COMPARISON OF THERMAL PROCESS EVALUATION METHODS

< CONDUCTION

HEATING FOODS I N C Y L I N D R I C A L CONTAIN

by
TRUDI SMITH
.Sc.(Agr.) Honours, U n i v e r s i t y

o f B r i t i s h C o l u m b i a , 197

A THESIS SUBMITTED IN PARTIAL FULFILLMENT OF THE

REQUIREMENTS

FOR THE DEGREE OF

MASTER OF SCIENCE

in
THE FACULTY OF GRADUATE STUDIES
(Department of Food

Science)

We a c c e p t t h i s t h e s i s a s c o n f o r m i n g
to the required

standard

THE UNIVERSITY OF B R I T I S H

COLUMBIA

S e p t e m b e r , 1981

Trudi

S m i t h , 1981

In

presenting

requirements
of

British

it

freely

agree
for

this
f o r an

available

that

for

understood

that

financial

by

his

copying

gain

reference

and

study.

be

her
or

shall

DE-6

(2/79)

copying

granted

by

the

of

not

be

of

further
this

this

It

Columbia

thesis
my

is

thesis

a l l o w e d w i t h o u t my

f^oocX

make

head o f

representatives.
publication

the

University
shall

The U n i v e r s i t y o f B r i t i s h
2075 Wesbrook P l a c e
V a n c o u v e r , Canada
V6T
1W5

Da

the

Library

permission.

Department of

at

the

for extensive

or

f u l f i l m e n t of

that

p u r p o s e s may

or

degree

I agree

permission

scholarly

in partial

advanced

Columbia,

department

for

thesis

written

i i

ABSTRACT
Five
methods

formula

methods

f o r determining

compared w i t h

applicability

to

to

three

thermal

reference

numerical

process

method

conduction

containers. Hypothetical
curves

and

to

heating

lethality

demonstrate

their

temperature

t o diameter

history

(H/D) r a t i o s o f 0.1

3.0 were g e n e r a t e d f o r a r a n g e o f p r o c e s s i n g

conditions

u s i n g computer s i m u l a t i o n . A f i n i t e - d i f f e r e n c e model
on

Teixeira

simulation
The
by

et

based

a l . ( 1 9 6 9 b ) was u s e d a s t h e b a s i s o f t h e

program.

delivered lethality

Z=10C

was

evaluated

compared t o t h e l e t h a l i t y

t o an
using

organism
each

calculated

characterized

o f t h e methods and

using

the

reference

method.

F o r each of t h e t e s t methods, s i m u l a t i o n data

provided

f o r one m i n u t e i n t e r v a l s , b u t

method, d a t a
Each

were p r o v i d e d

of

the

f o r the

intervention.

s e l e c t e d formula

are

reference

m e t h o d s was a d a p t e d t o

The most s i g n i f i c a n t p a r t o f t h i s

was t h e d e v e l o p m e n t o f a s y s t e m t h a t e n a b l e d

the

operator
adaptation
computer

s e l e c t the l i n e a r p o r t i o n of the heat p e n e t r a t i o n

to f a c i l i t a t e
required

handling

calculation
by

of the parameters f

a l l of the formula

and j

methods.

curve
which

m e t h o d s . A method f o r

l a r g e t a b l e s was a l s o d e v e l o p e d f o r u s e w i t h

of t h e f o r m u l a

were

f o r i n t e r v a l s o f 0.05 m i n .

a l l o w c a l c u l a t i o n s t o be done by c o m p u t e r w i t h o u t

to

were

foods i n c y l i n d r i c a l

centerpoint

f o r cans with height

general

some

For

the general

methods, the d e v i a t i o n s

method w e r e g r e a t e s t

when t h e h e a t i n g

H/D

and

were

small

the

from t h e

reference

r a t e index

unaccomplished

( f ) and
h

temperature

difference

( g ) was l a r g e . Whereas t h e t h e v a l u e

of

the

significant

a c c u r a c y of

most

factor

c a l c u l a t i o n s done u s i n g

the

affecting

general

the

method,

was

i t d i d not

greatly

a f f e c t t h e p e r f o r m a n c e o f t h e f o r m u l a m e t h o d s . The

factors

that

between

the

most

significantly

f o r m u l a methods and t h e r e f e r e n c e

H/D a n d g. The l a r g e s t d e v i a t i o n s
when

were

mostly

in

deviations
method were

a l l cases

occurred

was l a r g e a n d H/D was c l o s e t o u n i t y . T h e s e e r r o r s

implications
retort

influenced

on

the

could

temperature

be

"safe"

side,

significant,

processes.

but

the

energy

especially

use

f o r high

iv

TABLE OF

CONTENTS

ABSTRACT

i i

L I S T OF TABLES

vi

L I S T OF FIGURES

v i i

ACKNOWLEDGEMENTS

viii

INTRODUCTION

LITERATURE REVIEW

A. F i n i t e - d i f f e r e n c e S i m u l a t i o n

B. G e n e r a l M e t h o d s

C. F o r m u l a M e t h o d s

1 . Background

2. Computer

Applications

3. U n c e r t a i n F a c t o r s

10

i n Thermal Process C a l c u l a t i o n s
10

4. P r e v i o u s C o m p a r i s o n s a n d R e v i e w s
EXPERIMENTAL
A. G e n e r a t i o n o f H e a t P e n e t r a t i o n D a t a

13
15
15

1. I n t r o d u c t i o n

15

2. T h e o r y

16

3. Time a n d S p a c e I n c r e m e n t S t u d y

17

4. H e a t T r a n s f e r C o n s i d e r a t i o n s

22

5. P r o c e s s i n g C o n d i t i o n s U s e d

23

6. S i m u l a t i o n P r o g r a m

24

B. P r o c e s s C a l c u l a t i o n M e t h o d s
1 . G e n e r a l Methods

27
27

a. Average t e m p e r a t u r e method

27

b. P a t a s h n i k ' s method

27

c . C u b i c p o l y n o m i a l method
2. F o r m u l a

28

Methods

29

a. B a l l ' s t a b l e method

29

b. B a l l ' s e q u a t i o n method

30

c . Stumbo's m e t h o d

30

d. S t e e l e a n d B o a r d ' s method

30

e. Hayakawa's m e t h o d

31

C. A d a p t a t i o n f o r C o m p u t e r S o l u t i o n

32

1 . Table Access

32

2. D e t e r m i n a t i o n o f f a n d j V a l u e s

32

3. R e f e r e n c e M e t h o d a n d C a l c u l a t i o n

of D e v i a t i o n s

34

RESULTS AND DISCUSSION

35

A. G e n e r a l M e t h o d s

35

B. F o r m u l a

39

Methods

1. I n i t i a l

Studies

39

2. E f f e c t s o f Can Shape a n d g V a l u e

43

3. C o m p a r i s o n o f M e t h o d s

52

4. C a l c u l a t i o n E r r o r s i n Terms o f P r o c e s s i n g Time

54

5. P o s i t i o n o f C o l d S p o t

56

i n Container

6. C o n v e c t i o n H e a t i n g P r o d u c t s
C. G e n e r a l C o n s i d e r a t i o n s a n d F u t u r e R e s e a r c h

57
Needs

57

CONCLUSIONS

60

REFERENCES

61

LIST

Table

formula

Errors

in

methods

for

OF

TABLES

calculated
various

can

lethalities
sizes

using

and

values

of

lethalities

using

g
Table

II

Errors

formula
and
Table

in

methods

calculated
for

various

thermal

diffusivities

III

formula
retort

Errors
methods

in

calculated
for

temperatures

various

lethalities
values

of

using
g

and

5
two

vii

' L I S T OF FIGURES

Figure

1.

Space increment

Figure

2.

Time i n c r e m e n t

Figure

3.

Flow c h a r t

Figure

4.

Effect

study
study

5.

of h e a t i n g

Effect

21

f o r s i m u l a t i o n program

using average temperature

Figure

20

of

26

r a t e on e v a l u a t i o n e r r o r s
method

height

to

36
diameter

ratio

e v a l u a t i o n e r r o r s using average temperature

Figure

6.

Effect

of

average temperature
Figure

7.

on

evaluation

on

method

errors

using

method

Errors i n process

38
lethality

determinations

using Ball's tables

Figure

8.

Errors

45

i n process

lethality

determinations

using B a l l ' s equation

Figure

9.

46

Errors i n process

lethality

determinations

u s i n g S t e e l e a n d B o a r d ' s method
Figure

10.

Errors i n process

47

lethality

determinations

u s i n g Hayakawa's m e t h o d
Figure

11.

Errors i n process

48
lethality

determinations

u s i n g Stumbo's m e t h o d
Figure

12.

49

Errors i n process

lethality

determinations

as r e l a t e d t o t h e c o o l i n g l a g f a c t o r
Figure

13.

using
Figure

Errors i n process

five

14.

processing

lethality

51
determinations

f o r m u l a methods

Calculated
time

37

lethal

53
effect

relative

to
55

vi i i

ACKNOWLEDGEMENTS
The
to

Dr.

author wishes
Marvin

encouragement

A.

t o express her sincere

Tung

throughout

appreciation

for h i s interest,
the course

of

advice

this

and

research

project.
She
W.D.

i s t h a n k f u l t o t h e members o f h e r c o m m i t t e e : D r s .

Powrie

Science,

and J . Vanderstoep

and

Engineering,

Dr.

K.V.

for their

Lo,

of t h e Department
Department

interest

i n and

of

of

Food

Bio-resource

review

of

this

thesis.
She
Smith,

i salso extremely g r a t e f u l

t o her husband, R i c h a r d

f o r h i s encouragement, understanding and support,

without which

t h i s s t u d y w o u l d n o t h a v e been

possible.

INTRODUCTION
The p r e s e r v a t i o n o f f o o d t o e n s u r e
supply

throughout

earliest

t h e year has always

preservation

curing,

used

Fermentation
centuries
cheese,

methods

mostly

to

processes

to

drying,

also

dairy

adequate

salting

meats

been

products,

and

developed

until

considered

preservation

the

late

relatively

as

new

technique.

At

time,

was an a r t , s i n c e l i t t l e

of p r o d u c t i o n of t h e r m a l l y s t a b i l i z e d
eat

was n o t

that

or f a i l u r e

to

and

1 8 t h c e n t u r y , a n d c a n t h u s be

by c a n n i n g t r u l y

safe

for

The a r t

sterilization

about t h e p r i n c i p l e s which

were

fish.

yoghurt

understood

that

and

employed

a n d some v e g e t a b l e s , a s p i c k l e d p r o d u c t s .

o f f o o d p r e s e r v a t i o n by means o f h e a t

food

been i m p o r t a n t . The

preserve

have

preserve

were

an

after

governed

the

considerable

was

success

foodstuffs
periods

of

storage.
Since that time, preservation
has

developed

and

is

no

to

govern
and

thermal

an

art,

kinetic

and

but

science.

engineering principles

the e f f e c t i v e n e s s of the process a r e w e l l

research

processing

in

the

refinements

field
in

is

now

terms

of

directed

research

is

processes

the

evaluation

i n terms of t h e i r

which

must

of

lethal

be i n a c t i v a t e d

The
that

understood
towards

p r o d u c t q u a l i t y and

p r o d u c t i o n e f f i c i e n c y . One o f t h e i m p o r t a n t

spores

processing

a stage of c o n s i d e r a b l e s o p h i s t i c a t i o n ,

longer

microbiological,

by

f a c e t s of

thermal

sterilization

e f f e c t on t h e
t o render

this

bacterial

the processed

food s h e l f

s t a b l e and

safe to eat.

S i n c e t h e p u b l i c a t i o n o f t h e f i r s t g e n e r a l method
thermal
much

process

has

been

processes
and

e v a l u a t i o n by B i g e l o w
written

about

for thermally s t e r i l i z e d

c o m p a r i s o n s of p r o c e s s

(Hayakawa,
Longley,

the

1977,1978;

coworkers

(1920),

d e t e r m i n a t i o n of

foods.

