEM STRUCTURE IN CANNED FOODS ................................................................. 79
BATCH PROCESSING IN CANNED FOOD PLANTS. ........................................................................................ 80
THE HIERARCHICAL APPROACH .............................................................................................................. 81
RETORT SCHEDULING ............................................................................................................................. 81
INDUSTRIAL THERMAL PROCESSING EQUIPMENTS .................................................................. 88
INTRODUCTION ....................................................................................................................................... 88
BRIEF EQUIPMENT DESCRIPTION ............................................................................................................. 88
GENERAL GUIDELINES FOR RETORT SELECTION ....................................................................................... 90
CONTROL SYSTEMS ................................................................................................................................. 90
PLANT AUTOMATION .............................................................................................................................. 91
1. - INTRODUCTION

Goal: When you have finished this lesson you will understand:
- The principles of canning.

And, you will learn:

- Briefly the history of canned products.
- Who was the first person to understand the principles of canning?
- Which are the micro-organisms of concerns and its heat resistance?
- What is botulism
- What are the main characteristics of Clostridium botulinum
- How foods are classified depending on its pH.
- What is the shelf life of sterilized products?
- What are the typical steps of an industrial sterilization process?
- What are the typical packaged materials used for sterilized products.

1.1 Brief history

The process was invented in France in 1795 by Nicholas Appert, a chef who was
determined to win the prize of 12,000 francs offered by Napoleon for a way to prevent military
food supplies from spoiling. Appert canned meats and vegetables in jars sealed with pitch and by
1804 opened his first vacuum-packing plant. It was a French military secret that soon leaked
across the English Channel (http://www.delmonte.com/news/cans1/body.htm).
In 1810, an Englishman, Peter Durand, took the process one step farther and developed a
method of sealing food into unbreakable tin containers, which was perfected by Bryan Dorkin
and John Hall, who set up the first commercial canning factory in England in 1813
(http://www.martinmathew.co.uk/canning.htm).
More than 50 years later, Louis Pasteur provided the explanation for canings
effectiveness when he was able to demonstrate that the growth of micro-organisms is the cause of
food spoilage.
A number of inventions and improvements followed, and by the 1860's, the time it took to
process food in a can had been reduced from six hours to 30 minutes. Canned foods were soon
commonplace. Tin-coated steel, semi-rigid plastic containers and flexible retortable pouches are
used today (adapted from http://www.delmonte.com/news/cans1/body.htm).
The basic principles of canning have not changed dramatically since Nicholas Appert and
Peter Durand developed the process. Heat sufficient to destroy micro-organisms is applied to
foods packed into sealed or "airtight" containers.
Botulism accounts for less than one of every 400 cases of food poisoning in the U.S., but
two factors make it very important. First, it has caused death in approximately 30 percent of the
cases; and secondly, it occurs mostly in home-canned foods. In 1975, for example, 18 or 19
confirmed cases of botulism were caused by home-processed foods, and the other was caused by
a commercial product that was mishandled in the home. Clostridium botulinum can exist as a
heat-resistant spore, and can grow and produce a neurotoxin in under processed, home-canned
foods. An affected food may show signs of spoilage such as a bulging can or an off-odor. This is
not true in all cases(http://aggie-horticulture.tamu.edu/extension/poison.html)

1
 Coming to these days, according to Teixeira et al., 2006 the dearth of bad news is no
accident; it is a success story At the top of the credit for this recent success story is the Food
and Drug Administration, for the leading role it has played (and continues to play) in its
regulatory responsibility for the safety of commercially processed foods...

1.2 Canning fundamentals

The sterilization of canned foods has a long tradition and it is most likely that it will
continue to be popular due to its convenience, it has an extended shelf life (1 to 4 years at
ambient temperature) and for being economic. See Figure 1.1 for a general simplified flow
diagram for a canning plant (Adapted from Holdsworth, 1997).
Figure 1.1: General simplified flow diagram for a canning plant.

Commercial sterilization in discontinuous retorts has been the most utilized procedure in
canned plants from fish to agricultural foods during the last 75 years, and even though it has,
sometimes, been replaced by continuous sterilization, the low versatility of these systems, when

using different sizes, package geometries or types of products, as the elevated installation costs,
make discontinues or batch retorts to have a very frequent utilization nowadays.
The traditional operation in this type of systems is achieved in several steps (stages)
denominated venting, heating and cooling (Figure 1.2). Table 1.1 presents a general procedure for
static retorts and its key check point list.

2
Table 1.1 The five stages of retorting a/ and key point checklist (from
http://www.fao.org/DOCREP/003/T0007E/T0007E04.HTM#3.6%20Retorting )
Stage Checklist
1. Preparation and Is the retort drained?
loading:
Are all containers removed?
Are air and water injects closed?
Are cans loaded and the process commenced within one hour of filling?
Are heat Sensitive indicators attached to retort baskets?
2. Venting: Is all the air removed?
Does indicating thermometer register retort temperature of > 103 C?
3. Come-up: Is it > 10 min for fully laden retort?
4. Processing: Is retort at scheduled operating; temperature for the scheduled process time?
Is process timing, commenced when retort reaches operating temperature?
If there are any deviations from the scheduled process are containers from the batch
isolated?
Is there agreement between scheduled process time and thermograph record of process
tittle?
Are bleeders open during the process?
Is condensate drain open and operating?
5. Cooling: Is steam removed from retort before cooling water enters?
Does the cooling water fill the retort within 10 min?
Is the retort pressure cooled to prevent cans peaking?
Is the pressure cooling controlled to prevent panelling?
Is the cooling water of suitable micro-biological quality? b/
Is cooling water chlorinated so that there is a detectable level of free available chlorine at
the completion of cooling?
Are cans rapidly cooled to centre temperatures > 40 C?
Are there procedures to preclude manual handing; of wet containers?
a/ These guidelines are based on the operation of a static batch retort in which heating is with saturated steam and
cooling is with an over-riding air pressure
b/ As a guide, suitable retort cooling water win have no detectable coliforms in 100 ml samples taken monthly, and
have a total aerobic colony count of < 100 organisms/ml for samples taken weekly

The target of this thermal process is the inactivation, by effect of the heat, of possible
spores or micro-organisms present in the product. For this the system maintains, through
saturated vapor, at working temperature (104 130 C) for specified time with the means to
guarantee commercial sterilization (heating stage or holding time).

3
 TRT T F
130 15

120 14
13
110
12
100
11
90
10
Temperature, C

80 9

F, min
70 8

60 7

50 6
5
40
4
30
3
20
2
10 1
0 0
0 10 20 30 40 50 60 70 80 90
time, min

Figure 1.2. Typical retort process showing the three steps: Venting (Come up time), Holding
time, and Cooling.

It is important to stand out that the inactivation level or sterilization, defined by the
microbial lethality, is the variable that finally defines, a determined temperature or for a given
temperature profile, the time of the thermal process.
Normally the systems cool down with water or ambient temperature, being necessary
during this cycle, air injection to avoid sudden pressure drops and preventing by this mean
deformation (breakdown) of the cans (packages).
The calculation of thermal process resides on Bigelows and his collaborators state of the
art studies (the well known general method) and Ollin Ball (formula method). For totally
historical reasons, the formula method, being more imprecise than the general method, is the one
that has been consistently used for the calculation of thermal process. Even, when throughout the
years this method formula method- has experienced a series of modifications which enhance the
calculations (Ball et al, 1928; Stumbo, 1973; Hayakawa, 1971; Pham, 1987; Pham, 1990). But it
still, with all these modifications, is less precise than the general method. One of the fundamental
reasons for the extended use of the formula method resides on its considerable versatility when
compared with the general method. The formula method allows an easy recalculation of the
process in different operating conditions (Process temperature (TRT), initial temperature (IT),
etc.). Most scientists agree (Pham, 1987; Simpson et al, 2003) that the general method is more
precise and according to these studies the greater precision found in the general method is
reflected on the fact that the calculation times for this method when compared with the formula
method are shorter in approximately 15 to 25% (Spinak and Wiley, 1982; Simpson et al, 2003).
This is of great importance due to the implication that there is when considering plants
production capacity, final quality of the product and energy savings.
It is true that a process as the one described in the prior paragraphs (constant retort
temperature, CRT) is the one that is utilized in the industry for the pre-determined time. Recent
publications (Banga et al., 1991; Almonacid et al, 1993; Noronha et al, 1993; Durance et al,
1997; Simpson et al, 2004) aim to the fact that variable retort temperature profiles (VRT) which
optimize the products quality in terms of a maximum nutrients retention in the product as on its
4
surface, or most importantly minimizing the process time and energy consumption. The practical
utilization of these variable temperature profiles is currently an area of study and research. On the
other side, the practical implementation of these variable temperature profiles is totally connected
to automation and control of the commercial sterilization process.

1.3 Micro-organisms of concerns and its heat resistance

The main goal of a well designed sterilization process is to inactivate micro-organisms

that cause spoilage and, in addition, specially the ones that cause food poisoning. This is the main
reason to characterize the heat resistance of micro-organisms in order to safely design the
sterilization step. The goal will be to determine what is the required operating conditions (time-
temperature) to achieve (guarantee) the pre-established sterilization criterion.
In Table 1.2 some typical micro-organisms heat resistance data are shown.
One of the main factors that affect microorganisms heat resistance is pH. According to
the pH it is possible to classify food products in three groups as follow:
Low acid products: pH 4.6
Medium acid products: 3.7 pH 4.6
Acid products: pH 3.7

Table 1.2 Some typical microorganisms heat resistance data

Organism Conditions for inactivation

Vegetative cells 10 min at 80C
Yeast ascospores 5 min at 60C
Fungi 3060 min at 88C
Thermophilic organisms
Bacillus stearothermophilus 4 min at 121.1C
Clostridium thermosaccharolyticum 34 min at 121.1C
Mesophilic organisms
Clostridium botulinum spores 3 min at 121.1C
Clostridium botulinum toxins Types A & B 0.11 min at 121.1C
Clostridium sporogenes 1.5 min at 121.1C
Bacillus subtilis 0.6 min at 121.1C

Table 1.3 shows the pH range of various products. According to table 1.3, fish, meat,
vegetables (other than fruits), and dairy products fall in the low acid products. This fact is really
important because microorganisms heat resistance is greater at this pH range (pH 4.6). On the
other hand, fruits, juices and most soups are medium acid or acid products and require a much
softer heat treatment to achieve the sterilization criterion.

Clostridium botulinum is the microorganisms of biggest concern for low acid foods (pH
4.6) and has been studied with detail and well characterized. Clostridium botulinum is capable
to produce 7 toxins (neurotoxins), but toxins A, B, E and F are the ones that produce the lethal
botulism illness. The symptoms of botulism illness are: ingestion difficulties, difficulties to
speak, progressive weakness, paralysis, vomiting, abdominal pain, breathe problems, and
normally without the presence of fever. Symptoms will appear within 36 h. Clostridium
botulinum is a strict anaerobias microorganisms (Gram +), rod that produce endospores (spores)
that can survive in very severe environmental conditions. Typical habitat is terrestrial and marine
environment. The spores are heat-resistant and can survive in foods that are incorrectly or

5
 minimally processed.
The toxin is heat labile and can be destroyed if heated at 80C for 10 minutes or longer.
The incidence of the disease is low, but the disease is of considerable concern because of its high
mortality rate if not treated immediately and properly. Most of the 10 to 30 outbreaks that are
reported annually in the United States are associated with inadequately processed, home-canned
foods, but occasionally commercially produced foods have been involved in outbreaks. Sausages,
meat products, canned vegetables and seafood products have been the most frequent vehicles for
human botulism.(from FDA: http://www.cfsan.fda.gov/~mow/chap2.html ))

Table 1.3 Range of pH values for various foods

Product 2.0 2.5 3.0 3.5 4.0 4.5 5.0 5.5 6.0 6.5 7.0
Fish:
Oysters
Tuna
Whitefish
Shellfish
Salmon
Clams
Fish
Shrimps
Crab

Meat:
Beef
Ham
Veal
Chicken

Dairy produce:
Butter milk
Cheddar cheese
Butter
Milk
Cream

Soups:
Bean
Beef broth
Chicken noodle
Duck
Mushroom
Pea
Tomato
Vegetable

Juices:
Apple

6
Cranberry
Grapefruit
Lemon
Lime
Orange
Pineapple
Tomato
Carrot
Vegetable
Vinegar

Table 1.3 Continued

Product 2.0 2.5 3.0 3.5 4.0 4.5 5.0 5.5 6.0 6.5 7.0
Fruit:
Limes
Loganberries
Plums
Gooseberries
Apples
Blackberries
Damsons
Raspberries
Blackcurrants
Greengages
Rhubarb
Grapefruit
Cherries, acid
Strawberries
Apricots
Olives
Prunes
Peaches
Fruit salad
Pineapples
Cherries, sweet
Grapes
Mangoes
Pears
Conference pears
Bananas
Tomatoes

Vegetables:
Sugar beet
Carrots
Pumpkin

7
Celery
Beetroot
Beans/tomato sauce
Turnip
Water melon
Runner beans
Cauliflower
Mixed vegetables
Potatoes
Spinach
Butter beans
Asparagus
Garden peas
Processed peas
Brussells sprouts
Broccoli
Honeydew melon

1.4 Retort operation

Batch processing in food canneries consists of loading and unloading individual batch
retorts with baskets or crates of food containers that have been filled and sealed just prior to the
retorting operation. Each retort process cycle begins with purging of all the atmospheric air from
the retort (venting) with inflow of steam at maximum flow rate, and then bringing the retort up to
operating pressure/temperature, at which time the flow rate of steam falls off dramatically to the
relatively low level required to maintain process temperature. The retort is then held at the
process temperature for the length of time calculated to achieve the target lethality (Fo value)
specified for the product. At the end of this process time, steam to the retort is shut off and
cooling water is introduced to accomplish the cool down process, after which the retort can be
opened and unloaded.
One of the factors that should be considered to decide retort scheduling is the energy
demand profile during sterilization processing (Almonacid et al., 1993). In batch retort
operations, maximum energy demand occurs only during the first few minutes of the process
cycle to accomplish the high steam flow venting step. Very little steam is needed thereafter to
compensate for the bleeder (and convection and radiation losses) in maintaining process
temperature (Bhowmik et al., 1985; Barreiro et al., 1984). A typical representation of the energy
demand profile during one cycle of a retort sterilization process is shown in Figure 1.3. As
shown, at the initial stage of the process a high peak of energy consumption occurs (venting
before reaching the retort temperature), later decreasing dramatically, and finally reaching a low
and constant value (convection, radiation and bleeder). Thus, the energy demand for the whole
plant will be conditioned upon this acute venting demand in the sterilization process of each
retort operating cycle. To minimize the boiler capacity and maximize energy utilization, it is
necessary to determine adequate scheduling for each individual retort.

8
Figure 1.3: Process temperatures and transient steam consumption profiles for insulated and non-
insulated retort.

Likewise, peak labor demand occurs only during loading and unloading operations, and is
not required during the holding time at processing temperature. Therefore, a labor demand profile
would have a similar pattern to the energy demand profile. In order to minimize this peak energy
and labor demands the retort must operate in a staggered schedule so that no more than one retort
is venting at any one time, nor being loaded or unloaded at any one time. When a battery consists
of the optimum number of retorts for one labor crew, the workers will be constantly loading and
unloading a retort throughout the workday, and each retort will be venting in-turn one at a time.
Under these optimum circumstances, unprocessed product will flow into and processed product
will flow out of the retort battery system as though it were a continuous system as shown in
Figure 1.4, while the energy profile will appear as in Figure 1.5.

9
 1

.
Q .
Q

Can/min . Can/min

NA

Sterilization Step

Figure 1.4: Diagram for operation of a battery with optimum number (NA) of retorts such that the
cook room system operates with continuous inflow and outflow of product.

Figure 1.5: Energy demand profile from retort battery operating with optimum number of retorts
and venting scheduling.

10
1.5 Packaging materials (Holdsworth 2nd edition)
The packaging material and its ability to prevent recontamination (integrity) are of
paramount importance to the canning industry. A large number of spoilage incidents have been
attributed to leaked spoilage, subsequent to processing, due to incorrect sealing or the use of
unchlorinated cooling water for cooling the cans. The use of the double-seaming technique and
can lid lining compounds has been effective in reducing leaked spoilage.

1.5.1 Metal containers

Cylindrical cans made of metal are the most widely used and in the highest production
world-wide. Containers made of tin-plated steel are widely used, although lacquered tin-free
steels are gradually replacing them. Aluminum cans, and also thin steel cans, with easily opened
ends, are widely used for beer and beverage packing. The standard hermetically sealable can,
also known as a sanitary can in some countries, has various geometries and consists of a flanged
body with one or two seamable ends. In the three-piece version one of the ends is usually, but not
always, seamed to the body and the other is seamed after filling. In the two-piece version,
steadily increasing in use, the body is punched out or drawn in such a way that only one flange
and lid are necessary. Cans are usually internally lacquered to prevent corrosion of the body and
metal pick-up in the products.
Full details of the fabrication of containers are given in Rees & Bettison (1991) and
Footitt & Lewis (1995). Some typical container sizes are given in Tables 1.4, 1.5 and 1.6.

1.5.2 Metal containers

Recent developments have been involved in reducing the amount of material used in the
can manufacture including the necked-in can. This has the advantage of preventing seam-to-seam
contact during storage and handling and has cost saving benefits. New can seam design, e.g., the
Euroseam and the Kramer seam, which reduce the seam dimensions, especially the length, have
been reported (Anon 1994). There is also interest in the design of easy-open ends, especially
made of less rigid material. e.g., foil seals (Montanari 1995).Two examples, are the Impress Easy
Peel lid, (Isensee, 2004) and the Abre-Facil produced by Rojek of Brazil. The latter is a
vacuum seal like a closure for a glass jar. May (2004).

1.5.3 Glass containers

Glass jars are also widely used for packing foods and beverages. They have the
advantages of very low interaction with the contents and visibility of the product. However, they
require more careful processing, usually in pressurized hot water, and handling. Various types of
seal are available including venting and non-venting types, in sizes from 30 to 110 mm diameter,
and made of either tin or tin-free steel. It is essential to use the correct overpressure during the
retorting to prevent the lid being distorted, and also to preheat the jars prior to processing to
prevent shock breakage.

1.5.4 Rigid Plastic containers

The main requirement for a plastic material is that it will withstand the rigors of the
heating and cooling process. Again it is necessary to control the overpressure correctly, to
maintain a balance between the internal pressure developed during processing and the pressure
of the heating system. The main plastic materials used for heat processed foods are
polypropylene and polyethylene tetraphthalate. These are usually fabricated with an oxygen
barrier layer, e.g. ethylvinylalcohol, polyvinylidene chloride, and polyamide. These multilayer
11
materials are used to manufacture flexible pouches and semi-rigid containers. The current
interest is mainly in the latter, which are used to pack microwavable products. This will be an
area of rapid expansion during the next few decades, and thermally processed products,
especially ready meals, will have to compete with their chilled and frozen counterparts.
More recent developments have been: (i) a cylindrical container which has a
polypropylene (PP) /aluminum laminate body with moulded ends which are welded together,
Letpak Akerlund & Rausing, (ii) ethylene vinyl alcohol (EVOH) oxygen barrier laminate with
double-seamed ends, Omni Can Nacanco, (iii) a bowl shaped plastic container with a double-
seamed metal easy-open lid, Lunch bowl Heinz, (iv) a clear plastic can with double-seamed
end, StepcanMetal Box , (v) laminated polypropylene (PP)/ ethylene vinyl alcohol (EVOH)
bottles with foil laminated caps. and polyvinylidene chloride(PVC)/polypropylene(PP)
containers, both with a shelf-life of approximately 12 months, & (iv) polyethylene terephthalate
(PTFE) bottles, which can be hot filled up to 92C or pasteurized up to 75C (May 2004).

Table 1.4 A guide to UK & US can sizes (1995 revised 2005)

a
Imperial size (in)
b
Metric size (mm) Gross liquid volume Common name
(ml)
Cylindrical cans
202 108 52 38 70 70 g tomato paste
202 213 52 72 140 Baby food
202 308 52 90 180 6Z (US) or Jitney
202 314 52 98 192 6 oz juice
202 504 52 134 250 25 cl juice
211 202 65 53 155 5 oz
211 205 65 58 175 6 oz milk
211300 65 100 234 8Z Short (US)
211 301 6577 235 Buffet or 8 oz picnic
211304 6581 256 8Z Tall (US)
211400 65100 323 No.1 Picnic (US)
211 400 65 101 315 Al10oz
211 414 65 124 400 Al tall 14 oz
No.211Cylinder (US)
300 108 73 38 125
300 201 73 515 185
300 204.5 73 57.5 213 Nominal 14 kg
300 207 73 61 230 8T U8
300 213 73 71 260 250 g margarine
1 73 82 310 400 g (14 oz) SCM
300 303
2
300 401 73 103 405 14Z (E1)
300 405 73 110 425 Nominal 12 kg
300 407 73 113 449 No. 300 (US)
3 73 115 445 UT
300 408
4
300 410 73 118 454 16 oz
300509 73146 572 No. 300 Cylinder (US)

12
 300 604 73 158 630
301 407c 74 113 440
301 409 74 116 459 No. 1 Tall (UK)
301411 74118 493 No. 1 Tall (US)
303406 74113 498 No. 303 (US)
303 509 74141 645 No.303Cylinder (US)

307 113 83 46 215 7 oz

307 201 8352 235

307306 8382 434 No. 2 Vacuum (US)
307 403 83 106 540
307 408 83 114 580 A2
307409 83115 606 No. 2 (US)
307510 63142 761 Jumbo (US)
307512 63144 780 No.2Cylinder (US)
401 200 99 51 325
401206 9960 190 No. 1.25 (US)

401 210 99 66 445

401 212 99 69 475 1 lb flat
401 407 99 113 815
401 411 99 119 880 A 2 12 /nominal kilo
No. 2.5. (US)
401 509 99 141 1025 Litre
401 609 99 166 1215 Quart (US)
401 711 99 195 1430
404307 10488 571 No. 3 Vacuum (US)
404 700 104 177 1455 A3 (UK)
404 700 104 177 1525 No. 3 Cylinder (US)
502510 127140 1996 No. 5 (US)
502 612 127 172 2040 Milk powder

602700 151178 3709 No. 10 (US)

603 304 153 83 1335 3 lb
603 402 153 105 1755
603 600 153 152 2630 A6
603 700 153 178 3110 A10
603 910 153 245 4500 Nominal 5 kg
606 509c 159 141 2570 6 lb tongue
Rectangular cans
312 115 309 93 47 91 345 12 oz rect. (PLM)
301 205 311 74 56 93 345 12 oz corned beef
Beverage cans/beer cans
(necked in)
200/202 308 50/52 88 150 15 cl
200/202 504 50/52 134 250 25 cl
209/211 315 63/65 100 275 10 fl oz
209/211 409 63/65 115 330 12 fl oz

13
209/211 514 63/65 149 440 16 fl oz
209/211 610 63/65 168 500 1
2
litre
(a) External diameter height. Imperial sizes are quoted with three digits and a possible following fraction: the first
refers to whole inches and the rest to sixteenths of an inch. For example, 211 means 2 16 11
in , while 408 34
means 4 8.75 35
16 = 4 64 in
.
(b) Internal diameter height.
(c) Non-ISO standard.

Sources: A.I.D. Packaging Services (UK) Ltd, Worcester, Carnaud MB, Wantage, & Can Manufacturers Institute
U.S.A. (US)

Table 1.5 A guide to some European can sizes

a
Metric size (mm) Gross liquid volume (ml) Common name
55 67.8 142 1/6 haute
86 35.5 170 1/5
65 71.8 212
83 57 283 1/3
65 100.1 314 3/8
71.5 115.5 425 1/2 haute
73 109.5 425 1/2 haute dia. 73
99 118.2 850 1/1 dia. 99
100 118.5 850 1/1
100 225 1700 2/1
153 151 2550 3/1
153 246 4250 5/1
a
Internal diameter height. Source: Institute Appert, Paris.

Table 1.6 A guide to some European large rectangular can sizes for meat productsa
______________________________________________________________________
Size (mm) Description
________________________________________________________________________
105 169 323 12 lb oblong
103 164 305 12 lb oblong LANGEN
95 105 318 Ham mould
105 82 400 Ham mold (long)
115 115 545 16 lb Pullman
115 115 385 11 lb Pullman
100 100 400 8 lb Pullman
100 100 303 6 lb Pullman
100 100 207 4 lb Pullman
(a) source: Eszes & Rajk, (2004).

1.5.5 Retortable pouches

The retortable pouch is a flexible laminated pouch that can withstand thermal processing
temperatures and combines the advantages of the metal can and plastic packages. These consist
of laminated materials which provide an oxygen barrier as well as a moisture barrier. Flexible

14
retortable pouches are a unique alternative packaging method for sterile shelf-stable products.
Recently, important US companies have commercially succeeded with several products.
Pouches may be either pre-made or formed from rolls-stock, the more attractive price
alternative. Alternately, pre-made permits an increased line speed over that of roll-stock and
mechanical issues of converting roll-stock to pouches at the food plant disappear (Blakiestone
2003).
A typical four ply pouch would have an outer layer of polyethylene terephthalate (PTFE)
for heat resistance |aluminum foil for oxygen/light barrier | biaxial orientated nylon for
resilience | and an inner cast poly-propylene for pack sealing. Each layer has an adhesive in
between it and the next layer. Clear pouches are also made by using a silicate SiOx layer instead
of aluminum foil and these may be reheated using microwaves. Some typical thicknesses for high
barrier pouch laminate films are PTFE 12-23 m, aluminum 9-45m, SiOx , (Ceramis - Alcan)
0.1 m, & o-polyamide 15-25m, with sealants either polyethylene or polypropylene, 50-150m.
There is considerable interest at the present time in the possible use of liquid crystal polymers,
which have superior oxygen and water vapor barrier properties compared with other polymer
films (Taylor 2004).
Various types of pouch geometry are available, e.g., (a) Pillow pouch consisting of a
rectangular shaped container with one-side left open for filling and subsequent sealing. These
are usually distributed in cardboard boxes for outer covers. These have been manufactured and
successfully marketed b in Japan, e.g. Toyo Seikan, Yokohama, for many years. Apart from
products for military purposes, the development and acceptance of this type of product has been
much slower, and (b) Gusset pouch, which is similar to the above but, has a bottom on which the
container can stand.
The most important feature of these packages is to produce a contamination free seal,
which will maintain the shelf-life of the product. The filling and sealing are therefore a slow
process if an effective seal is to be achieved. Various tests are used to assess the integrity of the
seal (i) a bursting test by injecting gas under pressure, (ii) seal thickness measurements and (iii)
seal strength tests. Pouches are usually sterilized in over-pressure retorts.
A retortable plastic laminated box Tetra-Recart has been developed and marketed by
Tetra Pack. (Bergman 2004) This is a more heat resistant carton compared with the companys
aseptic packs, and the filled and sealed cartons are processed at temperatures up to 130C for up
to 3 hours, in over-pressure retorts. A number of commercial products have been presented in
this pack, including in-pack sterilized vegetables and hot-filled tomato products and a range of
sauces.
Retorts used in processing pouches can be batch or continuous, agitating or non-
agitating, and they require air or steam overpressure to control pouch integrity (Blakiestone
2003).
Retortable pouches have several advantages over traditional cans. Slender pouches are
more easily disposed of than comparatively bulky cans. Shipping them is easier. In addition, the
fresher retortable pouch product obviously received significantly less heat to achieve
commercial sterility. Furthermore, cooking time, is about half that of traditional cans, resulting
in tremendous energy savings. Now that retort pouches of low-acid solid foods appear to have
attained some commercial acceptance and recognition of superior quality and more convenient
packaging, the expectation is that other heat-sterilized foods will appear in pouches, creating a
new segment within the canned foods category (Brody 2003).

15
 QUIZ

1. - Why it is said that canning was an invention instead of a discovery?

a) Indeed it was a discovery b) Because it is not a process found in nature c) Because was
done by a French chef.

2. - Who invented the process of canned foods?

a) Peter Durand b) Louis Pasteur c) Napoleon d) Nicholas Appert

3. - Who was the first person to give a scientific explanation for the effectiveness of canning
process?

a) Nicholas Appert b) Peter Durand c) Louis Pasteur c) Ollin Ball

4. - What is the shelf life of a canned product?

a) 1 month b) 6 months c) 1 to 4 years d) Indefinite

5. - According to the pH foods are classified as:

a) Alkaline and Acid b) Acid and Low acid c) Acid, Medium acid, and Low acid

6. - Put in the right order from less to most resistant:

a) Vegetative cells, Fungi, Thermophillic organisms b) Fungi, Vegetative cells,

Thermophillic organisms c) Thermophillic organisms, Fungi, Vegetative cells

7. - What are the toxics neurotoxins produced by Clostridium botulinum?

a) A, B, and C b) A, B, D, and F c) A, B, C, and D d) A, B, E, and F

8. - The main symptom of botulism is fever

TRUE FALSE

16
9. - How many stages have the traditional operation of a retort operation?

a) 2 b) 3 c) 4 d) 5

10. - A typical operating temperature in a retort is?

a) 90C b) 150C c) 120C d) 200C

11. - Why during the cooling cycle it is necessary the air injection?

a) Really it is not necessary b) To speed-up the cooling process c) To avoid sudden pressure
drops and prevent package breakdown.

12. - Which is the most common method used for process evaluation?

a) Hayakawas method b) General Method c) Formula method

13. - Normally the processing time of a retortable pouch is:

a) Similar to canned foods b) Half of canned foods c) Double of canned foods

17
REFERENCES

Almonacid-Merino, S.F., Simpson, R., and Torres, J.A. (1993). Time-Variable retort temperature
profiles for cylindrical cans: batch process time, energy consumption, and quality retention
model. J. Food Process Eng. 16, 271-287.

Anon. (1994). Microseam goes worldwide. The Canmaker, 7 November, 21.

Ball, C.O. (1928). Mathematical solution of problems on thermal processing of canned food.
Univ. California Pub. In Publoc Health, 1 (2), 145-245.

Banga, J.R., Prez-Martn, R.I., Gallardo, J.M. y Casares, J.J. (1991). Optimization of the thermal
processing of conduction-heated canned foods: Study of several objective functions. J. Food Eng.
14, 25-51.

Barreiro, J., Perez, C. and Guariguata, C. (1984). Optimization of Energy Consumption During
the heat Processing Of Canned Foods. J. of Food Eng. (3): 27-37.

Bergman, O. (2004). Tetra RECART. In G. S. Tucker (Ed.), Third International Symposium

Thermal Processing Process and Package innovation for convenience foods. Session 1:3.
Chipping Campden UK: Campden & Chorleywood Food Research Association.

Bhowmik, S. R., Vischenevetsky, R. and Hayakawa, K. (1985). Mathematical Model to Estimate

Steam Consumption in Vertical still Retort for Thermal Processing of Canned Foods.
Lebensmittel Wissenschaft und Teechnologie, 18, 15-23.

Blakiestone, B. (2003). Retortable Pouches. Encyclopedia of Agricultural, Food, and Biological

Engineering. Marcel Dekker. USA.

Brody, A. (2002). Food canning in the 21st Century. Food Technol., 56, 75-79.
Durance, T.D. (1997). Improving canned food quality whit variable retort temperature processes.
Trends in Food Science & Technology 8, 113-118.

Footitt, R. J. & Lewis, A. A. (Eds.), (1995) The canning of fish and meat. Glasgow: Blackie
Academic and Professional.

Hayakawa, K. (1971). Estimating food temperatures during various processing or handling

treatments. J Food Sci., 36, 378-385.

Isensee, T. (2004), Peelable ends market trends. In G. S. Tucker (Ed.), Third International
symposium thermal processing Process and package innovation for convenience foods (Session
1:4). Chipping Campden UK: Campden & Chorleywood Food Research Association.

Montanari, A., Marmirolig, G., Pezzanni, A., Cassara, A., & LupuI, R. (1995). Easy open ends
for food and beverage cans: Definition, manufacture, coating and related problems. Industria
Conserve, 70, 410-16.

18
May, N. (2004). Developments in packaging formats for retort processing. In P. Richardson
(Ed.), Improving the thermal processing of foods (pp.138-151). Cambridge: Woodhead
Publishing.

Noronha, J., Hendrix, M., Suys, J and Tobback, P. (1993). Optimization of surface quality
retention during the thermal processing of conduction heated foods using variable temperature
retort profiles. J. Food Process Preserv. 17, 75-91.

Pham, Q.T. (1987). Calculation of thermal process lethality for conduction-heated canned foods.
Food Sci., 52 (4), 967-974.

Pham, Q.T. (1990). Lethality calculation for thermal process with different heating and cooling
rates.Int. J. Food Sci. Technol., 25, 148-156.

Rees, J. A. G. & Bettison, J. (Eds.), (1991). The processing and packaging of heat preserved
foods. Glasgow, Blackie.

Simpson, R., Almonacid, S. And Teixeira, A. 2003. Bigelows general method revisited:
Development of a new calculation technique. J. of Food Sci. 68 (4): 1324-1333.

Simpson, R., Almonacid, S. and Mitchell, M. (2004). Mathematical Model Development,

Experimental Validation and Process Optimisation: Retortable Pouches Packed with Seafood of a
Frustum of a Cone Shape. J. of Food Eng. 63(2): 153-162.

Spinak, S.H., and Wiley, R.C. 1982. Comparisons of the general and Ball formula methods for
retort pouch process calculations. J. Food Sci. 47, 880-884, 888.

Stumbo, C.R. (1973). Thermobacteriology in Food Processing. 2 nd. Edition. Academic Press, Inc.
New York.

Taylor, M.. (2004). Innovations in retortable pouches. In G. S. Tucker (Ed.), Third international
symposium Thermal processing Process and package innovation for convenience foods.
(Session 1:2). Chipping Campden UK: Campden & Chorleywood Food Research Association.

Teixeira, A., Almonacid, S., and Simpson, R. 2006. Keeping Botulism out of Canned Foods.
Food Technology 60 (2): Back Page

19
2. - KINETICS OF MICROORGANISMS INACTIVATION.

Goal: When you have finished this lesson you will understand:
- The most common way to model inactivation kinetics of microorganisms.

And, you will learn:

- When a bacteria is dead.
- What is the kinetic order of bacterial inactivation?
- What is the decimal reduction time (D)?
- What are the typical values for thermal resistant microorganisms?
- What is the temperature relationship between D and temperature?
- What is the relationship between D and k?
- What is z?
- How is compared TDT model with Arrhenius model?

2.1 Background
To establish the time and temperature requirements for a safe thermal process, first, it is
necessary to characterize the heat resistance of microorganisms. A successful heat treatment will
inactivate not only microorganisms that can cause poisoning but also the ones that can spoilage
the food product. As we will analyze in a later chapter, thermal processing not only inactivates
microorganisms, in addition, has a detrimental effect on vitamins, color, texture and other quality
attributes. In chapter 8 (Quality evaluation in thermal processing) we will analyze, with some
detail, the correct balance between an excessive heat treatment and underprocessing.

Microbial death
According to bacteriologists a bacterium is dead when it has lost the ability to reproduce.
Experimental evidence shows that the number of viable bacteria reduces exponentially with time
when exposed to a constant temperature environment (lethal temperature). According to Rahn
(1945), From the earliest quantitative measurements by Chick (1910) to the extensive
investigations by Watkins and Winslow (1932), death of vegetative cells as well as death of
spores has been found to be logarithmic
In thermal processing of foods the main concern is with bacteria. Bacillus and
Clostridium are two of the most important genera because its species have the ability to form
endospores better known as spores. A spore (endospores) is a dormant structure produced by
bacteria but depending on the environmental conditions can germinate. A critical case for
thermal processing is Clostridium botulinum because, after spores germination, it can produce a
lethal toxin that causes botulism (see Chapter 1), which in most cases is fatal. In general, bacterial
spores are highly resistant to heat, where, Clostridium botulinum is particularly resistant.

2.2 Inactivation kinetics

The most common way to mathematically represent bacteria (spores) inactivation is by
using a first order kinetics. As was mentioned before, abundant scientific literature data support
the idea that bacterial heat inactivation can be expressed by equation (2.1):
dN
kN (2.1)
dt I

20
Where
N: Viable bacterial concentration (m.o/g)
k: Rate constant (1/min)
t: Time (min)
I: Inactivation

According to equation (2.1) the inactivation rate is proportional to the rate constant k and,
in addition, to the viable concentration (N) at any time t. To analyze bacterial inactivation is
necessarily first to define a system. Considering a closed system exposed to a lethal temperature,
we can write the following viable bacterial balance (survivors balance):
dN dN
(2.2)
dt I dt S

Where equation (2.2) indicates that the viable bacteria reduction within the system (decay
because of the lethal temperature effect) it is only due to bacterial inactivation. If we consider a
first order for bacterial inactivation, then, replacing it into equation (2.2), we obtain:

dN
kN (2.3)
dt S

Very important is to mention that equation (2.3) although mathematically similar to

equation (2.1), it is conceptually different. Meanwhile equation (2.1) indicates the inactivation
rate because of a lethal temperature, equation (2.3) indicates the microorganisms variation
within a defined system. The most common situation encountered in thermal processing is closed
systems (Tin cans, retortable pouches, rigid plastic containers, etc).
Separating variables and integrating equation (2.3) from N0 to Nf from time 0 to t, we
obtain:
dN
kdt (2.4)
N

Nf t

dN
N0
N
kdt
0
(2.5)

In the particular case of constant temperature, the rate constant (k) will be constant,
therefore:
Nf
ln kt (2.6)
N0

N f N0 e kt (2.7)

21
Decimal reduction time

Food technologists have defined and utilize the concept of decimal reduction time (D).
According to its definition decimal reduction time, means the microorganisms concentration
reduction by ten times. In other words to inactivate 90% of the microorganisms population.
Utilizing this definition we will derive a mathematical expression to relate rate constant (k) with
decimal reduction time (D). Starting from equation (2.4) and applying the definition of D, we
obtain:

dN
kdt
N

Integrating bacterial concentration from N0 to N0/10, and time from 0 to D, then:

N 0 / 10 D

dN
kdt (2.8)
N
N0 0

N 0 / 10
ln kD (2.9)
N0

Therefore: k ln 10
D or D
ln 10
(2.10)
k

Now we can do calculations for bacterial inactivation utilizing the D concept by replacing
it in equation (2.4), then:

dN ln 10
dt (2.11)
N D

Although a very useful and interesting relationship, equation (2.10) has the following
constraints:
It was derived for first order inactivation, and
Applicable to closed systems.