Several

safe

reviews

e v a l u a t i o n methods have a p p e a r e d

Merson

1966), a l t h o u g h

and

for

et

none

al.,

offers

1978;

Stumbo

extensive

and

numerical

evaluat ions.
In
the

the

l a s t d e c a d e , more a t t e n t i o n has

effects

quality.

of

The

processing

desire

to

on

nutritional

improve

types,
such

overprocessing. Packaging

sizes

and

shapes,

as e l e v a t e d r e t o r t

temperatures,

are

computer technology

these

developments, there
and

process

evaluation

evaluation

reliability

to

applications.

i s an

is

higher

filling

i n t r o d u c t i o n of
making

possible

increasing interest

of t h e c u r r e n t l y a v a i l a b l e

methods.

prepare

methods

would i n c l u d e

reduce

c o n t r o l of p r o c e s s i n g c o n d i t i o n s . B e c a u s e o f

accuracy

was

to

c o n d i t i o n changes,

and

for retort control

precise

t h e need

changes, i n c o n t a i n e r

process

temperatures

to

sensory

i n a move t o

b e c o m i n g i m p o r t a n t . The

more

study

and

and

q u a l i t y and

c o n t r o l p r o c e s s i n g c o s t s have r e s u l t e d
unnecessary

been g i v e n

an

using

traditional

Thus,

in

thermal

t h e o b j e c t i v e of

evaluation

of

the

the

this

selected

a w i d e r a n g e of c o n d i t i o n s t h a t
and

novel

thermal

processing

LITERATURE REVIEW

A. F i n i t e - d i f f e r e n c e S i m u l a t i o n
The

finite-difference

Teixeira

et a l .

several

researchers

processing
behind

(1969b)

of f o o d s .

the numerical

s i m u l a t i o n m o d e l i n t r o d u c e d by

has

to

been

study

adapted

and

various aspects

used
of

by

thermal

The o r i g i n a l p a p e r o u t l i n e d t h e t h e o r y
modelling

technique

and i n d i c a t e d t h a t

temperature h i s t o r i e s obtained

u s i n g t h e s i m u l a t i o n program

agreed w e l l with corresponding

temperatures

Heisler
of

compared

integrated

lethality

favourably w i t h other

and

then

of the e f f e c t s of various processing

nutrient

r e t e n t i o n . Optimal

to

nutrient

processing

range of c o n v e n t i o n a l

results

used

processing.
a container
v

was

not

in a

processing

variety

k i n e t i c s of t h e

temperatures.

of

can

of

sizes

survival

after

thermal

indicated that the l o c a t i o n within

where s p o i l a g e w o u l d most
center

were

b u t were g e n e r a l l y f o u n d t o be i n t h e

The r e s u l t s

the

t e m p e r a t u r e s on

T h i s same p r o g r a m was u s e d t o d e t e r m i n e s p o r e
distributions

in

temperatures

be a f u n c t i o n o f t h e d e g r a d a t i o n
i n question,

the

methods a v a i l a b l e f o r t h e s e

c a l c u l a t i o n s . The s i m u l a t i o n p r o g r a m was

shown

from

c h a r t s . The s i m u l a t i o n p r o g r a m was u s e d a s a means

calculating

study

obtained

likely

first

occur

t h e c a n , b u t some o t h e r l o c a t i o n

d e t e r m i n e d by t h e c a n g e o m e t r y

and

processing

conditions

( T e i x e i r a e t a l . , 1 9 6 9 a ) . H o w e v e r , f o r most c a n s h a p e s , t h e
greatest

s p o r e c o n c e n t r a t i o n p e r u n i t v o l u m e w o u l d be n e a r

the c e n t e r p o i n t ; the e x c e p t i o n being a short can,

tuna

can,

not

fall

for

which the g r e a t e s t spore

t h e h e a t i n g and

c o o l i n g phases of a thermal

Teixeira

the

temperature

during

feasibilty
the

reported

that
that

little

in

could

container

be

geometry

of t h e

process,

midway

through

to

was
to

was

temperature
with

the

the

processed
gained
was

thiamine

thermal

b e g i n . I n t h i s way,

al.,

processes

1970)

and

for

nutrient

thermal

limiting

r e t e n t i o n . The

best
puree

From

peak
this

heat

transfer

approximately
point,

was

rectangular

retort

final

cooling

i n t o the

package

i n terms of t h i a m i n e

concept

part

outer

layer,

retention.

extended to modelling
containers

(Manson

of
et

t o p e a r s h a p e d c o n t a i n e r s (Manson e t a l . ,

1974). In both c a s e s ,
evaluate

this

r a t i o s close to

allowed to drop slowly u n t i l

simulation

from

the

foods.

p r o f i l e s d u r i n g the e a r l y

process.

o p t i m i z e the p r o c e s s

as

r e t e n t i o n i n pea

temperature

to

retort

process

t r a d e d o f f a g a i n s t o v e r p r o c e s s i n g of t h e

The

during

process.

height to diameter

i n the poorest

increasing

was

can

of a t h e r m a l

r e t o r t c o n t r o l programs f o r t h i a m i n e

temperature

varying

retention

f a c t o r , w i t h cans having
resulting

of

course

means t o i m p r o v e t h i a m i n e

a p p r o a c h , but

within

of

e t a l . (1975) u s e d t h e s i m u l a t i o n p r o g r a m

investigate

had

may

on t h e c e n t e r p l a n e . T h e s e e f f e c t s a r e a r e s u l t
gradients that exist

unity

concentration

the temperature

They

like

the

simulation

processes

model

i n terms of s p o r e

r e t e n t i o n . Whereas b o t h

was

used

to

survival

and

of these models

considered

three d i m e n s i o n a l heat t r a n s f e r , Ohlsson

(1980b)

simplified

the s i m u l a t i o n model f o r r e c t a n g u l a r c o n t a i n e r s t o c o n s i d e r
only

one

dimensional

dimension.

cannot

significantly
the

be

pouches

approach

was

on k i n e t i c

if

other

tests

two.

and

semi-rigid

thin

infinite
is

Ohlsson

with

trays.

effect

on q u a l i t y

not

reported

optimization

flat

The

well
cans,

simulation

processes

in

f a c t o r d e g r a d a t i o n , based

f a c t o r s o u t l i n e d by O h l s s o n

in

an

dimension

conducted

showed t h a t p a c k a g e t h i c k n e s s was
factor

one

to

used t o e v a l u a t e v a r i o u s r e t o r t

of t h e i r

smallest

p r e d i c t e d by t h e m o d e l a g r e e d

penetration

retort

the

i s acceptable for very

used

l e s s than the

temperatures

w i t h heat

terms

through

w h i c h b e h a v e i n a manner s i m i l a r

but

that

flow

This s i m p l i f i c a t i o n

packages,
slab,

heat

(1980a).

The

study

t h e s i n g l e most i m p o r t a n t

since,

at

high

processing

t e m p e r a t u r e s , o v e r c o o k i n g a t t h e s u r f a c e became

if

up t o

15mm

140C

did

t h e p a c k a g e was

not v e r y t h i n . With packages

i n t h i c k n e s s , p r o c e s s i n g t e m p e r a t u r e s o f up
not

result

package

in

thickness

conditions

the

was

tended

t e m p e r a t u r e s of
The

significant

damage.

However, as

optimal

processing

conventional

processing

increased,
towards

120 t o 125C.

f i n i t e - d i f f e r e n c e m o d e l has a l s o been a d o p t e d

development

of

tables

e s t i m a t i o n . J e n e t a l . (1971)
develop

surface

to

problem

tables

for

for

process

first

calculation

used

evaluation
this

o f mass a v e r a g e

method

for
and
to

lethality

a n d n u t r i e n t d e s t r u c t i o n . T h e s e t a b l e s were t h e n r e f i n e d

by

Purohit

and

Stumbo

calculating
formula

(Stumbo,

single

point

1973)

and

lethality

presented

a c c o r d i n g t o Stumbo's

method.

B. G e n e r a l

Methods

The

general

standard

thermal
center

method

method

determination.

This

introduction

long

history

(Bigelow

of

cycles

e t a l . , 1920)

lethality

w i t h the

container
a

an

hypothetical

and

t h e use
The

thermal

of l e t h a l

r a t e paper

Since

its

improvements

and

history

container

its

and

This

history

temperature

is

the

if

i s used, but,

data are obtained

(Ball,
Olson,

temperature

lethality

methods

time

are

degraded

from

plotting

the

very
the

within

such as s l o p e
r e c o r d of

i n most p r a c t i c a l
at

finite

data

and

values.

consuming

optimum

by

1940).
on

point

continuous

f u n c t i o n and

give very accurate

1928)

i s based

time

and

can

measuring

estimate

areas,

to

graphical

their precision

physical

the

intervals.

be e x p e c t e d

However,

and

situations,

Even s o , t h e g r a p h i c a l forms of t h e g e n e r a l method

continuous

concept

s h o u l d n o t be a f f e c t e d by

p e n e t r a t i o n curve
true

the

determination
coldest

performance

a t t r i b u t e s of the heat
curvature.

of

time curve

( S c h u l t z and

g e n e r a l method l e t h a l i t y

the temperature

thermal

death

measured
the

process.

many

about

during

s i m p l i f i c a t i o n s h a v e been i n t r o d u c e d , i n c l u d i n g
of

the

information

spores

of

considered

process

combines

of b a c t e r i a l

cooling

been

thermal

method

temperature
and

has

for

destruction

heating

the

for

is

limitations

on

as w e l l as

the

inevitability
the

o f human e r r o r . T h e s e f a c t o r s

popularity

of numerical

contribute

to

g e n e r a l methods w h i c h a r e n o t

subject to "operator" d i f f e r e n c e s .
Patashnik
process

(1953) i n t r o d u c e d t h e concept

lethality

lethality

integration,

accuracy

or

in

variability
conclusion

is

to

errors

from

lost
the

min

time

were

t o can.

more

commonly

used,

of

the

due

to

the

the trapezoidal

1953).

between

Patashnik s
1

t o be a d e q u a t e ,
the

T h i s was a v e r y

accurate

of

i s not required.

within

i n 1953, b u t a t p r e s e n t ,

possible

forms

interval

intervals

a d d i t i o n a l e f f o r t . C u r r e n t l y , time
are

using

(Patashnik,

that

can

improved

of t h e data

on

measurements

suggested

resulting

make

the o r i g i n a l

depending

temperature

integration

r a t e ( L ) v s . t i m e . T h i s method i s

method s i n c e g r a p h i n g

Some d e g r e e o f

study

trapezoidal

p l o t as l e t h a l

much f a s t e r t h a n
general

using

of c a l c u l a t i n g

appropriate

technological
analysis,

inherent

advances

with

little

i n t e r v a l s o f one

minute

improvements i n data

logging

equipment.

C. F o r m u l a M e t h o d s

1 . Background
Although
sufficient
process,

g e n e r a l methods f o r p r o c e s s

f o r determining

they a r e

processing

time

not

very

required

the

lethal

useful
to

evaluation

e f f e c t of a given

f o r determining

deliver

are

given

the

target

lethality.

I f a g e n e r a l m e t h o d were t o

purpose,
of

experimental

conditions

lethality.
these

which

evaluated

using

"trial

in

interpolation.

and e r r o r "

to

give

an

p r o c e s s e v a l u a t i o n and

order

t o reduce

which

include

heating

temperature

is

extended

of the required

l e t h a l i t y . This

determination

is

approach

tedious

and

product

semilogarithmic

enter

The

initial

bacterial

temperature,

and

time

for this
first

when

final

plotted

as the temperature

on

difference

(Bigelow

et

a l . ,

l i n e was c o m b i n e d w i t h t h e

order thermal death

kinetics

s p o r e s , and i n t e g r a t e d over t h e d u r a t i o n o f

the l i n e a r p o r t i o n s of the process curve.

heat

factors

r e l a t i o n s h i p t h a t was f o u n d t o e x i s t

coordinates

relationship describing

various

t e m p e r a t u r e . The b a s i s o f t h e method

temperature

equation

the

i n t o t h e c a l c u l a t i o n " . These

behavior,

linear

for coordinating

between t h e p r o d u c t and i t s environment

1920).