Temperature dependence of D

W.D. Bigelow and co-workers (Bigelow and Esty, 1920; Bigelow 1921) were the first to
coin the term thermal death rate in relation with the required time to totally destroy a bacterial
population. When the logarithm of D value is plotted against temperature a straight line is
observed, and is called thermal death time curve (see Figure 2.1). Mathematically the
following expression has been used:
T Tref
log D log Dref (2.12)
z

22
Or
Tref T
D Dref 10 z
(2.13)

Where
D: Decimal reduction time at temperature T (min).
Dref: Decimal reduction time at reference temperature Tref (min).
z: Temperature change necessary to vary TDT by one log cycle (C) (1), normally z = 10C =
18F for Clostridium botulinum.
T: Temperature (C).
Tref: Reference temperature (normally 250F for sterilization).
(1)
note that z is a temperature change (T), then to convert from C to F or vice versa it is
5 5
necessary to consider the following: C ( F 32 ) taking deltas C F then, for z
9 9
5
= 18F in C will be * 18 10
9

Figure 2.1 Thermal death time curve.

Comparison between TDT model and Arrhenius model

Svante Arrhenius (Arrhenius, 1889) wrote a key paper in 1889 discussing the kinetics of
the sucrose inversion. In this manuscript he proposed the well known model for the effect of
temperature in the rate constant k. The classical equation derived by Arrhenius is:

23
 Ea
ln k ln A (2.14)
RT
Or, the more classical version:
Ea

k Ae RT (2.15)
Or
Ea 1 1


R T Tref

k kr e (2.16)
Where
k: Rate constant (1/min)
kr: Rate constant at a reference temperature (1/min)
A: Pre exponential factor (1/min)
Ea: Activation energy (kJ/mol)
R: Molar gas constant
T: Temperature (K)
Tref: Reference temperature (K)
Firstly, TDT model and Arrhenius model are similar but not mathematically the same. In
addition, Arrhenius model has a theoretical derivation and, on the other hand, TDT model has an
empirical background. Although in Food Technology field TDT model is much more popular
than Arrhenius model, it is necessary to point out that Arrhenius model has a better degree of
correlation than TDT model.

Equivalence of TDT model and Arrhenius model

As was derived in equation (3.10), the relationship between D and k is:
k ln 10
D or D
ln 10
(2.10)
k

To find a relationship between z and Ea it is necessary to start with equations (2.13) and
(2.16) and do some algebra work, to reach:
2.303 RTTref
Ea (2.17)
z

Firstly, Ea and z do not depend on temperature (T), but strangely equation (2.17) does
include temperature. Although it is possible convert z values in Ea values and vice versa, it is not
recommended (for an in depth analysis see Nunes et al., 1993). As mentioned earlier TDT and
Arrhenius model are similar but not mathematically the same. Meanwhile in TDT model D is
proportional to temperature (-T) in Arrhenius model k is proportional to the inverse of
temperature (-1/T) (Holdsworth, 1997). This is the reason why for the apparent illogical result of
equation (3.17).
According to Holdsworth (1997) for the practical use of equation (2.17) you can utilize
equation (3.18) with a reference temperature in the range of 140 150C.
2
2.303 RTref
Ea (2.18)
z
24
 QUIZ

1. - An endospore is much less resistant than a vegetative cell

TRUE FALSE

2. - The two most important genera in relation to thermal processing are:

a) Bacillus and Pseudomonas b) Pseudomonas and Clostridium c) Clostridium and

Bacillus
3. - The most common kinetic order for the inactivation of Clostridium botulinum is:

a) 0 order b) 2nd order c) n order d) 1st order

4. - If a D value of Clostridium botulinum is 0.21 min at 250F, what will be the D value at
232F?

a) 0.021 min b) 21 min c) 2.1 min

5. - For a first order kinetics and constant lethal temperature the final concentration Nf will be:

a) Nf /N0 = -kt b) Nf /N0 = kt c) Nf /N0 = e-kt

6. - The bigger Ea the lower z

TRUE FALSE

25
3. HEAT TRANSFER CONCEPTS

Goal: When you have finished this lesson you will understand:
- The various modes of heat transfer and their roles on the thermal processing of foods. In
addition, you will be aware of the latest applications in thermal processing.
And, you will learn:
- What is heat transfer by convection?
- What is heat transfer by conduction?
- What is heat transfer by radiation?
- What is the concept of slowest heating point or cold spot?
- What are the kinds of heat transfer situations in thermal processing of foods?
- What are the latest advances in heat transfer applications to thermal processing?

3.1 Introduction
In very simple terms heat transfer is, mainly, involved with two things:
a) Temperature, and
b) Flow of heat
Where temperature reflects the amount of available energy and the flow of heat represents the
displacement of energy from one location to another due to a temperature difference.

3.2 Heat transfer mechanisms

There are three well known modes of heat transfer, convection, conduction and radiation. A brief
definition of each mechanism is given below.

Convection.
Convection is when the heat transfer mode is due to the motion and mixing of flows. The term
natural convection refers to case when motion and mixing of flows is caused by density
differences in different locations due to temperature gradients. The term forced convection refers
to the case when motion and mixing of flows is produced by an outside force, e.g. a pump. The
heat transfer rate by convection can be mathematically described by:
q hA( TS T ) (3.1)
Where
q: Heat transfer rate (W)
h: Local heat transfer coefficient (W/m2C)
A: Heat transfer area (m2)
TS : Temperature of the surroundings (C)
T: Temperature of the solids (C)

Conduction.
Heat transfer by conduction occurs when atoms and molecules collide and then transferring
kinetics energy. Conceptually, atoms are bonded to its neighbors and if energy is supply to one
part of the solids, atoms will vibrate and transfer its energy to their neighbors and so on. The heat
transfer rate by conduction can be mathematically described by Fouriers law:
dT
q kA (3.2)
dx

26
Where
k: Thermal conductivity of the solid material (W/mC)
T: Temperature of the solid material at position x (C)
x: Position (m)

Radiation.

Heat transfer by radiation is the exchange of thermal radiation energy between two or more
bodies. Thermal radiation can be defined as an electromagnetic radiation in the wavelength range
of 0.1 to 100 microns and is due to the temperature difference between two bodies. One of the
main differences between radiation and conduction/convection modes of heat transfer is that in
the case of radiation is it no need of a medium between the two bodies because the intermediaries
are photons which travel at the speed of light. The heat transfer rate by radiation can be
mathematically described by the Stephan-Boltzmann law:
q eA( T 4 Tc4 ) (3.3)

Where
e: Emissivity (1 for an ideal radiator)
: Stephan-Boltzmann constant
A: Heat transfer area (m2)
T: Temperature of the radiator (C)
Tc : Temperature of the surroundings (C)

3.3 Heat transfer in thermal processing

Figure 3.1 shows the main heat transfer mechanisms involved in the thermal processing of
canned foods. A similar situation will arise when processing retortable pouches, rigid plastic
containers, glass containers, etc.
Given that, theoretically, it is extremely difficult to develop a model for the prediction of
a time-temperature history inside the packaging material, from a practical point of view, a
satisfactory process will be determined at the slowest heating point (cold spot) within the
packaging material. The rule of thumb indicates that if the food is solid the slowest heating point
will be located at the mass center of the package. On the other hand, for liquids the rule of thumb
indicates that the slowest heating point will be located at 1/3 from bottom to top in a cylindrical
container. Of course the aforementioned information it is not sufficient in todays new packaging
development (e.g. retort pouches). According to our experience, in most cases, the slowest
heating point (cold spot) must be experimentally determined.

Mathematical modeling and its implications for process evaluation techniques

Most mathematical models for the prediction of time-temperatures histories in food
products at a given point normally need to assume one of the basic modes of heat transfer. Two
extreme cases have their own analytical solutions: a) perfect mixing of a liquid (forced
convection), and b) homogeneous solids (pure conduction). Most foods are an intermediate case,

27
and these extreme solutions would give a guideline for the usefulness of temperature-time
histories (profiles) developed here (see Figure 3.1).

Figure 3.1 Main heat transfer mechanisms involved in thermal processing of packaged food.

Heat Transfer Model for Perfect Mixing

For forced convection (agitated liquids), it is possible to assume that temperature inside the can is
uniformly distributed but time dependent. A transient energy balance, taking the container as a
system, gives:
.
(M E )SYSTEM
Q (3.4)
t
T
UA( TRT T ) MCp (4.5)
t

Provided that the cans inside temperature is uniformly distributed, T does also denote the cold
spot temperature (T = TC.P.). Using the initial condition as T = IT at t = 0, and T at time t > 0, the
integration of equation (4.5) renders:

TRT TC.P. UA
exp t (3.6)
TRT IT MCp

The dimensionless temperature ratio for forced convection (equation (3.6)) is dependent
on geometry, thermal properties and time. Therefore, the liquids aforementioned ratio must be
the same at different TRT and/or IT:

28
 TRT TC.P. TRT' T' C.P.
Cons tan t (3.7)
TRT IT TRT' IT'

Slow come-up time with perfect mixing

Equation (3.8) was derived from equation (3.5), solving an ordinary differential equation
and assuming a linear retort temperature profile (i.e. simulating temperature profile during come-
up time).

UA MCp MCp UA UA
TC .P . a 1 exp( t b t b exp t IT exp t (3.8)
MCp UA UA MCp MCp

where retort temperature is time dependent and expressed as: TRT (t ) a bt and equation (4.8)
is valid for: 0 < t CUT. For t > CUT, temperature T (or TC.P.) can be expressed by equation
(4.6) using an appropriate initial temperature (constant TRT).

Provided that fh is defined as ln10 x [MCp/UA] (Merson et al., 1978), equation (3.8) can be re-
arranged and expressed as:
fh fh t ln 10
T ( a bt ) b a b IT exp (3.9)
ln 10 ln 10 fh

Further working on equation (4.9) renders:

fh
T ( a bt ) b
ln 10 exp t ln 10 (3.10)
f fh
a b h IT
ln 10

From equation (3.10), the dimensionless temperature ratio can also be expressed as:

T ( a bt ) b fh T' ( a' b' t ) b' fh

ln 10 ln 10 Cons tan t (3.11)
IT a b fh IT' a' b' fh
ln 10 ln 10

Heat Transfer Model for Pure Conduction

Heat transfer for pure conduction is based on Fourier's equation, and can be written as:
T
Cp kT (3.12)
t
If thermal conductivity (k) is independent of temperature and the food material is assumed
isotropic, as it is for most foods at the sterilization temperature range, then equation (4.4)
becomes:

29
T
2T (3.13)
t
Although solutions for different geometries are not necessarily straightforward, in
general, for any geometry, the dimensionless temperature ratio for constant retort temperature can
be expressed as (Carslaw and Jaeger, 1959):

TRT TC.P.
f(initial temperatur e distributi on, geometry, thermal properties ,time) (3.14)
TRT IT

Meaning that if initial temperature distribution, geometry, product (thermal properties)

and time are maintained constant (just changing TRT and/or IT), then the dimensionless
temperature ratio of the solid must be the same at different TRT and/or IT:

TRT TC.P. TRT' T'C.P.

Cons tan t (3.7)
TRT IT TRT' IT'

It is important to point out that equation (3.14) is valid for constant retort temperature
(TRT), so is equation (3.7). A simplified analytical solution for homogeneous solids confined in a
finite cylinder is presented in equation (3.15) (Merson and others, 1978). This simplified solution
is only valid for long periods of time (after the initial lag period when Fourier number > 0.6), in
addition to assuming a Biot number over 40 (meaning that the external heat resistance is
negligible in comparison with the internal resistance).

2
TRT TC.P. 2.4048 2 k
2.0396 exp t (3.15)
TRT IT R 2 l Cp
2

Slow come-up time with conduction heating

Gillespy (1953) and Hayakawa (1974) have developed methods to determine center temperature
where the heating profile was time-dependent (e.g. linear or exponential). According to
Holdsworth (1997) the method is applicable to packs which have a slow come-up, e.g.
conduction heating products in flexible pouches or plastic containers. Gillespy (1953) developed
an equation for a slab of material being heated with a linear temperature gradient valid during
come-up time.
Hayakawa (1974) developed a similar expression for finite cylinders. Expressions for conduction
heating products of other geometries (e.g. parallelepiped) with a linear temperature gradient can
be found in Carslaw and Jaeger (1959) and Luikov (1968).
According to Carslaw and Jaeger (1959) and Luikov (1968) it is possible to find a dimensionless
temperature ratio equation suitable for a linear heating profile during come-up time in conductive
heating products.

30
Heat Transfer Model: A general approach

Although the heat transfer mechanisms are rather dissimilar, both models (pure
conduction and forced convection), within certain limitations, can be described by the same
mathematical expression that was presented by Ball (1923):

TRT IT
t f log j (3.16)
TRT T

TRT TA
Where: j
TRT IT

As was shown by Datta (1990), the latter expression is not only valid for finite cylinders, but also
for arbitrary shapes (rectangular, oval shape, etc.). The main limitations are that, for heat
conduction foods, it is only valid for heating times beyond the initial lag period (when Fourier
number > 0.6).

An interesting, practical and general conclusion that can be drawn from the heat transfer theory
presented here is that equation (3.7) remains independent of container geometry and heat transfer
mode (conduction or forced convection), and only requires constant retort temperature:

TRT TC.P. TRT' T' C.P.

Cons tan t (3.7)
TRT IT TRT' IT'

and for the cooling phase:

Tw TC.P. Tw' T' C.P.

Cons tan t (3.17)
Tw IT Tw' ITW '

Although equation (3.7) is only valid for constant retort temperature profiles, equation (3.11) has
shown that similar expressions for the dimensionless temperature ratio can be derived for the case
of slow come-up time (e.g. linear temperature rise during come-up time for forced convection
heating products).

Even though equation (3.11) was derived for situations in which forced convection is the
dominant heating way, -so as to use a single equation for data transformation-, this one will
also be used on products in which the ruling heating mechanism is the conduction. As it was
previously mentioned by some authors (Carslaw and Jaeger, 1959; Luikov, 1968), it is feasible
to derive dimensionless temperature ratio for conduction heating products. These statements
have been supported by computer aided experiments which demonstrate that equation (3.11) is
an accurate and secure way to transform data obtained for conduction heating products
subjected to a linear temperature profile during come-up time.
As we will see in later chapters, the importance and relevance is that we will be able to
transform the raw data from heat penetration tests and use the General Method, not only to
directly evaluate the raw data, but also to evaluate processes at different conditions (retort

31
temperatures, initial temperatures, longer or shorter process times) than those originally
recorded.

3.4 Latest advances in heat transfer applications on thermal processing (from

Holdsworth/Simpson 2nd Edition)

One of the most important developments in the study of thermal processing has been the
application of computer simulation programs. This has enabled the operation of processing
equipment to be improved by elucidating the mechanisms of heat transfer and fluid flow in
processing systems. The following selected programs have been applied, not only to process
evaluation but also to control problems.
Conduction heat transfer analysis programs

(i) ANSYS Finite Element software. (deSalvo & Gorman 1989).

Used by a number of workers, including, Hendrickx et al. (1992) to determine the centre
sterilization value in a food can and to optimize the nutrient retention, and Christianini &
Massaguer (2002) for evaluating the thermal process for tuna/brine in institutional retort
pouches. The latter work is interesting because of a comparison between the analytical solution
and both a 1-D and a 3-D Finite element solution. All three models give good agreement for the
heating phase; however, for the cooling the finite-element models were better than the analytical
solution.

(ii) CHAMPSPACK
This uses Matlab and Fortran routines for finite element computations of coupled heat
and mass transfer problems with internal heat generation and convective boundary conditions.
Developed for the design and simulation of thermal process applications for foods and
agricultural products. (Scheerlinck & Nicola 1999).
The package includes facilities for insertion of kinetic data for microbial destruction and quality
factor inactivation. For application to enzyme inactivation in vegetables see Martens et al.
(2001),

(iii) SPEEDUP (Simulating Program for Evaluating and Evolutionary Design of Unsteady
State Process)
Alwis et al. (1992) used the SPEEDUP system developed by Sargent et al. (1982), for
optimizing quality and processing effects of a conduction-heating meat product. This showed the
need for higher temperatures and shorter times for obtaining better meat quality.

(iv) NEURAL networks

Neural networks have been use to predict optimum sterilization temperatures and corresponding
process time and quality factors. The method has the advantage over conventional regression
models that all three parameters can determined simultaneously. (Sablini et al. 1995). Neura
netwoork modeling has also been used to study heat transfer to liquid particle mixtures in cans
under going end-over-end processing (Sablani et al. 1997).

Computational Fluid Dynamics (CFD) programs

(i) PHOENICS (Cham Ltd., London, UK)

32
 Simulations using a PHOENICS packages were used to determine the relative
concentration profiles of the spores and also the temperature profiles. An application to
microbial inaction is discussed by Ghani et al., (1999a,b; 2002a,b), Ghani et al. (2001b)

(ii) CFX/TASCflow (CFX International, AEA Technology , Harwell,UK

This has been used to simulate a range of canning application, e.g., transient natural
convection in containers filled with non-Newtonian CMC solution, (Quarini & Scott 1997), the
axial and end-over-end rotation in canned foods. (Emond & Tucker 2001; James 2001; Hughes
et al., 2003; Tucker 2004) and also natural convection heating of canned foods in conical and
cylindrical containers. (Varma, et al., 2006)

(iii) FLOWPACK (ICI, Ltd, UK) Zone Modelling

Tucker et al. (1992) have developed zone modeling as a method of determining temperature
profile in simple geometrical shaped canned food. Best et al. (1994a,b) have presented a steady-
state and a dynamic simulation of the processing of cans in a hydrolock sterilizer using zone
modeling and a computer program Flowpack.

(iv) Others
STAR-CD (Computational Dynamics Ltd, London UK.
Fluent/FIDAP ( Lebanon, NH, USA).
Fluent v. 6.1. has been used by Jun & Sastry (2005) to study the effect pulsed ohmic heating has
on food in flexible pouches.

33
 QUIZ

1. - What are the predominant heat transfer mechanisms in the sterilization of a food product?

a) Radiation and convection b) Conduction and radiation c) Convection

and conduction

2. - What are the predominant heat transfer mechanisms in the sterilization of a liquid food?

a) Radiation b) Convection c) Conduction d) Convection and

conduction

3. - Conduction heat transfer occurs:

a) by atoms vibration b) by fluid motion and mixing c) by both,

atoms vibration and fluid motion and mixing.

4. - Always it is possible to theoretically determine the slowest heating point.

a) TRUE b) FALSE

5. - In general, the best way to determine the slowest heating point is:

a) Experimentally b) Theoretically

6. - In which cases it is possible to derive an analytical expression for heat transfer problem
applied to thermal processing?

a) Never b) Perfect mixing and pure conduction c) Radiation

34
REFERENCES

Alwis, A. A. P. de, Varley, J., Niranjan, K. (1992) Simulation of thermal food processing
operations. In W. Hamm & S. D. Holdsworth (Eds.), "Food Engineering in a Computer Climate"
(pp.253-262). Rugby, U.K: Institution of Chemical Engineers.

Ball, C.O. 1923. Thermal processing time for canned foods. Bull. 7-1 (37), Natl. Res. council,
Washington, D. C.

Best, R. J., Bewaji, E. O., & Johns, W. R. (1994a). Dynamic simulation for waste reduction in
hydrostatic canning retort operations. In Proc. 4th. Bath Conference Food Process Engineering
Vol.1 (pp.261-268). Rugby, UK: Institution of Chemical Engineers.

Best, R. J., Bewaji, E. O., Johns, W. R., & Kassim, H. O. (1994b). Steady-state and dynamic
simulation of food processes including spatial effects. Food and Bioproducts Processing, Trans.
Inst. Chem. Eng. 72C2, 79-85.

Carslaw, H.S., and Jaeger, J.C. 1959. Conduction of Heat in Solids. Oxford University Press.
London.

Christianini M., & Massaguer, P. R. (2002).Thermal process evaluation of retortable pouches

filled with conduction heated food. J. Food Proc. Eng. 25(5): 395-405.

Datta, A.K. 1990. On the theoretical basis of the asymptotic semi logarithmic heat penetration
curves used in food processing. J. Food Eng. 12: 177-190.

DeSalvo, G. J. & Gorman, R. W. (1989) ANSYS Engineering Analysis System Users

Manual, Swanson Analysis Systems, Inc., Swansee, USA.

Emond, S. P., Tucker, G. S. (2001). Optimising the in-container mixing of a tomato product
during end-over-end rotary thermal processing. In J. Welti-Chanes, G. V. Barbosa-Cnovas & J.
M. Aguilera (Eds.), International Conference Engineering and Food, ICEF8, Vol.1, pp.669-663,
Lancaster PA: Technomic Pub. Co., Inc.

Ghani, A. G., Farid, M. M., Chen, X. D., & Richards, P. (1999a). Numerical simulation of natural
convection heating of canned food by computational fluid dynamics. J. Food Eng., 41(1), 55-64.

Ghani, A. G., Farid, M. M., Chen, X. D., & Richards, P. (1999b). An investigation of
deactivation of bacteria in a canned liquid food during sterilization using computational fluid
dynamics (CFD). J. Food Eng., 42(4), 207-214.

Ghani, A. G. A., Farid, M. M., Chen, X. D. & Watson, C. (2001). Numerical simulation of
transient two-dimensional profiles of temperature and flow of liquid food in a can during
sterilization. In J. Welti-Chanes, G. V, Barbosa-Cnovas, & J. M. Aguilera (Eds.), Eighth
International Conference Engineering and Food, ICEF8, Vol.2, pp.1832-1837. Lancaster, PA:
Technomic Pub. Co.

35
Ghani, A. G., Farid, M. M., Chen, X. D., & Richards, P. (2002a). Heat transfer in a 3-D pouch
using computational fluid dynamics. J. PHOENICS, 12(3), 293-305.

Ghani, A. G., Farid, M. M., & Chen, X. D. (2002b). Theoretical and experimental investigation
of the thermal inactivation of Bacillus stearothermophilus in food pouches. J. Food Eng. 51(3),
221-228.

Gillespy, T.G. 1953. Estimation of sterilizing values of processes as applied to canned foods. II.
Packs heating by conduction: complex processing conditions and value of coming-up time of
retort. J. Sci. Food Agric. 4: 553-565.

Hayakawa, K.I. 1968. A procedure for calculating the sterilizing value of a thermal process. Food
Technol. 22 (7): 93-95.

Hendrickx, M., Silva, C., Oliveira, F., & Tobback, P. (1992). Optimizing thermal processes of
conduction heated foods: generalized equations for optimal processing temperatures. In "Food
Engineering in a Computer Climate" pp.271-276, pub. Institution of Chemical Engineers, Rugby,
U.K.

Holdsworth, S.D. 1997. Thermal processing of packaged foods. Blackie Academic &
Professional. London.

Hughes, J. P., Jones, T. E. R. & James, P. W. (2003). Numerical simulation and experimental
visualization of the isothermal flow of liquid containing a headspace bubble inside a closed
cylinder during off-axis rotation. Food and Bioproducts Processing, Trans IChemE, 81(C2), 119-
128.

James, P. W., Hughes, J. P., & Jones, P. R. (2001). Numerical and experimental simulation of
the flow in rotating containers. NAFEMS Int. J. CFD Case Studies, 3, 31-60.

Jun, S., & Sastry, S. (2005). Modeling and optimisation of ohmic heating of foods inside a
flexible package. J. Food Proc. Eng., 28(4), 417-436.

Luikov, A. V. 1968. Analytical Heat Diffusion Theory. Academic Press, Inc. New York.

Martens M., Scheerlinck, N., De Belie, N. & De Baerdemaecker, J. (1991). Numerical model for
the combined simulation of heat transfer and enzyme inactivation kinetics in cylindrical
vegetables. J. Food Eng. 47(3), 185-193.

Merson, R.L., Singh, R.P. and Carroad, P.A. 1978. An evaluation of Balls formula method of
thermal process calculations. Food Technol. 32 (3): 66-76.

Quarini, J. & Scott, G. (1997).Transient natural convection in enclosures filled with non-
Newtonian fluids. In R. Jowitt (Ed.), Engineering and food, ICEF7 Part 2, K, (pp. 49-53).
Sheffield, UK: Sheffield Academic Press.

36
Sablani, S. S., Ramaswamy, H. S., & Prasher, S.O. (1995). A neural network approach for
thermal processing applications. J. Food Processing Preserv,. 19, 283-301.

Sablani, S. S., Ramaswamy, H. S., Sreekanth, S., & Prasher, S. O. (1997). Neural network
modeling of heat transfer to liquid particle mixtures in cans subjected to end-over-end processing.
Food Research Int,. 30(2), 105-116.

Sargent, R. W. H., Perkins, J. D., & Thomas S. (1982). SPEEDUP: Simulation program for the
economic evaluation and design of unified processes. In M. E. Lesley (Ed.), Computer-aided
Process Plant Design. Houston: Guelph.

Scheerlinck, N., & Nicola, B. M. (1999). Users manual. Leuven, Belgium: Katholieke Univ.,
Laboratory of Postharvest Technology.

Tucker, G. S., Kassim, H. O., Johns, W. R. & Best, R. J. (1992). Zone modelling: Part I
Application to thermal processing of homogeneous material in simple geometry,
Technical Memo. No. 654. Chipping Campden, Glos., UK: Campden & Chorleywood Food
Research Association.

Tucker, G. S. (2004). Improving rotary thermal processing. In P. Richardson (Ed.), Improving the
thermal processing of foods (pp.124-137). Cambridge: Woodhead Publishing.

Varma, M. N. & Kannan, A. (2006). CFD studies on natural convection heating of canned foods
in conical and cylindrical containers. J. Food Eng., 77(4), 1024-1036.

37
4. STERILIZATION AND PASTEURIZATION CRITERION

Goal: When you have finished this lesson you will understand:
- What are the criteria utilized for sterilization and pasteurization of foods.

And, you will learn:

- What is commercial sterilization?
- What is the target microorganism for sterilization?
- Why a sterilization criterion is needed?
- What is the most accepted criterion?
- What is the meaning of 12D?
- Why in commercial practice the sterilization criterion is much strict than 12D?
- What says the probability interpretation of 12D?
- Why it is correct to have a unique commercial sterilization criterion independent of can or
packaged size?
- What are the similarities and differences between sterilization and pasteurization?
- Which is the most common reference temperature utilized for pasteurization
- What is one of the target microorganism utilized in pasteurization

4.1 Sterilization criterion

Strictly speaking, sterilization means a process defined as the complete destruction
(inactivation) of microorganisms either by heat, radiation, microbicidal chemical compounds, etc.
In industrial processing, process sterilization refers to commercial sterilization.

But, what is the meaning of a commercial sterilization process?

Commercial sterilization criterion
As stated by Holdsworth (1997): The need of a criterion against which to judge the
efficiency of a process is paramount in thermal processing. As was shown in chapter 2, there
are two types of microorganisms that are the cause of main concerns:
Microorganisms that can have public health significance
Microorganisms that can cause spoilage.

Microorganisms of public health
According to FDA a minimum thermal process means the application of heat to food,
either before or after sealing in a hermetically sealed container, for a period of time at to a
temperature scientifically determined to be adequate to ensure destruction of microorganisms of
public health significance.
The target microorganism in the thermal processing of low acid food (pH 4.6) is
Clostridium botulinum, which has been thoroughly thermally characterized. It is assumed that
has a first order inactivation kinetic and a z value of 10 C. Then, to design the required thermal
process (time-temperature) it is necessary to define a sterilization criterion.

Why we need a sterilization criterion?

As mentioned at the beginning, sterilization means the complete destruction or
inactivation of microorganisms. Given that we have accepted to utilize a first order kinetic for
Clostridium botulinum inactivation, we need to acknowledged, that theoretically, that for this

38
inactivation kinetic model the time needed to fully inactivate Clostridium botulinum is infinite.
According to first order kinetic:
dN
kN (4.1)
dt

Separating variables and integrating, we obtain:

Nf t

dN
kdt (4.2)
N
N0 0

Assuming constant temperature, then k is constant, therefore:

ln 10
t
kt
N f N0 e N0 e D
(4.3)
Or
1 Nf D N
t ln ln 0 (4.4)
k N 0 ln 10 N f

In equation (4.3) the final concentration of Clostridium botulinum (Nf) tends to cero
when time (t) tends to infinite. According to equation (4.3), it is not possible to theoretically
reach a final concentration equal to zero for the target microorganism. Then, we need to define a
sterilization criterion (commercial sterilization criterion) to design a process that proves to be safe
but, on the other hand, within a finite time to be economically commercial.
According to Stumbo (1973) the commercial sterilization criterion was arbitrarily
established (12D concept). The commercial sterilization criterion states that the minimum
thermal process should reduce the initial microorganisms concentration by 10 12 times. In other
words, if the initial concentration of Clostridium botulinum is N0, then the final concentration
should be N0/1012. This is the well know 12D concept (also referred as a botulimun cook).
Remember that by definition D is the required time to reduce microorganisms concentration by
10 times, then 12D will be the time needed to reduce microorganisms concentration 10 12 times.
In commercial practice, actual processes are normally way over 12D concept. This is because:
safety margins,
cooking requirements, and
to prevent the growth of spoilage thermophilic microorganisms.

Unfortunately, in technical literature and non technical literature it is possible to find different
interpretations of 12D concept and how this concept was first developed.
The probability argument. Some researchers have argued that the basis of the concept is that if
you start with one spore per can, then, after the application of a 12D treatment you will get one
spore in 1012 cans. If this statement is correct, is 12D concept a valuable criterion?

To have a rough idea we will do the following approximate quantitative analysis:

Assuming that the world wide consumption of sterilized low acid foods is in the
order of 100 million cans per day. Then, the world wide consumption in 100 years
will give us a total of 3.65x1012 cans.

39
This means that, with 12D criterion, we are expecting to have 3 - 4 outbreaks every 100 years. In
addition, following the probability argument, 12D concept implies to find 1 spore per 1012 cans.
Meaning that the required process time will vary with can size.

How does the required process time change (at 250F) with can size if the target lethality is
to get 1 spore in 1012 cans?

1.- Considering that our target microorganism is Clostridium botulinum, then: D250F = 0.21 min
(important to mention that 0.21 min is the highest resistance that have been found for
Clostridium botulinum at 250F).

2.- Can sizes range from 0.1 L to 5 L (a wide range, possible a bit exaggerated)

3.- Highest concentration found for Clostridium botulinum 1 spore/g

Firstly, we will start analyzing the smallest can (0.1 L). Considering a mass of product of
approximately 100 g, then, we will start with 100 spores/can with the target of 10 -12 spores/can,
therefore:

1012 t
dN

100
N
kdt
0
given that k
ln 10
D
Then, replacing and evaluating the integral, we obtain:
t 2.94 min

Secondly, we will analyze the largest can (5 L). Considering a mass of product of
approximately 5000 g, then, now we will start with 5000 spores/can with the target of 10 -12
spores/can, therefore:

1012 t

dN
kdt
N
5000 0

Then, replacing and evaluating the integral, we obtain:

t 3.29 min

Corollary
Firstly, the latest calculations show that the required process time is not very sensitive to
can size. In the aforementioned example, the biggest can size was 50 times larger than the
smallest one and the required processing increases in just about ~10%. This result indicates that a
unique criterion independent of can size- not only will be very practical but also with credible
scientific bases. Strictly, the universal 12D concept does not discriminate among can sizes. 12D
concept applied to Clostridium botulinum means a required process time of 2.52 min
independent on package size. This value (2.52 min) it is not too different when compared with

40
the criterion of 1 spore in 1012 packages (2.94 3.29 min). As mentioned before, in practice,
instead of 12D criterion, much more exigent treatments are in use.

Nowadays, a common treatment for Clostridium botulinum is 6 to 8 min at 250F.

According to the probability argument, how many outbreaks we will expect when applying
this criterion?

Analyzing the worse case scenario, that is, the largest package size and the minimum time
requirement (5 L package and 6 min at 250F).

According to equation (5.4):

ln 10 2.303
t *6
N f N0e D 5000e 0.21 1.335 x10 25( spores / package )

We will expect 1 one out break in several billions years (to be precise 100.000 billion
years!?). In fact, at least in the past 50 years no outbreak has been directly related with the
sterilization criterion.
The latest calculations show us that the sterilization criterion is a bit exaggerated. Now we
will carry out an analysis for a criterion in the other boundary, which is in the unsafe side. Let us
to permit a final concentration of 1 spore/can. Taken as a reference the largest can (5 L package)
we will calculate the required number of decimal reductions (number of Ds) to achieve this
unsafe criterion.

From the relationship:

N0
Nf
10 x
Where x is the number of decimal reductions. Considering N0 = 5000 (spores/can) and Nf
= 1 (spores/can), then:

5000
1 , therefore x = 3.7D ~ 4D
10 x

According to the aforementioned analysis the sterilization criterion of 12D is a bit

exaggerated but, on the other hand must be bigger than 4D. Implications of these calculations will
be exemplified in chapter 7 (Ball Formula Method) and chapter 8 (Quality Evaluation).

4.2 Pasteurization criterion

Pasteurization is a mild heat treat in comparison with sterilization, mainly because the
target microorganisms are much less resistant than Clostridium botulinum. Products are acid and
high acid (pH < 4.6) and under this condition Clostridium botulinum is inhibited to germinate. In
strict sense, pasteurization it is also a sterilization treatment, but for less resistant
microorganisms. The sterilization concept of the heat treatment is exactly the same, to free the
food of microorganisms.

41
 One of the differences between pasteurization and sterilization is the reference
temperature. Meanwhile for sterilization it is common to use 250F (121.1C), in the case of
pasteurization, normally; reference temperature is around 65C. In addition, given that the target
microorganism is also different, z value is no longer 10C (18F). A common z value is 8C.
Another difference is that pasteurization criterion varies according to the food product. As was
extensively discussed above, in the case of sterilization of low acid foods, it is common to utilize
a unique criterion. An excellent review on this subject is given by Silva & Gibbs (2004). As
suggested by Silva & Gibbs (2004) the criterion for high-acid fruit products will be 1D with
Alycicobacillus acidoterrestris as a reference microorganism.

42
 QUIZ

1.- What is the target microorganism for low acid food?

a) Alyciclobacillus acidoterrestris b) Clostridium perfringes c) Clostridium botulinum

2. - Why a sterilization criterion is needed?

a) Because inactivation kinetics follow 2 nd order b) Because inactivation kinetics follow 1 st

order c) Because inactivation kinetics follow 0 order.

3. - Sterilization is a mild heat treatment

TRUE FALSE

4. - Pasteurization is a mild heat treatment in relation to sterilization

TRUE FALSE

5. - In sterilization is common to use different criteria

TRUE FALSE

6. - In pasteurization is common to use different criteria

TRUE FALSE

7.- Considering a D250F = 0.21 min and z = 18F for Clostridium botulinum, then a 20D
treatments will require a process time of:

a) 4 min at 250F b) 0.42 min at 268F c) 40 min at 232F

43
REFERENCES

Holdsworth, S.D. 1997. Thermal processing of packaged foods. Blackie Academic &
Professional. London.

Silva, F., and Gibbs, P. 2004. Target selection on disigning pausterization processes for shelf-
stable high-acid fruits products. Critical Review in Food Science and Nutrition. (44): 353-360.

44
5. - GENERAL METHOD

Goal: When you have finished this lesson you will understand:
- The basis of General Method and how to do calculations with a numerical method.
And, you will learn:
- Why Bigelows method is considered to be General.
- Which ones are the most used numerical integration method to evaluate Fo through the
Bigelows General Method.
- How to do numerical calculations with Trapezoidal and Simpsons rule.
- What are the new developments related to General Method.

5.1 Historical perspective

Thermal process calculations, in which process times at specified retort temperatures are
calculated in order to achieve safe levels of microbial inactivation (lethality), must be carried out
carefully to assure public health safety. However, over-processing must be avoided because
thermal processes also have a detrimental effect on the quality (nutritional and sensorial factors) of
foods. Therefore, the accuracy of the methods used for this purpose is of importance to food science
and engineering professionals working in this field.
The first procedure to calculate thermal processes was developed by W.D. Bigelow in the
early part of the 20th century, and is usually known as the General Method (Bigelow and others,
1920). The General Method makes direct use of the time-temperature history at the coldest point to
obtain the lethality value of a process (Fo). The procedure was carried out graphically using a plot of
lethal rate versus time to produce a lethality curve, the area beneath which corresponded to the
accumulated lethality delivered by the process. If more or less lethality were required, the procedure
was repeated with an estimate of the cooling portion of the cold spot temperature (cooling profile)
advanced or retarded on a trial and error basis until the desired lethality was achieved. This is the
reason why this method was known as the graphical trial and error method (Stumbo, 1973).
Bigelow's procedure earned the name General method because it applies to any
product/process situation. Since it relies solely on the measured cold spot temperature, it is blind to
process conditions, mode of heat transfer, product properties, or container size and shape. This
immunity to product/process conditions has always been the strength of the General Method, in
addition to its unquestioned accuracy. For this very same reason, the greatest limitation of the
general method was that it could only be used to calculate process times for the same retort
temperature used in the heat penetration test from which the cold spot temperature profile was
obtained. Thus, it has limited predictive power (Pham, 1987). Over time several improvements were
introduced to the original General Method, such as those contributed early on by Ball (1928) and
Schultz and Olson (1940), and then later by Patashnik, (1953), and Hayakawa (1968).
The lack of programmable calculators or personal computers until the latter part of the 20 th
century made this method very long, tedious and impractical for most routine applications, and it
soon gave way to formula methods offering short cuts. In response to this need, a semi-analytic
method for thermal process calculation was developed and proposed to the scientific community by
Ball (1923). This is the well-known Formula Method, and works in a different way from the General
Method.

45
5.2 Process safety: stating the problem to be solved
According to a previous chapter (chapter 4) the objective is to achieve a specific lethality
for the selected microorganism (e.g. for low acid foods the chosen microorganism is Clostridium
botulinum).
Firstly, utilizing a standard engineering approach (mass balance) we will derive an
equation to evaluate the required conditions (time and temperature) to achieve the specified
lethality or sterilization criterion.
When defining a closed system (canned food, retortable pouches, a particle in a moving
system, etc) and doing a survivor balance we obtain equation (5.2). In general, for an open
system in non steady state condition (integral form); the survivor balance can be expressed as:

QN i QN o M dN dMN

dt I dt S
(5.1)

Where the first two terms of equation 1 correspond to the amount of microorganisms that
are entering and going out of the system with its respective mass flows. Applying equation (5.1)
for the particular case of closed systems (canned food, retortable pouches, a particle in a moving
system, etc) the above general survivor balance is reduced to:

dN dN
dt (5.2)
I dt S
N: micro-organisms concentration.
t: time
I: Inactivation
S: System

Considering first order kinetics for microorganisms inactivation and replacing into
equation (5.2):
dN
- kN (5.3)
dt S

Separating variables and integrating, taking into account the D value definition:
No
D 10
dN ln10
kdt and therefore, k (5.4)
0 No
N D
Given that D value can be expressed as a function of temperature according to an equation
given in a previous Chapter (Kinetics of microorganisms inactivation and quality factor
degradation):
Tr T
D Dr 10 z
(5.5)

46
 Replacing equation (5.5) into equation (5.4) and then into equation (5.3), we obtain:

ln 10 dN
Tr T
N (5.6)
z dt S
Dr 10

Where
T: temperature at the cold spot.
Tr: reference temperature.
Dr: decimal reduction time at reference temperature.
z: temperature change necessary to reduce D value by ten times.
Integrating, equation (5.6), from N0 to N0/10x for microorganisms (where x represents the
number of decimal reductions needed to achieve the desired lethality) and between 0 through t for
time:
t T Tr
x Dr 10 z
dt (5.7)
0
Where the product xDr was denominated as Fr, then:
t T Tr
Fr 10 z
dt (5.8)
0
In the case of Tr = 121.1C (250F), Fr has been denominated as Fo.
t T 121.1
Fo

0
10 z dt
(5.9)

Note that equation (6.9) was derived for closed systems and first order inactivation kinetics. In
the case of sterilization z = 10 C (Clostridium botulinum). Then:
t T 121.1
Fo 10 10
dt (5.10)
0

6.3 General method calculations

According to the preceding derivation (equation 5.10) and the sterilization criterion given
in chapter 4, it is necessary to calculate the required time (t) to achieve the specific lethality
(commonly known as 12D). Referring to chapter 4 the target microorganisms to attain the
specified lethality (12D) is Clostridium botulinum which has a z value of 10C. Temperature (T)
in equation (5.10) refers to cold spot temperature (or slowest heating point). With a known
temperature history at the cold spot (T(t)) the best way to calculate Fo is through a numerical
integration method.