(1923)

the time necessary t o obtain r e s u l t s ,

and r e t o r t

the almost

between

many

t e c h n i q u e c o u l d be a p p l i e d i n

f o r m u l a m e t h o d was i n t r o d u c e d by B a l l

factors

for

delivered

Alternatively,

approximation

as w e l l as t o o b t a i n a b a s i s

was

range

consuming.
The f i r s t

"in

this

over a

of

the e x p e r i m e n t a l heat p e n e t r a t i o n curve

shortened

time

terms

for

p r o c e s s t i m e c o u l d be d e r i v e d f r o m

process time f o r a s e l e c t e d t a r g e t
for

used

r u n s must be c o m p l e t e d

required

results

graphical

or

and

be

After

study

of

p e n e t r a t i o n c u r v e s , B a l l d e v e l o p e d an e m p i r i c a l

formula t o d e s c r i b e the n o n - l i n e a r p o r t i o n of

the

cooling

curve,

which

hyperbolic
method,
al.

was

found

to

relationship.

the

review

be

For

well

further

estimated
details

of i t s t h e o r e t i c a l

by

on

an
this

b a s i s by M e r s o n e t

( 1 9 7 8 ) i s recommended.
All

anyone

of these

details,

employing

Ball's

however,

are

transparent

f o r m u l a method, s i n c e t h e r e s u l t s

of t h e i n t e g r a t i o n s a r e p r o v i d e d i n t a b u l a r
some

of

the u n d e r l y i n g assumptions

form.

t h a t were

However,

important i n

t h e d e v e l o p m e n t o f t h e method a r e o f t e n n o t v a l i d ,
importance

of

meeting

to

these

assumptions

is

and
not

the
well

understood.
One o f t h e most

s i g n i f i c a n t , a n d most

often

invalid,

assumptions

i s t h a t t h e c h a r a c t e r o f t h e c o o l i n g c u r v e does

not

Board

vary.

retort

e t a l . (1960) d i s c u s s e d f a c t o r s ,

pressure,

conduction

which

affect

cooling

such as

behavior

of

h e a t i n g f o o d s , and n o t e d t h a t B a l l ' s method f o r

process

lethality

calculation

process

lethality,

but t o a v a r i a b l e e x t e n t , depending

several

factors

processing

including

usually

been

conditions.

many

modifications

f o r m u l a method

suggested

a l . , 1969,1971;

Hicks,
and

1958; P f l u g ,

Longley,

Hayakawa,

Stumbo,

1951;

Griffin

1970; H e r n d o n e t a l . ,

1968; S t e e l e a n d

1966;

there

( B a l l and Olson,

1957; F l a m b e r t a n d D e l t o u r , 1972b; G i l l e s p y ,
et

on

t h e n a t u r e of t h e p r o d u c t and t h e

Since the i n t r o d u c t i o n of B a l l ' s

have

underestimated

Board,

1979;

1968;
Stumbo

1973). These m o d i f i c a t i o n s o f

t h e f o r m u l a method d e a l i n v a r i o u s ways

with

the

cooling

10

portion

of

thermal

process,

using

e m p i r i c a l r e l a t i o n s h i p s between t h e
line

portions

of

the temperature

more a c c u r a t e l y e s t i m a t e
p o r t i o n of t h e r m a l

theoretical

curved

and

straight-

h i s t o r y curve

the l e t h a l e f f e c t of

and

to t r y to

the

cooling

processes.

2. C o m p u t e r A p p l i c a t i o n s
One
was

to

of t h e aims of the development of f o r m u l a

simplify

process

computer t e c h n o l o g y
in

t h e use

Tung and

procedures

the

suggested

to f a c i l i t a t e

of

the

approaches f o r computer
calculations

have

series

manipulation

techniques

H a y a k a w a , 1967)
(Manson e t

T e i x e i r a et a l . ,

al.,

1969a,

of

computer

statistical

using

treatment

A number o f

of

thermal

other

process

either adaptations

f o r m u l a m e t h o d s ( H a y a k a w a , l 9 7 7 ; M a n s o n and
T i m b e r s and

interest

evaluation i s high.

calculations.

appeared,

years

r a p i d h a n d l i n g of l a r g e

p e n e t r a t i o n d a t a and

results

recent

become more a c c e s s i b l e and

(1978)

volumes of heat
of

In

of the computer f o r p r o c e s s

Garland

oriented

has

calculations.

methods

Zahradnik,

of

1967;

or f i n i t e - d i f f e r e n c e s i m u l a t i o n
1970;

Manson

et

al.,

1974;

1969b).

3. U n c e r t a i n F a c t o r s i n T h e r m a l P r o c e s s C a l c u l a t i o n s
Since
process
into

perspective

subject

work d e a l s w i t h t h e

c a l c u l a t i o n methods, i t i s of

uncertainty

years,

this

various

into thermal

"accuracy"
some

value

f a c t o r s which tend

process

of

to

thermal
to

put

introduce

determinations. This i s

that

has

r e c e i v e d c o n s i d e r a b l e a t t e n t i o n over

since

i t

is

only

on

the

basis

of

a
the

sound

11

understanding

of

the

role

t h e r m a l p r o c e s s e s c a n be
Uncertainties
determination
is

with

(Herndon,
since

reduced

by

from

container

the

This

into

to

greatly

thermal

container

Secondly,

process

magnitude of s a f e t y

dealt

be

significantly

the

practices.
control

non-homogeneity
still

be

can

of

an

most

important

1954).
control

factors

temperature

problems

required.

or

or process time

factors w i l l

there

due t o t h e

manufacturing

thermally processed products w i l l

temperature

process

being

formulation or f i l l

but

(Evans and Board,

are

cannot

in

by p o o r

reduced,

safe

i s one o f t h e most i m p o r t a n t

variability

improvement

processing

that

developed.
introduced

1971).

V a r i a b i l i t y caused

factor

factors

nature of the m a t e r i a l s which

factors

be

these

i n a number o f d i f f e r e n t w a y s . F i r s t l y ,

variability

biological

are

of

is

can

Where

a f f e c t the
control

pressure,

cooling

water

not

greater

safety

good,

be r e q u i r e d .

Thirdly,

the

applicability

of

bacteriological

k n o w l e d g e i s somewhat u n c e r t a i n , s i n c e v a r i o u s f a c t o r s
as t h e t h e r m a l h i s t o r y and s u s p e n s i o n
spores

are

organisms

effects
lethality
minor

known

to affect

i n question (Hicks,

Hicks

(1952) p r o v i d e d a

of

of

some

of

these

media

bacterial

the thermal r e s i s t a n c e of the

1961).
brief

table

variables

of a t h e r m a l p r o c e s s . I n terms

variation

of

such

on

of

approximate

the

of spore

delivered
survival,

i n p r o c e s s c o n t r o l was shown t o be o f

less

12

significance

than e r r o r s i n the

estimates

of t h e r m a l

p a r a m e t e r s . Ross e t a l . (1979) a l s o p r e s e n t e d
on

t h e e f f e c t s of v a r i a b i l i t y
Lund

of

(1978) p r e s e n t e d

various

f a c t o r s on

the

safety
"

appropriate

a study

d e a l i n g w i t h the e f f e c t s

c a l c u l a t e d process

of t h i s

f a c t o r s . Tung and

statistical
appropriate
only

use

the

approach

of

using

(1978)

container

the

in

confidence

o f how

of

it

is

not

safety

unnecessarily

through

Hence, i t

important

is

reliability

of

these

to

given

determination

the

methods i n o r d e r

and

information
a p p l i c a t i o n of

d e a l t w i t h as a s e p a r a t e

issue.

penetration
having

that

those
without

variabilty
of

process

introduce

error

calculation

determine

i s more

than

the c a l c u l a t i o n

inappropriate

tests.

the

is

methods.

accuracy

t o have

t h a t the c a l c u l a t e d "answers" are as a c c u r a t e

be,

that

approach,

to

as

considering

chooses to deal with

reasonable

determining

regimes

conventional

one

of

i n a heat

heating

in p h y s i c a l f a c t o r s which a f f e c t
lethality,

in

made

suggest

approach

r e q u i r i n g more numerous h e a t p e n e t r a t i o n
Regardless

using

to deal with t h i s v a r i a b l i t y

slowest-heating

calculated

information

than the c o n v e n t i o n a l

degree

lethality

c o n c l u s i o n was

Garland

t e s t . This approach r e s u l t s
greater

studies

i n measured q u a n t i t i e s .

M o n t e C a r l o p r o c e d u r e ; h o w e v e r , no
to

some

death

as
on

and

confidence
they

can

hand.

The

s a f e t y f a c t o r s can

then

be

13

4.

P r e v i o u s C o m p a r i s o n s and
Although

review

Hayakawa

Reviews

(1978)

produced

comprehensive

of the development of a v a i l a b l e p r o c e s s

methods,

dealing

limitations,

no

with

some

numerical

of

their

calculation

assumptions

and

d a t a were p r o v i d e d by w h i c h

compare t h e m e t h o d s . M e r s o n e t a l . (1978) b r i e f l y

to

discussed

v a r i o u s c a l c u l a t i o n m e t h o d s , r e c o m m e n d i n g H a y a k a w a ' s method
(1970)

as

comparisons

the

most

were

not

versatile;

however,

p r o v i d e d . Stumbo and

Longley

(1966)

methods

which

calculated using

Ball's

p r o v i d e d a summary o f c o m p a r i s o n s o f a
indicated
original
calculated
conditions

that

lethality

method

(1923)

using

values
were

their

new

i n v e s t i g a t e d was

numerical

5-15%

few

lower

than

those

t a b l e s ; however, the range of

not c l e a r . Board et a l .

(1960)

p r o v i d e d a c o m p a r i s o n o f t h e g e n e r a l method ( B i g e l o w e t a l .
1920),

Ball's

indicating

method,

t h a t i n most c a s e s

process

lethality

process

lethality.

In
food

and

and

v i e w of t h e

industry,

it

determining

r e a s o n i n g has
with

B a l l ' s method

importance

of t h e r m a l

i s s u r p r i s i n g how

required

and

thermal

canning

w o u l d be u n n e c e s s a r y .

activity

terms

of

p r o c e s s i n g i n the
a t t e n t i o n has

of methods

so

Perhaps

few

safety i n recent years

investigation
in

overestimated

processes.
been

development

However,
of

(1951)

underestimated

little

reliability

been t h a t t h e r e h a v e

commercial

method

G i l l e s p y ' s method o f t e n

been g i v e n t o t h e a c c u r a c y
for

Gillespy's

new

the
and

used
the

problems
that

this

research
modified

14

c a l c u l a t i o n methods would
In

any

which

case, l i t t l e

t o judge t h e

calculation
start

to f i l l

this

It

and

chosen,
t h e most

various

including

was

methods. Computer

in

into

been

of

previously

process

cited,

b o t h t h e most w i d e l y u s e d

the

evolution

histories

as

five

methods

also allowed the

the

calculation

the

means

to

t o be e v a l u a t e d u s i n g t h e s e
not

introduce

t h e s t u d y a n d was w e l l a c c e p t e d

processing

possible.

of process

s i m u l a t i o n was c h o s e n

temperature

T h i s approach
range

thermal

the goal of t h i s p r o j e c t to

methods

methods, s i n c e s i m u l a t i o n would
errors

available

r e c e n t l y developed, as r e p r e s e n t a t i v e s of

stages

generate

of

i n f o r m a t i o n gap.

Of t h e many f o r m u l a
were

conclusion.

n u m e r i c a l i n f o r m a t i o n i s a v a i l a b l e by

merits

methods.

tend to dispute t h i s

investigation

c o n d i t i o n s than would

extraneous

i n the f i e l d .
of

wider

o t h e r w i s e have

15

EXPERIMENTAL

A. G e n e r a t i o n

of Heat P e n e t r a t i o n Data

1. I n t r o d u c t i o n
Thermal h i s t o r y curves
cylindrical

f o rconduction

c a n s o f v a r i o u s s h a p e s a n d s i z e s were

u s i n g a FORTRAN l a n g u a g e s i m u l a t i o n
Teixeira

h e a t i n g foods i n

e t a l . (1969b).

program

o f a g r e a t many p r o c e s s i n g

short

and a t a r e a s o n a b l e

time,

w o u l d be v e r y

adapted

Simulation techniques

investigation

generated
from

allowed the

situations

in a

cost. Pilot plant studies

t i m e c o n s u m i n g a n d w o u l d be l i m i t e d

in

scope

by t h e a v a i l a b i l i t y o f s u p p l i e s ( c o m m e r c i a l l y a v a i l a b l e c a n
sizes)

and t h e p h y s i c a l l i m i t a t i o n s of a v a i l a b l e

(retorts

in particular).

hindered
and

Physical experimentation

by measurement a c c u r a c y

by o t h e r e x p e r i m e n t a l

pilot

plant

Simulation,
and

equipment

i s also

only

c o n t r o l of

to

achieve.

however, a l l o w s v e r y p r e c i s e "process

good

interacts with i t s

complication

control"

by u n c o n t r o l l a b l e

errors.
however,

of

the

i n d e f i n i n g t h e s y s t e m a n d how

environment,

to

avoid

model o r u n w a r r a n t e d

unnecessary

simplification.

f i n i t e - d i f f e r e n c e model used i n t h i s s t u d y has a

basis

in

are

a s t h e model used t o d e s c r i b e t h e system i n

q u e s t i o n . C a r e must be t a k e n

The

difficult

r e s u l t s of a s i m u l a t i o n experiment,

as

i s also

o f a t b e s t 0.5C

e r r o r s . S t r i c t process

factors leading to experimental

it

limits

therefore the r e s u l t s are not clouded

The

equipment

engineering

p r i n c i p l e s of heat

sound

t r a n s f e r and has

16

been shown t o be an a p p r o p r i a t e s y s t e m
thermal p r o c e s s i n g of canned
2.

for

simulation

of

foods.

Theory
The

finite-difference

simplification
for a f i n i t e

is

dT

1 oT

d T

1 dT

or

r or

dy

o ot

was

is

radial

distance

a x i s , y i s v e r t i c a l d i s t a n c e from
thermal

solution

diffusivity

and

is

the c e n t e r
time.

the

plane,

u s i n g the f i n i t e - d i f f e r e n c e form of t h i s

equation

program.

demonstration

(adapted

of the f i n i t e - d i f f e r e n c e method f o r

heat

flow i s h e l p f u l
dimensional

in understanding

model

for

cylinder.

The

calculating

the temperature

the time

from

numerical

following

1964)

two

equation

the b a s i s of the s i m u l a t i o n
The

Fourier

cylinder:

where T i s t e m p e r a t u r e ,

b a s e d on t h e

of t h e d i f f e r e n t i a l heat c o n d u c t i o n

central

m o d e l was

derivation

i n t e r v a l At

Equation
for
d i m e n s i o n , x:

from

heat

one

Kreith,

dimensional

t h e more c o m p l i c a t e d

transfer

results

from

in

an

in

finite

equation

for

change i n volume element n

over

t=t t o t=t+1.

unsteady

state

heat

conduction

in

o T
2

oT

a ot
For

f i n i t e A t and

Ax:
1
a

A T
t

At

ox
A

(2)
2

2
X

Ax

T
2

(3)

one

17

The

subscripts

and

indicate

whether

t h e change of

t e m p e r a t u r e w i t h t i m e , t , o r l o c a t i o n , x, i s b e i n g

referred

to.
Rewrite left-hand side

as:

A T
^ t

1
1

Recombining
T

this

T
=

n 1

2 T

was
the

transfer
the

(5)

n-1

(6)

was

applied

equations

for

finite-difference

to

the

heat

the

finite
transfer

study.

adapted
developed

applications.

technique

FORTRAN l a n g u a g e

temperature

t
n-1

Ax

Ax

heat

in this

study

although

- n

to develop

The

Ax

finite-difference

model used

Ax

At

differential
cylinder

(4)

gives:

The

At

Ax

T"

_n

as:
t
t
t
n+1 ' n _ n ~

Ax

t + 1

At

Rewrite right-hand side

Ax

1 T
_ _n

I t can
program

s i m u l a t i o n program d e v e l o p e d f o r
from

Teixeira

program

simulate
and

is

et

a l .

(1969b),

i s more v e r s a t i l e

processes

with

any

in i t s
time-

easily modified for specific

purposes.
3. Time and S p a c e I n c r e m e n t
To

apply

cylindrical

the

Study

finite-difference

container,

the

container

approach
was

divided

to

a
into

18

l a y e r s of equal thickness v e r t i c a l l y ,
thickness

and

rings

of

equal

horizontally.

The s i z e o f t h e s e d i v i s i o n s h a s a

b e a r i n g on t h e s t a b i l i t y

o f t h e model and t h e a c c u r a c y w i t h

which

i t s i m u l a t e s a heat t r a n s f e r p r o c e s s .
A s t u d y was u n d e r t a k e n

to

sizes

of t i m e and space

Jaeger

(1959) i n d i c a t e d t h a t

stability

of the f i n i t e

determine

i n c r e m e n t s t o be u s e d . C a r s l a w a n d
a

sufficient

aAt
Ax

either

radial

solution
values

1
< -

cost.
as

or

Ax

axial

and

Ax

direction.
and

A t mean

At

The

spacing i n

accuracy of the

decrease,

but

increased computation

smaller
time and

I t i s t h e r e f o r e d e s i r a b l e t o s e l e c t Ax a n d A t

large

as

for

(7)

t h e m o d u l u s a n d Ax i s t h e g r i d

i n c r e a s e s as
of

condition

difference solution i s :
M =

where M i s c a l l e d

the appropriate

i s permissible

for

t h e degree

to

be

of accuracy

required.
Most of t h e t e s t

runs f o r the increment study used can

d i m e n s i o n s o f 4 cm r a d i u s a n d 8 cm
diffusivity
initial
to

66C

height

and

thermal

o f 0.100 c m / m i n . R e t o r t t e m p e r a t u r e was
2

temperature
after

121C,

71C, a n d w a t e r a t 21C c o o l e d t h e c a n s

a 40 m i n p r o c e s s t i m e . O t h e r p r o c e s s

and c a n s i z e s t e s t e d c o n f i r m e d t h a t d i f f e r e n c e s

for

times
other

c o n d i t i o n s were n o t s i g n i f i c a n t .
Teixeira

e t a l . (1969b) r e p o r t e d t h a t time

of 0.125 m i n a n d a v o l u m e e l e m e n t
10 v e r t i c a l

d i v i s i o n s were used

matrix with

for

their

increments

10 r a d i a l a n d

work.

Although

19

f i g u r e s were p r o v i d e d t o v e r i f y

t h e i r c h o i c e , no d e t a i l s o f

t h e s t u d y were p r o v i d e d . The r e s u l t s o f t h e i n c r e m e n t
done

here

were

showed, f o r t h e
calculated

less

optimistic

main

process

integrated

15x15 m a t r i x was u s e d

than

used

lethality

Teixeira s.

They

the

that

in

tests,

d i d not s t a b i l i z e

may

until a

( F i g u r e 1) w h e r e a s T e i x e i r a ' s r e s u l t s

i n d i c a t e d a l e v e l i n g o f f f o r a 10x10 m a t r i x . T h i s
disagreement

be

due

to

differences

apparent

in

the

c o n d i t i o n s b e t w e e n t h e two s t u d i e s . S i n c e t h e c o s t
simulation

increases

as

h o r i z o n t a l and v e r t i c a l
cost

the

product

increments, a

of

matrix.

Whereas

at 8 increments

15x15

increment

Teixeira's figures
per min, t h i s

o f f d i d n o t occur a t fewer

study

than

study

cylinder

temperature
strongly

were

was

was

as

of

not

the

major

affected

the

number o f

matrix

would

indicated that

20 i n c r e m e n t s

10x10

the

The
grid

leveling

per min.

at the

interest.
by

for a

center

of

centerpoint
spacings

as

i n t e g r a t e d l e t h a l i t y v a l u e s were. At t h e

o f a 40 m i n p r o c e s s , t h e p r e d i c t e d c e n t e r

temperatures

108.21C a n d 108.23C f o r a 10x10 a n d a 2 5 x 2 5 e l e m e n t

matrix, respectively.
temperature
time

of

indicated leveling o f f

For t h i s work, o n l y t h e temperature

end

the

test

2.25 t i m e s a s much t o u s e a s a 10x10 m a t r i x . F i g u r e 2

shows t h e r e s u l t s o f t h e t i m e

the

study

predictions, a grid

intervals

study, time

In order t o

of

reliable

center

s p a c i n g o f a b o u t 0.5 cm a n d

0.05 m i n s h o u l d be s u f f i c i e n t .

increments

t o 0.4 cm were u s e d ,

obtain

In t h i s

o f 0.05 m i n a n d g r i d s p a c i n g s o f 0.3

corresponding

t o M values of

0.02

to

Integrated

OZ

lethality

(z10C).

min

8
Time

Figure

2.

Time increment

12
increments

study

20

16
per

f o r 10x10

m in

matrix.

24

2 8

22

0.07 f o r t h e c o n d i t i o n s t e s t e d , w e l l b e l o w
for

stability

radial

the requirements

o f t h e s o l u t i o n . The number o f v e r t i c a l a n d

elements

used ranged

f r o m 6 t o 25 a n d was d e t e r m i n e d

f o r e a c h s i m u l a t i o n by t h e c o n t a i n e r shape a n d s i z e .
4. H e a t T r a n s f e r C o n s i d e r a t i o n s
The

r a t e of temperature change a t t h e c e n t e r of a

can

d u r i n g a t h e r m a l p r o c e s s i s d e p e n d e n t upon t h e s u r f a c e h e a t
transfer

coefficient,

the

thermal

p r o d u c t and t h e temperature
heat

transfer.

The

diffusivity

gradients

temperature

which

bring

between

the

believe

that

product

and

i t s environment i s

temperature. Although there

the

thermal

change w i t h temperature
the thermal d i f f u s i v i t y
constant

throughout

heating

curve,

facilitate

was

the

work. T h i s a s s u m p t i o n

diffusivity

(Evans,

comparison

previously

coefficient
simplification
phase,

was
is

However,

cooling

in

was

cited,

to

a product

may

considered

the

desired

certainly
steam

of

the

considered

is

reason

1958), d a t a a r e l i m i t e d and

of the l e t h a l i t y

when s a t u r a t e d

approaches

to

process f o r the purposes

In a l l of t h e a p p l i c a t i o n s
model

is

of

therefore

results

which

about

temperature

l a r g e , and d e c r e a s i n g as t h e p r o d u c t t e m p e r a t u r e
the environment

to

simplest
in

this

study

to

appropriate

methods.

finite-difference

surface
be

of t h i s
of

calculation

the

be

type

heat

transfer

infinite.

This

f o r the heating

i s used as the h e a t i n g

usually

the

g r a d i e n t s change over t h e

c o u r s e o f t h e p r o c e s s , b e i n g g r e a t e s t when t h e
difference

of

medium.

a c c o m p l i s h e d by f i l l i n g t h e

23

r e t o r t w i t h c o l d w a t e r , and
situation

low

thermal

transfer within
number

transfer

is

at

conductivity,

the product i s
a

the

the

transfer

to

ratio

the

factor.

of

the

infinite

in

to

heat

s u r f a c e . F o r B i o t numbers o f 40 o r more,

f o r B i o t numbers

introduced

The

internal

resistance

s u r f a c e h e a t t r a n s f e r c a n be c o n s i d e r e d t o be

may

this

i n most c a s e s h e a t

limiting

dimensionless

r e s i s t a n c e t o heat

even

in

i s not as good. However, s i n c e f o o d p r o d u c t s have

relatively

Biot

s u r f a c e heat t r a n s f e r

as

small

by t h i s a s s u m p t i o n

as

10

infinite,

little

error

o v e r e s t i m a t e the r a t e of heat

some c a s e s . T h i s w o u l d

indicating

process

is

(Heldman, 1975). Assuming

heat t r a n s f e r c o e f f i c i e n t d u r i n g the c o o l i n g

tend to s l i g h t l y

and

result

in

more

t o have s l i g h t l y

rapid

cycle

transfer
cooling,

less lethal

t h a n i t w o u l d h a v e i f c o o l i n g were s l i g h t l y

an

effect

slower.