47
 But, what is a numerical integration method?

Numerical integration
xn
The fundamental theorem of calculus gives an exact solution for computing
x0
f ( x)dx in
the case when f (x) has an antiderivative. This is the well know analytic method to evaluate
integrals. However, in many different situations the antiderivative is not available and it is
necessary to look for other integration methods. Numerical integration gives an approximate
solution, but they are extremely flexible and easy to implement in a computer program. In the
literature we can find several different numerical approaches, but the most common are:
Trapezoidal rule
Simpson's rule
Gaussian quadrature
As follows, we will revise the concepts of Trapezoidal and Simpson's rule. Mainly,
because these are the two most popular integration methods, and, in addition, extensively utilized
in thermal processing.

Trapezoidal rule
Basic Concepts
A trapezoid is a four-sided region with two opposite sides parallel (Figure 5.1). As shown
in Figure 5.1 the two vertical sides are parallel.

Figure 5.1: Trapezoid

The area of a trapezoid is the average length of the two parallel sides multiply by the
distance between each other. In Figure 5.2, the area (A) under function f(x) between points xo
and xn is given by:

A a f ( x)dx
b
(6.11)

As show in Figure 6.2, an approximation of area, A will be the sum of the each individual
trapezoid (T). Where T can be calculated with the following expression:

48
 Figure 5.2: Area (A) under function f(x) between points xo and xn
1 1 1
T x1( f ( xo ) f ( x1 )) x2 ( f ( x1 ) f ( x2 )) ... xn ( f ( xn1 ) f ( x n ) (5.12)
2 2 2

Where:
xi xi xi1 , for i = 1, 2, 3, , n
In the particular case where x1 = x2 = x3 = = xn = x, equation (5.12) can be expressed
as:

f ( x0 ) f ( xn )
T x( f ( x1 ) f ( x2 ) f ( x3 ) .. ) (5.13)
2 2
Or, in the following reduced form:
f ( x0 ) n1 f ( xn )
T x( f ( xi ) ) (5.14)
2 i 1 2

Finally, to estimate area, A under the trapezoidal rule we have:

1 1 1
x0 f ( x)dx x1( f ( xo ) f ( x1 )) x2 ( f ( x1 ) f ( x2 )) ... xn ( f ( xn1 ) f ( x n )
xn
(5.15)
2 2 2
And, when all intervals are of the same size (x1 = x2 = x3 = = xn = x), the
following expression can be applied:
f ( x0 ) n1 f ( xn ) 1 n1
x0 f ( x)dx x( f ( xi ) ) x( f ( x0 ) 2 f ( xi ) f ( xn ))
xn
(5.16)
2 i 1 2 2 i 1

Calculation example:
Assuming that we have the following heat penetration data at the cold spot of a canned
food (Table 5.1):

49
Table 5.1.- Heat penetration data at the slowest heating point.
Time (min) Temperature (C)

23 118.5
24 118.7
25 118.9
26 119.1
27 119.3

We can formulate the following question, What will be the cumulated lethality in the range of 23
to 27 min.?

Given that the cumulated lethality can be estimated with equation (5.10), therefore:

T 121.1
Fo 10
27 10
23
dt

Applying the Trapezoidal rule and taking into account that all time steps are equal (t = 1
min) we can utilize equation (5.16):

T 121.1
1
Fo 2310 dt
( f (23) 2 f (24) 2 f (25) 2 f (26) f (27))
27 10
(5.17)
2
Where, t = 1 (1 minute interval), and:
118.5121.1
f (23) 10 10
0.549541
118.7121.1
f (24) 10 10
0.57544
118.9121.1
f (25) 10 10
0.6025596
119.1121.1
f (26) 10 10
0.63095734
119.3121.1
f (27) 10 10
0.66069345

Replacing into equation (5.17):

T 121.1
1
Fo 2310 10 dt (0.549541 2 * 0.57544 2 * 0.6025596 2 * 0.63095734 0.66069345)
27

2
Therefore:
Fo ~ 2.41407394 ~ 2.41 min.

Corollary
Trapezoidal rule is very simple, flexible, and easy to use and with sufficient accuracy.
Simple, because it is easy to implement in Excel Spreadsheet.

50
 Flexible, because the number of intervals could be even or odd, and, in addition, each
interval could be of different size, and,
Finally, the accuracy will be closely related with the selected number of intervals. In
general, in thermal processing if you are measuring temperature with intervals of 1 minute
or less, trapezoidal rule will give an excellent accuracy, and you will not need a more
sophisticated numerical integration procedure. The rule of thumb states that 20 or more
intervals are sufficient.

Simpson' rule
A different way to approximate an integral is the so called Simpson's rule. Again, we start
by partitioning [xo, x1, x2, , xn] into intervals all of the same width (x1 = x2 = x3 = = xn
= x), but this time we must use an even number of intervals, so n must be even.
Why?
Simpson's rule does not join data points with a straight line (like trapezoidal rule), it
utilizes a quadratic function joining three points each time as shown in the following Figure
(Figure 5.3).

Figure 5.3. An approximation of area, A

Given that its derivation is not straight forward, as was the case with trapezoidal rule, we
will write down directly the result obtained when adding all the areas utilizing Simpson's rule.
x
S ( f ( x0 ) 4 * f ( x1 ) 2 * f ( x2 ) 4 * f ( x3 ) 2 * f ( x4 ) ... f ( xn )) (5.18)
3
Finally, to estimate area, A under Simpson's rule we have:
xn x
x0 f ( x)dx 3 ( f ( x0 ) 4 * f ( x1 ) 2 * f ( x2 ) 4 * f ( x3 ) 2 * f ( x4 ) ... f ( xn )) (5.19)

Calculation example:
Utilizing the same data (Table 5.1) as was for the Trapezoidal rule calculation example.
Again the question will be, what will be the cumulated lethality in the range of 23 to 27 min.?
Given that the cumulated lethality can be estimated with equation (5.10), therefore:
T 121.1
Fo 10
27 10
23
dt
Applying the Simpson's rule and taking into account that all time steps are equal (t = 1
min) we can utilize equation (5.19):
T 121.1
27 1
Fo 10 10 dt ( f (23) 4 f (24) 2 f (25) 4 f (26) f (27)) (5.20)
23 3
51
 Given that f (23), f (24), , f (27) were all ready calculated, we can replace them directly
in equation (20), therefore:
T 121.1
27 1
Fo 10 10 dt (0.549541 4 * 0.57544 2 * 0.6025596 4 * 0.63095734 0.66069345)
23 3
Therefore:
Fo ~ 2.41364767 ~ 2.41 min. (same rounded result as Trapezoidal rule)
The aforementioned result is well compared with the result obtained when utilizing
trapezoidal rule.

Corollary
Although it is recognized that Simpson's rule gives better approximation results than
Trapezoidal rule, it has some disadvantages, as follows:
Requires an even number of intervals.
All intervals must be of the same magnitude.
In addition, for the particular case of thermal processing, in general, Trapezoidal rule
gives a sufficient accurate result.

Further comparisons
As follows, as an example integral (5.21) was developed and solved by the Trapezoidal
rule, Simpsons rule and, in addition, we have included de exact solution.
4 dx
1 x 1.38629436112 (5.21)

Number of intervals Trapezoidal rule Simpsons rule

8 1,3971262491 1.3868047790
16 1,389038051 1.38633238376
20 1,38804801551 1.3863103446
30 1,38707478497 1.386297690

This example shows us, that both methods are fairly accurate, but as already mentioned
Simpsons rule is much more accurate. In this specific example, Simpsons rule with 8 intervals
is more accurate than Trapezoidal rule with 30 intervals.

Numerical integration methods in thermal Processing

The most utilized procedure has been the Trapezoidal rule and Simpsons rule. Both
methods could be easily implemented in a spreadsheet (Patashnik, 1953; Simpson et al., 2003).
Some authors have explored more sophisticated integration methods like Gaussian integration
formula (Hayakawa, 1968).
According to our experience the simple Trapezoidal rule method is sufficient to obtain
accurate results. However the time step should be no bigger than 1 minute. In practice, this is not
a problem because with the available data loggers, normally, temperature data can be recorded
and stored every second.
Alternatively it is possible to fit the discrete data by an interpolation method (e.g. cubic
spline) and integrate the lethality analytically.

52
5.4 Analysis of the General method

Most workers in this field will agree that the General Method is more accurate than the
Formula Method, but the popularity of the Ball formula method as a tradition throughout the food
canning industry continues to be overwhelming (Merson and others, 1978). According to Teixeira
(1992), the limiting factors that historically deterred the use of the Bigelow General Method have
long since been overcome with the advent of programmable calculators and personal computers.
According to several authors the main limitation of general method lay on the fact that
it is only valid for the recorded time-temperature data.
Recently has been published a paper (Simpson et al., 2003) where the major limitations of
general method have been overcome. According to the referred paper the Revisited General
Method is capable to:

Integrate lethality calculation by the General Method with principles of heat transfer theory,
To evaluate processes at different conditions from those used in heat penetration tests (retort
temperature, initial temperature, etc.),
To take into account slow come-up and cool down phases, and that the procedure performs
with at least the same ease of use and reliability as the Formula Method but with better
accuracy.

53
 QUIZ

1.- General Method is well known because:

a) It was the first Formula Method b) It was the first method c) It was developed by Ollin
Ball d) It was first developed by Pasteur

2.- Bigelow's procedure earned the name General method because:

a) It applies to any product/process situation b) It relies solely on the measured retort temperature c)
It was the first method.

3.- What are some of the constraints imposed to Fo equation?

a) Applicable solely to open systems b) Applicable solely to first order kinetics c) Applicable
solely for conduction heated products d) Applicable solely for convection heated products

4.- What is the best way to calculate Fo through the General Method from time-temperature data at
the cold spot?
a) Analytically b) Graphically c) Numerically d) All are the same

5.- The 2 most popular numerical integration procedures to evaluate Fo through the General Method
are:
a) Gauss and Trapezoidal b) Cubic splines and Trapezoidal c) Trapezoidal and Simpson d)
Trapezoidal and Monte Carlo

6.- According to which author the limiting factors that historically deterred the use of the
Bigelow General Method have long since been overcome with the advent of programmable
calculators and personal computers

a) Hayakawa b) Stumbo c) Ball d) Teixeira

54
REFERENCES

Atkinson, K. Introduction to numerical analysis. Wiley,

Ball, C.O. 1923. Thermal processing time for canned foods. Bull. 7-1 (37), Natl. Res.
council, Washington, D. C.

Ball, C.O. 1928. Mathematical solution of problems on thermal processing of canned food. Univ.
Cal. Pub. In Pub. Health 1, N 2, 15-245.

Bigelow, W.D., Bohart, G.S., Richardson, A.C. and Ball, C.O. 1920. Heat penetration in
processing canned foods. Bull. No. 16-L Res. Lab. Natl. Canners Assn., Washington, D.C.

Hayakawa, K.I. 1968. A procedure for calculating the sterilizing value of a thermal process. Food
Technol. 22 (7): 93-95.

Patashnik, M. 1953. A simplified procedure for thermal process evaluation. Food Technol. 7 (1)
:1-6.

Pham, Q.T. 1987. Calculation of thermal process lethality for conduction-heated canned foods. J.
Food Sci. 52 (4): 967-974.

Simpson, R., Almonacid, S., and Teixeira, A. 2003. Bigelows General method revisited:
development of a new calculation technique. J. of Food Sci., 68 (4), 1324-1333.

Schultz, O.T. and Olson, F.C., (1940). Thermal processing of canned foods in tin containers. III.
Recent improvements in the General Method of thermal process calculation. A special coordinate
paper and methods of converting initial retort temperature. Food Res. 5: 399.

Stumbo, C.R. 1973. Thermobacteriology in food processing. 2nd ed. Academic Press, New York.

Teixeira, A.A. 1992. Thermal process calculations, Chapter 11 in Handbook of Food

Engineering, D.R. Heldman and D.B. Lund (eds.). Marcel Dekker, Inc. New York, pp. 563-619.

55
6. - FORMULA METHOD

Goal: When you have finished this lesson you will understand:
- The basis of Ball Formula Method and how to do calculations.

And, you will learn:

- The fundamentals of Ball Formula Method and how to do calculations.
- Which are the mathematical and heat transfer bases of its development.
- How to do calculations with Ball Formula Method.
- Advantages and disadvantages of the Ball Formula Method.

6.1 Historical perspective

A Brief biography of C. Olin Ball (1893-1982). He) was an American food scientist and inventor
who was involved in the thermal death time studies in the food canning industry during the early
1920s. This research would be used as standard by the United States Food and Drug
Administration for calculating thermal processes in canning. He would also be a charter member
of the Institute of Food Technologists (IFT) in 1939 and inducted among the first class of IFT
fellows in 1970 for his work in academia and industry.(WIKIPEDIA)
In perspective, in 1920s, the problem to accurately evaluate and calculate Fo was a major task.
Although with todays computers and software it is easy to numerically integrate and accurately
evaluate Fo integral (As was shown in the previous chapter) in 1920s was almost an impossible
task. In a way, to overcome this situation, basically, Dr. Olin Ball (Ball, 1923) utilized an
empirical model of the temperature history at the slowest heating point. He substituted this
empirical model for temperature in the integral of Fo and solved the integral analytically.
The method has been further developed by several authors (Hicks, 1951; Gillespy, 1953;
Jacobsen, 1954; Hayakawa, 1970; Stumbo, 1973). Among different reviews of the method, an
interesting one is: An evaluation of Balls formula method of thermal process calculations by
Merson and collaborators (Merson et al., 1978).

6.2 Development of the method

As was thoroughly derived in the previous chapter (General Method) the expression to
calculate Fo is:
t T 121.1 t
dt
Fo 10 10
dt Tref T
dt (6.1)
0 0 z
10
Where Tref = 121.1

According to chapter 3, although the heat transfer mechanisms are rather dissimilar, both
models (pure conduction and forced convection), within certain limitations, can be described by
the same mathematical expression that was presented by Ball (1923):
TRT IT
t f log j (3.16) or (6.2)
TRT T

56
 TRT TA
Where: j
TRT IT
As was shown by Datta (1990), the latter expression (equation 3.16) it is not only valid
for finite cylinders, but also for arbitrary shapes (rectangular, oval, etc.). The main limitations are
that, for heat conduction foods, it is only valid for heating times beyond the initial lag period
(when Fourier number > 0.6). The main hypothesis is that sterilized foods although do not behave
as forced convection or pure conduction still follows an exponential curve.
According to Balls nomenclature, to sterilize food products, process lethality can be
expressed as the ratio of the process lethality (FP) with respect to required lethality (FR). It is
worth to point out that instead of FR we have been using Fo. Defining L as process lethality (L
1), then:
b t
F 1 dt
L Pr ocess * Tref T / Z (6.3)
FRe quired FRe quired 0 10

Where tb indicates the end of the process (usually call B). Dividing the process time in heating
and cooling, we can reformulate equation (6.3) as follows:

1 t g dt
tb
dt
L * Tref T / Z Tref T / Z (6.4)
FRe quired 0 10 t g 10

Where tg indicates the time that start the cooling period.

Heating lethality

Ball transformed these integrals (time integrals) in temperature integrals. Deriving

equation (4.16) we obtain:

f d ( TRT T ) (6.5)
dt *
2.303 TRT T

In addition Ball defined the following variables:

Tref TRT and x 2.303
TRT T
U FRe quired *10 Z
z

Therefore, doing the adequate replacements, heating lethality can be expressed as:
1
tg
dt 1 f
Xg
e x (6.6)
Frequired 0 x dx
LH Tref T
*
z
2.303 U Xi
10

57
Where
e x
Xg

dx EI ( xg ) EI ( xi ) (6.7)
Xi
x

EI (x): is the exponential function for heating process (Gautschi, 1964)

( 1 )n x n
EI ( x ) ln x n1

(6.8)
nn!
Normally, values of EI are obtained from tables. Finally the lethality of the heating curve
(LH) is calculated by:

f / U 2.303
LH EI TRT Tg EI 2.303 TRT Ti (6.9)
2.303 z z

In using equation (3.16) to derive equation (6.5), we have ignored the fact that equation
(3.16) does not represent the heating curve accurately for short times (Fourier number < 0.6)(see
Figure 6.1). Because the product temperature is low for short times, the procedure causes
practically no error. For the cooling curve however, the curved deviation from the straight line
occurs at the highest temperature (see Figure 6.2). Therefore Ball (Ball, 1923) divided the
cooling curve into two parts, the curved lag portion, from beginning of cooling (t g) to tlc and the
logarithmic cooling part after tlc.(from Merson et al., 1978)

Figure 6.1.

58
Figure 6.2.

Cooling lethality
As was previously mentioned, in the case of cooling Ball (Ball, 1923) divided into two
parts, therefore cooling lethality (LC) can be expressed as:
(6.10)
1 tlc dt
tb
dt
FRe quired tg 10 Tref T / Z tlc 10 Tref T / Z
LC *

Where tlc is the time when cooling curve plotted semi logarithmic becomes linear. From
time tg to tlc is called the inertia period and from tlc to tb the semi logarithmic curve.

Inertia period
y 2For tthe
2
cooling lag (inertia period) Ball utilized an empirical equation:
2
2
1
A B (6.11)
Where:
y = Tg-T+A
A=0.3*(Tg-Tw)
B=0.0759*f
Then, cooling lethality for the inertia period can be expressed as:
LCI
f /U
2.303

exp 2.303( TR Tg ) / z * 0.332 exp 0.789( Tg Tw ) / z 0.253
zE
Tg Tw

exp 0.692( Tg Tw ) / z
(6.12)

Where function E is numerically evaluated from the following integral:

Where
2.14 Tg Tw
E p2
1
e px ( x 2 1 )1 / 2 dx p 2.303* 0.3*
z

59
Semi logarithmic cooling

Following the same procedure as was in the heating, we can derive the following
expression for the lethality at semi logarithmic cooling curve:
(6.13)
f /U
L SC
2.303
exp
2.303
TR Tw * Ei 2.303
Tlc Tw Ei T f Tw
2.303 z z z

Total lethality
Adding lethalities from heating, inertia period (cooling) and semi logarithmic cooling we
can obtain the total cumulated lethality (L, equation 6.3), then:
Total Lethality = Lethality Heating + Lethality Cooling 1

L LH LC LH LCI LSC 1

Where the corresponding values of heating lethality (LH), lethality of the inertia period
(LCI) and lethality of the semi logarithmic cooling (LSC) are obtained from equations (6.9), (6.12)
and (6.13) respectively.