5. P r o c e s s i n g C o n d i t i o n s U s e d
For

most

temperature
performed
lethality
Cooling

of

was

the
120

processes

C,

t o t e s t whether
calculation
water

temperature,

but

be

was

consistent
h

temperature

collapse to cooling
would

be

the

case

tests

errors

and

for

p r o c e s s i n g s i t u a t i o n . Thermal

Instant

continuous

were

retort
C

were

process

temperature.
retort

assumptions

environment

temperature

in

below

the

tables.

instant

water

100 C
with

the

a t 140

were a f f e c t e d by r e t o r t

B a l l ' s a n d Stumbo's f / U t o g
retort

some

the r e l a t i v e

temperature
to

simulated,

comeup

of
to

temperature
assumed,

as

r a t h e r than batch

p r o p e r t i e s were h e l d c o n s t a n t

24

within

each

simulation,

distribution
the

was

and

uniform.

the

initial

temperature

R e s i s t a n c e t o heat t r a n s f e r a t

s u r f a c e was c o n s i d e r e d t o be n e g l i g i b l e , a n d t h e e f f e c t

of

headspace

on h e a t t r a n s f e r was n o t c o n s i d e r e d .

Thermal

diffusivity

v a l u e s r a n g i n g f r o m 0.075 t o 0.125

c m / m i n were u s e d , c o v e r i n g t h e r a n g e o f t h e r m a l

properties

e n c o u n t e r e d c o m m e r c i a l l y f o r c o n d u c t i o n h e a t i n g foods (Rha,
1975).

Various

temperature

initial

- product

temperature

center temperature)

and g v a l u e s ( t e m p e r a t u r e d i f f e r e n c e
0.05

to

ratios
can

differences

at

(retort

from

15 t o 95 C

steam

o f f ) from

15 C were i n v e s t i g a t e d . H e i g h t t o d i a m e t e r

f r o m 0.1 t o 3 were s t u d i e d . F o r most

of

(H/D)

the

study

d i a m e t e r s o f 8 cm were u s e d , e x c e p t f o r c a n s w i t h v e r y

s m a l l H/D

ratios

(0.1 a n d 0.25) f o r w h i c h l a r g e r

diameters

w e r e u s e d , t o a l l o w a minimum h e i g h t o f 2 cm t o be u s e d .
6. S i m u l a t i o n
The
and

Program

simulation
number

calculations

of
to

subroutines

that

performed

program
iterative

f o l l o w the temperature changes,

process l e t h a l i t y ,
to

program c o n s i s t e d of a d r i v e r

calculate

and c o n t r o l t h e program's o u t p u t .

Input

t h e p r o g r a m i n c l u d e d c o n t a i n e r d i m e n s i o n s , t h e number o f

space

increments

i n each d i r e c t i o n , t h e time increment t o

be u s e d a n d t h e t h e r m a l d i f f u s i v i t y
temperature

and

other

process

p r o v i d e d . Any u n i t s c o u l d be u s e d

of the p r o d u c t .

specifications

Program

outputs

were

also

f o r these v a l u e s , as long

a s t h e u n i t s f o r a l l q u a n t i t i e s were c o n s i s t e n t
other.

Retort

included centerpoint

with

each

temperatures

25

logged

at

lethality
10C.

one

minute

intervals,

and

of the p r o c e s s a t the can c e n t e r

Figure

is

a flowchart

the

equivalent

f o r a z value

of

t h a t o u t l i n e s t h e f l o w of

c o n t r o l b e t w e e n t h e m a i n p r o g r a m and t h e

subroutines.

26

Figure

3.

Flowchart

for simulation

program.

27

B. P r o c e s s

C a l c u l a t i o n Methods

1. G e n e r a l

Methods

Three

"general"

determination
relative

examined

for
to

process

determine

lethality

their

accuracy

t o t h e r e f e r e n c e method t h a t was c o n s i d e r e d t o

equivalent
history

were

methods

to

continuous

be

i n t e g r a t i o n of the l e t h a l i t y

curve.

a. A v e r a g e t e m p e r a t u r e

method

The a v e r a g e t e m p e r a t u r e

method s t u d i e d was i d e n t i c a l

r e f e r e n c e m e t h o d ( d e s c r i b e d i n s e c t i o n C3) e x c e p t
interval

between

that

the

d a t a p o i n t s was i n c r e a s e d t o one m i n u t e .

T h i s m e t h o d was a v a r i a t i o n o f P a t a s h n i k ' s
extrapolation

of

lethality

the

for

to the

the

technique

simulation

used

model

method
for

and

an

accumulating

(Teixeira

et a l . ,

1969b).
b. P a t a s h n i k ' s

method

Patashnik's

method

integration

(Patashnik,

average

temperature

employed

1953).

method

p o i n t s were n o t a v e r a g e d t o
but,

rather,

constant

T h i s time

before or a f t e r
could

be

It

obtain

value

that
a

was

of t r a p e z o i d a l

similar

to

the

successive

data

temperature
considered

for

one

value,
t o remain

complete

i n t e r v a l c o u l d be c o n s i d e r e d

time

t o be t h a t

t h e i n s t a n t t h a t t h e measurement a p p l i e s t o
considered

t o s p a n midway i n t o e a c h o f

two i n t e r v a l s . As l o n g a s t h e p r o c e s s
sub-lethal

was

except

temperature

at the given data

interval.

or

the

the technique

temperatures,

however,

these

s t a r t e d and ended

at

the r a t i o n a l i z a t i o n of

28

t h i s p o i n t was

not

significant,

c. C u b i c p o l y n o m i a l method
The

c u b i c p o l y n o m i a l method was

similar

to

methods

since

four

i+l'

it

1+2

1+z

that

was

smoothed

out

the

curve

more

rather

i t as a s t e p f u n c t i o n . For each t i m e
a

b i

points:

(t..,_,L.

method

a g r a p h i c a l g e n e r a l method t h a n most n u m e r i c a l

considering
t o

), was

interval,

i n t e r p o l a t i o n p o l y n o m i a l based

i - i ' i - i ^ '
L

( f c

' l '
L

( t

i n t e g r a t e d . These p o i n t s

than

on

the

i+l' i+l*'
L

were

a n d

'

calculated

lethality

v a l u e s c o r r e s p o n d i n g t o temperatures measured a t

one

time i n t e r v a l s .

minute

function

subprogram

For

could

facility,

or

calculator.

be

system,

adapted

possibly
Fitting

for

even

of

was
use

the

used;
with

any

programmable

four

t h e i n t e g r a t i o n was

the

the o p e r a t o r would
i f temperatures
system

v a l u e s would

could

unknowns

program

only enter time-temperature

were measured a t e q u a l t i m e
be

simplified

so t h a t o n l y

h a v e t o be e n t e r e d , w i t h t h e t i m e

g e n e r a t e d by t h e p r o g r a m .

the

was

e a s i l y a c c o m p l i s h e d . A l l of

t h e o p e r a t i o n s c o u l d be c o m b i n e d i n t o a s i n g l e

and

computing

the c u b i c p o l y n o m i a l r e q u i r e d
in

on
the

p r i c i p l e s o f m a t r i x a l g e b r a . Once t h e p o l y n o m i a l

determined,

that

FORTRAN

however,

hand-held

s o l u t i o n of f o u r s i m u l t a n e o u s e q u a t i o n s
using

study,

QINT4P (Madderom, 1 9 7 8 ) , a v a i l a b l e

the u n i v e r s i t y ' s computing

method

this

so

pairs,

intervals,
temperature
base

being

29

2. F o r m u l a M e t h o d s
Five

formula

determination

methods

were

representative

f o r center

examined.

These

point

were

lethality

chosen

to

be

o f c u r r e n t l y a p p l i e d methods as w e l l as t h e

most r e c e n t d e v e l o p m e n t s i n p r o c e s s

evaluation,

a. B a l l ' s t a b l e m e t h o d
This

formula

processing
first

was

great

milestone

value

(Ball,

1923).

Ball

(U) w i t h r e s p e c t

the

retort

at

curves

integrals.

The

start

determined e m p i r i c a l l y
data,

and

heating

e q u a l . The h e a t i n g

product

portions

cold

spot

the

time-

mathematically

The c o o l i n g l a g

factor (Jcc)

of

was a p p r o x i m a t e d by an

straight-line

through

and

of

were e v a l u a t e d

was a s s u m e d t o be 1.41 a n d t h e c u r v e
hyperbola.

of

t h e e n d o f t h e h e a t i n g c y c l e ( g ) . The

history

using exponential

tables

t o h e a t i n g r a t e index ( f ^ )

s t r a i g h t - l i n e h e a t i n g and c o o l i n g
temperature

thermal

s i n c e i t was

developed

t e m p e r a t u r e d i f f e r e n c e between t h e

and

in

a n d h a s been t h e i n d u s t r y s t a n d a r d

introduced

process
and

method

o b s e r v a t i o n of

cooling

cooling

was

experimental

r a t e s w e r e assumed t o be

l a g f a c t o r was u s e d f o r t h e

calculation

of g b u t i t s l e t h a l

e f f e c t was n o t a c c o u n t e d f o r . M e r s o n e t

al.

a good d e s c r i p t i o n of t h e p r i n c i p l e s of

this

(1978) p r o v i d e d
method.
The

detailed

American

Can

Company

has

since developed

more

t a b l e s , i n t e r p o l a t i n g and e x t r a p o l a t i n g the t a b l e s

t h a t were p u b l i s h e d by B a l l .
e v a l u a t i o n of t h i s

method.

These t a b l e s were used f o r t h e

30

b. B a l l ' s e q u a t i o n method
While t r y i n g
formula

t o d e v e l o p a method

for

implementing

method w i t h o u t u s i n g t h e t a b l e s ,

that the values i n

equations

that

his

tables

did

Ball's

i t was d i s c o v e r e d

not

agree

were u s e d t o d e v e l o p them

with

the

( S m i t h and Tung,

1 9 7 9 ) . T h i s was c o n f i r m e d by t h e f i n d i n g s o f S t e e l e e t a l .
(1979).
Ball's

The

second

method

method

using

the

p r o d u c t i o n of t h e t a b l e s

investigated,
equations

therefore,

developed

( B a l l and O l s o n ,

for

was
the

1957).

c. Stumbo's method
Stumbo

and

Longley

evaluation taking
values.

The

(1966)

into

values

published

account

the

tables

f o r process

variability

of

graphs.

r a t e p a p e r , and subsequent

Revised

tables

finite

generated

difference

particulars,

from

histories

interpolation

( u s e d i n t h i s e v a l u a t i o n ) were

d e v e l o p e d through use of computer

histories

i n t h e s e t a b l e s were o b t a i n e d t h r o u g h

p l a n i m e t e r m e a s u r e m e n t s o f hand-drawn t e m p e r a t u r e
p l o t t e d on l e t h a l

of j

integration

heat

simulations

transfer

of

thermal

equations using

(Stumbo, 1 9 7 3 ) . I n a l l o t h e r

t h e m e t h o d was s i m i l a r

to B a l l ' s .

d. S t e e l e a n d B o a r d ' s method
Ball

and

processes
heating

Olson

(1957) d e v e l o p e d t a b l e s

exhibiting
and

cooling

broken

heating

and

cooling

curves

or

unequal

r a t e s . T h e s e t a b l e s were b a s e d on t h e

same c o n c e p t s a s B a l l ' s o r i g i n a l
heating

f o r e v a l u a t i o n of

portions

s e p a r a t e . T h i s method was

tables
of

improved

the

except

that

the

p r o c e s s were

kept

upon by G r i f f i n

et a l .