6.3 Calculations utilizing Formula Method

For a practical use of Ball Formula Method, a series of tables has been developed. As we
will show in the following paragraphs the utilization of Formula Method is straight forward and it
is possible to calculate F value for a given heat penetration curve or calculate the required
process time for a specific F.
We will develop examples utilizing Formula Method to either calculate the cumulated
lethality in a given process (Fp) or the required process time (B) for a specific Fp.
Before to start, it is necessary to understand the different meanings of process time. In a
commercial operation process time or operator process time (tp or Pt) is measured from the time
when the retort reaches processing temperature (TRT) to the time when the steam is turned off
and starts cooling. As expressed by Ball (1923): The time taken to bring a retort to processing
temperature after steam has been turned on is the time during which heat is entering the can, and
therefore this period must have some time value as a part of the process. Ball experimentally
determined that 42% of the come up time should be considered as process time at retort
temperature, therefore:
B = Pt + 0.42*tC (6.14)
Where
B: Processing time calculated with Ball Formula Method
Pt: Operators processing time (processing time at TRT)
tC: Come up time (time to reach TRT)

Required formulas and tables

For the examples shown below we will require the following equations and tables, in
addition, temperature data will be managed in F, as follows:

log g log j( TRT T0

B
(6.15)
f

60
And
f*L
Fp (6.16)
( f /U )
Where
B: Ball processing time
TRT 250
L: lethal rate, 10 z
(f /U): Obtained from table 7.1 for a given value of log g

Calculation example 1
What will be the operators processing time (Pt) for a process that requires an F value of 6
min and with the following data:

f = 50 min; j = 1.7; TRT = 240 F; T0 = 100 F; z = 18 F; come up time = 10 min

Solution
Firstly, utilizing Ball procedure we will calculate Ball processing time (B) and then
through equation 7.14 we will get the operators process time (Pt).

TRT 250 240250

L 10 z 10 18 0.27825594

f * L 50 * 0.27825594
( f /U ) 2.3188
F 6

Utilizing the (f /U) value and interpolating we obtain from table 7.1: log g 0.38795
From equation 6.15, we have:
log g log j( TRT T0
B
(6.15)
f
Then replacing the adequate data in equation 6.15, we have:
0.38795 log1.7( 240 100
B
50
Then
B 99.4 min
Replacing in equation 6.14 and considering that come up time is 10 min we can obtain operators
process time:
Pt 95.2 min

NOTE:
1.- Running example 1 with the accompanied software we obtained B = 101 min, that is well
compared with our result of 99.4 min.
2.- Running example 1 from web page : http://cifmc.foodsci.purdue.edu/ball/ball.cfm
we obtained B = 98.6 min that is well compared with our result of 99.4 min.

61
 3.- Utilizing Stumbos table to get (f /U) for j = 1.7, we obtain B = 95.6 min. Again is close to our
result and, in addition, our result is in the safe side.

Calculation example 2
What will be the Fp value if the operators processing time (Pt) is 85 min with the
following data:
f = 60 min; j = 1.4; TRT = 250 F; T0 = 100 F; z = 18 F; come up time = 8 min

Solution
From equation 6.14 we can get Ball processing time (B), as follow:
B = Pt + 0.42*tC = 85 + 0.42*8 = 88.36 min
TRT 250 250250
L 10 z 10 18 1
From equation 6.15, we have:
log g log j( TRT T0
B
(6.15)
f
Then replacing the adequate data in equation 6.15, we have:

log g log1.4( 250 100
88.36
0.84955 3
60
Utilizing table 6.1 and interpolating we obtain:
( f / U ) 6.891218

Table 6.1 Values of (f / U) for given log g ( z = 18 F) , but restricted to j = 1.4 based on Ball
(1928)
Log g .00 .01 .02 .03 .04 .05 .06 .07 .08 .09
-2.00 0.369 0.368 0.366 0.365 0.364 0.362 0.361 0.360 0.358 0.357
-1.90 0.383 0.382 0.380 0.379 0.377 0.376 0.375 0.373 0.372 0.370
-1.80 0.398 0.397 0.395 0.394 0.392 0.391 0.389 0.388 0.386 0.385
-1.70 0.415 0.413 0.412 0.410 0.408 0.407 0.405 0.403 0.402 0.400
-1.60 0.433 0.431 0.429 0.427 0.426 0.424 0.422 0.420 0.418 0.417
-1.50 0.452 0.450 0.448 0.446 0.444 0.442 0.441 0.439 0.437 0.435
-1.40 0.474 0.472 0.469 0.467 0.465 0.463 0.461 0.459 0.457 0.455
-1.30 0.498 0.495 0.493 0.490 0.488 0.485 0.483 0.481 0.478 0.476
-1.20 0.524 0.521 0.518 0.515 0.513 0.510 0.508 0.505 0.503 0.500
-1.10 0.552 0.549 0.546 0.543 0.541 0.538 0.535 0.532 0.529 0.526
-1.00 0.585 0.581 0.578 0.575 0.571 0.568 0.565 0.562 0.559 0.556
-0.90 0.623 0.618 0.614 0.609 0.604 0.599 0.599 0.595 0.592 0.588
-0.80 0.670 0.665 0.660 0.656 0.651 0.647 0.642 0.637 0.633 0.628
-0.70 0.717 0.712 0.708 0.703 0.698 0.693 0.689 0.684 0.679 0.674
-0.60 0.769 0.763 0.758 0.753 0.747 0.742 0.737 0.732 0.727 0.722
-0.50 0.827 0.820 0.814 0.808 0.802 0.797 0.791 0.785 0.780 0.774
-0.40 0.894 0.887 0.880 0.873 0.866 0.859 0.852 0.846 0.839 0.833
-0.30 0.974 0.966 0.957 0.949 0.940 0.932 0.924 0.917 0.909 0.901
-0.20 1.071 1.060 1.050 1.040 1.030 1.020 1.011 1.001 0.992 0.983
-0.10 1.187 1.175 1.162 1.150 1.138 1.126 1.115 1.103 1.092 1.081
-0.00 1.314 1.299 1.284 1.269 1.255 1.241 1.227 1.214 1.200
0.00 1.330 1.346 1.362 1.379 1.396 1.413 1.431 1.449 1.468 1.487
0.10 1.506 1.526 1.546 1.567 1.588 1.610 1.632 1.654 1.678 1.701
0.20 1.726 1.751 1.776 1.803 1.829 1.857 1.885 1.914 1.944 1.974
0.30 2.005 2.037 2.070 2.104 2.139 2.174 2.211 2.248 2.287 2.327

62
0.40 2.368 2.410 2.454 2.498 2.544 2.592 2.640 2.691 2.743 2.796
0.50 2.852 2.909 2.968 3.029 3.092 3.157 3.224 3.294 3.366 3.441
0.60 3.519 3.599 3.682 3.768 3.858 3.951 4.048 4.148 4.252 4.361
0.70 4.474 4.591 4.714 4.842 4.975 5.113 5.258 5.410 5.568 5.733
0.80 5.906 6.087 6.276 6.474 6.682 6.901 7.130 7.370 7.623 7.889
0.90 8.168 8.463 8.773 9.100 9.445 9.809 10.194 10.600 11.031 11.486
1.00 11.969 12.481 13.024 13.601 14.213 14.865 15.560 16.299 17.088 17.929
1.10 18.828 19.789 20.817 21.919 23.100 24.367 25.729 27.192 28.767 30.465
1.20 32.295 34.271 36.407 38.718 41.221 43.935 46.881 50.083 53.568 57.364
1.30 61.505 66.028 70.974 76.389 82.326 88.843 96.008 103.895 112.589 122.187
1.40 132.8 144.5 157.6 172.0 188.1 206.0 226.0 248.4 273.4 301.4
1.50 332.9 368.3 408.2 453.3 504.3 562.0 626.6 702.2 787.1 884.2

Replacing in equation 6.16, we obtain:

f*L 60 * 1
Fp 8.7 min
( f / U ) 6.891218

NOTE:
1.- Running example 2 with the accompanied software we obtained Fo = 7.7 min, that it is not
very well compared with our result of 8.7 min. But running the accompanied program for a Fo of
8.7 min, we obtained B = 90.5 that is well compared with B = 88.36 min.
2.- Running example 2 from web page: http://cifmc.foodsci.purdue.edu/ball/ball.cfm
we obtained F = 8.9 min that is well compared with our result of 8.7 min.

6.4 Analysis of the Formula Method

In the literature several papers have analyzed Ball Formula method. Particularly a detailed
analysis is given in Merson et al., 1978.
According to Holdsworth (1997), although the widespread use of the Ball procedures, it
is important to note:
1. - The method applies for jc value of 1.41
2. The curvilinear portion of the cooling curve stops at tc = 0.14fc.
3. The method over estimates the value when jc < 1.41 and, conversely, underestimates the
F-value when jc > 1.41.
4. The cooling phase treatment is less satisfactory than some of those developed by other
authors.

63
 QUIZ

1. - Which one the following process evaluation technique was first developed?

a) Hamadas method b) General Method c) Ball Formula Method d)

Gillespies method.

2. Why Ball Formula Method was widely utilized from most part of the past century?
3.
a) Because of its accuracy b) Easy to use c) It was the only evaluation technique.

4. In which theoretical case the operators process time (Pt) is equal to Ball process time
(B)?
5.
a) Never b) come up time tend to infinite c) come up time tend to zero

4. If TRT (process temperature) increases then processing time will decreases? Hint: use only
logical reasoning.

TRUE FALSE

5. If f increases then processing time will increases? Hint: use only logical reasoning.

a) True b) False c) It is necessary to have additional information.

6. If T0 (initial temperature of the food) increases then processing time will decreases? Hint:
use only logical reasoning.

TRUE FALSE

64
REFERENCES

Ball, C.O. 1923. Thermal processing time for canned foods. Bull. 7-1 (37), Natl. Res. council,
Washington, D. C.

Merson, R.L., Singh, R.P. and Carroad, P.A. 1978. An evaluation of Balls formula method of
thermal process calculations. Food Technol. 32 (3): 66-76.

65
7. QUALITY EVALUATION

Goal: When you have finished this lesson you will understand:
- How to theoretically estimate quality in thermal processing and how to consider it as a
part of the process design and optimization.

And, you will learn:

- What is cooking value?
- What are the origins of cooking values
- What are the limitations of cooking value concept?
- How to estimate surface quality retention?
- How cooking value is related to surface retention?
- How to quantitatively estimate quality in thermal processing?
- What is the thermal resistance of different quality attributes?
- How the thermal resistance of thermo labile quality attributes compares with the most
heat resistant microorganisms?
- How we can decide the process temperature?
- Why for liquids foods it is favorable to do UHT process?

7.1 Introduction

Thermal processing not only inactivates microorganisms, in addition, it has a detrimental

effect on vitamins, color, texture and other quality attributes. As have been discussed in chapter
5, sterilization criterion is very strict. We have shown through different examples that a Fo value
in the range of 6 to 8 min (commonly utilized in canning industry world wide) is a very severe
heat treatment that will guarantee a safe production of sterilized products (the minimum
acceptable heat treatment for low acid foods is Fo > 3 min).
The questions that we will approach in this chapter are:
a) How has been conceive quality, an historical perspective?
b) How to assess quality in thermal processing?
c) What is the impact of thermal processing on quality?
d) Can we design a process to improve quality?
e) What are the main variables on thermal processing that affect quality losses?

7.2 Historical perspective and analysis

Cooking value was first proposed by Mansfield (1962, 1974) and then discussed and
utilized by several authors and accepted by the food science and technology community. The
basic equation for the cooking value C z is given by:
Tref

t T Tr

Cr 10 zc
dt (7.1)
0
The cooking value parameters zc and Tr differ according to the particular thermolabile
component considered. For cooking, the zc-value chosen is usually 33.1C and the reference
33.1 33.1
temperature 100C, and this is designated C0 , i.e. C100 , although C121.1 is often used for
comparison with Fo values. It is important to define the constants zc and Tr clearly so that there is

66
no misunderstanding (Holdsworth, 1997).
According to equation (7.1), to estimate cooking value, besides the temperature history,
the only requirement is zc value. According to its definition z value represents the temperature
dependency but has no relation with the thermal resistance of a given attribute. On the other
hand, D value has a direct relation with the thermal resistance of the target attribute and it is not
required data to estimate cooking value. So, the intricate problem will be how to interpret the
obtained cooking value. Clearly, it will have different meanings depending on the target attribute.
According to Holdsworth (1997), D121 values vary widely from 0.45 through 2350 [min].
For example, how to interpret a cooking value of 30 [min] (Tr=100 [C])? Choosing real
values for quality factors from Holdsworth (1997) (pea pure and green beans) with the same zc
(32.5 [C]) but with different Dr (4 and 115 [min] at 121 [C]) the following results were obtained.
In the case of the less resistant attribute, we obtained a 0.8 decimal reduction and surface
retention of 15.84%, and for the most resistant attribute, a 0.028 decimal reduction and a surface
retention of 93.8% (see detailed calculations in 7.5).
Another critical aspect of the utilization of cooking value is the fact that zc presents a wide
range among different target attributes. It sound difficult to accept a universal value of 33.1 C for
zc. According to Holdsworth (1997), zc ranges go from 2.66 through 109.7 C. A quite small
difference of 5 [C] in zc will account for a difference in cooking value in the range of 10 to 15%
with the remaining problem of its particular interpretation (Dr value?).

7.3 Origin and rationale of cooking value.

Cooking value was derived from the Fo definition. To have a clear understanding of its
usefulness as a quality indicator, we shall first give a derivation in a similar way that was done
for Fo value in chapter 5.
When defining a closed system (canned food, retortable pouches, a particle in a moving
system, etc) and doing a quality balance, we obtain equation (7.3):
In general, for an open system in unsteady-state condition:

d MQ
FQi FQo M dQ
(7.2)
dt I dt S
Where
F: Flux (kg/h)
M: Mass (kg)
Q: Quality attribute (kg. attribute/kg)
t: time (h)
i, o : input and output
I: Inactivation
S: System

But for a closed system, the quality balance for a specific target attribute, at the surface,
the above equation is reduced to:
dQ dQ
dt dt (7.3)
I S
As a demonstration exercice we will begin considering an inactivation kinetics of n-order
for the target attribute.
67
 dQ n (7.4)
dt kQ
I
Replacing equation (7.4), kinetics equation, into equation (7.3) mass balance equation, we obtain:

dQ (7.5)
kQn
dt S

To obtain a relationship between k and D values it is necessary to separate variables and

integrate equation (7.5) with limits from 0 to D for time and from Qo to Qo /10 for the target
attribute. The first, an intriguing result, which is noticed, is that the relationship between k and D
values depends on the kinetic order as follows:
ko ( n )
k
DQon 1 (7.6)
To quantify ko (n) for a specific n value it is necessary, again, to integrate equation (7.5)
from time 0 to D and target attribute from Qo to Qo /10 for the selected n value. In the case of n =
1 (first order kinetics), ko(1) = 2.303 and equation (8.6) has the well known form of equation
(8.7):

ln 10 2.303
k (7.7)
D D

In addition, the intriguing thing is that, besides first order kinetics, the relationship
between k and D is related to the initial state of the target attribute (Qo).
Replacing equation (7.6) into equation (7.5) and integrating time from 0 to t for time and
from Qo to Qo /10x for the target attribute, we obtain:

t T Tr

zc Dr 1
10 dt x(1 n) 1
(n 1)k o (n) 10 (7.8)
0
Where T is the surface temperature of the food.

Calculating the limit of the function given below when n 1 (first order kinetics), we
get:
1 1
Limit x(1 n) 1 x
n1 n 1ko (n) 10
Then, replacing into equation (7.8):
t T Tr

10 dt xDr Cr
zc
(7.9)
0

68
 Where equation (7.9) resembles the well known equation for cooking value (first order
kinetic). In general for n-order kinetics and closed systems the final concentration of a given
target attribute (Qf) at the surface could be evaluated through equation (7.10):
1
t (1 n)

1 n
Q f Qo (1 n) kdt
;n1 (7.10)
0
And, in the case of n = 1, first order kinetics:
t

kdt
Q f Q0 e 0
(7.11)
Or expressed in terms of D value:
1
t T Tr (1 n)
(1 n)ko (n)

Qf zc
1 10 dt
Qo Dr ; n1 (7.12)
0
And, in the case of n = 1, first order kinetics:
t T Tr
ln 10

zc
10 dt
Dr
Q f Q0 e 0
(7.13)
And relating to cooking value (Cr):
1
Qf (1 n)ko (n) (1 n)
1 Cr
Qo ;n1
Dr (7.14)
And, in the case of n = 1, first order kinetics:
ln 10
Cr
Q f Q0 e Dr
(8.15)
One alternative, of a practical use of the aforementioned equations, is the calculation of
the cooking value on the surface. But, as mentioned in the beginning it will be necessary to have
a zc value, and, in addition, a corresponding value for Dr. Without knowing Dr the obtained value
for Cr is not interpretable and understandable. Depending on the target attribute (Dr), Cr will have
different meanings.
Clearly, the calculation of cooking value (Cr) at the cold spot is not important because it is
reflecting the minimum cooking value in the whole food product.

7.4 Quality retention.

A better way to examine the impact on quality of a given thermal process with the
specified constraints- is the evaluation of the target attribute retention. Starting, again, from
equation (7.3) and assuming first order kinetics for the attribute deterioration, we can obtain an
equation for surface retention (from equation (7.13) :

69
 t TS Tr
ln 10

zc
Qf
10 dt
Dr
* 100 % Surface 100e 0
(7.16)
Q0
And relating the surface retention with the cooking value, we obtain:
ln 10
Qf Cr
* 100 % Surface 100e Dr
(7.17)
Q0

The main difference between equation (7.16) and the equation for cooking value is that
the surface retention is a direct calculation of the process-impact over the foods products surface.
To do the calculations for surface retention it is necessary to know, not only the value zc but also
the Dr value.

In addition, in the case of retention, it is also possible to derive an equation for the average
retention in the whole product. The volume-average quality retention value is given by:
t T Tr
ln 10
V 10 z dt

C e
1 Dr
% Average o
0 dV
V (7.18)
0
The main drawback of equation (7.18) is the requirement of information. It is imperative
to have temperature data for the whole container for the whole process.

7.5 Quality estimation: Calculation examples

Firstly, in simple terms we will analyze what is the quality impact of a severe heat
treatment. According to cahpter 5 (sterilization criterion), for safety reasons it has been
recommend a 12D heat treatment. According to the calculations carried out in chapter 5, we
showed the severity of this criterion. Now we will carry out some calculations to figure out
what is the real impact of this severe treatment on quality atributes. Given that Clostridium
botulimun has a D value of .21 min at 250F, then a 12D treatment means 2.52 min at 250F.
How does this severe thermal process affect quality?
Before to do any calculations, it is necessary to know what is the thermal resistance of the
reference attribute. What is a reference attribute? Usually, in thermal processing, thiamine has
been utilized as a reference quality attribute, because of the importance of vitamins, but also for
its high thermolability when compared with other vitamins and quality attributes. The thermal
resistance of thiamine can be characterized by a first order kinetics with the following
parameters:
D250F = 250 min; z = 25C (Nasry et al., 1993)
Then replacing into equation (7.16) and using 2.52 (12D) as a processing time at 250F,
we obtain:
t TS Tr
ln 10

zc
ln 10
Qf Dr
dt 10
2.52
* 100 % Surface 100e 0
100 e 250 97.7%
Q (7.19)
0
And for a more severe heat treatment, Fo = 6 min, then:

70
 t TS Tr
ln 10

zc
ln 10
Qf Dr
10 dt
6.0
* 100 % Surface 100e 0
100e 250 94.6%
Q (7.20)
0

Although very promising (very high surface retention), these results are clearly misleading.

What is wrong with this quality estimation?

Most that canned foods can not be instantly heated; the real process time is much larger
than 2.52 min at 250F. In the particular case where you can instantly heat up the food product,
the process time (at 250F) will approximate the time specified for Fo. In real practice, we will
experience at least two big differences: a) a process carried out at 250F will take, more and less,
from 30 to 60 min, and b) the Fo value will be approximately 6 min.
Considering this two real cases, the surface retention for thiamine will be:
t TS Tr
ln 10

zc
ln 10
Qf Dr
10 dt
30
* 100 % Surface 100e 0
100e 250 75.9%
Q (7.21)
0
t TS Tr
ln 10

zc
ln 10
Qf Dr
10
dt
60
* 100 % Surface 100e 0
100 e 250 57.5%
Q (7.22)
0
According to these results, surface retention will range between 57.5 to 75.9%. These
results are well compared with results reported in scientific literature. Although these results
should be taken as general reference, with this tool you will be able to estimate surface retention
in your particular process under analysis. In addition, a more valuable information will be to
estimate the average retention, giving you a better picture of what is happening in the whole food
product. However, the aforementioned results are a good guidence to assess the impact of thermal
processing on quality.

How to choose the right processing temperature?, is there an optimum processing

temperature?

Liquids foods
Firstly, we will analyze the case of liquids foods, like milk, juices etc. In terms of heat
transfer, it is fairly correct to consider that we can instantly heat up the product. If this is the
case, the results obtained in equations (7.21) and (7.22) are a good estimate of the whole quality
of the product (no temperature distribution). Considering again, thiamine as a reference for
quality attribute and a Fo = 6 min as a safety criterion, we will compare the quality impact at
different processing temperatures (equivalent lethality processes). Utilizing equations (7.23) and
(7.24) to estimate process time and surface quality retention respectively, we obtained Table 7.1.
t T Tr
Fo
0
10 z dt (7.23)

71
 t TS Tr
ln 10

zc
Qf
10 dt
Dr
* 100 % Surface 100e 0
(7.24)
Q0

Table 7.1. Quality retention in liquid foods for equivalent lethality processes.

T F (C) t (min) Quality Retention (%)

250 (121.1) 6 94.6
268 (131.1) 0.6 98.62
286 (141.1) 0.06 99.65
304 (151.1) 0.006 99.91
a) Where for thiamine: D121.1 = 250 min, z = 25C
b) Fo = 6 min.

What we can learn from from the results of Table 7.1?

Independent of process temperature, all processes present a fine quality product.
The higher the process temperature the better for product quality. Even we can
state that a process at ~150 C it is almost invisible in terms of quality (almost
100% quality retention).

Meanwhile you have the capacity to heat up your product suddenly, heat treatment will
not cause any damage to your product. In addition, the higher temperature the better. In fact,
UHT treatment (e.g. for milk) is carried out at tempeartures close to 150C.

Why high temperatures are better?, it is because time is very short?

Remember that all treatments (Table 7.1) are equivalent lethality processes. Meaning that
the safety creterion is the same in each case. Table 7.2 shows the thermal resistance of
microorganisms (in this case Clostridium botulinum) and quality attribute (Thiamine) as a
function of temperature.

Table 7.2. Microorganisms and quality attribute resistance (min) against temperature.
T F (C) D-value Clostridium botolinum D-value Thiamine Resistance Ratio
250 (121.1) 0.21 250 ~ 1190
268 (131.1) 0.021 ~ 99.6 ~ 4740
286 (141.1) 0.0021 ~ 39.6 ~18867
304 (151.1) 0.00021 ~ 15.74 77114

According to Table 7.2, as expected, at higher temperatures, both, microorganisms and

quality attribute are less resistant: Although, more important than that, as temperautre increase
their relative resistance is increasing in favor of quality attribute. To understand this result we
need to remember that z value for Clostridium botulinum is 10C and for thiamine is 25C.
Meaning that, the heat resistance of microrganisms is decreasing 10 times every 10C, but in the
case of thimine, is decreasing also ten times, but every 25C. The higher the temperature, most
resistant is thiamine in relation to Clostridium botulinum.

72
Other foods, mostly solids, and solids/liquids mixtures
In this case, theoretical analysis is much more difficult. In addition, should be done case
by case. An interesting reference is the paper written by Arthur Teixeira and co-workers (Teixeira
et al., 1969). According to Teixeiras paper there is an optimum process temperature per each
process, depending on can size (format) and food product. Remember that for liquids,
theoretically, the higher the process temperature the better product quality. According to the
abundant literature and also our personal experience, normally, for canned foods, the optimum
process temperature is in the rage of 116 to 124C. As expected for retortable pouches, quality it
is not only higher when compared with tin cans, but the optimum process temperautre is in a
higher range. Retortable pouches have a much larger area per unit volume in relation to tin cans,
meaning that the heat transfer is faster and requiring less process time. Figure 7.1 shows the
effect of process temperature on quality retention and energy consumption over a range of
equivalent lethality processes.

Figure 7.1. Effect of process temperature on quality retention and energy consumption over a
range of equivalent lethality processes

7.6 How the severity of sterilization criterion affects quality

As has been stated in chapter 5, the minimum Fo is 3 min and normally in practical
applications (industrial processing) the Fo ranges from 6 to 8 min. and even more. Talking about
in terms of 12D concept (Fo ~ 3.0 min), a Fo in the range of 6 to 8 min means 24 to 32D.
In practice, a more severe heat treatment means more safety for the consumers, but on the
other hand, less quality of the end product. As was quantitatively exemplified in chapter 4, the
gain in safety is spectacular. As was calculated in chapter 4, a heat treatment designed for a Fo =

73
6 min will imply 1 outbreak every 100.000 billions years.
But still remains the question what is the impact of a more severe heat treatment (harder
criterion) on food quality?

Liquids foods
According to table 7.1 a treatment designed for a Fo = 6 min at 151.1C gave a final
thiamine retention of 99.91%. If the process were designed for a less severe heat treatment, say a
Fo = 3 min the final thiamine retention will be:

t TS Tr
ln 10 1 5 1.11 2 1.1

zc
ln 10
Qf Dr
10 dt
10 25 * 0.003
* 100 100e 0
100e 250 99.95%
Q (7.25)
0

Although 99.95% is higher than 99.91%, both heat treatments are producing high quality
products. At least, for liquids foods it is better to apply a more severe heat treatment because you
are gaining a lot in safety and, almost, at the same final quality.
Remembering from chapter 5, a 12D (Fo ~ 3 min) has an implication of 3 to 4 outbreaks
per 100 years, meanwhile a Fo = 6 min has an implication of 1 outbreak every 100.000 billions
years (much more secure).

Other foods, mostly solids, and solids/liquids mixtures

In the case of solids and solid/liquids mixtures it is much more difficult to generalize.
Procesing time it is not only related with processing temperature but also with packaging format,
food thermal properties, etc. To have an idea we will look through an example of a typical can
food.
Let us utilize the following data:
TRT = 250F, Tref = 250F, fh = 60 min, j = 1.4, T0 = 110F, CUT = 8 min
Utilizing Formula Method (Chapter 7) we can obtain processing time (B) and then
operator processing time (Pt). Quality will be estimated calculating the thymine retention at the
surface as a mode of comparison.
Case I (Fo = 3 min)
From formula Method (chapter 6), we obtain B = 73 min, then from the equation B=
Pt + 0.42*CUT, we obtain:
Pt ~70 min
To evaluate the impact of this process on quality, we will calculate the surface retention of
thiamine (we will assume no impact on quality during CUT).
t TS Tr
ln 10

zc
Qf Dr
10 dt
* 100 % Surface 100e 0
52.5%
Q (7.26)
0

Case II (Fo = 6 min)

From formula Method (chapter 6), we obtain B = 82.5 min, then from the equation B=
Pt + 0.42*CUT, we obtain:
Pt ~ 79 min

74
 To evaluate the impact of this process on quality, we will calculate the surface retention of
thiamine (we will assume no impact on quality during CUT).
t TS Tr
ln 10

zc
Qf Dr
10 dt
* 100 % Surface 100e 0
48.3%
Q (7.27)
0
Although in this case, solids and solid/liquids mixtures (when compared with liquids
foods) the difference in surface retention is a bit more noticeable, clearly, again, it is more
convenient to go for the safer process. The gain in safety is much more important than the loss in
product quality.

75
 QUIZ

1. Theoretically the optimum thermal processing temperature for liquids products is in the
range of 116 124 C

TRUE FALSE

2. The high retention in UHT process is due to the very short processing time.

TRUE FALSE

3. The derived relationship k = ln10/D it is only valid for first order kinetics

TRUE FALSE

4. The thermo labile thiamine is less thermal resistant than Clostridium botulinum.

TRUE FALSE

5. The main reason why UHT processes are so effective in quality retention is because z for
quality attributes is much larger than z values of target microorganisms.

TRUE FALSE

6. Considering a z value of 10C for Clostridium botulinum and Fo of 4 min, then:

a) F131 = 40 min b) F111 = 0.4 min c) F141 = 0.4 min d) F131 = 0.4 min

7. Why thiamine is utilized as a reference quality attribute?

a) Because is the highest resistant quality attribute b) Because is the less resistant quality
attribute c) Because it has an intermediate resistance.

8. In the case of liquids foods a very severe heat treatment is highly recommended.

TRUE FALSE

76
REFERENCES

Holdsworth, S.D. 1997. Thermal processing of packaged foods. Blackie Academic &
Professional. London.

Mansfield, T. (1962). High-temperature short-time sterilization. In J. Hawthorn & M. Leich

(Eds.), Proc. 1st int. congress food sci. technol Vol. 4 (pp. 311316). London: Gordon & Breach.

Mansfield, T. (1974). A brief study of cooking. San Jos, CA: Food & Machinery Corporation.

Teixeira, A., Dixon, J., Zahradnik, J. and Zinsmeiter, G. (1969). Computer Optimization
of Nutrient Retention in the Thermal Processing of Conduction-Heated Foods. Food
Thecnol. 23(6), 845-850.

77
8.- PROCESSING AND ENGINEERING ASPECTS OF THERMAL PROCESSING

Goal: When you have finished this lesson you will understand:
- How a retort is operated as a unit and a part of the whole thermal processing plant
-
And, you will learn:
- What is the difference between batch and continuous plant?
- In which cases it is convenient to have a continuous canning plant.
- In which cases it is convenient to have a batch canning plant.
- How a battery retort system can be continuously operated?
- What is a typical profile for energy demand in thermal processing?
- How to manage several retorts, at the same time, and avoid a high peak energy demand?
- Why batch processing has been extensively practiced in thermal processing?

8.1 Introduction
Firstly, we can say that a manufacturing process is a series of operations performed in the making
or treatment of a product. Before to approach thermal processing, let us to give general guide
lines in relation to processes classification and type of processes.
Classification of processes
A. Based on how the process varies with time.
a. Steady-state process is one that does not change with time. Every time we take a snapshot, all
the variables have the same values as in the first snapshot.
b. Unsteady-state (Transient) process is one that changes with time. Every time we take a
snapshot, many of the variables have different values than in the first snapshot.
B. Based on how the process was built to operate.
a. Continuous process is a process that has the feed streams and product streams moving
components into and out of the process all the time. At every instant, the process is fed and
product is produced. Examples are tomato concentration, an oil refinery, etc.
b. Batch process is a process where the feed streams are fed to the process to get it started. The
feed material is then processed through various process steps and the finished products are
created during one or more of the steps. The process is fed and products result only at specific
times. Examples are making a batch of a product, like soup or a specialty chemical.
c. Semi-batch process (also called semi-continuous) is a process that has some characteristics
continuous and batch processes. Some components in the process are handled batch-wise.
Some components are processed continuously.
Types of balances
a. Differential Balance is balance taken at a specific instant in time for a system with gradients
(i.e. concentration gradient). Defining a very small volume (differential) as a system it is
possible to overcome this gradient and consider that in this specific small volume
concentration is uniform and unique. It is generally applied to a continuous process, but also
to some classical examples of batch processes.
b. Integral balance is a balance taken at two specific instants in time. It describes what has
happened over the time period between the two points. An integral balance is generally
applied to the beginning and the end of a batch process. It accounts for what happens to the
batch of components.

78
8.2. Batch processing
Batch processing has been widely practiced but little analyzed in the context of canned
food plants. Although high speed processing with continuous rotary or hydrostatic retort systems
can be found in very large canning factories, such systems are not economically feasible in the
majority of small to medium-sized canneries (Simpson et al. 2003).
In this chapter, we will analyze batch processing in a retrospective and a prospective
view. Firstly, batch processing problem structure will be defined in relation to canned food
plants. Then, a batch system optimization will be discussed. To bridge the gap between thermal
processing and industrial engineering in optimizing design and operation of food canning plants
we will discuss and present specifics procedures. Finally, we will try to discuss and analyze this
large and diverse field where should be plenty of room for surprises, perhaps particularly for
those who take time to look closely enough with an open and speculative mind.

8.3 Batch processing problem structure in canned foods

Batch processing with a battery of individual retorts is a common mode of operation in
many food-canning plants (canneries). Although high speed processing with continuous rotary
or hydrostatic retort systems can be found in very large canning factories (where they are cost-
justified by high volume throughput), such systems are not economically feasible in the
majority of small to medium-sized canneries (Norback and Rattunde, 1991). In such smaller
canneries, retort operations are carried out as batch processes in a cook room in which the
battery of retorts is located. Although the unloading and reloading operations for each retort
are, labour intensive, a well designed and managed cook room can operate with surprising
efficiency if it has the optimum number of retorts and the optimum schedule of retort
operation.
This type of optimization in the use of scheduling to maximize efficiency of batch
processing plants has become well known, and is commonly practiced in many process
industries. Several models, methods and implementation issues related to this topic have been
published in the process engineering literature (Rippin, 1993; Kondili et al., 1993; Reklaitis,
1996; Barbosa and Macchietto, 1993; Lee and Reklaitis, 1995a, 1995b). However, specific
application to retort batteries in food canning plants has not been addressed in the food process
engineering literature. Food canneries with batch retort operations are somewhat unique in that
the cannery process line as a whole is usually a continuous process in that unit operations both
upstream and downstream from the retort cook room are normally continuous (product
preparation, filling, closing, labeling, case packing, etc.). Although retorting is carried out as a
batch process within the cook room, unprocessed cans enter and processed cans exit the cook
room continuously at the same rate (see Figure 8.1). Since the entire process line operates
continuously, food canneries are often overlooked as batch process industries.

79
Figure 8.1 General simplified flow diagram for a canning plant.

Food processing, and thermal processing in particular, is an industry confronted with

strong global competitiveness. Continuous innovation and improvement of processing procedures
and facilities is needed. Although the literature in food science and thermal processing is very
extensive, most of the references deal with the microbiological and biochemical aspects of the
process or with engineering analysis of a single unit process operation, and rarely analyze the
processing operations in the context of manufacturing efficiency. The early stages of a project
usually involve studies of alternative processes, plant configurations and type of equipment.
Among problems confronted by canned food, plants with batch retort operations are peak
energy/labor demand, underutilization of plant capacity and underutilization of individual retorts.

8.4 Batch processing in canned food plants

In batch retort operations, maximum energy demand occurs only during the first few
minutes of the process cycle to accommodate the venting step, while very little is needed
thereafter in maintaining process temperature. Likewise, peak labour demand occurs only
during loading and unloading operations, and is not required during the holding time at
processing temperature. In order to minimise peak energy demand it is customary to operate
the retorts in a staggered schedule, so that no more than one retort is venting at any one time.
Similar rationale applies to labour demand, so that no more than one retort is being loaded or
unloaded at any one time. Too few retorts in a battery can leave labour unutilised, while too
many will leave retorts unutilised. The optimum number will maximise utilization of labour
and equipment, thus minimising on-going processing costs. Alternatively, the optimum
number of retorts may be based upon maximising the economic rate of return on the capital
investment in the project measured in terms of net present value, which takes many additional
factors beyond processing costs into account. In the case of maximising output from a fixed
number of retorts for different products and container sizes, iso-lethal processes can be
identified for each of the various products (alternative combinations of retort temperature and
process time that deliver the same lethality), from which a common set of process conditions
80
can be chosen for simultaneous processing of different product lots in the same retort.

8.5 The hierarchical approach

The hierarchical approach consists of successive refinements and the design procedure
is similar to the hierarchical planning strategy discussed in the artificial intelligence (AI)
literature (Douglas, 1988).
In contrast to normal true batch processes, canned food plants are operated with just
one stage functioning in a batch mode. During normal operation of the sterilization stage
(Figure 9.1) the various retort units are filled with cans, perform the retorting process for a
specified period and then they shut down and the cycle is repeated. As previously mentioned,
in canned food plants, all units, with the exception of retorts, operate continuously. The
distinction between batch and continuous processes are sometimes somewhat fuzzy
(Douglas, 1988). According to the literature, when a plant has one or two batch operations
with large production rates that otherwise operate continuously; they are normally referred to
as a continuous process. Although most of the food science and food engineering literature
refers to a canning plant as a batch plant, when the sterilization stage is operated in batch
mode, and the hierarchical approach is applied, it is assumed that it is better to classify it as a
continuous process.
The design effort will be to decide whether a concept is sufficiently promising from an
economic point of view that a more detailed study could be justified. In our specific case the
flow scheme of the process is presented in Figure 9.1. Although some exceptions to this flow
scheme could be justified, the following analysis will consider it as a general flow scheme for
canned foods plants. One of the main targets could be to decide the optimum number of retorts
that can be allocated in a canned food plant.

8.6 Retort scheduling.

Batch processing in food canneries consists of loading and unloading individual batch
retorts with baskets or crates of food containers that have been filled and sealed just prior to the
retorting operation. Each retort process cycle begins with purging of all the atmospheric air from
the retort (venting) with inflow of steam at maximum flow rate, and then bringing the retort up to
operating pressure/temperature, at which time the flow rate of steam falls off dramatically to the
relatively low level required to maintain process temperature. The retort is then held at the
process temperature for the length of time calculated to achieve the target lethality (Fo value)
specified for the product. At the end of this process time, steam to the retort is shut off and
cooling water is introduced to accomplish the cool down process, after which the retort can be
opened and unloaded.
One of the factors that should be considered to decide retort scheduling is the energy
demand profile during sterilization processing (Almonacid et al., 1993). In batch retort
operations, maximum energy demand occurs only during the first few minutes of the process
cycle to accomplish the high steam flow venting step. Very little steam is needed thereafter to
compensate for the bleeder (and convection and radiation losses) in maintaining process
temperature (Bhowmik et al., 1985; Barreiro et al., 1984). A typical representation of the energy
demand profile during one cycle of a retort sterilization process is shown in Figure 8.2. As
shown, at the initial stage of the process a high peak of energy consumption occurs (venting
before reaching the retort temperature), later decreasing dramatically, and finally reaching a low
and constant value (convection, radiation and bleeder). Thus, the energy demand for the whole
plant will be conditioned upon this acute venting demand in the sterilization process of each
81
retort operating cycle. To minimize the boiler capacity and maximize energy utilization, it is
necessary to determine adequate scheduling for each individual retort.

Figure 8.2 Process temperatures and transient steam consumption profiles for insulated and non-
insulated retort.