31

(1971) t h r o u g h
and

t h e use of a r e l a t i o n s h i p between t h e c u r v e d

s t r a i g h t - l i n e p o r t i o n s o f t h e c o o l i n g c u r v e . S t e e l e and

Board

(1979)

sterilizing

adapted

ratios,

this

method

for calculation

to simplify calculations.

was e v a l u a t e d u s i n g t h e e q u a t i o n s d e v e l o p e d

This

using
method

r a t h e r than the

tables provided,
e. Hayakawa's method
Hayakawa
similar

(1970) d e v e l o p e d

a method of l e t h a l i t y e v a l u a t i o n

t o those p r e v i o u s l y d e s c r i b e d except

functions

sections

for

was

divided

into

e v a l u a t i o n : curved heating, s t r a i g h t -

l i n e heating, curved c o o l i n g ,
The

circular

were u s e d t o e s t i m a t e t h e c u r v e d p o r t i o n s o f t h e

h e a t i n g a n d c o o l i n g c u r v e s . The p r o c e s s
four

that

and

straight-line

cooling.

l e n g t h s o f t h e c u r v e d p o r t i o n s were e s t i m a t e d u s i n g an

empirical

r e l a t i o n s h i p between f and j .

During
computer

testing

solution,

found. A c o r r e c t i o n
(Downes

and

of

the

errors
to

Hayakawa,

the

procedures
in

tables

1977).

using the equations developed

the

This

developed

for

p u b l i s h e d t a b l e s were
was

found

elsewhere

m e t h o d was e v a l u a t e d

r a t h e r than the t a b l e s .

32

C. A d a p t a t i o n

f o r Computer S o l u t i o n

A d a p t a t i o n of t h e v a r i o u s f o r m u l a methods f o r s o l u t i o n
solely

by c o m p u t e r r e q u i r e d two m a j o r s y s t e m s .

table

accessing

determining

system

and

the

other

' One

was

system

f and j v a l u e s from t h e t i m e - t e m p e r a t u r e

a
for

input

data.
1. T a b l e

Access

Table

access

was

accomplished

by

s e t t i n g up

o r g a n i z e d s o t h a t t h e l i n e number c o r r e s p o n d e d
value

for

file-line

each

varied

generally

slightly
the

from
g

one method t o

lines

interpolation

necessary,

file

necessary,

where

lines

were
next

sequentially.

For

read
line

the

v a l u e s from

cases

where

lethality

to

of

the

line

table

facilitate

were

read and, i f

could

read

system

and

took
for

j =2.00.
c c

In

i n the course of a

d e t e r m i n a t i o n , g v a l u e s were c o n v e r t e d

f r o m C t o

tables.

o f f and j V a l u e s

Determination
iterative

be

values f o r intermediate

c c

with available

to

needed.

r e l a t i o n s h i p between g and j

t a b l e s were t o be a c c e s s e d

2. D e t e r m i n a t i o n

but

i t is difficult

u s i n g an i n d e x e d

the values f o r j =0.40

F t o be c o m p a t i b l e

an

table

since

g i v e n v a l u e of f ^ / U , c a l c u l a t i n g
c

another,

Stumbo's t a b l e s , t h e a c c e s s

advantage of t h e l i n e a r
a

of

backwards, i f the p r e v i o u s

the

g-

v a l u e s and f ^ / U v a l u e s f o r t h e

c u r r e n t and p r e v i o u s

The

the

p a r t o f t h e t a b l e . The i n f o r m a t i o n on t h e

included

read a f i l e

to

files

o f f a n d j v a l u e s was a c c o m p l i s h e d

regression technique

to locate

the

using

start

of

33

the s t r a i g h t - l i n e p o r t i o n of t h e h e a t i n g and c o o l i n g c u r v e s
(log

v s . t and l o g m ( d i f f e r e n c e i n temperature

c o o l i n g water

and

can

centerpoint

during

cool)

r e s p e c t i v e l y ) . L i n e a r r e g r e s s i o n was p e r f o r m e d
deleting

f o r the curve

line.

The

In the f i r s t

was u s e d

regression

to

line

vs. t ,

iteratively,

p o i n t s up t o t h e c r o s s o v e r o f t h e f i t t e d

l i n e and t h e d a t a c u r v e .
data

between

straight

i t e r a t i o n , a l l of the

determine

the

regression

was t h e n c o m p a r e d t o t h e d a t a

c u r v e , a n d a l l o f t h e d a t a p o i n t s up t o t h e c r o s s o v e r
were o m i t t e d

f o r the next

continued u n t i l
curve

close

iteration

for

the f i t t e d

to

the

technique
of

the

point

rapidly

included

eliminated

in

was

the l a s t

the

non-linear

t h e d a t a c u r v e , and s e l e c t e d t h e l i n e a r
of

the

parameters

and

f was t h e n c a l c u l a t e d a s t h e n e g a t i v e

s l o p e of t h e r e g r e s s i o n

line,

described

(1973).

by

discriminating

Stumbo

up

t o the f i r s t

as

in

the

falling

and

The

was

heating or c o o l i n g curve.

reciprocal

was

as
more

often

40 o r more m i n u t e s o f t h e d a t a

curvilinear

theoretically

j . The

techniques,

portion.

t h e r e f o r e more c l o s e l y e s t i m a t e d

is

region

calculated

technique

than manual l i n e - f i t t i n g

discarding

which

procedure

regression l i n e crossed the data

first

calculation

parameter

obtained

This

(maximum r e l a t i v e d i f f e r e n c e 0.1 % ) .

This
portion

iteration.

point

defined

as

The

the true f

values
value

the asymptote of the

34

3. R e f e r e n c e M e t h o d a n d C a l c u l a t i o n o f D e v i a t i o n s
The r e f e r e n c e method t o w h i c h

t h e o t h e r s were c o m p a r e d

was a n u m e r i c a l g e n e r a l m e t h o d w i t h d a t a p o i n t s t a k e n
0.05 m i n . The a r i t h m e t i c mean t e m p e r a t u r e
interval

( A t ) was

t h i s temperature
of

the

and t h e l e t h a l

each
rate

time

(L) f o r

was c o n s i d e r e d t o a p p l y f o r t h e d u r a t i o n

interval

10 C ( 1 8 F)

determined

over

every

and

(250 F) were u s e d

(Teixeira
a

et

reference

forlethal

a l . , 1969b).

A z v a l u e of

temperature

of

rate calculations.

121.1 C

Thus,

T - 121.1

L = 10
Lethalities

were c a l c u l a t e d a s L A t a n d summed t o d e t e r m i n e

the t o t a l process l e t h a l i t y
intervals

(8)

( F ) . Because of t h e s m a l l time
0

( 0 . 0 5 m i n ) , t h i s m e t h o d was assumed

to

estimate

the c o n t i n u o u s p r o c e s s c u r v e and hence t h e o r i g i n a l

method, and i t s l e t h a l i t y

was u s e d

the a l t e r n a t e c a l c u l a t i o n

methods.

Each

temperature

process l e t h a l i t y
of t h e f o r m u l a
of

the

history

t o judge the a c c u r a c y of

curve

was

evaluated for

( F ) u s i n g t h e r e f e r e n c e method a n d
0

( t e s t ) methods. D e v i a t i o n s between F

reference

general

and

test

methods

percentages of t h e r e f e r e n c e F
F
Deviation =

(ref)
F

values

c a l c u l a t e d as

using:

" F

were

each

(test)

x 100%.

(9)

(ref)
A p o s i t i v e percentage

d i f f e r e n c e would

indicate

t e s t method u n d e r e s t i m a t e d t h e a c t u a l p r o c e s s

that

the

lethality.

35

RESULTS & DISCUSSION

A.

General

Methods

This

study

showed

that

temperature

method r e s u l t e d

calculated

lethality

method's a c c u r a c y
slope
time

and

c u r v a t u r e of t h e heat

end

o f t h e cook

t o diameter

When

than

diameter

ratio

lethality
h

held

the

were

f o r the

heating

products,

(H/D) a n d

temperature

( F i g u r e 4 ) . F o r an f

varied,

less

g r e a t e s t e r r o r (0.99%

f o rf

of

was t e n t i m e s

and

the height t o

dramatic
was n o t e d

but

still

( F i g u r e 5 ) . The

= 30 m i n ) was f o r s m a l l

and t h e l e a s t

compared t o 0.063%).

constant,

i n accuracy

to

(small values

o f 90 m i n ( 0 . 6 7 %

were

ratios,

both

deviations

underestimation

appreciable variation

to diameter

larger

ratio

( g ) were c o n s t a n t

f o r an f

and

by

t h e r e t o r t and t h e c e n t e r p o i n t a t t h e

30 m i n , t h e p r o c e s s
larger

average

p e n e t r a t i o n c u r v e . When a

f o rslower

between

the

deviations i n

affected

rapidly

f ) than

when t h e c a n h e i g h t
difference

used,

t h a t heat

rate index,

of

significant

was s i g n i f i c a n t l y

for products

heating

in

use

c o m p a r e d t o t h e r e f e r e n c e m e t h o d . The

i n t e r v a l o f 1 m i n was

noted

the

height

(0.66%) f o r a r a t i o c l o s e

unity.
Holding

the e f f e c t
greatest

f ^ and t h e height t o diameter

o f g was

assessed.

underestimation

Figure

of process

The

height

t o diameter

shows

lethality

l a r g e g, w i t h t h e e f f e c t more p r o n o u n c e d
ratios.

ratio

constant,
that

the

occurred f o r

f o r smaller

H/D

r a t i o and v a l u e of g w i l l

Figure

5.

Effect

of

height

errors

using

to

average

diameter
temperature

ratio

on

method.

evaluation
(g=5

C)

U)

Deviation

se

from

reference

l e t h a l i t y . /,

39

affect

t h e c u r v a t u r e of t h e l e t h a l i t y p l o t , and

accuracy

with

estimates

which

the

average

temperature

be

(usually
used.

more
less

than

0.05%) when 1 m i n

when

by P a t a s h n i k

overestimation

method

min

time

time

attempt

of

lethality,
cubic

process

intervals

i n some c a s e s

polynomial

u s i n g t h e g e n e r a l method
showed

that

small
were

were u s e d , a s

lethality.

this

from use

of

underestimated

by a s much a s 2 7 % .

method

was

developed

of l e t h a l i t y

approach.

no

min

in

an

determinations

However,

i t provided

P a t a s h n i k ' s m e t h o d , e v e n when 5

as

However,

method, which a l w a y s

t o improve the a c c u r a c y

results

found

( 1 9 5 3 ) , d e v i a t i o n s were a s g r e a t

the average temperature

The

was

intervals

d e v i a t i o n was s m a l l c o m p a r e d t o t h a t r e s u l t i n g

process

method

a p p r o p r i a t e m e t h o d . E r r o r s were v e r y

However,

suggested
4%

the

the l e t h a l value of the process.

Patashnik's trapezoidal integration

to

thus,

experimental

improvement

over

intervals

were

determine

which

data

used.