Likewise, peak labor demand occurs only during loading and unloading operations, and is not
required during the holding time at processing temperature. Therefore, a labor demand profile
would have a similar pattern to the energy demand profile. In order to minimize this peak energy
and labor demands the retort must operate in a staggered schedule so that no more than one retort
is venting at any one time, nor being loaded or unloaded at any one time. When a battery consists
of the optimum number of retorts for one labor crew, the workers will be constantly loading and
unloading a retort throughout the workday, and each retort will be venting in-turn one at a time.
Under these optimum circumstances, unprocessed product will flow into and processed product
will flow out of the retort battery system as though it were a continuous system as shown in
Figure 8.3, while the energy profile will appear as in Figure 8.4.

82
 1

.
Q .
Q

Can/min . Can/min

NA

Sterilization Step

Figure 8.3 Diagram for operation of a battery with optimum number (NA) of retorts such that the
cook room system operates with continuous inflow and outflow of product.

Figure 8.4 Energy demand profile from retort battery operating with optimum number of retorts
and venting scheduling.

83
 The optimum number of retorts in the battery will maximize utilization of labor and equipment,
thus minimizing unit-processing costs. Too few retorts in a battery can leave labor unutilized,
while too many will leave retorts unutilized. A Gantt chart showing the temporal programming
schedule of the battery retort system (see Figure 8.5) can be used as a first step in determining the
optimum number of retorts. Optimum operation of the retort battery can be achieved if the
loading step of the last retort starts at the same time as the first retort finishes its cycle and is
ready for unloading. This means that the loading time multiplied by the number of retorts must
fit within the total time to load, process, and unload one retort. This relationship can be expressed
mathematically:
tc t p td tc N A (8.1)
Where NA is number of retorts and tc, tp, and td are loading, process, and unloading times,
respectively. Considering that loading and unloading times are equal (tc = td), we get:
t
NA 2 p (8.2)
tc
Therefore: 3 N A ,
and the minimum number of retorts for optimum operation under this criterion is 3. The number
of retorts for any given situation will depend upon the ratio of process time to loading/unloading
time.

N
of
A
U
T NA tc tp td
O .
.
C
L .
A .
.
V
E .
S .
.

2 tctc tp
to tdtd

1 tc tp td tc tp td

Time

84
Figure 8.5 Gantt chart showing temporal programming schedule of the battery retort system
operation
Moreover, according to the operation scheme presented in Figure 8.3, the following
mathematical relationships can relate the plant production capacity (Q) to loading time
and retort size:
Q tc K V (8.3)
Rearranging equation (8.3) and replacing tc from equation (8.2) it is possible to obtain an
expression for production capacity (Q) as a function of processing time (tp) and retort number
(NA) as follows:
K V (N 2)
Q A (8.4)
t
p
From equation (8.4) it is possible to infer that production capacity is directly influenced
by process temperature because the higher the process temperature the shorter the
process time, and so the higher the production capacity (more batches per day).
Corollary
Batch processing has been extensively practiced since the development of the canning
industry but barely analyzed. The batch process implies a lack of accuracy in production
planning. As discussed and analyzed in this chapter, food-canning plants are not a true batch
process. As mentioned, if one or two stages are batch operated, the whole plant will be better
classified as a continuous process.
The transient energy balance (dynamic response), for the sterilization process, is an
essential tool to quantitatively optimize batch retort battery design and operation in food-canning
plants. Considering a hierarchical approach, the cook room system (retorts battery) operates with
continuous inflow and outflow of product.
As has been shown in the chemical industry, the manner in which the products will be
delivered to the customers in the future will further favor batch processing. Customers
requirements will be more specific and more demanding with respect to specification, quality and
delivery.
Several challenges are ahead. In the near future we should see much research in batch
design and operation related to canning food plants. Hopefully we will be able to look for really
big surprises as Japanese researchers have proposed a multi-purpose pipeless batch plant in which
the materials are contained in moveable vessels and guided automatically within the plant
locations.

85
 QUIZ

1. A high peak energy demand is a typical situation in batch thermal processing

TRUE FALSE

2. Hydrostatic retort systems can be found in very large canning factories

TRUE FALSE

3. Batch processing with a battery of individual retorts is a common mode of operation in many
food-canning plants.

TRUE FALSE

86
REFERENCES
Almonacid-Merino, S., Simpson, R., and Torres, J.A. 1993. Time Variable Retort temperature
for Cylindrical Cans: Batch Process Time, Energy Consumption, and Quality Retention
Model. J. Food Proc. Eng. 16, 271-287.

Barbosa, A.P. and Macchietto, S. 1993. Optimal design of multipurpose batch plants 1.
Problem formulation. Computers and Chemical engineering, 17: S33-S38.

Barreiro, J., Perez, C. and Guariguata, C. 1984. Optimization of Energy Consumption

During the heat Processing Of Canned Foods. J. of Food Eng. (3): 27-37.

Bhowmik, S. R., Vischenevetsky, R. and Hayakawa, K. 1985. Mathematical Model to

Estimate Steam Consumption in Vertical still Retort for Thermal Processing of Canned
Foods. Lebensmittel Wissenschaft und Teechnologie, 18, 15-23.

Douglas, J. M. 1988. Conceptual Design of Chemical Processes. McGraw-Hill International

Editios. Chemical Engineering Series.

Kondili, C., Pantelides, R. and Sargent, H. 1993. A general algorithm for short-term
scheduling of batch operations- I. MILP formulation, Computers and Chemical engineering,
17: 211-227.

Lee, B. and Reklaitis, G.V. 1995a. Optimal scheduling of cyclic batch processes for heat
integration-I. Basic formulation, Computers and Chemical engineering, 19 (8): 883-905.

Lee, B. and Reklaitis, G.V. 1995b. Optimal scheduling of cyclic batch processes for heat
integration-II. Extended problems, Computers and Chemical engineering, 19 (8): 907-931.

Norback, J and Rattunde, M. 1991. Production Planning when Batching is Part of the
Manufacturing Sequence. J. of Food Proc. Eng. 14:107-123.
Reklaitis, G.V. 1996. Overview of scheduling and planning of batch process operations. In
Batch Processing System Engineering. (G.V. Reklaitis, A.K. Sunol, D.W. Rippin, O.
Hortacsu, eds) pp. 660-705, Springer, Berlin.

Rippin, D.W. 1993. Batch process system engineering: A retrospective and prospective
review. Computer and Chemical engineering, 17: S1-S13.

Simpson, R., Almonacid, S., and Teixeira, A.A. 2003. Optimization criteria for batch retort
battery design and operation in food canning-plants. J. of Food Proc. Eng. 25: 515-538.

87
9. - INDUSTRIAL THERMAL PROCESSING EQUIPMENTS

Goal: When you have finished this lesson you will understand:
- What are the different retorts and their advantages and disadvantages?

And, you will learn:

- What kind of retort fit well your canned food product?
- What are the main factors that should be considered in retort selection?
- What is a process deviation?
- What is a process authority?
- What is the meaning of the acronym AGV?

9.1 Introduction
Since the last decade has been an enormous increase in the range of products and
packaging formats for canned foods products and is continuously expanding. It is difficult to
think that there can be just one type of retort to fit for all the types of products and packaging.
Possibly, each different product will require different optimal heat transfer method. Retort
manufactures has provide the industry with different types of retorts. A general classification
of different retorts is as follow:
1. Full immersion into hot water retorts.
2. Spray retorts.
3. Cascading water retorts.
4. Steam/air with overpressure retorts.
5. Pure steam retorts.
6. Shaka retort process.
7. Hydrostatic sterilizers
8. Continuous rotary sterilizers

9.2 Brief equipment description

Full immersion into hot water retorts.
Some of the water immersion retorts includes severe-duty sterilization machines for
processing trays, jars, bottles and cans in a flooded / water-immersion process. In addition, for
heat-sensitive products (such as drinks, soups, etc.), water immersion retorts units are
available in rotational configuration.
Static and Rotational Retorts are designed with upper pre-heat water storage vessels
and lower process vessels. Normally, the retorts are fabricated in 304 and 316 grade stainless
steel.
Spray retorts.
Spray Retort utilizes a high-volume pump with an array of spray nozzles strategically
located to create even temperature distribution. Overriding air pressure is used to maintain
container integrity during sterilization. Pressure cooling is accomplished in the retort by
utilizing a water showering system. Normally, the retorts are fabricated in 304 and 316 grade
stainless steel.
Water cascading retort
A small quantity of water at the bottom of retort is re-circulated by pump and evenly
distributed on baskets. Heating and cooling of this water is made through a plate heat
exchanger. Vertical water circulation is ideal for round cans or glass jars, but is not most
suitable for flat or square packaging because of the umbrella phenomenon which creates
temperature gradient between the points closer and farther from the point of water spray
Steam/air with over pressure retorts

88
 Steam/Air sterilization retorts are utilized to process retortable pouches, trays, and
bottles. Steam/Air sterilization retorts utilize a forced-convection / fan-driven circulating
steam process with overriding air pressure to preserve package integrity. Pressure cooling is
accomplished in the retort by utilizing water showering system. Normally, the retorts are
fabricated in 304 and 316 grade stainless steel.
Pure steam retorts
These types of retorts are primarily utilized to process rigid containers. Some
manufacturers fabricate saturated steam retorts that are capable of immersion and spray
cooling with overriding pressure control.
Companies like Allpax, manufacture a full range of production-size Saturated Steam
Retorts, from 42" / 1100mm to the Jumbo 72" / 1800mm diameters. In addition, Allpax Steam
Retorts can be ordered in lengths from 1 basket to 8 basket capacity.
Independent of the manufacture company, normally the customer may also specify
carbon or stainless steel materials for the retort equipment. .
Shaka retort process
Packages in the retort are vigorously agitated (shaken) at a frequency of 100 to 200
cycles per minute. The shaken of the food product is achieved through a horizontal movement
of the baskets. Packages agitation allows an increase of heat transfer rate. Then, processing
time is greatly reduced compared to standard retort systems.
Reduction of process time has a high positive impact on quality of end-product (color,
taste, vitamin retention, etc.) compared to quality retention obtained with standards retorts.
One of the main advantages of this fairly new system (SHAKA technology) is that can be
used with all types of packages from rigid cans, glass jars and trays to flexible packaging such
as retortable pouches. Products such as sauces, soups, babyfood, vegetables or petfood have
been positively tested.
In addition, a significant reduction in process time greatly improves the utilization of
the sterilization equipment (production capacity). In general, manufacturers claim that 4 to 5
sterilization cycles per hour can be performed on the SHAKA system.
Hydrostatic sterilizers
Hydrostatic Sterilizer provides continuous processing of almost all container sizes and
types including tin cans, glass jars and plastic.
The Hydrostatic Sterilizer is ideal for processing products that require long cook and
cool times, high throughputs and for those deriving little or no benefit from agitation.
According to manufactures the processors benefits are:
Enables the most process and container sizes flexibility in the industry
Ability to process a wide variety of products and container types
Minimizes containers damage and machine down time
Reduced maintenance costs and improved equipment reliability and longevity
Improved labor and utility savings, precise processing and HACCP compliance,
accurate record keeping and reduced water usage
Reduced cook time while maintaining product safety. Advanced numerical modeling
for deviation correction.
Minimizes floor space usage
Reduced replacement costs and faster replacement time
Continuous rotary sterilizers
The seamed cans enter the line from the closing machine. A feed device delivers the cans
through the in feed valve to the revolving reel of the cooker. The reel, working in conjunction
with the stationary spiral, carries the cans through the cooking system (direct injection
process). The continuous spiraling motion and the rotation of the can through the cylinder

89
give an even cook to every can. At the end of the cook process, the cans are fed, via a transfer
mechanism, into the cooler unit where a similar process slowly cools them.
The latest generation can handle today's light-weight, stackable cans with easy-to-open ends.
Continuous pressure cooking and cooling
Adapts to various food products
Handles a variety of container types and sizes
Processes metal cans at temperatures up to 278F/135C
Handles glass and plastic containers on special applications
Optional construction enables temperatures up to 295F/146C
Accommodates multiple process combinations of can sizes in a single unit
Simultaneous variable size processing i.e. One liter (Diameter 99 x 118mm, 400 x
411) and half liter cans (Diameter 73 x 110mm, 300 x 405) may be processed together
9.3 General guidelines for retort selection
Firstly, you need to consider the followings aspects:
Shape and type of different processed packages
Production capacity
Products types
New products developments (short and long term planning)
Energy efficiency
Growth plans per each product
Possibility of plant automation

9.4 Control systems

Control of thermal process operations in food canning factories has traditionally
consisted of maintaining specified operating conditions that have been predetermined from
product and process heat penetration tests, such as the process calculations for the time and
temperature of a batch cook. Sometimes unexpected changes can occur during the course of
the process operation such that the pre-specified processing conditions are no longer valid or
appropriate, and off-specification product is produced that must be either reprocessed or
destroyed at appreciable economic loss. These types of situations are known as process
deviations. Because of the important emphasis placed on the public safety of canned foods,
processors must operate in strict compliance with the US Food and Drug Administrations
Low-Acid Canned Food (FDA/LACF) regulations. Among other things, these regulations
require strict documentation and record-keeping of all critical control points in the processing
of each retort load or batch of canned product. Particular emphasis is placed on product
batches that experience an unscheduled process deviation, such as when a drop in retort
temperature occurs during the course of the process, which may result from unexpected loss
of steam pressure. In such a case, the product will not have received the established scheduled
process, and must be either fully reprocessed, destroyed, or set aside for evaluation by a
competent processing authority. If the product is judged to be safe then batch records must
contain documentation showing how that judgment was reached. If judged unsafe, then the
product must be fully reprocessed or destroyed. Such practices are costly.
Processors of low-acid canned foods make every effort to have effective and dependable
control systems over the retort sterilization process to avoid unexpected process deviations that
would leave the resulting process lethality in question. In spite of these efforts, unexpected
process deviations continue to occur from time to time, and cannot be avoided. Processors are
constantly in search of methods that would allow them to correct the process shortly after
recovery from the deviation in order to compensate for the lost lethality caused by the
deviation, while the process is still under way (on-line correction of process deviation). When
this can be done precisely without unnecessary over processing, and automatically without

90
operator intervention, it can be referred to as intelligent on-line control. For a detailed
review on this topic we recommend to read the article by Simpson and co-workers (Simpson
et al., 2006).

9.5 Plant automation

Many of the most recent advances made in the design of industrial batch retorts has
come about in response to the increasing popularity of flexible retort pouches and retortable
semi-rigid microwavable plastic dinner trays and lunch bowls. These flexible and semi-rigid
containers lack the strength of traditional metal cans and glass jars to withstand the large
pressure differences experienced across the container during normal retort operations. To
safely process these types of flexible packages, careful control of overriding air pressure is
needed during retort processing, and pure saturated steam, alone, cannot be used as the heat
exchange medium. Instead, new retorts designed to be used with pressure-controlled steam-air
mixtures, water spray, or water cascade have been recently developed for this purpose
(Blattner, 2004). Examples of some of these new retort designs are given in Figure 9.1. A
close-up view of some of the specially designed racking configurations used to hold flexible
retortable packages in place during retorting is shown in Figure 9.2.

Figure 9.1 New retort systems (rotating and still-cook) with specially designed racking
configurations for processing flexible and semi-rigid packages (Courtesy of ALLPAX,
Covington, LA).

91
 Figure 9.2 Rack designs for flexible and semi-rigid retortable packaging systems,
(Courtesy, ALLPAX, Covington, LA).

Perhaps the most significant advances made in the food canning industry to-date have
been in the area of automated materials handling systems for loading and unloading batch
retorts. Traditionally, the loading and unloading of batch retorts has been the most labor-
intensive component in food canning factories. Unprocessed sealed containers would be
manually stacked into baskets, crates or carts. Then, the baskets or crates would be loaded
into empty vertical retorts with the aid of chain hoist, or wheeled carts would be loaded into
horizontal retorts with the aid of track rails for this purpose. In recent years leading
manufacturers of retort systems have been hard at work designing and offering a host of new
automated materials handling systems to automate this retort loading and unloading operation.
Most of the new automated systems available to date are based on the use of either
automated guided vehicles (Heyliger, 2004), or orthogonal direction shuttle systems (Blattner,
2004; Heyliger, 2004). Both types of systems are designed for use with horizontal retorts. The
automated guided vehicles (AGV) work like robots. They carry the loaded crates of
unprocessed product from the loading station to any designated retort on the cook room floor
that is ready to be loaded. They also carry the loaded crates of finished processed product
from the unloaded retort to the unloading station for discharge as out-going product exiting
the cook room to the case packing operations. These robotic AGVs are designed to integrate
with the loading station in such a way that sealed product containers arriving on a conveyor
automatically stack into the crate carried by the AGV, which later inserts the entire crate into
the designated retort. Unloading at the unloading station for finished product discharge is
likewise accomplished in a similar automated way, but in reverse. The AGVs are guided by
an underground wire tracking system buried beneath the cook room floor. This leaves the
cook room floor space open and free of any rail tracks or guide rails that would otherwise
impede the safe movement of factory workers in their normal work flow operations. A
panoramic view of a large cook room operation using an automated batch retort system with
automated guided vehicles is shown in Figure 9.3 (Heyliger, 2004), and a close-up view of an
automated guided vehicle in the process of loading or unloading a horizontal retort is shown
in Figure 9.4.

92
 Figure 9.3 Automated batch retort system with use of automated guided vehicles in
large cook-room operation (Courtesy, FMC Food Tech., Madera, CA)

Figure 9.4 Automated guided vehicle for batch retort loading/unloading (Courtesy,
FMC Food Tech., Madera, CA)

An alternative to the automated guided vehicle (AGV) system is the shuttle system
offered by several retort manufactures. Unlike the AGV system, the shuttle system relies upon
a set of tracks or rails that are fixed in place on the cook room floor. These rails span the
length of the cook room along the row of horizontal retorts, allowing a shuttle carrying loaded
crates to slide along these rails until it has aligned itself in front of the designated retort
waiting to be loaded. In a similar fashion, when a retort is ready for unloading, an empty
shuttle slides along these rails until it has aligned itself with that retort to receive the loaded
crates of processed product. Then the shuttle slides along the rails to far end of the cook room
where unloading of processed product takes place for discharge out of the cook room.
Normally, the unprocessed product loading station and the processed product unloading
stations are located at opposite ends of the cook room (Figure 9.5). Figures 9.6 and 9.7
illustrate the shuttle systems offered by ALLPAX and FMC, respectively.

93
Figure 9.5 Automated shuttle-based batch retort control system (Courtesy, ALLPAX,
Covington, LA).

Figure 9.6 Automated shuttle batch retort system (Courtesy of ALLPAX, Covington, LA).

94
Figure 10.7 FMC shuttle system for automated batch retort loading/unloading (Courtesy,
FMC Food Tech., Madera, CA)

95
 QUIZ

1. What is the typical retort utilized for tin cans?

a) Full immersion into hot water retorts. b) Spray retorts. c) Cascading water
retorts. d) Pure steam retorts

2. - What is ht e most recent type of retorts?

a) Spray retorts b) Cascading water retorts c) Shaka retorts

3.- Canning plant are denominated as a continuous operating plant although sterilization
step is batch.

TRUE FALSE

4. One of the advantages of Hydrostatics retorts is that uses less floor space

TRUE FALSE

5. A process authority is a faculty given by FDA

TRUE FALSE

96
REFERENCES
Blattner, M. F. (2004). Advances in automated retort control, and todays new
packaging. Presentation at IFT Symposium, 2004 IFT Meeting, Las Vegas, NV.

Heyliger, T. L. (2004). Advances in retort control for batch and continuous systems.
Presentation at IFT Symposium, 2004 IFT Meeting, Las Vegas, NV.

Simpson, R., Almonacid, S., and Teixeira, A. 2006. Advances with intelligent on-line
retort control in thermal processing of canned foods. Food Control. 18(7), 821-833.

97