B. F o r m u l a M e t h o d s
1. Initial

Studies

Initial
factors
various

studies

were

conducted

had t h e g r e a t e s t e f f e c t
methods

f o r process

r e d u c e t h e number o f e x p e r i m e n t s
performance.
history

curves

Even

after

on

to

the

accuracy

of

the

e v a l u a t i o n i n an a t t e m p t
r e q u i r e d t o compare

t h i s r e d u c t i o n , over

were e v a l u a t e d . The i n i t i a l

to

their

200 t h e r m a l

studies

showed

40

that
and

t h e t e m p e r a t u r e d i f f e r e n c e a t t h e e n d o f t h e c o o k (g)
the height

significant

to

diameter

with

consistent

thermal d i f f u s i v i t y

nature

error

compared

to

i n g and c o n t a i n e r

of

these

simulation

to

include

or

exclude

of

simulation

covering

a wide range of c o n d i t i o n s .
whereas

after

c a l c u l a t i o n varied widely

is

the

thermal
within

covering

any

one

variability

further

inspection

of the

The d a t a
error

a s g was v a r i e d ,

in
in

the

Table

The

effect

error

lethality
effect

table

i s small
g

for

indicated
compared t o

indicated

i n the

i n T a b l e I . The f a c t o r s o f c a n s i z e ,
were t h e r e f o r e

considered

i n s i g n i f i c a n t and were n o t i n c l u d e d

resulted

of

small. Table I I

variability

due t o v a r i a t i o n s i n

further experiments.

difference

range of f ^ v a l u e s and a range of

column of t h i s

column

the

f o r a sample of runs

percentage

, and thermal d i f f u s i v i t y

relatively
in

statistical

from

s i z e was r e l a t i v e l y

diffusivities.

corresponding
f

visual

of the

a summary, f o r one c a n s i z e a n d v a l u e o f g, o f d a t a

experiments

the

container

on

therefore

factors

experiments

the

size,

effects

Because

appropriate,

results

that

made

Can

experiments,

were

varying

most

t h e e f f e c t s r e s u l t i n g from

experiments

show

the

large

dimensions.

t r e a t m e n t o f t h e d a t a was n o t
decisions

were

patterns.

and f ^ d i d n o t have

magnitudes

variations

(H/D)

f a c t o r s , r e s u l t i n g i n a wide v a r i a t i o n of e r r o r

magnitude,

error

ratio

Varying

i n small

on t h e e v a l u a t i o n

the

initial

t o be

as v a r i a b l e s
temperature

d i f f e r e n c e s , m o s t l y due t o t h e

of f

a n d Jcht*

range of i n i t i a l

41

Table I-Errors

in calculated lethalities

using

methods f o r v a r i o u s c a n s i z e s and v a l u e s

formula
o f g-

(H/D=1. 35)

Percent

error

Hayakawa

Stumbo

56.6

46.8

17.1

68.6

57.3

47.5

15.9

60.7

69.0

57.7

47.5

13.8

31.3

40.4

29.2

20.9

10.1

32. 1

41.2

30.0

21.8

10.7

32.4

41 .4

30.0

21 .4

9.2

1.5

18.0

22.7

15.1

9.5

4.9

1.5

18.4

23.0

15.6

10.2

5.9

1.5

18.5

23.1

15.7

10.2

5.5

0.5

12.1

14.5

9.4

5.7

2.1

0.5

12.3

14.7

9.6

5.8

2.1

0.5

12.3

14.7

9.7

6.0

2.2

0.15

9.1

9.8

6.3

3.8

1 .9

0.15

9.2

9.8

6.4

3.8

1 .6

0.15

9.2

9.7

6.4

3.8

1.5

Steele

radius

Ball's

Ball's

(cm)

Tables

Equation

& Board

15

59.4

67.8

15

60.3

15

g
(c)

42

Table I I - E r r o r s

in calculated

lethalities

using 5 formula

methods f o r v a r i o u s t h e r m a l d i f f u s i v i t i e s

and f .
h

(H/D=1.0; g=5 C)

Percent

.
n

Ball's

Ball's

(min)

(cmVmin)

Tables

Equation

30

0.075

35.2

43.8

30

0. 100

35.6

30

0.1 25

50

error

Steele

Hayakawa

Stumbo

32.6

24.2

11.4

44.2

32.9

24.4

1 1 .4

35.9

44.5

33.2

24.7

11.6

0.075

35.7

44.3

33.1

24.7

11.8

50

0.1 00

36.2

44.7

33.7

25.5

12.8

50

0.125

36.4

44.9

33.9

25.7

13.1

70

0.075

36. 1

44.7

33.3

24.7

11.0

70

0. 1 00

36.4

44.9

33.6

25. 1

11.1

70

0. 125

36.7

45.2

33.9

25.4

1 1 .7

90

0.075

36.4

44.9

33.7

25.2

11.7

90

0. 100

36.6

45.1

33.9

25.4

1 1.9

90

0. 125

36.8

45.2

34. 1

25.6

12.2

& Board

43

temperature d i f f e r e n c e s
the

f r o m 20 t o 95 C

s t u d y ; but data from i n i t i a l

20 C

were

later

excluded

p o o r , e s p e c i a l l y when

included

in

temperature d i f f e r e n c e s of

because

was

was

e s t i m a t e s of f

large,

since

were

straight-line

h e a t i n g b e h a v i o r was n o t w e l l e s t a b l i s h e d b e f o r e t h e end o f
the

heating

c y c l e . The e f f e c t s were s m a l l c o m p a r e d t o t h e

e f f e c t s of other f a c t o r s being
Parallel
temperatures

product
of

120

studied.

thermal
and

histories

140 C

were

III). A l l

subsequent

generated using a r e t o r t
percentage

to

be

thermal

temperature

of

comparable

histories
120 C

were

but

the

e r r o r s p r e s e n t e d c a n be c o n s i d e r e d t o a p p l y f o r

higher retort

t e m p e r a t u r e s as w e l l . T h i s i s

significance

when

are

retort

e v a l u a t e d and t h e

c a l c u l a t e d p e r c e n t a g e e r r o r s were f o u n d
(Table

for

considering

of g r e a t e r importance

for

of

particular

large g values since

higher

p r o c e s s e s t h a n f o r p r o c e s s e s a t 120

retort

these

temperature

C.

2. E f f e c t s o f Can Shape a n d g V a l u e
Figures

7 through

r e f e r e n c e method, t h a t
lethality

resulted

an

differences

of

average
35,65,

from c a l c u l a t i o n

error
and

for

95 C .

initial
The

of process
Each

point

temperature

deviations

are

o f b o t h c a n s h a p e (H/D) a n d g. The s h a p e s o f t h e

error curves are s i m i l a r

equation

r e l a t i v e t o the

u s i n g each of t h e f i v e t e s t methods.

represents

functions

11 show t h e e r r o r s ,

method,

for Ball's

S t e e l e and Board's

table

method,

method a n d

Ball's

Hayakawa's

44

Table I l l - E r r o r s

in calculated

lethalities

using 5 formula

m e t h o d s f o r v a r i o u s v a l u e s o f g and two
temperatures.

retort

(H/D=1.35)

Percent

error

Hayakawa

Stumbo

57.3

47.5

15.9

68.7

57.5

47.6

16. 1

32. 1

41.2

30.0

21 .8

10.7

140

32.1

41 .2

30.0

21.8

10.7

1 .5

120

18.4

23.0

15.6

10.2

5.9

1 .5

140

18.5

23.2

15.8

10.5

6.4

0.5

120

12.3

14.7

9.6

5.8

2. 1

0.5

140

12.5

14.9

9.8

6.1

2.5

0.15

120

9.2

9.8

6.4

3.8

1 .6

0.15

140

9.4

10.0

6.6

4.0

1.9

0.05

120

5.8

7.0

4.7

2.9

0.9

0.05

140

6. 1

7.4

4.8

2.9

0.8

Steele

retort

Ball's

Ball's

(C)

(C)

Tables

Equation

& Board

15

120

60.3

68.6

15

140

60.3

120

H/D
Figure

7.

Errors
Ball's

in

process

tables.

ratio
lethality

determinati

Figure

8.

Errors
Ball's

in

process

equation.

lethality

determinations

using

I
0.5

Figure

9.

I
1.0

Errors

in

Steele

and

I
1.5
H/D
ratio

process
Board's

lethality
method.

I
2.0

2 5

determinations

I
3.0

using

8fr

6fr

50

method, a l t h o u g h the m a g n i t u d e s of
error

curves

for

characteristics,
of

H/D,

cases

lethality,

that

increased

I t m i g h t be
would

s i n c e a p l o t of
plot
12

greater

were

of

"safe"

H/D

the

be

of

a function
a function

error

f u n c t i o n . T h e r e f o r e , some o t h e r
a l s o be

i n f l u e n c i n g the

expected

t o be

e r r o r m a g n i t u d e as

continuous

in

believed
shape
can

t o be

at the

The
be

end

function
most

a r e s u l t of

resulting

Errors
be

curve

from the

of

the

has

trend

H/D

cases.

The

differences

of

g,

a r e s u l t of the

factor,
similar

not

1957).
to

be

smooth

factors,

must

these would

since
a

shape
in

by

the

plot

smooth

of
and

effect

cooling

be

is

curve

through

the

found

to

cycle.

i n c r e a s i n g as

e f f e c t o f g v a l u e on

lag

temperature gradient

heating

became

Olson,

was

is

in l e t h a l i t y determination

a function

then

tended

or

ratio,

of

unity,

a shape

errors

factor

H/D

H/D,

cooling

e r r o r m a g n i t u d e , and

r e l a t e d t o the

small

influenced

( B a l l and

the

process

v a l u e as H/D

the

the

values,

of

near

o f H/D

although

larger j

In almost a l l

for

errors

magnitude

functions

side.

was

intermediate

The

similar

simple

smallest

when
an

shows t h a t
for

the

expected that

j as

have

underestimations

were

to

method

differ.

l a r g e v a l u e s o f g.

maximum

slowly

shape

Figure

for

errors

a p p e a r t o be

i s , e r r o r s on

to a

the

not

deviations

decreased

to

do

errors

These

can

Stumbo's

especially
these

large.

but

the

lethality

the

were a l s o
v a l u e of g

determination

temperature gradient

from the

increased.
errors

may

surface

to

 Ball
A Stumbo

L_

18

16

1.4

1.2

ice
Figure

12.

Errors

in

to

cooling

the

process
lag

lethality
factor.

determinations
(g=5 C)

as

related

52

the

center

of

c y c l e . During
surface

the

container

the heating c y c l e ,

temperature

continued

t h e end o f t h e h e a t i n g

the temperature

of the can i s h i g h e r than

the h e a t i n g c y c l e i s

process

at

t h a t near the c e n t e r . I f

until

i s stopped

is

small,

this

at

when g i s l a r g e , t h e g r a d i e n t c a u s e s t h e

the

c e n t e r of the can t o c o n t i n u e

f o r a p e r i o d of time a f t e r

the s t a r t

and

o f t h e c a n may

any

the

g r a d i e n t becomes i n s i g n i f i c a n t . H o w e v e r , i f t h e

temperature

for

near

the center temperature

several

minutes.

This effect

of t h e

to rise

cooling

not begin

cycle
t o drop

i s not accounted

for in

of t h e f o r m u l a methods t e s t e d .

3. C o m p a r i s o n o f M e t h o d s
Figure
with

the

13 shows a c o m p a r i s o n o f t h e e r r o r s
five

associated

f o r m u l a m e t h o d s t e s t e d . E r r o r s f o r o n l y one

v a l u e o f g a r e shown, b u t t h e t r e n d s were s i m i l a r
v a l u e s o f g, a l t h o u g h

the e r r o r magnitudes d i f f e r

7 - 1 1 ) . The v a l u e o f g=5C u s e d i n F i g u r e
of

the

largest

conventional

f o r other

values

that

would

13 i s i n t h e r a n g e
be e n c o u n t e r e d

method r e s u l t e d

of p r o c e s s

lethality

in relatively

using

large errors,

Ball's

f o r m u l a method a p p r o a c h h a s b e e n s i g n i f i c a n t l y

by

more

recent

that

improved

m o d i f i c a t i o n s . S t e e l e and B o a r d ' s method,

h a v i n g e l i m i n a t e d t h e a s s u m p t i o n s o f o n l y one v a l u e
e q u a l h e a t i n g and
than

table

indicating

the

better

in

processing.

Calculation

and

(Figures

Ball's

cooling
table

rates,

method

performed

f o rj c c
slightly

u n d e r most c o n d i t i o n s .

54

Hayakawa's method, w h i c h e s t i m a t e d t h e
circular

functions,

resulted

l a g using

i n s m a l l e r e r r o r s than

o f t h e s e m e t h o d s . The l a r g e s t e r r o r

f o r a g value

25%

Ball's

t a b l e s and 33% u s i n g S t e e l e and B o a r d ' s method.

(up t o 4 4 %

equation

method

method

small, this
slightly,

method r e s u l t e d

i n the largest

of

method
in

appears

to

be

the

overestimated

the

most

process

errors

accurate

lethality

some c a s e s . Stumbo's method a l s o r e s u l t e d i n

(Figure 11).

C a l c u l a t i o n E r r o r s i n Terms o f P r o c e s s i n g Time
S i n c e a l l o f t h e methods u n d e r e s t i m a t e d

of

thermal

processes

process times
longer

f o r conduction

calculated

using

these

the

heating foods, the

methods

o r more. A l t h o u g h
s i z e and i n i t i a l

other

would

be

F i g u r e 1 4 shows t h a t B a l l ' s m e t h o d o v e r e s t i m a t e d

r e q u i r e d p r o c e s s t i m e s by 6 t o 7 m i n f o r a p r o c e s s
hour

lethality

than r e q u i r e d t o achieve a s p e c i f i e d t a r g e t process

lethality.

can

Use

t h o s e t e s t e d . H o w e v e r , when g was v e r y

h i g h l y v a r i a b l e a c c u r a c y when g was l a r g e

4.

t o 36% u s i n g

f o r g=5 C ) .

Stumbo's
formula

compared

5 C

of

Hayakawa's

Ball's

was

either

using

of

method

cooling

conditions.

this

figure

temperature,
Stumbo's

of

one

shows d a t a f o r o n l y one

e r r o r s were

similar

for

method o v e r e s t i m a t e d r e q u i r e d

p r o c e s s t i m e s by o n l y a b o u t 2 m i n , w h i c h i s a p p r o a c h i n g t h e
accuracy of process c o n t r o l

f o r manually

operated

retorts.

A l t h o u g h t h e s e e r r o r s c o u l d be c o n s i d e r e d t o be
safety

factors,

they

are

influenced

by

can

extra

shape a n d

H e a t ing

Figure

14.

Calculated

t i me,

lethal effect

(H/D=1.0, I h = 9 5

C)

m i n

relative

to processing

time.

56

processing
constant

margin

necessary,
product

but

for

and

therefore

error.

should

safety.

suggested
this

conditions

be

well

( 1 9 7 8 ) may

not

provide

Safety margins are

Statistical

by L u n d

do

defined,
analysis

be a

to

certainly

help

assure

of v a r i a b i l i t y ,

reasonable

approach

as
to

problem.

5. P o s i t i o n o f C o l d S p o t i n C o n t a i n e r
For

conduction

of a t h e r m a l

process

heating products,
can account

the

delivered lethality

The

cooling

processes

portion

most

(Board et a l . ,

significant

for

in

l a r g e r g v a l u e s . For

reasons,

i t i s important

to

take

cooling

portion

thermal

processes.

be

into

account

when

necessary

to determine

of

the

critical

r e c e i v e s the l e a s t
various factors
cooling
and

Deltour,

considerably

of

point

lethal effect

and

the

at the c e n t e r

required
it

"critical

container.

The

from a p r o c e s s , depends
of

the

of

the

d i f f e r e n c e between t h e l e t h a l i t y d e l i v e r e d
and

for a

t h i s p o i n t may

center

the

taken,

heating

the shape of the c o n t a i n e r

1972a). A l t h o u g h
from

the

of

i n the c o n t a i n e r , which

i n c l u d i n g the nature

program

determining

the process

1960).

economic

lethality

However, i f t h i s a p p r o a c h i s

p o i n t " which i s not at the c e n t e r

position

the

of

shorter

result

may

which

for a significant part

of a p r o c e s s

is

the c o o l i n g p o r t i o n

be

and

(Flambert
displaced

container,
at

on

this

i s u s u a l l y s m a l l ( H i c k s , 1951).

the
point

57

6.

Convection
It

to

Heating

Products

must be n o t e d

foods

that the r e s u l t s reported here

t h a t h e a t a n d c o o l by c o n d u c t i o n

p r o c e s s i n g methods f o r w h i c h n a t u r a l o r
are

significant

shortened

lag

methods

can

factors

before
be

for

conduction

heating

may

convection

i n process

convection

cooling

expected

accurately

accuracy

i n heat

heating

to

forced

Thus

estimate

heating

products.

o n l y . Products or

transfer w i l l
begins.

convection
experience a
the

lethality

products

for

both

more

than

for

similar

conduction

and

p r o d u c t s , d i f f e r e n t e v a l u a t i o n methods

be r e q u i r e d .

C. G e n e r a l
Some

C o n s i d e r a t i o n s and F u t u r e Research
of

calculation

the

most

significant

u s i n g f o r m u l a m e t h o d s may

the parameter g and t h e c a l c u l a t i o n

unaccomplished

temperature

as the d i f f e r e n c e
highest

i n temperature

temperature

temperature

Needs

factors

in

reached

of f ^ , f , and j

The
defined

between t h e r e t o r t and t h e

a t t h e c e n t e r of t h e c o n t a i n e r
often

d i f f e r e n c e a t the time

described

as

the

steam i s t u r n e d o f f . I n

some s i t u a t i o n s , n o t a b l y w i t h c o n v e c t i o n h e a t i n g
these

process

be t h e d e f i n i t i o n o f

d i f f e r e n c e , g, i s o f t e n

i n q u e s t i o n . However, i t i s a l s o

products,

two d e f i n i t i o n s may c o i n c i d e , b u t i n most c a s e s , t h e

temperature
rise

formula

In order t o achieve

estimation

apply

at the center of a c o n t a i n e r w i l l

f o r some t i m e a f t e r

temperature

continue

to

t h e s t e a m i s t u r n e d o f f due t o t h e

g r a d i e n t from t h e s u r f a c e t o t h e c e n t e r of t h e

58

container.
also

In batch-type

time

the c o n t a i n e r
results

is

immersed

from t h e time

is

often

container

temperature

at

to f i l l

of

cooling

continuation
many

start

water.

definition

of

time

of

cases,

can

the

(i960)

be

where t h e r e

have

considered

process

without

at

retort

introduction
is a

of

significant

o f c o o l i n g , e i t h e r due t o a t e m p e r a t u r e
delay

i n the

cooling conditions, i ti s clear

that the

, and

the
the

definitions
cooling

of

rate

inverse

the

index,

unambiguously d e f i n e d . T h e o r e t i c a l l l y ,
negative

time,

of g i s ambiguous.

Furthermore,
index,

delay

this

Board e t a l .

g r a d i e n t w i t h i n t h e c o n t a i n e r , o r due t o
establishment

The

w i t h water. During

this

e r r o r . In cases

the

is

s i g n i f i c a n t heat t r a n s f e r i n t o the

much

in

significant

there

r e q u i r e d t o b l o w down t h e r e t o r t a n d

still

that

equivalent to a

lag

in

from i t s s u r r o u n d i n g s .

suggested

situations,

l a g b e t w e e n when t h e s t e a m i s t u r n e d o f f a n d

to allow the retort

there

processing

heating
f

rate

, are not

f i s d e f i n e d as

the

slope of the asymptote t o t h e h e a t i n g or

c o o l i n g c u r v e . However, i n p r a c t i c e ,

f i s c a l c u l a t e d as t h e

negative

i n v e r s e slope of a l i n e

fitted

portion

of

t h e d i f f e r e n c e may n o t be

the

curve. Although

l a r g e when l o n g p r o c e s s e s
considered,

since

the

a p p r o a c h e s more c l o s e l y
on,

i n most p r a c t i c a l

enough t o r e s u l t

in

and

long

"linear"

to

cooling
portion

the asymptote as t h e

the

"linear"

periods
of

are

the

curve

process

goes

s i t u a t i o n s heating periods are short

considerable

discrepancies.

Cooling

59

records

are

rarely

e s t i m a t e of
f

is

and

long

any

enough

to

discrepancy

give

reasonable

i n the d e t e r m i n a t i o n

of

t r a n s l a t e d a l s o i n t o an e r r o r i n t h e c a l c u l a t i o n

of

cc*

The
errors

parameter, j c r

w e l l as b e i n g v e r y

a s

i n other c a l c u l a t e d parameters,

appropriate
cooling

descriptor

of

curve. Although

"linear"

portion

adequately

of

describe

the

be

drawn,

heating

the

cooling

effect

the nature

i s not

the

particularly

most

number

effort

is

clear

should

appropriate
parameters
introduction
curvilinear
research
thermal

of

another

portion

of

is satisfactorily
process

part

of

parts

towards
the
j

and

of

the

lethal

the

process.

process,
end

of the c o o l i n g c y c l e ,

for
and

curves

since l i t t l e

h e a t i n g foods, are the

the s t a r t

f ,

the

same i s t r u e f o r

important

important

procedures
h

the

not

unique

t h e same v a l u e s f o r g,

directed

f ,

of

does

of

since

rate i s highest.

from the above d i s c u s s i o n t h a t

be

g,

it

of

i s d u r i n g t h i s p e r i o d t h a t the l e t h a l
It

very

of the c u r v i l i n e a r p o r t i o n

initial

for conduction

t h e h e a t i n g c y c l e and
it

so

i s d e l i v e r e d i n the

However,

portion

curve,

l e t h a l e f f e c t s . The

c u r v e , but

not a

to

i t does l o c a t e the p o s i t i o n of

a l l having

but d i f f e r e n t

is itself

initial

of t h e c o o l i n g c u r v e , s i n c e any
could

sensitive

the

development

determination
and

research

perhaps

of

of

the

to

the

parameter as a d e s c r i p t o r of
the

cooling

completed,

curve.

Until

the
this

f u r t h e r comparison

c a l c u l a t i o n methods i s not

warranted.

of

60

CONCLUSIONS
The

numerical

general

method

using

i n t e g r a t i o n of l e t h a l h i s t o r y data developed
(1953)

was

found

t o agree

when one m i n u t e t i m e
l a r g e r time

The

five

lethality

i n t e r v a l s were u s e d .

heat

and c o o l

formula

methods

h e a t i n g foods

Patashnik

However,

i n greater error,

showed d e v i a t i o n s f r o m

conduction

by

w e l l w i t h t h e r e f e r e n c e method

intervals resulted

for products which

trapezoidal

use

especially

rapidly.
f o r determining
the reference

process

method

were

temperature

for

i n c y l i n d r i c a l c o n t a i n e r s under a

w i d e r a n g e o f c o n d i t i o n s . D e v i a t i o n s were g r e a t e s t
values

of

l a r g e , a s m i g h t be e n c o u n t e r e d

when

i n high

retort

processing. E r r o r s a l s o v a r i e d according t o the

shape of t h e c a n , w i t h t h e g r e a t e s t e r r o r s c o r r e s p o n d i n g t o
H/D c l o s e t o u n i t y . Can s i z e , t h e r m a l d i f f u s i v i t y ,
rate,

initial

did

not

temperature

greatly

d i f f e r e n c e and r e t o r t

affect

error

best

estimates

of

process

temperature

magnitudes.

c o n d i t i o n s e x a m i n e d , Stumbo's m e t h o d was f o u n d
lethality,

more s e n s i t i v e t o s l i g h t v a r i a t i o n s

in f

heating

Under a l l
to give

the

b u t t h e m e t h o d was
and j

than

were

the o t h e r methods.
Use o f t h e s e
times

would

processing

formula

result
time

in

methods
slight

f o r conduction

to

calculate

overestimates of required
heating

products.

o v e r p r o c e s s i n g r e p r e s e n t s an e x t r a s a f e t y m a r g i n ,
also

be

reduced

significant
plant

process

but c o u l d

i n terms of a d d i t i o n a l energy

throughput.

This

use and

61

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of